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{ "pdf_file": "4UCZ4AEHAQQE2MYSFOGR6GRRPKNIAFCW.pdf", "text": "1\nRulervu.doc last revised 3/15/02Rule and Interpretive/Policy Statement Review Checklist\n(This form must be filled out electronically.)\nThis form is to be used when the current versi on of the rule(s) has/have not previously been\nreviewed. When reviewing an interpretive or po licy statement, this document is to be used\nonly if the review of the statement is not in conjunction with the review of a rule.\nAll responses should be bolded .\nDocument(s) Reviewed (include title): WAC 458-61-090 Interest and penalties—Date of sale\nDate last adopted/issued: 7/31/1999\nReviewer: Ed Ratcliffe\nDate review completed: 8/19/2002\nBriefly explain the subject matter of the document(s): Chapter 82.45 RCW imposes an excise\ntax on real estate sales. This tax is imposed at the time of sale. WAC 458-61-090 explains\nhow to determine the date of sale. It also ex plains the application of interest and penalties\nwhen the tax is not paid within thirty days of the date of sale.\nType an “X” in the column that most correctly answers the question, and provide clear, concise,\nand complete explanations where needed.\n1. Public requests for review:\nYES NO\nX Is this document being reviewed at this time because of a public (e.g.,\ntaxpayer or business association) request?\nIf “yes,” provide the name of the taxpayer/busin ess association and a brief explanation of the\nissues raised in the request.\n2. Need:\nYES NO\nXIs the document necessary to comply with the statutes that authorize it? (E.g.,\nIs it necessary to comply with or clarify the application of the statutes that arebeing implemented? Does it provide detailed information not found in the\nstatutes?)\nX Is the information provided in the document so obsolete that it is of little\nvalue, warranting the repeal or revision of the document?\nX Have the laws changed so that the doc ument should be revised or repealed?\n(If the response is “yes” that the document should be repealed, explain andidentify the statutes the rule implemented, and skip to Section 10.)\nXIs the document necessary to protect or safeguard the health, welfare (budget\nlevels necessary to provide services to the citizens of the state of 2\nRulervu.doc last revised 3/15/02Washington), or safety of Washington’s c itizens? (If the response is “no”, the\nrecommendation must be to repeal the document.)\nPlease explain.\n3. Related interpretive/policy statements, court decisions, BTA decisions, and WTDs:\nComplete Subsection (a) only if reviewing a rule. Subsection (b) should be completed only if the\nsubject of the review is an interpretive or policy statement. Excise Tax Advisories (ETAs),\nProperty Tax Advisories and Bulletins (PTAs/PTB s), and Interim Audit Guidelines (IAGs) are\nconsidered interpretive and/or policy statements.\n(a)\nYES NO\nX Are there any interpretive or policy st atements that should be incorporated\ninto this rule? (An Ancillary Document Review Supplement should becompleted for each and submitted with this completed form.)\n X Are there any interpretive or policy statements that should be cancelled\nbecause the information is currently incl uded in this or another rule, or the\ninformation is incorrect or not needed? (An Ancillary Document ReviewSupplement should be completed for each and submitted with this completed\nform.)\nX Are there any Board of Tax Appeals (BTA) decisions, court decisions, or\nAttorney General Opinions (AGOs) that provide information that should be\nincorporated into this rule?\n X Are there any administrative decisions (e.g., Appeals Division decisions\n(WTDs)) that provide information that should be incorporated into the rule?\n(b)\nYES NO\nShould this interpretive or policy stat ement be incorporated into a rule?\nAre there any Board of Tax Appeals (BTA) decisions, court decisions, or\nAttorney General Opinions (AGOs) that affect the information now providedin this document?\nAre there any administrative decisions (e.g., Appeals Division decisions(WTDs)) that provide information that should be incorporated into thedocument?\nIf the answer is “yes” to any of the questions in (a) or (b) above, identify the pertinent\ndocument(s) and provide a brief summary of the in formation that should be incorporated into the\ndocument.\n4. Clarity and Effectiveness:\nYES NO\nX Is the document written and organized in a clear and concise manner?\nX Are citations to other rules, laws, or other authority accurate? (If no, identify\nthe incorrect citation below and provide the correct citation.)\nX Is the document providing the result(s) that it was originally designed to 3\nRulervu.doc last revised 3/15/02achieve? (E.g., does it reduce the need fo r taxpayers to search multiple rules\nor statutes to determine their tax-reporting responsibilities or help ensure thatthe tax law and/or exemptions are consistently applied?)\nX Do changes in industry practices warrant repealing or revising this document?\nX Do administrative changes within the Department warrant repealing or\nrevising this document?\nPlease explain.\n5. Intent and Statutory Authority:\nYES NO\nX Does the Department have sufficient authority to adopt this document? (Cite\nthe statutory authority in the explanation below.)\nX Is the document consistent with the legislative intent of the statute(s) that\nauthorize it? (I.e., is the information provided in the document consistent with\nthe statute(s) that it was designed to implement ?) If “no,” identify the\nspecific statute and explain below. List all statutes being implemented inSection 9, below.)\nX Is there a need to recommend legisla tive changes to the statute(s) being\nimplemented by this document?\nPlease explain. RCW 82.45.150 provides the department rule-making authority for the\neffective administration of this chapter.\n6. Coordination: Agencies should consult with and coordi nate with other governmental entities\nthat have similar regulatory requirements wh en it is likely that coordination can reduce\nduplication and inconsistency.\nYES NO\nX Could consultation and c oordination with other governmental entities and/or\nstate agencies eliminate or reduce duplication and inconsistency?\nPlease explain. The department has exclusive authorit y for making and administering excise\ntax rules. The subject matter of WAC 458-61-090 (determining the date of sale for real\nestate transactions and applying interest and penalty to delinquent real estate liabilities) is\napplied by county officials and other professionals involved in the transfer of real estatetitles. The department continues to work closely with stakeholders, including the\nWashington Association of County Official s, to eliminate or reduce inconsistency.\n7. Cost: When responding, consider only the costs imposed by the document being reviewed\nand not by the statute.\nYES NO\nX Have the qualitative and quantitative benefits of the document been\nconsidered in relation to its costs? (Answer “yes” only if a Cost BenefitAnalysis was completed when the rule was last adopted or revised.) 4\nRulervu.doc last revised 3/15/02Please explain. This is an interpretive rule that imposes no new or additional administrative\nburdens on businesses that are not already imposed by the law.\n8. Fairness: When responding, consider only the impacts imposed by the document being\nreviewed and not by the statute.\nYES NO\nX Does the document result in equitable treatment of those required to comply\nwith it?\nX Should it be modified to eliminate or minimize any disproportionate impacts\non the regulated community?\nX Should the document be strengthened to provide additional protection to\ncorrect any disproportionate impact on any particular segment of the regulatedcommunity?\nPlease explain. This rule defines the date of sale, clarifies application of penalties and\ninterest, and describes when payment is due. The rule provides standards which promote\nequitable treatment through consistent application of the underlying statutes.\nThe document nonetheless should cross-reference the date of sale information for sales of a\ncontrolling interest of an entity owning Washington real property and provide direction fordetermining the date of sale when water rights are transferred.\n9. LISTING OF DOCUMENTS REVIEWED: Use “bullets” with any lists, and include\ndocuments discussed above. Citations to statutes, interpretive or policy statements, and similar\ndocuments should include titles. Citations to Attorney General Opinions (AGOs) and court,\nBoard of Tax Appeals (BTA), and Appeals Divi sion (WTD) decisions should be followed by a\nbrief description (i.e., a phrase or sentence) of the pertinent issue(s).\nStatute(s) Implemented:\n• Chapter 82.45 (Excise tax on real estate sales). In particular, RCW 82.45.100 (Tax\npayable at time of sale--Interest, penalties, on unpaid or delinquent taxes--Prohibition\non certain assessments or refunds--Deposit of penalties.)\n• Chapter 82.46 (Counties and cities--Excise tax on real estate sales).\nInterpretive and/or Policy Statements (e.g., ETAs, PTAs, IAGs): None.\nCourt Decisions: None.\nBoard of Tax Appeals Decisions (BTAs): None.\nAppeal Division Decisions (WTDs):\n• 8 WTD 065 (1989)(Date of sale occurs upon the time of sale. It does not require full\npayment on the date of sale to trigger the tax.)\n• 8 WTD 289 (1989)(Loss of tax payment in mail does not delay application of penalty.)\nAttorney General Opinions (AGOs): None 5\nRulervu.doc last revised 3/15/02Other Documents (e.g., special notices or Tax Topi c articles, statutes or regulations administered\nby other agencies or government entities, statutes, rules, or other documents that were reviewedbut were not specifically relevant to the s ubject matter of the document being reviewed):\n10. Review Recommendation:\n x Amend\n Repeal/Cancel (Appropriate when action is not conditioned upon another rule-\n making action or issuance of an interpretive or policy statement.)\n Leave as is (Appropriate even if the recommendation is to incorporate the\ncurrent information into another rule.)\n Begin the rule-making process for possible revision. (Applies only when the\n Department has received a petition to revise a rule.)\nExplanation of recommendation: Provide a brief summary of your recommendation. If\nrecommending that the rule be amended, be sure to note whether the basis for the\nrecommendation is to:\n• Correct inaccurate tax-reporting information now found in the current rule;\n• Incorporate legislation;\n• Consolidate information now available in ot her documents (e.g., ETAs, WTDs, and court\ndecisions); or\n• Address issues not otherwise addressed in othe r documents (e.g., ETAs, WTDs, and court\ndecisions).\nThe rule should be revised to cross-reference th e date of sale information for sales of a\ncontrolling interest of an entity owning Washington real property. It should also providedirection for determining the date of sa le when water rights are transferred.\n11. Manager action: Date: ________________\n_____ Reviewed and accepted recommendationAmendment priority:\n 1\n 2\n 3\n 4" }

