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Code · REGISTER · 2007-10-19 · Nuclear Regulatory Commission · Rules and Regulations

Rules and Regulations. Final rule

21,110 words·~96 min read·/register/2007/10/19/07-5135

A research copy — for the controlling text, always check the official state or federal source. Not legal advice.

BILLING CODE 7590-01-P NUCLEAR REGULATORY COMMISSION 10 CFR Part 20 RIN 3150-AI22 National Source Tracking of Sealed Sources; Revised Compliance Dates AGENCY: Nuclear Regulatory Commission. ACTION: Final rule. SUMMARY: The Nuclear Regulatory Commission
(NRC)is amending its regulations to revise the compliance dates for licensees to begin reporting source transactions and initial source inventory information to the National Source Tracking System for nationally tracked sources. No other requirements related to the National Source Tracking System are being revised by this rule. DATES: *Effective Date:* This final rule is effective October 19, 2007. *Compliance Dates:* Compliance with the reporting provisions in 10 CFR 20.2207 is required by January 31, 2009 for both Category 1 sources and Category 2 sources. FOR FURTHER INFORMATION CONTACT: Merri Horn, Office of Federal and State Materials and Environmental Management Programs, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; telephone
(301)415-8126, e-mail, *mlh1@nrc.gov.* SUPPLEMENTARY INFORMATION: I. Discussion and Need for the Rule The President signed the Energy Policy Act of 2005 (Pub. L. 109-58, 119 Stat. 594) into law on August 8, 2005. It contains a provision on national source tracking that requires the NRC to issue regulations establishing a mandatory tracking system for radiation sources in the United States. The NRC issued the final rule for the National Source Tracking System on November 8, 2006 (71 FR 65686). The National Source Tracking System rule requires licensees to report information on the manufacture, transfer, receipt, disassembly, and disposal of nationally tracked sources. This information will be entered into a computerized data base. The National Source Tracking System will capture information on the origin of each nationally tracked source (manufacture or import), all transfers to other licensees, all receipts of nationally tracked sources, and endpoints of each nationally tracked source (disassembly, disposal, decay, or export). Ultimately, the National Source Tracking System will be able to provide a domestic life history account of all nationally tracked sources. The compliance dates for licensees to report initial source inventories was November 15, 2007, for Category 1 sources and November 30, 2007, for Category 2 sources. These were also the dates to start reporting source transactions for entry into the system. The NRC anticipated that system development and all testing would be complete and the National Source Tracking System would be operational by November 2007. However, system development has taken longer than anticipated and the system will not be ready to accept data by November 2007. Therefore, the NRC is revising the compliance dates for which reporting is to start. The requirements for Category 1 nationally tracked sources will now be implemented by January 31, 2009. This means that by this date any licensee that possesses a Category 1 level source must have reported its initial inventory and must begin reporting all transactions involving Category 1 sources to the National Source Tracking System. The requirements for Category 2 nationally tracked sources will also be implemented by January 31, 2009. By this date, all licensees must have reported their initial inventories of Category 2 nationally tracked sources and begin reporting all transactions to the National Source Tracking System. II. Section by Section Analysis of Substantive Changes Section 20.2207—Reports of Transactions Involving Nationally Tracked Sources Paragraph
(h)is revised to require a licensee to report its initial inventory of Category 1 nationally tracked sources by January 31, 2009, and the inventory of Category 2 nationally tracked sources by January 31, 2009. III. Bases and Findings for Dispensing With Notice and Comment and for Making Rule Immediately Effective Generally, NRC rulemaking involves issuing rules using the public notice and comment procedures set forth in the Administrative Procedure Act (APA). Typically, a proposed rule is issued for comment and any comments submitted are evaluated in the agency's development of the final rule. But under 5 U.S.C 553(b)(3)(B), a Federal agency such as the NRC may dispense with those procedures where it finds for “good cause” that notice and public procedures thereon are “impracticable, unnecessary, or contrary to the public interest.” In this case, notice-and-comment procedures are not required because the usual public rulemaking procedures are impracticable. The National Source Tracking System will not be ready to accept data received from licensees by the original compliance dates in the final rule. Compliance with the rule by those dates is not feasible, and no purpose would be served by seeking public comment on whether to extend the compliance dates. Therefore, under 5 U.S.C. 553(b)(3)(B), good cause exists to dispense with notice and comment procedures. In addition, this rule is immediately effective upon publication in accordance with 5 U.S.C. 553(d)(1) because it is a substantive rule granting or recognizing an exemption or relieving a restriction. Specifically, the rule relieves licensees from the requirement to report initial source inventories and source transactions for entry into the National Source Tracking System by the dates for compliance specified in the final rule. IV. Criminal Penalties For the purpose of Section 223 of the Atomic Energy Act (AEA), the Commission is amending 10 CFR part 20 under one or more of Sections 161b, 161i, or 161o of the AEA. Willful violations of the rule will be subject to criminal enforcement. V. Agreement State Compatibility Under the “Policy Statement on Adequacy and Compatibility of Agreement State Programs” approved by the Commission on June 30, 1997, and published in the **Federal Register** on September 3, 1997 (62 FR 46517), § 20.2207 in the final rule on National Source Tracking is classified as Compatibility Category “B.” The NRC program elements in this category are those that apply to activities that have direct and significant transboundary implications. An Agreement State should adopt program elements essentially identical to those of NRC. Agreement State and NRC licensees would report their transactions to the National Source Tracking System. The data base would be maintained by NRC. The Agreement States are expected to adopt legally binding requirements on their licensees such that all licensees, both NRC and Agreement States, will begin reporting at the same time. VI. Voluntary Consensus Standards The National Technology Transfer Act of 1995 (Pub. L. 104-113) requires that Federal agencies use technical standards that are developed or adopted by voluntary consensus standards bodies unless the use of such a standard is inconsistent with applicable law or otherwise impractical. In this final rule, the NRC is revising the compliance dates for licensees to begin reporting information on source transactions and initial source inventories of nationally tracked sources to the National Source Tracking System. This action does not constitute the establishment of a standard that contains generally applicable requirements. VII. Environmental Impact: Categorical Exclusion The NRC has determined that this final rule is the type of action described as a categorical exclusion in 10 CFR 51.22(c)(3)(iii). Therefore, neither an environmental impact statement nor an environmental assessment has been prepared for this final rule. VIII. Paperwork Reduction Act Statement This final rule does not contain new or amended information collection requirements that are subject to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 *et seq.* ). Existing requirements were approved by the Office of Management and Budget, approval numbers 3150-0014, 3150-0001, and 3150-0202. Public Protection Notification The NRC may not conduct or sponsor, and a person is not required to respond to, a request for information or an information collection requirement unless the requesting document displays a currently valid OMB control number. IX. Regulatory Analysis A regulatory analysis has not been prepared for this final rule because it relieves restrictions and does not impose any regulatory burdens on licensees. X. Backfit Analysis The NRC has determined that the backfit rule (§§ 50.109, 70.76, 72.62, or 76.76) does not apply to this final rule because this amendment does not involve any provisions that would impose backfits as defined in the backfit rule. Therefore, a backfit analysis is not required. XI. Congressional Review Act In accordance with the Congressional Review Act of 1996, the NRC has determined that this action is not a major rule and has verified this determination with the Office of Information and Regulatory Affairs of Office of Management and Budget. List of Subjects in 10 CFR Part 20 Byproduct material, Criminal penalties, Licensed material, Nuclear materials, Nuclear power plants and reactors, Occupational safety and health, Packaging and containers, Radiation protection, Reporting and recordkeeping requirements, Source material, Special nuclear material, Waste treatment and disposal. For the reasons set out in the preamble and under the authority of the Atomic Energy Act of 1954, as amended; the Energy Reorganization Act of 1974, as amended; and 5 U.S.C. 552 and 553, the NRC is adopting the following amendments to 10 CFR part 20. PART 20—STANDARDS FOR PROTECTION AGAINST RADIATION 1. The authority citation for part 20 continues to read as follows: Authority: Secs. 53, 63, 65, 81, 103, 104, 161, 182, 186, 68 Stat. 930, 933, 935, 936, 937, 948, 953, 955, as amended, sec. 1701, 106 Stat. 2951, 2952, 2953 (42 U.S.C. 2073, 2093, 2095, 2111, 2133, 2134, 2201, 2232, 2236, 2297f), secs. 201, as amended, 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note), Energy Policy Act of 2005, Pub. L. 109-58, 119 Stat. 594 (2005). 2. Section 20.2207 is amended by revising paragraph
(h)to read as follows: § 20.2207 Reports of transactions involving nationally tracked sources.
(h)Each licensee that possesses Category 1 nationally tracked sources shall report its initial inventory of Category 1 nationally tracked sources to the National Source Tracking System by January 31, 2009. Each licensee that possesses Category 2 nationally tracked sources shall report its initial inventory of Category 2 nationally tracked sources to the National Source Tracking System by January 31, 2009. The information may be submitted by using any of the methods identified by paragraph (f)(1) through (f)(4) of this section. The initial inventory report must include the following information:
(1)The name, address, and license number of the reporting licensee;
(2)The name of the individual preparing the report;
(3)The manufacturer, model, and serial number of each nationally tracked source or, if not available, other information to uniquely identify the source;
(4)The radioactive material in the sealed source;
(5)The initial or current source strength in becquerels (curies); and
(6)The date for which the source strength is reported. Dated at Rockville, Maryland, this 3rd day of October, 2007. For the Nuclear Regulatory Commission. William F. Kane, Acting Executive Director for Operations. [FR Doc. E7-20591 Filed 10-18-07; 8:45 am] BILLING CODE 7590-01-P DEPARTMENT OF COMMERCE Bureau of Industry and Security 15 CFR Part 748 [Docket No. 070817469-7596-01] RIN 0694-AE11 Approved End-Users and Respective Eligible Items for the People's Republic of China
(PRC)Under Authorization Validated End-User
(VEU)AGENCY: Bureau of Industry and Security, Commerce. ACTION: Final rule. SUMMARY: In this final rule, the Bureau of Industry and Security
(BIS)amends the Export Administration Regulations
(EAR)to list names of end-users in the People's Republic of China
(PRC)approved to receive exports, reexports and transfers of certain items under Authorization Validated End-User (VEU). In a final rule published in the **Federal Register** , BIS revised and clarified U.S. export control policy for the PRC, establishing Authorization VEU and identifying the PRC as the initial eligible destination. This rule identifies five specific validated end-users. DATES: This rule is effective November 19, 2007. Although there is no formal comment period, public comments on this regulation are welcome on a continuing basis. ADDRESSES: You may submit comments, identified by RIN 0694-AE11 (VEU), by any of the following methods: *E-mail: publiccomments@bis.doc.gov* Include “RIN 0694-AE11 (VEU)” in the subject line of the message. *Fax:*
(202)482-3355. Please alert the Regulatory Policy Division, by calling
(202)482-2440, if you are faxing comments. *Mail or Hand Delivery/Courier:* Sheila Quarterman, U.S. Department of Commerce, Bureau of Industry and Security, Regulatory Policy Division, 14th St. & Pennsylvania Avenue, NW., Room 2705, Washington, DC 20230, Attn: RIN 0694-AE11 (VEU). Send comments regarding the collection of information associated with this rule, including suggestions for reducing the burden, to David Rostker, Office of Management and Budget (OMB), by e-mail to *David_Rostker@omb.eop.gov* , or by fax to
(202)395-7285; and to the Regulatory Policy Division, Bureau of Industry and Security, Department of Commerce, P.O. Box 273, Washington, DC 20044. Comments on this collection of information should be submitted separately from comments on the final rule (i.e. RIN 0694-AE11 (VEU))—all comments on the latter should be submitted by one of the three methods outlined above. FOR FURTHER INFORMATION CONTACT: Michael Rithmire, Chairman, End-User Review Committee, Bureau of Industry and Security, Department of Commerce, P.O. Box 273, Washington, DC 20044; by telephone
(202)482-6105; or by e-mail to *mrithmir@bis.doc.gov.* SUPPLEMENTARY INFORMATION: Background Authorization Validated End-User (VEU): Initial List of Approved End-Users, Eligible Items and Destinations Consistent with U.S. Government policy to facilitate trade for civilian end-uses in the PRC, BIS amended the EAR in a final rule on June 19, 2007 (72 FR 33646) by creating a new authorization for “validated end-users”
(VEUs)located in eligible destinations to which eligible items (commodities, software and technology, except those controlled for missile technology or crime control reasons) may be exported, reexported or transferred without a license, in conformance with Section 748.15 of the EAR. As established in the June 19 rule, the PRC is the initial destination eligible for exports, reexports and transfers under Authorization VEU. Authorization VEU is a mechanism to facilitate increased high-technology exports to companies in the PRC that have a record of using such items responsibly. VEUs will be able to obtain eligible items that are on the Commerce Control List without having to wait for their suppliers to obtain export licenses from BIS. A wide range of items are eligible for Authorization VEU. In addition, Authorization VEU may be used by foreign reexporters, and does not have an expiration date. This final rule amends Supplement No. 7 to Part 748 of the EAR to identify five companies with 14 eligible facilities in the PRC as VEUs and to identify the items that may be exported, reexported, or transferred to them. The VEUs listed in Supplement No. 7 to Part 748 were reviewed and approved by the U.S. Government in accordance with the provisions of Section 748.15 and Supplement Nos. 8 and 9 to Part 748 of the EAR. Approving these five end-users as VEUs is expected to facilitate exports to civilian end-users in the PRC. After analyzing historical licensing data, BIS anticipates that approval of these five companies as VEUs should significantly reduce the value of trade that requires a license for export or reexport to the PRC. Approximately $54 million of items described as “eligible items” in this notice were licensed for export to these five end-users in 2006. This $54 million represents about 18% of all licensed exports to the PRC in 2006. Approval of these companies as VEUs also represents a significant savings of time for suppliers and end-users. Authorization VEU will eliminate the burden on exporters and reexporters of preparing license applications and on BIS for processing such applications, as exports and reexports will be made without licenses. This savings will enable exporters and reexporters to supply the VEUs much more quickly, thus enhancing the competitiveness of the exporters, reexporters, and end-users in the PRC. To ensure appropriate facilitation of exports and reexports, on-site reviews of the VEUs may be warranted pursuant to paragraph 748.15(a)(2) and Section 7(iv) of Supplement No. 8 to Part 748 of the EAR. If such reviews are warranted, BIS will inform the PRC Ministry of Commerce. Since August 21, 2001, the Export Administration Act has been in lapse and the President, through Executive Order 13222 of August 17, 2001 (3 CFR, 2001 Comp, p. 783 (2002)), as extended most recently by the Notice of August 15, 2007 (72 FR 46137, August 16, 2007), has continued the EAR in effect under the International Emergency Economic Powers Act. BIS continues to carry out the provisions of the Act, as appropriate and to the extent permitted by law, pursuant to Executive Order 13222. Rulemaking 1. This final rule has been determined to be not significant for purposes of Executive Order 12866. 2. Notwithstanding any other provision of law, no person is required to respond to nor be subject to a penalty for failure to comply with a collection of information, subject to the requirements of the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 *et seq.* ) (PRA), unless that collection of information displays a currently valid Office of Management and Budget
(OMB)Control Number. This regulation involves collections previously approved by the OMB under control number 0694-0088, “Multi-Purpose Application”, which carries a burden hour estimate of 58 minutes to prepare and submit form BIS-748; and for recordkeeping, reporting and review requirements in connection with Authorization Validated End-User, which carries an estimated burden of 30 minutes per submission. This rule is expected to result in a decrease in license applications submitted to BIS. Total burden hours associated with the Paperwork Reduction Act and Office and Management and Budget control number 0694-0088 are not expected to increase significantly as a result of this rule. 3. This rule does not contain policies with Federalism implications as that term is defined under Executive Order 13132. 4. The provisions of the Administrative Procedure Act requiring notice of proposed rulemaking, the opportunity for public participation, and a delay in effective date, are inapplicable because this regulation involves a military and foreign affairs function of the United States (5 U.S.C. 553(a)(1)). Further, no other law requires that a notice of proposed rulemaking and an opportunity for public comment be given for this final rule. Because a notice of proposed rulemaking and an opportunity for public comment are not required to be given for this rule under the Administrative Procedure Act or by any other law, the analytical requirements of the Regulatory Flexibility Act (5 U.S.C. 601 *et seq.* ) are not applicable. Therefore, this regulation is issued in final form. Although there is no formal comment period, public comments on this regulation are welcome on a continuing basis. Comments should be submitted to Sheila Quarterman, Regulatory Policy Division, Bureau of Industry and Security, Department of Commerce, P.O. Box 273, Washington, DC 20044. List of Subjects in 15 CFR Part 748 Administrative practice and procedure, Exports, Reporting and recordkeeping requirements. Accordingly, part 748 of the Export Administration Regulations (15 CFR Parts 730-799) is amended as follows: PART 748—[AMENDED] 1. The authority citation for 15 CFR Part 748 continues to read as follows: Authority: 50 U.S.C. app. 2401 et seq.; 50 U.S.C. 1701 et seq.; E.O. 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 Comp., p. 783; Notice of August 3, 2006, 71 FR 44551 (August 7, 2006); Notice of August 15, 2007, 72 FR 46137 (August 16, 2007). 2. Supplement No. 7 to Part 748 is added to read as follows: Supplement No. 7 to Part 748—Authorization Validated End-User (VEU): List of Validated End-Users, Respective Items Eligible for Export, Reexport and Transfer, and Eligible Destinations Validated End-User Eligible Items (By ECCN) Eligible Destination Applied Materials China, Ltd 2B230; 2B350.g.3; 3B001.b.1; 3B001.c.2; 3B001.e; 3B001.f.2; 3C001; 3C002 Applied Materials China, Ltd.—Shanghai Depot c/o Shanghai Applied Materials Technical Service Center, 368 Zhang Jiang Road, Pudong Zhangjiang Hi-Tech Park, Shanghai, China 201203. Applied Materials China, Ltd.—Beijing Depot c/o Beijing Applied Materials Technical Service Center, Bldg. 9, Area A, No. 1 North Di Sheng Street, BDA, Beijing, China 100176. Applied Materials China, Ltd.—Wuxi Depot c/o Sinotrans Jiangsu Group Fuchang Co., J5 A-B Wuxi Export Processing Zone 287 Gaolang Road, Wuxi New District, Wuxi Jiangsu China 214028. BHA Aerocomposite Parts Co., Ltd 1A002.a; 1B001.f; 1C010.b; 1C010.e; 1D001 (limited to “software” specially designed or modified for the “development”, “production” or “use” of equipment controlled by 1B001.f); 1E001 (limited to “technology” according to the General Technology Note for the “development” or “production” of items controlled by 1A002.a, 1B001.f, 1C010.b & .e, and 2B001.a); 2B001.e.1.a; 2D001 (limited to “software,” other than that controlled by 2D002, specially designed or modified for the “development”, “production” or “use” of equipment controlled by 2B001.e.1.a); 2D002 (limited to “software” for electronic devices, even when residing in an electronic device or system, enabling such devices or systems to function as a “numerical control” unit, capable of coordinating simultaneously more than 4 axes for “contouring control” controlled by 2B001.e.1.a) BHA Aerocomposite Parts Co., Ltd., No. 4-388 Heibei Road, Tanggu Tianjin, China. National Semiconductor Corporation 3A001.a.5.a.1; 3A001.a.5.a.2; 3A001.a.5.a.3; 3A001.a.5.a.4 National Semiconductor Hong Kong Limited, Beijing Representative Office, Room 604, CN Resources Building, No. 8 Jianggumenbei A, Beijing, China 100005. National Semiconductor Hong Kong Limited, Shanghai Representative Office, Room 903-905 Central Plaza, No. 227 Huangpi Road, North Shanghai, China 200003. National Semiconductor Hong Kong Limited, Shenzhen Representative Office, Room 1709 Di Wang Commercial Centre, Shung Hing Square, 5002 Shenna Road East, Shenzhen, China 518008. Semiconductor Manufacturing International Corporation 1C350.c.3; 1C350.d.7; 2B006.b.1; 2B230; 2B350.d.2; 2B350.g.3; 2B350.i.4; 3B001.a; 3B001.b; 3B001.c; 3B001.d; 3B001.e; 3B001.f; 3C001; 3C002; 3C004; 5B002; 5E002 (limited to “technology” according to the General Technology Note for the “production” of integrated circuits controlled by ECCN 5A002 that has been successfully reviewed under the encryption review process specified in §§ 740.17.b.2 or 740.17.b.3 and 742.15 of the EAR) Semiconductor Manufacturing International (Shanghai) Corporation, 18 Zhang Jiang Rd., Pudong New Area, Shanghai, China 201203. Semiconductor Manufacturing International (T ianjin) Corporation, 19 Xing Hua Avenue, Xi Qing Economic Development Area, Tianjin, China 300385. Semiconductor Manufacturing International (Beijing) Corporation, No. 18 Wen Chang Road, Beijing Economic-Technological Development Area, Beijing, China 100176. Semiconductor Manufacturing International (Chengdu) Corporation, Assembly and Testing
(AT2)Facility, 8-8 Kexin Road, Export Processing Zone (West Area), Chengdu, China 611731. Cension Semiconductor Manufacturing Corporation, 3/F, 8-1 Kexin Road, Export Processing Zone (West Area), Chengdu, China 611731. Shanghai Hua Hong NEC Electronics Company, Ltd 1C350.c.3; 1C350.d.7; 2B230; 2B350.d.2 2B350.g.3 2B350.i.4; 3B001.c.2; 3C002; 3C004 Headquarters and Fab. 1 of HHNEC, No. 1188 Chuan Qiao Rd., Pu Dong, Shanghai, China 201206. Fab. 2 of HHNEC, No. 668 Guo Shou Jing Rd., Zhang Jiang High Tech Park, Pu Dong, Shanghai, China 201203. Dated: October 16, 2007. Christopher A. Padilla, Assistant Secretary for Export Administration. [FR Doc. E7-20642 Filed 10-18-07; 8:45 am] BILLING CODE 3510-33-P DEPARTMENT OF HOMELAND SECURITY U.S. Customs and Border Protection 19 CFR Chapter I [CBP Dec. 07-82] Technical Corrections Regarding the Organizational Structure of U.S. Customs and Border Protection AGENCY: U.S. Customs and Border Protection, Department of Homeland Security. ACTION: Final rule. SUMMARY: This document amends the U.S. Customs and Border Protection
(CBP)regulations to reflect changes in the organizational structure of CBP resulting from the establishment of the new Office of International Trade, as well as the nomenclature changes effected by the transfer in 2003 of CBP to the Department of Homeland Security and the subsequent renaming of the U.S. Customs Service as CBP. DATES: October 19, 2007. FOR FURTHER INFORMATION CONTACT: Jacinto P. Juarez, Jr., Regulations and Rulings, Office of International Trade,
(202)572-8752, or Michelle Garcia, Regulations and Rulings, Office of International Trade,
(202)572-8745. SUPPLEMENTARY INFORMATION: Background On November 25, 2002, the President signed the Homeland Security Act of 2002, 6 U.S.C. 101 *et seq.* , Public Law 107-296, (the “HSA”), establishing the Department of Homeland Security (“DHS”). Pursuant to section 403(1) of the HSA (6 U.S.C. 203(1)), the United States Customs Service was transferred from the Department of the Treasury to DHS effective March 1, 2003. Under section 1502 of the HSA, the Customs Service was renamed as the “Bureau of Customs and Border Protection”. Subsequently, on April 23, 2007, a notice was published in the **Federal Register** (72 FR 20131) informing the public that DHS had changed the name of the Bureau of Customs and Border Protection to “U.S. Customs and Border Protection” effective March 31, 2007. The HSA reserved customs revenue functions to the Department of the Treasury. Treasury Department Order No. 100-16 delegated general authority vested in the Secretary of the Treasury over customs revenue functions (with certain specified exceptions) to the Secretary of Homeland Security. Section 402 of Title IV of the Security and Accountability for Every Port Act of 2006 (“SAFE Port Act”), Public Law 109-347, established a new Office of International Trade
(OT)to be headed by an Assistant Commissioner within U.S. Customs and Border Protection (CBP). Section 402(d)(2)(A) and
(B)of the SAFE Port Act specifically authorized the Commissioner of CBP to transfer the assets, functions, and personnel of the Office of Strategic Trade
(OST)and the Office of Regulations and Rulings
(ORR)to OT. Pursuant to his authority under section 402(d)(2)(C), the Commissioner authorized the transfer of certain assets, functions, or personnel within the Office of Field Operations
(OFO)to the OT. Prior to the establishment of OT on October 15, 2006, the functions of trade policy and program development were split among three offices within CBP: the Office of Strategic Trade, the Office of Regulations and Rulings, and the Office of Field Operations. The OT consolidates the trade policy, program development, and compliance measurement functions of CBP into one office without creating dual reporting mechanisms or overlapping and redundant management structures. The OT includes all functions and staff from the former Office of Strategic Trade
(OST)and the former Office of Regulations and Rulings (ORR), as well as designated national program managers and specialists, national analysis specialists from OFO Headquarters and the national account managers currently stationed at ports of entry. The OT is responsible for the following functions:
(1)Providing national strategic direction to facilitate legitimate trade while protecting the American economy from unfair trade practices.
(2)Directing national enforcement responses through effective targeting of goods crossing the border as well as strict, swift punitive actions against companies participating in predatory trade practices.
(3)Coordinating with international partners to ensure effective enforcement of textile admissibility issues as well as the enforcement of free trade agreement eligibility.
(4)Cooperating with other U.S. agencies and like-minded foreign governments to achieve effective enforcement of intellectual property rights.
(5)Maintaining effective internal controls over the revenue process.
(6)Coordinating with other government agencies and international partners to identify risks to detect and prevent contaminated agricultural or food products from harming the American public or the nation's economy.
(7)Promoting trade facilitation and partnership with the importing community and trade associations by streamlining the flow of legitimate shipments and fostering corporate self-governance as a means of achieving compliance with trade laws and regulations.
(8)Managing a risk-based audit program to respond to allegations of commercial fraud and to conduct corporate reviews of internal controls to ensure importers comply with trade laws and regulations.
(9)Providing legal tools to promote facilitation and compliance with customs, trade and border security requirements through: the issuance of all CBP regulations, legally binding rulings and decisions, informed compliance publications and structured programs for external CBP training and outreach on international trade laws and CBP regulations. This document sets forth amendments to the CBP regulations (19 CFR chapter I) to reflect the new CBP organizational structure resulting from the creation of the Office of International Trade, as well as the transfer of the former U.S. Customs Service to DHS and the subsequent renaming of the Customs Service to CBP. The amendments set forth in this document include the removal of certain provisions within part 171 of the CBP regulations (specifically, paragraphs
(b)and
(c)of § 171.62 and § 171.63) relating principally to the role of the Department of the Treasury in the consideration of supplemental petitions for relief from fines, penalties, and forfeitures. These provisions are no longer necessary or appropriate due to the transfer of CBP to DHS, the delegation of authority over certain customs revenue functions from the Department of the Treasury to the DHS, and the delegation of certain authorities from DHS to CBP as set forth in Delegation Number 7010.3 dated May 11, 2006. The CBP regulations contain a significant number of references to offices that either no longer exist or have a different functional context. The changes set forth in this document to correct these references are non-substantive and relate to internal agency organization matters. Inapplicability of Notice and Delayed Effective Date Because the technical corrections set forth in this document merely conform to the Homeland Security Act of 2002 and section 402 of the SAFE Port Act, CBP finds that good cause exists for dispensing with notice and public procedure as unnecessary under 5 U.S.C. 553(b)(B). In addition, these amendments concern matters relating to agency organization and personnel which are not subject to prior notice and comment procedures pursuant to 5 U.S.C. 553(a)(2) and (b)(A). For these same reasons, pursuant to 5 U.S.C. 553(d)(3), CBP finds that good cause exists for dispensing with the requirement for a delayed effective date. Regulatory Flexibility Act Because this document is not subject to the notice and public procedure requirements of 5 U.S.C. 553, it is not subject to the provisions of the Regulatory Flexibility Act (5 U.S.C. 601 *et seq.* ) Executive Order 12866 These amendments do not meet the criteria for a “significant regulatory action” as specified in E.O. 12866. Signing Authority This document is limited to technical corrections of CBP regulations. Accordingly, it is being signed under the authority of 19 CFR 0.1(b)(1). List of Subjects in 19 CFR Part 171 Administrative practice and procedure, Customs duties and inspection, Law enforcement, Penalties, Seizures and forfeitures. Amendments to CBP Regulations For the reasons given above and under the authority of 19 U.S.C. 66 and 1624, chapter I of the CBP Regulations (19 CFR chapter I) is amended as follows: CHAPTER I—[AMENDED] 1. For each section indicated in the “Section” column, remove the words indicated in the “Remove” column from wherever they appear in the section, and add, in their place, the words indicated in the “Add” column. Section Remove Add 1. 4.14(c) Entry Procedures and Carriers Branch Cargo Security, Carriers & Immigration Branch, Office of International Trade 2. 4.14(c) Customs Form 301 CBP Form 301 3. 4.14(c) Customs Headquarters CBP Headquarters 4. 4.14(c) Customs CBP 5. 4.14(f) Entry Procedures and Carriers Branch Cargo Security, Carriers & Immigration Branch, Office of International Trade 6. 4.14(f) Customs Headquarters CBP Headquarters 7. 4.14(f) Customs Office of Investigations U.S. Immigration and Customs Enforcement 8. 4.14(f) Customs CBP 9. 4.14(i)(1) Customs CBP 10. 4.14(i)(1) Entry Procedures and Carriers Branch Cargo Security, Carriers & Immigration Branch, Office of International Trade 11. 4.14(i)(1) Customs Headquarters CBP Headquarters 12. 4.80a(d) U.S. Customs Service U.S. Customs and Border Protection 13. 4.80a(d) Entry Procedures and Carriers Branch Cargo Security, Carriers & Immigration Branch, Office of International Trade 14. 4.80a(d) Customs Regulations CBP Regulations 15. 4.80b(b) United States Customs Service U.S. Customs and Border Protection 16. 4.80b(b) Entry Procedures and Carriers Branch Cargo Security, Carriers & Immigration Branch, Office of International Trade 17. 10.37 Customs territory customs territory 18. 10.37 Customs Form CBP Form 19. 10.37 Commercial Rulings Division, Customs Headquarters Commercial and Trade Facilitation Division, Office of International Trade, CBP Headquarters 20. 10.37 International Trade Compliance Division, Customs Headquarters Border Security and Trade Compliance Division, Office of International Trade, CBP Headquarters 21. 10.236(b)—introductory text Customs CBP 22. 10.236(b)(1) Customs Form 450 CBP Form 450 23. 10.236(b)(1) Office of Field Operations, U.S. Customs Service Office of International Trade, U.S. Customs and Border Protection 24. 10.256(b)(1) Customs Form 449 CBP Form 449 25. 10.256(b)(1) Office of Field Operations, U.S. Customs Service Office of International Trade, U.S. Customs and Border Protection 26. 10.311(a) U.S. Customs Service, Regulatory Audit Division U.S. Customs and Border Protection, Office of International Trade, Regulatory Audit 27. 