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{ "pdf_file": "VO66JSS7SABXXEGDWBGAGNCD62PQ2MAB.pdf", "text": "In the COMMONWEALTH OF KENTUCKY \nBEFORE THE PUBLIC SERVICE COMMISSION \nMatter of: \nLOUISVILLE GAS & ELECTRIC - \nALLEGED FAILURE TO COMPLY WITH \nKRS 278.042 \nORDER \nLouisville Gas & Electric (“LG&E”), a Kentucky corporation which engages in the ) \n) CASENO. \n) \n) ) 2012-00103 \ndistribution of electricity to the public for compensation for lights, heat, power, and other \nuses, is a utility subject to Commission jurisdiction.’ \nKRS 278.042 requires the Commission to ensure that each electric utility \nconstructs and maintains its plant and facilities in accordance with accepted engineering \npractices as set forth in the Commission’s administrative regulations and orders and in \nthe most recent edition of the National Electrical Safety Code YNESC”). \nKRS 278.030 requires every utility to furnish adequate, efficient and reasonable \nservice. KRS 278.260 permits the Commission, upon its own motion, to investigate any \nact or practice of a utility that affects or is related to the service of a utility. KRS \n278.280(1) further permits the Commission, after conducting such investigation and \nfinding that a practice is unreasonable, unsafe, improper, or inadequate, to determine \nthe reasonable, safe, proper, or adequate practice or methods to be observed and to fix \nthe same by Order. \n’ KRS 278.010(3)(a). Pursuant to 278.280(2), which directs the Commission to prescribe rules and \nregulations for the performance of services by utilities, the Commission has \npromulgated Administrative Regulation 807 KAR 5:006, Section 24, which requires all \nutilities to adopt and execute a safety program. \nCommission Staff submitted an Incident Investigation Report (“Report”) to the \nCommission regarding this incident, which is attached as Appendix A. The report \nalleges that, on July 20, 2011, at 15500 Bridal Gate Drive in Louisville, Kentucky, \nMatthew Christy, an employee of The Fishel Company (“Fishel”), a contractor for LG&E, \nsustained burn injuries as a result of an accident while making repairs to an \nunderground residential distribution (“URD”). \nAccording to the Report, on the day of the incident, the victim was working under \nthe supervision of another Fishel employee, Jimmy Wiliams. Both Mr. Christy and Mr. \nWilliams were making repairs to a 12 kV underground primary conductor. An arc \noccurred while the crew was making repairs in a pull box at this location. Mr. Chirsty \nand Mr. Williams had been at the site on June 30, 2011 to locate the fault on the \nconductor, at which time they isolated and stood off the damaged conductor at \nTransformer #85782. At the time of the incident, they were preparing to replace the \ndamaged conductor. According to Fishel’s report and the statement of Mr. Williams, the \ncrew used the voltage detector at the elbow terminator in Transformer #85782 and it \nshowed no voltage. At that time, Mr. Williams instructed Mr. Christy to open the pull \nbox, remove the conductors from the pull box, and test the conductors. According to \nFishel’s report, Mr. Christy tested the conductors twice. According to LG&E’s report, \nMr. Williams stated that Mr. Christy put on his 20,000 volt gloves and sleeves to do the \n-2- Case No. 2012-00103 testing. After the testing, both LG&E and Fishel state that Mr. Christy removed his \ngloves and sleeves to make repairs to the conductor. According to LG&E’s seven-day \nreport, Mr. Christy pulled the elbow off the feed-through and touched it to the eye bolt \non the feed-through causing an arc. Mr. Chirsty received injuries to both hands and his \nleft foot. \nBased on Commission Staffs investigation of the incident, information contained \nin the Report, and the information provided by LG&E in its seven-day summary report \n(Attachment A to the Report), Commission Staff alleges that LG&E has vioiated the \nfollowing provisions of the NESC: \n1. 2007 NESC Section 42, Rule 420.C-General Rules for \nEmployees-Personal General Precautions-Safeguarding Oneself \nand Others \n4. Employees who work on or in the vicinity of energized lines shall \nconsider all of the effects of their actions, taking into account their \nown safety as well as the safety of other employees on the job site, \nor on some other part of the affected electric system, the property \nof others, and the public in general. \n5. No employee shall approach or bring any conductive object, \nwithout a suitable insulating handle, closer to any exposed \nenergized part than allowed by Rule 431 (communication) or Rule 441 (supply), as applicable. \n2. 2007 NESC Section 42, Rule 420.H-Personal General \nPrecautions-Tools and Protective Equipment \nEmployees shall use the personal protective equipment, the \nprotective devices, and the special tools provided for their work. \nBefore starting work, these devices and tools shall be carefully \ninspected to make sure that they are in good condition. \n3. 2007 NESC Section 42, Rule 421.A-Duties of a first-level \nsupervisor or person in charge \nThis individual shall: I. Adopt such precautions as are within the \nindividual’s authority to prevent accidents. 2. See that safety rules \n-3- Case No. 2012-00103 and operating procedures are observed by the employee under the \ndirection of this individual . . . . 5. Prohibit the use of tools or \ndevices unsuited to the work at hand or that have not been tested \nor inspected as required. \n4. 2007 NESC Section 44, Rule 441.1-Additional Rules for supply \nemployees-Energized Conductors or Parts-Minimum Approach \nDistance to Live Parts-General \nEmployees shall not approach, or knowingly permit others to \napproach any exposed ungrounded part normally energized except \nas permitted by this rule. Minimum Approach Distance to live parts. \nEmployees shall not approach or bring any conductive objects \nwithin the minimum approach distance listed in Table 441-1 or \nTable 441-4 to exposed parts unless one of the following is met: a. \nThe line or part is de-energized and grounded per Rule 444D. b. \nThe employee is insulated from the energized line or part. \nElectrical protective equipment insulated for the voltage involved, \nsuch as tools, gloves, rubber gloves or rubber gloves with rubber \nsleeves, shall be considered effective insulation for the employee \nfrom the energized part being worked. c. The energized line or part \nis insulated from the employee and from any other line or part at \ndifferent voltages. d. The employee is performing barehand live- \nline work according to Rule 446. \n5. 2007 NESC Section 44, Rule 443.A.3-Work on Energized Lines \nand Equipment-General Requirements \nAll employees working on or in the vicinity of lines or equipment \nexposed to voltages higher than those guarded against by the \nsafety protective equipment provided shall assure themselves that \nthe equipment or lines on which they are working are free from \ndangerous leakage or induction, or have been effectively grounded. \n6. 2007 NESC Section 44, Rule 444-De-energizing Equipment or \nLines to Protect Employees-D. Employee’s Protective Grounds \nWhen all the switches and disconnectors designated have been \noperated, rendered inoperable where practical, and tagged in \naccordance with Rule 4446, and the employee has been given \npermission to work by the designated person, the employee in \ncharge should immediately proceed to make the employees own \nprotective grounds or verify that adequate grounds have been \napplied (see Rule 445) on the disconnected lines equipment. \nDuring the testing for potential and/or application of grounds, \ndistances not iess than those shown in Table 441-1, Table 441-2, \n-4- Case No. 2012-00103 7. and Table 441-3, as applicable, shall be maintained. Grounds shall \nbe placed at each side of the work location and as close as \npractical to the work location or a worksite ground shall be placed \nat the work location, If work is to be performed at more than one \nlocation 0n.a line section, the line section shall be grounded and \nshort-circuited at one location on the line section and the conductor \nto be worked on shall be grounded at each location. The distance \nin Table 441-1, Table 441-2, or Table 441-3, as applicable, shall be \nmaintained from ungrounded conductors at the work location. \nWhere the making of a ground is impractical, or the conditions \nresulting therefrom are more hazardous than working on the lines \nor equipment without grounding, the ground may be omitted by \nspecial permission of the designated person. \nE. Proceeding with work-I. After the equipment or lines have \nbeen de-energized and grounded per Rule 444D, the employee in \ncharge, and those under the direction of the employee in charge, \nmay proceed with work on the de-energized parts. Equipment may \nbe re-energized for testing purposes only under the supervision of \nthe employee in charge and subject to authorization by the \ndesignated person. \n2007 NESC Section 44, Rule 446-Protective grounds-A. \nInstalling grounds-2. Initial connections \nBefore grounding any previously energized part, the employee shall \nfirst securely connect one end of the grounding device to an \neffective ground. Grounding switches may be employed to connect \nthe equipment or lines being grounded to the actual ground \nconnections. \n4. Completing Grounds-a. If the part shows no voltage, the \ngrounding may be completed. b. If voltage is present, the source \nshall be determined to ensure that presence of this voltage does \nnot prohibit completion of the grounding. c. After the initial \nconnections are made to ground, the grounding device shall next \nbe brought into contact with the previously energized part using \ninsulating handles or other suitable devices and securely clamped \nor otherwise secured thereto. Where bundled conductor lines are \nbeing grounded, grounding of each subconductor should be made. \nOnly then may the employee come within the distances from the \npreviously energized parts specified in Rule 441A or proceed to \nwork upon the parts as upon a grounded part. \n-5- Case No. 2012-00103 8. 2007 NESC Section 41, Rule 411-Protective methods and \ndevices-E. Identification and location \nMeans shall be provided so that identification of supply and \ncommunication lines can be determined before work is undertaken. \nPersons responsible for underground facilities shall be able to \nindicate the location of their facilities. \nCommission Staff also alleges that LG&E has violated the following provision of \n807 KAR 5:006: \nSection 22. System Maps and Records. \n(I) Each utility shall have on file at its principal office located \nwithin the state and shall file upon request with the commission a \nmap or maps of suitable scale of the general territory it serves or \nholds itself ready to serve showing the following: \n(a) Operating districts. \n(b) Rate districts. \n(c) Communities served. \n(d) \n(e) \n(9 Location and size of transmission lines, distribution \nlines and service connections. \nLocation and layout of all principal items of plant. \nDate of construction of all items of plant by year and \nmonth. \n(2) In each division or district office there shall be available \ninformation relative to the utility’s system that will enable the local \nrepresentative to furnish necessary information regarding the \nrendering of service to existing and prospective customers. \n(3) In lieu of showing the above information on maps, a card \nrecord or other suitable means may be used. For all construction the \nrecords shall also show the date of construction by month and year. \nBased on its review of the Report and being otherwise sufficiently advised, the \nCommission finds that prima facie evidence exists that LG&E has failed to comply with \nKRS 278.042. We further find that a formal investigation into the incident that is the \nsubject matter of the Report should be conducted and that this investigation should also \nexamine the adequacy, safety, and reasonableness of LG&E’s practices related to the \nconstruction, installation and repair of electric facilities. \n-6- Case No. 2012-00103 The Commission, on its own motion, HEREBY ORDERS that: \nI. LG&E shall submit to the Commission, within 20 days of the date of this \nOrder, a written response to the allegations contained in the Report. \n2. LG&E shall appear on September 25, 2012, at 1O:OO a.m., Eastern Time, \nin Hearing Room 1 of the Commission’s offices at 211 Sower Boulevard in Frankfort, \nKentucky for the purpose of presenting evidence concerning the alleged violations of \nKRS 278.042 and of showing cause why it should not be subject to the penalties \nprescribed in KRS 278.990(1) for these alleged violations. \n3. At the scheduled hearing in this matter, LG&E shall also present evidence \non the adequacy, safety, and reasonableness of its practices related to the construction, \ninstallation, and repair of electric facilities and whether such practices require revision \nas related to this incident. \n4. \n5. \n6. The September 25, 2012 hearing shall be recorded by videotape only. \nThe Report in Appendix A is made a part of the record in this case. \nAny requests for an informal conference with Commission Staff shall be \nset forth in writing and filed with the Commission within 20 days of the date of this \nOrder. \nBy the Commission \nENTERED & \n2 \nKENTUCKY PUBLIC \nSERVICE COMMISSION \nCase No. 2012-00103 APPENDIX A \nAPPENDIX TO AN ORDER OF THE KENTUCKY PUBLIC SERVICE \nCOMMISSION IN CASE NO. 2012-00103 DATED Steven L. Beshear \nGovernor \nLeonard K. Peters \nSecretary \nEnergy and Environment Cabinet Commonwealth of Kentucky \nPublic Service Commission \n21 1 Sower Blvd \nP.0 Box615 \nFrankfort, Kentucky 40602-0615 \nTelephone. (502) 564-3940 \nFax: (502) 564-1 582 \npsc. ky.gov \nKENTUCKY PUBLIC SERVICE COMMISSION \nINCIDENT INVESTIGATION REPORT David L. Armstrong \nChairman \nJames W. Gardner \nVice Chairman \nPSC I of 285 Utility: Louisville Gas and Electric (LG&E) \nContract Company: Fishel \nReported By: Ken Sheridan \nAddress: 220 West Main Street, Louisville, Kentucky 40202 \nContact Information: Phone: (502) 627-3061 \nDate Incident Occurred: July 20, 201 1 Approximate Time: 1 :OO PM EST \nDate Utility Notified: July 20, 201 1 Approximate Time: 1 :30 PM EST \nDate PSC Notified: Approximate Time: 2:48 PM EST \nDate PSC Investigated: Approximate Time: 4:40 PM EST \nPSC Investigator: Jeff Moore \nIncident Location: 15500 Bridal Gate Drive, Louisville, Kentucky County: Jefferson \nFatality: No \nInjury: Yes 1 Person. Possible entry wound to the right hand, burns to the left hand, and exit wound to the left foot. \nName(s): Matthew Christy \nEmployer: Fishel \nWitness: Jimmy Williams Address: 7612 Frasier Town Road Employer: Fishel Title: Safety Director \nEmail: ken.sheridan@lge-ku.com \nJuly 20, 201 1 \nJuly 20, 201 1 \nPee Wee Valley, KY \nSeven-Day Report Received: July 27,201 1 \nAdditional Information Requested and Received: \nSeptember 13'h, 201 1 : Supplemental Documentation \nOctober 12'h, 201 1 : Addendum Report \nOctober 1 8'h, October 28'h, and November 16'h, 201 1 : Emails requesting documentation and clarification pertaining to \nthe requested information listed. \nInformation From: Keith McBride Department: Safety Company: LG&E/KU. \nJim Dimas Legal LG&E/KU \nKelly Gibson Legal LG&E/KU \nRich Mauldin Area Manager Fishel \nIncident Description: \nOn July 20th, 201 1 Public Service Commission (PSC) staff was notified by LG&E's safety department that a Fishel \nemployee was injured while making repairs to a (12 Kv) underground primary conductor. According to LG&E's safety \ndepartment, Mr. Christy and Mr. Williams (crew), who work for Fishel (L-G&E contractor), were repairing a section of \nunderground residential distribution (URD) located at 15500 Bridal Gate Drive. An arc occurred while the crew was \nmaking repairs in a pull box at this location thus injuring Mr. Christy. Mr. Christy was transported to University Hospital \nand admitted overnight for observation. PSC investigator conducted a site investigation on July 20th, 201 1 at 15500 \nBridal Gate Drive, Jeffersontown, Kentucky. Information from the site investigation is listed in the findings section of \nthis report. \nFindings: During the PSC incident site investigation on July 20th, 2011 at 15500 Bridal Gate Drive, Louisville, \nKentucky; photographs were taken at and around the incident site location. Photographs taken by PSC investigator \nnote burns and damage to the underground primary conductor, feed through, and elbow terminators at the incident \nPSC 2 of 285 site/pull box. Photographs were taken of the corresponding transformers and pull box near the incident site which is \nshown in the URD system diagram. Also photographs of the voltage detection device (A. B. Chance) the crew stated \nthey used to determine if the conductor was de-energized. See Attachment D; PSC Photographs on pages 246 - \n272 and Attachment A; Utility Photographs on pages 15 - 29. \nAccording to LG&E and Fishel personnel at the incident investigation site, the crew was preparing to replace the \ndamaged conductor at 15500 Bridle Gate Drive. The crew verified the conductor was still isolated and stood off on a \nparking bushing at transformer 85782. The crew had been at the site on June 30th, 2011 to locate the fault on the \nconductor. The damaged conductor was located at transformer (85782) which provides service to a home at 15500 \nBridle Gate Drive. See Attachment A; Utility Photographs on page 21. \nAccording to LG&E and Fishel personnel at the incident site, the crew checked the transformer 85782 located at \n15500 Bridal Gate Drive to confirm the conductor being replaced was still stood off on the parking bushing as they had \nleft when locating the fault on June 30th, 2011. According to Fishel's report and Mr. Williams, the crew used the \nvoltage detector at the elbow terminator (elbow) in transformer 85782, and it showed no voltage. The crew then \nwalked back to the pull box located at the incident site. Mr. Williams instructed Mr. Christy to open the pull box, \nremove the conductors from the pull box, and test the conductors. Mr. Christy tested the conductors twice according to \nFishel's report. According to LG&E's report, Mr. Williams stated Mr. Christy put his 20,000 volt gloves and sleeves on \nto test the conductor to be replaced See Attachment A; Utility Photographs on pages 15 and 16. Mr. Williams \nsaid he walked back to the truck and did not see the incident, but did hear the arc. He turned to notice Mr. Christy fall \nto the ground, Mr. Williams dialed 911 at that time. According to LG&E's investigation report, Mr. Christy received \ninjuries to both hands and his left foot. Mr. Christy was released the next day on .July 2Is', 2011. Mr. Christy was \ninterviewed by Keith McBride on July 22\"d, 201 1 at the Team Fishel office. \nAccording to LG&E personnel at the incident site, Mr. Christy checked the conductor at the pull box at which he \nwas working with the A. B. Chance voltage detection device. The device indicated the conductor was not energized. \nDuring the site investigation LG&E personnel visually inspected the voltage detection device used by the Fishel \nemployee and noticed that the indicating display was inconsistent. It was also noted that a test date could not be found \non the A. B. Chance voltage detection device. See Attachment A; Utility Photographs on pages 22 - 25 and \nAttachment D; PSC Photographs on pages 246 - 248 of the A. B. Chance Testing Device. On September 8'h, \n201 1 PSC investigator requested documentation showing the required testing on the A. B. Chance voltage detector \nused the day of the incident. LG&E's response; as far as yearly testing, only when the tester is either damaged, found \nto not be working or the ability of the tester has come into question should the tester be sent out for testing. There are \nno requirements for yearly testing. See Attachment E; LG&E's email response on page 275. \nOn September gth, 201 1 PSC investigator requested that the voltage detection device be tested to determine if it could \nhave been giving a false reading. The test results are listed in the supplemental report dated September 7'h, 2011. \nSee Attachment B; Utility Supplemental Report on page 65. \nLG&E and Fishel staff stated Mr. Christy had removed his gloves and sleeves to make repairs on the conductor. \nAccording to LG&E's seven-day report, Mr. Christy pulled the elbow off the feed through and touched it to the eye bolt \n(which was grounded) on the feed through causing an arc. \nAfter reviewing the information provided in the seven-day report dated July 26Ih, 201 I, and the utility supplemental \nreport dated September 7'h, 2011, it was still not clear how the circuit was fed at the incident site. The PSC \ninvestigator requested a follow-up meeting with LG&E's safety department and Fishel personnel to discuss how the \ncircuit was fed and to clariv why this circuit was still energized at the incident site. The meeting took place on October \n6'h, 2011 at LG&E's East Service Center. LG&E's safety personnel had a diagram of the incident site drawn on the \nPSC 3 of 285 board showing how the circuit was fed before and after the incident. According to the diagram, the damaged conductor \nran through the pull box located between transformers 85513 and 85782. See Attachment C; Utility Addendum \nReport on pages 242 and 243. According to the diagram, the pull box between transformers 85513 and 85782 \nshould have been the location to make repairs on the damaged conductor \nOn November 1 Olh, 201 1 it was noted that the Canterbrook Farms schematic had been revised on July 27Ih, 201 1. \nSee Attachment C; Schematic dated July 27‘h, 2011 on page 237. PSC investigator sent an email request to clarify \nwhy this schematic was updated on July 271h, 201 1, and to provide a copy of the print before the changes made on \nJuly 27Ih, 201 1 showing the circuit feeding from transformer 84746 to the pull box located in front of 15500 Bridal Gate \nDrive. See Attachment E; Schematic dated February 12‘h, 1999 on page 281 and Attachment G; Overhead \nImage of Canterbrook Farms Subdivision on page 285. \nIt is still unclear why the Fishel crew went to the pull box located at the entrance of 15500 Bridal Gate Drive and \nnot the pull box located between transformers 8551 3 and 85782. It appears that the identifying numbers at the incident \nlocation could have been incorrect, and that the diagram on how the URD circuit fed at this location was possibly \nmisleading. Refer to the utility photographs taken at the incident site. See Attachment A; Utility Photographs on \npages 15 - 21. One of the elbow terminators received extensive damage, and it is difficult to determine the tag \nnumber. One number on the tag is legible, but is the number on the burnt tag a 6 or 9. An email was sent to LG&E’s \nsafety department asking if they could indentify the damaged tag. LG&E indentified the tag as 84746, and stated it \nwas associated with a transformer located on Pasafino Court See Attachment E; Email Correspondence on pages \n278 - 280 and Canterbrook Farms Schematic dated 2/12/99 on page 281. The schematic dated 2/12/99 shows the \nURD circuit going to the pull box located at the entrance of 15500 Bridal Gate Drive and not to transformer 85782 as \nshown in the schematic dated July 27‘h, 201 1, and as documented in Attachment C, Utility Addendum Report. It is \napparent that mapping/documentation could have been misleading, confusing and/or inaccurate and could have been \na contributing factor to this incident \nThe important aspect of this incident is the Fishel crew failed to follow proper grounding procedures after using \nthe A. B Chance voltage detection device to determine if the conductor was de-energized. When conductors or \nequipment are to be de-energized, then the final step to insure conductors or equipment are de-energized is to follow \nproper grounding procedures. LG&E’s \ngrounding procedures can be viewed in Attachment A; Utility Seven-Day Report on pages 31 - 60. The NESC has \ngrounding requirements also and, if applicable, shall be followed. Following these grounding procedures could have \nprevented the injuries to Mr. Christy. The crew did not follow proper grounding procedures at the work site. \nInvestigators Comments: \nDuring the follow-up visit with LG&E and Fishel personnel on October 6‘h, 2011 the terminology describing Mr. \nWilliams as an apprentice Ill was discussed, and Mr. Williams was recognized as Mr. Christy’s supervisor. PSC \ninvestigator expressed concerns about an apprentice supervising an apprentice. See Attachment B; Utility \nSupplemental Report on page 72 (VIII SUPERVISION OF APPRENTICES). LG&E and Fishel personnel explained \nMr. Williams was qualified to work on the URD system because of his past work experience and training, but did not \nhave adequate experience with overhead construction. Therefore, his title is listed as an Apprentice Ill with Fishel. \nLG&E staff suggested that Fishel review the company’s terminology/definition of a supervisor/person in charge. PSC \ninvestigator agreed with LG&E’s suggestion. \nPSC 4 of 285 Probable Violation(s): Cited from National Electric Code C2-2007 edition. \nKRS 278.042 \nService adequacy and safety standards for electric utilities--National Electrical Safety Code \n(1) For the purposes of this section, \"NESC\" means the National Electrical Safety Code as published by the Institute of \nElectrical and Electronics Engineers, Inc. \n(2) Except as otherwise provided by law, the Commission shall, in enforcing service adequacy and safety standards for \nelectric utilities, ensure that each electric utility constructs and maintains its plant and facilities in accordance with \naccepted engineering practices as set forth in the Commission's administrative regulations and orders and in the most \nrecent edition of the NESC. Effective: June 24, 2003 History: Created 2003 Ky. Acts ch. 84, sec. 1, effective June 24, \n2003. \n1. 420. Personal General Precautions: \nC. Safeguarding oneself and others: \n4. Employees who work on or in the vicinity of energized lines shall consider all of the effects of their \nactions, taking into account their own safety as well as the safety of other employees on the job site, or on \nsome other part of the affected electric system, the property of others, and the public in general. \n5. No employee shall approach or bring any conductive object, without a suitable insulating handle, \ncloser to any exposed energized part than allowed by Rule 431 (communication) or Rule 441 (supply), as \napplicable. \n2. 420. Personal General Precautions: \nH. Tools and Protective Equipment: \nEmployees shall use the personal protective equipment, the protective devices, and the special tools provided \nfor their work. Before starting work, these devices and tools shall be carefully inspected to make sure that \nthey are in good condition. \n3. 421. General Operating Routines: \nA. Duties of a First-Level Supervisor or Person in Charge: \nThis individual shall: \n1. Adopt such precautions as are within the individual's authority to prevent accidents. \n2. See that the safety rules and operating procedures are observed by the employees under the direction \nof this individual. \n5. Prohibit the use of tools or devices unsuited to the work at hand or that have not been tested or \ninspected as required. \n4. 441. Energized Conductors or Parts: \nEmployees shall not approach, or knowingly permit others to approach, any exposed ungrounded part normally \nenergized except as permitted by this rule. \nA. Minimum Approach Distance to Live Parts \n1. General: \nPSC 5 of 285 Employees shall not approach or bring any conductive object within the minimum approach distance \nlisted in Table 441-1 or Table 441-4- to exposed parts unless one of the following is met: \na. The line or part is de-energized and grounded per Rule 444D. \nb. The employee is insulated from the energized line or part. Electrical protective equipment \ninsulated for the voltage involved, such as tools, gloves, rubber gloves, or rubber gloves with \nsleeves, shall be considered effective insulation for the employee from the energized part being \nworked on. \nc. The energized line or part is insulated from the employee and from any other line or part at a \ndifferent voltage. \nd. The employee is performing barehand live-line work according to Rule 446. \n5. 443. Work on Energized Lines and Equipment: \nA. General Requirements \n3. All employees working on or in the vicinity of lines or equipment exposed to voltages higher than those \nguarded against by the safety protective equipment provided shall assure themselves that the equipment \nor lines on which they are working are free from dangerous leakage or induction, or have been effectively \ngrounded. \n6. 444. De-energizing Equipment or Lines to Protect Employees: \nD. Employee's Protective Grounds: \nWhen all the switches and disconnectors designated have been operated, rendered inoperable where practical, \nand tagged in accordance with Rule 444C, and the employee has been given permission to work by the \ndesignated person, the employee in charge should immediately proceed to make the employees own protective \ngrounds or verify that adequate grounds have been applied (see Rule 445) on the disconnected lines or \nequipment. During the testing for potential andlor application of grounds, distances not less than those shown in \nTable 441-1, Table 441-2 , and Table 441-3 , as applicable, shall be maintained. Grounds shall be placed at each \nside of the work location and as close as practical to the work location or a worksite ground shall be placed at the \nwork location. If work is to be performed at more than one location on a line section, the line section shall be \ngrounded and short-circuited at one location in the line section and the conductor to be worked on shall be \ngrounded at each location. The distance in Table 441-1, Table 441-2 , or Table 441-3, as applicable, shall be \nmaintained from ungrounded conductors at the work location. Where the making of a ground is impractical, or the \nconditions resulting therefrom are more hazardous than working on the lines or equipment without grounding, the \nground may be omitted by special permission of the designated person. \nE. Proceeding with work \n1 I After the equipment or lines have been de-energized and grounded per Rule 44413, the employee in \ncharge, and those under the direction of the employee in charge, may proceed with work on the de- \nenergized parts. \nEquipment may be re-energized for testing purposes only under the supervision of the employee in \ncharge and subject to authorization by the designated person. \n7. 445. Protective grounds \nA. Installing grounds \nPSC 6 of 285 2. Initial connections \nBefore grounding any previously energized part, the employee shall first securely connect one end of the \ngrounding device to an effective ground. Grounding switches may be employed to connect the equipment \nor lines being grounded to the actual ground connections. \n4. Completing Grounds \na. If the part shows no voltage, the grounding may be completed. \nb. If voltage is present, the source shall be determined to ensure that presence of this voltage \ndoes not prohibit completion of the grounding. \nc. After the initial connections are made to ground, the grounding device shall next be brought \ninto contact with the previously energized part using insulating handles or other suitable devices \nand securely clamped or otherwise secured thereto. Where bundled conductor lines are being \ngrounded, grounding of each subconductor should be made. Only then may the employee come \nwithin the distances from the previously energized parts specified in Rule 441A or proceed to \nwork upon the parts as upon a grounded part. \nAttachments: A, Utility Seven-Day Report \nB. Utility Supplemental Report \nC. Utility Addendum Report \nD. PSC Photographs \nE. Email Correspondence \nF. NESC C2-2007 Table 441-1 \nG. Overhead Image of Incident Site \nREPORT SUBMITTED BY: \nJeffrey C. Moore \nElectric Utility Investigator \nEngineering Division \nKentucky Public Service Commission \nSignature: \nREPORT REVIEWED BY: \nJohn Shupp \nEngineering Division \nKentucky Public Service Commission \nSignature: Date: '2/6// \nPSC 7 of 285 PSC 8 of 285 PPL companies \nJ~ly 26,201 1 \nMY. John Sliuipp A/3// \nManager Electrical Biancl \nDivision of Engineering \nKentucky Public Service Coinmission \n21 1 Sower Blvd. \nP.O. Box 615 \nFrankfort, KY 40602 \nRe: Contractor Injury/Matthew Christy \nDate of Incident: July 20,201 1 \nReport Number: 1 1 -ED-E-2 1 \nDear Mr, Shupp: \nI ain forwarding the enclosed Iiivestigatioii Report prepared by Keith McBride \nregarding the injury of contractor einployee Matthew Cluisty that occured in \nJefferson County, Kentucky on Wednesday, July 20, 201 1, Louisville Gas & \nElectric Company is providing this report to the KPSC in accordance with the \napplicable seven-day repoi-ting requirement. Please return a file stamped copy \nof the report in the envelope provided. \nShould you need additional infomiation conceiniiig this incident, please contact \nine at (502) 627-3712 so I can direct your request to the appropriate person. \nSincerely, \nJD/kcg LG&E and KU Energy, LLC \nCorporate Law \n220 W. Main Street \nLouisvi I I e, Ken tu cky 40202 \nwww.ipe-ku.coiq \nJim Dimas \nSenior Corporate Attorney \nT 502-627-3712 \nF 502-627-3367 \nJim.dimas @Ige-ku.com \nEnclosures: \nI) Area print \n2) Utility photographs \n3) Team Fishel job briefing forin \n5) Teaiii Fishel incident report 4) L,G&E grOlllldiJ~g procedures \nPSC 9 of 285 Type of Report \nKeith McBricle \nInvestigator 11-ED-E-021 \nRepoit Number \nJulv 20,201 1 \nDate of Incident \nReference: Fishel Employee injured and admitted to hospital \nLocation: 1 500 Bridle Gate Drive \nLouisville, Jefferson County, Ken tucky 40299 \nCase Summarv \nOn July 20,201 1 at approximdtely 1 :15 P.M. Jimmy Williams, Apprentice III for \nTeam Fishel and Matthew Christy, Apprentice I, for Team Fishel, were on a job \nsite at 15500 Bridle Gate Drive, Louisville, Kentucky. The job consisted of \nidentifying and replacing a section of lJRD cable that was found to be damaged. \nDuring this job, Matthew Christy received a shock and burn. Mr. Christy was \nadmitted to the hospital for overnight observation. \nKen Sheridan, Manager of Distribution Operational and Public Safety, notified the \nKentucky Public Service Coinmission of the incident and subsequent overnight \nhospital stay, \nInvestigation \nOn April 17,201 1, LG&E Distribution Control Center (DCC) received an outage \nticket along Bridle Gate Drive. DCC dispatched a Trouble Technician to the area. \nThe Trouble Technician found that there was a bad section of URD cable. The \nTrouble Technician was able to restore service by switching. \nOn July 20,201 1 at approximately 1 : 15 P.M. Jiininy Williams, Apprentice I11 for \nTeam Fishel and Matthew Christy, Apprentice I for Teain Fishel, were on a job site \nat 15500 Bridle Gate Drive, Louisville, Kentucky. The job consisted of replacing \nthe section of bad URD cable that had been previously identified. According to \nMr. Williams, through interviews at the scene and the next day, he and Mr. Christy \nhad been at this location approximately two weeks prior to test and locate the bad \nsection of URD cable. Mr. Williams stated that during their testing, they found the \n1 \nPSC 10 of 285 damaged spot on the URD cable just inside of the transformer feeding 15500 \nBridle Gate Drive. \nMr. Williams stated that each elbow of the bad section of cable had been stood off \non parking bushings inside of the pad-mount transformers. \nMr. Williams stated that once on the job site on July 20,201 1 to replace the bad \nsection of URD cable, he and Mr. Christy had a job briefing and went to work. \nMr. Williams checked the transformer feeding 15500 Bridle Gate Drive to confirm \nthe elbow on the bad cable was still in a parked location. Mr. Williams removed \nthe test cap on the back of the elbow and tested for voltage. 1.. Williams stated \nthat the tester showed no voltage at the elbow. \nMr. Williams walked back to an open pull box at the end of the driveway and sat \nthe tester down. Mr. Williams stated that Mi. Christy had opened the pull box and \npulled out two elbows. The elbows were attached to a feed through bushing. \nMi.. Williams and Mr. Christy were going to identify the cable in the pull box to \nsee if it was the same as the bad cable in the transformer. Mr. Williams stated that \nMr. Clvisty put on his 20,000 volt gloves and sleeves and was to test the elbows \nfor voltage. At this time, Mi. Williams had gone to the truck and was working \nwith the pulling tape. \nMr. Williams stated that at the time of the incident he had his back to Mr. Clwisty \nand did not actually see the incident but he did hear the arc and when he turned to \nlook he saw Mr. Christy fall to the ground. Mu. Williams dialed 91 1. \nMr. Williams saw burns to both of Mr. Christy’s hands and stated that Mr. Christy \nwas complaining that his left foot was injured. \nLouisville Metro EMS ai-rived on scene and transported Mr, Christy to University \nHospital where lie was later admitted for overnight observation. According to Mi. \nChristy’s family, Mr. Christy had a possible entry wound to the right hand and a \npossible exit wound to the left foot. Mi. Christy also had burns to the left hand. \nMi.. Christy was released the next day on July 2 1,20 1 1. \nMI+. Christy was interviewed by Keith McBride on July 22,201 1 at the Teani \nFishel office. \nMi.. Christy stated that when he and Mr. Williams arrived on the job site a job \nbriefing was held before he and Mr. Williams got out of the truck. Mr. Williams \nwas going to the transformer feeding 15500 Bridle Gate Drive to verify that the \nelbow had been stood off and Mi. Chisty was going to the pull box to remove the \n2 \nPSC 11 of 285 lid. Once Mr. Christy reinoved the lid ftom the pull box Mr. Christy stated that \nMr. Williams was already on his way back to the pull box. M. Christy stated that \nMi.. Williams asked if he was going to test the elbows and Mr. Williams said \n“yes”. \nMr. Christy stated that he placed the two elbows on the feed through bushing on \nthe edge of the pull box and tested the voltage tester which appeared to be \nworking. M. Christy stated that he removed the test point caps on the elbows and \ntested both elbows several times. No voltage was indicated on the tester. Mr, \nChristy stated that he thed removed his 20,000 volt gloves and sleeves. Mi.. \nChristy stated that Mr. Williams asked what the tag number was on one elbow. \nMr. Christy stated that after reading the number Mr. Williams did not reply. Mr. \nChristy stated that he pulled a little on the cable to see if it could be pulled out. \nMi. Christy stated that the cable appeared to be loose and he thought that the cable \ncould be replaced easily. \nMi.. Christy stated that Mi. Williams then went to the truck to get the pulling tape. \nMi.. Williams was working with the pulling tape approximately 4 - 5 feet from the \npull box with his back to Mr. Christy. Mr. Christy stated because he had read the \nelbow tag number to MI-. Williams and he did not reply, Mr. Christy assumed it \nwas the correct cable and pulled the elbow/cable off of the feed through bushing \nthat he assumed was to be replaced. \nThe cable in the pull box had still not been identified at this tiine. \nMI-. Christy grabbed the right bushing/cable with his right hand and placed his left \nfoot on the left cable and pulled thein apart. After pulling the elbow off, Ah. \nChristy touched the elbow to the eye bolt on the feed through bushing to discharge \nany static that inay have been on the cable. \nMr, Christy received injuries to both hands and his left foot. Mr. Christy was \nreleased from the hospital the following morning and he is expected to make a fiill \nrecovery. \nIt was later discovered that the Chance voltage tester was not working correctly. \nThe test button on the tester worked intermittently, \n** There has been no utility construction on the URD system for the six \nmonths prior to this incident. \nMatthew Chisty, Injured Fishel employee -.... Apprentice I \n495 Henry Street \nPSC 12 of 285 New Haven, Kentucky 4005 1 \nHire date - April 20,201 0 \nClassification date - September, 20 1 0 502-507-2783 \nDOB - 11/4/1985 \nJiininy Williams, Fishel employee - Apprentice I11 - Co-worker (not a witness) \n'7612 Frazier Town Road \nPeewee Valley, Kentucky 40056 \nHire date - 10/18/2004 \nClassification date - 5 02-548-7050 \nDOB - 711911 955 \nTeain Fishel \n4508 Bishop Lane \nLouisville, Kentucky 402 1 8 \n5 02-45 6-2900 \nEND OF REPORT \nDATE OF REPORT: JULY 26,2011 \n4 \nPSC 13 of 285 -~-. \nPSC 14 of 285 PSC 15 of 285 PSC 16 of 285 PSC 17 of 285 PSC 18 of 285 \\ \nPSC 19 of 285 PSC 20 of 285 PSC 21 of 285 PSC 22 of 285 PSC 23 of 285 PSC 24 of 285 PSC 25 of 285 PSC 26 of 285 PSC 27 of 285 PSC 28 of 285 PSC 29 of 285 '. ..* .i. , \nPSC 30 of 285 PSC 31 of 285 PSC 32 of 285 Accident: \nAn event wliicli is unexpected, or the cause of which was unforeseen; a contingency, casualty, or \nmishap. \nAffected enryloyee: \n&i eniployee diose job requires him or her to operate or use a iiiachiiie or equipnieiit on which \nservicing or niaiiitenance is being perfoimed under lockout or tagout, or whose job requires him \nor her to work in an arca in which such sei-viciiig or maiiiteiiance is being performed. \nAlive or Live (eiiergizerl): \nElectrically corltiected to a source of potential difference, electrically cliarged so as to have a \npotential difference fioin that of the earth. \nApproved: \nApproval by the Inatlagenielit of the coiiipany or its duly authorized representative. \nAt feiiilrni t: \nAn einployee assigiied to remain iniinediately outside tlie entrance to an enclosed or other spacc \nto render assistance as needed to eniployees inside the space. \nA rr tltorized aitployee: \nAn eiiiployee who locks out or tags out machines or equipment in order to perform serviciiig or \niiiaititeiiaiice on that macline or equipment. An affected eiiiployee becomes an authorized \nciiiployee when that employee’s duties include performing servicing or maintenance covered \nunder this section. \nPSC 33 of 285 A rr foirititic circiiif seeloser: \nA self-controlled device for interrupting aid rcclosing an alternating current circuit with a \npredetermined sequence of opening and redosing followed by resetting, hold-closed, or lockout \noperation. \nBmA$ketl: \nExternal so‘urccs, such as customer owed generators, can backfeed secondary current through \nthe distribution transforiiier, energizing the priniary conductor at the primary voltage. Backfeed \ncan exist even in short spans where all three (3) phases of the primary arc visibly open 011 both \nsides of the \\yodc location. Multiple transformers feeding the same secondary can produce the \nsame effect. Delta-connected transformers not protected against a single-pliasing condition caii \nalso backfeed priiiiary currelit to a phase pres~uiied to be “dead”. \nBnrsicntle: \nA physical obstruction, such as wood barriers, screens, cones, ropes atid tapes, intended to warn \nof hazards and limit access to an area. \nBarrier: \nA physical obstruction which is intended to prevent contact with cnergized lines or equipnient or \nto prevent unauthorized access to a work area. \nBoirrliiig Jirrtper: \nA reliable conductor intended to insure the required electrical conductivity betweeli parts \nrequired to be electrically connected. \nBrnclret gro 1111 tlitig: \nGenerally includes two conductor ground sets, one on either side of the work area. \nBUS: \nA conductor or a group of conductors that serve as a coiiimon connection for two or more \ncircuits. \nBiisliiiig: \nAn insulating structure, includiiig a through conductor or providing a passageway for such a \nconductor, with provision for mounting on a barrier, conducting or otherwise, for the purpose of \ninsulating the conductor from the barrier and conducting current from one side of the barrier to \nthe other. \nCnljle: \nA conductor with insulation, or a stranded conductor with or without insulation and other \ncoverings (single-conductor cable) , or a combination of concluctors insulated from one another \n(multiple-coiiductor cable) \nCnble Sltenflt: \nA noli-conductive protective covering applied to cables. \nPSC 34 of 285 Crrirl LYysfeilt: \nA system or method of carding circuits, valves, systems, or equipment for the purpose of alerting \npersons that these items are being worked on or are out of service aiid shall not be operated. \nCrr rrtioit : \nIndicates a wariiiiig against possible hazarcls or utisafe practices. \nCiici r if: \nA conductor or system of conductors tlxough which an electric current in iiiteiided to flow. \nCletisrr rice (betr veeit objects) : \nThe clear distance between two objects measured surface to surface. \nCletticirtce @or lvoir): \nAuthorization to perform specified work or perinissioii to enter a restricted area. \nCoripcnrJI: \nRefers to Energy Delivery. \nCo?rilrrcfor*: \nA material, usually it1 the form of a wire, cable, or bus bar, used for catqring an electric current. \nCoveseil coriilrretoi: \nA conductor covered with a dielectric having no rated iiisulatiiig strength or haviiig a rated \ninsulating strength less tliaii tlie voltage of the circuit in which the coiiductor is used. \nCiriiert t-cniiyiirg pir f : \nA coiiductiiig part iiitendcd to be coiuiected in an electric circuit to a source of voltage. Non- \ncurrent-carrying parts are those not iiiteiided to be so comiectecl. \nDnrrger: \nIndicated the existence of an inmediate danger. \nDeiril ([le-eiiergizetl) : \nFree from any electrical comiection to a source of potential difference atid from electrical \ncharges; not haviiig a potential different fioiir that of the earth. \nDesignntetl ei’ittplojwe (rlesigrr cited y eiso 11) : \nAn eiiiployee (or person) who is designated by tlie employer to perform specific duties uiider the \nteriris of this section and who is luiowledgeable in tlie construction and operation of the \nequipment atid the hazards involvecl. \nA-4 \nDispn fclies’s (or Opeirrtoi ’s) Clecrirriice: \nNotification froin tlie dispatcher (or operator) to tlie person in charge of performing work that all \nclearing procednres have been accompljslied and that work may proceed on lines or equipinent \nthat are uticler tlie dispatcher’s (or operator’s) control. \nPSC 35 of 285 Electsic line trirck: \nA truck used to transport personnel, tools, and material for electric supply line work. \nElectsic sripply eqiiipiiteitt: \nEquipment that produces, niodifies, regulates, controls, or safeguards a suijiply of electric energy. \nElectsic rrtiiity: \nAn organization responsible Ior the installation, operation, or maintenance of an electric supply \nsystem. \nEiec tsoinrigiiet~c-corry lefl voltiige: \nThe energized line acts as tlie primary winding of a traiisforiner, and the de-energized line acts as \nthe secondary winding. In tlus way, crossing or parallel lilies can inclucc a voltage on one \nanother. \nElec tsostrt f ic-co rip led voltuge: \nA voltage is developed clue to cai)acitive-coui,liiig of tlie isolated (underground) line and an \nenergized circuit. While designed to discharge within a few minutes aiter being de-energized, \nsliuiit capacitors in tlie line cat? proclucc tlie same effect. \nEiiesg), isol[itiitg device: \nA physical device that prevents the transmission or release of energy, including but not limited \nto, the following: a inatiually operated electric circuit breaker, a cliscomiect switch, a maiiually \noperated switch, a slide gate, a slip blind, a line valve, bloclts, and any similar device with a \nvisible indication of the position of tlic device. (Push buttons, selector switches, and other \ncontrol-circuit-type devices are not energy isolating devices.) \nEitesgy soirsce: \nAny elecfrical, ~neclianical, Iiydraulic, pneumatic, chemical, nuclear, tliernial, or other energy \nsource that could came injury to personnel. \nEqiiiymieii t (eiectsic): \nA general term including material, fittings, devices, ap1iliaiices, fixtures, apparatus, atid the like \nused as part of or it1 comiectioii with an electrical installation. \nExposed: \nNot isolated or guarded, \nFoseiitnit os Sripesvisos: \nThe person in charge of work or a worlciiig crew, regardless of lidher nominal title or \nclassification. \nGsoriiid: \nA conducting connection, whether intentional or accidental, between an electric circuit or \nequipment and the eartli, or to sonie coiiducting body that serves in place of the earth. \nGsorindiitg: \nThe process or method providing an electrical coiiiiectiori between equipment or an electrical \ncircuit atid earth, or to some conductive mediuiri which serves in place of the earth. \nPSC 36 of 285 Giiasded: \nProtected by persoimel, covered, fence, or enclosed by means of suitable casings, barrier rails, \nscreens, mats, platform, or other suitable devices in accordaiice with standard barricading \ntechniques designcd to prevent dangerous approach or contact by persons or objects. \nHold criri!: \nIssued only by the direction of the Load Dispatcher or his delegatcd authority. The Iiold card is \nthe foiiiial registered card in the Electrical Operating Card System. It's purpose is to protect life \nand property. This card is red. HOLD is printed across tlie top in black letters. Printed legend and \nlines are provided for filling in required information. A device having a hold card attached shall \nnever be closed. \nIiisrilntetl: \nSeparated fiom other conducting surfaces by a dielectric (including air space) offering a high \nresistance to the passage of current. \niideimoci to be irisiikrted for. the coriditioris to ivhicii it is ii~i*~)idlJ, siiljjected Qt,'lcrwise, it is, \n~vitliin fh pin pose of this secfiori, iim'iisiiiafecl, Note: V'liei? ariy object is soicl to be iiisiilated, it is \nIiisiilrtioit (cuble): \nThat wliicli is relied upon to iiisulate the conductor from other conductors or conducting parts or \nfrom ground. \nIsolrr tea: \nNot readily accessible to persons unless special means of access are used. \nLniiJ'cwil: \nA line or strap capable of suippoi-ting one adult person. One eiid of tlie lanyard is fastened to a \nsafety belt or harness, and the other end is secured to a substaiitial object or a lifeline. \nLifeliiie: \nA line, capable of supporting at least one adult person, to which a lanyard or safety belt (or \nliariiess) is attached. \nLive-Line Tool (Hot Stick): \nAn iiisulatiiig member in the form of a stick or pole having iiieaiis on oiic or both ends for \nperforming work while permitting tlie workinan who holds the tool to remain irisulatecl and at a \nsafe distance from energized electrical equipment. \nMmlIole: \nA sub-surface eiiclosurc wliicli personnel may enter and which is used for tlie purpose installing, \noperating, and/or maintaining equipment, coiidui ts, and/or cable. \nMiiiimiriii uppoiicli ais trriice: \nThe closest distance an employee is peimitted to approach energized or grounded ob-ject. \nPSC 37 of 285 Opemtos: \nThe system operator, substation operator, control room operator, shift supervisor, or other person \nin charge of a line, equipiiienf, apparatus, etc., regardless of the pesson's iloriiinal title or \nclassification. A person dcsiguated to operate a system or parts tliereon. \nPPE: \nPersoiial Protective Eqrripiiient. \nQidijietl Eitrployee (qrmlifietl perso11): \nOne luiowledgeable in the coiistruction and operation of the clectric powcr generation, \ntratismission, and distribution equipment im~olved, along with the associated hazards. \nAn enydojm iiiiist have fhe tsciiiiiiig seqriiscd in osdes to be consicIesed ci qiral(fiecl eiiployee. \nNote 2: An eiiqdojw idio is zmclei.going on-the-job fsciiiiing ciid rvlio, in the coiisse of siicli \ntsciinirig, heis elenions fscited ciii cibili fji to yeifosii1 clirties sc!fily tit his os her level of tiwining ci~icl \n1 t&o is zii?der tJ?e clil*ect sipervisioi? of cf qztnl~fiedyerson is comidemcl to be N giccdfleclpessoi~ \nfos the pesfosiiicince of those clicties. Note I: \nSlltl 11: \nMandatory. \nSl1orrltl: \nRecoiimerict ed or advisory . \nSiitgle Poiitt Groiiiitliiig: \nGenerally ittcludcs one coiicluctor ground set in conjunction with a person protective j~unper. \nStep bolt: \nA bolt or rung attached at intervals along a structural iiieiiiber and used for foot placemeiit during \ncliiiibing or standing. \nSwitclt : \nA device for opening and closing or for changing the coiiiiectioii of a circuit. In this scction, a \nswitch is understood to be matitially operable, unless otherwise stated. \nS'jsteiii opeiwtor: \nA qrialified person desigiiatcct to operate the system or its parts. \nVdf: \nAn enclosure above or below ground which personnel may enter arid is used for tlic ptirpose of \ninstalling, operating, and/or iiiaiiitaining equipiiieiit and/or cable. \nVeittetl vtrtrlt: \nA vault that has provision for ais cliariges using exhaust flue stacks and low level air intakes \noperating 011 diffcreiitials of pressure aiicl teiiiperature providing for airflow which precludes a \nhazardous at iiiospliere fiom clevelopi ng . \nPSC 38 of 285 Voltiige, Noiiihtiil: \nThe value assigned to a system or circuit of a given voltage class for the purpose of coiivenient \ndesignation. The actual operating voltage iiiay be higher or lower tliaii the iiomiiial rating. \nWotliirg Clenmr ce (Electriciil) : \nThe iiiiiiiinuii distance that employees shall approach anything that is at a different voltage from \nthemselves. \nPSC 39 of 285 PSC 40 of 285 B-1 \nB PURI’OSE OF TEMPORARY PROTECTIVE GROUNDING \nI. Ir?troclirciioii \nTraditionally, most liiieiiieii and first-line supervisors believed that working \nbetween personal protective grounds 011 a de-energized line provided absolute \nsafety. They believed that if the line was accidentally energized, all of the current \nwould flow iiito the earth through tlie grounds, and none of the current would \nflow into tlie work area. This bclief is false. The objective of personal protective \ngrounds iiitist be to liinit cui-reiit flowing tlxougli the lineman’s body to a safe \nvalue. Personal protective grounds must also limit any voltage rise on the de- \nenergized line wliicli may occur due to inductive and capacitive coupling with \nnearby energized lines, A critical factor in applying personal protective grounds \nfor protection of liiienieii is to absolutely control tlie niaxinium voltage stress \nacross the work area. This control is best accomplished by installing persoiial \nprotective grounds at the work site and in parallel with the workman. The current \nflow rate in a conductor is approximately 186,000 miles per secoiicl. Circuit \nprotective devices simply caiiiiot operate in the time it takes for current to flow \nfrom grounding cables placed oiic span, or even one mile aliead of a pole or \nstructure being worked on to tlie work site. * \nIt is iiiiportaiit to understand that proper grouiiding acconiplislies two distinct \nobjectives. The first objective is to verify that a circuit wliicli is nsstciiied to be dc- \neiiergizccl is cctticdly de-energized. This is accomplished during tlie initial voltage \ntesting and is verified by installing conductor grounds on tlie circuit. The second \nobjective is to manage current flow in the work area, should the circuit \ninadvei-teiitly be re-energizccl. This is accoiiiplislied by thc conductor grounds \nproviding an adequate cui-reiit path to grouncl for fault cments, which allows the \ncircuit interrupting dcvice(s), fiises, reclosers, or breakers to operate and de- \nenergize tlie circuit. \n2. Esfects of‘Ciii*seiit Tlvotigl? the Himimi Uocly \na. The aniouiit of electrical cui-rent that the human body can withstancl depends \non tlie magtiitudc aiid frequency of the current, and the duration of exposure \n(see examples listed below). \nb. For an adult male, 60 Hz AC: \nI. at 0.001 1 Amps . . . the worker feels a “tingle” . . . this is tlie \nPSC41 of285 3. “Percept ion Tlu-esho Id“ \nat 0.0090 Amps . . . A painful shock results \nat 0.0160 Amps . . . Muscle contraction prevents the worlter from \nreleasing an energized conductor or the “Let-Go Tlueshold’y 11. \n111. \nB -2 \nIV. at 0.164 Amps . . . The rliytluiiic pumping action of the heart will \ncease, resulting in certain death if the condition is not quicItly \ncoiyected. This is the “Fibrillation Threshold”. \nc. For an adult male (GO Hz AC), 0.5% probability of fibrillation occurs when \nexposed to 0.164 Amps for 30 cycles (apprax. 0.5 seconds). Thus, for longer \ndurations of exposure, flie amount of current (Amps) that the huma11 body \nmay witlistand is iiiucli lower. This enipliasized the iniportance of fast fault \nclearing. \n(1. The accepted iiiiniiiiuni value of resistance for a worker’s body is 500 Ohis. \nAlthough dry skin may have a resistance of5,OOO to 50,000 Chis, water or \nperspiration will reduce tliis considerably. In addition, voltages over 250 volts \nreadily penetrate tlie skin’s resistance. \nc. It is also iiiiportaiit to realize that a wood pole is riot an insulator at high \nvoltages, a wet pole can have a resistance as low as 2,000 Olms per linear \nfoot. Siticc the neutral is often on an iiisulated spool, it is not necessarily \nelectrically bonded to the pole. Additional measures may be iiceded, such as \ngrounding clusters, to create an eauipoteiitial zone on the pole. \nPossible Sowces of Potenticd \nIt is important to recognize all possible soiirces of voltage which present a hazard \nto the employee during conditions when tlie line is pesrmiecl to be de-energized. \nA line may become energized by any of tlie following: \na. Electr.ostntic-coicyZed voltcge: A voltage is developed clue to capacitive- \ncoupling of the isolated (ungrounded) line and an energized circuit. While \ndesigned to discharge within a few minutes after being de-energized, sliuiit \ncapacitors on tlie line can produce thc same effect, \nb. ~lecfr.oirtngr~etic-co~~~lecl voltcrges: The energized line acts as the primary \nwinding of a transformer, aticl the de-energized line acts as the secondary \nwinding. 111 this way, crossing or parallel line can iiiduce a voltagc on one \nano tlier . \nc. Bcrckjeed: External sources, such as customer-owned generators, can \nbackfeed secondary current through the distribution transformer, energizing \nthe primary conductor at the priiiiary voltage. Baclcfeed can exist even in short \nspans where all three phases of the primary are visibly open on both sides of \ntlie worlc location. Multiple transforiiicrs feeding the same secondary can \nproduce the same effect. In addition, delta-connected transforiiiers not \nprotected against a single-phasing condition can also backfeed priniary current \nto a phase presumed to be “clead”. \nd. DC voltcrge: A DC voltagc can be trapped on the line due to switching \ntransients. Although tlie discharge current is very low, X may be startling to \nan unsuspecting worlter on tlie pole, perhaps rcsulting in 8 fall or recoil of an \narm into an energized phase. \nPSC 42 of 285 e. Hiimwi emo?*: Accide~ital switcliing aiid haccnrate drcui t maps caiise \nfatalities every year in tlic electric utility industry. Although proper switching \nprocedures are dcsignecl to prevent such crrors, grounding is a prudent \nsecondary line of de€ense. \nf, Extei*iicil foi-ces: Forces beyond tlie control of tlie line crccv, such as a car- \npole accident, can cause an accidental contact with energized utility lines \n(foreign or OE) which cross over or tinder tlie lines being worlced upon. \nEquipment or structure failure, such as a broken crossarm, can result in a \nsiniilar incident. \ng. LiglWiig: Although remote, tlie possibility for lightning cxisls, particularly \nwhile cloiiig line work inmediately after a stonn. \nThis, ewii tliougli CI liiie is discoiiiiectec1~’onl tlie systeiu aiid festecl for. voltcrge, it \nis item’& iii possible to eiiswe thnt if will iiot clewlop I?crzcci.cloicsyoteiiticils crt ct \nlcitei. tiiiie clttsiiig the coiii-se of iiiciinteiic~iice. Coiweqtieii flj, possible sotii*ces of \nelectsicol sipplj) itiztst be iclenrified nix-/ the liiie iiiirst be gmmdecl to be \nconsicleiwi “CleJeCrcl. ’’ \n4. Poteiitial Hcrztids for IVorkei. oil the Gi‘orriid \na. Step Potei?ticiI: Step potciitial may be hazardous if a worker is near a ground \nrod (luring a fault. The potential gradient around a ground rod is non-linear \nwider fault conditions, and depends ripon a variety of factors, including the \nsoil resistivity. However, as a rule of thumb, the potential approximately \nhalves itself every 2.5 to 3 feet near the point of entry. That is, if the voltage at \ntlie ground rod is 7200 volts, theii the voltage 2.5 to 3 feet away should be \nabout 3600 volts. IJiider faulting conditions, a hazardous current niay flow \nfiom a worlters foot, tluough tlic workers body, and exit tluough the opposite \nfoot. \nb. Toiicli Pofeiificil: To~icli potential may be hazardous if a worker is in contact \nwith equipment or a velGcle during a fault, as the workcr’s body may become \na path for fault cui-rcnt. Under fault conditions, a hazardous current may flow \nfiom a worker’s hand, through the worker’s body, and exit tlirough one or \nboth fcct. \nc. E-niisfir. Pofeiifinl: Transfer potential occurs when vehicles or equipiiiciit are \nat different potentials. The may be present if, one line truclc is bonded to one \nground rod (wliicli is bonded to tlie de-energized line) aiid a second truck is \nbonded to another ground rod. If an eiiiployee contacts both velucles \nsiiiiultaneousIy, directly or indirectly with a conductive object, an electrical \nshock niay result due to diffcrciices in ground resistances. \nAdclitional ineasures mnst be talccn to protect the gronnd worlcer from step, touch, and \ntransfer potentials. These measures include grounding, bonding, insulation, and isolation. \nPSC 43 of 285 PSC 44 of 285 c. GROUNDING EQUIPMENT \n1. Groirriclirig Sets: Grounding sets must be capable of carrying the maximum available \nfault current for tlie leiigtli of time that is necessary for protective devices (relays atid \ncircuit brealcers offiises) to clear the fault. All eleiiieiits of tlie groundiiig set must be \nable to withstand both the tliei-iiial and iiieclianical stresses cluring this time period.. \n2. Groiincliiig Eqtripniei?t Distifbirtioii Liiies: All grounding equipment shall be copper \nstrandcd 2/0 cable in LG&E and #2 in ICU. Coiuiectioiis on clamps shall be tlie \nthreaded feri-tile type with a clear lieat slwink tube to allow visual inspection of cable \nstrands and terminations, \n3. Gr~oimcliiig Eqi[@miii for U. R.D.: We recoiiimeiid each truck carry two (2) \ntransforiiier grounding sets, Hastings cat. no. 671 6 or A.B. Cliaiice cat. no. C600- \n0729. Each truck shorilcl also carry a cutout grotuiiding claziip A.B. Chance cal. no. \nC600-OS62 for use on lateral poles 7/14 cutouts. \n4. Groiiiidiug Eqiti]mient foi* 3-Phase Akhrwlc: We recoiiimeiid six (6) grouiictiiig sets \nfor live front equipment I-Iastings cat. 110. 671 8 or A.B. Chance CGOO-0758. Aiid six \n(6) groutidiiig sets for dead front equipment Hastiiigs cat. no. 6717 or A.B. Chance \ncat. no. T600-0730, and two (2) sets for single point grouncling Hastings cat. no. \n6872. \n6. Grotiiiding Eqiiipiiieiit.foi* O\\wheacl: We rcconuiieiid that all overhead tritclts carry \none set of grounds for single point grounding Ilastiiigs cat. no. 6872. All service \nrestoration trucks sliould be equipped with tlie A.B. Chance Multi-Range Voltage \nDetector. Also soiiie equipment should be set aside for emergeiicy work when \ncontractors are called in for service restoration. \nA. B. CIicme Conlyaiij~ hns reconinieiicled clgcriiist zrsirig shotgiiii sticks to pill \niriider*gi*oir~icl elbows. If elbow yirllei:s men 't iisecl, we 1*ecoiiiiiie17cI shotgirri sticks be \ntested 01' cIieckectbfos ~venr oii the roll piiis arid hoolrs. This shoiild be cloiie senii- \nallill 1c111y.. \nPSC 45 of 285 EN \nID. OVEMEAD TEMPORARY PROTECTIVE GROUNDING \nPSC 46 of 285 All elecfifccd eqitipiiieizt mid coiicliictws we enesgized mfiJ proved lo be de- \neneigizecl. Proper acliniiiistrative clearances shall be obtained and electrical test shall \nbe made before any work (including tlic installation of temporary protective gromids) \nis started. As an additional safeguard, the isolating switches, or other visible line \nbreaks, sliall be Ioclced or blocked open and cardcd before work is started. THE 17% \nOF RTJBBER GLOVES AND SLEEVES IS MANDATORY WI-EN USING A \nVOLTAGE TESTER. \nPsotective gi*ozmcIing iiiny be crccoir plished zrtiIiziizg one of two iiiethods cIepeitding \n01’1 the pliysicn? 1vqiiii*eiiiei7ts of the ~vork Ioccrtion. These methods are: \na. Single Poiiit (Eqiiipoteiiticd) Groitiicliiig generally includes oiie conductor \ngrouiid sct in conjunction with a grounding cluster \n13. Bi*crclret Groimdiiig generally iiicludes two conductor ground sets, one on \neither side of the work area. \nTdgeite: BEFORE protective grounds are applied, OR ANY WORK BEGINS, tlie \npersoii or persoiis “ill charge” shall advise ALL emnployees aiid the general public of \nall hazards associated with tlie job. Other inforiiiatioii conveyed as part of tlie job \nbriefing shall include but not be liiiiited to the following: \na. quaiitity and location of protective grounds, \nb. electrical clearaiices provided, \nc. proximity of cnergized lines or equipment, \nd. aiiy special considerations regarcling tlie safe completion of the work, \ne. liazards associated with the job, \nf. work procedures involved, \ng. special precautions, \n11. energy source controls, \ni. and personal protective equipiiieiit (PPE) requirements. \n4. 5-l;bOf Ride: Eiiiployees shall not approach or take aiiy conductive objcct closer to \nunguarded or exposed energized parts, than shown below unless; the einployee(s) are \ninsulated from the energized parts, or tlic energized parts are iiisulated from the \nemployees. Approved, rubber gloves and slceves shall be considered adequate \ninsulation of tlie employee from the energized part. \nOvei*hecicl Lilies Aid Eqiiiyimwt: 600V tlu-ough 13.8 ItV BEFORE coiiiiiig within \nfive feet of primary, you shall put your gloves and slceves on. Once all energized \nPSC 47 of 285 parts are covered, you iiiay remove gloves and sleeves. Use protective equipment \nneeded to do your job. Work-rule 11 covers the five-foot rule violation. \n5. De-Eiwgize The Liiie: Obtain clearaiice on the line to be grouiided in compliance \nwith coiiipaiiy procedures. \n5. Select Coiiclirctoi* GrouricI Loccrtion: Determine tlie hie locatioii and the points on all \ncoiiductors where the groutid sets are to be applied. The preferred line locatioii for the \nground sets will always be the striicture being worked, the concluctor grouiidiiig \npoints are chosen to keep the grounding juiiiper leads as clear of the employee \nworking tlie structure as possible aiid to minimize coiiflict with the work to be done. \nM%en it is determined that placing the grouiids 011 tlie structure to be worked will \npresent extreme conflict with tlie work to be perforined, tlie grouiids iiiay be placed \non a11 adjacent structure. When working several strticturcs in series, tlic grounds may \nbe placed at the first structure aiid work may tlien be performed 011 subsequent \nstructures (each structiire to be worlced inust utilize a personal grouiiding jumnper \nequipotential). In this situation the line section being worked must iiot contain any \nswitches or open points. \n6. Select Groirricl Soirrce: Select a grouiid source for the conductor grounds. The \nfollowiiig are the only acceptable grouiid sources aticl are listed in order of preference: \na. a substation grid, \nb. primary neutral conductor, \nc. embedded base steel tower or steel pole, \nd. where none of tlie above is available, a newly installed grouiicl rod driven to a \niiiiniiiiuni of 7’ 6” having a minimum diameter of 5/8” witli the groiinditig \nclaiiip attached directly to tlie grouiid rod. Where rock will iiot allow a vertical \nrod, it iiiust be driven to fiill length, as close to vertical as possible. Where \npossible the ground rod would be driven a minimum of 25 feet from tlie \nstructure or work area. \nNote: (f iiiitltiyle gi*ourici soitires cirv nvcrilcible, the}’ nicy be pcii~alleled fos \niiicrecrsed eflectiveiiess. Pcii~crlleliiig iitcy dso be clesiiwble irdieii one some is \niiiecAcriiiccillJ, sitspect. Steel towers criid poles wliich crre ciiichoreci 011 concrete \nfoiiiiclcttioiis crse riot considesecl gi*oimclecl niicl iiiirst be groirrtcled using CI rieirdj \niiistallecl gr~oiiiid rod cis the groiriiCI soiri-ce for. tlie coiicIirctoi* groiiiidx \n8. Kerifj, Line 12- De-eiiergizeci: TEST EACH CONDUCTOR TO BE GROUNDED \nwitli tlie following reconiiiiended tester: A.B. Chance Multi-Range Voltage Detector \n(Catalog Number C403- 1029 with scales 16 IV through 16 I kV). \nTo use the detector follow this sequence: \na. Tcst tlie detector using its test button (Refer to test device instructions for test \nPSC 48 of 285 proceclures and proper range selection); \nb. Test tlie detector to a known energized circuit when possible; \nc. Test the conductor to be work on; \nd. Retest the detector; \ne. Retest thc conductor to be worlted on; \nf. If no voltagc is indicated on coilctuctol./equipmeIlt io he tvorlcect on, then \nproceed directly to step [9.]. \nNote: A liot-stick of si!fJjcierit leiigtli foi* the voltcige iiivolsecl is to be me4 \nwith the snrige svitcli set to tlie cosivct position for tlmt voltclge. Ecicli \nconclirctos plinse is coiitacted inclivicltrctlly 011 tlme-phcrse cirwiits. All \niiiteiprvtcitiorts of nietei* seaclings shoiilcl tcilce iiito accoitnt the circiiit \ncor flgiiscition, lei?gth, proximity to other lines. if tliei-e is ciiiy do& regnsdiiig \ntlie intei pivter f ion of cletectoi* rending zinclei. ciiiy circimistciiices, the circirit \nsliozild be assiiii~ecl CIS energized arid et11 sc@typi*eecciirtions shoirlcl be tcilwen \nnccorcliitglJz \nIF VOLTAGE IS INDICATED BY TI-IE DETECTOR: \ng. Retrace line clearances; \n11. Determine what voltage is present; \ni. CONTACT YOUR SUPERVISOR BEFORE PROCEEDING. \nNote: Tlis iwd to iise pi*ocedirres [g. J tlvoiigli [i.] (dii*ectlj cibove) shoitld be \ni’cire mid incliccrte zintisrinl circiiimtcinces of irdiiced voltcrges 01’ iiipsoperb \nclecwed lines. \n9. Apply Teiipor*cny Pi*otective Grounds: Ground ALL de-energized coiiductors as \ndescribed below, remembering the sequence of events is as iiiiportant as iiiakiiig \nproper connections. The grounding conductors should not touch any worker while the \ngrounds are being connected to tlic line conductors. The circuit is not considered de- \nenergized until ALL grounds liave been applied. \na. When the primary neutral is the concluctor groound source (See Drawing #l). \nI. \n11. \n111. \nIV. \nV. Install pole grounding cluster below tlie working level of tlie \nlitienian’s lowest pole contact. \nPrepare tlie primaiy neutral by brushing with a wire bush \nuntil barc metal is reachccl. \nConnect a grouiid lead to the primary neutral, tlieii to the pole \ngrounding cluster. \nCoiuiect another ground lead to the cluster, and then to the lowcst \nor closest phase conductor, after cleaning as stated in [II.]. \nConnect another lead to the grounded phase and then to the next \nlowest or closest phase. Always cleaning before making ANY \nconnection. \nRepeat step [V.] until all phases are grounded. \nInstall a pole grounding cluster below tlie working lcvel of the \nliiienian’s lowest pole contact (cluster is not reqrrired on steel \ns tructwe) . VI. \nI. b. When thcre is no primary neutral (See Drawing #2 & 3). \nPSC 49 of 285 TI. Coruicct a ground lead to the iieivly driven grouad rod, then to the \npole grounding cluster (directly to steel structure below tlie \nworlciiig level of tlie lineman). \nConnect another lead to tlie cluster (or stccl structure), and then to \ntlie lowest or closest phase conductor. \nConnect another lead to the gromided phase and then to the ncxt \nlowest or closest phase conductor. \nRepeat [IV.] until all pliases are grounded. 111. \nIV. \nV. \nNote: AlwcrJlspi*epase ALL siirfaces by brwshiiig witli ci wire bsiisli iriitil \nbare iiietcrl is reached. III ccises whese one or. niore static wiiw exist, ci lust \ncormectionfi*om tJfe closest g~*ozri~declphase to ecicli stotic shcill be viiade, \nIii cill jzinipc?i* coniiectioiis (#2/0 coppi* for. tiansiiiission atid distiibirtioi) \nrise as short ct lecid cis possible; alwcrys tiiiw tliein ciivaj)fj*oiii work cmm \nbecciiise if suhjectecl to falilt crirwiit tliey have the poten f icil io viiove \nvioleiitly. \n10. Re~~ioviitg Gi*ozi~icls: Groutids shall not be removed until tlie word is passed \n(CONSIDER IT HOT) and all persons concerned inclicate, in a definite maimer, tliat \nthey Litiderstand the grounds are going to be removed and that they ruiderstatid the \nequipinelit or lilies are seen to be hot. Tlie live-end connections shall always be \nremoved first, followed by the ground-end connections. The employee renioving the \nlive-end connections shall use the same type equipment and follaw the saiiie \nprecautions which cover making the connections. \nhlote: Tlie above steps describe the siiigle point gi*omdiiig procediires for the \nprefirrecl location of the coiidtictov- groiiiicli, which is the stsiictirr.e being worked. \nJfG’ien tlie conductor gsotmcls we cpplied to the str‘~icfrrr.e being ivosked 210th \ncoiiryoiwits of the psotective grorwliiig syste~n are ciccontylished: all coiidirctoss ase \ngsotiiidecl ciricl the linenmi is psoperly jzrinpesed. \n1 1 , Sivigle Poiiit Gi*oinicliiig (coiichctos groutids riot oil ivor.1~ strirctirrv): Wlieii the \nconductor grounds are not at the structure being worked, the personal juniper mist be \nestablished on EVERY stivcture where work is to be done. The following explain the \nprocedures which must be followed to install pcrsonal junipers when the conductor \ngrounds are NOT 011 tlie structure being worked (see Drawing #4). \na. 1711en installing a persoiial juniper on iiiultiple circuit structures or otlier \ncircuit coiifigurations which could be potentially confiisiiig, each coiiductor \nshould be voltage tested as in # [8.] before the personal jumper is attached. \nb. The personal jmiiper is connected to tlie structure at a point just below tlie \nworking level of the linenian’s lowest pole contact arid then to the grounded \nphase to be worked (cvliicli was grounded in # [9.]). On a woodeii structure \nthis is accoinplished by using a wooden pole grounding cluster. If thc priniary \nneutral is available, install a lead, first to the neutral, aiicl then to tlie pole \ngrounding cluster (or directly to a steel structure). Install a second lead \n(personal jnniper), first to tlie cluster, and then to the grounded yliasc to be \nworked. If a priiiiary neutral is not available, install a personal juniper first to \nPSC 50 of 285 the cluster and then to thc grouiidecl phase to be worked. If additioiial phases \non the structure are to be worl&, the phase elid of tlie personal jumper must \nbe discoiiiiected from the phase .where work has been completed and moved to \ntlie next phase to be worked before barehaiided contact with that phase is \nmade. \nc. EiiibeckIed Bnse Steel Tower ciircl Poles are considered grouiided surfaces and \ndo iiot require the structure grounding cluster. The personal juniper lead shall \nbe attached to these stimhires at the point just below the workiiig Icvel of tlie \nlineinan's fect. A nut welded to a steel pole (into wliicli a threaded stud may \nbe screwed) serves as tlie coiltiectioii point for tliis sittiation. Lattice steel \ntowers require the use of a tower grounding claiiip in place of one of the \nconductor gro.ouiidiiig claiiips in the personal juniper assembly. \n12. Brciclcet Gruiiiidiiig Procediri-es: Follow tlie same steps as in the single point \nprocedure oritliiied above [#I 13 but do iiot require tlie use of a personal protective \njumper, A complete bracket ground coiifiguratioii would involve establishing a \ncomplete set of conductor grounds on both sides of tlie work area following basically \nthe same procedures as outlined under single point grounding up to step ['I).]. Bracket \ngrounds are generally to be placed as close to tlie work area as practical, \nApply Conductor Gromids: Ground ALL de-energized codtictors on both sides of \ntlie work location as described below remembering that the sequence of events is as \nimportant as making the proper comicctions. The grounding condiictors sliorrld not \ntouch any worker while tlie grounds are being connected to the line conductors. The \nfacilities are iiot considered de-energized uiitiI all grounds have been applied. \na. Wlieii tlie primary neutral is the conductor grouiid source: (see Drawing #5) \nI. \n11. \n111. \nIV. \n1. \n11. \n111. \nIV. Coiiiiect a ground lead to the primary neutral, then to the lowest \nor closest pliase conductor. \nCoiuiect another lead to the grounded phase and then to the next \nlowest or closest phase. \nRepeat [II.] until all phases are grounded. \nRedo step [a.] for opposite bracket ground location. \nb. When there is no primary neutral: (See drawing #5) \nConnect a grouncl lead to the growid source, then to tlie lowest or \nclosest phase conductor. \nCoiinect illloflier lead to the grounded pliase and then to tlie next \nlowest or closest phasc. \nRepeat [JI.] until all phases are grounded. \nRedo step [b.] for opposite bracket ground location. \nPSC 51 of 285 Note: hi those cctses ivliei*e one os mose steltic wises exist, cr kist comiectioiijwii /he closest \ngsotriiclcdph~se to encli sicrtic shcrll be iiictde. Mniy sitircrtioiis wil! be eplcomfesed w1iei.e the \nstn?zhd nsseniblies will 1101 be ncieqimte. Wlm this is the ccrse, cqipropsicrfe gi*oiriicliiig iiintesicrl \nsknll be cr.~seiiibleclyi.ioi. to beginning the job, Specicrl groirncliiig jimpei. lengths iiicg) be \n.firbi*icnted ns seqiriivcl. Aciclifioiinl groiriidiiig jiiii pes crssentblies I itill be r*eqitirsd for certctiii \nsititcifjom nrch os grormcliiig cloirble ciscitit lilies os birndled conclirctor' cir'cirits (each conchrctos \nin the buridle mist be groiriickd irtclivichrcrllj$. Agcriii, the job skcill be ~lio~oiigl?l~~plciiined aiid the \nmntesinl selected befire the jab is begm Any ncln'itioml gi~o~~?clhg jimlye~a J*egirirvr/.fos iriiiqire \nsitimtioiis sliall be iiistallecl Ivith the scriiie philosophy as psevioiwly iiiclicated, tliat is , begiii the \njirripes crt et ysevioialy gsoarricled coiidiictos os soiisce ctiicl contirirte to tJfe next coiidiicfor' to be \ngso mded. \nFYlieii spliciiig bsoleii coiichrctoia fioiii groimd level, gsoimcls mist be estcrblislied ON both sides \nof the dowed corrrdticfom \nIN #4, \nPSC 52 of 285 E-4 \nPSC 53 of 285 , - .- ._ . . -. .. ,. . . . \nPSC 54 of 285 F. UNDERGROUND TEMPORARY PROTECTIVE GROUNDING PRQCEDURES \n1 , It shall al~says be cissionecl that electricctl eqiriynieiit cid coridmtoss cire energized \niniiil psoven to be de-eiiesgizetl. Proper administrative clearance shall be obtaiiied aiid \nelectrica) tests sltall be riiacle before any work (iticluding tlie installation of temporary \nprotective grounds) is started. As an additional safeguard, the isolating switches, or \nother visible line breaks, shall be loclcecl or blocked open and carded before work is \nstarted. \n2. Iicrzoscls.for. Uiidesgsoiind JVoslrers: Underground systenis have iidierently greater \nhazards than overhead systems. Due to tlie liiiiited ability to visually verify circuit \nroutes, there is a greater reliaiice on circuit maps. In addition, cable sheaths often \ndevelop iiiduced potentials due to close capacitive coupling with energized phase \nconductors. In underground vaults, manlioles, and in padmounted equipleiit, a \nsignificant flash hazard exists in the event of a fault at the work location. Because of \nthis hazard, arc-suppression bIailItets sliall be used. Also, since the worker is in direct \ncontact with tlie earth, step and touch potential hazards nearly always exist at tlie \nwork location under fault conditions. \n3. Tciilgcde: BEFORE protective grounds are appIied or the CD~ZL~I~~IIC~III~II~ of any \nwork. The person or persons in charge sliall advise ALL eiiiployees and tlie general \npublic of all hazards associated with the job. Other information conveyed as part of \nthe job briefing shall iiiclude but not limited to the following: \na. quantity and location of protective grounds, \nb. electrical clearances provided, \nc. proximity of energized lines or equipment, \nd. and special considerations regarding the safe conipletion of the work, \ne. hazards associated with the job, \nf. work procedures involved, \ng. special precautions, \n11. energy source controls, \ni. and personal protective equipment requirements. \nPSC 55 of 285 F-2 \n4. Rule: Eiiiployees sliall not approach or take any conductive object closer to \nunguarded or exposed eiiergized parts, than slio~vn below: uiiless, tlie einployee(s) \nare iiisulated from the eiiergized parts, or the energized parts are insulated from the \ncmployees. Approved, rubber gloves and sleeves shall be considered adequate \ninsulation of the employee from the energized part. \nUiidesgsoirid Work \na. GOOJf tliozrgli 13.8 kJf Underground cable has adequate iiisulation: you do iiot \nhave to wear protective equipment, until you get within five geet of \nteriiiiiiation, At that point, before coining witllin five feet of termination, you \nshall put your gloves and sleeves on. \nI. b. Unclergroirncl7?cmfoi*itiei.s \nDead-Front Transfoimer, Padmount. BEFORE opening lid or door, \nyou sliall put your gloves and sleeves on. After inspecting, and \neverything is properly covered you may remove gloves and sleeves. \nUse protcctive equipment needed to do your job. \nLive-Front Trmsfomiers. BEFORE opening lid or door, you sliall \nhave your gloves and sleeves on. If voltage over GOOV, gloves aiicl \nsleeves are required. If you adequately cover equipment over GOOV, \ngloves and sleeves may be removed. Use protective equipineiit needed \nto do your job. The iwle for. tisiiiggloves ciid sleeves to olieii ycrdiitotriit \nti*aii$oi*i~iei*s aiicl subgrade li*niisfoi*ineia is crbove niid beyond the five \n.foot ivrle. II: \n5. Ident$ccitioii \na. Identificatioii of all cables is accomplished by checking the cable tag and the \nduct position as shown on conduit and cable maps. \nb. If tlie cable tag does iiot agree with the indicated duct position, trace the cable \nuntil ideiitification is positive. \nc. Spiking method shall be used when working with the folloiving: \nI. all single phase circuits, \nTI. Ioop feed systems, \n111. \nIV. \nd. Cables operating at 300 volts or less are to be tested with a voltnieter or other \napproved test device. when transformers are added to existing system, \ncvlieii two or more cables are in the same ditch. \nPSC 56 of 285 F-3 \n8. Any U.R.D. cable taken out of service in order to be worked on will have gro~inds \ninstalled at nearest open location on both sides of area to be worked on. \n9. When testing any niulti-conciuctor lead primary cable, always do a test on at least two \nconductors. Eliiiiiiiating the possibility of testing a neutral on a four (4) conductor \ncable. \nPSC 57 of 285 URD AND THREE PI-TASE UNDERGR(PTJT\\;TD \nGRQUNDING PROCEDURES \n1. The use of personal protectivc equipment (PPE) is required when opeiliiig pad-mounted \ntransformers and switch-gears. This will consist of rubber gloves, sleeves, hard hat, safety \nglasses, and di-electric boots. \n2. The use of this personal protective equipment is also required while testing cables and \nequipment for potential voltage, installation, and renioval of grounds. \n3. When it is required to work on cable, you inust have the cable grounded on both sides of \nyour work area at the nearcst open point. Neutral continuity mist be maintained when \nopening a cable or tlie neutral will be considered energized. Elech*ociition is possible if \ncoiitiiiiiity is riot imiintoinecl, due to cli&*erices iri yotentid. \n4. Grounding of cable or equipment, will only be done afier it is verified that cable or \nequipment, is de-energized. \nATOTE: Spilciiig the ccible will be the lost opiiori to veri& the ccrble is de-energized, \nGrounding of cable in a transformer will be done with tlie use of a statid-off-feecl-thru bushing, \nand grounding elbow. This application only applies to dead front transforniers. Grounding a live \nfiont transformer requires a ground jumper from a live front grounding kit. \nGrounding cable in a pad-mounted switch gear will require a Iive front grounding kit. Always \nrenieiiiber to connect the juniper to the system neutral first, then, to the pliase grounding stud. \nGrounding pot heads will be done at tlie bottom of an open cut-out with a 2/0 ground jumper, by \nfirst coimecting the ground juniper to tlie system neutral, then connecting the jumnper to the cut- \nout grounding clamp. When the pothead lead is connected to an under arm disconnect, then \nconnect thc juniper to the pothead lead. \nChecldng for voltage notentid: \nWhen checking live front equipment wearing Iiardhat, safety glasses, gloves, sleeves, and di- \nelectric boots, check the primary connections with a voltage detector. Always check the voltage \ndetector first, malting stire the voltage detector is working properly, preferably with a Itno~vn \nenergized part aiicl test button. A phasing tester may also be used in this application by testing \nfrom ground to phase. \nPSC 58 of 285 1 \nURD AND THREE PHASE UNDERGROUND \nGROUNDING PROCEDURES \nOn dead front transfomcrs: \nTo check for voltage potential, iiistall the elbow on the stancl-off-feed-thrii bushing. Install the \ninsulating plrrg 011 the open side of bushing, then go to tlie oilier end of the cable at the location \nto be opened. Install the elbow on the stand-off-feed-tlm bushing, with the phasing tester check \nfiom the neutral to the opcii bushing on the tratisfoiiiier. Verifjkg that your iiietcr is worlcing \nproperly, iiiaititaiii contact with tlie nentral, plug the phasing meter into the open side of tlie feed- \nthu bushing, then, check for voltage potential. If there is no voltage detected, plug the meter \nback into tlie open bushing on the transfoiiiicr to verify that tlic meter is still working properly. \nThis is the preferred method of determining a de-energized cable. \nPSC 59 of 285 Goes Here. e 0 \nOPERATING INSTRUCTIONS FOR CHANCE D.C. I-Ir-ixm ADAPTER \nCat, NO’S. 67403-1962 (1 6Im) \nC403-1463 (3SKV) \nPSC 60 of 285 4508 Bishop Lane \nloulsviiie, IC/ 40918 \n(502) 456-2900 \nDIANE KEELER \nChairman \nJOHN PHILLIPS \nPresldent and CEO \nRANDY BLAIR \nExecutive VP and COO \nSCOTT HOMBERGER \nVP, Midwest Reglon \nBILL PAULEY \nVP, Western Region \nSCOTT KEELER \nVP, Central Region \nPAUL RIEWE \nVP and CFO \nGREG GRABOVAC \nVP and General Counsel \nKEN IUTZ \nVP and CIO 7-22-1 I \nTo: Mr. Keith Mcbride \nLouisville Gas and Electric \nFire and Safety Investigator \n820 West Broadway 40232 \nFrom: Rich Mauldin \nRe: Bridalgate Incident \nOn Wednesday July 20, 201 I an incident occurred at 15520 Bridalgate \nDrive, and an injury and unscheduled outage resulted from that incident. \nBelow you will find the preliminary findings of our investigation. \nOn June 30,201 1 Jimmy Williams was assigned WR# 2842574 to repair a \nfaulted URD cable between transformer 9841 0 and transformer 85782 on \nURD Circuit 3944 (Canterbrook Farms). \nJimmy Williams and Mathew Christy arrived at the site and found that the \ncable between transformer 85782 and 9841 0 had been isolated and carded \nby LG&E personnel. Jimmy and Mathew began testing to determine if the \ncable in question was isolated. Once it was determined the cable was \nisolated, the crew connected fault locating equipment to the cable and \nlocated the fault which was located inside of transformer 85782. The crew \ndetermined the cable had been damaged near the bottom edge of the \ntransformer from when a vehicle had struck the transformer at an earlier \ndate. \nAfter an inspection of the area, the crew determined that a pull box located \nnear the street at 15520 Bridalgate Drive, the same location as the \ntransformer in question, may contain the damaged cable. A tag located on \nan elbow inside the pull box indicated the cable went to transformer 85782. \nOn July 5, 201 1 this information was forwarded to Tyrone Grinstead of \nLG&E. On July 18, 201 1 , Tyrone requested that the crew attempt to \nWith Offices In \nATLANTA * CINCINNATI * COLUMBUS * DALLAS 0 DAYTON 0 HOUSTON 0 LOUISVILLE LAS VEGAS 0 LOS ANGELES \nNASHVILLE o ORLANDO - PHOENIX RICHMOND e SAN DIEGO 0 TAMPA 0 TUCSON *WASHINGTON DC \nwww.teamfishel.com \nPSC 61 of 285 remove the damaged cable from transformer 85782 to the pull box located at 15520 Bridalgate \nDrive and replace it with new cable. \nOn July 20,201 1 Jimmy and Matt returned to the job site to complete the repairs. Jimmy and \nMatt had a job brief that covered them through the act of physically and visually verifying the \ncables and then working to pull the cable that was suspected to run from the transformer to the \npull box. The crew tested the cable for voltage at transformer 85782 and verified the cable was \nstill isolated as they had left it on their previous trip to the jobsite. \nThe A.B. Chance model Multi range voltage detector during our preliminary investigation has \nconcluded that the tester was working just prior to and during the testing of the cables. This has \nbeen concluded by Jimmy Williams testing the unit at a known source at a transformer on \nlocation. As well as Matthew Christy testing it at least two occasions at the location of the \nincident. Further investigation into the reason for a reported false reading will be conducted \nJimmy instructed Mathew to open the pull box at the site, and then remove the cables from the \npull box. Once the cables were removed, Jimmy then said to test the cable. During this time, \nJimmy was gathering the materials and tools to take to the transformer and set up to perform \nthe physical and visual cable confirmation. \nAt that point, Mathew had determined the cable was de-energized. Without direction from his \nsupervisor, Mathew removed one elbow from the feed through stand-off without wearing the \nrequired PPE or confirming grounding of the cable. Mathew then proceeded to contact the \nelbow to the feed-through set screw faulting the cable that was running from transformer 85782 \nto transformer 8551 3 which was still energized, resulting in Mathew’s injuries. This led to a fault \non the circuit blowing the fuse located at Routt Rd and Bridalgate Drive. \nPSC 62 of 285 PSC 63 of 285 PPL companies \nSeptember 7,20 1 I \nSEP 13 2Q\\t \n21 1 Sower Blvd. ~oM1vLlss~~~ Mr. Jefl'rey Moore \nDivision of Engineering \nIceiitucky PiibIic Service Comniission \nP.0. Box 615 \nFrankfort, KY 40602 pu~~l~ SERVI~E \nRe: Corilractor InitiryIMatthew Cluisty \nDate of Incident: July 20,201 1 \nReport Number: 11-ED-E-21 \nDear Mr. Moore: \nPer yorrr request, I ani ellclosing the following supplemental documentation \nrelated to tlie above referenced incident: \n1) Voltage detection device test records; \n2) Job briefing fbrin (this was also provided with tfie incident rcport); \n3) Team Fisliel Employee/Apprentice training material; \n4) Passport documentation on Mr, Christy and Mr. Williams; \n5) Contract between Fishel and LG&E; \nShould you need additional infomation concelniilig this incident, please contact \nme at (502) 627-3409 so I caii direct your request to the appropriate person. \nSincerely, \nKelly Gipn LG&E and KU Energy, LLC \nCorporate Law \n220 W. Main Street \nLouisville, Kentucky 40202 \nwww.lpe-ku.com \nKelly Gibson \nParalegal \nT 502-627-3409 \nF 502-627-3367 \n. Kelly.Gibson@lge.ku.com \nIkcg \nEiiclosiires \nPSC 64 of 285 9903 E. 54lh Tulsa OK, \n74146 (918)- \n627-1273 \nFAX (918)-627-1294 \nTarget Unit Reading Mer \nspecified voltages Unit Repair Adjustment andlor \n~ 5KV \n5KV \n5KV -- \n-..--__ -- ---_I....- \n---._--..- 5 _\" 5kV ___.- \n--_. -._ 15 \n40 51tv .---- --l\".._l -_.--._- \n4.W. Bevins Company certifies that this unit has been tested & calibrated to the specifications of MWB-'TP-007 \n-est Procediire for C403-0979 Rev. Original. \n,quipment used to test unit is as follows- \n:luke Model 83 +/- -5% Calibrated 7/14/10 next due 7/14/11 \n$taco Variac 101 0 \nYestinghouse Voltage Transformer Type V66 \nPSC 65 of 285 PSC 66 of 285 The Fishel Company \nIssued in recognition of the above apprenticeship program, which is \nregistered in accordance with the standards of the KENTUCKY \nDepartment of LABOR in cooperation with the KENTUCKY \nAPPRENTICESHIP and TRAINING COUNCIL and the FEDERAL \nCOMMITTEE ON APPRENTICESHIP. \nFebruary 9, 2005 \nDate \n1 10480 \nRegistration Number \nPSC 67 of 285 REGISTERED WITH THE KENTUCKY DEPARTMENT OF LABOR \nDEPARTMENT OF WORKPLACE STANDARDS \nIN COOPERATION WITH THE US. DEPARTMENT OF LABOR \nBUREAU OF APPRENTICESHIP AND TRAINING \nREGISTERED AS PART OF \nTHE NATIONAL APPRENTICESHIP PROGRAM \nIN ACCORDANCE WITH THE BASIC STANDARDS OF APPRENTICESHIP \nESTABLISHED BY THE COMMISSIONER OF LABOR. \nPSC 68 of 285 APPRENTICESHIP STANDARDS \nFOR \n1 I IBcJyn THE FISHEL COMPANY \n(Progiam Registration Number) (Name of Sponsor) \n4508 Bishop Lane Louisville \n(Street) (City) \nJefferson \n(County) MY 4021 8 \n(State) (Zip Code) \nSIC NO. 1623 Number of Employees 140 \nType of Program INJ Program Term Measurement Hours \n(Years, Months and Hours \nLfNE INSTALLER-REPAIRER 8000 \nName of Trade Term of Apprenticeship \n822.381-014 \nDOT Number \nAdditional Trades on Reverse Side YO \nNumber of Journey Persons Employed \nWe hereby subscribe to the basic requirements for apprenticeship set by the Commissioner of Labor, \nthe Kentucky Apprenticeship and Training Council as prescribed in 803 KAR l:OlO, in cooperation \nwith the U.S. Department of Labor, Bureau of Apprenticeship and Training. \nCraig S. Mathes 1-800-347-4351 \nf Spo or r Authorized Representative Area CodelContact Phone Number )3w \nJ \nSmtze%f Sponsor or Authorized Representative - \nDATE I/, 8 /zoD 5” \n’ (MMIDDIYY) Human Resources Director \nTitle \nReviewed, approved and registered by the Supervisor of Apprenticeship and Training, Division of \nEmployment Standards, Apprenticeship and Training, Kentucky Department Of Labor , Department \nof Workplace Standards in cooperation with the U.S. Department of Labor, Bureau of Apprenticeship \nand Tflping. \nr/ \nDdte hpproved \nPSC 69 of 285 I. STANDARDS \nA. \n8. \nC. \nD. \n- E. It is understood and agreed that effective this date the following will constitute the \nof apprenticeship at THE FISHEL COMPANY \n(Company Name) \nII. OBJECTIVE \nThe purpose of this program is to maintain high standards of workmanship through the \ndevelopment of sltilled employees for the LINE INSTALLER-REPAIRER tradeltrades. \nThese standards shall be met by on-the-job training supplemented with related instruction, \nIt shall be the policy of the sponsor that all apprentices shall be employed and trained in \naccordance with These standards. \n111. DEFINITIONS \nSponsor: \nMeans any person, Committee, organization in whose name or title the program is \nto be registered irrespective of whether such in entity is an employer. \nEmployer: \nMeans any person or organization employing an apprentice whether or \nnot such person or organization is a party to an Apprenticeship or on-the- \njob training agreement with the Apprentice. \nApprenticeship \nAgreement: \nA written agreement voluntarily entered into by the apprentice or through \nhis/her parent or guardian with the sponsor which must be registered with \nthe registration agency. The said agreement contains the terms and \nconditions of employment and training of the apprentice to enable the \napprentice to learn the trade, craft, or business of the sponsor. \nCouncil: \nMeans the Kentucky Apprenticeship and Training Council appointed by \nthe Governor of Kentucky. \nRegistration \nAgency: \nThe Kentucky Department of Labor , Division of Employment Standards, \nApprenticeship and Training, Department of Workplace Standards, \nSupervisor of Apprenticeship And Training. \nPSC 70 of 285 F. Bureau: \nThe Bureau of Apprenticeship and Training, Employment and Training Administration, US. \nDepartment of Labor. \nG. Related Training: \nAn organized and systematic form of instruction designed to provide the theoretical and technical \nsubjects related to hislher trade. \n.. \nH. Superwisor: \nShall mean the Supervisor of Apprenticeship and Training, the Kentucky Department of Labor, \nDepartment of Workplace Standards. \n1. Commissioner: \nThe Commissioner means the Commissioner of Department Of Labor, or Workplace Standards, or \nany authorized person to act in behalf, having \nJurisdiction over laws or regulations governing wages and hours of employees working in this state. \nIV. EQUAL EMPLOYMENT OPPORTUNITY PLEDGE \nThe recruitment, selection, employment and training of apprentices shall be without discrimination \nbecause of race, creed, color, religion, national origin, sex, age or handicap. The sponsor will take \naffirmative action to provide equal opportunity in apprenticeship and will operate the apprenticeship \nprogram as required under Title 29 Code or Federal Regulations Part 30 Revised and the Kentucky \nState EEO Plan. \nV. QUALIFICATIONS FOR APPRENTICESHIP \nApplicants for apprenticeship must be at least eighteen (18) years of age and be an employee of \nThe Fishel Company. \nVI. SELECTION PROCEDURES \n_. (a) The number of apprentices selected will be pre-determined prior to a selection period. \n(b) All applicants will be evaluated and ranked by the total score on the criteria specified in the \nApprentice Applicant Review Form (Appendix C). \n(c) Apprentices will be selected in descending order of their score (the higher the score the better). \n(d) A minimum score of at least 70 points is required for selection. \nPSC71 of 285 VII. RATIO \nThe sponsor agrees to employ apprentices consistent with the proper journeyworker supervision, \ntraining and reasonable continuity of employment, but in a ratio of not more than one apprentice for \nthe first journeyworker and one apprentice for each additional three journeyworkers; i.e. ratios of 1-1 , \n2-4, 3-7, 4-10, etc. \nVIII. SUPERVISION OF APPRENTICES \nApprentices will be under the supervision of the sponsor who is responsible for making the \napprenticeship assignments; however, to insure adequate training, the sponsor shall designate a \nperson to supervise the apprentice and be responsible for his on-the-job training. The apprentice \nmust be under the direct supervision of a journeyworker at all times. \nIX. HOURS OF WORK \nThe scheduled workday and workweek for apprentices are subject to the sponsor's operating \nconditions and to the training requirements of the apprentice. \nConditions for overtime work: \nq. It is not the intent that apprentices will displace journeyworkers for overtime work, \n2. The sponsor may assign overtime to apprentices. Overtime shall not conflict with the \nApprentice's attendance of hidher regularly scheduled related training classes. \nX. WAGE RPITEISCHEDULE \nThe wage rates paid to the apprentice shall be paid in periods and expressed as a \npercentage of the established journeyworkers wage but must meet the minimum \nwage rate described by law. This period may be expressed in hours, months, or \nyear as indicated in the following wage schedule: \nPeriods % Rates \n1st 1000 60 % \n2nd 1000 65 % \n3rd 2000 70 Yo \n5th 1000 80 % 4th lOOO-- 75 % \n- \n- Journeyworkers work week 40 Hours: % Rates Periods \n6th 1000 85 % \n7th 1000 90 % \n8th 4000 95 % \n9th % \n% --- 10th \nWage Rate : $29~60 per hour. \nzo&5 \nXI. PROGRAM REGlSTRATlON/MODlFICATION/DEREGISTRATION \nThe sponsor may modify these standards for operational needs of the company or \nto incorporate changes in technology; however, the sponsor shall promptly notify \nthe registration agency in writing of any changes, modifications or amendments. \nPSC 72 of 285 This program may be deregistered upon the voluntary action of the sponsor by the \nsponsor's written request for cancellation to the registration agency or upon a \nfinding of good and sufficient reason by the registration agency according to the \nKentucky Regulations Title 803 Chapter 1 :010 Registration of Apprenticeship \nPrograms. \nXI1 TERM OF APPRENTICESWIP \nThe term of apprenticeship shall not be less than 8000 hours of reasonably continuous \nemployment sufficient to complete the number of on-the-job training hours and related \nclassroom instruction as required by these standards. \n>(Ill. APPRENTICESHIP AGREEMENT \nEach apprentice employed and trained under these standards of apprenticeship \nshall be signatory to an apprenticeship agreement between the apprentice and \nsponsor. The apprenticeship agreement shall be incorporated as part of these \napprenticeship standards and the said apprenticeship agreement shall be \nregistered with the registration agency. \nThe sponsor of these apprenticeship standards shall notify the registration agency, \nin writing, of all apprentice registrations, modifications, amendments, cancellations, \nsuspensions, terminations, and completions of the apprenticeship agreement and \ncauses thereof and dates of any action taken. \nThe sponsor shall give the apprentice adequate notice in writing of any adverse \naction affecting the apprentice (Le. disciplinary action, layoff, etc.) \nA. The following shall receive copies of the apprenticeship agreement: \n1. The apprentice \n2. The Sponsor \n3. The Registration Agency \n4. The U.S. Department of Labor, Bureau of \nApprenticeship and Training \nB. Credit for previous experience: \nPSC 73 of 285 Credit for previous experience may be allowed at the discretion of the sponsor; \nsuch credit shall be stated on the apprenticeship agreement at the time of \nregistration or may be granted at any time during apprentice probationary period \nupon written request of the sponsor. Credit for previous experience shall be limited \nto fifty percent (50%) of the term of apprenticeship unless said previous experience \nwas acquired as a registered apprentice in a program registered with the Bureau of \nApprenticeship and Training, U.S. Department of Labor or a state Registration \nagency. Credit for previous experience shall be awarded to apprentices equally. \nApprentices who receive credit for previous experience shall be paid upon entrance \nto the program the wage rate to which such credit advances them. \n*XlV. PROBATIONARY PERIOD \nThe first hours (not to exceed 667) of the apprenticeship shall be probationary \nperiod, duiingch time either party may cancel the apprenticeship agreement by \nnotifying the other. After the probationary period, the apprenticeship agreement may be \ncancelled or suspended for cause. The probationary period shall be counted toward the \ncompletion of the apprenticeship. 667 \nXV. RELATED CLASSROOM INSTRUCTIONION-THE-JOB TMININGIPERFORMANCE \nFor journeyworker certification requirements, each apprentice shall be required to complete \ninstructional classes as established by the sponsor for not less than 144 hours for each \nyear of the term of hislher apprenticeship. When satisfactory related training is not \navailable through the Department of Education, other trade or correspondence courses of \nacceptable quality may be used if approved by the registration agency. A copy of the \nrelated training schedule, the name of the training instruction, andlor correspondence \ncourse outline and of the training institution, andlor correspondence course outline and the \nmethod in which the courses will be taught shall be attached to these standards. \nFor certification requirements, the apprentices shall be required io follow instructions and \nperform task assigned by the sponsor for on-the-job training. On-the-job training hours \nmust be recorded on a daily basis by the sponsor. An on-the-job training form will be made \navailable to the sponsor. \nThe apprentice's total record of performance shall be reviewed periodically by the sponsor. \nThe sponsor will assure each apprentice that they will have qualified training personnel. \nPSC 74 of 285 An apprentice may be removed from the program whenever a review of performance shows \nthat he/she has failed to satisfactorily perform the related or on-the-job training \nrequirements. \nXVI. RECORD KEEPING \nAppropriate records reflecting the apprentice's progress in on-the-job training, job \nperformance, and related instruction shall be maintained for each apprentice, These \nrecords shall also include a periodic review of the apprentice's progress in each of the \nabove mentioned areas. All records concerning apprentice selections, action, and \nperformance shall be kept and maintained for a minimum of at least five (5) years, \nXVII. CERTIFICATION OF COMPLETION \nUpon satisfactory completion of the apprenticeship training under these standards, the \nsponsor shall request that the registration agency issue a Certificate of Completion of \nApprenticeship. \nXVIII. COMPLAINTS \nThe following individual shall be responsible authority under the program to receive, \nprocess and make disposition of complaints concerning the apprenticeship:- \nNAME Craig Mathes PHONE I 1-800-347-4351 \nADDRESS 1810 Arlingate Lane Columbus Ohio 43228 \nAny controversies or differences concerning the apprenticeship agreement which cannot be \nadjusted by the parties may be submitted to the Supervisor of Apprenticeship and Training, \nKentucky Department of Labor , Division of Employment Standards for determination as \nprovided for in KRS 343.070. \nXIX. TOOLS AND EQUIPMENT \nin some instances apprentices will be furnished a list of hand tools which they will be \nencouraged to procure. \nXX. SAFETY \nPursuant to the provisions set forth in Chapter 338 of the Kentucky Revised Statutes, the \nsponsor shall be required to comply with all applicable occupational safety and health laws, \nrules, regulations and standards. The apprentice shall be instructed in safe working \npractices in accordance with the Occupational Safety and Health Act, Public Law 91 506 \nand Chapter 338 of the Kentucky Revised Statutes. \nXXJ. FEDERAL AND STATE LAW \nPSC 75 of 285 Nothing in these standards shall be contrary to Federal or State laws and regulations. \nXXII. CONSULTANTS \nThe term consultant shall mean a representative of the Kentucky Department Labor, \nDivision of Employment Standards, Supervisor of Apprenticeship and Training, or a \nrepresentative of the U.S. Department of Labor, Bureau of Apprenticeship and Training or a \nrepresentative for any other person qualified to act as a consultant on problems of \napprenticeship training. \nPSC 76 of 285 PSC 77 of 285 APPRENTICIESH IP GUIDE LIM ES \nSECTION I - APPRENTICESHIP COMMITTEE \nA. Selection of Committee Members \n1. The Area Manager has the authority to appoint an Apprenticeship Committee \nChairman. This committee shall consist of enough members to insure that \nthe terms and conditions of these standards are met. The committee \nchairman will select these members. \nB. Trade-Committees (Where there are multiple-trade programs) \nI. Trade-committees shall be formed to establish and review all criteria \npertaining to their appropriate trade. \nSECTION 2 - GRANTING ADVANCED STANDING \nA. The Apprenticeship Committee will review all materials submitted and advise the \napprentice of its decision. \n8. Granting Advanced Standing \n1. An apprentice may apply for advanced standing in the maximum allowable \namount of two (2) levels for a four (4) year program and one (I) level for a \nthree (3) year program, provided the apprentice has documented previous \non-the-job experience commensurate with the desired level of accelerated \nstanding. \n2. All previous work experience must be documented to include total hours and \npay, starting and ending dates, descriptions of duties and signature of Team \nFishel representative verifying that the Information is true. \n3. The apprentice must complete the required forms necessary to be considered \nfor advanced standing through credit. This information must contain \njustification and documentation of previous applicable training. \n4. An apprentice may submit a written request to the Apprenticeship Committee \nfor advanced standing. This request must be received at least one month \nprior to starting the program. \n5. It is the sole responsibility of the apprentice to initiate any request for \nadvanced standing. \n0 Team Fishel 2006 2 \nPSC 78 of 285 SECTION 3 - PROGRAM POLICIES & PROCEDURB \nA. Expectations of Conduct \nI. General Expectations \na. Team Fishel has a high standard for the conduct of its Teammates, \nincluding apprentices. Team Fishel will not tolerate these standards \nbeing jeopardized by the actions or behavior of any Teammate. A more \ndetailed explanation of these standards can and should be reviewed in \nSection 5.0 of the Teammate Policy Manual. \n2. Corrective Action \na. Team Fishel, believes that all members of the team will work hard to \nmaintain an excellent work and training record with high standards of \nconduct. Team Fishel is counting on all Teammates to use good \njudgment. That means coming to work on time every scheduled workday, \nattending all scheduled events, keeping Team Fishel’s best interests a \npriority, and taking actions that will not harm the source of Team Fishel’s \nlivelihood. \nb. If an instructor, or representative of Team Fishel speaks with an \napprentice about a problem, he or she should listen carefully the first \ntime. Team Fishel will work with an apprentice to overcome problems, \nwith the supervisor often using progressive corrective action. However, if \nTeam Fishel determines a serious violation has occurred, the apprentice \nmay be immediately dismissed from the apprenticeship program, and be \nterminated from employment without having received any prior warnings. \nThe corrective action will be determined by how the Apprenticeship \nCommittee, and/or Team Fishel view the seriousness of the incident(s) \nand the surrounding circumstances. \nB. Related Instruction \n1. General Attendance Requirements \na. The Apprenticeship Instructor, or other representative designated by the \nApprenticeship Committee, will maintain attendance records and issue a \nnotice of warning to the apprentice after each absence. \nb. The apprentice must submit a written explanation for the absence to be \nrecorded and reviewed by the Apprenticeship Committee. \nc. Apprentices having more than one unexcused absence must appear \nbefore the Apprenticeship Committee and provide explanation. \nd. The Apprenticeship Committee will review work-related emergency \nabsences on a case-by-case basis. \nQTeam Fishel 2006 3 \nPSC 79 of 285 e. Apprentices leaving a scheduled related instruction session without \nauthorization prior to dismissal will be charged one (I) absence. On a \nsecond occurrence, the apprentice will be required to appear before the \nApprenticeship Committee for corrective action. \nf. Apprentices who are late three (3) times will be charged with one (1) \nabsence. On the fourth occurrence of being late, the apprentice will be \nrequired to appear before the Apprenticeship Committee for Corrective \naction. \n2. Expectations of Conduct \na. Unnecessary interruptions of any scheduled related instruction session \nwill be dealt with immediately. Such ads are grounds for immediate \ntermination from the apprenticeship program. \n3. Related Instruction Examinations \na. Written and performance examinations will be conducted at least every \nnine (9) weeks. \nb. Announced and unannounced evaluations may be conducted throughout \nduration of the apprenticeship program. \nc. A final examination will be given at the end of an instruction term. \nd. A minimum of seventy (70) percent must be achieved in all related \ninstruction to advance to the next term of apprenticeship. \n4. Make-up of Related Instruction Sessions \na. When a related instruction session is missed and cannot be made up, \nmake-up assignments will be determined and assigned at the discretion \nof the instructor. These assignments may include, but not be limited to, \nwritten assignments or additional instruction sessions as assigned and \nscheduled by the apprenticeship instructor. Any make-up assignments \nwill pertain to the subject matter covered in the class that was missed and \nmust be completed to regain credit for the instructional unit absence. \nb. Failure to complete any required assignment will result in the loss of \nrequired related instruction hours. Failure to satisfy the required 144 \nrelated instruction hours will result in unsatisfactory performance and \nappropriate disciplinary action, including but not limited to termination \nfrom the program, will be determined by the Apprenticeship Committee. \n6. On-the-Job Training \n1. General Attendance Requirements \na. Failure to meet Team Fishel’s Attendance Policies as outlined in seciion \n4.0 of the Teammate Policy Manual will severely hinder your learning \nexperience while participating in the apprenticeship program. \n0 Team Fishel 2006 4 \nPSC 80 of 285 Furthermore, failure to meet these expectations will result in appropriate \ndisciplinary action, up to and including termination from the \napprenticeship program, and possibly the apprentice’s employment. \n2. Hourly Record \na. The apprentice is required to maintain an hourly record of his or her own \non-the-job training. All on-the-job training must correspond to the \napprentice’s Work Process Schedule (see trade specific Work Process \nSchedule), The Apprenticeship Committee will perform frequent audits of \nthe apprentice’s on-the-job training log. Recording false hours will result \nin immediate dismissal from the program. \nb. A monthly record of on-the-job training hours for the preceding month will \nbe due on the first Monday of each month, or in the first classroom \nsession of the month (when in session). The hourly record must be \nmaintained and kept up-to-date in the logbook provided to the apprentice. \nIt is the apprentice’s responsibility to provide this record to the \napprenticeship instructor, or individual designated by the Apprenticeship \nCommittee. Failure to submit an on-the-job training log by the designated \ndue date can result in the loss of those hours. \nB. Wage Adjustments \nI. Wage adjustments will be determined at the completion of every 1000 hours \nof on-the-job training. The apprentice must be demonstrating satisfactory \nprogress in the areas of on-the-job training and related instruction to be \neligible to receive a wage adjustment. All wage adjustments will be \nadministered in accordance with the Apprenticeship Standards. \nb. The schedule of wages is the minimum pay allowed for an apprentice. \nc. Wage adjustments are not required when an apprentice is being paid at \nor above the wage increment according to the apprentice’s status in the \nareas of on-the-job training hours and related instruction. \nC. Layoff \n1. Should an apprentice be laid off from work for a temporary period, the \napprentice is encouraged to complete the remainder of the any class related \ntraining sessions for that period. Make-up credit will not be provided in the \nevent an apprentice elects not to continue to participate white laid off from \nwork. \nD. Evaluation \na. Each apprentice will be evaluated at least twice annually using the \nApprenticeship Progress report. \n0 Team Fishel 2006 5 \nPSC 81 of 285 Course Content \n6. First Aid Curriculum is the Power Delivery Program, a Product of Northwest Lineman College. \nwww.lineman.com \nI Book One - 150 Hours of Instruction \n15 Hours Per Module \n1. Introduction to Power Delivery -. \n2. Safetv 1 \n3. Climbing Wood Poles I \n4. Knots, Splices, and Ropes \n5. Electrical Svstems ~-~ \n-..-__I 7. Applied Mathematics \n9. Transformer Basics 8. Bask Electrical Theory I_- \nIO. OSHA 191 0.269 (selected subparis) 1 \n~. \n--- 15 Hours Per Module \n- -1 --- I \nfii:safetv 2 \n12.AC Fundamentals \n13. Persona1-h-otective Grounding --.. \nLine Eauhment Book Three - 150 Hours of Instruction I 15 Hours Per Module I \n23. Metering \n25. Advance Transformers \nI 26. Maps & Standards \nSystem Protection ---~ \nI 29.NESC 2 \nI 30.0SHA 1910.269 (selected subparts \n___l_-l_____. \n----- \nTI Book Four - 150 Hours of Instruction \n15 Hours Per Module \n------I - \n1 31. Safetv 4 \nI 32. Special Elements 2 I \ni 35. System Operation \n36. System Automation I=- 37. Overhead Line Desian ------ \n_” + ~__~ I 38. Underground Line Design I \n39. Trouble Investigation --..___ t 40. Crew LeadershiD \n0 Team Fishel \nPSC 82 of 285 Job Description \nI. Poles \nA. Setting and Removing \nB. Framing \n11. Fixtures \nA. Assembling X-arms and equipment \nB. Making up and installing guys \nC. installing anchors \nD. Installing X-arms and equipment \nE. Installing ground wires and rods \nF. Removal and salvage of materials \n111. Conductors \nA. Installing wire, splicing and tying \n6, Dead-ending \nC. Pulling and sagging \nD. Testing and phasing lines \nE. Removal and salvage of wire \nIV. Transformers \nA. Installing transformers, overhead and underground \nB. Connecting transformers \nC. Lightning arrestors and cut-outs \nD. Trouble shooting and testing Approx. Hours \nV. Services \nA. Installation and removal of services \nVI. Street Lighting \nA. Installation and removal \n6. Troubleshooting \nVII. Underground Cable \nA. Installation and removal \n6. Installing terminations \nC. Trouble Shooting \nVIII. Miscellaneous \nA. Trouble Shooting 448 \n500 \n2300 \n2300 \n450 \n250 \n1 I00 \n652 \nTotal: 8000 MRS. \nPSC 83 of 285 n \nPSC 84 of 285 I \nparticipate in a Team Fishel sponsored Apprenticeship Program is done so voluntarily \nand, being of lawful age and sound mind do hereby, to the fullest extent permitted by \nlaw, release and forever discharge The Fishel Company, their agents, assigns, \nsuccessors, and employees (whether or not presently employed) from all liability, \ncauses of action, claims (whether known or unknown), and demand for damages and \ncosts, including attorney's fees, on account of, or in any way growing out of all known \nand unknown personal injuries and property damage resulting from my attendance at \nand participation in this program. .__-___ herby acknowledge that my acceptance to \nI have carefully read this release, understand it, and voluntarily sign it. \nAgreed to: \nParticipant \nPrint Your Name \n___ \nsignature \nThe Fishel Company \nBy: Date \nSignature \nTitle -- - Date \nPSC 85 of 285 vainin n-i n t \nSubject: LG&E Passport Training \nTraining Code: 13-00001 Date: 1 1/18/2010 Expires On: 12/1/11 \nLocation: 4508 Bishop Lane Louisville, KY \ninstructor: Johnny Ward/Ooug KetzenberaTitle: Safety Coordinator Length of Class: \nPage 2 of 6 \nPSC 86 of 285 n-i n et \nSubject: LG&E Passport Training Length of Class: \nTraining Code: 13-00001 Date: 11/18/2010 Expires On: 12/1/11 \nLocation: 4508 Bishop Lane Louisville, KY \nInstructor: Johnny Ward/Doug KetzenbergTitle: Safety Coordinator \n13250 \nFirst Name Last Name Teammate ## Signature \" \nTim Thomas 371 67 \nPage 6 of 6 \nPSC 87 of 285 PSC 88 of 285 PSC 89 of 285 I \nI \nCONTRACT \nbetween \nLouisville Gas and Electric Co. \nand \nThe Fishet Company \nPSC 90 of 285 ATTACHMENT C \nUTILITY ADDENDUM REPORT \nPSC 233 of 285 BPL companies \nOctober 1 1,20 1 1 OCT B 2 2011 \nPUBLIC SERVICE \nMr. Jeffiey Moore COMMISSION \nDivision of Engineering \nKentucky Public Service Commission \n21 1 Sower Blvcl. \nP.O. Box 615 \nFrankfort, KY 40602 \nRe: Coiitractor IiijuryIMatthew Christy \nDate of Incident: July 20, 201 1 \nReport Number: 1 1 -ED-&:! 1 -AD \nDear Mr. Moore: \nEiiclosed please find LG&E’s addeiiduiii report regarding the above referenced \nincident. Please return a file stamped copy of the report iii the envelope \nprovided. \nShould you need additional information concerning this iiicideiit, please contact \nme at (502) 627-3409 so I can direct your request to the appropriate person. \nSincerely, \nKelly C?&son \nIkcg LG&E and I(U Energy, LLC \nCorporate Law \n220 W. Main Street \nLouisville, Kentucky 40202 \nwww.iee.ku.com \nKelly Gibson \nParalegal \nT 502-627-3409 \nF 502-627-3367 \nKelly.Gibson@lge.ku.com \nEnclosures: \n1) Updated area print \n2) Outage Management Systein (OMS) tickets \n3) Diagrams depicting the spsteiii before and at the time of the iiicident \n4) Team Fishel addendum to incident report \nPSC 234 of 285 VESTIGATION REPORT - Actdendurn \nType of Report \nKeith IMcBricIe \nInvestigator ll-ED-E-021-Ad \nRepoit Number \nJulv 20,2011 \nDate of Incident \nReference: Fishel Employee injured and admitted to hospital \nLocation: 15500 Bridle Gate Drive \nLouisville, Jefferson County, Ken tiicky 40299 \nOn July 20,201 1 at approxiiiiately 1 : 15 P.M. Jimmy Williams, Apprentice I11 for \nTeain Fishel and Matthew Christy, Apprentice I, for Team Fishel, were on a job \nsite at 15500 Bridle Gate Drive, Louisville, ICeiitucky. The job consisted of \nidentifying and replacing a section of URD cable that was found to be damaged. \nDuring this job, Matthew Christy received a shock and burn. W. Clwisty was \nadmitted to the hospital for overnight observation. \nKen Sheridan, Manager of Distribution Operational and Public Safety, notified the \nKentucky Public Service Coinmission of the incident and subsequent overnight \nhospital stay. \nAt the request of the Kentucky Public Service Conmission, this addendum report \ndescribes in niore detail the actions of the LG&E Trouble Technician on the day of \nthe reported outages in the subdivision. \nLG&E Trouble Technicians actions \nOn April 17,201 1, LG&E Distribution Control Center @CC) received notice of \nan outage on Bridle Gate Drive in Louisville indicating a customer struck a pad- \nmount transformer with a riding lawn mower. DCC dispatched a Trouble \nTechnician to the area. \nOnce on scene the Trouble Tech found that the fiise was blown on the lateral pole, \nTLM-601287. The Trouble Tech went to the possible damaged transformer and \nPSC 235 of 285 found that the pad mount transformer had been hit and knocked off of the pad and \nthe cable feeding the transformer had been damaged / cut just off of the elbow \ninside of the transformer. The Trouble tech pulled this bad cable off of transformer \n85782, placed an inforination card on the elbow and stood the cable off at \ntransformer 9841 0, placing an inforination card there as well. \nThis isolated the cable from transformer 984 10 that was feeding transformer \n85782. \nThe Trouble Tech then received permission to close in TLM 601287 at the lateral \npole. The normal open was found to be in transforiiier 8608 1. The Trouble Tech \nclosed in the normal open at transformer 8608 1 and restoring the remaining \noutages and iiioving the normal open to transformer 984 10. \nThe cable has since been replaced and the normal open remains at transformer \n98410. \nEND OF REPORT \nDATE OF REPORT: OCTOBER 11,2011 \nPSC 236 of 285 N e \n!i \n!i \n% * !i c 1, \n§ \nPSC 237 of 285 E \n3 e \nP 5 \nF 0 .- \nT4 a \nE: \".. \n0 B 3 r \nla- 0 \n.i- \no 0) 2 \nPSC 238 of 285 2 m e, \nm a m \nPSC 239 of 285 PSC 240 of 285 -a a, \ng \nE c c a, Ili \nz \nY? \nc! a \nT- \nm \nW \n0 F T- \nc! 6 . -=t \nE a \nLo \nc? t- \ncn \nW \n0 T- c- \nQ! k . tt \nt- \nt- \nPSC 241 of 285 M \nPSC 242 of 285 e- + \nM \nPSC 243 of 285 4508 Bishop Lane \nLoulsville, IW 40218 \n(502) 456-2900 \n10/10/2011 \nDIANE KEELER \nChairman \nJOHN PHILLIPS \nPresident and CEO \nRANDY BLAIR \nExecutive VP and COO \nSCOTT HOMBERGER \nVP, Mldwest Reglon \nBILL PAULEY \nVP, Western Region \nSCOTT KEELER \nVP, Central Region \nPAUL RIEWE \nVP and CFO \nGREG GRABOVAC \nVP and General Counsel \nKEN UTZ \nVP and CIO To: Keith McBride \nFrom: Rich Mauldin \nRe: Bridlegate Report Addendum \nKeith, \nThis addendum to the Bridlegate incident report dated 6/21/2011 \naddresses Mr. Jeff Moore’s (PSC) concerns regarding Jimmy Williams’ \nclassification of Apprentice Three. \nWhile Team Fishel utilizes classifications to determine a Teammate’s skill \nlevel, Team Fishel may also utilize classifications to determine pay grades \nwithin the Teammate ranks. \nIn the case of Jimmy Williams, Team Fishel recognizes Jimmy as a Crew \nLeader at the Journeyman level due to his experience in Underground \nResidential Distribution applications. Jimmy’s background includes \nseventeen years of experience with Louisville Gas & Electric in their URD \nDepartment with an additional seven years of experience with Team Fishel \nworking on URD applications. \nDue to Jimmy’s lack of experience in Overhead applications required to \nmake Journeyman status in pay grade, Team Fishel has determined that \nthe Apprentice Three pay grade is commensurate with the skills Jimmy \ncurrently possesses. \nSincerely, \nRich Mauldin \nArea Manager \nRMldh \ncc: Rick Druin \nCraig Mathes \nWith Offices In \nATLANTA 0 CINCINNATI * COLUMBUS DALLAS * DAYTON 0 HOUSTON 0 LOUISVILLE 0 LAS VEGAS 0 LOS ANGELES \nNASHVILLE 0 ORLANDO PHOENIX * RICHMOND * SAN DlEGO TAMPA 0 TUCSON WASHINGTON DC \nwww.teamfishel.com \nPSC 244 of 285 ATTACHMENT D \nPSC PHOTOGRAPHS \nPSC 245 of 285 PSC 246 of 285 PSC 247 of 285 PSC 248 of 285 PSC 249 of 285 PSC 250 of 285 PSC 251 of 285 PSC 252 of 285 PSC 253 of 285 . . .. \n. ... -- \n... i. .. I --. \n- . _. .............. - ........... .- ...... ................. , \n..... .... \n...... \nPSC 254 of 285 PSC 255 of 285 PSC 256 of 285 _. . ... :. > , , \n...I. . . . . _. \n.. . . . . . . . . . .. \nPSC 257 of 285 PSC 258 of 285 PSC 259 of 285 PSC 260 of 285 PSC 261 of 285 PSC 262 of 285 PSC 263 of 285 PSC 264 of 285 PSC 265 of 285 PSC 266 of 285 PSC 267 of 285 PSC 268 of 285 PSC 269 of 285 I I \n1 \nI \nPSC 270 of 285 PSC 271 of 285 PSC 272 of 285 ATTACHMENT E \nEMAIL CORRESPONDENCE \nPSC 273 of 285 Page 1 of 1 \noore, Jeffrey C (PSC) \nFrom: Moore, Jeffrey C (PSC) \nSent: \nTo: Keith McBride (keith.mcbride@eon-us.com) \nCc: \nSubject: FishellChristy \nKeith, \nI am following-up on the Fishel incident and had some additional information I need from the company. \nDuring the field investigation Keith you showed me the A B Chance voltage detector that was used prior \nto the incident. We could not find a recent test date on the device and when the device control switch \nwas moved it appeared the indicator on the KV scale might not be working properly. I need the following \ndocumentation. Thursday, September 08,201 1 158 PM \nJim Dimas (jim.dimas@eon-us.com); Ken Sheridan (kensheridanaeon-us.com) \n1. Could you check with Fishel and have them send a document showing the required scheduled testing \non the A B Chance voltage detector used that day. \n2. Documentation showing the last time it was tested? \n3. Documentation of any testing performed on this device after this incident. \nThank You \nJeff Moore \nUtility Regulatory & Safety Investigator \nEEC/Public Service Commission \nOffice: 502-564-3940 \nCell: 502-352-0767 \njeffrevc.mooreQkv.aov \nNOTICE: This email, and any attachments hereto, is for the sole use of the intended recipienl(s) and may contain information lhnt is preliminmy andor \nconfidential. Any unauthorized review, use, disclosure or distribution is strictly prohibited If you are not the intended recipient, please contact the sender, \nvia e-mail, and destroy all copies of the original message. \n11/30/2011 \nPSC 274 of 285 Page I of 4 \nMoore, Jeffrey C (PSC) \nFrom: \nSent: Friday, Seplember09.2011 l044AM \nTo: Moore, Jeffrey C (PSC) \ncc: \nSubject: \nImportance: High \nHey Jeff \nBelow is the documentation from the M W Bevins Company on the Chance voltage \ntester used on the day of the Fishel urd incident \nThe M W Bevins Co found the tester to be functional with the exception of the \nintermittent test button According to the M W Bevins Co the test button would in no \nway affect the tester's ability to detect voltage \nAs far as yearly testing, only when the tester is either damaged, found to not be working \nor the ability of the tester has come into question, should the tester be sent out for \ntesting \nThere are no requirements for yearly testing McBride, Keith [Keith McBnde@lge-ku com] \nSheridan, Kenneth, Guy, David. Wolfe. John, Dimas, Jim \nFW KPSC reply / 111 \n12/16/2011 PSC 275 of 285 Page 2 of 4 \n12/16/2011 PSC 276 of 285 Page 3 of 4 \nAugust 3 1. 201 1 \n\"re a 111 F i slil tz I \nI .ouisvi 1 le. Kent uclq \nDear n3r. itlnuldi1il: \n%'e received yc~ur c\"403-0979 on August 3, 201 I arid fnu \nom1 \\vitIi itie exception of ihe intermittent test butt( \nffkct flie mils\" ability to detect \\-oXtage. This push \nne \\?t'om labels. If you 1m-c any qucstions or 1 \not hcsitate to contact me. \n12/16/2011 PSC 277 of 285 Page 1 of 1 \nMoore, Jeffrey C (PSC) \n.~ \nFrom: McBride, Keith [Keith.McBride@lge-ku.com] \nSent: Tuesday, October 18,201 1 1:22 PM \nTo: Moore, Jeffrey C (PSC) \nCc: Sheridan, Kenneth; Woods, Michael \nSubject: RE: URD numbering on cables \nSorry it took so long ..,,....... dang, got busy there for a while ... \nI do not know why or understand why those numbers are on the elbow, looks like either a 9 or 6. \nTypically the numbers are associated with the transformer, It is possible that for future use that may \nhave been what a new transformer number would have been. We do not number pull boxes though. \nThanks, Keith \n. _-_I_ _I_ I - - ._ . \nFrom: Moore, Jeffrey C (PSC) [mailto:JeffreyC.Moore@ky.gov] \nSent: Friday, October 14,2011 8:48 AM \nTo: McBride, Keith \nCc: kbthompson@teamfishel.com \nSubject: URD numbering on cables \nKeith and Kenny, \nKeith I have a couple of question about the circuit numbering on the URD cables in the pull box \n(transformer pedestal) Mr. Christy was working at the time of the incident. The pictures taken that day at \nthat pull box show an elbow terminator with the 85782, and the other terminator that was apparently \ndamaged by the arc during the incident. \n1. What is the single number in the picture showing the damaged terminator? \n2. Also does LG&E use any indentifying markshumbers on the outside of a pull box? \nKenny could you check with Mr. Williams and see if he and Mr. Christy had verified the numbers on the \nterminators In this pull box before the incident. \n1. If so what was the numbers on each terminator in the pull box? \nThank You \nJeff Moore \nUtility Regulatory & Safety Investigator \nEEC/Public Service Commission \nCell: 502-352-0767 \njeffrevc.moore@kv.oov Office: 502-564-3940 \nNOTICE: This email and any atlachnienls hereto, is for llie sole use ofthc intended rccipienl(s) and may conlain information Ihal is preliniinary and/or \nconfidential Any unauthorized review, use, disclosure or distribution is strictly prohibited. If you are not the intended rccipient, plcasc conlac1 the sender, \nvia e-titail. and destroy a11 copies ofthe original mcssagc. \nI___ I__ __ -_ - -_ - \nThe iii foririntioii coli tniiied iii this trniisiirissioti is iiiteitded oiib for the persoii or eiitity to \nrvliiclt it is directly addressed or copied. It itiny coiitniir mnterinl of coiif7deiitinI aiiflor privnte \niintitre. Atty review, retrniisiirissioii, disseiiiitintioii or other use of; or tnkiirg of tri?y nctioii iii \nreliniice iyoii, this iiforiiintioit by persoiis or entities other tlrnir the iii teiided recipieitt is riot \ndowed. If yoir received this tiressnge arid the iiforiiintioir coirtniiietl tlrereiii by error, plense \ncorttnct the seirtler aiid delete tlt e iirnterinl froiir yoiir/nity stornge iiiedirtitr. \n11/30/2011 \nPSC 278 of 285 Page 1 of 1 \noore, Jeffrey C (PSC) \nFrom: Moore, Jeffrey C (PSC) \nSent: \nTo: McBride, Keith \nSubject: RE: Elbow tagging numbers \nKeith, \nI have the updated area print that was revised on 7/28/2011. It was in the information requested (1 \nUpdated area print) and sent on 10/11/2011. \n1. Why was this print revised on 7/28/2011, and what was changed from the previous print? \n2. Based on the information below do you have the original print showing how this was fed from the pull \nbox located on Bridal Gate Drive to transformer 847461 \nIf so, please provide a copy with the information requested in this email. Wednesday, November 09,201 1 151 PM \nThank You \nFrom: McBride, Keith [mailto:Keith.McBride@lge-ku.com] \nSent: Friday, October 28, 2011 6:24 AM \nTo: Moore, Jeffrey C (PSC) \nSubject: Elbow tagging numbers \nImportance: High \nJeff, \nAfter more follow-up and a subsequent meeting with Safety and Technical Training and \nthe URD Team Leader, we have determined what the number found on the elbow is \nand what that number was associated to. \nThe number on the elbow is 84746. This number, as we discussed earlier, is \nassociated to a transformer. The transformer is located at the end of Pasafino Court. \nAt the time of construction, the cable coming out of transformer-84746, traveled to the \npull box located on Bridle Gate and looped. Later in the development of the subdivision, \ntwo other transformers were installed in between the transformer-84746 and the pull \nbox located on Bridle Gate. Being that the cable was located in a pull box, it is \nassumed that the transformer installation crews did not go to the pull box and change \nthe number on the elbow. \nThanks, Keith \nThe iirforiitntioii coiitniiied iir this trniismiissioii is iiiteiided oiiIy for the persoit or entity to \nwhich it is direct& addressed or copied. It itrny coiitniii iitnterinl of coiifineritinl niid/or privnte \nriatiire. Aiiy review, retrniisittission, disseitiiitntion or other me OJ or tnkiiig of arty nctioit iii \nrelinirce tipoti, this iirforilintioii by persons or err tities other tIinii the iirteiided recipieiit is iiot \nnlloweri. Vj~oii received this inessnge ciiid the iirforitintioii coiitniiied therein by error, please \ncoirtnct tiie seiider niid delete tiie mnferinl froiit yorir/niiy stornge itiedizm \n11/30/2011 \nPSC 279 of 285 Page 1 of 1 \noore, Jeffrey C (PSC) \nFrom: Dimas, Jim [Jim.Dimas@lge-ku.com] \nSent: \nTo: Moore, Jeffrey C (PSC) \ncc: \nSubject: \nAttachments: URDcifi3944.tif \nJeff, Wednesday, November 16,201 1 10:42 AM \nMcBride, Keith; Sheridan, Kenneth; Lovekamp, Rick; Moss, Judy \nQuestion Regarding Canterbrook Farms URD \nAt Keith McBride’s request 1 am providing information you requested from Keith in your e-mail of \nNovember 9,2011. You asked “Why was this print revised on 7/28/2011, and what was changed from \nthe previous print?” Answer: Because of the incident itself and because the initial view on site was that \nthe cable involved had been tied to a different cable, LG&E wanted to verify the whole URD system in \nthat neighborhood. The only change to the revised print was showing how the cable actually went to \nthe transformer and two elbow numbers on the print were revised to show other installed transformers. \nIn addition, the print you requested is attached. \nJim Dimas \nSenior Corporate Attorney \nLG&E and KU Energy LLC \n220 West Main Street \nLouisville, Kentucky 40202 \nPhone: (502) 627-3712 \nFax: (502) 627-3367 \nThis e-mail message is confidential, intended only for the named recipient(s) above and may contain \ninformation that is privileged, attorney work product or exempt from disclosure under applicable law. If \nyou have received this message in error, please immediately notify the sender at 502-627-3712 and \ndelete this e-mail message from your computer. \nThe iitforittntioii coittniiied iii this trnrtstitissioii is iiitetided oitly for the persoii or eiitiiy to \nwhich it is directly nddressed or copied. It tiiny cotitniit ittnterini of coiifderitinl nit #or private \niinfrrre. Atiy review, retrarisitiissioit, rfissetttiitatioii or other use of, or tnkiiig of ntiy nctioir iii \nreliniice ttpoit, this ittforiitntioti by persorts or entities other tIinri the iitteiided recipieiit is not \nnlloweti, Ifvoti received this itiessnge niid the iirforitintioii cotttnitied tIiereiii by error, please \ncoiitnct the sender ntid delete the itinterid froiiivotir/miy storage mediiritt. \n11/28/2011 PSC 280 of 285 N 2 \n4 ATTACHMENT F \nNESC C2-2007 TABLE 441-1 \nPSC 282 of 285 Table 441-1: AC Live Work Minimum Approach Distance4 \n(See Rule 441 in its entirety.) \nphase to phase'I2 1 Phase-to-ground \n._ (m) (!-!!I .__ Phase-to-phase \n(ft-in) __ (m) ____I I 0 to 0.050' I not sDecified I not sDecified \nI 0.051 to 0.300' I avoid contact I avoid contact \n0.301 to 0.750' 0.31 1-0 0.31 1-0 \nIKI\" to 36.0 0.77 2-7 0186 2-1 0 -- \n0.65 2-2 0.67 2-3 \nI\" \".__I__ 0.751 to 15 \n36.1 to46.0 0.84 2-9 0.96 3-2 I \n46.1 to72.5 1 .003 3-33 I I .20 3-1 1 \n1. For single-phase systems, use the highest voltage available. \n2. For single-phase lines off three phase systems, use the phase-to-phase voltage of the system. \n3 The 46.1 to 72.5 kV phase-to-ground 3-3 distance contains a 1-3 electrical component and a 2-0 \ninadvertent movement component. \n4. Distances listed are for standard atmospheric conditions. The data used to formulate this table was \nobtained from test data taken with standard atmospheric conditions. Standard atmospheric conditions are \ndefined as temperatures above freezing, wind less than 15 mi per hr or 24 km per hr, unsaturated air, \nnormal barometer, uncontaminated air, and clean and dry insulators. If standard atmospheric conditions do \nnot exist, extra care must be taken \nPSC 283 of 285 OVERHEAD IMAGE OF INCIDENT SITE \nPSC 284 of 285 PSC 285 of 285 Service List for Case 2012-00103\nLonnie E Bellar\nVP - State Regulation an\nLouisville Gas and Electric Company\n220 W. Main Street\nP. O. Box 32010\nLouisville, KY 40202 Service List for Case 2012-00103\nLonnie E Bellar\nVP - State Regulation an\nLouisville Gas and Electric Company\n220 W. Main Street\nP. O. Box 32010\nLouisville, KY 40202" }

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{ "pdf_file": "VHMQFZ7HL5HDQKATFMZYKLQ2KSBBBLNT.pdf", "text": "Department of Interior’s “Christmas Present” to the American Public: Lockup More Federal Land (January 2011)\nDuring the “lame duck” session of the 111th Congress, Democratic members of the U.S. Senate\nhad their sights set on passing yet another omnibus public lands bill to designate thousands of\nacres of wilderness and enact other restrictions on federal land-use.  Thankfully, this effort was\nmet with strong resistance by Senate conservatives and was quickly dropped before Congress\nadjourned on December 22nd.  However, in what\nappears to be a consolation prize to the environmental activist community and its supporters,\nupon Congress’ adjournment Department of the Interior Secretary Salazar released \nSecretarial Order #3310\n, which instructs the federal Bureau of Land Management (BLM) to identify and designate BLM\nlands with wilderness characteristics as “Wild Lands.”\n \n \n \nBy designating “Wild Lands” through land-use planning, this order represents a deliberate\nend-run around the authority of Congress to designate lands as wilderness.  While I have long\nopposed wilderness designations under any circumstances due to their extreme restrictions on\nbeneficial and economic use of our federal lands, as well as the management restrictions that\ninhibit local efforts to address the growing threat of wildfires, I also believe that those decisions\nare best made through open debate and a vote by the Congress instead of through a backdoor\nprocess that is solely at the discretion of a federal agency.  Moreover, as the Obama\nAdministration continues to claim that it has no plans to designate national monuments in\nresponse to a leaked  memo  describing potential monument sites (including two within our\nNorthern California Congressional District), this latest action further undermines their credibility. \nInstead, these statements simply reinforce the Administration’s “lock it up” agenda with respect\nto multiple-use of federal lands.  As the 112th Congress convenes\nwith an emboldened conservative majority, I will pursue whatever means possible to prevent\nthis Secretarial Order or any other policy from further restricting recreation, forest management,\nmining, grazing, and other valuable uses of our public lands in Northern California.\n \n 1 / 1" }