10.311(a) Customs Form 355 CBP Form 355 28. 10.311(b) Regulatory Audit Division Office of International Trade, Regulatory Audit 29. 10.311(b) Customs Form 356 CBP Form 356 30. 10.311(b) U.S. Customs Service, Regulatory Audit Division U.S. Customs and Border Protection, Office of International Trade, Regulatory Audit 31. 10.311(c) U.S. Customs Service, Regulatory Audit Division U.S. Customs and Border Protection, Office of International Trade, Regulatory Audit 32. 10.311(c) Customs Form 357 CBP Form 357 33. 12.39(b)(4) Commercial Enforcement, Trade Compliance Division, at Customs Headquarters Executive Director, Commercial Targeting and Enforcement, Office of International Trade, at CBP Headquarters 34. 12.39(e)(1) Customs CBP 35. 12.39(e)(1) International Trade Compliance Division, U.S. Customs Service Border Security and Trade Compliance Division, Office of International Trade, U.S. Customs and Border Protection 36. 19.4—heading Customs and proprietor responsibility and supervision over warehouses CBP and proprietor responsibility and supervision over warehouses 37. 19.4(b)(8)(iii) Customs approval CBP approval 38. 19.4(b)(8)(iii) Customs Headquarters, Office of Regulations and Rulings CBP Headquarters, Regulations and Rulings, Office of International Trade 39. 111.1 Office of Field Operations, United States Customs Service Office of International Trade, U.S. Customs and Border Protection 40. 111.1 prepared and filed with Customs using prepared and filed with CBP using 41. 111.1 activities involving transactions with Customs activities involving transactions with CBP 42. 111.1 charges assessed or collected by Customs charges assessed or collected by CBP 43. 111.1 documents intended to be filed with Customs documents intended to be filed with CBP 44. 111.1 data received for transmission to Customs data received for transmission to CBP 45. 111.1 factors which Customs will consider include factors which CBP will consider include 46. 111.1 maintenance of current editions of the Customs Regulations maintenance of current editions of CBP Regulations 47. 111.1 Custom issuances CBP issuances 48. 111.1 Treasury Department Department of Homeland Security 49. 111.1 U.S. Department of the Treasury U.S. Department of Homeland Security 50. 111.5(a) Treasury Department Department of Homeland Security 51. 111.5(b) Treasury Department Department of Homeland Security 52. 111.13(f) Trade Programs, Office of Field Operations, U.S. Customs Service Trade Policy and Programs, Office of International Trade, U.S. Customs and Border Protection 53. 111.13(f) Customs CBP 54. 111.13(f) Secretary of the Treasury Secretary of Homeland Security, or his designee, 55. 111.17(b) Secretary of the Treasury Secretary of Homeland Security, or his designee, 56. 111.17(c) Secretary of the Treasury Secretary of Homeland Security, or his designee, 57. 111.19(d)(2) Customs CBP 58. 111.19(d)(2) Office of Field Operations Office of International Trade 59. 111.19(d)(2) Office of Field Operations, Customs Headquarters Office of International Trade, CBP Headquarters 60. 111.19(e) Office of Field Operations, Customs Headquarters Office of International Trade, CBP Headquarters 61. 111.19(f)—introductory text Office of Field Operations, U.S. Customs Service Office of International Trade, U.S. Customs and Border Protection 62. 111.23(b)(2)—introductory text Director, Regulatory Audit Division, U.S. Customs Service, 909 SE. First Avenue, Miami, Florida 33131 Office of International Trade, Regulatory Audit, 2001 Cross Beam Dr., Charlotte, North Carolina 28217 63. 111.23(b)(2)(iii) Director, Regulatory Audit Division, in Miami Office of International Trade, Regulatory Audit, in Charlotte 64. 111.24 Regulatory Audit Division Office of International Trade, Regulatory Audit 65. 111.25 Customs CBP 66. 111.26 Treasury Department Department of Homeland Security 67. 111.27 Regulatory Audit Division Regulatory Audit 68. 111.29(b)(1) Customs charges customs charges 69. 111.29(b)(1) Customs CBP 70. 111.29(b)(1) U.S. Customs Service U.S. Customs and Border Protection 71. 111.30(c) Office of Field Operations, U.S. Customs Service Office of International Trade, U.S. Customs and Border Protection 72. 111.31(a) Treasury Department Department of Homeland Security 73. 111.31(b) Treasury Department Department of Homeland Security 74. 111.32 Treasury Department Department of Homeland Security 75. 111.34—heading Undue influence upon Treasury Department employees Undue influence upon Department of Homeland Security employees 76. 111.34 Treasury Department Department of Homeland Security 77. 111.38 Treasury Department Department of Homeland Security 78. 111.51(a) Secretary of the Treasury Secretary of Homeland Security, or his designee, 79. 111.66 Secretary of the Treasury Secretary of Homeland Security, or his designee, 80. 111.69 Secretary of the Treasury Secretary of Homeland Security, or his designee, 81. 111.70 Secretary of the Treasury Secretary of Homeland Security, or his designee, 82. 111.71 Secretary of the Treasury Secretary of Homeland Security, or his designee, 83. 111.72 Secretary of the Treasury Secretary of Homeland Security, or his designee, 84. 111.74 Secretary of the Treasury Secretary of Homeland Security, or his designee, 85. 111.75 Secretary of the Treasury Secretary of Homeland Security, or his designee, 86. 111.76(b) Secretary of the Treasury Secretary of Homeland Security, or his designee, 87. 111.77 Secretary of the Treasury Secretary of Homeland Security, or his designee, 88. 111.81 Secretary of the Treasury Secretary of Homeland Security, or his designee, 89. 113.14 International Trade Compliance Division Border Security and Trade Compliance Division, Regulations and Rulings, Office of International Trade 90. 113.15 International Trade Compliance Division Border Security and Trade Compliance Division 91. 113.38(c)(1) International Trade Compliance Division, Customs Headquarters Border Security and Trade Compliance Division, CBP Headquarters 92. 113.38(c)(4) International Trade Compliance Division, Customs Headquarters Border Security and Trade Compliance Division, CBP Headquarters 93. 113.38(c)(4) Customs officer CBP officer 94. 113.38(c)(4)—(except for last sentence) Customs CBP 95. 113.39(a)—introductory text International Trade Compliance Division Border Security and Trade Compliance Division 96. 113.39(b) International Trade Compliance Division Border Security and Trade Compliance Division 97. 133.0 United States Customs Service U.S. Customs and Border Protection 98. 133.1(a) U.S. Customs Service U.S. Customs and Border Protection 99. 133.2—introductory text Intellectual Property Rights Branch, U.S. Customs Service Intellectual Property Rights
(IPR)& Restricted Merchandise Branch, U.S. Customs and Border Protection 100. 133.2(e)—introductory text Customs CBP 101. 133.2(f) Customs will publish CBP will publish 102. 133.2(f) Customs will examine CBP will examine 103. 133.2(f) until Customs has made until CBP has made 104. 133.2(f) Customs will publish CBP will publish 105. 133.4(a) United States Customs Service U.S. Customs and Border Protection 106. 133.4(a) Customs officers U.S. Customs and Border Protection Officers 107. 133.4(c) United States Customs Service U.S. Customs and Border Protection 108. 133.6—introductory text Intellectual Property Rights Branch IPR & Restricted Merchandise Branch, CBP Headquarters 109. 133.6(b) United States Customs Service U.S. Customs and Border Protection 110. 133.7(a)—introductory text Customs CBP 111. 133.7(a)—introductory text Intellectual Property Rights Branch IPR & Restricted Merchandise Branch 112. 133.7(a)(3) United States Customs Service U.S. Customs and Border Protection 113. 133.7(b) Intellectual Property Rights Branch IPR & Restricted Merchandise Branch 114. 133.12—introductory text Intellectual Property Rights Branch, U.S. Customs Service IPR & Restricted Merchandise Branch 115. 133.13(b) United States Customs Service U.S. Customs and Border Protection 116. 133.15—heading Term of Customs trade name recordation Term of CBP trade name recordation 117. 133.15 Intellectual Property Rights Branch IPR & Restricted Merchandise Branch 118. 133.26 Customs custody CBP custody 119. 133.26 Customs Form CBP Form 120. 133.32—introductory text Customs protection customs protection 121. 133.32—introductory text Intellectual Property Rights Branch, U.S. Customs Service IPR & Restricted Merchandise Branch, U.S. Customs and Border Protection 122. 133.35(a) United States Customs Service CBP 123. 133.35(a) Intellectual Property Rights Branch IPR & Restricted Merchandise Branch 124. 133.35(b)(2) United States Customs Service U.S. Customs and Border Protection 125. 133.36—introductory text Intellectual Property Rights Branch IPR & Restricted Merchandise Branch 126. 133.36(b) United States Customs Service CBP 127. 133.36(b) made payable to the United States Customs Service made payable to U.S. Customs and Border Protection 128. 133.37(b) Intellectual Property Rights Branch IPR & Restricted Merchandise Branch 129. 133.37(c)(3) United States Customs Service U.S. Customs and Border Protection 130. 133.43(d)(1)(ii) Customs Headquarters CBP Headquarters 131. 133.43(d)(1)(ii) International Trade Compliance Division, Office of Regulations and Rulings Border Security and Trade Compliance Division, Regulations and Rulings, Office of International Trade 132. 142.3a Customs CBP 133. 142.3a(d) port director Assistant Commissioner, Office of International Trade, or his designee 134. 142.3a(e) port director Assistant Commissioner, Office of International Trade, or his designee 135. 143.7(a) Director, Trade Compliance Executive Director, Trade Policy and Programs, Office of International Trade 136. 143.8 Director, Trade Compliance Executive Director, Trade Policy and Programs, Office of International Trade 137. 143.8 Customs officer CBP officer 138. 146.81(b) Director, International Trade Compliance Division Assistant Commissioner, Office of International Trade, or his designee 139. 146.83(a) Director, International Trade Compliance Division Executive Director, Regulations and Rulings, Office of International Trade 140. 146.83(a) Customs CBP 141. 151.12—introductory text Customs CBP 142. 151.12(a) Office of Field Operations, U.S. Customs Service Office of Information and Technology, or his designee, U.S. Customs and Border Protection 143. 151.12(a) Customs CBP 144. 151.12(a) U.S. Customs Laboratory Methods Manual Customs and Border Protection Laboratory
(CBPL)Methods 145. 151.12(a) U.S. Customs Service U.S. Customs and Border Protection 146. 151.12(a) Customs Internet Web site: *http://www.customs.gov.* CBP Web site: www.cbp.gov. 147. 159.63(a) Customs CBP 148. 159.63(a) Office of Regulations and Rulings Office of Finance 149. 162.74(c) Customs Headquarters, Office of Regulations and Rulings Office of International Trade 150. 162.74(c) Customs CBP 151. 162.74(c) Customs Headquarters CBP Headquarters 152. 163.5(b)(1) Director, Regulatory Audit Division, U.S. Customs Service, 909 SE. First Avenue, Miami, Florida 33131 Regulatory Audit, U.S. Customs and Border Protection, 2001 Cross Beam Dr., Charlotte, North Carolina 28217 153. 163.5(b)(1) Director of the Miami regulatory audit field office Director of Regulatory Audit, Charlotte office 154. 163.5(b)(1) Customs CBP 155. 163.11(a)(5) Director, Regulatory Audit Division at Customs Headquarters Executive Director, Regulatory Audit, Office of International Trade, at CBP Headquarters 156. 163.11(b) Customs CBP 157. 163.11(b) Director, Regulatory Audit Division, U.S. Customs Service, Washington, DC 20229 Executive Director, Regulatory Audit, Office of International Trade, U.S. Customs and Border Protection, Washington, DC 20229 158. 163.12(b)(2) Director, Regulatory Audit Division, U.S. Customs Service, 909 SE. First Avenue, Miami, Florida 33131 Regulatory Audit, U.S. Customs and Border Protection, 2001 Cross Beam Dr., Charlotte, North Carolina 28217 159. 163.12(b)(2) Regulatory Audit Division, Office of Strategic Trade, U.S. Customs Service, 909 SE. First Avenue, Miami, Florida 33131 Executive Director, Regulatory Audit, Office of International Trade, U.S. Customs and Border Protection, 1300 Pennsylvania Ave., NW., Washington, DC 20229 160. 163.12(c)(1) Miami regulatory audit field office Charlotte regulatory audit field office 161. 163.12(c)(1) Customs CBP 162. 163.13(d)(1) Director, Regulatory Audit Division, U.S. Customs Service, Washington, DC 20229 Executive Director, Regulatory Audit, Office of International Trade, U.S. Customs and Border Protection, Washington, DC 20229 163. 163.13(d)(1) Director, Regulatory Audit Division Executive Director, Regulatory Audit 164. 163.13(d)(2) Customs CBP 165. 163.13(d)(2) Director, Regulatory Audit Division, U.S. Customs Service, Washington, DC 20229 Executive Director, Regulatory Audit, U.S. Customs and Border Protection, Office of International Trade, Washington, DC 20229 166. 163.13(d)(2) Director, Regulatory Audit Division Executive Director, Regulatory Audit 167. 171.12—heading Petitions acted on at Customs Headquarters Petitions acted on at CBP Headquarters 168. 171.12 Office of Regulations and Rulings, Customs Headquarters Regulations and Rulings, Office of International Trade, CBP Headquarters 169. 171.14 Director, International Trade Compliance Division, Office of Regulations and Rulings, Customs Headquarters Director, Border Security and Trade Compliance Division, Regulations and Rulings, Office of International Trade, CBP Headquarters, or his designee 170. 171.14 Customs CBP 171. 171.62(a) Office of Regulations and Rulings Border Security and Trade Compliance Division, Regulations and Rulings, Office of International Trade 172. 171.62(b)—heading Decisions of Customs Headquarters Decisions of CBP Headquarters 173. 171.62(b) Office of Regulations and Rulings, Customs Headquarters Regulations and Rulings, Office of International Trade, CBP Headquarters 174. 171.62(b) International Trade Compliance Division, Customs Headquarters Border Security and Trade Compliance Division, CBP Headquarters 175. Part 171, App. C, XIII Brokers Compliance Branch, Office of Trade Compliance Trade Policy and Programs, Office of International Trade 176. 172.14 International Trade Compliance Division, Office of Regulations and Rulings, Customs Headquarters Border Security and Trade Compliance Division, Regulations and Rulings, Office of International Trade, CBP Headquarters 177. 172.14 Customs CBP 178. 172.42(b)—heading Decisions of Customs Headquarters Decisions of CBP Headquarters 179. 172.42(b) Office of Regulations and Rulings, Customs Headquarters Regulations and Rulings, Office of International Trade, CBP Headquarters 180. 172.42(b) International Trade Compliance Division Border Security and Trade Compliance Division, Regulations and Rulings 181. 172.42(c)—heading Authority of Assistant Commissioner Authority of Executive Director 182. 172.42(c) Assistant Commissioner, Office of Regulations and Rulings, or his designee Executive Director, Regulations and Rulings, Office of International Trade, or his designee 183. 177.0 United States Customs Service CBP 184. 177.0 any Customs Service field office any CBP field office 185. 177.0 Customs Headquarters Office other than the Office of Regulations and Rulings CBP Headquarters Office other than Regulations and Rulings, Office of International Trade 186. 177.1(d)(6) Office of Regulations and Rulings Regulations and Rulings, Office of International Trade 187. 177.1(d)(6) United States Customs Service U.S. Customs and Border Protection 188. 177.2(a) Commissioner of Customs Commissioner of Customs and Border Protection 189. 177.2(a) Office of Regulations and Rulings Regulations and Rulings, Office of International Trade 190. 177.2(a) National Commodity Specialist Division, U.S. Customs National Commodity Specialist Division, Regulations and Rulings, Office of International Trade, U.S. Customs and Border Protection, New York, New York, 10119 191. 177.2(a) Customs Service Customs and Border Protection 192. 177.2(b)(2)(i) relevant Customs and related laws relevant customs and related laws 193. 177.2(b)(2)(ii)(C) Commercial Rulings Division, U.S. Customs Service Commercial and Trade Facilitation Division, Regulations and Rulings, Office of International Trade, U.S. Customs and Border Protection 194. 177.9(c) Customs CBP 195. 177.9(c) Commissioner of Customs Commissioner of Customs and Border Protection 196. 177.9(c) Office of Regulations and Rulings Regulations and Rulings, Office of International Trade 197. 177.13(b)(1) Office of Regulations and Rulings, U.S. Customs Service Regulations and Rulings, Office of International Trade, U.S. Customs and Border Protection 198. 177.22(b)—introductory text Commercial Rulings Division Commercial and Trade Facilitation Division, Regulations and Rulings 199. 177.22(b)—introductory text U.S. Customs Service U.S. Customs and Border Protection 200. 177.22(b)—introductory text Customs CBP 201. 177.22(b)(3) Customs CBP 202. 177.22(c) Assistant Commissioner, Office of Regulations and Rulings Executive Director, Regulations and Rulings, Office of International Trade 203. 177.22(c) U.S. Customs Service U.S. Customs and Border Protection 204. 177.26 Director, Office of Regulations and Rulings Executive Director, Regulations and Rulings, Office of International Trade 205. 177.26 U.S. Customs Service U.S. Customs and Border Protection 206. 181.22(b)(1) Customs CBP 207. 181.92(a)(3) Office of Regulations and Rulings Regulations and Rulings, Office of International Trade 208. 