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{ "pdf_file": "OQCH5BPQO3G64HZOGOJKA26NQ23FAXD2.pdf", "text": " \n \nUnited States Court of Appeals for the Federal Circuit \n \n2007-7236 \n \nFORTUNATA CAPELLAN, \n \nClaimant-Appellant, \n \nv. \n \nJAMES B. PEAKE, M.D., Secret ary of Veterans Affairs, \n \nRespondent-Appellee. \n Fortunata Capellan\n, of Lopez, Quezon, Philippines, pro se. \n Douglas K. Mickle\n, Trial Attorney, Commercial Litigation Branch, Civil Division, \nUnited States Department of Justice, of Washington, DC, fo r respondent-appellee. With \nhim on the brief were Jeanne E. Davidson , Director, and Martin F. Hockey, Jr. , Assistant \nDirector. Of counsel on the brief were Michael J. Timinski , Deputy Assistant General \nCounsel, and Jamie L. Mueller , Attorney, Office of the Gener al Counsel, United States \nDepartment of Veterans Affair s, of Washington, DC. \n Appealed from: United States Court of Appeals for Veterans Claims Chief Judge William P. Greene, Jr. United States Court of Appeals for the Federal Circuit \n \n 2007-7236 \n \n FORTUNATA CAPELLAN, \n \nClaimant-Appellant, \n v. \n JAMES B. PEAKE, M.D., \n Secretary of Veterans Affairs, \n \nRespondent-Appellee. \n \n \nAppeal from the United States Court of Appeals for Veter ans Claims in Case No. 05-\n1990, Chief Judge William P. Greene, Jr. \n _______________ ___________ \nDECIDED: September 2, 2008 \n __________________________ \n \nBefore NEWMAN, MAYER, and SCHALL, Circuit Judges\n. \n \nOpinion for the court filed by Circuit Judge NEWMAN. Concurring opinion filed by \nCircuit Judge SCHALL. \n \nThis appeal centers on the attempt of Fo rtunata Capellan to establish that her \nhusband, Santiago A. Capellan, was killed in the Battle of Bataan in 1942 while in the \nArmed Forces of the Philippines in the serv ice of the United States Armed Forces. His \nbody was never recovered. Mrs. Cape llan’s claim is f ounded on 38 U.S.C. '107, which \n \n2007-7236 2provides certain veterans benefits to member s of the Philippine m ilitary services who \nwere incorporated into the United States Armed Forces. See 38 C.F.R. '3.40. \nAfter the war Mrs. Capellan applied for veterans’ benefits based on her \nhusband’s service. The app lication was granted and Mrs. Capellan received benefits \nfor several months in 1950 until they were terminated in August of that year. This \nappeal is from the most recent denial of her claim for dependency and indemnity \ncompensation, by decision of the United Stat es Court of Appeals for Veterans Claims \n(the “Veterans Court”). The Veterans Court held that Mr. Capellan’s military service had \nnot been established by an offici al United States military document or verified by a \nUnited States service department pursuant to 38 C.F.R. §3.203, and declined to consider the new evidence from Philippine military authorities.\n1 In its ruling the \nVeterans Court appears to have diverged from other decisions concer ning verification of \nPhilippine military service when new info rmation was provided after an earlier adverse \ndetermination. See, e.g., Padilla v. Nicholson , No. 05-2518, 2007 WL 412356, at *2 \n(Vet. App. Jan. 3, 2007) (requiri ng review of new information); Dela Cruz v. Nicholson , \nNo. 04-137, 2005 WL 3057877, at *3-*4 (Vet. A pp. Oct. 21, 2005) (requiring review of \nnew information). \nAt the threshold, the gov ernment challenges our juri sdiction of this appeal. \nJurisdiction \nPursuant to 38 U.S.C. '7292(a), as amended in 2002, this court has appellate \nauthority “with respect to the validity of a decision of the [Veterans Court] on a rule of \n \n1 Capellan v. Nicholson , No. 05-1990, 2007 WL 561972 (Vet. App. Feb. 22, \n2007). \n \n2007-7236 3law or of any statute or regulation . . . or any interpretation thereof . . . that was relied on \nby the Court in making the dec ision.” However, except to the extent that an appeal \npresents a constitutional issue, this court “may not review (A) a challenge to a factual \ndetermination, or (B) a challenge to a law or regulation as applied to the facts of a \nparticular case.” 38 U.S.C. '7292(d)(2). The 2002 amendment to '7292(a) enlarged \nour jurisdiction beyond issues of the validity or interpretation of a statute or regulation, to \ninclude review of any legal principle and its interpretation. See Morgan v. Principi , 327 \nF.3d 1357, 1361 (Fed. Cir. 2003) (“[T]he amendment enacted by Congress has the effect of making the review of ‘a decision of the Court [of Appeals for Veterans Claims] \non a rule of law’ a separate jurisdictional basis, and textually in dependent of whether \nthat rule of law was ‘relied on’. . . .”); see\n also Wilson v. Principi , 391 F.3d 1203, 1209 \n(Fed. Cir. 2004) (“We have interp reted the revised statute as conferring on this court a \nform of ‘case jurisdiction,’ as opposed to ‘issue jurisdiction.’”). \nThe Secretary of Veterans Affairs (herei n “the VA”) argues that this court does \nnot have jurisdiction to consider any aspect of this appeal, stating that Mrs. Capellan is \nsimply seeking review of a factual deter mination concerning Mr. Capellan’s military \nservice. Mrs. Capellan argues that the decision of the Ve terans Court was based on an \nincorrect interpretation of certain statutes and regulations. The issues she raises \nprimarily concern 38 C.F.R. '3.203, a VA regulation that rela tes to evidence of military \nservice and that states the procedures to be followed by claimants and by the VA in \ncollaboration with the military services. Mrs . Capellan argues that this regulation was \nincorrectly interpreted in view of the VA’s statutory duty to assist, 38 U.S.C. '5103A, \nand the benefit-of-the-doubt statut e applicable to veterans’ claims, 38 U.S.C. §5107(b). \n \n2007-7236 4We conclude that the jurisdictional requirements of §7292 are met. See Alpough \nv. Nicholson , 490 F.3d 1352, 1358 (Fed. Cir. 2007) (acc epting jurisdiction where the \nVeterans Court relied on erroneous interpretations of 38 U.S.C. '101(3) and 38 C.F.R. \n'3.53(b) in rejecting survivi ng spouse’s claim for benefits); Wilson , 391 F.3d at 1211 \n(accepting jurisdiction and remanding for reapp lication of EAJA in light of statutory \nchange and intervening precedent). We thus accept jurisdiction, and remand for \nreapplication of the re levant statutory and regulatory provisions, consistent with this \nopinion. \nBACKGROUND \nBefore and during World War II the Commonwealth of the Philippines was a \nterritory of the United States.2 On July 26, 1941 Presiden t Roosevelt placed the military \nforces of the Philippines in the service of the United States Armed Forces in the Far \nEast (USAFFE). See Military Order, 6 Fed. Reg. 3825 (July 26, 1941). The United \nStates duly provided that members of the Ph ilippine military forces who fought the \nJapanese invasion, or Philippine persons w ho fought as guerrillas during the Japanese \noccupation, and their survivors, were eligible for certain benefits from the United States. \nSee 38 U.S.C. '107(a) (defining Philippine service qualifying for certain benefits, \nincluding dependency and indemnit y compensation for a surviving spouse pursuant to \nchapter 13 of title 38); 38 C.F.R. ''3.40, 3.41 (specifying types of Philippine service \nqualifying for dependency and indemnity compensation benefits). \n \n2 Before the war, the Philippine s had achieved a measure of self-\ngovernance pursuant to the Philippine Inde pendence Act of 1934, Pub. L. No. 73-127, \n48 Stat. 456. The Philippines became independent on July 4, 1946. See generally \nQuiban v. Veterans Admin. , 928 F.2d 1154, 1156-58 (D.C. Cir. 1991). \n \n2007-7236 5After the war Mrs. Capellan filed a cl aim for death pension and other benefits \nbased on her husband’s military service and hi s death at Bataan. A United States Army \nReport dated August 2, 1948 states that the A rmy confirmed that Santiago A. Capellan \nserved in the military service of the United States through the Philippine Commonwealth \nArmy, that his service began on December 23, 1941, and that he wa s killed in action on \nFebruary 28, 1942 during the battle for Bataan. The Report states that Mr. Capellan \nwas a private in “B” Company, 1st Battalion, 1st Infantry Regiment, and that three \naffidavits pertaining to his military service were attached. On August 17, 1950 the Army issued another Report, stating that Mr. Ca pellan “has no recognized guerrilla service \nnor was he a member of the Commonwealth Army in the serv ice of the Armed Forces of \nthe United States.” The 1950 Report does not explain the change from the 1948 \nReport, although it refers to a separate “loyal ty report” on Mr. Capell an’s father which is \nnot included in the record. Mrs. Capellan briefly received benefits from the VA but they \nwere terminated in 1950. \nThe activity relevant to this appeal is focused on documentation from the \nPhilippine military author ities that Mrs. Capellan received in 1997 with respect to her \nhusband’s service and death at Bataan. A document dated December 9, 1997, signed \nby Records Officer Romeo L. Soriben and Capt ain Narciso S. Erna, Assistant Adjutant \nGeneral of the Armed Forces of the Philippines, certified that Private Sa ntiago Capellan \nserved in the “B Co 1st Bn 1st Regt,” and described his service as: \nBeleaguered status fr 19 Dec 41 to 28 Fed 42; Died at Bagac, Bataan \nPhils on 28 Fed 42; Termination of ca sualty status on 23 Oct 44 (RPD dtd \n20 Nov 47) \n \n \n2007-7236 6Admin. Rec. at 15. Mrs. Capel lan also received a certific ation of the records of the \nArmed Forces of the Philippines dated December 3, 1997 and signed by Captain \nNarciso Erna, which recorded payments made in arrears for Mr. Capellan’s service \nwhile a member of the Commonwealth Army of the Philippines in the \nservice of the USAFFE/GRLA. \n \nAdmin. Rec. at 16. Thes e documents were submitted in January 1998 to the VA \nRegional Office in Manila. In October 1999 the Regional Office wrote Mrs. Capellan \nthat it was unable to locate the relevant claims f iles and requested additional \ninformation. The Regional Office letter stated: \nSo that proper adjudicative action may be taken on your claim, you must furnish the following: \n$ VA Form 21-534. Please fill out every blank which applies to you. $ VA Form 21-4138. Please explai n why your benefits were \nterminated in July 1950. \n$ Copies of Notices of Award and Disallowance to include all \navailable previous VA correspondence. \n$ A copy of the veter an’s death certificate. \n$ A copy of your marriage certificate. \nAdmin. Rec. at 24. Mrs. Capellan resp onded in December 1999, providing both \nrequested VA forms and stating that she had not received a death certificate because \nher husband’s “body was unrecovered and no document was issued to us by proper \nauthorities. I hope that this m ilitary service record will serv e as his death certificate.” \nShe included a copy of her marriage certificate, and explai ned that her copies of the \nNotices of Awards and Disallowances were mi splaced or lost and could not be provided. \nShe explained that Mr. Capellan’s father had received a letter from the VA in July 1950 \nasking for Mr. Capellan’s military service record but that “[w]e were not able to submit \nthe document needed because of improper guidance,” and re ferred to a February 1951 \n \n2007-7236 7letter from the VA stating that her benefits were terminated “for the reason that my \nhusband has no recognized guerilla service.” \nThe Regional Office requested a search fo r Mr. Capellan’s military records from \nthe National Personnel Records Center (NPRC) in Missouri. The NPRC is part of the \nUnited States National Archiv es and Records Administration, and receives and stores \nrecords of various types concerning persons who served in the Armed Forces. The \nNPRC provided the Regional Office with t he 1948 U.S. Army report, which stated that \nMr. Capellan had served with the Philippine Co mmonwealth Army in the service of the \nUnited States Armed Forces from Dece mber 23, 1941 through February 28, 1942 when \nhe was killed in action. The Regional Office t hen wrote the NPRC that it had “reason to \nbelieve that there may have been a subsequent (1950) re-certification that revoked the \n1948 report.” The NPRC then provided the 1950 Army Report, the NPRC stating that \n“the determination of that date (8/17/50) stands.” The record provided on this appeal \ndoes not reflect that the VA provided the Phil ippine military records, or any of Mrs. \nCapellan’s other evidence, to the NPRC for verification of service. \nThe Regional Office then denied Mrs. Capel lan’s claim, stat ing that under 38 \nC.F.R. '3.203 decisions concerning verification of military service are the responsibility \nof the NPRC and “are bindi ng on the VA which has no author ity to change or amend the \nfindings.” Although t he Regional Office decision list ed the evidence pr ovided by Mrs. \nCapellan, including the newly provided 19 97 documents from the Philippine military \nofficials and other post-1950 materials, the re cord shows no evaluation of this evidence \nby the NPRC, the Regional Office, or any Unit ed States military author ity. The Regional \nOffice decision did not state that any of Mrs. Capellan’s post-1950 evidence had been \n \n2007-7236 8provided to the NPRC or any other authority for review . The denial informed Mrs. \nCapellan of her right to appeal, which would commence by filing a Notice of \nDisagreement with the Regional Office. \nMrs. Capellan submitted a Notice of Dis agreement, attaching some previously \nsubmitted documentation from various Philippine authorit ies, including a document \ndated March 5, 2002 from the Philippine Veterans Affairs Office stating that it certified \nthat Santiago Capellan “is a veteran of World War II/Phi lippine Revolution who served \nwith 1st Reg. Div. PA with the grade/rank Pvt,” that his service was in the USAFFE, and \nthat an Old Age Pension for his widow Fo rtunata Capellan based on his service was \napproved on June 20, 1991. Mrs. Capellan also refiled an Oc tober 25, 1955 affidavit of \nMajor Jose M. Javier, the commanding office r of the “B” Company, 1st Battalion, 1st \nInfantry Regiment Division, which included the following: \n5. That I know officially a nd personally the late veteran, \nSANTIAGO CAPELLAN, a reservist who reported to active duty in the \nPhilippine Army and was inducted into the USAFFE on or about 18 \nDecember 1941, at Camp Murphy, by an American Officer, and was assigned to my unit (“B” Co, 1st Bn, 1st Reg Div) as filler when my unit suffered casualties after the fierce fighting against the enemy at Mauban, \nQuezon; that said vete ran, Santiago Ca pellan, was inducted into the \nUSAFFE as Private; \n6. That the late Pvt. Santiago Capellan had rendered continuous \nservice and had seen actions in Ba taan where he was killed in action \nduring the enemy bombing of our line of resistance at Bagac, Bataan, on \nor about 15 February 1942, and died instantly; \n \nAdmin. Rec. at 77. \nOther evidence submitted in 2002 include d a Philippine Veterans Affairs Office \nlist of veterans including Mr. Capellan who were entitled to shares of the Philippine \nVeterans Bank, and a stock certificate from the Philippine Veterans Bank showing Mrs. \n \n2007-7236 9Capellan’s status as the widow and heir of Santiago Capellan. Also resubmitted was an \naffidavit, dated August 18, 1946, of both the mayo r and the chief of police of the city of \nLopez, where Mr. Capellan had lived, stat ing that they each personally knew \nSantiago Capellan, a Reservist Privat e who left this municipality of Lopez, \nprovince of Tayabas, for active M ilitary Service on December 19, 1941, \nand from that time to the present time [August 18, 1946], said Reservist, \nSantiago Capellan had not returned to his family. \n Admin. Rec. at 78. Also resubmitted was the March 20, 1969 affi davit of two military \ncomrades of Mr. Capellan, Vice nte Pilarca and Inocencio Anacio n, who stated that they \nserved with Santiago C apellan in the Philippine Army at Bataan and saw him hit by \nenemy bullets and killed. The affidavit states: \nThat we both personally know one, SANTIAGO CAPELLAN, a boyhood \nfriend and townmate whom we met in Bataan somewhere in Abucay, and \nwho told us, he was in uniform, that he was inducted into the USAFFE at \nLucena, Quezon (Tayabas) as private in \"B\" Co., 1st Inf. under Lt. \nCuaresma; \nThat in the main Japanese Offensive at Balanga, we met the said veteran \nand in the haste of retreat, we c hanced to be together and that while \ntogether, he was hit by enemy bullets causing his death, his body having been unrecovered; \nThat the late Private SANTIAGO CAPELLAN died in action on or about \nthe month of Februar y, the date we could not reca ll at present, in the year \n1942; \nThat we know the above facts because the said veteran was with us \nduring the critical days of the battl e at Bataan and we personally saw him \nhit and died of enemy bullets; \n Admin. Rec. at 100. \nThe Regional Office held a hearing in Man ila on September 10, 2002. In addition \nto the documentary records, Mrs. Capellan and two family members testified that her \nhusband was killed in action while serving in the USAFFE. They provided a photograph \nof Mr. Capellan in military uniform, and a group photo with his battalion. The Regional \n \n2007-7236 10Office then denied the claim, stating that t he 1950 Army Report was dispositive and that \nthe entirety of the evidence provided by Mrs. Capellan “cannot be accepted as proof of \nmilitary service of your deceased husband in absence of substantiating evidence in the \nrecords of the Army.” The Regional Office did not discuss any of the evidence, and \nsought no substantiation from the United States or Philippi ne military authorities. \nMrs. Capellan appealed to t he Board of Veterans Appeal s, which held that the \nduties to notify and to assist should be applied, and remanded “t o obtain additional \ndevelopment and full compliance with the VA’s due process requirem ents.” On March \n5, 2004 the VA Appeals Management Center wrote to Mrs. Capellan and asked her to \n“Please provide us with any evidence or information you may have pertaining to your \nappeal. Provide medical evidence (that you hav e not already submitted) that will show \nthat the deceased had valid military service.” The letter stated that the VA was \nresponsible for retrieving “[r]elevant record s from any Federal ag ency,” and would make \nreasonable efforts to get “[r]elevant reco rds not held by a Fe deral agency.” Mrs. \nCapellan was instructed to “give us enough in formation about your records so that we \ncan request them from the person or agency that has them.” T he letter also stated: “It’s \nyour responsibility to make sure that we receive all requested records that aren’t in the \npossession of a Federal department or agency.” \nOn April 24, 2004 Mrs. Capellan replied to the Appeals Management Center and \nreferred to the evidence in her file, pointing to the affidavits from persons who knew Mr. \nCapellan and witnessed his military service and saw his death in action at Bataan. She \nstated that his body was never recovered, and that there was thus no medical evidence \nof his death. The Appeals Management Center then denied her claim, stating that “[t]he \n \n2007-7236 11“evidence clearly indicates t hat Santiago A. Capellan has no recognized guerrilla \nservice, nor was he a member of the Commonwealth Army of the Philippines in the \nservice of the Armed Forces of the United States.” The decision did not discuss any of \nMrs. Capellan’s evidence, and it appears that the Center re lied solely on the 1950 U.S. \nArmy Report in reaching its conclusion, stati ng that “substantial evidence” to refute this \nconclusion had not been submitted. The Center did not say how or if the Center had \nassisted, although it stated t hat a March 2003 letter met the VA’s duty to notify the \nclaimant of her rights. \nMrs. Capellan appealed to t he Board, and summarized the material she had \nsubmitted as follows: \nIt is not only the Affidavits of Luc ia V. Almacha and Natividad C. \nEscobido [relatives] that were submi tted. But many other documents that \nsubstantiated my claim and considered as New and Material Evidences. \nSome of the material evidences are as follows: \n1. Affidavit of Mr. Vicente Pilarca. \nAn eyewitness that my husband in Uniform as a USAFFE \nparticipated in the Battle of Bataan. \n2. Inocencio Anacion \nComrades-in-arms and eyewitness that my husband in \nuniform of the USAFFE was killed in action in Bataan. \n3. Masterlists of the Shareholders of Stock Certificate of the Philippine \nVeterans Bank, owned by the World War II Veterans. \n4. Certification of M ilitary Service from the Non-Current Branch Office \nDivision, Gen. Headquarters, AFP, Camp Gen. Emilio Aguinaldo, \nQuezon City, Philippines. \n5. Certification of Sa laries and Allowances received during the World \nWar II, as a Backpay from the Gen. Headquarters, Camp Gen. \nEmilio Aguinaldo, Quezon City, Philippines. \n6. Certification from t he Phil. Veterans Affair s Office of my husband's \nMilitary Service during World War II. \n7. Affidavit of Mr. Jose M. Javi er, during their Defense of Bataan, \ntogether with my husband. \n8. Picture of my husband during their USAFFE training in Port Area, \nManila, Philippines, in uniform. His picture is with a check. \n \nAdmin. Rec. at 159-160. \n \n2007-7236 12On March 25, 2005 the Board denied Mrs. C apellan's claim, stating that none of \nthe evidence she submitted could be cons idered because none of it was a “document \nissued by a U.S. Service Depa rtment,” quoting 38 C.F.R. '3.203. The Board cited Duro \nv. Derwinski , 2 Vet. App. 530 (1992), which held that the “VA is prohibi ted from finding, \non any basis other than a service department document, which VA believes to be \nauthentic and accurate, or service department ve rification, that a particular individual \nserved in the U.S. Armed Forces.” Id. at 532. She was informed of the right to appeal \nto the Veterans Court. \nWith her appeal to the Veterans Cour t, Mrs. Capellan again pointed to the \nevidence from the Philippine military author ities and others attesting to her husband's \nmilitary service and to his deat h at Bataan. She st ated that a thorou gh investigation by \nthe Philippine Judge Advocate General’s Office in 1947 had determined that Mr. \nCapellan had served and was ki lled in action, and provided the additional information \nthat had been before the Board. She stated that it was kn own that Philippine military \npersonnel were not fully recorded in the NP RC archives, citing specific examples, and \nthat these records were especially deficient as to Philippine personnel killed in the war. \nIn the Veterans Court, the VA acknowl edged Mrs. Capellan’s evidence, including \nthe certification of her husband’ s military status fr om the Philippine Armed Forces, but \nargued that there was a “plausible basis” fo r the Board’s decision in light of the \nevidentiary requirements of 38 C.F.R. §3.203. The Veterans Court ruled that the VA is \nbound by the United States Army’s 1950 report, and that none of the subsequent \nevidence could be considered because it wa s not issued by a United States military \nservice department. The Veterans Court cited Duro , 2 Vet. App. at 532, and Soria v. \n \n2007-7236 13Brown , 118 F.3d 747, 749 (Fed. Cir. 1997), where the Federal Circuit observed that \n“Philippine veterans are not eligible for vete rans’ benefits unless a United States service \ndepartment documents or certifies their se rvice.” Subsequent cases have recognized \nthat the Soria decision preceded the enactment in 2000 of the statutory duty to assist. \nSee Palor v. Nicholson , 21 Vet. App. 325, 330- 31 (2007) (discussing effect of Veterans \nClaims Assistance Act on Soria decision). \nDISCUSSION \nThe record does not show any request by any VA authority for service \ndepartment review of any of the docum ents provided by Mrs. Capellan as she \nproceeded, over the years, in the Regional Office and the Board of Veterans Appeals \nand the Veterans Cour t — although 38 C.F.R. '3.203(c) states that the VA “shall \nrequest verification of service from the service department”: \n38 C.F.R. '3.203 Service records as evidence of service and character of \ndischarge. \n (a) Evidence submitted by a clai mant. For the purpose of establishing \nentitlement to pension, com pensation, dependency and indemnity \ncompensation or burial benef its the Department of Veterans Affairs may \naccept evidence of service submitted by the claimant (or sent directly to \nthe Department of Veterans Affairs by the service department), such as a \nDD Form 214, Certificate of Release or Discharge from Active Duty, or \noriginal Certificate of Discharge, without verification from the appropriate \nservice department if the evidenc e meets the following conditions: \n(1) The evidence is a document issued by the service \ndepartment. . . . . . . . (c) Verification from the serv ice department. When the claimant does \nnot submit evidence of service or t he evidence submitted does not meet \nthe requirements of paragraph (a) of this section (and paragraph (b) of this \nsection in pension claims ), the Department of Veterans Affairs shall \nrequest verification of service from the service department. . . . \n \nSection 3.203 is a general evidentiary rule; it contains no special provisions concerning \nPhilippine military service as recognized under 38 U.S.C. §107(a). Thus section \n \n2007-7236 143.203(c) requires verification of service from the service department whenever a \nclaimant lacks the kind of official evidence specified in sect ion 3.203(a). The reports of \nall of the tribunals in the records provided to us show that they treated the 1950 Army \nReport as dispositive because it was the last review by the Army. While this 1950 Army \nReport was located by the NPRC in response to a specific VA search request in 2001, \nafter the first VA search request had turned up only the 1948 Army Report, the record \ndoes not show that the VA ever provided an y of Mrs. Capellan’s post-1950 evidence to \nthe Army or to the NPRC. Mrs. Capellan argues that this rejection of her claim without \nreview of all the evidence did not compor t with the VA’s duty to assist her, and the \nobligation to afford her claim the benefit of the doubt based on all the evidence. The \nprovision by the NPRC of the R eports in its archives does not constitute review of all the \nevidence related to military service. \nThe “duty to assist,” 38 U.S.C. '5103A; 38 C.F.R. §3.159, al though mentioned by \nthe VA, does not appear to have been invoked to pr ovide agency assistance in \nprocuring the requisite “verification of service from the service department.” Similarly, the “benefit of the doubt” st atute, 38 U.S.C. §5107(b), was ruled inapplicable by the \nVeterans Court because the court stated that the evidence was not in equipoise. The \nVeterans Court, like the Board, interpreted 38 C.F.R. §3.203(c) to negate consideration \nof the post-1950 evidence submitted by the cl aimant. This interpretation of section \n3.203(c), relied on by the Vete rans Court and the VA, is incorrect in light of the legal \nrequirements of assistance to claimants. \nThe “duty to assist” stat ute and regulations apply to all evidence needed to \nsubstantiate a claim. The VA’s obligation includes assisting the claimant in developing \n \n2007-7236 15her claim by making “as many requests as are necessary to obtain relevant records \nfrom a Federal department or agen cy.” 38 C.F.R. §3.159(c)(2). In this case, it is not \nexplained how this duty was met, for, according to t he record, service department \nconsideration was not requested for any ev idence that Mrs. Capellan provided after \n1950. The Veterans Court has interpreted section 3.203(c) cons onant with the current \nduty to assist, stating that “when a claimant submits ev idence establishing that the \nservice department’s certification was based upon erroneous information, a second \ncertification may be required.” Laruan v. West , 11 Vet. App. 80, 82 (1998) ( en banc ), \noverruled on other grounds by D’Amico v. West , 209 F.3d 1322, 1327 (Fed. Cir. 2000). \nSimilarly, in Padilla v. Nicholson , No. 05-2518, 2007 WL 412356, at *2 (Vet. App. Jan. 3, \n2007) the Veterans Court held t hat the Board erred in relying on an earlier NPRC record \nrather than submitting the new evidence conc erning the claimed military service. The \ncourt stated: “When new identifying informati on is provided by the appellant, the \nSecretary ‘shall request verification of service from the service department.’” Id. (quoting \n38 C.F.R. §3.203(c)). See also Dela Cruz v. Nicholson , No. 04-137, 2005 WL 3057877, \nat *3 (Vet. App. Oct. 21, 2005) (applying duty to assist where it wa s unclear whether the \nproper form had been used to obtain an affidavit from the Philippine Army in connection \nwith a request for verification of service). In Sarmiento v. Brown , 7 Vet. App. 80 (1994), \noverruled on other grounds by D’Amico , 209 F.3d at 1227, the Ve terans Court stated \nthat “there is no stated limit on the number of times that the Secretary ‘shall’ request \nservice department verification when one claiming entitlement fails to submit qualifying \nevidence of service.” Id . at 85. We conclude that the correct interpretation of the \ngoverning statutes and regulations requir es that a claimant ’s new evidence be \n \n2007-7236 16submitted and considered in connection with a request for “verification of service from \nthe service department” pursuant to 38 C.F.R. §3.203(c). \nThe “benefit of the doubt” statute, 38 U.S.C. §510 7(b), and the analogous \n“reasonable doubt” regulation, 38 C. F.R. §3.102, apply to all material issues relating to \na claim, including verification of military service. See Kelly v. Nicholson , 463 F.3d 1349, \n1354 (Fed. Cir. 2006) (stating that 38 U.S.C. §5107(b) “applies not only to decisions \nrelating to the overall merits of a claim, but by its plai n language it applies to all \ndecisions determining any materi al issue relating to a claim”). The VA argues that these \nprovisions are outside our appellate jurisdicti on because they relate to the weighing of \nevidence, which is excluded from our review by 38 U.S.C. §7292(d)(2 ). We agree that \nthe weighing of evidence is not within our appellate authority. However, when statute \nand regulation require that t he veterans’ tribunals weigh the evidence, our authority \nincludes assuring that the evidence is weighed under the appropr iate statutes and \nregulations. See Buchanan v. Nicholson , 451 F.3d 1331, 1335 (Fed. Cir. 2006) \n(Federal Circuit has jurisdiction to review in terpretation of the benef it of the doubt rule \nand other legal provisions). Both the stat ute and the regulation explicitly require the \nconsideration of all evidence submitted by the claimant. See 38 U.S.C. §5107(b) (“The \nSecretary shall consider all information an d lay and medical evidence of record in a \ncase before the Secretary with respect to benefits under laws ad ministered by the \nSecretary.”); 38 C.F.R. §3.102 (“When, after careful consider ation of all procurable and \nassembled data, a reasonable doubt exists regarding service origin, the degree of disability, or any other point, such doubt will be resolved in favor of the claimant.”). The \nreasonable doubt regulation by its terms applies “even in the absence of official records, \n \n2007-7236 17particularly if the basic in cident allegedly arose under com bat, or similarly strenuous \nconditions, and is consistent with the prob able results of such known hardships.” 38 \nC.F.R. §3.102. In accor dance with 38 C.F.R. §3.203(c), the agency is required to \nensure consideration of “all procurable and a ssembled data,” including lay evidence, in \nconnection with a request for “verification of service from the service department.” \n38 C.F.R. §3.203 requires that Mr. Capel lan’s military service be determined \nbased on all relevant evidence , with due application of the duty to assist, 38 U.S.C. \n§5103A; 38 C.F.R. §3.159, and the statutory and regulatory requirements to consider \n“all information and lay . . . evidence of record,” 38 U.S.C. §5107(b); see also 38 C.F.R. \n§3.102. The VA erred in denying Mrs. Capell an’s claim based on the archival 1950 \nArmy Report, while obtaining no review of the subsequent evidence by the service \ndepartment. We vacate the decision of the Veterans Court, and remand for \ndetermination, on the entirety of the evidence, of Mr. C apellan’s military service. \nVACATED AND REMANDED United States Court of Appeals for the Federal Circuit \n \n 2007-7236 \n \n FORTUNATA CAPELLAN, \n \nClaimant-Appellant, \n v. JAMES B. PEAKE, M.D., \n Secretary of Veterans Affairs, \n \nRespondent-Appellee. \n Appeal from the United States Court of Appeals for Veter ans Claims in Case No. 05-\n1990, Chief Judge William P. Greene, Jr. \nSCHALL, Circuit Judge\n, concurring. \nThe court holds that the D epartment of Veterans Affair s (“VA”) failed to comply \nwith the duty to assist because it did not furnish the Department of the Army with the \nmaterial provided by Mrs. Capel lan in support of her claim and did not request from the \nservice department, pursuant to 38 C.F.R. § 3.203(c), verifica tion of the military service \nof her husband, Santiago Capellan. Base d upon its holding, the court remands the \ncase to the Court of Appeals for Veter ans Claims (“Veterans Court”) for further \nproceedings. In that regard, the final paragraph of the opinion reads as follows: \n38 C.F.R. §3.203 requires that Mr. Capellan’s military service be \ndetermined based on all relevant ev idence, with due application of the \nduty to assist, 38 U.S.C. §5103A; 38 C. F.R. §3.159, and t he statutory and \nregulatory requirements to consider “all information and lay . . . evidence \nof record,” 38 U.S.C. §5107(b); see also 38 C.F.R. 3.102. The VA erred in \ndenying Mrs. Capellan’s claim based on the archival 1950 Army Report, \nwhile obtaining no review of the s ubsequent evidence by the service \ndepartment. We vacate the decision of the Veterans Court, and remand \nfor determination, on the entirety of t he evidence, of Mr. Capellan’s military \nservice. 2007-7236 2I agree that the VA failed to comply with the duty to assist. I also agree that a \nremand is necessary. I write separately, how ever, to express my view that the only \nappropriate remand in this case is a remand in which the Ve terans Court directs the VA \nto request verification, pursuant to 38 C.F.R. § 3.203(c), of Santia go Capellan’s military \nservice and in which the Veterans Cour t directs the VA to provide the service \ndepartment with all the material submitted by Mrs. Capellan in support of her claim. Any \nother remand activity by the Veterans Court beyond this would, in my view, be contrary \nto this court’s decision in Soria v. Brown , 118 F.3d 747 (Fed. Cir. 1997). After the \nservice department acts on the request for veri fication, the VA will be in a position to \nrule on Mrs. Capellan’s claim. " }

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{ "pdf_file": "GGGXC6WZE4CKPCLWC5UX6F465XQEAGR6.pdf", "text": "NOT FOR PUB LICAT ION\nUNITED STATES C OUR T OF APPEALS\n FOR THE NINTH C IRCUIT \nAMTRUST B ANK, FKA Ohio Sa vings\nBank; et al.,\nPlaintiffs-Appe llees,\n v.\nREX H. LEW IS,\nDefendant-Appe llant,\n and\nCORRALES PETER S, LLC ; et al.,\nDefendants.No. 15-16754\nD.C. No. \n2:10-c v-00439-JC M-VCF\nMEMORANDUM*\nAppe al from the Unite d States Distric t Court\nfor the Distric t of Ne vada\nJames C. Mahan, Distric t Judge , Presiding\nSubm itted April 19, 2017** \nSan Fra ncisco, CaliforniaFILED\nAPR 21 2017\nMOLLY C. DW YER, CLERKU.S. COURT OF APPEALS\n *This disposition is not a ppropria te for public ation a nd is not pre cedent\nexcept as provide d by Ninth C ircuit R ule 36-3.\n * *The panel unanimously concludes this c ase is suita ble for de cision\nwithout ora l argum ent. See Fed. R. App. P. 34(a )(2). Before: PAEZ a nd IKUTA, C ircuit Judge s, and B OLTON,*** Distric t Judge . \nRex Lewis a ppeals the distric t court’ s orde r (1) de nying his m otion for re lief\nfrom judgm ent pursua nt to R ule 60 of the Federal Rules of C ivil Proc edure, (2)\ndenying his m otion to m odify an asset-freezing injunc tion to a llow him to\nwithdra w up to $15,000 a month from his IR A, (3) ruling tha t his re sidence was\nsubje ct to e xecution unde r Rule 37 of the Federal Rules of C ivil Proc edure as a\nsanction for viola ting a post-judgm ent disc overy orde r, and (4) striking Le wis’s\nreply memorandum in support of obje ctions to a magistra te judge ’s report a nd\nrecommendation. W e have jurisdic tion unde r 28 U.S.C . §§ 1291 a nd 1292(a )(1)\nbecause the distric t court’ s post-judgm ent orde rs either are final with the respect to\nthe issues raised or de ny modific ation of a n injunc tion. See Nat. Re s. De f. Counc il,\nInc. v. Sw. Marine Inc., 242 F.3d 1163, 1166 (9th C ir. 2001). W e affirm .\nThe distric t court did not a buse its disc retion in de nying Le wis’s motion for\nrelief from judgm ent unde r Rule 60(b) of the Federal Rules of C ivil Proc edure on\nthe ground tha t the motion wa s untim ely. A R ule 60(b) m otion “ must be made\nwithin a reasonable time.” Fed. R. Civ. P. 60(c )(1); see Ashford v . Steuart, 657\nF.2d 1053, 1055 (9th C ir. 1981) (pe r curiam). The distric t court a ppropria tely gave\n * * *The Honora ble Susa n R. Bolton, Unite d Sta tes Distric t Judge for the\nDistric t of Ariz ona, sitting by designa tion.\n2 the interest in fina lity “great weight” because the time to appeal had passed, and\nthe distric t court did not c learly err in finding tha t neither the “reason for de lay”\nnor “ the practical ability of the litiga nt to le arn earlier of the grounds re lied upon”\nweighed in fa vor of re asonableness. Ashford , 657 F.2d a t 1055. Furthe r, the\nrecord supports the finding tha t Lewis c ould ha ve made the argum ents advanced in\nhis m otion for re lief from judgm ent as early as the summary judgm ent sta ge, whic h\noccurred years be fore he filed his R ule 60(b) m otion. As suc h, his m otion is be tter\nconstrue d as a motion for re conside ration unde r Rule 59 of the Federal Rules of\nCivil Proc edure, whic h wa s like wise prope rly denied as untim ely and as pre senting\na merits a rgum ent tha t Lewis c ould ha ve raised earlier in the litiga tion. Fe d. R.\nCiv. P. 59(e ); Kona Ente rs., Inc . v. Estate of Bishop , 229 F.3d 877, 890 (9th C ir.\n2000).\nIn the alternative, the distric t court did not a buse its disc retion in de nying\nrelief unde r Rule 60(b) on the merits. B ecause Lewis c ould ha ve made his\nargum ents to the distric t court be fore entry of fina l judgm ent, he did not e stablish\n“mistake, inadvertence, surprise , or e xcusable neglect” necessary for re lief unde r\nRule 60(b)(1), a nd he did not “ establish the existence of extraordina ry\ncircumstances whic h pre vented or re ndered him unable to prose cute an appeal”\nnecessary for re lief unde r Rule 60(b)(6). Mac key v. Hoffman , 682 F.3d 1247, 1251\n3 (9th C ir. 2012) (quoting Marte lla v. Marine Cooks & Stewards Union , 448 F.2d\n729, 730 (9th C ir. 1971) (pe r curiam)). \nThe distric t court a lso did not a buse its disc retion in de nying Le wis’s motion\nfor re lief from judgm ent unde r Rule 60(d). B ecause the record re flects tha t Lewis\ncould ha ve brought the pertinent contra ct language to the court’ s attention a t the\ntime of sum mary judgm ent, the appellees’ failure to do so wa s not fra ud on the\ncourt. See Lavender v. Probe r (In re Lavender), 180 F.3d 1114, 1119 (9th C ir.\n1999).\nThe distric t court did not a buse its disc retion in de nying Le wis’s motion to\nmodify an asset-freezing injunc tion tha t restricts him from transferring a ssets of\ngreater than $5,000 in va lue without c ourt a pprova l. The distric t court re asonably\ntook into a ccount e vidence that Lewis wa s dire cting his a ttorne ys to e vade post-\njudgm ent disc overy in a manner that thre atened to re nder the distric t court’ s\njudgm ent ine ffectual. Cf. Commodity Future s Trading C omm’n v . Noble Metals\nInt’l, Inc ., 67 F.3d 766, 775 (9th C ir. 1995) (noting tha t distric t courts should\nexercise their disc retion in light of whe ther “wrongdoing” has been shown). \nSection 21.090(1)(r)(1) of the Nevada Revised Statutes doe s not fore close the\ndistric t court’s ruling, a s the injunc tion doe s not de clare Lewis’s IRA account\nsubje ct to e xecution or re quire Lewis to c ontribute exempt assets to his judgm ent\n4 debt.1 The unm odifie d injunc tion le aves Lewis fre e to m ake transfers of le ss tha n\n$5,000 without c ourt supe rvision a nd the refore does not “ fail[] to afford [Le wis]\nany access to funds to pa y an attorne y.” Fed. Sav . & Loan Ins. C orp. v. Ferm, 909\nF.2d 372, 375 (9th C ir. 1990).\nThe distric t court did not a buse its disc retion in im posing sa nctions unde r\nRule 37(b)(2)(A)(i) a nd (ii) tha t prevented Lewis from introduc ing e vidence to\nestablish tha t his re sidence met the statutory criteria for e xemption from execution\nor tha t the residence was contra ctually prote cted from execution. The distric t court\ndid not c learly err in finding tha t Lewis willfully viola ted a prior disc overy orde r\nby refusing to m ake necessary disclosure s regarding his inte rest in the residence, or\nin finding tha t Lewis repeatedly evaded and hinde red the post-judgm ent disc overy\nprocess in orde r to frustra te the judgm ent creditors’ execution. The distric t court\ncould re asonably anticipate continue d deceptive conduc t, and “[i]t is appropria te\nto reject lesser sanctions whe re the court a nticipates continue d deceptive\nmisconduc t.” Conn. Ge n. Life Ins. C o. v. New Image s of Be verly Hills , 482 F.3d\n1091, 1097 (9th C ir. 2007). Le wis’s deception a nd evasion c reated a high risk of\n1 To the extent Lewis c hallenges the unde rlying asset-freezing injunc tion a s\ninconsiste nt with se ction 21.090(1)(r)(1), we reject that argum ent as well. See Alto\nv. Blac k, 738 F.3d 1111, 1120 (9th C ir. 2013) (“ [A] subse quent challenge to the\ninjunc tive relief must re st on grounds tha t could not ha ve been raised before.”).\n5 prejudice to the appellees, and unde r these circumstances it wa s not a n abuse of\ndiscretion to tre at these factors a s dispositive . See Adriana Int’l C orp. v . Thoe ren,\n913 F.2d 1406, 1412 (9th C ir. 1990).\nFinally, the distric t court did not a buse its disc retion by exercising its\ninherent powe r to strike Lewis’s reply memorandum in furthe r support of his\nobjections to the magistra te judge ’s report a nd re commendation. See Ready\nTransp., Inc . v. AAR Mfg., Inc ., 627 F.3d 402, 404 (9th C ir. 2010). “ Broad\ndeference is give n to a distric t court’ s inte rpretation of its loc al rule s.” Bias v .\nMoynihan , 508 F.3d 1212, 1223 (9th C ir. 2007). The distric t court re asonably\ninterpreted its loc al rule s to prohibit the filing of re ply memoranda without le ave of\nthe court. See D. Ne v. L.R . IB 3-2(a ) (2011) (providing only for obje ctions a nd\noppositions to obje ctions). B ecause Lewis did not re quest and re ceive leave to file\nthe memorandum , the distric t court did not e rr in finding tha t the memorandum had\nbeen file d in contra vention of the local rule s, the reby warranting tha t it be struc k\nfrom the docket. \nFive Springs LLC ’s motion to be come amicus curiae (Doc . 9) is\nGRANTED, a nd appellees’ motion to strike (Doc . 30) is DENIED.\nAFFIRM ED.\n6" }

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{ "pdf_file": "HQ3EDBUQ55MJVAAWB3KE7VYWLHAOXKRI.pdf", "text": "CONGRESSIONAL BUDGET OFFICE \nCOST ESTIMATE \nJune 20, 2008\nH.R. 4199\nA bill to amend the Dayton Aviation Heritage Preservation Act of 1992\nto add sites to the Dayton Aviation Heritage National Historical Park\nAs ordered reported by the House Committee on Natural Resources on June 11, 2008\nSUMMARY\nH.R. 4199 would add two sites to the Dayton Aviation Heritage National Historical Park and\nwould rename the park the Wright Brothers-Dunbar National Historical Park. The bill alsowould authorize the National Park Service (NPS) to make grants to local organizations forconstruction projects on private property within park boundaries. \nBased on information obtained from NPS and assuming appropriation of the necessary\namounts, CBO estimates that implementing H.R. 4199 would cost $15 million over the2009-2013 period and $1 million annually thereafter for ongoing operations. Enacting thelegislation would not affect direct spending or revenues.\nH.R. 4199 contains no intergovernmental or private-sector mandate s as defined in the\nUnfunded Mandates Reform Act (UMRA) and would impose no costs on state, local, ortribal governments.\nESTIMATED COST TO THE FEDERAL GOVERNMENT\nThe estimated budgetary impact of H.R. 4199 is shown in the following table. The costs of\nthis legislation fall within budget function 300 (natural resources and environment). 2By Fiscal Year, in Millions of Dollars\n2009 2010 2011 2012 20132009-\n2013\nCHANGES IN SPENDING SUBJECT TO APPROPRIATION\nE s t i m a t e d A u t h o r i z a t i o n L e v e l 1 5****1\nE s t i m a t e d O u t l a y s 23442 1 5\nNote: * = less than $500,000.\nBASIS OF ESTIMATE\nFor this estimate, CBO assumes that the legislation will be enacted by the end of fiscal year\n2008 and that the necessary amounts will be a ppropriated for each year. Estimated outlays\nare based on historical spending patterns for NPS programs.\nH.R. 4199 would amend the Dayton Aviation Heritage Preservation Act of 1992 to add\nHawthorne Hill and the Wright Company Factory to the Dayton Aviation Heritage NationalHistorical Park. Based on information obtained from NPS, CBO expects that the currentowners of Hawthorne Hill and the Wright Company Factory would donate those propertiesto NPS. CBO estimates that site developm ent costs would be $3 million for Hawthorne Hill\nand $11 million for the Wright Company Factory. The Wright Family Foundation wouldcontinue to operate Hawthorne Hill under a cooperative agreement with NPS, which weestimate would contribute about $1 million for that purpose over the five-year period. Weexpect that the Wright Company Factory would begin operations after 2013, at an annual costof about $1 million. \nThe bill also would authorize NPS to make grants to local partners for development and\nconstruction on nonfederal property within the boundaries of the Dayton Aviation HeritageNational Historical Park. Based on information provided by NPS, CBO estimates that thecost of those grants would not be significant.\nINTERGOVERNMENTAL AND PRIVATE-SECTOR IMPACT\nH.R. 4199 contains no intergovernmental or private-sector mandates as defined in UMRA\nand would impose no costs on state, local, or tribal governments. 3ESTIMATE PREPARED BY: \nFederal Costs: Deborah Reis and Jeffrey LaFave\nImpact on State, Local, and Tribal Governments: Melissa MerrellImpact on the Private Sector: MarDestinee Perez\nESTIMATE APPROVED BY: \nPeter H. Fontaine\nAssistant Director for Budget Analysis" }