181.92(a)(3) United States Customs Service U. S. Customs and Border Protection 209. 181.92(a)(6) National Commodity Specialist Division, United States Customs Service National Commodity Specialist Division, U.S. Customs and Border Protection 210. 181.93(a) Commissioner of Customs Commissioner of Customs and Border Protection 211. 181.93(a) Office of Regulations and Rulings Regulations and Rulings, Office of International Trade 212. 181.93(a) United States Customs Service, 6 World Trade Center, New York, NY 10048 U. S. Customs and Border Protection, One Penn Plaza, 10th Floor, New York, NY 10119 213. 181.100(a)(3) Commissioner of Customs Commissioner of Customs and Border Protection 214. 181.100(a)(3) Office of Regulations and Rulings Regulations and Rulings, Office of International Trade 215. 181.102(a)(1)—introductory text Customs Headquarters CBP Headquarters 216. 181.102(a)(1)—introductory text Assistant Commissioner, Office of Regulations and Rulings, U.S. Customs Service Executive Director, Regulations and Rulings, Office of International Trade, U.S. Customs and Border Protection 217. 191.7(c)—heading Review and action by Customs Review and action by CBP 218. 191.7(c)(3) Customs Headquarters CBP Headquarters 219. 191.7(c)(3) Duty and Refund Determination Branch, Office of Regulations and Rulings Entry Process and Duty Refunds Branch, Regulations and Rulings, Office of International Trade 220. 191.8(d) Customs Headquarters CBP Headquarters 221. 191.8(d) Duty and Refund Determination Branch, Office of Regulations and Rulings Entry Process and Duty Refunds Branch, Regulations and Rulings, Office of International Trade 222. 191.8(e)—heading Review and action by Customs Review and action by CBP 223. 191.8(e)—introductory text Customs Headquarters CBP Headquarters 224. 191.8(e)(2) Customs Headquarters CBP Headquarters 225. 191.8(e)(2) Commercial Rulings Division Entry Process and Duty Refunds Branch, Regulations and Rulings, Office of International Trade 226. 191.8(g)(1) Customs Headquarters CBP Headquarters 227. 191.8(g)(1) Duty and Refund Determination Branch, Office of Regulations and Rulings Entry Process and Duty Refunds Branch, Regulations and Rulings, Office of International Trade 228. 191.8(g)(2)(ii) Customs Headquarters CBP Headquarters 229. 191.8(g)(2)(ii) Duty and Refund Determination Branch, Office of Regulations and Rulings Entry Process and Duty Refunds Branch, Regulations and Rulings, Office of International Trade 230. 191.11(c) Duty and Refund Determination Branch, Office of Regulations and Rulings, Customs Headquarters Entry Process and Duty Refunds Branch, Regulations and Rulings, Office of International Trade, CBP Headquarters 231. 191.32(c)(1) Duty and Refund Determination Branch, Office of Regulations and Rulings Entry Process and Duty Refunds Branch, Regulations and Rulings, Office of International Trade 232. 191.36(d) Customs CBP 233. 191.36(d) Customs Headquarters, Office of Field Operations, Office of Trade Operations CBP Headquarters, Office of International Trade, Trade Policy and Programs 234. 191.36(d) Customs Headquarters CBP Headquarters 235. 191.61(d)(1) Customs Headquarters CBP Headquarters 236. 191.61(d)(1) Duty and Refund Determination Branch, Office of Regulations and Rulings Entry Process and Duty Refunds Branch, Regulations and Rulings, Office of International Trade 237. 191.61(d)(2) Customs Headquarters CBP Headquarters 238. 191.61(d)(2) Duty and Refund Determination Branch, Office of Regulations and Rulings Entry Process and Duty Refunds Branch, Regulations and Rulings, Office of International Trade 239. 191.61(d)(3)—heading Customs Headquarters CBP Headquarters 240. 191.61(d)(3) Customs Headquarters CBP Headquarters 241. 191.91(g) Customs Headquarters, Office of Field Operations, Office of Trade Operations CBP Headquarters, Office of International Trade, Trade Policy and Programs 242. 191.91(g) Customs Headquarters CBP Headquarters 243. 191.92(h) Customs Headquarters, Office of Field Operations, Office of Trade Operations CBP Headquarters, Office of International Trade, Trade Policy and Programs 244. 191.92(h) Customs Headquarters CBP Headquarters 245. 191.156(d) Office of Field Operations, Customs Headquarters Office of International Trade, CBP Headquarters 246. 191.194(a)(1) Customs Headquarters CBP Headquarters 247. 191.194(a)(1) Customs processing CBP processing 248. 191.194(a)(2)—introductory text Customs review CBP review 249. 191.194(a)(2)—introductory text Customs CBP 250. 191.194(a)(2)(i) Customs charges customs charges 251. 191.194(a)(2)(i) Customs CBP 252. 191.194(c) Customs CBP 253. 191.194(d) Customs CBP 254. 191.194(e)(1)(ii) Customs laws and regulations customs laws and CBP regulations 255. 191.194(e)(2) Customs CBP 256. 191.194(f)(1) Customs Headquarters, Office of Field Operations, Office of Trade Programs CBP Headquarters, Trade Policy and Programs, Office of International Trade 257. 191.194(f)(1) Customs Headquarters CBP Headquarters 258. 191.194(f)(2) Customs Headquarters, Office of Field Operations, Office of Trade Programs CBP Headquarters, Trade Policy and Programs, Office of International Trade 259. 191.194(f)(2) Customs CBP 260. Part 191, App. A, II, K Customs Regulations CBP Regulations 261. Part 191, App. A, II, M, 6 Customs Regulations CBP Regulations 262. Part 191, App. A, III, D, 6 Customs Regulations CBP Regulations 263. Part 191, App. A, IV, I Customs Regulations CBP Regulations 264. Part 191, App. A, IV, K, 6 Customs Regulations CBP Regulations 265. Part 191, App. A, V, I Customs Regulations CBP Regulations 266. Part 191, App. A, V, K, 6 Customs Regulations CBP Regulations 267. Part 191, App. A, VI, I Customs Regulations CBP Regulations 268. Part 191, App. A, VI, K, 6 Customs Regulations CBP Regulations 269. Part 191, App. A, VII, I Customs Regulations CBP Regulations 270. Part 191, App. A, VII, K, 6 Customs Regulations CBP Regulations 271. Part 191, App. A, VIII, H Customs Regulations CBP Regulations 272. Part 191, App. A, VIII, J, 6 Customs Regulations CBP Regulations 273. Part 191, App. A, IX, M, 6 Customs Regulations CBP Regulations 274. Part 191, App. A, X, J Customs Regulations CBP Regulations 275. Part 191, App. A, X, L, 6 Customs Regulations CBP Regulations 276. Part 191, App. A, XI, Y, 6 Customs Regulations CBP Regulations 277. Part 191, App. A, XII, J Customs Regulations CBP Regulations 278. Part 191, App. A, XII, L, 6 Customs Regulations CBP Regulations 279. Part 191, App. A, XIII, J Customs Regulations CBP Regulations 280. Part 191, App. A, XIII, L, 6 Customs Regulations CBP Regulations 281. Part 191, App. A, XIV, I Customs Regulations CBP Regulations 282. Part 191, App. A, XIV, K, 6 Customs Regulations CBP Regulations 283. Part 191, App. B, I Customs Headquarters CBP Headquarters 284. Part 191, App. B, I Customs issues CBP issues 285. Part 191, App. B, II COMPANY LETTERHEAD (Optional) U.S. Customs Service, Duty and Refund Determination Branch U.S. Customs and Border Protection, Entry Process and Duty Refunds, Regulations and Rulings, Office of International Trade 286. Part 191, App. B, II COMPANY LETTERHEAD (Optional) Customs Regulations CBP Regulations 287. Part 191, App. B, II NAME AND ADDRESS AND IRS NUMBER (WITH SUFFIX) OF APPLICANT Customs Regulations CBP Regulations 288. Part 191, App. B, II PERSONS WHO WILL SIGN DRAWBACK DOCUMENTS Customs Regulations CBP Regulations 289. Part 191, App. B, II CUSTOMS OFFICE WHERE DRAWBACK CLAIMS WILL BE FILED—heading CUSTOMS OFFICE CBP OFFICE 290. Part 191, App. B, II INVENTORY PROCEDURES Customs Regulations CBP Regulations 291. Part 191, App. B, II BASIS OF CLAIM FOR DRAWBACK Customs Regulations CBP Regulations 292. Part 191, App. B, II AGREEMENTS Customs Regulations CBP Regulations 293. Part 191, App. B, III COMPANY LETTERHEAD (Optional) U.S. Customs Service, Duty and Refund Determination Branch U.S. Customs and Border Protection, Commercial and Trade Facilitation Division, Regulations and Rulings, Office of International Trade 294. Part 191, App. B, III NAME AND ADDRESS AND IRS NUMBER (WITH SUFFIX) OF APPLICANT Customs Regulations CBP Regulations 295. Part 191, App. B, III PERSONS WHO WILL SIGN DRAWBACK DOCUMENTS Customs Regulations CBP Regulations 296. Part 191, App. B, III CUSTOMS OFFICE WHERE DRAWBACK CLAIMS WILL BE FILED—heading CUSTOMS OFFICE CBP OFFICE 297. Part 191, App. B, IIII NVENTORY PROCEDURES Customs Regulations CBP Regulations 298. Part 191, App. B, III BASIS OF CLAIM FOR DRAWBACK Customs Regulations CBP Regulations 299. Part 191, App. B, III AGREEMENTS Customs Regulations CBP Regulations 300. Part 191, App. B, IV COMPANY LETTERHEAD (Optional) U.S. Customs Service, Duty and Refund Determination Branch U.S. Customs and Border Protection, Commercial and Trade Facilitation Division, Regulations and Rulings, Office of International Trade 301. Part 191, App. B, IV NAME AND ADDRESS AND IRS NUMBER (WITH SUFFIX) OF APPLICANT Customs Regulations CBP Regulations 302. Part 191, App. B, IV PERSONS WHO WILL SIGN DRAWBACK DOCUMENTS Customs Regulations CBP Regulations 303. Part 191, App. B, IV CUSTOMS OFFICE WHERE DRAWBACK CLAIMS WILL BE FILED Heading CUSTOMS OFFICE CBP OFFICE 304. Part 191, App. B, IV INVENTORY PROCEDURES Customs Regulations CBP Regulations 305. Part 191, App. B, IV BASIS OF CLAIM FOR DRAWBACK Customs Regulations CBP Regulations 306. Part 191, App. B, IV AGREEMENTS Customs Regulations CBP Regulations 307. Part 191, App. B, V COMPANY LETTERHEAD (Optional) U.S. Customs Service, Duty and Refund Determination Branch U.S. Customs and Border Protection, Commercial and Trade Facilitation Division, Regulations and Rulings, Office of International Trade 308. Part 191, App. B, V NAME AND ADDRESS AND IRS NUMBER (WITH SUFFIX) OF APPLICANT Customs Regulations CBP Regulations 309. Part 191, App. B, V PERSONS WHO WILL SIGN DRAWBACK DOCUMENTS Customs Regulations CBP Regulations 310. Part 191, App. B, V CUSTOMS OFFICE WHERE DRAWBACK CLAIMS WILL BE FILED—heading CUSTOMS OFFICE CBP OFFICE 311. Part 191, App. B, V INVENTORY PROCEDURES Customs Regulations CBP Regulations 312. Part 191, App. B, V BASIS OF CLAIM FOR DRAWBACK Customs Regulations CBP Regulations 313. Part 191, App. B, V AGREEMENTS Customs Regulations CBP Regulations PART 171—FINES, PENALTIES, AND FORFEITURES 2. The authority citation for part 171, CBP Regulations, continues to read as follows: Authority: 18 U.S.C. 983; 19 U.S.C. 66, 1592, 1593a, 1618, 1624; 22 U.S.C. 401; 31 U.S.C. 5321; 46 U.S.C. App. A. 320. Subpart F also issued under 19 U.S.C. 1595a, 1605, 1614. § 171.62 [Amended] 3. Section 171.62 is amended by removing paragraphs
(c)and (d). § 171.63 [Removed and reserved] 4. Section 171.63 is removed and reserved. Dated: October 12, 2007. W. Ralph Basham, Commissioner, U.S. Customs and Border Protection. [FR Doc. E7-20471 Filed 10-18-07; 8:45 am] BILLING CODE 9111-14-P DEPARTMENT OF HEALTH AND HUMAN SERVICES Food and Drug Administration 21 CFR Part 880 [Docket No. 2007N-0328] Medical Devices; General Hospital and Personal Use Devices; Classification of Remote Medication Management System AGENCY: Food and Drug Administration, HHS. ACTION: Final rule. SUMMARY: The Food and Drug Administration
(FDA)is classifying the remote medication management systems into class II (special controls). Elsewhere in this issue of the **Federal Register** , FDA is announcing the availability of a guidance document entitled, “Guidance for Industry and Food and Drug Administration Staff; Class II Special Controls Guidance Document: Remote Medication Management System,” which will serve as the special control for this device type. The agency is classifying this device type into class II (special controls) in order to provide a reasonable assurance of safety and effectiveness of these devices. DATES: This final rule is effective November 19, 2007. The classification was effective June 13, 2007. FOR FURTHER INFORMATION CONTACT: Richard Chapman, Center for Devices and Radiological Health, Food and Drug Administration, 10903 New Hampshire Ave., Silver Spring, MD 20993, 301-796-2585. SUPPLEMENTARY INFORMATION: I. What is the Background of This Rulemaking? In accordance with section 513(f)(1) of the Federal Food, Drug, and Cosmetic Act (the act) (21 U.S.C. 360c(f)(1)), devices that were not in commercial distribution before May 28, 1976, the date of enactment of the Medical Device Amendments of 1976 (the amendments), generally referred to as postamendments devices, are classified automatically by statute into class III without any FDA rulemaking process. These devices remain in class III and require premarket approval, unless the device is classified or reclassified into class I or class II, or FDA issues an order finding the device to be substantially equivalent, in accordance with section 513(i) of the act, to a predicate device that does not require premarket approval. The agency determines whether new devices are substantially equivalent to predicate devices by means of premarket notification procedures in section 510(k) of the act (21 U.S.C. 360(k)) and part 807 (21 CFR part 807) of FDA's regulations. Section 513(f)(2) of the act provides that any person who submits a premarket notification under section 510(k) of the act for a device that has not previously been classified may, within 30 days after receiving an order classifying the device in class III under section 513(f)(1) of the act, request FDA to classify the device under the criteria set forth in section 513(a)(1) of the act. FDA shall, within 60 days of receiving such a request, classify the device by written order. This classification shall be the initial classification of the device type. Within 30 days after the issuance of an order classifying the device, FDA must publish a notice in the **Federal Register** announcing such classification (section 513(f)(2) of the act). In accordance with section 513(f)(1) of the act, FDA issued an order on September 20, 2006, classifying the INRange Remote Medication Management System in class III because it was not substantially equivalent to a device that was introduced or delivered for introduction into interstate commerce for commercial distribution before May 28, 1976, or a device that was subsequently reclassified into class I or class II. On September 25, 2006, INRange Systems, Inc., submitted a petition requesting classification of the INRange Remote Medication Management System under section 513(f)(2) of the act. The manufacturer recommended that the device be classified into class II (Ref. 1). In accordance with section 513(f)(2) of the act, FDA reviewed the petition in order to classify the device under the criteria for classification set forth in 513(a)(1) of the act. Devices are to be classified into class II if general controls, by themselves, are insufficient to provide reasonable assurance of safety and effectiveness, but there is sufficient information to establish special controls to provide reasonable assurance of the safety and effectiveness of the device for its intended use. After review of the information submitted in the petition, FDA determined that remote medication management systems can be classified into class II with the establishment of special controls. FDA believes that these special controls, in addition to general controls, are adequate to provide reasonable assurance of the safety and effectiveness of the device. The device is assigned the generic name “Remote Medication Management System.” A remote medication management system is a device composed of clinical and communications software, a medication delivery unit, and medication packaging. The system is intended to store the patient's prescribed medications in a delivery unit, to permit a health care professional to remotely schedule the patient's prescribed medications, to notify the patient when the prescribed medications are due to be taken, to release the prescribed medications to a tray of the delivery unit accessible to the patient on the patient's command, and to record a history of the event for the health care professional. The system is intended for use as an aid to health care professionals in managing therapeutic regimens for patients in the home or clinic. FDA has identified the following risks to health associated with this type of device: • Improper dosage delivered to patient, • Cross-contamination of medications—unintended drug interactions, • Compromised information security, • Failure of the device—inability to deliver medication, • Electromagnetic interference—electromagnetic emissions interfering with other medical devices or electromagnetic susceptibility causing the device to function improperly due to emissions of other devices, and • Electrical and mechanical hazards—electrical shock, pinching. FDA believes that the class II special controls guidance document will aid in mitigating the potential risks to health as described in table 1 of this document. **Table 1.