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{ "pdf_file": "P7ZED35W7LHI6YLKM5TVSLOQVACYSHHM.pdf", "text": "State of Illinois Telephone Directory\nHuman Rights, Department of [14] Business Listing\nUpdated: 09/29/2009 − 12:02:19 AM This information is provided and updated by the Telecommunications Coordinator for this agency.\nCHICAGO\nDIRECTOR CLAPS, ROCCO JJRTC, 100 W RANDOLPH , STE\n10−100\nCHICAGO 60601 − 3220312−814−6245\nDEPUTY DIRECTOR WANZO, BOBBIEJRTC, 100 W RANDOLPH , STE\n10−100\nCHICAGO 60601 − 3220312−814−6245\nASSISTANT TO THE\nDIRECTORTOLLIVER, JOLENEJRTC, 100 W RANDOLPH , STE\n10−100\nCHICAGO 60601 − 3220312−814−6245\nMANAGEMENT OPERATIONS HOWARD, BURLEYJRTC, 100 W RANDOLPH , STE\n10−100\nCHICAGO 60601 − 3220312−814−6259\nOFFICE OF\nCOMMUNICATIONSJRTC, 100 W RANDOLPH , STE\n10−100\nCHICAGO 60601 − 3220312−814−0093\nCHARGE PROCESSING\nDIVISION\nMANAGER HARZMAN, BRENTJRTC, 100 W RANDOLPH , STE\n10−100\nCHICAGO 60601 − 3220312−814−6283\nINTAKE GUERRA, RAQUELJRTC, 100 W RANDOLPH , STE\n10−100\nCHICAGO 60601 − 3220312−814−6216\nQUALITY CONTROL LAY, DENZELJRTC, 100 W RANDOLPH , STE\n10−100\nCHICAGO 60601 − 3220312−814−6889\nLEGAL\nCHIEF LEGAL COUNSEL LUNA, RAYMONDOJRTC, 100 W RANDOLPH , STE\n10−100\nCHICAGO 60601 − 3220312−814−6234\nGOV\nCOMM−DISCRIMINATION−HATE\nCRIMESWHITE, KIMJRTC, 100 W RANDOLPH , STE\n10−100\nCHICAGO 60601 − 3220312−814−2477\nLEGISLATIVE LIAISON BOUCREE, LESLIE222 S COLLEGE , FL 001 .\nSPRINGFIELD 62704217−785−5111\nTTY 312−263−1579\nFISCAL OFFICER TURNER, LYNNEJRTC, 100 W RANDOLPH , STE\n10−100\nCHICAGO 60601 − 3220312−814−6243\nSPRINGFIELD\nDIRECTOR CLAPS, ROCCO J222 S COLLEGE , FL 001 .\nSPRINGFIELD 62704217−785−5100\nDEPUTY DIRECTOR WANZO, BOBBIE222 S COLLEGE , FL 001 .\nSPRINGFIELD 62704217−785−5100\nASSISTANT TO THE\nDIRECTORDIRKSEN, MICHELLE222 S COLLEGE , FL 001 .\nSPRINGFIELD 62704217−785−5123\nDISABILITY COORDINATOR ALLEN, SUSAN222 S COLLEGE , FL 001 .\nSPRINGFIELD 62704217−785−5119\nINTAKE−INVESTIGATIONS222 S COLLEGE , FL 001 .\nSPRINGFIELD 62704217−785−5100\n1 LEGISLATIVE LIAISON BOUCREE, LESLIE222 S COLLEGE , FL 001 .\nSPRINGFIELD 62704217−785−5111\nTTY 217−785−5125\nREGIONAL\nMARION OFFICE2309 WEST MAIN STREET , \nMARION 62959\n2" }

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{ "pdf_file": "R2XUGBKZ2QR5A43XN4ZA4PJ7NADJ4KWE.pdf", "text": "Attachment Xlll \nENVIRONMENTAL ASSESSMENT \nPart 1. Public Information \n1. Date: January 1 lth, 2007 \n2. Name of Notifier: 3. BASF Aktiengesellschaft \n3. Address: All communications on this matter are to be sent to \nBASF Aktieng esellsc haf t \nDr. Martin Klatt, KS/KS - E 100, \nD-67056 Ludwigshafen, \nGermany \n4. Description of the Proposed Action \nThe action requested in this notification is to allow the safe use of a rubber-modified polysty- \nrene copolymer as a component of food-contact articles, for all food types. This rubber-modi- \nfied polystyrene copolymer is comparable to polymers described in 21 CFR §177.1810 \n(3)(b)(l .i) but differs with respect to the Tgl due to the random PSB - mid-block. \nMore specifically, the polymer, which is the subject of this notification is a rubber-modified \npolystyrene resin prepared by the polymerization of 1,3-butadiene and styrene such that the \nresulting product contains between 60 to 75 % by weight of polymer units derived from styrene \nmonomer. The rubber-modified polystyrene copolymer is referred to herein-after as: \nStyroflex@. \nStyroflex@ is composed of two polystyrene block end caps, and a randomized copolybutadi- \nenektyrene mid-block. The random block functions by improving the elongation properties of \nthe polymer, thus conveying high elasticity to the finished article. Accordingly, the polymer is \nexpected to be employed primarily in the production of food-contact articles that require the \nclarity of general-purpose polystyrene and an improved the elasticity. Articles that may be \nprepared with the use of the polymer include such items as films or coatings for food-contact \nuse. Styroflex@ is expected to compete in these applications primarily with high impact polysty- \nrene (HIPS), where a high elasticity is required, and to a degree with plasticized PVC cling \nfilms. While Styroflex@ exhibits a desirable combination of elasticity and clarity, it is essentially 0 \n@ = registered trade mark \npage 1 of 7 000143 Attachment Xlll \nsimilar in technical properties to HIPS. Consequently, the notification as proposed is expected \nto open new markets for styrene block polymers in the area of food packaging. \nThe above-mentioned use as coating might be a minor application in future where only negli- \ngible amounts will be used. The effect on the environment will not substantially differ whether \nthe FCS is used as a film or as an even thinner coating. For this reasons it is not separately \nconsidered in the following assessment \nRather, in those applications for which HIPS polymers are technologically suited, Styroflex@ is \nexpected to replace HIPS-based polymers with less desirable overall characteristics. However \nthe availability of Styroflex* may increase the percentage of the market packaged in styrene- \nbased polymers only by insignificant amounts, because the scheduled amount of Styroflex@ to \nbe used in food contact applications will be , which is of \nthe market volume of HIPS polymers. As noted above, in light of the similarity of the polymer \nto currently cleared styrene block polymers, new food packaging applications which previously \nhave been made of HIPS are expected as a result of the use of StyroflexB. \nIn addition, BASF Aktiengesellschaft has determined that the random block improves \nprocessing characteristics of the polymers, thus leading to lower rejection rates of finished \narticles. Considering also the difference in mechanical properties between StyroflexB and \nHIPS, the use of Styroflex@ as proposed could lead to a reduction in the mass of polymer \nneeded for certain applications. \nThe polymer will be manufactured by the Notifier at its production facilities located in Ludwigs- \nhafen (Germany), Antwerp (Belgium), and Altamira (Mexico). The Notifier does not manufac- \nture finished food-contact articles containing the resin; rather, it will sell resin to compounders \nor to processors that are involved in the manufacture of food-contact articles. Thus, the co- \npolymer is expected to be used by film producers at a number of different production sites \nthroughout the United States. Food-contact materials containing Styroflex@ will be used in \npatterns corresponding to national population density, and will be widely distributed across the \ncountry. Consequently, it is expected that disposal will occur nationwide, with about 20% of \nthe materials ultimately being incinerated, according to current Environmental Protection \nAgency (EPA) projections, and with 80% being disposed of by means of sanitary landfill or, to \nsome extent, by recycling. \n= registered trade mark @ \npage 2 of 7 800144 Attachment Xlll \n5. Identification of Chemical Substance that is the Subject of the Proposed Action \nThe polymer will be marketed by the Notifier under the trade name Styroflex@. \nAn illustrative structural formula for the styrene/butadiene copolymer is shown: \nPS PSB PS \nPS = polystyrene \nPSB = styrene-butadiene-copol ymer \nStyroflex@ typically contains styrene and butadiene moieties in a ratio of 65:35 (w/w). The sty- \nrene content of the product is limited to a minimum of 60 % by weight. \na \n6. Introduction of Substances Into the Environment \nNotifier considers the details of its manufacturing process for Styroflex@ to ,e a valuable trade \nsecret. In accordance with 21 C.F.R.5 25.30(b), this information is provided in Section A of this \nnotification, not as a part of the Environmental Assessment. The information included in Sec- \ntion A should be protected from unauthorized disclosure in accordance with FDA's Public In- a formation Regulations. \nTo summarize the information provided in Section A, the subject polymer is produced by the \nreaction of a mixture of styrene and 1,3 butadiene. The reaction is carried out by polymeriza- \ntion of the monomers dissolved in a hydrocarbon solvent. The polymer consists of two poly- \nstyrene end blocks and a randomized copolybutadiene styrene middle block. The polymer \ncontains a mixture of stabilizers that are cleared for use in all polymers. ' \nWe have determined that no extraordinary circumstances apply to the manufacture of the \nfood-contact substance. Therefore, information regarding production of the food-contact sub- \nstance is not provided. \nDisposal by the ultimate consumer of food packaging materials containing StyroflexB will be \nby conventional rubbish disposal and, hence, by sanitary landfill or incineration. \nThe rubber-modified polystyrene copolymer is prepared from only carbon and hydrogen con- \ntaining materials. Thus, no toxic combustion products are expected as a result of the incinera- \ntion of this product in a properly operated incinerator. \n@ = registered trade mark \npage 3 of 7 000145 Attachment Xlll \nWhen food-packaging materials containing Styroflex@ are added to sanitary landfills, no sig- \nnificant amount of leaching of either oligomeric components or the subject stabilizer from \nthese materials into the environment is anticipated because of a lack of solubility in water. \n7. Fate of Emitted Substances in the Environment \n(a) Air \nNo significant effect on the concentrations and exposures to any substances in the atmos- \nphere are anticipated due to the proposed use of Styroflex@. \nThe manufacture of Styroflex@ generates as waste stream activated carbon charged with in- \norganic and organic compounds. This waste stream is sent to a licensed industrial waste \ntreatment facility for incineration. Consequently, no significant volatile emissions are antici- \npated at the site of production of the rubber-modified polystyrene copolymer. \nMoreover, the polymer per se is of high molecular weight and does not volatilize. As discussed \nin Item 5 above, residual monomer levels are extremely low. Finally, the products of complete \ncombustion of the polymer are carbon dioxide and water; the concentrations of these sub- \nstances in the environment would not be significantly altered by the proper incineration of the \npolymer in the amounts utilized for food packaging applications. a \n(b) Water \nNo significant effects on the concentrations and exposures to any substances in fresh water, e \nestuarine, or marine ecosystems are anticipated due to the proposed use of the subject co- \npolymer. We expect that the information, which will be provided later in Item 6 of this Environ- \nmental Assessment demonstrate that no substance will be emitted to aqueous compartments \nof the environment at levels that could cause any adverse environmental impact. More specifi- \ncally, all wastewater from the production of is collected and treated in a central facility. Sam- \npling of the wastewater occurs 24 hours a day to ensure compliance with the applicable dis- \ncharge permits. No significant quantities of any substance will be added to these water sys- \ntems upon the proper incineration of the polymer, nor upon its disposal in landfills. 0 \n(c) Land \nConsidering the factors discussed above, no significant effects on the concentrations and ex- \nposures to any substances in terrestrial ecosystems are anticipated as a result of the pro- \nposed use of In particular, the extremely low levels of migration of polymer constituents dem- \nonstrated by the extraction studies indicates that virtually no leaching of these substances \nmay be expected to occur, either when small quantities of plant scrap or larger amounts of a \n@ = registered trade mark \npage 4 of 7 000146 Attachment Xlll \nfinished packaging materials are disposed of. Thus, there is no expectation of any meaningful \nexposure of terrestrial organisms to these substances as a result of the proposed use of \n8. Environmental Effects of Released .Substances \nAs discussed previously, substances that may be released to the environment upon the use \nand disposal of food packaging materials containing include minute levels of oligomeric spe- \ncies and/or stabilizers from the landfilling of materials containing the additive, and small quan- \ntities of carbon dioxide and water from its incineration. No constituents of the copolymer may \nreasonably be expected to leach at more than trace levels from finished packaging materials \nplaced in landfill sites. a \nSince the substance is not expected to leach significantly from finished packaging materials \ndeposited in landfill sites, and since it is of such a low order of toxicity, Notifier respectfully \nsubmits that no adverse environmental impact can reasonably be anticipated from substances \nreleased as a result of the proposed use and subsequent disposal of the subject polymer. ' \n9. Use of Resources and Energy \nAs is the case with other food-packaging materials, the production, use and disposal of \nStyroflex@ involves the use of natural resources such as petroleum products, coal, and the \nlike. However, the manufacture of the subject polymer will not result in an increase in the use \nof such natural resources since the product is intended to compete with and replace HIPS \nother rubber-modified polystyrene copolymers currently on the market for use in food pack- \naging applications, which require the expenditure of the same or similar quantities of re- \nsources to produce. Furthermore, the use of the subject resin in food-contact articles will not \nsignificantly alter the applications for which such articles are suitable. 0 \nThe use of Styroflex@ is also not expected to have any impact on current or future recycling \nefforts. The polymer is expected to be used primarily or solely in food packaging applications \nthat currently employ styrene-based polymers, including such articles as meat trays, egg car- \ntons, and food packaging film. To the extent that currently cleared rubber-modified polystyrene \nis recycled after consumer use, is equally recyclable with this material since the polymers are \nidentical with the exception of a slight difference in comonomer ratios. Moreover, is not ex- \npected to compete with non-styrene based polymers or other materials in applications in which \nthe currently used materials are widely recycled. For example, the subject polymer is not ex- \npected to replace glass bottles or jars, aluminum cans, polyethylene terephthalate (PET) bot- \ntles for carbonated beverages, or high-density polyethylene milk jugs. @ \n@ = registered trade mark \npage 5 of 7 000147 Attachment Xlll \nAs discussed previously, Styroflex@ exhibits improved processing characteristics over those of \ntraditional polystyrene. Consequently, somewhat lower rates of rejection, and lower volumes \nof plant scrap, may be expected upon the use of the polymer, resulting in additional savings in \nresource and energy consumption. For all these reasons, approval of this notification is not \nexpected to have any adverse impact on the use of natural resources and energy. \n10. Mitigation Measures \nAs shown above, no significant effects on the environment are anticipated from the use and \ndisposal of articles containing the subject polymer. This is primarily due to the low toxicity of \nthe polymer and the low levels of migration of polymer constituents as shown in Section B of \nthe notification, as well as the close similarity between Styroflex@ and the currently cleared sty- \nrene-based polymers with which it is intended to compete. Thus, the use of the FCS as pro- \nposed is not reasonably expected to result in any new environmental problem requiring miti- \ngation measures of any kind. @ \n11. Alternatives to the Proposed Action \nNo potential adverse environmental effects are identified herein which would necessitate al- \nternative actions to that proposed in this notification. The alternative of not approving the ac- \ntion proposed herein would simply result in the continued use of currently cleared HIPS poly- \nmers; such action would have no environmental impact. However, in view of the excellent \nqualities of the Styroflex@ for food packaging, the fact that resin components are not expected \nto migrate in more than minuscule amounts from finished food packaging materials into food \nor into land in which such containers are disposed, and the absence of any significant envi- \nronmental impact which would result from its use, allowing this notification to become effective \nto permit the safe use of Styroflex@ as a component of articles intended for use in contact with \nfood is environmentally safe in every respect. a \n0 \n12. List of Preparers \na. \nb. Dr. Martin Klatt, KS/KS, Head of Product Safety and Regulatory Affairs, \nBASF Aktiengesellschaft, D-67056 Ludwigshafen \nDr. Ruth Zschiesche, KS/KS, Manager Product Safety and Regulatory Affairs, \nBASF Aktiengesellschaft, D-67056 Ludwigshafen \n@ = registered trade mark \npage 6 of 7 000148 I \n13. Certification \nThe undersigned official certifies that the information provided herein is true, accurate, and \ncomplete to the best of his knowledge. \na ---- --------- ------ \nHead of Product Safety and Regulatory Affairs: \n@ = registered trade mark Attachment Xlll \nDate: 29.1.07 \npage 7 of 7 000149 .\n." }

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{ "pdf_file": "D4CM47RUIGRB3ELSBVH4KECQCVU7DJZF.pdf", "text": "AMENDED IN ASSEMBL YAUGUST 16, 2010\nAMENDED IN ASSEMBL YAUGUST 2, 2010\nAMENDED IN ASSEMBL YJUNE 24, 2010\nAMENDED IN SEN ATEMARCH 23, 2010\nSEN ATE BILL No. 1450\nIntroduced by Senator Simitian\nFebruary 19, 2010\nAn act to add Section 85213 to the Water Code, relating to w ater,\nand declaring the ur gency ther eof, to tak e effect immediately .\nlegislative counse l’s dig est\nSB1450, as amended, Simitian .Water: Delta Ste wardship Council:\ncontracts.\nThe Sacramento-San Joaquin Delta Reform Act of 2009 establishes\nthe Delta Ste wardship Council, which is required to de velop, adopt,\nand commence implementation of a comprehensi ve management plan\nfor the Sacramento-San Joaquin Delta (Delta Plan) by January 1, 2012.\nThe act pro vides that the council is the successor to the California\nBay-Delta Authority and requires the council to administer contracts,\ngrants, easements, and agreements made or entered into by the authority .\nThe act prescribes the po wers of the council, which include, among\nothers, the po wer to enter into contracts, to hire emplo yees, and to adopt\nregulations or guidelines.\nExisting la w prescribes requirements for selection of firms by state\nand local agenc y heads for architectural and engineering services and\nother professional services.\nThis bill w ould e xpressly authorize the council to contract for\nconsultant services and architectural and engineering services to assist\n95 with preparation of the Delta Plan and performance of certain\nresponsibilities of the council. The bill w ould e xempt these contracts\nfor consultant services from specified pro visions of la w go verning\npublic contracting , but would require the contracts to be entered into\non a competiti ve bid basis, as specified .The bill would r equir e contr acts\nfor ar chitectur al and engineering services to be enter ed into pur suant\nto the r equir ements for selection of firms by state and local a gency\nheads discussed abo ve, but would e xempt those contr acts from a\nrequir ement to adopt r egulations prior to contr acting . The bill w ould\nrequire the council to establish procedures for contracting for consultant\nservices and architectural and engineering services.\nThis bill would declar e that it is to tak e effect immediately as an\nurgency statute .\nVote: majority2⁄3. Appropriation: no. Fiscal committee: yes.\nState-mandated local program: no.\nThe people of the State of California do enact as follows:\n1\n2\n3\n4\n5\n6\n7\n8\n9\n10\n11\n12\n13\n14\n15\n16\n17\n18\n19\n20\n21\n22SECTION 1. Section 85213 is added to the Water Code, to\nread:\n85213. (a)  The council may contract for consultant services\nand architectural and engineering services to assist the council\nwith all of the follo wing functions:\n(1)  Preparation of the Delta Plan and associated en vironmental\nreview.\n(2)  Performance of the council’ s responsibilities, or the\nresponsibilities of the Delta Independent Science Board, with\nrespect to the Bay Delta Conserv ation Plan.\n(3)  Determination of the consistenc y of state and local public\nagenc y actions with the Delta Plan.\n(4)  Performance of scientific re view to inform w ater and\nenvironmental decisionmaking in the Delta.\n(b)  (1)  Contracts entered into pursuant to subdi vision (a) for\nconsultant services shall be e xempt from Chapter 10 (commencing\nwith Section 4525) of Di vision 5 of Title 1 of the Go vernment\nCode, Article 4 (commencing with Section 19130) of Chapter 5\nof Part 2 of Di vision 5 of Title 2 of the Go vernment Code, P art 2\n(commencing with Section 10100) of Di vision 2 of the Public\nContract Code, and an y rules or re gulations adopted pursuant to\nthose la ws. Contr acts enter ed into pur suant to subdivision (a) for\n95— 2 — SB1450 1\n2\n3\n4\n5\n6\n7\n8\n9\n10\n11\n12\n13\n14\n15\n16\n17\n18\n19\n20\n21architectur al and engineering services shall be enter ed into\npursuant to Chapter 10 (commencing with Section 4525) of\nDivision 5 of Title 1 of the Go vernment Code , but are exempt fr om\nthe requir ement in Section 4526 of the Go vernment Code to adopt\nregulations prior to contr acting .\n(2)  Contracts entered into pursuant to subdi vision (a) shall be\nentered into on a competiti ve bid basis. The council shall not enter\ninto a contract pursuant to subdi vision (a) for consultant services\nunless at least three bids or proposals to do the w ork ha ve been\nevaluated by a competiti ve process.\n(3)  The council shall establish procedures for contracting for\nservices pursuant to subdi vision (a), consistent with paragraphs\n(1) and (2). The procedures shall be e xempt from Chapter 3.5\n(commencing with Section 11340) of P art 1 of Di vision 3 of Title\n2 of the Go vernment Code.\nSEC. 2. This act is an ur gency statute necessary for the\nimmediate pr eservation of the public peace , health, or safety within\nthe meaning of Article IV of the Constitution and shall go into\nimmediate ef fect. The facts constituting the necessity ar e:\nIn or der to ensur e proper contr acting by the Delta Ste wardship\nCouncil, it is necessary that this act tak e effect immediately .\nO\n95SB1450 — 3 —" }

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{ "pdf_file": "EMV5G7QIUVFMF7PMONNAT7IGWSTPHLQO.pdf", "text": "Credential \nNumberName DBA Address City State ZipFirst \nIssuance \nDateExpiration \nDate\nMT.2047  ADP Pa yroll Services , Inc. One ADP Blvd. M/S 443 Roseland NJ 7068 09/01/2009 06/30/2012\nMT.2045  Amazon Pa yments , Inc. 410 Terr y Avenue N Seattle WA 98109 07/31/2009 06/30/2012\nMT.2053  American Ex press Pre paid Card Mana gement Cor p. 20022 North 31st Avenu e Phoeni x AZ 85027 07/29/2010 06/30/2012\nMT.1001  American Ex press Travel Related Services Co. Inc . 200 Vese y Stree t New Yor k NY 10285 07/01/1973 06/30/2012\nMT.2056  Bancomer Transfer Services , Inc. 16825 Northchase Drive , Suite 152 5 Houston T X 77060 12/16/2010 06/30/2012\nMT.2049  Blackhawk Network California , Inc. 6220 Stonerid ge Mall Roa d Pleasanton CA 94588 10/21/2009 06/30/2012\nMT.2052  Braz Transfers , Inc. 999 Broadwa y, Suite 50 0 Saugus M A 1906 06/25/2010 06/30/2012\nMT.2057  Cambrid ge Mercantile Cor poration (U.S.A. ) 902 Carne gie Center , Suite 34 0 Princeton NJ 8540 01/20/2011 06/30/2012\nMT.2019  CheckFreePa y Corporatio n 15 Sterlin g Drive Wallin gford CT 06492-7544 03/25/2003 06/30/2012\nMT.2020  Coborn's Incor porate d 1445 East Hi ghway 23 St. Cloud MN 56304 05/10/2004 06/30/2012\nMT.2003  Comdata Network Inc. dba Comdata Cor poration 5301 Mar yland Wa y Brentwood TN 37027 07/01/1987 06/30/2012\nMT.2030  Continental Exchange Solutions, Inc. dba RIA Financial Services; Associated \nForei gn Exchan ge6565 Knott Avenue Buena Park CA 90620 07/19/2006 06/30/2012\nMT.2027  Custom House (USA) Ltd. Western Union Business Solutions 517 Fort Stree t Victoria BC V8W 1E7 04/01/2005 06/30/2012\nMT.2035  Dahab-Shil , Inc. 2025 Nicollet Ave South # 20 6 Minnea polis MN 55404 02/21/2007 06/30/2012\nMT.2055  DLC Em pire Pre paid Cards , LLC 901 West 10th Street Sioux Falls SD 57104 11/02/2010 06/30/2012\nMT.2059  Facebook Pa yments Inc. 1601 S. California Avenu e Palo Alto CA 94304 08/08/2011 06/30/2012\nMT.2048  Global Cash Access , Inc. (GCA ) 3525 E. Post Road , Suite 12 0 Las Ve gas NV 89120 10/13/2009 06/30/2012\nMT.2050  Golden Mone y Transfer , Inc. 517 4th Avenue , Suite 10 3 San Die go CA 92101 03/08/2010 06/30/2012\nMT.2042  Google Pa yment Cor p. dba Goo gle Checkou t 1600 Am phitheatre Parkwa y Mountain Vie w CA 94043 04/14/2009 06/30/2012\nMT.2023  Green Dot Cor poration 605 East Huntin gton Drive , Suite 20 5 Monrovi a CA 91016 12/02/2004 06/30/2012\nMT.2010  Integrated Pa yment S ystems Inc . 6200 S Quebec Street , Ste 26 0 Greenwood Villa ge CO 80111 08/19/1993 06/30/2012\nMT.2025  ITC Financial Licenses , Inc. 5617 Princeton Avenue , Suite B Columbus GA 30303 01/21/2005 06/30/2012\nMT.2051  Mone ybookers USA , Inc. 61 Broadwa y, Suite 160 3 New Yor k NY 10006 05/28/2010 06/30/2012\nMT.2012  Mone yGram Pa yment S ystems , Inc. 1550 Utica Avenue South Minnea polis MN 55416 02/18/1997 06/30/2012\nMT.2041  nFinanSe Pa yments Inc. 3923 Coconut Palm Drive , Suite 10 7 Tampa FL 33619 01/28/2008 06/30/2012\nMT.2046  NoteWorld LLC NoteWorld Servicin g Center 1001 Pacific Avenue , Suite 20 0 Tacoma WA 98402 09/01/2009 06/30/2012\nMT.2039  Obopay, Inc. 350 Marine Parkwa y, Suite 10 0 Redwood Cit y CA 94065 09/21/2007 06/30/2012\nMT.2043  Official Pa yments Cor poratio n 11130 Sunrise Valle y Drive , Suite 30 0 Reston VA 20191 05/20/2009 06/30/2012\nMT.2038  Paypal, Inc. 2211 North First Stree t San Jose CA 95131 07/30/2007 06/30/2012\nMT.2029  PreCash , Inc. 1800 West Loo p South , Suite 1400 Houston T X 77027 07/19/2006 06/30/2012\nMT.2018  Sigue Cor poration 13291 Ralston Ave. S ylmar CA 91342-7676 09/30/2002 06/30/2012\nMT.2060  Softgate S ystems , Inc. 330 Passaic Avenue Fairfield NJ 7004 08/16/2011 06/30/2012\nMT.2058  Tempus Consultin g, Inc. 1225 New York Avenue NW , Suite 200 Washin gton DC 20005 06/07/2011 06/30/2012\nMT.2011  Travelex Currenc y Services Inc . 100 Yon ge Street , 14th Floor , Scotia Plaz a Ontario M5C 2W1 10/16/1995 06/30/2012\nMT.2054  Travelex Global Business Pa yments , Inc. 1152 15th Street NW , 7th Floo r Washin gton DC 20005 09/14/2010 06/30/2012\nMT.2004  Western Union Financial Services , Inc. 12500 East Belford Avenue , Suite M12K 3 Englewood CO 80112 10/19/1989 06/30/2012\nMT.2044  Xoom Cor poration 100 Bush Street , Suite 30 0 San Francisco CA 94104 06/24/2009 06/30/2012\n37 Items Found9/12/2011 at 2:58:26 PM " }

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{ "pdf_file": "QMNB4F4EQHGQDRKO7QIJWTN6TUMGKQXB.pdf", "text": "page 1 of 7 Thu Jan 26 10:12:09 EST 2012 561006060000  New York State Education Department\nSpecial Education\nSchool District Data Profile for\nWaterloo Central School District for 2008-09\n  Special Education Data Collection, Analysis and Reporting (SEDCAR)\nSpecial Education School District Data Profile for 2008-09\nThe Special Education School District Data Profile is prepared in accordance with the requirement of the Individuals with Disabilities Education Act (IDEA). Each State must have \na State Performance Plan (SPP) to evaluate the State's efforts to meet the requirements and purposes of the implementation of IDEA. The SPP is a six-year plan which describes \nNew York State's performance on 20 indicators. States must report annually to the public on the performance of the State in an Annual Performance Report (APR) and each \nschool district against the State's targets. New York State's SPP and the APR that describe these indicators in detail are available at http://www.p12.nysed.gov/specialed/spp/ .\nThe following report reflects only quantifiable data collected by the State. Since performance of a school district in any indicator may be the result of unique circumstances within \na district, readers are encouraged to consider information provided by the district's administration in interpreting these data.\nEnrollment and Classification Rate\n  2008-09\nEnrollment of school-age students with disabilities on October 1 314\nDistrict enrollment (public and nonpublic school-age students ? with and without disabilities) on the first Wednesday \nin October1,997\nSpecial education classification rate 15.7%\nEnrollment of preschool students with disabilities on October 1 25\nIndicator 1: Graduation Rate of Students with Disabilities\n 2008-09\n(2005 Total Cohort four years later as \nof August 2009)2008-09\n(2004 Total Cohort five years later as \nof June 2009)\nNumber of students with disabilities who first entered 9th grade anywhere (or \nif ungraded, became 17 years old) in 2005-0625  \nNumber of students with disabilities who first entered 9th grade anywhere (or \nif ungraded, became 17 years old) in 2004-05  26\nGraduation rate 36% 50%\nState target for 2008-09 44% or higher No State Target\nMeets State target? Not Applicable* Not Applicable\n* Districts are only held accountable for the performance of students when there are at least 30 students in the total cohort. page 2 of 7 Thu Jan 26 10:12:09 EST 2012 561006060000  New York State Education Department\nSpecial Education\nSchool District Data Profile for\nWaterloo Central School District for 2008-09\n  Special Education Data Collection, Analysis and Reporting (SEDCAR)\nIndicator 2: Drop-Out Rate of Students with Disabilities\n 2008-09\n(2005 Total Cohort as of August 2009)\nNumber of students with disabilities who first entered 9th grade anywhere (or if ungraded, became 17 years old) in \n2005-06 school year25\nDrop-out rate after four years 24%\nState target for 2008-09 18% or lower\nMeets State target? Not Applicable*\n* Districts are only held accountable for the performance of students when there are at least 30 students in the total cohort.\nIndicator 3: State Assessments\nParticipation in State Assessments2008-09\nGrades\n3-8\nEnglish Language \nArts (ELA)Grades\n3-8\nMathHigh School\nEnglish Language \nArts (ELA)High School\nMath\nEnrollment of students with disabilities for participation rate 158 160 Less Than 40* Less Than 40*\nParticipation rate 100% 100% * *\nState target for 2008-09 95% 95% 95% 95%\nMeets State target? Yes Yes * *\n* Participation rate is provided only if at least 40 students with disabilities are reported in the first row.\nPerformance on State Assessments and Adequate Yearly Progress \n(AYP)2008-09\nGrades\n3-8\nEnglish Language \nArts (ELA)Grades\n3-8\nMathHigh School\nEnglish Language \nArts (ELA)High School\nMath\nEnrollment of students with disabilities for performance \naccountability156 154 Less Than 30** Less Than 30**\nScore on performance index 126 140 ** **\nState target for 2008-09 106 115 129 139\nMeets State target? Yes Yes ** **\nMade AYP? Yes Yes ** **\n** A performance index score is provided only if at least 30 students with disabilities are reported in the first row. page 3 of 7 Thu Jan 26 10:12:09 EST 2012 561006060000  New York State Education Department\nSpecial Education\nSchool District Data Profile for\nWaterloo Central School District for 2008-09\n  Special Education Data Collection, Analysis and Reporting (SEDCAR)\nIndicator 4: Suspensions/Expulsions\nLong-term Suspension Rate 2008-09\nNumber of students with disabilities suspended out-of-school for more than 10 days 2\nNumber of students with disabilities enrolled on October 1 314\nPercent of students with disabilities suspended out-of-school for more than 10 days 0.6%\nState target for 2008-09 2.7% or lower\nMeets State target? Yes\nIndicator 5: School-age Least Restrictive Environment (LRE)\n  2008-09\nNumber of students with disabilities ages \n6-21 on October 1303\n Percent of students with disabilities in general \neducation program for:In\nseparate\nschools / facilitiesIn\nOther\nSettings80% or\nmore of\nthe day40 to 79%\nof the dayLess than\n40% of\nthe day\nPercent of students ages 6-21 in each setting 70.3% 9.6% 18.5% 1.3% 0.3%\nState target for 2008-09 More than 53.2% No State Target Less than 24.5% Less than 6.7% No State Target\nMeets State target? YesNot Applicable Yes Yes Not Applicable\nIndicator 6: Preschool Least Restrictive Environment (LRE)\nThe data for this indicator are not presented because the LRE reporting categories for preschool children with disabilities are under review by the United States Department of \nEducation. page 4 of 7 Thu Jan 26 10:12:09 EST 2012 561006060000  New York State Education Department\nSpecial Education\nSchool District Data Profile for\nWaterloo Central School District for 2008-09\n  Special Education Data Collection, Analysis and Reporting (SEDCAR)\nIndicator 7: Preschool Outcomes\nIf data are not provided for this indicator, see the schedule posted at http://www.p12.nysed.gov/sedcar/data.htm#subschedule for the school year in which this school district \nwill report data for this indicator.\n 2008-09\nPositive\nSocial - Emotional SkillsAcquisition and Use of \nKnowledge & SkillsUse of\nAppropriate Behaviors\nto Meet\ntheir Needs\nNumber of preschool students with disabilities evaluated for progress between \nentry into preschool education and exit from preschool special education.\nOf those preschool children who entered the preschool program below age \nexpectations, the percent who substantially increased their rate of growth by the \ntime they exited the program.\nState target for 2008-09 Targets Begin in 2009-10 Targets Begin in 2009-10 Targets Begin in 2009-10\nMeets State target?\nThe percent of preschool children who were functioning within age expectations \nby the time they exited the program.\nState target for 2008-09 Targets Begin in 2009-10 Targets Begin in 2009-10 Targets Begin in 2009-10\nMeets State target?\nIndicator 8: Parental Involvement\nIf data are not provided for this indicator, see the schedule posted at http://www.p12.nysed.gov/sedcar/data.htm#subschedule for the school year in which this school district \nwill report data for this indicator.\n  2008-09\nNumber of completed parent surveys returned\nPercent of parents who reported that schools facilitated parent involvement to improve services and results for \nstudents with disabilities\nState target for 2008-09 88% or higher\nMeets State target? page 5 of 7 Thu Jan 26 10:12:09 EST 2012 561006060000  New York State Education Department\nSpecial Education\nSchool District Data Profile for\nWaterloo Central School District for 2008-09\n  Special Education Data Collection, Analysis and Reporting (SEDCAR)\nIndicator 9: Disproportionality - Identification for Special Education\n  2008-09\nDid the school district have disproportionate representation of racial and ethnic groups in special education and \nrelated services that was the result of inappropriate policies, practices and procedures?No\nState target for 2008-09No school districts will have disproportionality \nthat is the result of inappropriate policies, \npractices and procedures.\nMeets State target? Yes\nIndicator 10A: Disproportionality in Specific Disability Categories\n  2008-09\nDid the school district have disproportionate representation of racial and ethnic groups in specific disability categories \nthat was the result of inappropriate policies, practices and procedures?No\nState target for 2008-09No school districts will have disproportionality \nthat is the result of inappropriate policies, \npractices and procedures.\nMeets State target? Yes\nIndicator 10B: Disproportionality in Special Education Placements\n  2008-09\nDid the school district have disproportionate representation of racial and ethnic groups in particular settings that was \nthe result of inappropriate policies, practices and procedures?No\nState target for 2008-09No school districts will have disproportionality \nthat is the result of inappropriate policies, \npractices and procedures.\nMeets State target? Yes page 6 of 7 Thu Jan 26 10:12:09 EST 2012 561006060000  New York State Education Department\nSpecial Education\nSchool District Data Profile for\nWaterloo Central School District for 2008-09\n  Special Education Data Collection, Analysis and Reporting (SEDCAR)\nIndicator 11: Timely Evaluations (Child Find)\nIf data are not provided for this indicator, see the schedule posted at http://www.p12.nysed.gov/sedcar/data.htm#subschedule for the school year in which this school district \nwill report data for this indicator.\n 2008-09\nPreschool School-age Combined\nNumber of students for whom parental consent to evaluate was received (July 1, 2008 to June \n30, 2009)30 37 67\nNumber of students whose evaluations were completed within the State established timeline 28 35 63\nNumber of children whose evaluations were not completed within State established time lines, but \nfor reasons that are considered to be in compliance with State requirements2 2 4\nCompliance Rate [Line 2 divided by (Line 1 minus Line 3)*100] 100% 100% 100%\nState target for 2008-09     100%\nMeets State target?     Yes\nIndicator 12: Early Childhood Transition\nIf data are not provided for this indicator, see the schedule posted at http://www.p12.nysed.gov/sedcar/data.htm#subschedule for the school year in which this school district \nwill report data for this indicator.\n  2008-09\nNumber of children who were served in Part C and referred to Part B for eligibility determination\nNumber of those referred determined to be NOT eligible and whose eligibilities were determined prior to their third \nbirthday\nNumber of those found eligible who had an IEP developed and implemented by their third birthday\nNumber of children for whom delays in determination of eligibility or delays in implementing the IEP were caused by \nreasons that are in \"in compliance\" with State requirements\nCompliance Rate [Line 3 divided by (Line 1 minus Line 2 minus Line 4) *100]\nState target for 2008-09 100%\nMeets State target? page 7 of 7 Thu Jan 26 10:12:09 EST 2012 561006060000  New York State Education Department\nSpecial Education\nSchool District Data Profile for\nWaterloo Central School District for 2008-09\n  Special Education Data Collection, Analysis and Reporting (SEDCAR)\nIndicator 13: Secondary Transition\nIf data are not provided for this indicator, see the schedule posted at http://www.p12.nysed.gov/sedcar/data.htm#subschedule for the school year in which this school district \nwill report data for this indicator.\n  2008-09\nNumber of IEPs reviewed for students ages 15 and above 30\nPercent of IEPs of students ages 15 and above that include coordinated, measurable, annual IEP goals and transition \nservices that will reasonably enable the student to meet the post-secondary goals100%\nState target for 2008-09 100%\nMeets State target? Yes\nIndicator 14: Post-School Outcomes\nData for this indicator will be posted beginning June 2008, in accordance with the schedule posted at http://www.p12.nysed.gov/sedcar/data.htm#subschedule.\n  2008-09\nNumber of students interviewed to assess post-school outcomes one year after leaving high school\nPercent of students who had IEPs, are no longer in secondary school, and who have been enrolled in some type of \npost-secondary school AND have been competitively employed within one year of leaving high school\nPercent of students who had IEPs, are no longer in secondary school, and who have been enrolled in some type of \npost-secondary school within one year of leaving high school\nPercent of students who had IEPs, are no longer in secondary school, and have been competitively employed within \none year of leaving high school\nPercent of students who had IEPs, are no longer in secondary school, and who have been enrolled in some type of \npost-secondary school, have been competitively employed, or both, within one year of leaving high school (sum of \nthe three percentages above)\nState target for 2008-09 92% or higher\nMeets State target?" }