—Risks to Health and Mitigation Measures** Identified Risk Recommended Mitigation Measures Improper dosage delivered to patient Software validation Simulated use testing Labeling Cross-contamination of medications Simulated use testing Compromised information security Software validation Simulated use testing Failure of the device Software validation Simulated use testing Labeling Electromagnetic interference Electromagnetic compatibility Labeling Electrical and mechanical hazards Electrical and mechanical safety testing Labeling FDA believes that the special controls, in addition to general controls, address the risks to health identified previously and provide reasonable assurances of the safety and effectiveness of the device type. Thus, on June 13, 2007, FDA issued an order to the petitioner classifying the device into class II. FDA is codifying this classification at 21 CFR 880.6315. Following the effective date of the final classification rule, manufacturers will need to address the issues covered in the special controls guidance. However, the manufacturer need only show that its device meets the recommendations of the guidance or in some other way provides equivalent assurance of safety and effectiveness. Section 510(m) of the act provides that FDA may exempt a class II device from the premarket notification requirement under section 510(k) of the act, if FDA determines that premarket notification is not necessary to provide reasonable assurance of the safety and effectiveness of the device. For this type of device, FDA has determined that premarket notification is necessary to provide reasonable assurance of the safety and effectiveness of the device and, therefore, the type of device is not exempt from premarket notification requirements. Persons who intend to market this type of device must submit to FDA a premarket notification, prior to marketing the device, which contains information about the remote medication management system they intend to market. II. What is the Environmental Impact of This Rule? The agency has determined under 21 CFR 25.34(b) that this action is of a type that does not individually or cumulatively have a significant effect on the human environment. Thus, neither an environmental assessment nor an environmental impact statement is required. III. What is the Economic Impact of This Rule? FDA has examined the impacts of the final rule under Executive Order 12866, the Regulatory Flexibility Act (5 U.S.C. 601-612), and the Unfunded Mandates Reform Act of 1995 (Public Law 104-4). Executive Order 12866 directs agencies to assess all costs and benefits of available regulatory alternatives and, when regulation is necessary, to select regulatory approaches that maximize net benefits (including potential economic, environmental, public health and safety, and other advantages; distributive impacts; and equity). The agency believes that this final rule is not a significant regulatory action as defined by the Executive order. The Regulatory Flexibility Act requires agencies to analyze regulatory options that would minimize any significant impact of a rule on small entities. Because classification of this device into class II will relieve manufacturers of the cost of complying with the premarket approval requirements of section 515 of the act (21 U.S.C. 360e), and may permit small potential competitors to enter the marketplace by lowering their costs, the agency certifies that the final rule will not have a significant economic impact on a substantial number of small entities. Section 202(a) of the Unfunded Mandates Reform Act of 1995 requires that agencies prepare a written statement, which includes an assessment of anticipated costs and benefits, before proposing “any rule that includes any Federal mandate that may result in the expenditure by State, local, and tribal governments, in the aggregate, or by the private sector, of $100,000,000 or more (adjusted annually for inflation) in any one year.” The current threshold after adjustment for inflation is $127 million, using the most current
(2006)Implicit Price Deflator for the Gross Domestic Product. FDA does not expect this final rule to result in any 1-year expenditure that would meet or exceed this amount. IV. Does This Final Rule Have Federalism Implications? FDA has analyzed this final rule in accordance with the principles set forth in Executive Order 13132. FDA has determined that the rule does not contain policies that have substantial direct effects on the States, on the relationship between the National Government and the States, or on the distribution of power and responsibilities among the various levels of government. Accordingly, the agency has concluded that the rule does not contain policies that have federalism implications as defined in the Executive order and, consequently, a federalism summary impact statement is not required. V. How Does This Rule Comply With the Paperwork Reduction Act of 1995? This final rule contains no collections of information. Therefore, clearance by the Office of Management and Budget
(OMB)under the Paperwork Reduction Act of 1995 is not required. Elsewhere in this issue of the **Federal Register** , FDA is issuing a notice announcing the guidance for the final rule. This guidance, “Class II Special Controls Guidance Document: Remote Medication Management System,” references previously approved collections of information found in FDA regulations. VI. What References Are on Display? The following reference has been placed on display in the Division of Dockets Management (HFA-305), Food and Drug Administration, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852, and may be seen by interested persons between 9 a.m. and 4 p.m., Monday through Friday. 1. Petition from INRange Systems, Inc., dated September 25, 2006. List of Subjects in 21 CFR Part 880 Medical devices. Therefore, under the Federal Food, Drug, and Cosmetic Act and under authority delegated to the Commissioner of Food and Drugs, 21 CFR part 880 is amended as follows: PART 880—GENERAL HOSPITAL AND PERSONAL USE DEVICES 1. The authority citation for 21 CFR part 880 continues to read as follows: Authority: 21 U.S.C. 351, 360, 360c, 360e, 360j, 371. 2. Section 880.6315 is added to subpart G to read as follows: § 880.6315 Remote Medication Management System.
(a)*Identification* . A remote medication management system is a device composed of clinical and communications software, a medication delivery unit, and medication packaging. The system is intended to store the patient's prescribed medications in a delivery unit, to permit a health care professional to remotely schedule the patient's prescribed medications, to notify the patient when the prescribed medications are due to be taken, to release the prescribed medications to a tray of the delivery unit accessible to the patient on the patient's command, and to record a history of the event for the health care professional. The system is intended for use as an aid to health care professionals in managing therapeutic regimens for patients in the home or clinic.
(b)*Classification* . Class II (special controls). The special control is: The FDA guidance document entitled “Guidance for Industry and Food and Drug Administration Staff; Class II Special Controls Guidance Document: Remote Medication Management System.” See § 880.1(e) for availability of this guidance document. Dated: October 3, 2007. Linda S. Kahan, Deputy Director, Center for Devices and Radiological Health. [FR Doc. E7-20633 Filed 10-18-07; 8:45 am] BILLING CODE 4160-01-S DEPARTMENT OF THE TREASURY Fiscal Service 31 CFR Part 203 RIN 1510-AB01 Payment of Federal Taxes and the Treasury Tax and Loan Program AGENCY: Financial Management Service, Fiscal Service, Treasury. ACTION: Interim final rule. SUMMARY: As part of an ongoing effort to review and streamline its regulations, the Financial Management Service
(FMS)has revised its regulation governing the Treasury Tax and Loan (TT&L) program. The changes update the rule to reflect the reorganization and enhancement of the TT&L program, including changes in terminology, and simplify the rule by deleting procedures and provisions that appear in other regulations or in the Treasury Financial Manual. FMS also has rewritten this regulation in plain language, thus making it clearer and easier to understand. DATES: This interim final rule is effective October 19, 2007. Comments must be received by December 18, 2007. ADDRESSES: The Financial Management Service began participating in the U.S. government's eRulemaking Initiative by publishing rulemaking information on *www.regulations.gov.* Regulations.gov offers the public the ability to comment on, search, and view publicly available rulemaking materials, including comments received on rules. Comments on this rule, identified by docket FISCAL-FMS-2007-0007, should only be submitted using the following methods: • *Federal eRulemaking Portal:* *www.regulations.gov* . Follow the instructions on the Web site for submitting comments. • *Mail:* Thompson Sawyer, Director, Investment Management Division, Financial Management Service, 401 14th Street, SW., Washington, DC 20227. The fax and e-mail methods of submitting comments on rules to FMS have been retired. *Instructions:* All submissions received must include the agency name (“Financial Management Service”) and docket number FISCAL-FMS-2007-0007 for this rulemaking. In general, comments will be published on Regulations.gov without change, including any business or personal information provided. Comments received, including attachments and other supporting materials, are part of the public record and subject to public disclosure. Do not enclose any information in your comment or supporting materials that you consider confidential or inappropriate for public disclosure. You may also inspect and copy this proposed rule at: Treasury Department Library, Freedom of Information Act
(FOIA)Collection, Room 1428, Main Treasury Building, 1500 Pennsylvania Avenue, NW., Washington, DC 20220. Before visiting, you must call
(202)622-0990 for an appointment. FOR FURTHER INFORMATION CONTACT: Thompson Sawyer, Director, Investment Management Division, at
(202)874-7150 or *thompson.sawyer@fms.treas.gov* or Ellen M. Neubauer, Senior Attorney, at
(202)874-6680 or *ellen.neubauer@fms.treas.gov.* SUPPLEMENTARY INFORMATION: 1. Background The Treasury Tax and Loan (TT&L) program encompasses two separate components: A depositary component through which we collect Federal tax deposits and payments from business taxpayers for employee withholding and other types of taxes, and an investment component through which we invest short-term operating balances not needed for immediate cash outlays. Examples of the investment component are retention of tax deposits, direct investments, term investments or other investment programs. Approximately 950 TT&L depositaries borrow excess short-term Treasury operating funds by participating in the investment component of the TT&L program. Through agreements executed pursuant to Part 203, participating depositaries borrow Treasury funds in the form of a note secured with collateral pledged to Treasury and pay interest to Treasury on these balances. We have revised Part 203 to reflect recent operational changes and changes in terminology to the TT&L program, and to streamline and simplify the regulation. Because the predominant intent of this rulemaking is to improve the clarity of the regulation, we have removed some procedural and technical requirements and provisions, such as references to specific Forms and filing instructions, from the existing regulation. All of the technical requirements that we have removed and that still apply are contained in Volume IV of the Treasury Financial Manual (see *http://www.fms.treas.gov/tfm/vol4/index.html* ). Those technical requirements that don't still apply have been deleted. For example, current § 203.10 sets forth procedures for financial institutions to enroll taxpayers in the Electronic Federal Tax Payment System (EFTPS) that no longer accurately reflect the actual process. Accordingly, we have deleted the substance of current § 203.10 from the regulation. The current procedures for enrolling taxpayers in EFTPS are found in Volume IV of the Treasury Financial Manual, Part 1, Chapter 2200. In addition, we have removed some of the existing provisions of the regulation because they duplicate provisions of 31 CFR part 210, which sets forth the rules governing the Federal government's participation in the Automated Clearing House
(ACH)system. For example, the substance of current § 203.15 has been deleted from the interim final regulation because everything in current § 203.15 is covered in 31 CFR part 210 (see § 210.8(b)(1)). For the same reason, the substantive provisions of current § 203.12, which address ACH credit and debit transactions, have been deleted. Although a number of new terms have been added to describe components of the TT&L program, most aspects of the operation of the program are not changing. For example, the new term “Treasury Investment Program (TIP)” is the automated system within the TT&L program that receives tax collection data, invests funds, and monitors collateral pledged to secure invested funds and public money. The new term “Paper Tax System (PATAX)” is the automated system within TIP that collects, adjusts, and reports paper Federal tax deposits (FTDs). The revisions to this rule reflect changes that have been made to the TT&L program over recent years. One of the most significant changes requires depositaries to have collateral in place before any funds are credited to their TIP main account balance or Special Direct Investment
(SDI)account balance. Previously, a depositary had until the end of the day to have collateral in place after the funds were credited to its account. This change helps ensure that Treasury investments are adequately secured at all times. Another change, reflected in § 203.20, is that with the implementation of the Treasury Investment Program, transactions now post to financial institutions' reserve accounts throughout the day. Another change to the TT&L program occurred in 2001, when the Department of the Treasury announced that after December 31, 2000, Federal Reserve Banks
(FRBs)would no longer accept FTD paper coupons. The change affected only a small percentage (less than one-half of one percent) of FTD deposits. It was no longer cost-effective for the FRBs to process the small number of FTD paper coupons they received annually. We have deleted § 203.18(b) of the current regulation to reflect this change. Financial institutions that are TT&L depositaries will still accept paper coupons. For those taxpayers who do not have an account with a TT&L depositary or who do not wish to pay taxes electronically through EFTPS, FMS has a mail-in option. Other changes to the TT&L program and Part 203 are discussed in the section-by-section analysis below. II. Section-by-Section Analysis Section 203.1 Scope Amended § 203.1 is substantively unchanged from current § 203.1, except that language has been added to clarify that there are various ways that a financial institution may participate in the TT&L program. A financial institution may choose to participate in the TT&L program by becoming an investor depositary, a retainer depositary, and/or a collector depositary, or by processing tax payments through EFTPS. Amended § 203.1 clarifies that a financial institution does not become a TT&L depositary, as defined, by processing tax payments through EFTPS. Section 203.2 Definitions We have made a number of changes to the definitions set forth at § 203.2. Several definitions have been deleted because they are not used in the interim final regulation. These include: “Direct Access transaction,” “Electronic Tax Application,” “Electronic Tax Application reference number,” “Input Message Accountability Data,” and “Transaction trace number.” Other terms defined in the current regulation are replaced by new terminology in the interim final regulation, including “Federal Reserve account” (replaced by “Reserve account”), “Federal Reserve Bank of the district” (replaced by “Federal Reserve Bank (FRB)”), “Federal Tax Deposit system” (replaced by “Paper Tax System (PATAX)”), “Note option” (replaced by “Retainer depositary” and “Investor depositary”), and “Remittance option” (replaced by “Collector depositary”). Several new terms have been added to reflect enhancements to the TT&L program, including “Capacity,” “Dynamic investment,” “Investment program,” “Special Direct Investment
(SDI)account balance,” “Term Investment Option
(TIO)account balance,” “Treasury Investment Program (TIP),” “Treasury Support Center (TSC),” and “TIP main account balance.” A number of definitions have been reworded to make them easier to understand, but are substantively unchanged. Significant changes to specific definitions are discussed below. Balance Limit The new term “balance limit” is defined and replaces the term “maximum balance” in current Part 203. Although the term “maximum balance” is used in current Part 203, it is not defined. Capacity The new term “capacity” is being added to refer to the additional amount of a direct investment or special direct investment that a designated depositary is willing to receive or the additional amount of tax deposits that a designated depositary is willing to retain. The TIP main account balance or SDI account balance, current collateral value, pending withdrawals, and pending investments are considered when determining capacity. Collector Depositary The new term “collector depositary” is used to describe a depositary that uses the “remittance option” under current Part 203 to better reflect the activity performed by the depositary. Dynamic Investment The new term “dynamic investment” is used to describe investments placed throughout the day. Federal Reserve Bank
(FRB)The new term “Federal Reserve Bank” replaces “Federal Reserve Bank of the district” in current Part 203. Investment Program The new term “investment program” is used to provide an all-inclusive name for the programs through which Treasury invests excess operating cash. Examples of the investment component are retention of tax deposits, direct investments, and term investments. Depositaries do not have to accept paper-based Federal Tax Deposit coupons (PATAX) to participate in the investment program. Investor Depositary The new term “investor depositary” is used to describe one of the two kinds of depositaries that are referred to as “note option” depositaries in the current regulation. An investor depositary is a depositary authorized to participate in the investment program. In the interim final regulation, the terms “investor depositary” and “retainer depositary” are specific terms that replace the less specific term “note option” in the current regulation. Paper Tax System (PATAX) The new term “PATAX” replaces the term “Federal Tax Deposit System” in current Part 203, to better reflect the activity performed by the system. Reserve Account The new term “Reserve account” replaces “Federal Reserve account” in current Part 203. The definition incorporates the concept that a financial institution's reserve account may in some cases be the reserve account of the financial institution's correspondent bank. Retainer Depositary The new term “retainer depositary” is used to describe a certain kind of depositary known as a “note option” depositary in the current regulation. A retainer depositary is a depositary that retains a portion of the Federal tax deposits it accepts. In the interim final regulation, the terms “investor depositary” and “retainer depositary” replace the less specific term “note option” in the current regulation. Retainer depositaries do not have to accept paper-based Federal Tax Deposit coupons (PATAX). Same-Day Payment The reference to direct access transactions in the current definition of “same-day payment” has been deleted in the amended definition because these transactions are no longer available. These transactions have been replaced by Fedwire® non-value transactions. Special Direct Investment
(SDI)This definition has been changed to delete the reference to note account and to add a reference to Borrower-In-Custody
(BIC)arrangements. SDI Account Balance The new term “SDI account balance” is being added because there is now a separate account for SDI funds. In the current regulation, SDI funds are allowed to be commingled with direct investment funds and retained tax deposits. Term Investment Option
(TIO)Account Balance The new term “TIO account balance” is being added to replace “Term note balance.” Treasury Investment Program
(TIP)The new term “TIP” is being added to describe the automated system within the TT&L program that receives tax collections, invests funds, and monitors collateral pledged to secure invested funds. TIP Main Account Balance The new term “TIP main account balance” is being added to distinguish retained tax deposits and direct investments funds from SDI funds. Treasury Support Center
(TSC)The new term “TSC” is being added to refer to the centralized office located at an FRB that is responsible for monitoring collateral pledged and managing the TT&L program participation for designated depositaries. Treasury Tax & Loan (TT&L) Depositary The definition of “TT&L depositary” has been changed to reflect new terminology. TT&L Program The definition of “TT&L program” has been revised to add references to PATAX, TIP, and EFTPS. Section 203.3 TT&L Depositaries We have added a new § 203.3 to clarify the different kinds of TT&L depositaries and the circumstances in which a financial institution must be a TT&L depositary. A financial institution must be a TT&L depositary in order to participate in either PATAX or the investment program, but not in order to participate in EFTPS alone. There are three kinds of TT&L depositaries: • Collector depositaries—depositaries that accept paper tax payments and may accept electronic tax payments, but that do not retain any such deposits in a TIP main account or accept direct or special direct investments. A collector depositary may accept term investments. • Retainer depositaries—depositaries that accept electronic and/or paper tax payments and retain a portion of the tax deposits in a TIP main account balance but do not accept direct or special direct investments. A retainer depositary may accept term investments. • Investor depositaries—depositaries that participate in the investment program by accepting direct investments, special direct investments, and dynamic investments. Investor depositaries may accept electronic and/or paper tax payments and may retain a portion of those tax deposits. An investor depositary may also accept term investments. Section 203.4 Financial Institution Eligibility for Designation as a TT&L Depositary Amended § 203.4 sets forth the criteria a financial institution must meet to be eligible for designation as a TT&L depositary. The criteria in the amended rule are unchanged from those in the current § 203.3. Section 203.5 Designation of Financial Institutions as TT&L Depositaries Amended § 203.5 sets forth the substance of current § 203.4 with certain changes. Subsection
(a)is unchanged except that language contained in current § 203.6 which provides that Treasury will not compensate depositaries for servicing and maintaining a TT&L account, or for processing tax payments through EFTPS or P AT AX, has been relocated to § 203.5(a). Amended § 203.5(b) simplifies the current regulation by deleting references to specific forms, which are set forth in procedural instructions. Section 203.6 Obligations of TT&L Depositaries We have not made any substantive change to the obligations of TT&L depositaries described in current § 203.5. Section 203.7 Termination of Agreement or Change of Election or Option We have not revised § 203.7 except for minor wording changes. Section 203.8 Application of Part and Procedural Instructions Amended § 203.8 is unchanged from current § 203.8 except that terminology has been updated. Section 203.9 Scope of the Subpart We have not made any substantive changes to § 203.9. Section 203.10 Electronic Payment Methods Amended § 203.10 sets forth the substance of current § 203.11. The second sentence of current § 203.11(a) is deleted because it restates the point made in amended § 203.9 that a financial institution need not be a TT&L depositary in order to process payments through EFTPS. Section 203.11 Same-Day Reporting and Payment Mechanisms Details regarding some of the requirements of Fedwire® value transactions which are set forth in current § 203.13(b) have been eliminated as unnecessary. References to direct access transactions set forth in current § 203.713(d) have been deleted because these transactions are no longer available. Section 203.12 EFTPS Interest Assessments We have not made any substantive changes to the application or calculation of EFTPS interest assessments. Section 203.13 Appeal and Dispute Resolution We have not made any substantive changes to the appeal and dispute resolution procedures. Section 203.14 Scope of the Subpart We have not changed the scope of subpart C. Section 203.15 Tax Deposits Using FTD Coupons Amended § 203.15 sets forth the provisions of current § 203.18, with a number of changes. We have deleted entirely the substance of § 203.18(b), which provides that FRBs must accept FTDs directly from taxpayers and sets forth procedures governing 13 these transactions. FRBs no longer accept FTDs directly from the taxpayer. We also have deleted from this section many procedural steps that are adequately addressed in procedural instructions. Section 203.16 Retainer and Investor Depositaries Amended § 203.16 sets forth the substance of current § 203.19. The order of subsections
(a)and
(b)has been reversed. Section 203.17 Collector Depositaries Amended § 203.17 sets forth the substance of current § 203.20, except that the order of subsections
(a)and
(b)has been reversed. Section 203.18 Scope of the Subpart We have not revised the scope of subpart D. Section 203.19 Sources of Balances Amended § 203.19 sets forth the substance of current § 203.22 with the addition of dynamic investments and term investments. Section 203.20 Investment Account Requirements We have not changed the provisions governing TIP main account balances, SDI account balances, and no account balances. The section title was changed to reflect the inclusion of the no account balances. Section 203.21 Collateral Security Requirements The classes of securities or instruments that are acceptable collateral to secure deposits and investments, and their respective valuations, as described in 31 CFR part 380, can be viewed at Treasury's Bureau of the Public Debt's Web site at 14 *http://www.treasurydirect.gov/instit/statreg/collateral/collateral_fiscalprograms.htm#ttl* Amended § 203.21(c)(2) has been updated to reflect changes in the Uniform Commercial Code (which provides a private sector analogue for Treasury's BIC arrangements), relative to perfecting security interests in BIC collateral. Section 203.21(e) has also been changed. Under current § 203.21(f), when a TT&L depositary pledges acceptable securities that are not negotiable without its endorsement or assignment, it may, in lieu of placing its unqualified endorsement on each security, provide an irrevocable power of attorney authorizing the FRB to assign the securities. Amended § 203.21(e) states that by pledging acceptable securities which are not negotiable without the depositary's endorsement or assignment, a TT&L depositary, in lieu of placing its unqualified endorsement on each security, automatically grants the FRB an irrevocable power of attorney to endorse, assign or transfer the securities. The purpose of this change is to relieve both TT&L depositaries and the FRB from the administrative burden associated with providing a power-of-attorney each time such securities are pledged. Derivation Chart for Revised Part 203 Old section New section 203.1 203.1 203.2 203.2 —— 203.3 203.3 203.4 203.4 203.5 203.5 203.6 203.6 203.5 203.7 203.7 203.8 203.8 203.9 203.9 203.10 Removed 203.11 203.10 203.12 Removed 203.13 203.11 203.14 203.12 203.15 Removed 203.16 203.13 203.17 203.14 203.18 203.15 203.19 203.16 203.20 203.17 203.21 203.18 203.22 203.19 203.23 203.20 203.24 203.21 III. Regulatory Analyses Administrative Procedures Act The public is invited to submit comments on the interim rule which will be taken into account before this interim rule is confirmed as final. This interim final rule does not substantively change the TT&L program but rather describes operational changes that have already taken place, updates terminology, and removes duplicative or unnecessary provisions. The updates in this rule will avoid confusion about the operation of the program. Under 5 U.S.C. 553(b), this rule is exempt from prior notice and comment rulemaking requirements on the grounds that the amendments are non-substantive and further delay in making these amendments is unnecessary and contrary to the public interest. For the same reasons, good cause exists to make the rule effective upon publication. Request for Comment on Plain Language Executive Order 12866 requires each agency in the Executive branch to write regulations that are simple and easy to understand. We invite comment on how to make this final rule clearer. For example, you may wish to discuss:
(1)Whether we have organized the material to suit your needs;
(2)whether the requirements of this final rule are clear; or
(3)whether there is something else we could do to make this rule easier to understand. Regulatory Planning and Review The final rule does not meet the criteria for a “significant regulatory action” as defined in Executive Order 12866. Therefore, the regulatory review procedures contained therein do not apply. Regulatory Flexibility Act Analysis Because no notice of proposed rulemaking is required, the provisions of the Regulatory Flexibility Act (5 U.S.C. 601 *et seq* .) do not apply. Paperwork Reduction Act This rule contains no new collections of information. Therefore, the Paperwork Reduction Act does not apply. List of Subjects in 31 CFR Part 203 Banks, Banking, Electronic funds transfers, Taxes. Words of Issuance For the reasons set out in the preamble, the Financial Management Service amends 31 CFR chapter II by revising part 203 to read as follows: PART 203—PAYMENT OF FEDERAL TAXES AND THE TREASURY TAX AND LOAN PROGRAM Subpart A—General Information Sec. 203.1 Scope. 203.2 Definitions. 203.3 TT&L depositaries. 203.4 Financial institution eligibility for designation as a TT&L depositary. 203.5 Designation of financial institutions as TT&L depositaries. 203.6 Obligations of TT&L depositaries. 203.7 Termination of agreement or change of election or option. 203.8 Application of part and procedural instructions. Subpart B—Electronic Federal Tax Payments 203.9 Scope of the subpart. 203.10 Electronic payment methods. 203.11 Same-day reporting and payment mechanisms. 203.12 EFTPS interest assessments. 203.13 Appeal and dispute resolution. Subpart C—PATAX 203.14 Scope of the subpart. 203.15 Tax deposits using FTD coupons. 203.16 Retainer and investor depositaries. 203.17 Collector depositaries. Subpart D—Investment Program and Collateral Security Requirements for TT&L Depositaries 203.18 Scope of the subpart. 203.19 Sources of balances. 203.20 Investment account requirements. 203.21 Collateral security requirements. Authority: 12 U.S.C. 90,265-266, 332, 391, 1452(d), 1464(k), 1767, 1789a, 2013, 2122, and 3102; 26 U.S.C. 6302; 31 U.S.C. 321, 323, and 3301-3304. Subpart A—General Information § 203.1 Scope. The regulations in this part govern the processing by financial institutions of electronic and paper-based deposits and payments of Federal taxes; the operation of the Treasury Tax and Loan (TT&L) program; the designation of TT&L depositaries; and the operation of the investment program. A financial institution may participate in the TT&L program by participating in the investment program or by accepting Federal tax payments, or both. A financial institution that accepts Federal tax payments may do so through the paper tax system (PATAX), or Electronic Federal Tax Payment System (EFTPS), or both. However, a financial institution is not designated as a TT&L depositary if it only processes EFTPS payments. § 203.2 Definitions. *Advice of credit (AOC)* means the paper or electronic form depositaries use to summarize and report Federal Tax Deposit
(FTD)coupon deposits to the Internal Revenue Service
(IRS)and the Federal Reserve Bank (FRB). *Automated Clearing House
(ACH)credit entry* means a credit transaction originated by a financial institution, at the direction of the taxpayer, in accordance with applicable ACH formats and applicable laws, regulations, and procedural instructions. *ACH debit entry* means a debit transaction originated by the Treasury Financial Agent (TFA), at the direction of the taxpayer, in accordance with applicable ACH formats and applicable laws, regulations, and instructions. *Balance limit* means the highest amount a depositary has stated it will accept in its Treasury Investment Program
(TIP)main account. *Borrower-In-Custody
(BIC)collateral* means an arrangement by which a financial institution pledging collateral to secure special direct investments and certain term investments is permitted to retain possession of that collateral, subject to terms and conditions agreed upon between the FRB and the financial institution. *Business day* means any day on which a financial institution's FRB is open. *Capacity* means a TT&L depositary's ability to accept additional investments in its TIP main account balance and/or its Special Direct Investment