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{ "pdf_file": "6A2V6MYYSW4C6QUKXJX7BEGNPYKZGV6O.pdf", "text": "United States Court of Appeals for the Federal Circuit \n \n2008-5085 \n \nROBERT INGRUM, \n \nPlaintiff-Appellant, \n \nv. \n \nUNITED STATES, \n \nDefendant-Appellee. \n Ryan G. Anderson\n, McClenahan Anderson & Stryker, P.L.L.C., of San Antonio, \nTexas, argued for plaintiff-appellant. Robert P. Stockman\n, Trial Attorney, Appellate Sect ion, Environment and Natural \nResources Division, United Stat es Department of Justice, of Washington, DC, argued for \ndefendant-appellee. On the brief were Ronald J. Tenpas , Assistant Attorney General, \nKathryn C. Kovacs and Robert H. Oakley , Attorneys. \n Appealed from: United States Court of Federal Claims \n Judge Mary Ellen Coster Williams United States Court of Appeals for the Federal Circuit \n \n \n \n2008-5085 \n \nROBERT INGRUM, \n \nPlaintiff-Appellant, \n \nv. \n \nUNITED STATES, \n \nDefendant-Appellee. \n \nAppeal from the United States Court of Federal Claims \nin 07-CV-012, Judge Mary Ellen Coster Williams. \n \n__________________________ DECIDED: March 25, 2009 ___________________________ \n Before RADER, BRYSON, and MOORE, Circuit Judges.\n \n BRYSON, Circuit Judge\n. \nRobert Ingrum filed an action seeking ju st compensation for the government’s \nremoval of fill material from a hillside on his property. The Court of Federal Claims \ndismissed the action as time-barred under the applicable six-year stat ute of limitations. \nWe affirm. \nI \n On March 16, 1999, Mr. Ingrum pur chased approximately 3,300 acres of \nundeveloped land along the Mexican border near the small town of Candelaria, Texas. \nHe paid $98,000 for the property. An unpaved road, known as “the River Road,” \n \n2008-5085 2 provides the only vehicular access to the property. The paved highway that connects \nwith the River Road ends in Candelaria, about f our miles from the edg e of Mr. Ingrum’s \nproperty. The River Road crosses his proper ty for about 2.75 miles and then continues \nnorthward along the Rio Grande. The property can be accessed by road from both the \nnorth and the south, although a ccess from the north involves traversing a much longer \nstretch of unimproved road. \n In 1997, heavy rainfall eroded a portion of the River Road south of the property. \nA task force from the Department of De fense built a bypass around the washed-out \nstretch of road and made additional improvement s to the road. Those repairs were \ncompleted in 1998, prior to Mr. Ingrum’s pur chase of the property. To perform those \nrepairs, the task force used fill material that it had excavated, with the permission of the \nprevious landowner, from the side of a hill near a gravel pit on the property. Rainfall \nduring the summer of 1998 again wa shed out portions of the road, including some of the \nroadwork that was completed earlier that year . The task force therefore returned to \nperform additional repairs. Before the gover nment performed those repairs, Mr. Ingrum \nsigned a “Right of Entry” pe rmit authorizing the government to enter the property to \nrepair the road and to carry out military training and other operations on the land. Mr. \nIngrum signed that permit on March 13, 1999, s hortly before closing on the property. \nThe Right of Entry permit also contained a pr ovision that stated: “The Owner (does/does \nnot) grant the Government the right to use any buildings, timber or any other products of \nthe land.” Mr. Ingrum did not select either the “does ” or “does not” option when \nexecuting the permit; instead, that portion of the form was left blank. \n \n2008-5085 3 From March through April 1999, the government repaired t he road by regrading it \nin some places, installing concrete culver ts, and laying concrete slabs in flood-prone \nareas. To conduct those repairs, the government again excavated fill material from the \nsame hillside borrow pit on Mr. Ingrum’s property . The removal of the fill material left a \n“bowl-like formation” on the hillside that was pl ainly visible from the portion of the River \nRoad that crossed the property. Mr. Ingrum estimated that the excavated area was \nroughly 200 feet across. Prior to purchasing the property, Mr. I ngrum had accessed it from the south on \nnumerous occasions. Approaching from that dire ction, the trip to the property was a 12-\nhour drive from Mr. Ingrum’s residence in Austin, Texas. Although Mr. Ingrum \nattempted to make that drive several times after the government completed its repairs of \nthe road in April 1999, he wa s unable to drive onto the property on those occasions \nbecause flooding had rendered portions of t he River Road south of the property \nimpassable. Mr. Ingrum was aware that t he River Road was passable from the north, \nbut he chose not to access hi s property from that direction because doing so “would \nhave required an additional 7-9 hours of driving” along roug h, unpaved roads, which he \nregarded as “an untenable option.” \nSeveral times between 1999 and 2004, Mr. Ingrum spoke by telephone with a \nBorder Patrol agent in order to determine the condition of the Riv er Road; the agent \nreported on several occasions t hat the road was passable from the south. Mr. Ingrum \ndid not attempt to access his property on those occasions, however, because those \nwere all times when it was not convenient for him to make the drive. \n \n2008-5085 4 Because Mr. Ingrum did not visit hi s property between April 1999 and 2005, he \ndid not learn about the hillside borrow pit until he happened to encounter a migrant \nworker in Candelaria in May 2004. The wo rker, who had crossed Mr. Ingrum’s property \nin order to gain access to the Rio Grande, told Mr. Ingrum about the pit and commented \nthat the government constructi on workers “took a lot of material” from the hillside. \nSome eight or nine months la ter, Mr. Ingrum visited his property and saw the borrow pit \nfor the first time. \n On August 2, 2006, another 18 months after seeing the borrow pit, Mr. Ingrum \nfiled a takings claim against the United States in the Court of Federal Claims. He \nsought $324,000 in compensation for the taking of the fill material that was used for the \n1999 road repairs. Although that figure was mo re than three times the price that Mr. \nIngrum had paid for the entire 3300-acre proper ty in 1999, Mr. Ingr um justified the \namount as an estimate of w hat it would have cost the government to purchase and \ntransport from the nearest gravel pit enough mate rial to rebuild seven miles of road. \nAfter dismissing his suit voluntarily to cure an unrelated jurisdictional defect, Mr. Ingrum \nfiled another complaint in the Court of Federal Claims on January 9, 2007. \nThe government sought dismissal of the ac tion as time-barred under the six-year \nstatute of limitations for actions falling within the jurisdic tion of the Court of Federal \nClaims. Mr. Ingrum argued that his claim did not accrue at the time the fill material was \ntaken in March and April 1999, because he was unaware of the taking and had no \nreason to be aware of it until he learned about the borrow pit in May 2004. He \ncontended that he was not c hargeable with knowledge of the taking because he lived \nfar from the property, he had been unable to access the property from the south on \n \n2008-5085 5 several occasions because of poor road c onditions, and the Right of Entry permit had \nnot given him notice that the government intended to take material from his land. For \nthose reasons, he argued that his takings claim accrued only when he first learned of \nthe alleged taking in 2004. Accordingly, he contended that his suit, which was filed in \n2006, was filed within the six- year limitations period. \nThe Court of Federal Claims ruled that because the actions giving rise to the \ntakings claim were not inherently unknowable, Mr. Ingrum’s claim accrued in April 1999 \nwhen the government completed its repair work. Ingrum v. United States , 81 Fed. Cl. \n661 (2008). Accordingly, the court dismiss ed Mr. Ingrum’s action as time-barred under \nthe applicable statute of limitations. Mr. Ingrum now appeals to this court. \nII \n A claim falling within the jurisdiction of the Court of Federal Claims must be \nbrought within six years of the date that the cause of action accrued. 28 U.S.C. § 2501. \nA claim first accrues when all the events have occurred that fix the alleged liability of the \ngovernment and entitle the claimant to institute an action. T herefore, a claim alleging a \nFifth Amendment taking accrues when the act that constitutes the taking occurs. \nAlliance of Descendants of Tex. Land Grants v. United States , 37 F.3d 1478, 1481 \n(Fed. Cir. 1994). \nThe parties in this case agree that the alleged taking occurred no later than April \n1999, when the government task force removed t he fill material from the hillside on Mr. \nIngrum’s property. That accr ual date would place Mr. Ingrum’s suit, which he first filed \non August 2, 2006, outside the six- year limitations period. Mr. Ingrum therefore seeks \nthe benefit of the “accr ual suspension” rule. Under that rule, the accrual of a claim \n \n2008-5085 6 against the United States will in some situations be suspended when an accrual date \nhas been ascertained, but t he plaintiff does not know of the claim. Japanese War Notes \nClaimants Ass’n v. United States , 373 F.2d 356, 358-59 (Ct. Cl. 1967). However, a \nplaintiff’s ignorance of a claim that he should have been aware of is not enough to \nsuspend the accrual of a claim. Id. at 359; see Braude v. United States , 218 Ct. Cl. \n270, 274 (1978). The accrual suspension rule is “strictly and narrowly applied,” and the \naccrual date of a cause of action will be suspended in only two circumstances: “[the \nplaintiff] must either show that defendant has concealed its acts wit h the result that \nplaintiff was unaware of their ex istence or it must show t hat its injury was ‘inherently \nunknowable’” at the time the cause of action accrued. Martinez v. United States , 333 \nF.3d 1295, 1319 (Fed. Cir . 2003) (en banc), quoting Welcker v. United States , 752 F.2d \n1577, 1580 (Fed. Cir. 1985); Alliance of Descendants of Tex. Land Grants , 37 F.3d at \n1482; Catawba Indian Tribe v. United States , 982 F.2d 1564, 1571-72 (Fed. Cir. 1993); \nJapanese War Notes Claimants Ass’n , 373 F.2d at 359.1 \nMr. Ingrum does not contend that the government conceal ed its actions. His sole \nargument is that his action is not time- barred because the alleged taking was inherently \nunknowable as of the accrual date. We conc lude that the facts under lying Mr. Ingrum’s \n \n1 It is sometimes stated that accrual of a claim against the United States will be \nsuspended until the claimant “knew or should have known” that the claim existed. See \nKinsey v. United States , 852 F.2d 556, 557 n.* (Fed. Cir. 1988). That articulation of the \nrule is not meant to set forth a different test, as the two standards have been used \ninterchangeably. See Young v. United States , 529 F.3d 1380, 1384 (F ed. Cir. 2008); \nHopland Band of Pomo Indians v. United States , 855 F.2d 1573, 1577 (Fed. Cir. 1988). \nHowever, the “concealed or inherently unknow able” formulation, which the trial court \nused in this case, is both more common and more precise, and we therefore continue to endorse that formulation as the preferabl e one for “accrual suspension” cases. See\n \nMartinez v. United States , 333 F.3d at 1319. \n \n2008-5085 7 claim were not inherently unknowable because the government’s excavation of the fill \nmaterial was an open and notorious activity conducted on his property, and because Mr. \nIngrum was on notice of the gov ernment’s repair activities and of the possibility that the \ngovernment would use fill from his property in the course of those activities. \nThe line of “accrual suspension” cases dealing with takings claims has \nestablished that “[w]here the ac tions of the government are open and notorious . . . [the] \nplaintiff is on inquiry as to it s possible injury,” and the statute of limitations begins to run. \nCoastal Petroleum Co. v. United States , 228 Ct. Cl. 864, 867 (1981). In Coastal \nPetroleum , the plaintiff sought just compensat ion more than six years after the \ngovernment used, and prevented a ccess to, the plaintiff’s limestone in order to construct \na canal in Florida. Because the canal pr oject was widely report ed in the state news \nmedia, and because the plaintiff had admitted that it was aware of the project, the court \nconcluded that the government’s actions we re open and notorious and that the plaintiff \nwas therefore “on inquiry as to t he threat to its property rights.” Id. \nThe Court of Federal Claims app lied the same principle in Catellus Development \nCorp. v. United States , 31 Fed. Cl. 399 (1994), in which a landowner brought a takings \nclaim against the government for mistakenly s helling his remote property during artillery \nexercises and allegedly contaminating his land with unexploded ordnance. The court \nconcluded that the bombing exercises were open and notorious acts that placed the \nlandowner on inquiry that it had a possible claim, thus triggering the limitations period. \nId. at 408 n.8; see also Voisin v. United States , 80 Fed. Cl. 164, 176 (2008) \n(construction of houses on disputed proper ty was “clearly an open and notorious \nactivity” putting plaintiffs on notic e of the government’s actions); Jakoby v. United \n \n2008-5085 8 States , 38 Fed. Cl. 192, 195 (1997) (absence of roadway or passage to plaintiff’s \nproperty was “open and notorious ” condition precluding tolling of limitations period); \nLaFont v. United States , 17 Cl. Ct. 837, 842 (1989) (gov ernment dredging operation that \nallegedly damaged plaintiff’s oyster beds was “ an obvious act” that set the accrual date \nfor plaintiff’s takings claim); cf. Dahl v. United States , 319 F.3d 1226, 1229 (10th Cir. \n2003) (accrual of Federal Tort Claims Act claim not suspended under “discovery rule” \nbecause destruction of 30-foot high stockpile of mineral ore was a “manifest injury” that \nwould have been obvious upon inspection).2 \nThese authorities stand for the principle, which we rea ffirm, that a landowner will \nbe deemed to be on inquiry of activities t hat are openly conducted on his property. \nApplying that principle to this case, it is apparent that the governm ent’s use of the fill \nmaterial from Mr. Ingrum’s property wa s an open and notorious ac t that put him on \ninquiry that he had a potential claim. By Mr. Ingrum’s own estimation, the borrow pit \ncreated by the government ’s use of the fill material had a footprint of roughly 35,000 \nsquare feet. Mr. Ingrum c oncedes that if he had visited his property after the \ngovernment performed the 1999 repairs, he w ould have discovered the pit because it \nwas “in plain sight” and clearly visible from the road. U nder those circumstances, the \ngovernment’s actions cannot fairly be described as inherently unknowable. \n \n2 The concept of an “open and notorious” condition has been applied most \nfrequently in the law of adverse possessi on, where it plays a similar role. See William \nB. Stoebuck & Dale A. Whitman, The Law of Property 856 (2000) (“‘Open and notorious’ \npossession usually means possession that give s visible evidence to one on the surface \nof the possessed land. The purpose of this element is to afford the owner opportunity \nfor notice. He need not actually have seen the evidence, but is charged with seeing \nwhat reasonable inspection would disclose.”). \n \n2008-5085 9 Furthermore, like the plaintiff in Coastal Petroleum , Mr. Ingrum was aware of the \nconstruction on his property. Indeed, Mr. Ingrum signed the Right of Entry permit \nexplicitly authorizing the gov ernment task force to enter his property in order to \nreconstruct portions of the River Road on and near that proper ty. Because Mr. Ingrum \nknew of the construction activities, he wa s on inquiry that he had a potential takings \nclaim. See Coastal Petroleum , 228 Ct. Cl. at 867; see also Fallini v. United States , 56 \nF.3d 1378, 1380 (Fed. Cir. 1995) (“[A] plaintiff does not have to possess actual \nknowledge of all the relevant facts in order for a cause of action to accrue.”). \nMr. Ingrum argues that alt hough the Right of Entry permit provided notice of the \ngovernment’s construction activities on his land, it did not give him any reason to \nsuspect that the government w ould use fill material from hi s property in the course of \nthose activities. In support of that contention, Mr. Ingrum relies on the fact that the \nRight of Entry permit included a provision that would have expr essly authorized the \ngovernment to use “buildings, timber or any other products of the land,” yet he did not \nindicate on the permit whether he “does” or “does not” so authorize the government. \nThus, Mr. Ingrum argues, it was reasonable for him to assume that the government \nwould not take any material from his property. \nIn fact, the provision in the Right of Entry permit addressing the government’s \nauthorization to use products fr om the land cuts the other way: Its very presence put \nMr. Ingrum on notice that the government contemplated that the repairs would \nnecessitate the use of material from Mr. Ingrum’s property, regar dless of whether he \naffirmatively granted that permission. T he question whether Mr. Ingrum granted the \ngovernment permission to use material from his property goes to the merits of his \n \n2008-5085 10 takings claim; it does not negate the fact that the authorization prov ision put Mr. Ingrum \non notice that the gov ernment might need to use fill ma terial from the property. \nAlthough Mr. Ingrum could not be sure that the government would do so (and may have \nhoped that it would not), he clearly knew enough at the time the government completed \nits repairs to make an inquiry and discover the facts underlying his takings claim. See \nMenominee Tribe of Indians v. United States , 726 F.2d 718, 721 (Fed. Cir. 1984). \nHaving failed to make such an inquiry, Mr. Ingrum cannot now avail himself of the \naccrual suspension rule. \nFinally, Mr. Ingrum argues that it would be unreasonable to expect him to have \ndiscovered the government’s alleged taking any earlier. He notes t hat his property is \nlocated several hundred miles from his residenc e in Austin; that he tried to access his \nproperty via the souther n route several times, but was thwarted by poor road conditions; \nthat the occasions on which he knew that the River Road was pass able from the south \nwere all times that were inconvenient for him to visit; and that it would have taken an \nadditional 7-9 hours of driving on rough terrain to access his property from the north. \nWe are not persuaded that thos e circumstances satisfy the strict standard of showing \nthat the government’s acti on was “inherently unknowable.” As discussed above, a \nlandowner is on inquiry as to open and notorious activities conducted on his property. \nThat principle applies regardl ess of how far the landowner resides from the disputed \nproperty. Thus, it is immaterial whether Mr. Ingrum lived in Austin or New York City, as \nopposed to some closer location such as C andelaria, or that it would have taken him \nlonger to access his property via the passable northern route. “It is fair to charge a \nproperty owner with knowledge of what happens on his land,” so long as those activities \n \n2008-5085 11 are open and notorious. See Catellus , 31 Fed. Cl. at 408; see also Entines v. United \nStates , 39 Fed. Cl. 673, 680 (1997) (“It is important to remember that tolling is not \nappropriate for claims that ar e simply burdensome or inconvenient to discover.”). As \nthe trial court correctly observed in this case, “A property owner is charged with \nknowledge of what happens on his property even if the land is remote and difficult to \naccess.” 81 Fed. Cl. at 667. Because we agree with the tria l court that Mr. Ingrum’s \nclaim was not inherently unknowable when the alleged taking occurred in April 1999, we \nuphold the court’s decision dismissing his claim as time-barred. \nAFFIRMED . " }

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{ "pdf_file": "UHWGINMX7GWQH3ZETPVR2RSLTPQVEYX6.pdf", "text": " \n \nMarch 2010 \nThe Benefits of Health Care Reform \nIn the 2nd Congressional District of Idaho \nCommittee on Energy and Commerce \n \n \nThe U.S. House of Representatives will soon vote on h ealth care reform legisla tion. This legislation will \nmake health care affordable for the middle class, pr ovide security for seniors, and guarantee access to \nhealth insurance for the uninsured – while reducing the federal deficit by over $100 billion over the next \ndecade. This analysis examines the benefits of the legislation in the 2nd Congre ssional District of Idaho, \nwhich is represented by Rep. Michael K. Simpson. \n In Rep. Simpson’s district, the health care reform bill will: \n Improve coverage for 425,000 residents with health insurance. \n Give tax credits and other assistance to up to 191,000 families and 20,100 small businesses to help \nthem afford coverage. \n Improve Medicare for 95,000 beneficiaries, including closing the donut hole. \n Extend coverage to 80,500 uninsured residents. \n Guarantee that 15,900 residents with pre-existing conditions can obtain coverage. \n Protect 1,100 families from bankruptcy due to unaffordable health care costs. \n Allow 67,000 young adults to obtain coverage on their parents’ insurance plans. \n Provide millions of dollars in new funding for 35 community health centers. \n Reduce the cost of uncompensated care for hos pitals and other health care providers by $104 \nmillion annually. \n \nAffordable High-Quality Health Care for the Middle Cla\n ss \n Essential health insurance reforms. Approximately 62% of the distri ct (425,000 residents) receives \nhealth care coverage from an empl oyer or through policies purchased on the individual market. Under the \nlegislation, individuals with insuran ce can keep the coverage they have now, and it will get better. The \ninsurance reforms in the bill prohib it annual and lifetime limits, eliminat e rescissions for individuals who \nbecome ill while insured, ban coverage denials for pre-existing conditions, and reduce the cost of \npreventive care. To rein in soaring insurance costs, the reforms also limit the amount insurance \ncompanies can spend on administrative e xpenses, profits, and other overhead. \n Historic health care tax cuts. Those who do not receive health care coverage through their employer \nwill be able to purchase coverage at group rates through the new health insurance exchange. To make this \ninsurance affordable, the legislati on contains the largest middle-class tax cut for health care in history, \nproviding middle class families with incomes up to $88,000 for a family of four with tax credits to help pay for coverage in the exchange. For a family of four making $50,000, the average tax credit will be \napproximately $5,800. There are 191,000 households in the di strict that coul d qualify for these credits if \nthey purchase health insu rance through the exchange or, in the case of households with incomes below \n133% of poverty, receive coverage through Medicaid. \n \nCoverage for individuals with pre-existing conditions. There are 15,900 uninsured individuals in the \ndistrict who have pre-existing medica l conditions like cancer, heart disease, and diabetes. Under the bill’s \ninsurance reforms, they cannot be denied affordable coverage. \n Financial security for families. There were 1,100 health care-related bankruptcies in the district in 2008, \ncaused primarily by the health care costs not covere d by insurance. The bill caps annual out-of-pocket \ncosts at $6,200 for individuals and $12,400 for families who purchase insurance through the exchange or \nwho are insured by small businesses. It also eliminates annual and lifetime limits on all insurance \ncoverage. These reforms ensure that no family will have to face financial ruin because of high health care \ncosts. \n \nSecurity for Seniors \n \nImproving Medicare. There are 95,000 Medicare beneficiaries in the district. The legislation improves \ntheir benefits by providing free preventive and welln ess care, improving primary and coordinated care, \nand enhancing nursing home care. The bill also strengthens the Medicare Trust Fund, extending its \nsolvency from 2017 to 2026. \n Closing the Part D donut hole. Each year, 9,400 Medicare beneficiarie s in the district enter the Part D \ndonut hole and are forced to pay the full cost of their prescription drugs. Under the bill, these \nbeneficiaries will receive a $250 rebate in 2010, 50 % discounts on brand name drugs beginning in 2011, \nand complete closure of the donut hole within a decad e. A typical beneficiary who enters the donut hole \nwill see savings of over $700 in 2011 and over $3,000 by 2020. \n \nNew Coverage Options for Young Adults\n \n New lower-cost health care options for young adults. The legislation will allow young adults to remain \non their parents’ policies until they turn 26. There are 67,000 young adults in the district who could \nbenefit from this option. For i ndividuals under age 30, the bill creates new, inexpensive policies that \nallow them to obtain protection from catastrophic health care costs. \n \nHelping Small Businesses\n \n \nHelping small businesses obtain health insurance. Under the legislation, small businesses with 100 employees or less will be able to join the health insurance exchange , benefiting from group rates and a \ngreater choice of insurers. There are 21,600 small busine sses in the district that could benefit from this \nprovision. Tax credits for small businesses. Small businesses with 25 employees or less and average wages of less \nthan $50,000 will qualify for tax credits of up to 50% of the costs of providing health insurance. There \nare up to 20,100 small businesses in the district that could qualify fo r these credits. \n \nCovering the Uninsured\n \n Coverage of the uninsured. The legislation would exte nd coverage to 95% of all Americans. If this \nlevel of coverage is reached in the district, 80,500 residents who curre ntly do not have health insurance \nwill receive coverage. \n \nRelieving the burden of uncompensated care. In 2008, health care provider s in the district provided \nuncompensated care to individuals who lacked insurance coverage and were unable to pay their bills. \nUnder the legislation, these costs of uncompensated ca re will be reduced by $104 million. \n Supporting community health centers. There are 35 community health centers in the district that \nprovide health care to the poor a nd medically underserved. Nationwide, the legislation would provide \n$11 billion in new funding for these centers. If the co mmunity health centers in the district receive the \naverage level of support, th e 35 centers will receive $45.5 million in new assistance. \n \nDeficit Responsibility \n \nNo deficit spending. The cost of health care reform under the legi slation is fully paid for, in large part by \neliminating waste, fraud, abuse, and excessive profits for private insurers. The legislation will reduce the deficit by $130 billion over the next ten years, and by about $1.2 trillion over the second decade. \n \n \n This analysis is based upon the fo llowing sources: the U.S. Census (data on insurance rates, small \nbusinesses, and young adult population); the Centers for Medicare and Medica id Services (data on \nMedicare and Part D enrollment); the Department of Health and Human Services (data on health care-\nrelated bankruptcies, uncompensate d care, and pre-existing conditions); the Health Resources and \nServices Administration (data on community hea lth centers); and the Congr essional Budget Office \n(estimates of the percentage of citizens with health insurance co verage under health care reform \nlegislation) . \n " }

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{ "pdf_file": "TH2P4VQM6BSFZ24BKZPPITXPWJVJWF7H.pdf", "text": " \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nAugust 1, 2011 \nOffice of the Comptroller of the Currency \n250 E Street, SW, Mail \nStop 2–3, Washington, DC 20219 \n(Via: regs.comments@occ.treas.gov ) \nJennifer J. Johnson, Secretary \nFederal Reserve Board of Governors 20th Street and Constitution Avenue, NW \nWashington, DC 20551 \n(Via E-mail: regs.comments@federalreserve.gov ) \nRobert E. Feldman, Executive Secretary \nAttention: Comments, Federal Deposit Insurance Corporation 550 17\nth Street, NW \nWashington, DC 20429 (Via E-mail: Comments@FDIC.gov ) \nElizabeth M. Murphy, Secretary Securities and Exchange Commission, \n100 F Street, NE \nWashington, DC 20549–1090 \n(Via E-mail: rule-comments@sec.gov ) \nAlfred M. Pollard, General Counsel, Attention: Comments/RIN 2590–AA43 \nFederal Housing Finance Agency \nFourth Floor, 1700 G Street, NW \nWashington, DC 20552 (Via E-mail: RegComments@fhfa.gov ) \nRE:\t OCC: Docket Number OCC–2011–0002; \nFRB: Docket No. 2011–1411; FDIC: Docket No. RIN 3064–AD74; SEC: Release No. 34–64148; File No. S7–14–11 \nFHFA: RIN 2590–AA43 \nDear Regulators, \nThe Michigan Credit Union League (MCUL) appreciates the opportunity to comment on the \nproposed rule issued by the Office of the Comptroller of the Currency, the Federal Reserve Board, the Federal Deposit Insurance Corporation, the Securities and Exchange Commission, \nand the Federal Housing Finance Agency (collectively, the “Agencies”) to implement the risk \nretention requirements and the definition of a Qualified Residential Mortgage (QRM), as required by the Dodd-Frank Wall Street Reform and Consumer Protection Act’s (Dodd-Frank \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n Office of the Comptroller of the Currency \nBoard of Governors of the Federal Reserve System Federal Deposit Insurance Corporation Securities and Exchange Commission Federal Housing Finance Agency August 1, 2011 Page 2 \nAct). MCUL is a statewide trade association representing 95% of the credit unions located in the \nState of Michigan. \nMCUL understands the necessity to address weaknesses and failures in the securitization \nprocess and the securitization markets in response to the actions of unscrupulous mortgage lenders who originated and sold high-risk, low-quality mortgage products that resulted in high-risk, low-quality mortgage backed securities (MBSs). \nThough the proposed rules were not designed to have a direct impact on the credit union \nindustry, credit unions and their respective members will be negatively impacted by the \ndefinition of a Qualified Residential Mortgage (QRM ), given that QRMs will very likely become \nthe industry standard for mortgage loans sold on the secondary market. As a result, credit unions, especially smaller credit unions, will have to evaluate the burden of compliance costs of \nthis proposal and if excessive, there is a very real likelihood they could cut back on the type and number of mortgage loan products offered, which in turn will have a negative impact on potential \nmortgage loan borrowers. \nMCUL strongly urges the Agencies to withdraw this proposed rule and issue a more reasonable \nframework to address the weaknesses in the securitization process while ensuring that potential \nborrowers have adequate access to mortgage credit. \nTreatment of Government-Sponsored Enterprises (GSEs) \nThe proposed rule would exempt the Federal National Mortgage Association (Fannie Mae) and \nthe Federal Home Loan Mortgage Corporation (Freddie Mac) (collectively, the GSEs) from the \n5% risk retention requirements while each is operating under the conservatorship or receivership of the Federal Housing Finance Agency. \nMCUL is concerned that this provision places the GSEs at an unfair advantage at a time when \nmany in the U.S. Congress are seeking to en courage more private-sector involvement as a \nresult of the poor performance of the GSEs in securitizing high-risk mortgages and purchasing \nhigh-risk MSBs. Given the fact that the proposed rule provides evidence that less than 20% of \nall residential mortgage loans purchased or repackaged by the GSEs from 1997 through 2009 would have met the proposed standards for QRMs, MCUL does not believe that such an exemption would serve to improve the health of the residential mortgage loan industry. \nAdditionally, MCUL believes this exemption and the restrictive definition of a QRM will force \nvirtually all low down payment lending to the Federal Housing Agency (FHA), due to the fact that FHA requires only a 3.5% down payment. This will increase borrower costs, reduce borrower choice, and place non-FHA mortgage loan providers (like many credit unions) at a severe \ndisadvantage. \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n Office of the Comptroller of the Currency \nBoard of Governors of the Federal Reserve System Federal Deposit Insurance Corporation Securities and Exchange Commission Federal Housing Finance Agency August 1, 2011 Page 3 \nQualified Residential Mortgages \nOverall Approach to Defining Qualifying Residential Mortgages \nDespite the fact that the standards of a QRM would be very difficult for many potential \nborrowers to achieve, the Agencies believe that “the amount of non-QRM residential mortgages should be sufficiently large, and include enou gh prudently underwritten loans, so that ABS \nbacked by non-QRM residential mortgages may be routinely issued and purchased by a wide \nvariety of investors.” MCUL believes in order for this to be accurate, the Agencies would have \nto assume that securitizers would be readily willing to comply with the complex risk retention and disclosure requirements under the proposed rule, and that non-FHA QRMs will even remain \nan acceptable option for potential borrowers. MCUL believes that there is a much greater \nincentive to offer QRMs in order to reduce the already overwhelming and ever-increasing \nregulatory burden, which will have a directly negative impact on the availability of mortgage \ncredit, especially for low- to moderate-income consumers. \nIn considering how to determine whether a mortgage is of sufficient credit quality, the Agencies \nexamined data from various sources and reviewed specific aspects of borrowers who defaulted \non their respective mortgages. The Agencies then appeared to take each element that may \nhave contributed to a default and combined them to define the QRM. MCUL believes the definition of a QRM is inconsistent with prudent underwriting practices and the assessment of credit risk that take different criteria into account to determine whether the low-risk factors offset the higher-risk factors. \nBorrower Credit History \nUnder the proposed rule, a borrower could not qualify for a QRM if currently 30 days late, in \nwhole or in part, on any debt obligation; 60 days or more days late on any debt obligation within \nthe preceding 24 months; or, within the past 36 months the borrower had been a debtor in \nbankruptcy, had property repossessed or foreclosed upon, had engaged in a short sale or deed-\nin-lieu of foreclosure, or had been subject to a Federal or State judgment for collection of any unpaid debt. \nWhile much of this criteria is reasonable and generally taken into account by prudent \nunderwriters, there are many legitimate reasons why a consumer would be 30 days late on a \npayment that do not relate to the ability to r epay a mortgage loan or the overall creditworthiness \nof a borrower. Additionally, the proposed rule does not define a “debt obligation.” A late \nmortgage payment might be a good indication of an inability to repay a new mortgage loan, but a late electric bill does not provide sufficient evidence that a borrower is a credit risk on a new mortgage loan. \nMCUL is not as optimistic as the Agencies that non-QRMs would be available for potential \nborrowers, and believes the end result of this provision of the proposal would be that borrowers \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n Office of the Comptroller of the Currency \nBoard of Governors of the Federal Reserve System Federal Deposit Insurance Corporation Securities and Exchange Commission Federal Housing Finance Agency August 1, 2011 Page 4 \nwho had spent years to save for the required 20 % down payment and were inadvertently late on \none payment would be denied mortgage credit. MCUL does not believe this was the intent of \nthe United States Congress when the Dodd-Frank Act was deliberated or passed. \nPayment Terms \nThe proposed rule would prohibit QRMs from havi ng, among other features, payment terms that \nallow interest-only payments, negative amortization, or adjustable-rate mortgages with interest \nrates that do not exceed prescribed limits under the proposal. \nCredit unions mortgage loan portfolios have performed well during the mortgage meltdown due \nto strong underwriting practices and lower-risk mortgage product offerings, even though many of \nthose loans were provided to borrowers who would not have been approved under the proposed \nQRM standards. MCUL strongly supports limiting the availability of high-risk mortgage loan \nfeatures, and believes the focus should be on the types of mortgages that pose the greatest risk to the residential mortgage market rather than placing restrictions on those that do not. \nLoan-to-Value (LTV) Ratio \nFor purchase mortgage transactions, the proposed rule would require an LTV ratio of 80%; 75% \non rate and refinance loans; and 70% for cash-out refinance loans. \nMCUL is concerned that these provisions will have the effect of reducing the number of eligible \nborrowers for mortgage loans, and will prevent the refinancing of loans that are in the best \ninterest of many homeowners. \nMCUL urges the Agencies to re-examine these proposed provisions in order to further study the \nimpact of private mortgage insurance on loans with higher LTV ratios, given that such insurers may be willing to accept the risks of default. \nDown Payment \nThe proposed rule would require borrowers to provide a 20% down payment (plus costs) in \norder to qualify for a QRM. MCUL believes this requirement is harsh and will likely force \notherwise qualified borrowers, who could afford to make monthly mortgage payments with some \nsmaller amount of down payment, or a combinat ion of a smaller amount of down payment and \nPMI, out of the mortgage market for decades. Low-to-moderate income consumers would very \nlikely lose the opportunity to achieve t he dream of home ownership permanently. \nThe Agencies appear to have recognized this fact in its footnoted statement that “while many \ncreditworthy homebuyers seeking to purchas e a home will likely not have the 20% down \npayment required for a QRM, sound underwriting of these loans may well require the prudent \nuse of judgment about the borrower’s ability to repay the loan and other risk mitigants that are \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n Office of the Comptroller of the Currency \nBoard of Governors of the Federal Reserve System Federal Deposit Insurance Corporation Securities and Exchange Commission Federal Housing Finance Agency August 1, 2011 Page 5 \nlikely to change over time and vary from borrower to borrower.” MCUL agrees with this \nstatement, and does not believe this provision of the proposed rule represents the intention of \nthe U.S. Congress when deliberating and passing the Dodd-Frank Act. MCUL strongly urges \nthe Agencies to reconsider its position to require borrowers to put 20% down on a home in order to qualify for a QRM. \nThe proposed rule would not consider the risk mitigation effects of mortgage guarantee \ninsurance or other credit enhancements obtained at the time of origination, as the Agencies \n“have not identified studies or historical loan performance data adequately demonstrating that \nmortgages with such credit enhancements are less likely to default than other mortgages.” \nMCUL urges the Agencies to reconsider this position. Borrowers that do not have a 20% down \npayment, but otherwise meet responsible underwriting criteria, receive a valuable benefit from \nmortgage guarantee insurance. Without it, borrowers would either be confronted with having to \npay exponentially more to obtain a mortgage loan, or be prevented from obtaining home ownership status for a much longer period of time in order to save enough money for a down payment. MCUL respectfully submits that while there does not appear to be any evidence to suggest that mortgages with mortgage guarantee insurance or other credit enhancements are \nless likely to default than other mortgages, there is no evidence to suggest that mortgages with \nthese additional products are any more likely to default than mortgages without them. \nQualifying Appraisal \nA QRM would be required to be supported by a written appraisal that conforms to generally \naccepted appraisal standards, as evidenced by the Uniform Standards of Professional Appraisal \nPractice, the appraisal requirements of the Federal banking agencies, and applicable laws. \nMCUL supports this provision as part of the definition of a QRM. Ability to Repay \nThe rule proposes a front-end debt-to-income (DTI) ratio limit of 28% and a back-end ratio limit \nof 36%. For purposes of calculating these proposed ratios, the proposal would require originators to use the borrower’s monthly gross income, as determined in accordance with the \neffective income standards set forth in the HUD Handbook, which have been incorporated into \nthe Additional QRM Standards Appendix to the proposed rules. \nWhile MCUL believes that DTI ratios are an appropriate risk indicator for residential mortgages, \nthe proposal would require this ratio to be viewed in isolation. MCUL believes the proposed back-end DTI of 36% is overly restrictive and shoul d be relaxed so long as low-risk mitigating \nfactors are also present in the underwriting process. MCUL urges the Agencies to amend these provisions in order to prevent otherwise credi tworthy borrowers from obtaining home ownership. \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n Office of the Comptroller of the Currency \nBoard of Governors of the Federal Reserve System Federal Deposit Insurance Corporation Securities and Exchange Commission Federal Housing Finance Agency August 1, 2011 Page 6 \nPoints and Fees \nUnder the proposal, in order for a mortgage to qualify as a QRM, the total points and fees \npayable by the borrower in connection with the mortgage transaction shall not exceed 3% of the \ntotal loan amount, which would be calculated in the same manner as in Regulation Z. MCUL does not see the correlation between higher points and fees and mortgage default, and urges the Agencies to remove these criteria from the definition of a QRM. \nAssumability Prohibition \nUnder the proposed rules, a QRM could not be assumable by any person who was not a \nborrower under the original mortgage transaction. \nMany home owners have taken advantage of the lo w-rate market by refinancing their existing \nmortgages for lower rate options. In a rising interest rate market, potential borrowers may \nchoose to assume an existing low-rate mortgage rather than seeking a higher mortgage loan amount with a higher interest rate. Provided the purchaser otherwise met the criteria of a QRM-qualified borrower, MCUL does not see the risk that an assumed mortgage would pose. MCUL \nurges the Agencies to reconsider this provision of the proposed rule. \nConclusion \nWhile MCUL appreciates the difficult task the Agencies were charged with in order to mitigate \nrisk in the mortgage market, MCUL believes this proposed rule will end up harming the still \nfragile residential mortgage industry the rule was designed to protect, as the number of eligible \nborrowers and the availability of attainable mortgage credit would be severely reduced. \nMCUL supports aspects of the proposed rule that focus on the types of high-risk, exotic \nmortgage products that were packaged into high-risk MSBs that the Dodd-Frank Act was \ndesigned to limit. MCUL strongly urges the Agencies to focus on mortgages that pose the \ngreatest risk to the residential mortgage market rather than broadly restricting those that do not when crafting a definition of a QRM. \nMCUL appreciates the opportunity to comment. \nSincerely, \nVP Regulatory Affairs \nMichigan Credit Union League " }

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{ "pdf_file": "EI4NKIFHUUATUUEER4SDXP6EZNJK7GQH.pdf", "text": "National Small Business Association Names Braley Small Business Star\nRep. Bruce Braley (D-Iowa) was named one of the 2008 Small Business Stars by the National Small Business\nAssociation (NSBA) earlier this week.  The NSBA chose four House members as Small Business Stars based on their\nstrong dedication to the small business community and their leadership on issues important to small businesses.  \r\n\r\nWashington, DC - Rep. Bruce Braley (D-Iowa) was named one of the 2008 Small Business Stars by the National Small\nBusiness Association (NSBA) earlier this week.  The NSBA chose four House members as Small Business Stars based\non their strong dedication to the small business community and their leadership on issues important to small businesses.  \r\n\r\n\r\n\"I'm honored to be recognized by the National Small Business Association during my first term in Congress,\" Braley said. \n\"I'm proud that my first bill to pass in the House was one to help small businesses compete.  Small businesses are the\nbackbone of Iowa's economy, and I will continue working to ensure that small businesses have the resources they need\nto grow.\"  \r\n\r\n\r\nLast year, Braley introduced and passed the Small Business Fairness in Contracting Act, which would help small\nbusinesses compete for government contracts.  Braley also introduced and passed the Plain Language Act, which would\nmake government documents easier to understand.  Braley is Chairman of the House Small Business Subcommittee on\nContracting and Technology.  \r\n\r\n\r\nMore information about the National Small Business Association's 2008 Small Business Stars can be found here.\r\n\r\nThe Online Office of Congressman Bruce Braley\nhttp://www.braley.house.gov Powered by Joomla! Generated: 3 January, 2009, 04:07" }

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{ "pdf_file": "6C4F5OS4HOEBDQEKSVUX42XOMOJG3BNW.pdf", "text": "August 5, 2013 \n \n \nEast Building, PHH-30 \nU.S. Department 1200 New Jersey Avenue S.E. \nof Transportation Washington, D.C. 20590 \n \nPipeline and Hazardous \nMaterials Safety Administration \n \n DOT-SP 13544 \n(FIFTH REVISION) \n \n (FOR RENEWAL, SEE 49 CFR § 107.109) \n \n1. GRANTEE: (See individual authorization letter) \n \n2. PURPOSE AND LIMITATIONS: \n \na. This special permit authorizes the transportati on in \ncommerce of DOT Specification 4BA240 cylinders cont aining \nliquefied petroleum gas (LPG) and/or residue of LPG without \nhazard warning labels when transported by a motor v ehicle \nthat is placarded. This special permit provides no relief \nfrom the Hazardous Materials Regulations (HMR) othe r than as \nspecifically stated herein. The most recent revisio n \nsupersedes all previous revisions. \n \nb. The safety analyses performed in development of this \nspecial permit only considered the hazards and risk s \nassociated with transportation in commerce. The sa fety \nanalyses did not consider the hazards and risks ass ociated \nwith consumer use, use as a component of a transpor t vehicle \nor other device, or other uses not associated with \ntransportation in commerce. \n \nc. Unless otherwise stated herein, this special p ermit \nconsists of the special permit authorization letter issued \nto the grantee together with this document. \n \n3. REGULATORY SYSTEM AFFECTED: 49 CFR Parts 106, 1 07 and 171- \n180. \n \n4. REGULATIONS FROM WHICH EXEMPTED: 49 CFR § 172.3 01(a) in \nthat the proper shipping name and identification nu mber need \nnot be marked on each package, § 172.301(c) in that marking \nof the special permit number on each package is not required \nand § 172.401 in that each cylinder must be labeled , except \nas provided herein. \n Continuation of DOT-SP 13544 (5 th Rev.) Page 2 \nAugust 5, 2013 \n \n5. BASIS: This special permit is based on the appl ication of \nCarlson Logistics dated March 7, 2013 and additiona l \ninformation dated July 23, 2013, submitted in accor dance \nwith § 107.105 and the public proceeding thereon. \n \n6. HAZARDOUS MATERIALS (49 CFR § 172.101): \n \nHazardous Materials Description \nProper Shipping Name Hazard \nClass/ \nDivision Identi-\nfication \nNumber Packing \nGroup \nLiquefied petroleum gas 2.1 UN1075 N/A \nPropane 2.1 UN1978 N/A \n \n7. SAFETY CONTROL MEASURES: \n \na. PACKAGING – Prescribed packagings are DOT Spec ification \n4BA240 steel cylinders. \n \nb. OPERATIONAL CONTROLS: \n \n(1) The cylinders must be transported on a motor \nvehicle that is placarded with “FLAMMABLE GAS” \nplacards. \n \n(2) Shipping papers must reflect a correct current \naccounting of all cylinders both full and expended. \n \n(3) Cylinders must be secured in the vehicle in \naccordance with § 177.834(a). \n \n8. SPECIAL PROVISIONS: A current copy of this spec ial permit \nmust be maintained at each facility where the packa ge is \noffered for transportation. \n \n9. MODES OF TRANSPORTATION AUTHORIZED: Motor vehic le. \n \n10. MODAL REQUIREMENTS: None as a requirement of this special \npermit. Continuation of DOT-SP 13544 (5 th Rev.) Page 3 \nAugust 5, 2013 \n \n \n \n \n11. COMPLIANCE: Failure by a person to comply with any of the \nfollowing may result in suspension or revocation of this \nspecial permit and penalties prescribed by the Fede ral \nhazardous materials transportation law, 49 U.S.C. 5 101 et \nseq: \n \no All terms and conditions prescribed in this speci al \npermit and the Hazardous Materials Regulations, Par ts \n171-180. \n \no Persons operating under the terms of this special \npermit must comply with the security plan requireme nt \nin Subpart I of Part 172 of the HMR, when applicabl e. \n \no Registration required by § 107.601 et seq., when \napplicable. \n \nEach “Hazmat employee”, as defined in § 171.8, who performs \na function subject to this special permit must rece ive \ntraining on the requirements and conditions of this special \npermit in addition to the training required by §§ 1 72.700 \nthrough 172.704. \n \nNo person may use or apply this special permit, inc luding \ndisplay of its number, when the special permit has expired \nor is otherwise no longer in effect. \n \nUnder Title VII of the Safe, Accountable, Flexible, \nEfficient Transportation Equity Act: A Legacy for U sers \n(SAFETEA-LU)- 'The Hazardous Materials Safety and S ecurity \nReauthorization Act of 2005' (Pub. L. 109-59), 119 Stat. \n1144 (August 10, 2005), amended the Federal hazardo us \nmaterials transportation law by changing the term \n“exemption” to “special permit” and authorizes a sp ecial \npermit to be granted up to two years for new specia l permits \nand up to four years for renewals. Continuation of DOT-SP 13544 (5 th Rev.) Page 4 \nAugust 5, 2013 \n \n12. REPORTING REQUIREMENTS: Shipments or operation s conducted \nunder this special permit are subject to the Hazard ous \nMaterials Incident Reporting requirements specified in 49 \nCFR §§ 171.15 - Immediate notice of certain hazardo us \nmaterials incidents, and 171.16 - Detailed hazardou s \nmaterials incident reports. In addition, the grant ee(s) of \nthis special permit must notify the Associate Admin istrator \nfor Hazardous Materials Safety in writing, of any i ncident \ninvolving a package, shipment or operation conducte d under \nterms of this special permit. \n \nIssued in Washington, D.C. \n \nfor Dr. Magdy El-Sibaie \nAssociate Administrator for Hazardous Materials Saf ety \n \nAddress all inquiries to: Associate Administrator for Hazardous \nMaterials Safety, Pipeline and Hazardous Materials Safety \nAdministration, Department of Transportation, Washi ngton, D.C. \n20590. Attention: PHH-31. \n \nCopies of this special permit may be obtained by ac cessing the \nHazardous Materials Safety Homepage at \nhttp://hazmat.dot.gov/sp_app/special_permits/spec_p erm_index.htm \nPhoto reproductions and legible reductions of this special permit \nare permitted. Any alteration of this special perm it is \nprohibited. \n \nPO: bmoore " }

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{ "pdf_file": "MG64TNXHW4FTW3UTMAX6PXK5AZ5MMO5X.pdf", "text": "Trusting Spirit Rescues Horses, aided by South Douglas CDTuesday, 04 March 2008\n\r\n\r\nAbandoned horses in Douglas County have a friend, or, as some might say, a guardian angel, in the form of Claudia\nTrapp, of Orondo, Washington. Claudia has created Trusting Spirit Horse Rescue, a non-profit organization aimed at\ncaring for neglected and unwanted horses.\r\n\r\n\r\nShe currently has 24 horses at her farm in Orondo, many who came from one owner who could no longer care for them.\r\nClaudia and other volunteers nurse the horses back to health and then seek good matches for those ready to move on to\na new home.\r\n\r\n\r\nTo meet the need for a horse rescue in North Central Washington, Claudia and her husband, Larry, removed orchard\ntrees that were no longer productive, and used\r\nthe space to begin developing corrals and shelters.\r\nMuch of the work is done by volunteers who care for the horses, help build lean-tos, and provide compassionate human\ncontact for these neglected animals.\r\n\r\n\r\nA great partner for Trusting Spirit is the South Douglas Conservation District.\r\nThis coming spring, the South Douglas Conservation District will provide technical assistance and cost-share funds to\nhelp Claudia renovate and seed her pasture, cross fence for better pasture management, change from orchard hand\nlines to pastureland irrigation, plant a windbreak, and develop a livestock confinement area.\r\nLike all 47 conservation districts in Washington State, the South Douglas Conservation District assists private\nlandowners with their voluntary conservation projects.\r\n\r\n\r\nTo find out more about Trusting Spirit Horse Rescue, visit http://trustingspirithorserescue.com/index.html.\r\nIndividuals can help with horse rescue in a number of ways. Donations of feed, medical supplies, barn and building\nsupplies, and more\r\nare needed. All donations to Trusting Spirit Horse Rescue are fully tax deductible.\r\n\r\nWashington State Conservation Commission\nhttp://www.scc.wa.gov Powered by Joomla! Generated: 26 February, 2010, 10:12" }

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{ "pdf_file": "TPJL5GXHWWVZZWPULJLNK4V6MDEOHQDQ.pdf", "text": " BPR 10-1, 1964xxiv\nBioengineering methods of wheelchair evaluation\nEdward PEizEr, Phd; donald wright, MEd; howard FrEibErgEr, aM\nthe Veterans Administration \nundertakes the responsibility for evaluation of a variety of \northopedic devices such as braces, \nartificial limbs, wheelchairs, and pa -\ntient lifts. Its primary purpose is to provide an intelligent basis for selec-\ntion, procurement, and application of those devices which can be of great-\nest benefit to disabled veterans. This \nprogram also serves to guide the manufacturers of orthopedic devices \nalong lines of development that are \nof particular interest to the Veter-ans Administration. The evaluation \nmay therefore range from analysis \nof the design and materials to a full-\nscale biomechanical analysis in the \nlaboratory, as well as a field study in several hospitals and clinics around \nthe country. Laboratory studies are \ngenerally delegated to the VAPC Bio-\nengineering Laboratory, and field \nstudies are usually conducted by the Prosthetic and Sensory Aids Service.\nOrthopedic braces and artificial \nlimbs for both the upper and lower extremities have been the subject of \nevaluation programs for many years, \nand relatively useful methods and \ntechniques have been evolved. The \nparameters which provide the most useful assessment of these devices \nare fairly well established. In addi -\ntion, there exists a body of basic data \non normal human locomotion from which useful criteria for evaluating \nperformance can be drawn.\nA somewhat different situation \nprevails in an approach to the evalu -\nation of such items as lift aids and wheelchairs since there is available \nlittle basic information about their \nperformance factors. Such stand -\nards as do exist are descriptive in \nnature and relate primarily to dimen -\nsions and materials of the devices. A \nmeaningful evaluation, however, de-\npends on tests not only of hardware \nbut also of the human factors that enter into efficient use.\nTo provide a basis for an adequate \nassessment of orthopedic lift aids and wheelchairs, there has evolved \nin the Bioengineering Laboratory an \nevaluation program that takes into account the man-machine combi -\nnation that is both descriptive and functional. This program consists of specifically designed test procedures \nto provide information on:\n1. Analysis of mechanical design, \n adequacy of materials, and \n durability.\n2. Convenience and ease of operation.\n3. Patient acceptability in relation \n to appearance, utiliztion in the \n home, and the availability of \n other similar devices.\n4. Stability and safety.\n5. Force and energy requirements.\nA careful analysis of the design \nof an orthopedic device illustrates \nthe extent to which the fundamen -tal idea or purpose has been trans -\nlated into appropriate mechanical \nfeatures. A consideration of the me-chanical design in relation to all as-pects of the intended application fre-\nquently discloses serious limitations. \nIn designing an orthopedic lift for extreme stability, for example, one developer failed to realize that the broad base of support was a grave handicap in confined areas where lifts are frequently used. Materials used in an apparatus strongly influ -\nence comfort, safety, and durability. These features are assessed in the light of good design principles and on \nthe basis of some standards which, \nalthough not entirely adequate, can be usefully applied. Durability is fre-quently determined by means of cy -\ncling tests.\nConvenience and ease of opera -\ntion are not only important consid -\nerations for the therapist who may use the devices, but they are espe-cially critical factors for the patients of limited strength and mobility who \nmust operate them. Use tests are \ndevised to assess these matters. In some cases, observation of several appropriately selected patients may suffice; in other cases, longer-term hospital use may provide the basis for judgment.\nTo continue reading, please visit\nhttp://www.rehab.research.va.gov/jour/64/1/1/77.pdf\n xxv\nVolume 50 • Number 2 • 2013commentary on Bioengineering of wheelchairs: the past 50 years\nrory a . CooPEr, Phd\nit was a pleasure to become re-\nacquainted with the landmark article “Bioengineering meth-\nods of wheelchair evaluation” by \nPeizer et al. from the 1964 Bulletin of Prosthetics Research . As is to be \nexpected, in some areas, there have been tremendous advances since the article was written and, in others, our understanding remains limited. Probably the three most profound aspects of the Peizer et al. article are that (1) much of the wheelchair en-gineering research at the time could be summarized in a single article, \n(2) the Department of Veterans Affairs Prosthetics Center was on the lead -\ning edge of multidisciplinary team research, and (3) far fewer people were conducting wheelchair-related research. The breadth of the research described by Peizer et al. is remark -\nable for its time, but the depth of the knowledge was much less than we know today.\nMost would agree that the greatest \nchanges that have taken place over the past 50 years are in the areas of ability to image the upper limbs; bio -\nmechanics (kinematics, especially kinetics) of wheelchair propulsion and transfers; design of wheelchairs from the materials, electronics, soft-ware, and fabrication to the style; and human-to-wheelchair interfaces for both manual and power chairs. The most profound difference is that \nthe wheelchairs of today are vastly superior to the wheelchairs of 50 years ago. At the time of publica -\ntion of Peizer et al.’s article, there was one dominant manufacturer and very few options to include sizes. People could literally memorize the entire catalog. Today, there are more than 100 companies and thousands \nof models with literally hundreds of \nthousands of options.\nManual wheelchairs are much \nlighter, efficient, ergonomic, and so-cially acceptable. A growing number of clinicians understand the need for \nmatching the design and configura -\ntion closely to the needs and abilities \nof the user. Electric powered wheel-chairs (EPWs) share very little in com-mon with their ancestors of 50 years ago. EPWs today have computer- \noperated interfaces and power con -\ntrols that were unthinkable at that time. Further, the EPW seat and chas-sis systems have been separated to be more like a car than a “wheeled chair.” EPW chassis often have inde -\npendent suspension, and seats can range from simple “captain chairs” \nto fully articulated with power eleva -\ntion, leg-rest angle, tilt, and recline. \nFifty years ago, sports wheelchairs (e.g., racing, rugby, basketball, and hand-cycling) did not exist. Athletes competed in essentially the same chairs that they used everyday. Now, \nnearly every adaptive sport uses cus -\ntom-designed wheelchairs and ath-letic performances are astoundingly \nbetter than 50 years ago. People \nwho use wheelchairs are healthier and live longer because science has \nled to better understanding of the \nbenefits of exercise, adaptive sports \nand recreation, nutrition, smoking \ncessation, upper-limb preservation, pressure ulcer prevention, and skills \ntraining.\nA number of barriers still remain. \nAlthough international wheelchair standards exist, they are seldom \nused in decision making or uniformly applied, leading to high variability \nin the quality, efficacy, and safety of \nwheelchairs. Reimbursement poli -\ncies still vary widely, and the majority of insurers still severely limit access to appropriate quality and function -\ning wheelchairs. There remain mil -\nlions of people without access to wheelchairs or the ability to operate \ncurrent wheelchairs. There remains \nmuch to be learned about designing \noptimal wheelchairs, preventing sec-\nondary conditions, matching wheel-chairs to user needs, evaluating the \ninteraction of wheelchairs with the \nbuilt environment, and infusing that \nknowledge into user and clinical \ncommunities.\nhttp://dx.doi.org/10.1682/JRRD.2013.02.0031\n" }