(SDI)account balance. With respect to a TT&L depositary's TIP main account balance, capacity means the balance limit or current collateral value, whichever is lower, minus the total of: the depositary's current TIP main account balance and any pending investments, plus any pending withdrawals. With respect to an SDI account balance, capacity means the dollar amount of collateral that the depositary has pledged for SDIs under a BIC arrangement minus the total of: the depositary's current SDI account balance and any pending investments, plus any pending withdrawals. *Collector depositary* means a TT&L depositary that accepts paper tax payments from business customers and that may also process electronic tax payments from customers, but that does not retain any such deposits as investments or accept dynamic, direct, or special direct investments. A collector depositary may accept term investments. *Direct investment* means the Department of the Treasury's (Treasury's) placement of funds with a TT&L depositary, which results in an increase to the depositary's TIP main account balance and a credit to its reserve account. *Dynamic investment* means Treasury's placement of funds with a TT&L depositary throughout the day, which results in an increase to the depositary's TIP main account balance and a credit to its reserve account. *Electronic Federal Tax Payment System (EFTPS)* means the system through which taxpayers remit Federal tax payments electronically. *Federal Reserve Bank (FRB)* means the FRB of the district where the financial institution is located, or such other FRB that may be designated in an FRB operating circular, or such other FRB that may be designated by the Treasury. A financial institution is deemed located in the same district it would be deemed located for purposes of Regulation D (12 CFR 204.3(b)(2)), even if the financial institution is not otherwise subject to Regulation D. *Federal Tax Deposit (FTD)* means a Federal tax deposit made using an FTD coupon. *FTD coupon* means a paper form supplied to a taxpayer by Treasury to accompany deposits of Federal taxes made through PATAX. *Federal taxes* means those Federal taxes or other payments specified by the Secretary of the Treasury as eligible for payment through the procedures described in this part. *Fedwire®1* means the funds transfer system owned and operated by the FRBs. *Fedwire® non-value transaction* means the same-day Federal tax payment information transmitted by a financial institution to an FRB using a Fedwire@ type 1090 message to authorize a payment. *Fedwire® value transfer* means a Federal tax payment made by a financial institution using a Fedwire® type 1000 message. *Financial institution* means any bank, savings bank, savings association, credit union, or similar institution. *Fiscal agent* means the FRB acting as agent for Treasury. *Investment program* is the all-inclusive name given to the programs by which Treasury invests excess operating cash. *Investor depositary* means a TT&L depositary that is authorized to participate in the investment program by accepting funds from Treasury via direct investments, special direct investments, dynamic investments, or term investments. In addition, an investor depositary may accept electronic or paper Federal tax payments from its business customers and retain a portion of those tax deposits, depending on the capacity of its TIP main account balance. *Paper Tax System (PATAX)* means the paper-based system through which taxpayers remit Federal tax payments by presenting an FTD coupon and payment to a TT&L depositary. *Procedural instructions* means the procedures contained in the Treasury Financial Manual, Volume IV (IV TFM), other Treasury instructions issued by Treasury or through Treasury's Financial Agents and FRB operating circulars, and agreements issued consistent with this part. *Recognized insurance coverage* means the insurance provided by the Federal Deposit Insurance Corporation, the National Credit Union Administration, and insurance organizations specifically qualified by the Secretary. *Reserve account* means an account at an FRB with reserve or clearing balances held by a financial institution or its designated correspondent financial institution, if applicable. *Retainer depositary* means a TT&L depositary that accepts electronic and/or paper Federal tax payments from its business customers and retains a portion of the Federal tax deposits in its TIP main account balance, depending on its balance limit, account balance, and collateral value. A retainer depositary may also accept term investments. *Same-day payment* means a payment made by a Fedwire® non-value transaction or a Fedwire® value transaction. *Secretary* means the Secretary of the Treasury, or the Secretary's delegate. *Special Direct Investment (SDI)* means the placement by Treasury of funds with an investor depositary secured by collateral pledged under a BIC arrangement. *SDI account balance* means an open-ended, interest-bearing note maintained on the books of the Treasury Support Center representing the amount of SDIs held by an investor depositary and secured by collateral pledged under a BIC arrangement. *Tax due date* means the day on which a Federal tax payment is due to Treasury, as determined by statute and IRS regulations. *Term Investments* means Treasury's excess operating funds that have been offered for a predetermined period of time and accepted by depositaries participating in the Term Investment Option. *Term Investment Option (TIO)* means the program available to depositaries that offers the ability to borrow excess Treasury operating funds for a predetermined period of time. *TIO account balance* means an interest-bearing note maintained on the books of the Treasury Support Center for a predetermined period of time. *Treasury Financial Agent (TFA)* means a financial institution designated as an agent of Treasury for processing EFTPS enrollments, consolidating EFTPS tax payment information, and originating ACH debit entries on behalf of Treasury as authorized by the taxpayer. *Treasury General Account (TGA)* means an account maintained in the name of the United States Treasury at an FRB. *Treasury Investment Program (TIP)* means the automated system under the TT&L program that receives tax collections, invests funds, and monitors collateral pledged to secure public money. *TIP main account balance* means an open-ended interest-bearing note maintained on the books of the Treasury Support Center
(TSC)representing a retainer or investor depositary's current net amount of
(i)Federal tax deposits retained by the depositary and/or
(ii)Treasury investments made under the Direct investment program. *Treasury Support Center (TSC)* means the office at the FRB that, as Treasury's Fiscal agent, monitors collateral pledged to secure Treasury funds, manages TT&L program participation for depositaries, and/or carries on its books depositaries' TIP main account balances, SDI account balances, and/or Term Investment Option
(TIO)account balances. *Treasury Tax and Loan (TT&L) account* means a record of transactions on the books of a TT&L depositary reflecting paper tax deposits received by the depositary. *TT&L depositary or depositary* means a financial institution designated as a depositary by Treasury or the FRB of St. Louis acting as Treasury's Fiscal agent, for the purpose of participating in the investment program and/or PATAX. There are three kinds of TT&L depositaries: investor depositaries, retainer depositaries, and collector depositaries. *TT&L program* means the program for collecting Federal taxes and investing the Government's excess operating funds. *TT&L rate of interest* means the interest charged on the TIP main account balance and the SDI account balance. The TT&L rate of interest is the rate prescribed by the Secretary taking into consideration prevailing market interest rates. The rate and any rate changes will be announced through a TT&L Special Notice to Depositaries and will be published in the **Federal Register** and on a Web site maintained by Treasury's Financial Management Service at *http://www.fms.treas.gov.* § 203.3 TT&L depositaries. A financial institution that participates in PATAX and/or the investment program must be a TT&L depositary. There are three kinds of TT&L depositaries. A collector depositary is a TT&L depositary that accepts paper Federal tax payments and also may accept electronic Federal tax payments, but does not accept direct investments or SDIs. A retainer depositary is a TT&L depositary that accepts electronic and/or paper Federal tax payments and retains a portion ofthe tax deposits in its TIP main account balance. An investor depositary is a TT&L depositary that accepts direct investments, SDIs, or dynamic investments and may accept electronic and/or paper Federal tax payments and retain a portion of those tax deposits. Collector, retainer, and investor depositaries may accept term investments. Retainer and investor depositaries do not have to participate in PATAX. § 203.4 Financial institution eligibility for designation as a TT&L depositary.
(a)To be designated as a TT&L depositary, a financial institution must be insured as a national banking association, state bank, savings bank, savings association, building and loan, homestead association, Federal home loan bank, credit union, trust company, or a U.S. branch of a foreign banking corporation, the establishment of which has been approved by the Comptroller of the Currency.
(b)A financial institution must possess the authority to pledge collateral to secure TT&L account balances, a TIP main account balance, an SDI account balance, or a no account balance as applicable.
(c)In order to be designated as a TT&L depositary for the purposes of processing Federal tax deposits through PATAX, a financial institution must possess under its charter either general or specific authority permitting the maintenance of the TT&L account, the balance of which is payable on demand without previous notice of intended withdrawal. In addition, investor depositaries and retainer depositaries must possess either general or specific authority permitting the maintenance of a TIP main account 27 balance or an SDI account balance. Investor, retainer, and collector depositaries that accept term investments must possess either general or specific authority permitting the maintenance of a TIO account balance. In the case of investor and retainer depositaries maintaining a TIP main account balance or an SDI account balance, the authority must perm it the maintenance of a TIP main account balance or an SDI account balance which is payable on demand without previous notice of intended withdrawal. § 203.5 Designation of financial institutions as TT&L depositaries.
(a)*Parties to the agreement.* To be designated as a TT&L depositary, a financial institution must enter into a depositary agreement with Treasury or Treasury's Fiscal agent. By entering into this agreement, the financial institution agrees to be bound by this part, and procedural instructions issued pursuant to this part. Treasury will not compensate depositaries for servicing and maintaining a TT&L account, or for processing tax payments through EFTPS or PATAX, unless otherwise provided for in procedural instructions.
(b)*Application procedures.*
(1)An eligible financial institution seeking designation as a TT&L depositary must file the forms specified in the procedural instructions with the TSC. A TT&L depositary must elect to be one or more of the following:
(i)A collector depositary;
(ii)a retainer depositary;
(iii)an investor depositary.
(2)A financial institution is not authorized to maintain a TT&L account, TIP main account balance, SDI account balance, or TIO account balance until the TSC designates it as a TT&L depository. § 203.6 Obligations of TT&L depositaries. A TT&L depositary must:
(a)Administer a TIP main account balance, SDI account balance, or TIO account balance, as applicable, if participating in the investment program.
(b)Administer a TT&L account, if participating in PATAX.
(c)Comply with the requirements of Section 202 of Executive Order 11246, entitled “Equal Employment Opportunity” (3 CFR, 1964-1965 Comp., p. 339) as amended by Executive Orders 11375 and 12086 (3 CFR, 1966-1970 Comp., p. 684; 3 CFR, 1978 Comp., p. 230), and the regulations issued thereunder at 41 CFR chapter 60.
(d)Comply with the requirements of Section 503 of the Rehabilitation Act of 1973, as amended, and the regulations issued thereunder at 41 CFR part 60-741, requiring Federal contractors to take affirmative action to employ and advance in employment qualified individuals with disabilities.
(e)Comply with the requirements of Section 503 of the Vietnam Era Veterans' Readjustment Assistance Act of 1972, as amended, 38 U.S.C. 4212, Executive Order 11701 (3 CFR 1971-1975 Comp., p. 752), and the regulations issued thereunder at 41 CFR parts 60-250 and 61-250, requiring Federal contractors to take affirmative action to employ and advance in employment qualified special disabled veterans and Vietnam-era veterans. § 203.7 Termination of agreement or change of election or option.
(a)*Termination by Treasury.* The Secretary may terminate the agreement of a TT&L depositary at any time upon notice to that effect to that depositary, effective on the date set forth in the notice.
(b)*Termination or change of election or option by the depositary.* A TT&L depositary may terminate its depositary agreement, or change its option or election, consistent with this part and the procedural instructions, by prior written notice to the TSC. § 203.8 Application of part and procedural instructions. The terms of this part and the procedural instructions issued pursuant to this part will be binding on financial institutions that process Federal tax payments or maintain a TT&L account, TIP main account balance, SDI account balance, or a TIO account balance under this part. By accepting or originating Federal tax payments, the financial institution agrees to be bound by this part and by procedural instructions issued pursuant to this part. Subpart B—Electronic Federal Tax Payments § 203.9 Scope of the subpart. This subpart prescribes the rules that financial institutions must follow when they process electronic Federal tax payment transactions. A financial institution is not required to be designated as a TT&L depositary in order to process electronic Federal tax payments. In addition, a financial institution does not become a TT&L depositary by processing electronic Federal tax payments under this subpart and may not represent itself as a TT&L depositary because it does so. § 203.10 Electronic payment methods.
(a)*General.* Electronic payment methods for Federal tax payments available under this subpart include ACH debit entries, ACH credit entries, and same-day payments.
(b)*Conditions to making an electronic payment.* This part does not affect the authority of financial institutions to enter into contracts with their customers regarding the terms and conditions for processing payments, as long as the terms and conditions of those contracts are not inconsistent with this part and with any laws that apply to the particular transactions.
(c)*Payment of interest for time value of funds held.* Treasury will not pay interest on any payment that a financial institution erroneously originates and that subsequently is refunded. § 203.11 Same-day reporting and payment mechanisms.
(a)*General.* A financial institution or its authorized correspondent may initiate same-day reporting and payment transactions on behalf of taxpayers. A same-day payment must be received by the FRB by the deadline established by Treasury in the procedural instructions.
(b)*Fedwire® non-value transaction.* By initiating a Fedwire® non-value transaction, a financial institution authorizes the TSC to debit its reserve account for the amount of the Federal tax payment specified in the transaction.
(1)For an investor or retainer depositary using a Fedwire® non-value transaction, the TSC will credit the Federal tax payment amount, up to the depositary's available TIP main account balance capacity, to the depositary's TIP main account balance on the day of the transaction. Throughout the course of the day, the TSC will debit from the depositary's reserve account, and credit to the TGA, any portion of a tax payment amount that would exceed the institution's available TIP main account balance capacity.
(2)For a collector depositary or a non-TT&L depositary financial institution using a Fedwire® non-value transaction, the TSC will debit the financial institution's reserve account for the Federal tax payment amount and credit that amount to the TGA on the day of the transaction.
(c)*Cancellations and reversals.* In addition to cancellations due to insufficient funds in the financial institution's reserve account, the FRB may reverse a same-day transaction:
(1)If the transaction:
(i)Is originated by a financial institution after the deadline established by Treasury in the procedural instructions;
(ii)Has an unenrolled taxpayer identification number; or
(iii)Does not meet the edit and format requirements set forth in the procedural instructions; or
(2)At the direction of the IRS, for the following reasons:
(i)Incorrect taxpayer name;
(ii)Overpayment; or
(iii)Unidentified payment; or
(3)At the request of the financial institution that sent the same-day transaction, if the request is made prior to the payment day deadline established by Treasury in the procedural instructions.
(d)Other than as stated in paragraph
(c)of this section, Treasury is not obligated to reverse all or any part of a payment. § 203.12 EFTPS interest assessments.
(a)*Circumstances subject to interest assessments.* Treasury may assess interest on a financial institution in instances where a taxpayer that failed to meet a tax due date proves to the IRS that the delivery of Federal tax payment instructions to the financial institution was timely and that the taxpayer satisfied the conditions imposed by the financial institution pursuant to § 203.10(b). Treasury also may assess interest where a financial institution fails to respond to an ACH prenotification entry on an ACH debit as required under part 210 of this title, or fails to originate an ACH prenotification or zero dollar entry on an ACH credit at a taxpayer's request, which then results in a late payment.
(b)*Calculation of interest assessment.* Any interest assessed under this section will be at the TT&L rate of interest. Treasury will assess the interest from the day the taxpayer specified that its payment should settle to the Treasury until the day Treasury receives the payment, subject to the following limitations: for ACH debit transactions, interest will be limited to no more than seven calendar days; For ACH credit and same-day transactions, interest will be limited to no more than 45 calendar days. The limitation of liability in this paragraph does not apply to any interest assessment in which there is an indication of fraud, the presentation of a false claim, or misrepresentation or embezzlement on the part of the financial institution or any employee or agent of the financial institution.
(c)*Authorization to assess interest.* A financial institution that processes Federal tax payments made electronically under this subpart is deemed to authorize the TSC to debit its reserve account for any interest assessed under this section. Upon the direction of Treasury, the TSC will debit the financial institution's reserve account for the amount of the assessed interest.