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{ "pdf_file": "HTWW3AUIV4LKXIRLIDXBWQG76WEUG26H.pdf", "text": "Printed: 9/30/2010\n37994 \n SMIRNOFF 375.00 $8.9538006 SMIRNOFF 750.00 $15.9538008 SMIRNOFFTRAVELER\n 1.75 \n $29.9537996 SMIRNOFF 750.00 $15.9537998 SMIRNOFF\n 1.75 \n $29.9537998 SMIRNOFF\n 1.75 \n $29.9539868 SMIRNOFF(ROUNDBOTTLE)\n 1.75 \n $39.9539864 \nSMIRNOFF(ROUNDBOTTLE)\n 375.00 \n $10.9539866 \nSMIRNOFF(ROUNDBOTTLE) 750.00 $19.9541806 SMIRNOFFVANILLATWISTFLAVOREDVODKA 750.00 $15.9541805 \nSMIRNOFFVANILLATWISTFLAVOREDVODKA 1.75 $29.9541796 \nSMIRNOFFRASPBERRYTWISTFLAVOREDVODKA 750.00 $15.9541798 \nSMIRNOFFRASPBERRYTWISTFLAVOREDVODKA 1.75 $29.95\n40992 \nSmirnoffTwistofMelonVodka 750.00 $15.9540997 SmirnoffTwistofPomegranateVodka 750.00 $15.9540946 \nSMIRNOFFWATERMELONTWISTFLAVOREDVODKA 750.00 $15.9541592 \nSmirnoffTwistofLimeFlavoredVodka 750.00 $15.9540976 SmirnoffTwistBlackCherryVodka 750.00 $15.9540956 \nSMIRNOFFSTRAWBERRYTWISTFLAVOREDVODKA 750.00 $15.9541715 \nSMIRNOFFCRANBERRYTWISTFLAVOREDVODKA 750.00 $15.9540917 \nSmirnoffPineappleTwistVodka 750.00 $15.9541922 \nSMIRNOFFPEACHVODKA 750.00 $15.9541932 \nSMIRNOFFMANGOVODKA\n750.00 \n $15.9541000 SmirnoffPearTwistVodka 750.00 $15.95 41786 \nSMIRNOFFORANGETWISTVODKA 750.00 $15.9541788 \nSMIRNOFFORANGETWISTVODKA 1.75 $29.95\n41745 \nSMIRNOFFCITRUSTWISTVODKA 375.00 $8.9541746 \nSMIRNOFFCITRUSTWISTVODKA 750.00 $15.9541719 SMIRNOFFAPPLETWIST 750.00 $15.9540939 SMIRNOFFTWISTOFPASSIONFRUITFLAVOREDVODKA 750.00 $15.9540986 \nSmirnoffTwistofBlueberryVodka 750.00 $15.9540930 \nSMIRNOFFTWISTOFWHITEGRAPEFLAVOREDVODKA 750.00 $15.9540912 \nSmirnoffBlue &BoldDarkRoastedEspressoVodka, 750.00 $19.9538169\n 360\nVodka\n750.0\n0\n$19.9\n5\n34366 \n FRIS80SKANDIAVODKADENMARK\n750.00 \n $11.9534075 FRISGRAPEFLAVOREDVODKA\n750.00 \n $11.9541938 360MANDARINORANGEVODKA\n750.00 \n $19.95\n34072 FRISCHERRYFLAVOREDVODKA\n750.00 \n $11.9541019 360DOUBLECHOCOLATEVODKA\n750.00 \n $19.95\n34023 \n FRISBLUEBERRYFLAVOREDVODKA 750.00 $11.9541467 \n 360SORRENTOLEMONFLAVOREDVODKA 750.00 $19.95\n36184 \nGORDON'S\n375.00 \n $6.9541943 \n 360GEORGEPEACHFLAVOREDVODKA 750.00 $19.95\n36196 \nGORDON'S\n 750.00 \n $11.9534935 \n THREEOLIVESVODKAIMPORTEDFROMENGLAND\n 750.00 \n $19.95\n36186 \nGORDON'S\n 750.00 \n $11.9534919 THREEOLIVESVODKAIMPORTEDFROMENGLAND-1.75LTR 1.75 $39.95\n36188 GORDON'S\n 1.75 \n $24.9535549 \nTHREEOLIVESRANGTANGVODKA\n750.00 \n $19.95\n41420 \nGORDONSCITRUS\n 750.00 \n $11.9535637 \nTHREEOLIVESPURPLEVODKA\n750.00 \n $19.95\n35414 \nBURNETT'S\n375.00 $6.4534972 \nTHREEOLIVESCHERRY\n750.00$19.9534930 \n THREEOLIVESCHERRY\n 1.75 \n $39.95\n35410 \nBurnett'sVodkaTraveler\n 750.00 \n $12.4535416 \nBURNETT'S\n 750.00 \n $12.4534968 \nTHREEOLIVESCHOCOLATEFLAVOREDVODKA\n750.00 \n $19.9534886 \nThreeOlivesBerryFlavoredVodka\n750.00$19.95\n35418 \nBURNETT'S\n 1.75 \n $24.9535234 ThreeOlivesRootBeerVodka,\n750.00$19.95\n41280 \nBurnett’sUltraBlueRaspberryVodka 750.00 $11.9535047 \nThreeOlivesWatermelon\n750.00$19.95\n41306 \nBURNETT'SSOURAPPLEVODKA\n 750.00 \n $12.4535039 \nThreeOlivesPomegranateVodka\n750.00$19.95\n41326 \nBURNETT'SCITRUSVODKA 750.00 $12.4535147 \n ThreeOlivesMangoFlavoredVodka 750.00 $19.95\n41336 \nBURNETT'SORANGEVODKA 750.00 $12.4534995 \nThreeOlivesGrapeFlavoredVodka\n750.00$19.95\n36934 \nMONARCH\n375.00 \n $5.7536940 \n MONARCH 750.00 $10.7536936 MONARCH\n750.00$10.7536938 \nMONARCH\n 1.75 \n $23.1539454 MONARCH\n375.00 $6.4039456 \nMONARCH\n750.00$11.8539458 \nMONARCH\n 1.75 \n $25.8541576 \nMONARCHCITRONFLAVOREDVODKA\n750.00 \n $10.7537938 \n SKOL 1.75 $21.95 38154 \nTHREESTAR 375.00 $5.3538156 \nTHREESTAR 750.00\n$10.1538158 \n THREESTAR 1.75 $22.5536904 MCCORMICK\n375.00 $5.4536886 \nMCCORMICK\n750.00$10.1536908 \nMCCORMICK\n 1.75 \n $22.8037666 ROYALHUSSAR\n750.00$10.10NEW NEW NEW NEW NEW NEW NEW\nNEW NEW NEWRural Vodka Shelves 1-2" }

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{ "pdf_file": "EE7766LOROEVENPPH5YSSIV3Q63HP5TN.pdf", "text": "Paso Post Office Should Honor Our Troops\n \nATASCADERO, CA – Today, in response to the Paso Robles Post Office’s removal of pictures\ncommemorating our troops bravely serving abroad, Congressman McCarthy issued the\nfollowing statement:\n \n“Supporting our local heroes’ bravery and sacrifice is common sense.  That is why I am troubled\nwith the Paso Robles Post Office’s removal of pictures honoring the sacrifice of our brave men\nand women serving in the Armed Services.  I am in contact with the Postal Service to get a\nclear answer of why this happened and determine what actions can be taken.”\n \n###\n 1 / 1" }

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{ "pdf_file": "2WE4HZPD57KVPL4RQKCB4PUG42SQ2RMJ.pdf", "text": "Published by the New Mexico Natural Resources Conservation Service - U.S. Department of Agriculture Summer 2003\nHugh Hammond Bennett (right), first\nChief of the Soil Conservation Service.natural resources\nREPORTER\nNRCS Responds to Drought in New Mexico\nFarm Bill EQIP Funds Devoted to Drought Related Practices\n NRCS has championed conser-\nvation in New Mexico by devotingmore than 80 percent of its Farm BillEnvironmental Quality IncentiveProgram (EQIP) funds since 1996to drought related practices. Sincethat time, NRCS has received$30,883,345 for its EQIP program,and entered into 2,225 contractswith New Mexico farmers andranchers for conservation improve-ments. Some 7,625,990 acres of NewMexico farm and ranch land hasbenefited from these conservationpractices, or 13 percent of allprivate land in the state. Of critical importance, in a statewhere water and irrigation are soessential, over 300,000 of irrigationimprovements have been madethrough EQIP since 1996. Viewedanother way, NRCS has invested$12,389,799 to improve irrigationsystems, accounting for 40 percentof all EQIP funds. This investmenthas resulted in installation of 364sprinkler systems, 600 miles ofpipeline and concrete ditches, andland leveling on 571 projects. All of\nthis investment has helped NewMexicans save precious water whileraising the agriculture products uponwhich this nation depends. Seventeen percent of the FarmBill funds in New Mexico have goneto livestock water development,amounting to an investment of$5,098,856. With these funds,ranchers have installed 450 wells,1,179 miles of pipeline, and 1,314watering tanks. Another $6,632,204 has beenexpended to alleviate brush thatsucks water from the state’s range-lands. Ranchers have treated363,996 acres for brush, andaccounted for 21 percent of thestate’s total EQIP funds to do this. Polls have shown that water isone of New Mexico’s top issues. Itcontinues to garner much attentionthroughout the state. NRCS’sresponse to the drought in NewMexico has been multifaceted andextensive. From irrigated crop landsto range lands, the NRCS responsehas been felt.\nDrought in Las Vegas, New Mexico - Spring 2003 Natural Resources Reporter\n( 2 )Natural Resources Reporter\nPermission is hereby granted to reprint all or any portion of this\npublication. Credit to NRCS is requested for any material reprinted.Barbara Garrett, Editor - Albuquerque (505)761-4406\nThe U.S. Department of Agriculture (USDA) prohibits discrimination\nin all its programs and activities on the basis of race, color, nationalorigin, sex, religion, age, disability, political beliefs, sexual orientationor martial or family status. (Not all prohibited basis apply to allprograms.) Persons with disabilities who require alternative meansfor communication of program information (Braille, large print,audiotape, etc.) should contact USDA’s TARGET Center at(202)720-2600 (voice and TDD). To file a complaint of discrimina-tion, write USDA, Director, Office of Civil Rights, Room 326-2,Whitten Building, 1400 Independence Avenue, SW, Washington D.C.20250-9410 or call (202)720-5964 (voice and TDD). USDA is anequal opportunity provider and employer.\nPublished product contains recycled materials\n2002 Farm Bill Celebrates First AnniversaryMuch More Is To Come\nRosendo Trevino III\nState Conservationist\n May 13, 2003 marked the\nfirst anniversary of the 2002Farm Bill. The 2002 Farm Billhas already invested$6,267,457 in 151 projects inNew Mexico, and much moreis to come. As NRCS Chief Bruce I.Knight said, “This is ... a greattime to thank the landownerswho have and will participate,to thank NRCS personnel,conservation districts, agricul-\ntural organizations, wildlife organizations, environmentalorganizations and all others who are all working tooptimize the opportunities before us.” Chief Knight said another thing that gets to the core ofthe magnitude of this legislation. He said, “Most agricultural producers can’t quote the600-page 2002 Farm Bill by line and verse. But theyknow one thing: It’s helping them become better stew-ards. By this time next year, tens of thousands of addi-tional farmers and ranchers will be receiving the assistancethey need to conserve, maintain and improve our soil, air,water, and plant resources. That’s because the Farm Bill\nprovides an unprecedented investment in conservation -ranging from the Wetlands Reserve Program, to theEnvironmental Quality Improvement Program, to theWildlife Habitat Incentives Program, all of which buildupon our base Conservation Technical Assistance pro-grams.” The 2002 Farm Bill is a very positive step in thestewardship of our treasured New Mexican land, water,wildlife, and other natural resources. It is always encour-aging to me as I travel this state to meet and know NewMexicans who can envision the positive, even duringtough times. In my experience it is those who see thepositive and strive for it that really help us progress in thefield of natural resources. While NRCS is making great strides with the FarmBill, our partners are setting precedents that other statesare watching. Conservation Districts are realizing majoraccomplishments with their salt cedar projects. Inaddition, the New Mexico State Legislature appropriatedsignificant funding for technical assistance through the Soiland Water Conservation Commission. I, also, want to take this opportunity to recognizesome personal achievements of our partners. DebbieHughes, executive director of the New Mexico Associa-tion of Conservation Districts, was recently honored byCongresswoman Heather Wilson as an outstanding leaderat Women’s History Month Recognition in Albuquerque.And Levi Newkirk, New Mexico’s High School YouthForum winner, placed second at the International HighSchool Forum sponsored by the Society for RangeManagement. The High School Youth Forum judgesstudent papers that address any aspect of range manage-ment. It is with deep appreciation that I live and work in astate with such doers. Thank you, New Mexico, for agood year and the opportunity to be of service to you. Natural Resources Reporter\n( 3 )\nTeams work to Improve Forest Health\nby Duston L. Hunt Jr.\n Recently the smoke from five\ncontrolled burns could be seen nearSilver City. These burns were con-ducted to reduce the threat of danger-ous wild fire, improve wildlife habitat,and improve watershed conditions.Though the reason for these burnswas the same, the process required toconduct them was different. Usually the Forest Service ad-dresses forest health issues on forestland with their own dollars and theirown personnel. Two of the recentburns, however, were collaborativeefforts made possible by a Memoran-dum of Understanding between GrantSoil & Water Conservation Districtand the Gila National Forest. Grant SWCD recognizes that thehazards created by 80 years of firecontrol are just as real on private andstate land as they are on the NationalForest. Roughly 50 percent of theland in Grant County is private orstate owned, and 50 percent isfederal. These different lands arerandomly intermingled. It doesn’tmake much sense to address thewildlife and watershed problems onone side of the fence if you can’t fixthem on the other side. Thanks to theMOU and a grant from the Environ-mental Protection Agency the foresthealth of the Mangas Creek water-shed is being addressed in a compre-hensive manner. First efforts to implement what isknown as the Mangas Water QualityProject were represented by theSchoolhouse and Cain prescribed\nburns. The 5,000-acre Schoolhouseburn was conducted by ForestService fire managers on ForestService land with the Grant SWCDconstructing numerous erosion controlstructures within the burn area. Thesestructures will begin the process ofhealing gullies. The 500-acre Cainburn was conducted entirely onprivate land and truly represents acooperative effort. The NaturalResources Conservation Service didthe initial studies and wrote the burnplan, while the work of conducting theburn was accomplished by the Cliff-Gila Volunteer Fire Department andNew Mexico State Forestry. Theeffort was directed by Ricky Sedilloand Mike Head, both experiencedUSDA Forest Service fire managers. These two burns, represent thefirst steps of the Mangas WaterQuality Project, and as a result, thewaters of Mangas Creek and the GilaRiver will eventually run clearer. Thehabitat of wildlife such as mule deerwill be greatly enhanced. It is also\nimportant to consider that collabora-tive efforts like the Mangas WaterQuality Project provide local propertyowners a certain amount ownership inthe success or failure of forest resto-ration efforts. A long-term goal of the MangasWater Quality Project is to heal thedeep erosion channel that runs thelength of Mangas Valley. Not muchcan be done with the channel until theovergrown forest condition in theuplands is addressed. Grant SWCDsees this as a long-term project,which must include the needs ofMangas Valley residents withoutthreatening those who depend on thisland for their livelihood. Theseresidents know they will be the onesto gain the most from a successfulwatershed restoration project or havethe most to lose if no management isundertaken. \nReprinted with permission of the Silver City Sun-\nNews and Duston L. Hunt Jr., Grant SWCD\nSupervisor\n Natural Resources Reporter\n( 4 )\nNatural Resources Reporter\n( 3 )Holistic Irrigation Technology Provides Answers\nDrought Response Heralded As Hard Work But Doable\n At a time when New Mexico\nfarmers, cities, and other interestsface extreme water shortages and thepress anticipates water wars, calmerheads in agriculture are quietly ad-vancing solutions that will require hardwork but are doable. Mike Sporcic, NRCS agronomist,is one of these conservation advo-cates with ideas. “Some of the solutions require ahuge commitment to management, butthe effort is worth it,” Sporcic said. The program that Sporcic sees asa solution for drought beleagueredNew Mexicans is the Holistic Irriga-tion Technology (HIT) program firstprepared by Rudy Garcia, LindaScheffe, John Allen, and R. DavidFischer, all of the New MexicoNatural Resources Conservation\nService. The Holistic Irrigation Technologyhas some 22 points that can guideirrigation districts and producers tothe benefits of irrigation water man-agement. First, the program notes theinstallation of high flow structures canhelp improve irrigation efficiency fromless than 25% to over 60% due togreater uniformity of application withless water. High flow structures takeless time to put water to the end ofthe check, thus avoiding excessivesoaking of water into the ground.Because high flow structures take lesstime to irrigate there is also a savingsin labor. The time to irrigate a fieldcan be cut in half. Laser leveling increases irrigation\napplication uniformity and overallirrigation efficiency. It is possible toapply 2 - 3 inches of water when theproducer has access to a large headof water and fields are laser leveledand irrigated with high flow turnouts. Water metering devices enableproducers to evaluate and implementalternative practices which willincrease his/her irrigation efficiency.This amounts to a significant saving inirrigation water. For example, watermetered on fields that are laserleveled and which also have high flowturnouts and lined ditches, has re-sulted in farmers being charged asmuch as 40% less per irrigation. “Putting all the hardware andmanagement into place can realize thiskind of savings,” Sporcic said. “TheElephant Butte Irrigation District doesa good job and is showing the ben-efits of all their work. We have othersthat are learning and working on this.” “There is still tons of work outthere to do. I just can’t emphasizethat enough.” In addition to high flow turnouts,laser leveling, and metering - measur-ing soil moisture can help identifyappropriate times to irrigate thuspreventing plant stress conditions.The result is higher crop yields andbetter quality products that translateinto a better profit margin for theproducer. Tensiometers, probes, orthe feel method can be used. Tensiometer are filled with water\nThese efficient irrigation systems reduce evaporation of water. Natural Resources Reporter\n( 5 )\nand measure the suction of the soil on\nthat water. Coupled with a gauge, thetensiometer can show when themoisture in the soil has reached such alevel that it is time to water again.Soil texture, porosity, and crop typecan determine the total amount ofwater that is needed. Lettuce, forexample, uses a soil zone of one footwhile alfalfa uses four feet of soil. The Natural Resources Conserva-tion Service (NRCS) has developed aspread sheet that can determine theamount of water needed for any field.Farmers interested in this kind ofassistance should contact their localNRCS office. “This kind of assessment can betailored to the conditions of any givenfarm,” Sporcic said. “It should go inevery conservation plan in NewMexico. There just is no need to dowithout this valuable tool.” Using a probe for a soil moisturemeasurement entails a device that haselectrodes and measures conductivityacross two rods. The more moisturein the soil, the greater conductivity. Finally, the simplest method ofchecking soil moisture is by feel. Thiscan be a learned skill. All of these soil moisture testingsystems inherently rely on an “on-demand” irrigation system where thefarmer can call up the ditch rider andget irrigation water when needed,rather than on a rotational system. Installation of pipelines, whereappropriate, can be used to both\nconserve and convey water veryefficiently. Use of pipelines dependsupon the objectives of the farmer andthe irrigation district. If the mainobjective is to get water to the farm,pipelines are effective. If an objectiveis to recharge the aquifer in theprocess, the alternative transportsystems are used. Another important component of awell managed operation is properlymaintaining drains to keep the rootzone dewatered and provides for ahealth growing environment. Rootsdo not grow in water saturated soil.They need air to grow. Farmers needfive to six feet of soil to grow crops. Record keeping has proven to bean invaluable decision making tool forfarmers in their efforts to irrigate moreefficiently and effectively. NRCS hascreated the 449 Irrigation Manage-ment Job Sheet for this task. This isavailable at your local NRCS office. Reduced tillage in orchards showsan improvement of the soil surfacestructure and tilth (organic mattercontent) which translates into waterconservation. The development of nutrientbudgets has resulted in significantreductions in inputs of fertilizers, soilamendments, and other chemicals.Nutrient management is a part ofHolistic Irrigation Technology thatintegrates all aspects of farm opera-tions. NRCS staff can develop anutrient budget for cropland and uses\nNew Mexico State University fertil-izer recommendations which can beused alone or in conjunction withdealer recommendations. There is a need to check preplantnitrates in the spring because nitratesmove with water and a farmer doesnot want to get nitrates into shallowwells. The goal is to keep nitratereserves to a minimum for this reason,and the cropland may not need more.This is an inexpensive test, $30 perfield plus time, and could cut fertilizercosts by 20 percent. Finally, there are a variety of dripirrigation systems on the market todaythat allow for the application of verysmall amounts of water which isparticularly important during earlygrowth stages. Such systems enablea grower to maintain optimum mois-ture conditions for best production,apply precise amounts of nutrients,and increase yields. They are 95percent efficient. “They require a huge commitmentof resources and management,”Sporcic said, “but the effort is worthit. Yields are up and diseases down.” “If you want to know what youcan do in drought, the Holistic Irriga-tion Technology Program is it. It callsfor some tough decisions, but it coulddrop our water use in this state by 30percent.” For further information contactMike Sporcic at 761-4424. Natural Resources Reporter\n( 6 )\nPlant Materials Center Important to Park Service\nMutton Grass and San Juan Pestemon Mark Spring\nTop: Dan Goodson harvesting mutton\ngrass. Bottom: San Juan pestemoncolors field in purple at the Los LunasPlant Materials Center Mutton grass seed, falling to the\nblades of the harvester, recently\nmarked springtime at the Los LunasPlant Materials Center. DanGoodson, agronomist, was harvestingthe seed for National Parks through-out the southwest. The National Park Service relieson the Los Lunas Plant MaterialsCenter for the production of plantspecies in which they are particularlyinterested. The seed the NationalPark Service uses must meet ex-tremely rigorous standards to preventcontamination. “ The Park Service requires seedsthat are descendant from ecosystemsin their parks,” said Greg Fenchel,Plant Materials Center manager. “Bybeing so exacting, these land manag-ers can assure that the plants grownfrom these seeds can, in the long run,tolerate the climate extremes of thesites where they are sown.” Mutton grass is important to theNational Park Service and othersbecause it is very palatable to elk andother grazing animals. It is the domi-nate grass component under Ponde-rosa pine. Like the Ponderosa pine itrequires significant water, 16 - 20inches per annum. In New Mexico itis typically found in 7000 - 9000 footaltitude areas. There is some debateabout its use after fires, and there arearguments why mutton grass shouldbe used and why small grains are\npreferred. Regardless of the debate,mutton grass is important in ourNational Parks and forestlandsthroughout the southwest. Like the harvesting of muttongrass, the blooming of the San Juanpestemon recently signaled the returnof warm weather at the Plant Materi-als Center. The pestemon is a wild-flower, great for xerioscaping inyards, along highways, and anywherewhere drought resistant flowers areneeded. “In the Albuquerque area,pestemon will thrive without anyirrigation, and at the Plant MaterialCenter in Los Lunas is grown withoutirrigation,” said Fenchel. “It typicallyrequires only 7 - 8 inches of water ayear.” It is a busy time for the PlantMaterial Center as it enters its pro-duction season. If you wish additionalinformation about mutton grass, SanJuan pestemon, or the Plant MaterialCenter contact Greg Fenchel at(505)865-4684.\n Natural Resources Reporter\n( 7 )\nBrooks Responds to Challenges of Urban Office\nComplex Mosaic Thrives in Albuquerque Area\n Drought management in New\nMexico is a long term responsibility,not just an emergency situation,according to Corinne Brooks, Albu-querque Field Office District Conser-vationist. Brook’s perspective resultsfrom managing a field office for thestate’s most urbanized conservationdistrict. “In general the healing or improv-ing of land does not happen overnight,Brooks said. “Most of our traditionalagriculture producers know this. Theland is their livelihood and they knowhow to care for the land, and have theforesight to do the proper planning.” The urbanized Albuquerquedistrict has many non-traditionalagriculture producers however,including hobby farmers, first timeirrigators, and small acreage landown-ers. Many of these individuals maybe on the learning curve, and wantinstant results or are reacting to thedry conditions rather than anticipatingthem. This complex mosaic of producersand land management skill levelsmake Brooks’ job both challengingand rewarding as she helps individualswith varied backgrounds bringconservation to the land. “I am not saying that other districtconservationists don’t also havechallenging jobs. It is just that thevariety of situations in an area border-ing the largest urban center in the statekeeps you on your toes,” said\nBrooks. Brooks also shared a perspectiveabout the drought. “This period of drier conditionsmay not really be a drought. Climateexperts point to recent wet years asbeing above normal and what wehave now may be closer to the norm.” Weather forecasters agree that thisdry period for New Mexico may beextended. Planners and politiciansalike are calling for the need forplanning for extensive dry periods inNew Mexico, and conservation anddevelopment of available watersources. Brooks says she does haveproducers who are adjusting to thedry conditions. “We do have producers who areadjusting crop rotations. By this Imean they may turn alfalfa into a cropthat uses less water on the fifth year ofthe crop rather than let the alfalfa goanother two or three years.” Land leveling and irrigation areamong other measures Albuquerqueproducers are taking. Irrigationimprovements concentrate on im-provements such as pipelines insteadof earthen ditches, ditch lining, andnew turnouts. “These are by far the majority ofpractices we are dealing with,”Brooks said. “Finally a concern of ours is thenumber of animals on the land\nwhether it be irrigated pasture orrangeland.” In drought livestock producerscannot produce the forage for theanimals they can during wet years. “The same principles apply for thesmall producer on five acres with onlythree or four cows. That producermay need to get rid of one cow duringdry spells, while the large rancher mayneed to get rid of a hundred. Theystill have to cut back on the number ofanimals they are carrying on the land.” For more information about anurbanized field office, contact CorinneBrooks at (505)761-5444.\nCorinne Brooks, Albuquerque District Conservationist Natural Resources Reporter\nNew Mexico NRCS Field Team Contacts:\nNorman Vigil\nNorthwest TeamCook’s Professional Building224 Los Alamos Avenue, Suite 1Espanola, NM 87532(505)753-6412\nBen Creighton\nNortheast Team51 Santa Fe DriveClayton, NM 88415(505)374-1002\nDan Thomas\nCentral TeamAgricultural Service Center Bldg. 27Courthouse RoadLos Lunas, NM 87031(505)865-4642John Allen\nSouthwest Team2507 North TelshorLas Cruces, NM 88001(505)521-8119\nHollis Fuchs\nSoutheast Team409 Central AvenueCarrizozo, NM 88301(505)648-2941\nKen Walker\nEast Team918 ParklandClovis, NM 88101(505)762-4769 x119\nPublic AffairsNatural Resources Conservation Service6200 Jefferson NEAlbuquerque, NM 87109" }

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{ "pdf_file": "2QCQAIXCPZZPZPEEBHJT4WUB5BA42DCP.pdf", "text": "OC representative introduces bill to allow offshore drilling - OC Register\nRep. Ken Calvert introduced a bill Thursday to allow drilling off the coast of California. Rep.\nDana Rohrabacher this week put in a measure to exempt solar projects from environmental\nrules. Both Orange County lawmakers aren't expected to be able to get these bills through this\nyear because o... \nRep. Ken Calvert introduced a bill Thursday to allow drilling off the coast of California. Rep.\nDana Rohrabacher this week put in a measure to exempt solar projects from environmental\nrules. \n \nBoth Orange County lawmakers aren't expected to be able to get these bills through this year\nbecause of Democratic opposition. But both said such measures are needed to begin\naddressing the current pain at the pump.\n \nHouse Speaker Nancy Pelosi said that offshore drilling is \"off the table.'' And Democrats have\nbeen consistently unwilling to bend the kind of environmental rules Rohrabacher, R-Huntington\nBeach, wants to circumvent.\n \nPelosi made those comments as Republicans blocked a move by the Democrats to pass a bill\nthat would have pushed drilling on federal lands already leased by oil companies.\n \nRohrabacher, Calvert and Reps. Ed Royce, R-Fullerton and John Campbell , Irvine, voted\nagainst the Democratic bill – called the Drill Act. Reps. Gary Miller, R-Diamond Bar and Loretta\nSanchez, D-Garden Grove, had family emergencies and were not on Capitol Hill for the vote.\n \nAlthough the Democrats' bill received a majority of votes, it didn't meet the two-thirds majority it\nneeded because the bill was brought up outside of the regular procedures.\n \n\"All of us are frustrated,'' said Calvert. \"I go home and people are absolutely beside themselves\n 1 / 3 OC representative introduces bill to allow offshore drilling - OC Register\nabout what they're having to pay. They're looking for us to do something, not this charade that\nthe democratic majority put on today.''\n \nCalvert said it's clear that there is oil to be had offshore and said \"we can drill off the coast of\nCalifornia beyond the sight line\" and provide enough revenues to the state to deal with its\ndeficit.\n \nUnder Calvert's measure – called the MORE Act, Maximize Offshore Resource Exploration –\nwould revoke the congressional moratorium on offshore drilling, the only thing standing in way\nof such efforts now that President Bush this week reversed an executive order banning such\ndrilling. Rohrabacher is one of 13 original co-sponsors of Calvert's bill. No Democrats have\nsigned on to it.\n \nThe bill also says that states would get 75 percent of the royalties the offshore drilling leases\nwould provide. Drilling would only be allowed starting 25 miles from the shoreline. The first 25\nmiles belongs to the states.\n \nIf, the bill also says, states agree to drilling within 25 miles of their coastline, they share of the\nroyalties would increase to 90 percent.\n \nCalvert dismissed the Democrat's argument that there is already 68 million acres of federal\nlands leased to the oil companies that are not being used.\n \n\"The Democrats want to drill where there's no oil,'' Calvert said. But Pelosi said at a news\nconference Thursday that oil companies have told her they're not using those lands because\neither \"it takes as long time\" or \"they don't have the equipment.''\n 2 / 3 OC representative introduces bill to allow offshore drilling - OC Register\n \nRohrabacher said he is introducing a bill to waive environment impact statement requirements\nfor solar projects in an effort to jump-start that technology.\n \n\"My bill simply says that in this time of crisis we should exempt solar energy projects from the\nneed for the very complicated and drawn out EIR reports,'' Rohrabacher said.\n \n\"Are we going to do it?\" Rohrabacher said.\" It depends on if the public – when they start filling\nup their cars with gas and seeing it's $80 or $90 – whether they scream and yell and demand\nthat their government quit representing radical environmentalists.''\n 3 / 3" }

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{ "pdf_file": "AKT2VCFHNFNLCVYCCSPWNM2TX2C2PGID.pdf", "text": "South Dakota e-Labor Bulletin\nOctober 2006\nSouth Dakota Department of Labor                         Labor Market Information Center\nCan We Predict The Future? South Dakota Industry Trends To 2014 \nThis article was published in the October 2006 South Dakota Labor Bulletin. \nIn what direction and at what growth rate are industry trends predicted? A look at which types of \nindustries are growing and which are not provides a synopsis of the economy as a whole. The general outlook for South Dakota is characterized by job growth in the coming decade. Almost all industries are estimated to see an increase in worker levels over the next ten years. \nFrom 2004 to 2014, the total number of workers in South Dakota is projected to increase by 57,030 for a total of 499,370 workers. South Dakota's annual average percent change of 1.29 percent is expected to be just slightly lower than the nation's 1.34 percent rate. The 2004-2014 round of South \nDakota worker projections by class of worker and industry were recently completed by the Labor \nMarket Information Center. Historical time-series data and state and national economic trends were used as variables in various statistical models to project workforce levels. (General assumptions are made that no major catastrophic events or natural disasters which would significantly affect economic activities of these industries will occur during the projection period.) \nSouth Dakota's workforce is comprised of different classes of workers: wage and salaried, self-employed and unpaid family workers. Wage and salaried workers, one of the major components of \nthe workforce, will acc ount for almost all of the total worker increase from 2004 to 2014. They \ncurrently comprise about 87 percent of the total number of workers in South Dakota. \nThe number of self-employed agriculture workers is projected to decline during the next 10 years. \nThis decline is due to an ongoing shift among worker classes. For example, small farms, which are generally run by self-employed persons, are being consolidated into larger farming operations. Many of the larger farms' employees are then classified as wage and salaried workers. Meanwhile, the number of nonagricultural proprietors is projected to increase. Self-employed people in this group \ngenerally work for themselves (e.g. as independent accountants, construction contractors, lawyers, South Dakota Workforce by Type of Worker\n2004 – 2014 \nType of Worker 2004\nWorkers 2014\nWorkers Actual\nChangePercent\nChange\nWage and Salaried Workers 385,020 442,370 57,350 14.90%\nNon-Agricultural Self-Employed & Unpaid Family Workers \n (Primary Job) 27,060 28,330 1,270 4.70%\nAgricultural Self-Employed & Unpaid Family Workers 30,260 28,670 -1,590 -5.30%\nTotal Workforce 442,340 499,370 57,030 12.90%\nNote: Data may not sum to totals because of rounding. \nSource: Labor Market Information Center, SD Department of Labor, October 2006 \nOctober 2006\nPage 1 of 6 South Dakota e-Labor Bulletin\nreal estate sales agents, insurance sales agents, etc.)\nAs shown in the table below, all of the wage and salaried industry divisions are expected to grow \nfrom 2004 to 2014. \nMining \nThe number of workers employed in the mining industry division is projected to increase by 3.9 percent over the next ten years. The expected worker gains in the mining industry w ill be minimal. \nAdvances in mining technology w ill slow worker growth as new machinery and processes increase \nworker productivity. Environmental regulations and foreign compe tition will continue to play a major \nrole in the future of the mining industry division. \nUtilities \nWorker levels in the utilities i ndustry division are projected to increase by 1.5 percent. An increase in \nthe water, sewage and other systems industry is projected to more than offset a slight decline in the natural gas distribution industry. Worker levels in the electric power generation and transmission industry are projected to remain stable, but technology and automation are expected to decrease labor \nneeds in the distribution of natural gas. Stricter regulations regarding water, sewage and the \nenvironmental impacts of treating both are increasing the number of workers needed in the industry. The need for new community water supplies and waste treatment facilities in growing areas of the state will also add to the employment levels in this i ndustry. \nConstruction \nThe construction industry division is projected to increase worker levels by 22.1 percent. All areas of construction (buildings, heavy and civil engineering, and special trade contractors) are expected to \nshow gains in the number of workers. \nThe demand for residential homes and nonresidential buildings in certain parts of South Dakota is predicted to be strong. The aging baby boomers will spur job growth for building contractors over the \nnext ten years due to the demand for specialized homes, apartments and assisted living centers. South Dakota Wage & Salaried Workers by Industry Division\n2004-2014 \nIndustry Title 2004\nWorkers 2014\nWorkers Actual\nChange Percent\nChange \nMining 760 790 30 3.9%\nUtilities 2,040 2,070 30 1.5%\nConstruction 19,950 24,360 4,410 22.1%\nManufacturing 38,850 41,070 2,220 5.7%\nWholesale Trade 17,030 18,210 1,180 6.9%\nRetail Trade 48,550 54,420 5,870 12.1%\nTransportation and Warehousing 9,460 10,800 1,340 14.2%\nInformation 6,710 7,300 590 8.8%\nFinance and Insurance 24,210 27,290 3,080 12.7%\nReal Estate and Rental and Leasing 3,630 4,140 510 14.0%\nProfessional, Scientific and Technical Services 8,650 10,890 2,240 25.9%\nManagement of Companies and Enterprises 2,680 2,960 280 10.4%\nAdministrative and Support and Waste Management Services 12,460 15,330 2,870 23.0%\nEducational Services - Private 6,130 7,090 960 15.7%\nHealthcare and Social Assistance 50,900 66,310 15,410 30.3%\nArts, Entertainment and Recreation 6,120 7,710 1,590 26.0%\nAccommodation and Food Services 34,570 40,350 5,780 16.7%\nGovernment 75,060 80,710 5,650 7.5%\nNote: Data may not sum to totals because of rounding. Worker levels rounded to nearest 10.\nSource: Labor Market Information Center, SD Department of Labor, October 2006 \nOctober 2006\nPage 2 of 6 South Dakota e-Labor Bulletin\nEmployment in specialty trades contracting, the largest segment of the industry, is expected to have \nfaster growth than in new home construction. Special trade contractors generally specialize in a specific construction activity, performing only part of the work needed to finish a construction \nproject. These activities will become more important as many construction jobs will be subcontracts for specialized maintenance and remodeling work such as tile, marble, cement and concrete installation, air-conditioning and refrigeration installation and repair, and roofing. Job growth will also \noccur in the heavy and civil engineering constr uction area. Federal highway funds designed to \nimprove South Dakota's highway infrastructure will increase the number of workers needed in this \narea. \nManufacturing \nFor years, the South Dakota manufacturing industry division has created its own path, diverging from the declining national trends. Manufacturing is expected to add 2,220 wage and salaried jobs. The area expected to have the most job growth is the food manufacturing industry, adding 550 jobs. This projected growth correlates with goals of South Dakota’s 2010 In itiative to promote further expansion \nof value-added processing of agricultural products, such as slaughtering animals, preparing processed meats and meat byproducts, and refining animal fat, bones and meat scraps. \nThe next largest area of manufacturing growth is the machinery manufacturing industry, with 540 \nadded jobs expected. Growth is also expected for agricultural, construction and mining machinery \nmanufacturing industries over the next ten years. \nWholesale Trade \nThe number of wholesale trade workers is expected to increase by 6.9 percent over the next 10 years. \nConsolidation and the spread of new technology are the main reasons job growth for this industry division will be slower than the average for all industries. Alt hough there is a growing trend in e-\ncommerce, wholesalers will still be needed for their s upply and distribution services. One area \nprojected to grow the fastest is drugs and druggists' sundries; this growth is related to South Dakota’s aging population and the increasing medicinal needs of baby boomers. The other area for which fast growth is projected is motor vehicle and motor vehicle parts and supplies. This division will likely be \nless impacted by e-commerce than other types of wholesale trade. \nRetail Trade \nThe retail trade industry division is expected to add 5,870 workers. Motor vehicle and parts dealers \nand gasoline stations are projected to do well during the next ten years. The rise in business travel and \nincreased tourism activity will boost the need for travel accommodations including gas stations. Many \nof these places offer a variety of convenience products and services from fast food and groceries to \nshower facilities. Many retail businesses will also benefit over the next 10 years as baby boomers \nretire or cut back to part-time employment and have more leisure time for enjoying things like shopping and travel. \nGeneral merchandise, miscellaneous retailers and non-store retailers are also projected to thrive. This industry includes used merchandise stores and \"non-store\" retailers. The changing a ttitude in \nconsumer shopping w ill allow electronic and mail order businesses to capture broader markets, \nincreasing the need for more workers. One-stop general retailers and specialized store retailers (office supplies, gift stores, etc). are also projected to have strong growth. \nTransportation & Warehousing \nWorker levels in the transportation and warehousing industry division are projected to increase by 14.2 percent. Job growth will be concentrated in the truck transportation industry. The demand for trucking services is correlated with the projected growth in the manufacturing and trade industries. As more products are produced and purchased over the Internet or other sources, the trucking industry will need more workers to transport these goods. \nInformation \nWorker levels in the information industry are projected to increase by 590 by 2014. The effect of \nOctober 2006\nPage 3 of 6 South Dakota e-Labor Bulletin\nrapid advancements within the communications industry will cause businesses to expand in order to \nremain competitive. Companies that once specialized in just one aspect of communication, whether it was cable television, Internet or telephone service, now offer customers a combination of services in “package deals” and will continue to do so. Beyond this trend in telecommunications and Internet service providers, modest growth is projected to be fairly evenly distributed among the publishing, motion picture and video recording and broadcasting areas.\n \nFinance & Insurance \nOver the next ten years, the finance & insurance industry division is expected to increase worker levels by 12.7 percent. Nearly three-fourths of projected job growth in the finance and insurance \ndivision will be concentrated in the credit intermediation and related activities division. Included in \nthis division are businesses that extend credit in the form of credit cards and post-dated check-cashing services. These businesses have shown tremendous growth in the previous 10 years and are expected to continue to add workers. \nReal Estate & Rental & Leasing \nThe real estate and rental and leasing industry division is projected to add 510 workers by 2014. A portion of this growth will be due to increased housing needs (impacting both real estate sales and \nrental/leasing) in the state’s population growth areas. The perception that real estate is a valuable investment will also continue to positively influence worker levels in this i ndustry. Interest rates \nremaining relatively low, which is difficult to predict over a 10-year period, would also stimulate sales of real estate and worker levels in this industry. Also contributing to the projected growth in this \nindustry division w ill be the rental and leasing of pr oducts such as automobiles and consumer goods \nsuch as home appliances and electronics. \nProfessional, Scientific & Technical Services \nWorker levels in the professional, scientific and technical services industry division are projected to increase by 25.9 percent. The big growth leaders within this division will be management and \ntechnical consulting services; accounting, tax preparation and payroll services; computer system design and related services; architectural and engineering services; and other professional, scientific and technical services. Growth in other industries means increased demand for advice in all areas of business planning and implementation. Businesses will continue to need advice on issues ranging from compliance with government workplace safety, environmental and tax laws to designing new computer systems or online distribution systems. In order to cut costs, many firms are outsourcing \nadministrative and human resources functions like managing payroll and benefits programs to \nconsultants. Globalization, too, will continue to spur growth in this industry division, as consulting firms advise clients on strategies to expand into foreign markets. \nManagement of Companies & Enterprises \nThe management of companies and enterprises industry division is projected to add 280 workers by 2014. Establishments in this industry division own a controlling interest in or manage the overall operations of other businesses. On behalf of those businesses, the management company undertakes \nthe strategic or organizational planning and decision-making role of the company or enterprise. These management firms advise on almost every aspect of corporate operations, from marketing and finance to information systems and human resources. Growth in this industry division can also be attributed to the increasing complexity of these various management functions, due in part to \ntechnology and increasingly fierce compe tition in a global economy. \nAdministrative & Support and Waste Management Services \nThe administrative and support and waste management services industry division is projected to have a 23.0 percent worker increase by 2014. The industries projected to note the largest growth are \nemployment services, services to buildings and dwellings, and business support services. The demand for temporary help and contract help in order to reduce costs is one reason for the expected worker increase. Because of the complexity of employee-related laws, businesses are expected to increasingly enter into relationships with professional employer organizations to handle things like \nOctober 2006\nPage 4 of 6 South Dakota e-Labor Bulletin\nhealth benefits, workers’ compensation claims, and tax compliance. Similarly, as a cost-saving \nmeasure, businesses will contract with outside agencies for services to buildings such as landscaping, grounds keeping, tree trimming and pruning, pest control, and general cleaning and maintenance \nrather than employ staff for those tasks. Projected growth among establishments providing business support services like telephone ca lling and answering and telemarketing is also related to businesses \nlooking to reduce internal costs. \nEducational Services – Private \nWorker levels in the private education services industry division are projected to increase by 960. Increases will be fo und largely among private elementary, secondary and univers ities as these \nestablishments expand their staffs to accommodate increasing enrollments in the state’s more urban areas. At the post-secondary level, the growing emphasis on continuing education to meet career goals and for earning potential will be at play. At the elementary and sec ondary levels, school \nreforms calling for more individual attention to students will help increase employment levels. \nHealth care & Social Assistance \nThe health care and social assistance industry division is projected to be both the largest growth industry and the fastest growth industry division over the projections period. The aging population and advancements in medical care will help ensure continued worker growth within the health care services industry, especially for hospitals. The continuing shift from inpatient care to outpatient treatment will boost worker growth in health practitioner offices as well. Nursing and residential care facilities are also expected to have str ong growth due to South Dakota's growing elderly population. \nWhile growth in the social assistance industry is not projected to be as brisk as in health care, it will also see healthy increases in worker levels to 2014. Increased demand for individual and family counseling, community food and other relief services, vocational rehabi litation and child day care \nservices will all contribute to this growth. Some of the projected job growth is due to the expansion of services for the elderly and the aging baby-boom generation. Earlier and improved integration of the physically disabled and mentally ill into society will contribute to employment growth, as will \nincreased demand for drug and alcohol abuse prevention programs. The growth in child day care \nservices reflects, in part, demographic trends; the number of children under age five is expected to \nincrease. There will likely be a need for childcare during extended hours, such as evenings and weekends. For example, many workers in the growing health care industry within fac ilities in which \n24/7 care is inherent are parents who need care for their own children while they are at work. \nArts, Entertainment and Recreation \nWorker levels in the arts, entertainment and recreation industry division are projected to increase by 1,590. The bulk of the growth w ill be in the other amusement and recreation i ndustry and in the \ngambling industry. As mentioned earlier, it is expected that as more baby boomers retire, travel and other leisure activities will increase. This will also impact businesses like casinos, golf courses and amusement establishments. A growing consciousness of the need for weight control and exercise will also contribute to higher worker levels in this industry division, which includes fitness and recreational sports centers. \nAccommodation & Food Services \nThe accommodation and food services industry division is projected to show strong growth the next ten years, up 5,780 workers. Again, the large number of baby boom retirees or semi-retirees with more time for travel will increase business at places like hotels, motels, bed and breakfast inns, RV parks and restaurants. Population growth in the state w ill also help boost employment levels in these \nsame types of accommodation services and in all types of restaurants, ranging from fast food to full \nservice. \nGovernment \nThe number of workers employed by government entities is projected to increase by 7.5 percent. This includes workers employed by federal, state, local and tribal government, all of which are projected to \nOctober 2006\nPage 5 of 6 South Dakota e-Labor Bulletin\nincrease worker levels over the next ten years. \nState worker growth will be concentrated in state education, with South Dakota's universities adding \nworkers to keep pace with the demand for post-secondary education. This includes an expected increase in the number of college students with work study jobs. \nLocal governments are expected to add workers in both the education and the non-education areas. The 2010 Initiative outlines a series of specific goals for ec onomic growth and will help certain areas \nof South Dakota see increased business growth and increased population. These growing areas of the state will need additional local government workers as well to accommodate their add itional citizens \nwith such publicly-provided services as utilities, street maintenance, parks and recreation programs, etc. \nFederal government job growth generated by increased homeland security needs may be offset by projected slow growth or declines in other federal sectors due to government cost-cu tting and the \ngrowing use of private contracts. Projecting employment levels for government is especially \nchallenging, since legislated changes affect spending levels and hiring decisions for government \nagencies. But domestic programs are likely to see continued cuts in their budgets as Congress seeks to reduce the federal budget deficit. Employment declines w ill likely be carried out mainly through \nattrition—not replacing workers who retire or leave the federal government for other reasons. \nThe 2004-2014 worker projections by industry can be found on our Internet site at:\n www.sdjobs.org/lmic\nOctober 2006\nPage 6 of 6" }