(d)*Circumstances not resulting in the assessment of interest.*
(1)Treasury will not assess interest on a taxpayer's financial institution if a taxpayer fails to meet a tax due date because the taxpayer has not satisfied conditions imposed by the financial institution pursuant to § 203.10(b) and the financial institution has not contributed to the delay. The burden is on the financial institution to establish, pursuant to the procedures in § 203.13, that the taxpayer has not satisfied the conditions and that the financial institution has not caused or contributed to the delay.
(2)Treasury will not assess interest on a financial institution if a taxpayer fails to meet a tax due date because the FRB or the TFA caused a delay and the financial institution did not contribute to the delay. The burden is on the financial institution to establish, pursuant to the procedures in § 203.13, that it did not cause or contribute to the delay. 203.13 Appeal and dispute resolution.
(a)*Contest.* A financial institution may contest any interest assessed under § 203.12 or any late fees assessed under § 203.17. To do so, the financial institution must submit information supporting its position and the relief sought. The information must be received, in writing, by the Treasury officer or Fiscal agent identified in the procedural instructions, no later than 90 calendar days after the date the TSC debits the Federal reserve account of the financial institution under § 203.12 or § 203.17. The Treasury officer or Fiscal agent will make a decision to: Uphold, reverse, or modify the assessment, or mandate other action.
(b)*Appeal.* The financial institution may appeal the decision referenced in subsection
(a)to Treasury as set forth in the procedural instructions. No further administrative review of Treasury's decision is available under this part.
(c)*Recoveries.* In the event of an over or under recovery of interest, principal, or late fees, Treasury will instruct the TSC to credit or debit the financial institution's reserve account. Subpart C—PATAX § 203.14 Scope of the subpart. This subpart applies to all TT&L depositaries that accept FTD coupons and governs the acceptance and processing of those coupons. § 203.15 Tax deposits using FTD coupons. A TT&L depositary processing FTD coupons may choose to be designated as a retainer depositary, an investor depositary, or a collector depositary. A TT&L depositary that accepts FTD coupons through any of its offices that accept demand and/or savings deposits must:
(a)Accept from a taxpayer that presents an FTD coupon: cash, a postal money order drawn to the order of the depositary, or a check or draft drawn on and to the order of the depositary, covering an amount to be deposited as Federal taxes. A TT&L depositary may accept, at its discretion, a check drawn on another financial institution, but it does so at its option and absorbs for its own account any float and other costs involved.
(b)Place a stamp impression on the face of each FTD coupon in the space provided. The stamp must reflect the date on which the TT&L depositary received the tax deposit and the name and location of the depositary. The IRS will determine whether the tax payment is on time by referring to the date stamped on the FTD coupon.
(c)Forward, each day, to the IRS Service Center serving the geographical area in which the TT&L depositary is located, the FTD coupons for all FTD deposits received that day and a copy of the AOC reflecting the total amount of all FTD coupons.
(d)Establish an adequate record of all FTD deposits prior to transmitting them to 36 the IRS Service Center so that the TT&L depositary will be able to identify deposits in the event the FTD coupons are lost in shipment. To be adequate, the record must show, at a minimum for each deposit, the date of the deposit, the taxpayer identification number, the amount of the deposit, the tax period ending date, the type of tax deposited, and the employer name. Alternatively, the TT&L depositary may retain a copy of each FTD coupon forwarded to the IRS Service Center.
(e)On the business day following receipt of an FTD coupon, submit the AOC information electronically to the TSC.
(f)Not accept compensation from taxpayers for accepting FTDs and handling them as required by this section. § 203.16 Retainer and investor depositaries.
(a)*Credit to TIP main account balance.* On the business day that the TSC receives an AOC from a retainer or investor depositary, the TSC will credit the depositary's TIP main account balance for the amount reported on the AOC unless there isn't sufficient capacity. In that case, any amount in excess of the capacity will be debited to the reserve account and credited to the TGA.
(b)*Late delivery of AOC* . If an AOC does not arrive at the TSC before the designated cutoff time for receipt, the TSC will credit the amount of funds to the depositary's TIP main account balance as of the date of receipt of the AOC. However, the date on which funds will begin to earn interest for Treasury is the next business day after the AOC date. § 203.17 Collector depositaries.
(a)*Debit to reserve account.* On the business day that the TSC receives an AOC from a collector depositary, the TSC will debit the depositary's reserve account for the amount reported on the AOC and credit that amount to Treasury's account.
(b)*Late delivery of AOC* . If an AOC does not arrive at the TSC before the designated cutoff time on the first business day after the AOC date, an FTD late fee in the form of interest at the TT&L rate of interest will.be assessed for each day's delay in receipt of the AOC. Upon the direction of Treasury, the TSC will debit the depositary's reserve account for the amount of the late fee. Subpart D—Investment Program and Collateral Security Requirements for TT&L Depositaries § 203.18 Scope of the subpart. This subpart governs the operation of the investment program, including the rules that TT&L depositaries must follow in crediting and debiting TIP main account balances, SDI account balances, and TIO account balances, and pledging collateral security. § 203.19 Sources of balances. A financial institution must be a collector depositary that accepts term investments, an investor depositary, or a retainer depositary to participate in the investment program. Depositaries electing to participate in the investment program can receive Treasury's investments in obligations of the depositary from the following sources:
(a)FTDs that have been credited to the depositary's TIP main account balance pursuant to subpart C of this part;
(b)EFTPS ACH credit and debit transactions, Fedwire® non-value transactions, and Fedwire® value transfers pursuant to subpart B of this part;
(c)Direct investments, SDIs, dynamic investments, and term investments pursuant to subpart D of this part; and
(d)Other excess Treasury operating funds. § 203.20 Investment account requirements.
(a)*Additions.* Treasury will invest funds in obligations of collector depositaries that accept term investments, investor depositaries, or retainer depositaries. Such obligations will be in the form of open-ended interest-bearing notes, or in the case of term investments, interest-bearing notes maintained for a predetermined period of time, and additions and reductions will be reflected on the books of the TSC.
(1)*PATAX.* The TSC will credit the TIP main account balance as stated in § 203.16(a) for an investor or retainer depositary processing tax deposits through PATAX.
(2)*EFTPS* .
(i)*ACH debit and ACH credit.* The TSC will credit a depositary's TIP main account balance, and credit the depositary's reserve account if capacity exists, for the amount of EFTPS ACH debit and credit entries on the day such entries settle.
(ii)* Fedwire ® value and non-value transactions. * The TSC will credit a depositary's TIP main account balance if capacity exists, throughout the day on the day of settlement, for the amount of Fedwire ® value and non-value transactions. In the case of Fedwire® value transactions, the depositary's reserve account will also be credited.
(b)*Additional offerings.* Other funds from Treasury may be offered from time to time to depositaries participating in the investment program through direct investments, SDIs, term investments, or other investment programs.
(c)*Withdrawals.* The amount of a TIP main account balance or SDI account balance is payable on demand without prior notice. The TSC will make calls for payment at the direction of the Secretary. On behalf of Treasury, the TSC will debit the depositary's reserve account on the day specified in the call for payment.
(d)*Interest.* The TIP main account balance and the SDI account balance bear interest at the TT&L rate of interest. Such interest is payable by a charge to the depositary's reserve account in the manner prescribed in the procedural instructions.
(e)*Balance limits.*
(1)*Retainer and investor depositaries.* A retainer or investor depositary must establish an initial balance limit for its TIP main account balance by providing notice to that effect in writing to the TSC. The balance limit is the amount of funds for which a retainer or investor depositary is willing to provide collateral in accordance with § 203.21(c)(1). The depositary must follow the procedural instructions before reducing the established balance limit unless the reduction results from a collateral revaluation as determined by the FRB. That portion of any PATAX or EFTPS tax payment which, when posted at the FRB, would cause the TIP main account balance to exceed the balance limit specified by the depositary, will be withdrawn by the FRB that day.
(2)*Direct investments.* An investor depositary that participates in direct investments must set a balance limit for direct investment purposes which is higher than the peak balance normally generated by the depositary's PATAX and EFTPS tax payment inflow. The depositary must follow the procedural instructions before reducing the established balance limit.
(3)*SDIs.* SDIs are credited to the SDI account balance and are not considered in setting the amount of the TIP main account balance limit or in determining the amounts to be withdrawn where a depositary exceeds its TIP main account balance limit.
(f)*TIO.* Treasury may, from time to time, invest excess operating funds in obligations of depositaries awarded funds under TIO. Such obligations will be in the form of interest-bearing notes payable upon a predetermined period of time not to exceed 90 days. Such notes will bear interest at a rate prescribed by the Secretary by auction or otherwise taking into consideration prevailing market interest rates. § 203.21 Collateral security requirements. Financial institutions that process EFTPS tax payments, but that are not TT&L depositaries, have no collateral requirements under this part. Financial institutions that are TT&L depositaries have collateral security requirements, as follows:
(a)*Investor and retainer depositaries* .
(1)*PATAX and EFTPS tax payments.* Investor and retainer depositaries must pledge collateral security in accordance with the requirements of paragraphs (c)(l), (d), and
(e)of this section in an amount that is sufficient to cover the TIP main account balance and the balance in the TT&L account that exceeds the recognized insurance coverage.
(2)*Direct investments.* An investor depositary is required to pledge collateral in accordance with the requirements of paragraphs (c), (d), and
(e)of this section no later than the day before a direct investment is placed. However, each investor depositary participating in same-day direct investments must pledge, prior to the announcement, collateral up to its balance limit to obtain the depositary's maximum portion of the same-day direct investment.
(3)*SDIs.* The day before SDIs are credited to an investor depositary's SDI account balance, the depositary must pledge collateral security, in accordance with the requirements of paragraphs (c)(2), (d), and
(e)of this section, to cover the total of the SDIs to be received.
(4)*TIO.* Each depositary participating in the term investment program must pledge, prior to the time the term investment is placed, collateral in accordance with paragraphs (c)(1), (c)(2) for certain term investments as determined by Treasury, (d), and
(e)of this section sufficient to cover the total TIO account balance.
(b)*Collector depositaries.* Prior to crediting FTD deposits to the TT&L account, a collector depositary must pledge collateral security, in accordance with the requirements of paragraphs (c)(1), (d), and
(e)of this section, in an amount which is sufficient to cover the balance in the TT&L account that exceeds the recognized insurance coverage.
(c)*Deposits of securities.*
(1)Collateral security required under paragraphs (a)(1), (2),
(4)(except as provided in subparagraph
(2)below), and
(b)of this section must be deposited with the depositary's FRB, or with a custodian or custodians within the United States designated by the TSC or FRB, under terms and conditions prescribed by the TSC or FRB.
(2)A depositary pledging collateral security as required under paragraph (a)(3) or paragraph (a)(4) (when permitted) of this section must pledge the collateral under a written security agreement on a form provided by the FRB. The collateral security pledged to satisfy the requirements of paragraphs (a)(3) and (a)( 4) (when permitted) of this section may remain in the pledging depositary's possession provided that the pledging is evidenced by advices of custody incorporated by reference in the written security agreement. The depositary must provide the written security agreement and all advices of custody covering collateral security pledged under that agreement to the FRB. Collateral security pledged under the agreement may not be substituted for or released without the advance approval of the FRB, and any collateral security subject to the security agreement will remain so subject until an approved substitution is made. No substitution or release will be approved until an advice of custody containing the description required by the written security agreement is received by the FRB.
(3)Treasury's security interest in collateral security pledged by a depositary in accordance with paragraphs (c)(2) of this section to secure SDIs and certain term investments is perfected without Treasury taking possession of the collateral security by filing or, absent filing, for a period not to exceed 20 calendar days from the day of the depositary's receipt of the special direct or term investment.
(d)*Acceptable collateral.* The types of securities that may be used as collateral, and how those securities are valued, are set forth in 31 CFR part 380. ( e) *Assignment of securities.* By pledging acceptable securities which are not negotiable without the depositary's endorsement or assignment, a TT&L depositary, in lieu of placing its unqualified endorsement on each security, appoints the FRB or its assigns as the depositary's attorney-in-fact with full irrevocable power and authority to endorse, assign or transfer the securities, and represents and warrants that an appropriate resolution authorizing the granting of such irrevocable power of attorney has been executed and adopted. The powers of attorney so granted are coupled with an interest and are irrevocable, and full power of substitution is granted to the assignee or holder.
(f)*Effecting payments of principal and interest on securities or instruments pledged as collateral.*
(1)*General.* Treasury, without notice or demand, may sell or otherwise collect the proceeds of all or part of the collateral, including additions, substitutions, interest, and distribution of principal, and apply the proceeds to satisfy any claims of the United States against the depositary, if any of the following events occur:
(i)The depositary fails to pay, when due, the whole or any part of the funds received by it for credit to the TT&L account and, if applicable, its TIP main account balance, SDI account balance, or TIO account balance;
(ii)The depositary fails to pay when due amounts owed to the United States or the United States Treasury;
(iii)The depositary otherwise violates or fails to perform any of the terms of this part or any of the procedural instructions entered into hereunder; or
(iv)The depositary is closed for business by regulatory action or by proper corporate action, or a receiver, conservator, liquidator, or any other officer is appointed for the depositary. All principal and interest payments on any security pledged to protect the TIP main account balance, the SDI account balance, the TIO account balance or the TT&L account, as applicable, due as of the date of the insolvency or closure or thereafter becoming due, will be held separate and apart from any other assets and will constitute a part of the pledged security available to satisfy any claim of the United States.
(2)*Payment procedures.*
(i)Subject to the waiver in paragraph (f)(2)(iii) of this section, each depositary (including, with respect to such depositary, an assignee for the benefit of creditors, a trustee in bankruptcy, or a receiver in equity) will, as soon as possible, remit to the FRB, as Fiscal agent, each payment of principal and/or interest received by it with respect to collateral pledged pursuant to this section. The remittance will be made no later than 10 days after receipt of such a payment.
(ii)Subject to the waiver in paragraph (f)(2)(iii) of this section, each obligor on a security pledged by a depositary pursuant to this section, upon notification that Treasury is entitled to any payment associated with that pledged security, must make each payment of principal and/or interest due with respect to such security directly to the FRB, as Fiscal agent of the United States.
(iii)The requirements of paragraphs (f)(2)(i) and
(ii)of this section are hereby waived for only so long as a pledging depositary avoids both termination from the program under § 203.7 and also those circumstances identified in paragraph (f)(1) which may lead to the collection of the proceeds of collateral or the waiver is otherwise terminated by Treasury. Dated: October 11, 2007. Kenneth R. Papaj, Commissioner. [FR Doc. 07-5135 Filed 10-18-07; 8:45 am]
Connectionstraces to 33
Traces to 33 documents
U.S. Code
22 references not yet in our index
  • 10 CFR 20
  • Pub. L. 109-58
  • 119 Stat. 594
  • Pub. L. 104-113
  • 68 Stat. 930
  • 106 Stat. 2951
  • 88 Stat. 1242
  • 112 Stat. 2750
  • 15 CFR 748
  • Pub. L. 107-296
  • Pub. L. 109-347
  • 19 CFR 171
  • 21 CFR 880
  • 21 CFR 807
  • 5 USC 601-612
  • Pub. L. 104-4
  • 31 CFR 203
  • 31 CFR 210
  • 31 CFR 380
  • 41 CFR 60
  • EO 11701
  • 3 CFR 1971
Citation graph
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Final rule
C.F.R.§ 20.2207
U.S.C.§ 553
C.F.R.§ 51.22
U.S.C.§ 3501
U.S.C.§ 552
U.S.C.§ 2073
U.S.C.§ 5841
U.S.C.§ 3504
Fed. Reg.Notices
Cite10 CFR 20
Pub. L.Pub. L. 109-58
Stat.119 Stat. 594
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