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{ "pdf_file": "U7OKI6X3E3WT4VGYZ3UEQHTPYGLID22Z.pdf", "text": "Board Action Report \nJanuary 31, 2008 \nC. William Schmidt, Executive Director \n \nThe cases described below represent disciplinary proceedings concluded by the Kentucky \nBoard of Medical Licensure since January 1, 2008. If you require copies of documentation \nrelated to a particular case, please refer to the Board’s web site and search, using the \nPhysician Profile/Verificat ion of Physician License page at www.kbml.ky.gov or make a \nwritten request pursuant to Kentucky Open Records law. \n \nStephen J. Arnett, SA, Paintsville, KY, License # SA098 \n Agreed Order of Surrender entered into 01/28/08. \n \nMargaret K. Husk, M.D., Louisville, KY, License # R1291 \n Agreed Order entered into on 01/30/08 \n \nKimberly D. Jones, PA-C, Paint Lick, KY, License # PA314 \n Amended Agreed Order of Probat ion entered into 01/28/08. \n \nTerry A. Lawson, PA-C, Whitley city, KY, License # PA378 \n Agreed Order of Indefinite Rest riction entered into 01/02/08. \n \nEmanuel H. Rader, M.D., Pineville, KY, License # 14827 \n Agreed Order of Indefinite Rest riction entered into 01/14/08. \n \nAlan D. Shultz, M.D., Mt. Sterling, KY, License # 30784 \n Amended Agreed Order of Indefinite Re striction entered into 01/30/08. \n \nMichael W. Vories, M.D., Hazard, KY, License # 33216 \n Agreed Order of Surrender entered into 01/17/08. \n \nDonald J. Weidler, M.D., Columbia, KY, License # 38570 \n Agreed Order entered into on 01/17/08 \n \nRestrictions have also been placed on the following physicians’ licenses pending resolution of charges brought against these physicians: \n \nJohn T. Ebert, M.D., Hopkinsville, KY, License # 31114 \n Temporary Order issued by Jefferson Circuit Court on 01/04/08 enjoining \n Dr. Ebert from the practice of m edicine until further Order of the Court. \n \nBradford A. Quatkemeyer, M.D., Crittenden, KY, License # 32259 \n Complaint and Emergency Order of Restriction issued 01/30/08, \n effective 02/01/08. \n \nRudolph T. Scott, M.D., Madisonville, KY, License # 30854 \n Complaint and Emergency Order of Suspension issued 01/04/08, \n effective 01/07/08. " }

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{ "pdf_file": "O6K6RC2TPUGKD4NJLXH6KUVRELRT5PWG.pdf", "text": "http://www.fdlp.gov The Federal Depository Library Program Privacy Policy\nWhen a user browses, reads pages, or downloads information from the FDLP Desktop,\ninformation is automatically gathered and stored about the visit (\"Information\"). This\nInformation does not identify the user personally. The Information collected and stored\nincludes:\n * the Internet domain from which the site is accessed;\n * the type of browser (e.g., FireFox, Internet Explorer) and operating system (e.g.,\nWindows, Unix) used to access our site;\n * the date and time the user accessed our site;\n * the pages the user visited; and,\n * if the user linked to from another Web site, the address of that Web site is also\nrecorded.\nThis Information is only collected for statistical purposes is used to ascertain the number of\nvisitors to our site and the types of technology our visitors use. We never use or allow\nInformation to be used to identify individuals nor do we allow Information to be used for\ncommercial or surveillance purposes. Cookies are utilized so that users can log in and take\nadvantage of the interactive tools offered here.\nPage 1 of 1 - Modified Date: 10 16 2008" }

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{ "pdf_file": "CAFPBUU24YDNMKG5ULIDXRBNI6NUPVF2.pdf", "text": "AsLLU a~ Comptroller General n'nsf ;a) of the United States\nW\"hIngton, AC, 20548\nDecision\nMatter of: Pinkerton Security & Investigation Services\nFile: B-246536.5\nDate: August 30, 1993\nHamilton Loeb, Esq., and John M. Oseth, Esq., Paul,\nHastings, Janofsky & Walker, for the protester.\nLeonard E, Moodispaw, Esq., for Essex Corporation, an\ninterested party,\nRonald E. Cone and Richard Leotta, Department of Energy, for\nthe agency,\nGlenn G. Wolcott, Esq,, Daniel I. Gordon, Esq,, and Paul\nLieberman, Esq., Office of the General Counsel, GAO,\nparticipated in the preparation of the decision,\nDIGEST\n1, Under a solicitation which called for the award of a\ncost reimbursement contract, agency properly rejected\nprotester's proposal where, in response to the agency's\nrequest for updated proposals, protester modified various\naspects of its cost proposal but failed to adequately\ndocument the basis for its modifications,\n2. Awardee's proposal complied with solicitation\nrequirement for submission of letters of intent from key\npersonnel where, although several individuals rescinded\ntheir initial agreement that they would be available\nexclusively to the awardee, they continued to indicate an\nintention to work for the awardee if it was the successful\nofferor.\nDECISION\nPinkerton Security & Investigation Services protests the\nDepartment of Energy's (DOE) selection of Essex Corporation\nfor award of a contract under request for proposals (RFP)\nNo. DE-RP04-91AL72307. The RFP sought proposals to operate\nDOE's Transportation Safeguards Training Center in\nAlbuquerque, New Mexico. Pinkerton asserts that DOE\nimproperly evaluated Pinkerton's cost proposal and Essex's\ntechnical proposal.\nWe deny the protest.\n tot \"9\nBACKGROUND\nThis RFP was issued on March 11, 1991, and contemplated\naward of a cPntract to provide all personnel, facilities,\nequipment, :..pplies, and services necessary to operate the\nTransportation Safeguards Training Center, The solicitation\nprovided that proposals would be evaluated under the\nfollowing factors, listed in descending order of importance:\nme.iagerial/operational, business experience and corporate\ncommitment, and cost.\nUnder the managerial/operational factor, the solicitation\nidentified certain key positions and provided that each\nofferor must submit letters of intent from the personnel it\nproposed to fill those positions, Regarding cost proposals,\nthe solicitation stated that proposals would be evaluated,\namong other things, on the basis of; (1) \"allowability,\nallocability, reasonableness, and adequacy of the proposed\ncost\"; (2) \"reasonableness and appropriateness of the\ncompensation proposed for employees\"; and (3) \"probable cost\nto the Government.\" The solicitation expressly stated that\nofferors must submit adequate documentation to support their\nproposals and noted that unrealistic cost estimates could be\ngrounds for eliminating a proposal from the competition.\nInitial proposals were submitted on April 19, 1991;\ndiscussions were subsequently conducted, and each offeror\nwas asked to submit a \"final revised proposal\" by June 24.\nOn August 21, DOE selected Wackenhut Services, Inc. for\ncontract award, Thereafter, Essex filed a protest\nchallenging Wackenhut's selection. We sustained Essex's\nprotest on the basis that Wackenhut's proposal did not\ncontain letters of intent for most of the key personnel whom\nWackenhut proposed. 2Essex Corn., B-246536.3, June 25,\n1992, 92-2 CPD ¶ 170.' We recommended that DOE reevaluate\nthe final revised proposals and, in the event those\n'Although such submissions are usually referred to as \"best\nand final offers,\" here, DOE referred to them as \"final\nrevised proposals\"; our decision uses DOE's nomenclature.\n2In our decision, we also found that, after Essex filed an\nagency-level protest, certain documents related to\nWackenhut's proposal were altered to make it appear that\nWackenhut's proposal met the solicitation requirements.\n3We subsequently denied Wackenhut's request for\nreconsideration. Wackenhut Servs., Inc.--Recon.,\nB-246536.4, Aug. 31, 1992, 92-2 CPD ¶ 137.\n2 B-246536 .5\n proposals needed to be updated due to the passage of time,\nwe recommended that DOE seek revisions only from offerors\nwhose proposals complied with the solicitation requirements,\nThe agency subsequently determined that only Pinkerton's and\nEssex's final revised proposals complied with the\nsolicitation requirements. By letters dated September 4,\n1992, DOE sought updated proposals from those offerors,\nwhich Pinkerton and Essex submitted on October 5.\nIn evaluating Pinkerton's updated cost proposal, DOE\ndetermined that Pinkerton had decreased virtually all of the\n36 direct labor rates contained in its proposal by a uniform\namount, and also that Pinkerton had altered its labor\noverhead rates, 4DOE also determined that Pinkerton's\nupdated proposal provided virtually no documentation\nregarding the basis for its modified zates, In are effort to\nassess the reasonableness and realism of Pinkerton's new\nrates, DOE sought assistance from the Defense Contract Audit\nAgency (DCAA), asking that DCAA review Pinkerton's proposal\nand provide its opinion regarding the realism and\nreasonableness of Pinkerton's proposed costs, DCAA\npersonnel subsequently reviewed Pinkerton's proposal at\nPinkerton's offices and discussed the proposal with\nPinkerton personnel, Upon completing its review, DCAA\nstated that \"(Pinkerton) did not provide any supporting\ndocumentation to support the estimated labor rates,\" and\nconcluded that \"(wje do not consider the proposal to be\nacceptable as a basis Zor negotiation of a fair and\nreasonable price. \"'\nBecause of Pinkerton's failure to submit adequate\ndocumentation regarding the rates first presented in its\nupdated proposal, DOE concluded it could not assess the\n\"probable cost to the government\" with regard to Pinkerton's\nproposal, as required by the solicitation.' DOE concluded\nthat it must either reopen discussions to obtain additional\n4In light of the proprietary nature of the offerors' cost\nproposals, we will not discuss the specific individual costs\nassociated with any of the offerors' proposals.\n5In addition to Pinkerton's direct labor rates and labor\noverhead rates, DCAA questioned the general and\nadministrative (G&A) rate which was contained in Pinkerton's\nearlier and updated proposals. The DCAA auditors noted that\nPinkerton's actual G&A rate was substantially higher than\nthat included in Pinkerton's proposals.\n'In evaluating the probable cost to the government regarding\nEssex's proposal, DOE had upwardly adjusted Essex's proposed\ncosts.\n3 B-246536.5\n information regarding Pinkerton's new rates, or reject\nPinkerton's proposal as unacceptable Upon consideration,\nDOE rejected Pinkerton's proposal based on Pinkerton's\nfailure to adequately document its proposed costs, On\nMarch 18, 1993, DOE selected Essex for award of a contract,\nThis protest followed.\nDISCUSSION\nPinkerton first complains that DOE's evaluation of its cost\nproposal was improper, arguing that DOE was obligated to\neither accept Pinkerton's proposal on the basis of the new,\nstated rates or reopen discussions with Pinkerton regarding\nthose rates.\nDOE responds that the solicitation required offerors to\nsubmit documentation supporting the specific costs coitained\nin their proposals and specifically advised offerors that\nunrealistic cost estimates could be grounds for eliminating\na proposal from the competition. DOE also notes that the\nupdated proposals were the third submission of both\nofferors, E maintains that, since the defects in\nPinkerton's proposal first appeared in the updated proposal,\nDOE was not required to discuss those detects with\nPinkerton,\nIn submitting proposal revisions, an offeror may change or\namend any aspect of its prior proposal; however, in doing\nso, an offerors runs the risk that the changes may render a\npreviously acceptable proposal unacceptable. See, et&.,\nControl Data Corp. and KET, Inc., 60 Comp. Gen. 548 (1981),\n81-1 CPD $ 531; Federal Business Sys., Inc., B-246514,\nMar. 13, 1992, 92-1 CPD ¶ 283. In evaluating revised\nproposals, a procuring agency is not obligated to reopen\ndiscussions in order to remedy a defect introduced into a\npreviously acceptable proposal. RCA Serv. Co,, B-219643,\nNov. 18, 1985, 85-2 CPD c1 563.\nWe have reviewed the protest file in this matter and agree\nthat Pinkerton's updated proposal contained virtually no\ndocumentation explaining and supporting the modified direct\nlabor and overhead rates that Pinkerton first introduced in\nits updated proposal. Although Pinkerton asserts that the\nlower direct labor rates were derived from interviews with\nthe various personnel it was intending to use in performing\nthe contract, its updated proposal contains no documentation\nregarding such interviews, Further, the uniform nature of\nthe rate decreases is inconsistent with the assertion that\nthe reductions resulted from the individual input of\nmultiple potential employees.\n4 B-246536.5\n l l a S \nIn its comments on the agency report, Pinkerton states:\n''(Cjomparison of the Essex and Pinkerton (updatedJ\nproposals , , .shows that a number of the\nindividual {direct labor) rates Pinkerton proposed\nwere lower than the rates Essex proposed for the\nsame positions (although Pinkerton's qualitatively\nhigher-ranked personnel slate would naturally cost\nsomewhat more than Essex's overall) .\" (Emphasis\nin original,)\nRather than supporting Pinkerton's assertion that the agency\nhad no basis to question its modified rates, this comment\nhighlights DOE's legitimate concern regarding the realism of\nthe Pinkerton's proposed personnel costs, since it suggests\nthat Pinkerton might have been proposing more highly skilled\npersonnel at unrealistically low rates,\nAs noted above, the solicitation specifically provided that\ncost proposals must be evaluated on the basis of\n\"reasonableness and appropriateness of the compensation\nproposed for employees\" and \"probable cost to the\ngovernment,\" Clearly, under the terms of the solicitation,\nDOE was obligated to assess whether Pinkerton's new rates\nwere reasonable and realistic and, in the event DOE\nconcludec they were not, to determine what the probable\ncosts under Pinkerton's proposal would likely be. In\nsubmitting an updated proposal which modified various cost\nelements with little or no documentation, Pinkerton failed\nto comply with the solicitation requirement that proposals\ninclude adequate documentation to support proposed costs.\nDOE was thus justified in finding that it could not conclude\nthat Pinkerton's revised costs were reasonable or calculate\nthe probable actual cost to the government. On this record,\nthe agency reasonably rejected Pinkerton's updated proposal.\nPinkerton also protests that DOE's selection of Essex was\nimproper because Essex's proposal failed to comply with the\nsolicitation requirement regarding submission of letters of\nintent for key personnel. The solicitation required that\nletters of intent be submitted for 15 key personnel in\n9 different labor categories. Pinkertonf asserts that\nEssex's proposal should have been rejected as failing to\nmeet the letter-of-intent requirement for two specific\nindividuals that Essex proposed as key personnel. Pinkerton\nacknowledges that Essex, in fact, submitted letters of\nintent for these two individuals but, after reviewing the\ndocuments provided by Essex and DOE in response to its\nprotest, Pinkerton asserts that these two individuals\nrescinded their letters prior to Essex's submission of its\nupdated proposal.\n5 B-246536.5\n Since DOE properly rejected Pinkerton's proposal as\nunacceptable, Pinkerton is not an interested party to\nchallenge the source selection, see, e.g., Satellite\nTransmission Sys., ilnc., 70 Comp. Gent 624 (1991), 91-2 CPD\n¶.60, In any event, based on our review of the record,\nPinkerton's allegation is without merit, The letters of\nintent which Essex submitted for its key personnel initially\ngave Essex \"exclusive\" authority to include each of the key\npersonnel in Essex's proposal. Subseqiently, several\nindividuals, including the two on whom Pinkerton's protest\nfocuses, wrote letters to Essex, stating that they were\nrescinding the exclusive nature of their commitments.\nHowever, each of the \"rescission\" letters specifically\nindicates an ongoing desire and intent to work for Essex,\nshould Essex win the contract.\nAs we explained in the previous protest regarding this\nprocurement, provisions requiring submission of letters of\nintent are included in solicitations to provide agencies\nwith assurances that the key personnel proposed by offerors\nare, in fact, intending to work for the offeror proposing\nthem, Essex Corp., supra, Here, the record shows that\nEssex obtained and submitted letters of intent for all the\nkey personnel it proposed, including the two individuals\nspecifically challenged by Pinkerton, The rescission\nletters on which Pinkerton's protest relies do not negate\nthe stated intent of those individuals to be available to\nperform the contract for Essex, Accordingly, Essex's\nproposal complied with the solicitation requirements.\nThe protest is denied.\n! James F. Hinchman\nGeneral Counsel\n6 B-246536 .5\n" }

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{ "pdf_file": "OB5K37VVGHIEXSQPWFJBU7NZA5OEKAOO.pdf", "text": "Updated 4/2/08 \nLast Name First Name State License \nBarbour Kevan D. Omaha NE 121 \nBartling Monica R. Scottsbluff NE 119 \nBillingsley Randall F. North Platte NE 114 \nBoulton Jr. Rifle CO 39 \nLincoln NE 56 \nMonty L. Papillion NE 57 \nMark Lincoln Police Dept. Lincoln NE 15 \nMatthew Lincoln Police Dept. Lincoln NE 132 \nGallo Bellevue Police Dept. Bellevue NE 130 \nHeidbrink David Lincoln NE 128 \nVincent G. NE 54 \nHilliges Hilliges & Associates LLC Stanton NE 52 \nBen T. Lincoln NE 116 \nKenneth H. NE 125 \nKawamoto Lincoln Police Dept. Lincoln NE 50 \nKayl Timothy D. NE 118 \nNE 100 \nDale North Platte NE 131 \nOmaha NE 126 \nOmaha NE 120 \nFalls City NE 55 \nSalmen NE 111 \nNE 104 \nStaroska North Platte NE 53 \nSvoboda Galen D. NE 124 \nPapillion NE 123 \nNE 25 \nTomlinson, Jr. Richard Lee Omaha NE 105 \nOmaha NE 127 \nWillis Kevin Blair NE 129 \nNE 101 Public Polygraph Examiners \nCompany Name City \nOmaha Police Dept. \nNebraska State Patrol \nJohn R. Rifle Police Dept. \nChrans Roger L. Nebraska State Patrol \nDaganaar Sarpy County Sheriff's Dept. \nDomangue \nFranken \nFrancis \nNebraska State Patrol \nHernandez Nebraska State Patrol Grand Island \nRonald J. \nHouchin Lancaster Sheriff's Ofc. \nJackson Wahoo Police Dept. Wahoo \nRobert H. \nColumbus Police Dept. Columbus \nLeonard Dennis W. Nebraska State Patrol Grand Island \nMatuszczak North Platte Police Dept. \nO'Callaghan Charles Nebraska State Patrol \nPankonin John M. Douglas Co. Sheriffs Office \nPounds Donald Nebraska State Patrol \nDouglas S. Niobrara Police Department Niobrara \nSchreiber Carla Nebraska State Patrol Columbus \nDonald E. North Platte Police Dept. Nebraska State Patrol Norfolk \nTeuscher Christopher H. Sarpy County Sheriff's Office \nThorson Robert Saunders County Sheriff's Wahoo \nOmaha Police Dept. \nWheeler Brenda Douglas Co. Sheriffs Office \nWashington County Sheriff's Office \nZitterkopf Michael J. Gering \n• A list of licensed interns is available by cont acting the Secretary of State’s Office at \n402/471-8606. " }

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{ "pdf_file": "JDREPE6JS4JXV6O476QYTJTIJLH7CMTA.pdf", "text": "307.180 Repealed, reenacted, and amended as KRS 367.960, 1984. " }

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{ "pdf_file": "FTLF4636APPKQDG5YKVPXDML54WUBBZA.pdf", "text": "Rangel's Pet Cause Bears His Own Name - Washington Post\nHouse Ways and Means Committee Chairman Charles B. Rangel is soliciting donations from\ncorporations with business interests before his panel, hoping to raise $30 million for a new\nacademic center that will house his papers when he retires. The New York Democrat has\npenned letters on congressional s... \nHouse Ways and Means Committee Chairman Charles B. Rangel is soliciting donations from\ncorporations with business interests before his panel, hoping to raise $30 million for a new\nacademic center that will house his papers when he retires.\n \nThe New York Democrat has penned letters on congressional stationery and has sought\nmeetings to ask for corporate and foundation contributions for the Charles B. Rangel Center for\nPublic Service at the City College of New York, a project that caused controversy last year\nwhen he won a $1.9 million congressional earmark to help start it. Republican critics dubbed the\nproject Rangel's \"Monument to Me.\"\n \nThe congressman has corralled more federal money as well, securing two Department of\nHousing and Urban Development grants totaling $690,500 to help renovate the college-owned\nHarlem brownstone that will house the center, according to HUD and school officials.\n \n\"It is a personal dream of mine to see this Center at City College, which resides in my\ncongressional district and where so many talented young men and women from the community\nhave gotten an excellent education,\" Rangel wrote in a March 7, 2007, letter to real estate\nmogul Donald Trump, one of the business leaders the congressman has solicited.\n \nEthics experts and government watchdogs say it is troubling that one of the nation's most\npowerful lawmakers would seek money from businesses that have interests before the\ncommittee he leads. Rangel's panel has broad jurisdiction over tax policy, trade, Social Security\nand Medicare.\n \nMore generally, many say it is a bad idea to name a facility after an incumbent politician who\nmight be tempted to channel public money to it rather than to more worthy causes.\n 1 / 6 Rangel's Pet Cause Bears His Own Name - Washington Post\n \n\"I think that he has crossed the line,\" said F. Christopher Arterton, dean of George Washington\nUniversity's Graduate School of Political Management. \"Charlie Rangel is a prominent public\nservant and may deserve a center at City College. . . . But I think one has to be careful about\nhow one raises the money for that. The danger is that it begins to blur the lines between\nwhether a quid pro quo is implied by this or not.\"\n \nSteve Ellis, vice president of the nonpartisan Taxpayers for Common Sense, said: \"People in\npositions of power have to be very conscious of the coercive effect of their requests.\"\n \nRangel said in a telephone interview that he would seek money for the project even if it did not\nbear his name, because he believes in its mission of promoting racial diversity in public\nadministration leadership. He said congressional business never comes up with potential\ndonors.\n \n\"In the 38 years that I've been down here, I don't think there has ever been any challenge, real\nor unreal, to my integrity as it relates to fundraising,\" he said. He added: \"If it was an ethical\nproblem, I wouldn't do it.\"\n \nRangel's efforts have helped raise about $12 million of the $30 million goal, college officials\nsaid.\n \nOn the same day that the congressman wrote to Trump, he sent a nearly identical letter to\nMaurice R. \"Hank\" Greenberg, a former longtime head of AIG, an insurance and financial\nservices giant. Greenberg is now chief executive of C.V. Starr & Co., a global investment and\ninsurance firm that has close ties to AIG.\n \n 2 / 6 Rangel's Pet Cause Bears His Own Name - Washington Post\nOn June 4, 2007, Greenberg met with Rangel, City College of New York President Gregory H.\nWilliams and Rachelle Butler, the college's vice president for development, according to Butler.\nHer office eventually won a $5 million donation from the C.V. Starr Foundation, the largest\nsingle gift to date. Greenberg is the foundation's chairman.\n \nRangel's office also recommended that officials at the college approach AIG . The congressman\nattended a meeting at the company's New York headquarters on April 21, 2008. A potential gift\n\"is in discussion,\" Butler said. An AIG spokesman declined to comment .\n \nRangel said his relationship with Greenberg is based on their military service in the Korean War,\nfor which each received a Bronze Star. Greenberg has even arranged for Rangel fundraisers in\nhis corporate boardroom, he said.\n \n\"I can't think of one piece of legislation that impacts them, and there has never been a time that\nthey've raised any legislation to me,\" Rangel said, referring to AIG.\n \nBut AIG, for instance, has spent hundreds of thousands of dollars lobbying Congress to\npermanently extend a tax break that allows U.S. financial services firms to defer U.S. taxes on\nincome from certain transactions of their overseas subsidiaries, disclosure reports show. The\ntax break, which is set to expire this year, costs the Treasury nearly $4 billion annually,\naccording to the Joint Committee on Taxation.\n \nAnother donor, Nabors Industries, a Bermuda-based oil and gas drilling contractor, has lobbied\nagainst proposals to crack down on U.S.-based companies that incorporate or reorganize\noffshore to reduce their U.S. tax liability. Nabors chief executive Eugene M. Isenberg, in his first\ndonation to the college, said that he pledged $500,000 and that the company matched it after\nmeeting in 2006 with CCNY officials and Rangel.\n \n 3 / 6 Rangel's Pet Cause Bears His Own Name - Washington Post\n\"I don't need any special favors that I'm aware of,\" Isenberg said in a telephone interview.\n \nThe Rangel Center is the brainchild of Rangel and Williams, CCNY officials said. It will offer\nscholarships, sponsor research and house the college's new master-of-public-administration\ndegree program.\n \nAn archive of Rangel's papers and memorabilia will record \"the life of one of America's most\nimportant public servants\" and \"will rank with the Clinton and Carter Libraries\" in importance,\naccording to CCNY promotional materials.\n \nBrett Silverstein, dean of social sciences at CCNY, said it is not unusual to name such centers\nfor living people, citing as an example the James A. Baker III Institute for Public Policy at Rice\nUniversity in Texas, named after the former secretary of state.\n \n\"I can't speak about egos. It's not my job to do that. It's my job to say this is a very worthy thing,\"\nSilverstein said.\n \nRangel brooks no criticism when it comes to the center. Last year, two-term Rep. John\nCampbell (R-Calif.\n) objected to \"sending taxpayer funds in the creation of things named after ourselves while we're\nstill here.\"\n \nRangel retorted: \"I would have a problem if you did it, because I don't think that you've been\naround long enough . . . to inspire a building like this in a school.\"\n \n 4 / 6 Rangel's Pet Cause Bears His Own Name - Washington Post\nFrom the center's earliest stages, Rangel has used his influence to help. In 2005, he wrote an\nappeal on congressional stationery to about 100 foundations, saying the project \"will allow me\nto locate the inspirational aspects of my legacy in my home Harlem community.\"\n \nSoon, the Ford Foundation committed $1 million and also held a gathering with other\nfoundations on Jan. 29, 2007. Rangel \"spoke very passionately and eloquently about the need\nfor more public servants from minority groups,\" Butler said.\n \nCCNY took in $500,000 from the Verizon Foundation, $130,000 from the New York Community\nTrust and $50,000 from the Rockefeller Brothers Fund, Butler said. It secured donations from\nthe Ann S. Kheel Charitable Trust ($440,000) and the Rhodebeck Charitable Trust ($25,000).\n \nThe Kheel donation was by far the largest in the trust's short history. Rangel is its board\nchairman. New York labor arbitrator Theodore W. Kheel established the trust in 2004 to honor\nhis late wife, creating a $1 million fund to promote causes that serve disadvantaged New York\nneighborhoods.\n \nRangel said Kheel, a longtime friend, and his daughter \"recommended it\" and \"I just went along\nwith them.\"\n \nIn Washington, Rangel helped land two HUD Economic Development Initiative grants, which\nare supposed to finance housing and public facilities rehabilitation and construction for the\nbenefit of low- to moderate-income people. CCNY will use the money for \"planning, design,\nconstruction, renovation and build out\" of the center, according to HUD.\n \nRangel said that he did not recall seeking the HUD grants but that he would not hesitate to\npursue more public money.\n 5 / 6 Rangel's Pet Cause Bears His Own Name - Washington Post\n \nTrump, who has also been a Rangel campaign supporter, has not donated to the project,\nthough Rangel visited him along with Williams on May 1, 2007.\n \n\"Charlie Rangel is the most honorable, honest politician in Washington and, frankly, anything\nhe's concerned with is 100 percent straight up,\" Trump said in a telephone interview.\n \nVictor Fleischer, a tax law expert at the University of Illinois College of Law, said Trump could\nbenefit from Rangel's local connections in New York City and his role in setting tax policy for\noverseas investment interests.\n \nButler, the college's chief fundraiser, said there was no pressure on businesses to give. \"We got\nturned down many more times than we got accepted,\" she said.\n \n\"As far as Congressman Rangel goes, starting with his war record and through 40 years of\npublic service, he's a man of great integrity and he's proved over and over again his dedication\nto the public good,\" she said, adding: \"He's a giant today.\"\n 6 / 6" }

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{ "pdf_file": "ST6INBKMLTFTUDWNHVI433RTQ5KYCWHG.pdf", "text": "Declassified WWII Era Documents\nIn the FY2009 Financial Services Appropriations bill, Rep. Steve Israel requested the National\nArchives and Records Administration prepare a report analyzing a cache of recently\ndeclassified WWII era documents related to the U.S. government's involvement with Nazi and\nJapanese war criminals.\n \nThe report was released in December 2010 and covers “evidence of war crimes and about\nwartime activities of war criminals; postwar documents on the search for war criminals;\ndocuments about the escape of war criminals; documents about the escape of war criminals;\ndocuments about the Allied protection or use of war criminals;  and documents about the\npostwar activities of war criminals.”\n“Since 1999, federal agencies have declassified millions of pages of documents detailing the\nUnited States involvement with Nazi and Japanese war criminals. This information has shed\nlight on a dark part of our history.  It’s imperative that we continue to learn about our past in\norder to inform our decisions about the future. I’m grateful to the National Archives for their\nilluminating report,” said Rep. Israel.\nDOWNLOAD THE REPORT\nIntro-Chapter 1\nChapter 2\nChapter 3\nChapter 4\nChapter 5-Conclusion\n \nThe report covers the following topics:\n \n - New revelations from the documents that discuss the first questioning of Hitler’s personal\nsecretary (p. 5-8); \n - New evidence about the background to German aggression against Poland (p. 8-9); \n - New materials about the search for Adolf Eichmann (p. 9-14); \n - New records supplementing our knowledge of Nazi aims in the Middle East, including the\nGerman intent to murder the Jewish population of Palestine with a special task force, and the\nrelationship between Gamal Abdel Nasser and Germans during the war (p. 17-30). \n - More information on how certain U.S. intelligence officers often overlooked the significant\nrole Gestapo officers played in the Holocaust (p. 35-49) \n - Discussion of approximately 1,200 newly released files relating to the penetration of\nGerman Communist activities and specifically to “Project Happiness,” the CIC’s codename for\ncounterintelligence operations against the German Communist Party (p. 40-43). \n 1 / 2 Declassified WWII Era Documents\n \n 2 / 2" }

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{ "pdf_file": "HHG5MLUR5GQ5MO622QRT7XNQRXCML7YP.pdf", "text": "Constituent Services\nServices Offered to Constituents\n \nI am pleased to offer special services to my constituents in California's 15th Congressional\nDistrict. As your representative to the U.S. Congress, I hope to assist you in dealing with the\nfederal government. If you aren’t sure which district you live in, please visit www.sccvote.org .\nAll you need is your address and Zip Code. Listed below are some ways in which my office may\nassist constituents:\n \n \n \nHelp with Federal Agencies\n \nSometimes it can be difficult to understand the complicated regulations of our federal agencies.\nClick here to find out how I may be able to assist you. The answer to your question may also be\navailable through this list of Frequently Asked Questions .\n \n \n \nWashington DC Tours\n \nIf you are planning a trip to Washington, DC, click here to find out how to request tickets to visit\nvarious DC sites, and to learn more about other attractions in and around our nation's capital.\n \n \n \nTown Hall Information\n \n 1 / 4 Constituent Services\nI regularly host constituent events such as office hours, telephone town halls and in-person\ntown halls to hear from Constituents of the 15th District.\n \n \n \nFlag Requests\n \nLooking for a way to commemorate a special occasion? Have a flag flown over the U.S. Capitol\nand sent to you.\n \n \n \nInternship Opportunities\n \nI offer internships in my Washington and Campbell offices to students who are interested in\nlearning more about the federal government.\n \n \n \nU.S. Service Academy Nominations\n \nHigh school students in the 15th District may request a nomination to a service academy.\n \n \n \n 2 / 4 Constituent Services\nStudent Advisory Council\n \nMy 15th Congressional District Student Advisory Council (SAC) is a signature program,\ndesigned to actively engage high school students in government affairs and socio-political\nissues.\n \n \n \nSmall Business Assistance Programs\n \nThe U.S. Small Business Administration offers loan and technical assistance programs for small\nbusinesses, including special programs for women, minorities, and veterans.\n \n \n \nGrants and Foundations\n \nInformation and links to resources regarding available government and private funding for a vast\narray of programs.\n \n \n \nFinancial Aid for Students\n \nA guide for students to help in the process of locating and applying for financial aid.\n 3 / 4 Constituent Services\n \n \n \nPage Service\n \nThe Constituent Page Program allows high school students to participate in the U.S. House of\nRepresentatives. I am excited to inform you that my office is eligible to nominate a\nCongressional Page to the U.S. House of Representatives Democratic Page Program during\nthe 2010 Summer Term.\n \n \n \nAn Artistic Discovery\n \nAn Artistic Discovery is the annual art contest conducted by Members of Congress for high\nschool students across the country. Pictures from the 2010 contest are now available.\n \n \n \n 4 / 4" }

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{ "pdf_file": "QZ74K7KFE4OPYKEUIOXGTTM6Q73UJP4C.pdf", "text": " \nBookletChart\n™\n \nGriffin Point and Approaches \nNOAA Chart 16042 \n \nA reduced -scale NOAA nautical chart for small boaters \nWhen possible, use the full -size NOAA chart for navigation. \n \n \n \n \n \n \n \n \n \n \n 2 \nPublished by the \nNational Oceanic and Atmospheric Administration \nNational Ocean Service \nOffice of Coast Survey \nwww.NauticalCharts.NOAA.gov \n888- 990-NOAA \n \nWhat are Nautical Charts? \n \nNautical charts are a f undamental tool of marine navigation. They show \nwater depths, obstructions, buoys, other aids to navigation, and much \nmore. The information is shown in a way that promotes safe and \nefficient navigation. Chart carriage is mandatory on the commercial \nships that carry America’s commerce. They are also used on every Navy \nand Coast Guard ship, fishing and passenger vessels, and are widely \ncarried by recreational boaters. \n \nWhat is a Booklet Chart? \n \nThis BookletChart is made to help recreational boaters locate \nthemselves on the water. It has been reduced in scale for convenience, \nbut otherwise contains all the information of the full -scale nautical \nchart. The bar scales have also been reduced, and are accurate when \nused to measure distances in this BookletCha rt. See the Note at the \nbottom of page 5 for the reduction in scale applied to this chart. \n \nWhenever possible, use the official, full scale NOAA nautical chart for \nnavigation. Nautical chart sales agents are listed on the Internet at \nhttp://www.NauticalCharts.NOAA.gov . \n \nThis BookletChart does NOT fulfill chart carriage requirements for \nregulated commercial vessels under Titles 33 and 44 of the Code of \nFederal Regulations. \n \nNotice to Mariners Correctio n Status \n \nThis BookletChart has been updated for chart corrections published in \nthe U.S. Coast Guard Local Notice to Mariners, the National Geospatial \nIntelligence Agency Weekly Notice to Mariners, and, where applicable, \nthe Canadian Coast Guard Notice to Mariners. Additional chart \ncorrections have been made by NOAA in advance of their publication in \na Notice to Mariners. The last Notices to Mariners applied to this chart \nare listed in the Note at the bottom of page 7. Coast Pilot excerpts are \nnot being corrected. \n \nFor latest Coast Pilot excerpt visit the Office of Coast Survey website at \nhttp://www.nauticalcharts.noaa.gov/nsd/searchbychart.php?chart=160\n42. \n \n(Selected Exc erpts from Coast Pilot) \nGriffin Point (70°03.6'N., 142°52.4'W.) is a \nlow sandspit that projects out from the \nmainland. A mile WNW of the point \nis Oruktalik Entrance , a narrow barrier \npassage through which a depth of about 5 \nfeet can be taken into Oruktalik Lagoon. \nThe barrier islands off Griffin Point continue SE for 3 miles; thence to Pokok Bay are 25 -\nto 30 -foot bluffs fronted by narrow, steep \nsand beach except for the last 1.5 miles. \nSmall boats can navigate very close to the \nbeach between Griffin Point a nd Pokok Bay. \nPokok Bay , 17 miles SE of Martin Point, is about 1 mile across. Bars \nextend out from both sides of the entrance. Depths are about 7 feet in the entrance and 10 to 12 feet in the bay proper. The entrance should \nbe approached from the W, but ca re must be taken to stay off the \nsandbar that makes out from the NW side. The bay has good holding \nbottom and good protection from ice and winds. \nTundra -covered Humphrey Point (69°58.3'N., 142°30.9'W.), on the SE \nside of Pokok Bay, has a low bluff and a na rrow sand beach. SE of Siku \nPoint are low barrier islands that cover in many places at high water. The \nseaward sides of the islands are irregular, and small boats must stay well \noffshore. \nAngun Lagoon , behind the barrier reef between Humphrey Point \nand Angun Point , 4 miles to the SE has depths of 10 to 11 feet. There is a \n10-foot bluff at Angun Point. The lagoon entrance, 1 mile NW of Angun \nPoint, is 75 to 100 yards wide and has a controlling depth of 8 feet. The barrier islands are subject to change; entra nce must be made with \ncaution. \nBeaufort Lagoon , with depths of 5 to 12 feet in the middle, extends \nabout 14 miles SE behind the barrier reef from Angun Point to Siku Point. The SE part of the lagoon from the delta of Aichilik River to Siku \nPoint has not be en surveyed but the entrances are known to be very \nshallow and subject to change. The principal entrance to the lagoon is a \nnarrow channel with a depth of 2 to 5 feet about 1.8 miles SE of Angun \nPoint; caution is advised. \nNuvagapak Lagoon , with depths of 8 to 10 feet in the middle, is S of \nBeaufort Lagoon and extends SE to the delta of Aichilik River from \nNuvagapak Point, a high tundra 1 mile back of the reef and 3.5 miles SE \nof Angun Point. Egaksrak Lagoon , S of Beaufort Lagoon between the \ndelta of Aichili k River and Siku Point, has not been surveyed. \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nU.S. Coast Guard Rescue Coordination Center \n24 hour Regional Contact for Emergencies \n \n RCC Juneau Commander \n 17th CG District (907) 463- 2000 \n Juneau, Alaska \nG \n \nNOAA’s navigation managers serve as ambassadors to the maritime community. \nThey help identify navigational challenges facing professional and recreational mariners, and provide NOAA resources and \ninformation for safe navigation. For additional information, please visit nauticalcharts.noaa.gov/service/navmanagers \n \nTo make suggestions or ask questions online, go to nauticalcharts.noaa.gov/inquiry . \nTo report a chart discrepancy, please use ocsdata.ncd.noaa.gov/idrs/discrepancy.aspx . \n \n \n \nLateral System As Seen Entering From Seaward \non navigable waters except Western Rivers \n \nPORT SIDE \nODD NUMBERED AIDS \n \nGREEN LIGHT ONLY \nFLASHING (2) PREFERRED CHANNEL \nNO NUMBERS – MAY BE LETTERED \nPREFERRED CHANNEL TO \nSTARBOARD \nTOPMOST BAND GREEN PREFERRED CHANNEL \nNO NUMBERS – MAY BE LETTERED \nPREFERRED CHANNEL \nTO PORT \nTOPMOST BAND RED STARBOARD SIDE \nEVEN NUMBERED AIDS \n \nRED LIGHT ONLY \nFLASHING (2) \nFLASHING FLASHING \nOCCULTING GREEN LIGHT ONLY RED LIGHT ONLY OCCULTING \nQUICK FLASHING QUICK FLASHING \nISO COMPOSITE GROUP FLASHING (2+1) COMPOSITE GROUP FLASHING (2+1) ISO \n \n \n \n \n\"1\" \nFl G 6s \n \n \nG \"9\" \nFl G 4s \n \n \nGR \"A\" \nFl (2+1) G 6s \n \n \nRG \"B\" \nFl (2+1) R 6s \n \n\"2\" \nFl R 6s 8 \n \nR \"8\" \nFl R 4s \nLIGHT \n \n \nG \nC \"1\" LIGHTED BUOY \n \n \nG \n\"5\" \n \n \n \nGR \n\"U\" \n \n \n \nGR \nC \"S\" \n \n \n \nRG \nN \"C\" \n \n \n \nRG \n\"G\" LIGHT \n \n \n6 \n \n \n \nR \nN \"6\" LIGHTED BUOY \n \n \n \nR \n\"2\n\" \nCAN DAYBEACON \nCAN NUN NUN \nDAYBEACON \n \nFor more information on aids to navigation, including those on Western Rivers, please consult the latest USCG Light List for your area. \nThese volumes are available online at http://www.navcen.uscg.gov \nNavigation Managers Area of Responsibility \nNortheast \nLt. Meghan McGovern \nmeghan.mcgovern@noaa.gov \nNorthwest and \nPacific Islands \nCrescent Moegling \ncrescent.moegling@noaa.gov Great Lakes Region \nTom Loeper \nthomas.loeper@noaa.gov \nChesapeake and \nDelaware Bay \nSteve Soherr \nsteve.soherr@noaa.gov \nCalifornia \nJeff Ferguson \njeffrey .ferguson@noaa.gov Mid-Atlantic \nLt. Ryan Wartick \nryan.wartick@noaa.gov \nAlaska \nLt. Timothy M. Smith \ntimothy .m.smith@noaa.gov Western Gulf Coast \nAlan Bunn \nalan.bunn@noaa.gov Central Gulf Coast \nTim Osborn \ntim.osborn@noaa.gov South Florida \nPuerto Rico \nU.S. Virgin Islands \nMichael Henderson Southeast \nKyle Ward \nkyle.ward@noaa.gov \nmichael.henderson@noaa.gov \n2 \n \n2 C U 5 1 \n VHF Marine Radio channels for use on the \nwaterways:\nChannel 6 – Inter-ship safety communications.\nChannel 9 – Communications between boats and \nship-to-coast.\nChannel 13 – Navigation purposes at bridges, locks, and \nharbors.Channel 16 – Emergency, distress and safety calls to \nCoast Guard and others, and to initiate calls to other \nvessels. Contact the other vessel, agree to another channel, and then switch.Channel 22A – Calls between the Coast Guard and the public. Severe weather \nwarnings, hazards to navigation and safety warnings are broadcast here.\nChannels 68, 69, 71, 72 and 78A – Recreational boat channels.\nGetting and Giving Help — Signal other boaters using visual distress signals (flares, orange flag, lights, arm signals); whistles; horns; and on your VHF radio. You are required by law to help boaters in trouble. Respond to distress signals, but do not endanger yourself.\nEMERGENCY INFORMATIONDistress Call Procedures\n• Make sure radio is on.• Select Channel 16.• Press/Hold the transmit button.• Clearly say: “MAYDAY , MAYDAY , MAYDAY .”• Also give: Vessel Name and/or Description;Position and/or Location; Nature of Emergency; Number of People on Board.• Release transmit button.• Wait for 10 seconds — If no responseRepeat MAYDAY call.\nHAVE ALL PERSONS PUT ON LIFE JACKETS!\nThis Booklet chart has been designed for duplex printing (printed on front and back of one sheet). If a duplex option is not available on your printer, you may print each sheet and arrange them back-to-back to allow for the proper layout when viewing.QRQuick References\nNautical chart related products and information -http://www.nauticalcharts.noaa.gov\nInteractive chart catalog - http://www.charts.noaa.gov/InteractiveCatalog/nrnc.shtml\nReport a chart discrepancy -http://ocsdata.ncd.noaa.gov/idrs/discrepancy.aspx\nChart and chart related inquiries and comments -http://ocsdata.ncd.noaa.gov/idrs/inquiry.aspx?frompage=ContactUs\nChart updates (LNM and NM corrections) -http://www.nauticalcharts.noaa.gov/mcd/updates/LNM_NM.html\nCoast Pilot online -http://www.nauticalcharts.noaa.gov/nsd/cpdownload.htm\nTides and Currents -http://tidesandcurrents.noaa.gov\nMarine Forecasts -http://www.nws.noaa.gov/om/marine/home.htm\nNational Data Buoy Center -http://www.ndbc.noaa.gov/\nNowCoast web portal for coastal conditions -http://www.nowcoast.noaa.gov/\nNational Weather Service -http://www.weather.gov/\nNational Hurrican Center -http://www.nhc.noaa.gov/\nPacific Tsunami Warning Center -http://ptwc.weather.gov/\nContact Us -http://www.nauticalcharts.noaa.gov/staff/contact.htm\nNOAA’s Office of Coast Survey The Nation’s ChartmakerFor the latest news from Coast Survey, follow @NOAAchartsNOAA Weather Radio All Hazards (NWR) is a nationwide network of radio stations broadcasting continuous \nweather information directly from the nearest National Weather Service office. NWR broadcasts official Weather Service warnings, watches, forecasts and other hazard information 24 hours a day, 7 days a week. \nhttp://www.nws.noaa.gov/nwr/\n" }

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{ "pdf_file": "YAR75QR36NY73EDTEVNGAJVVJ6TTYHE7.pdf", "text": "NÚMERO DE IDENTIFICACIÓN DE LA EMBARCACIÓN CUOTA \nNÚMERO DE DOCUMENTACIÓN DEL GUARDACOSTAS PUERTO DE ORÍGENNÚMERO DE MATRÍCULA DEL ESTADO NOMBREDOMICILIOCIIUDAD CÓDIGO POSTAL NO. TELEFÓNICO DE DÍA\nLa embarcación que se menciona anteriormente es de interés histórico según lo define la sección §9853.5 del Código de \nCertifico bajo pena de perjurio conforme a las leyes de California, que la información es verdadera y correcta. \nFECHA FIRMA\nOFFICE DATE CA SEQSOLICITUD DE PLACA \nHISTÓRICA PARA EMBARCACIÓN \nA Public Service Agency NÚMERO ASIGNADO A LA EMBARCACIÓN.MARCA DE LA EMBARCACIÓN\nFOR DEPT.\nUSE ONLY:( )\nX\nBOAT 100 (REV. 5/95) WWW\nNÚMERO DE IDENTIFICACIÓN DE LA EMBARCACIÓN CUOTA \nNÚMERO DE DOCUMENTACIÓN DEL GUARDACOSTAS PUERTO DE ORÍGEN.NÚMERO DE MATRÍCULA DEL ESTADO NOMBREDOMICILIOCIUDAD CÓDIGO POSTAL NO. TELEFÓNICO DE DÍA\nLa embarcación que se menciona anteriormente es de interés histórico según lo define la sección §9853.5 del Código de\nCertifico bajo pena de perjurio conforme a las leyes de California, que la información es verdadera y correcta. \nFECHA FIRMA\nOFFICE DATE CA SEQSOLICITUD DE PLACA \nHISTÓRICA PARA EMBARCACIÓN \nA Public Service Agency NÚMERO ASIGNADO A LA EMBARCACIÓN.MARCA DE LA EMBARCACIÓN\nFOR DEPT.\nUSE ONLY:( )\nX\nBOAT 100 (REV. 5/95) WWWVehículo de California\nVehículo de California" }

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{ "pdf_file": "FSZZW6LXFYIZLWSPDS3LUIYELMYHQLUI.pdf", "text": "If you have upcoming events or information\nthat you would like to see in the next issueof \nPublic Safety News , send it to Lynne\nMcBee, Office of Communications,Shipley Bldg., 4th floor, or via e-mail atlmcbee@dps.state.oh.us\nIT’S ABOUT SAFETYInside This IssueFebruary 2003\nPUBLIC SPUBLIC SPUBLIC SPUBLIC SPUBLIC S AFETYAFETYAFETYAFETYAFETY\nNEWSNEWSNEWSNEWSNEWS\n Bob Taft, Governor Kenneth L. Morckel, Director\n Editor: Lynne McBee Layout & Design: Kim Cox/Timothy Bates•Performance Ratings of\nDeputy Registrars Lead to\nFee Increase\n•Patrol Cars Cruise to NewColor\n•ESA Awards for FourthQuarter\n•Baby Boomers are Aging\n•Quality Quote\n•PS NEWS RovingReporter\n•Salute to Ohio—Ohio’sPresidents\n•Calling All Trivia Buffs\n•Who is it?Celebrate Ohio!\n Ohio to Celebrate 200th Birthday March 1\nThe state that gave the world flight, eight Presidents, the first person to walk on the moon, and the\nnation's top 2002 college football team turns 200 on March 1.\nOn that day, the Ohio Bicentennial Commission kicks off an eight-month celebration with a day of\nactivities to celebrate Statehood Day. The day's events will take place in historic Chillicothe, the siteof the state capital when Ohio entered the Union in 1803.\nOhio will celebrate its 200th Birthday with a variety of activities, including a prayer breakfast, a\nblack-tie ball, a special joint session of the Ohio General Assembly, the re-creation of an 1803village, the first day issuance of a U.S. Postal Service stamp recognizing Ohio statehood, and there-opening of Adena, the home of Thomas Worthington, recognized as the Father of Ohio Statehood.\nStatehood Day is just the start of a months-long celebration that will reach every corner of Ohio.\nOther activities will include a Tall Ships festival on the Lake Erie coastline in July, a re-enactment ofa wagon train cross the state in June and July, a riverboat festival on the Ohio River in October, anda month-long celebration of the centennial of flight in Dayton in July. The celebration will alsoinclude two days of fireworks, and entertainment in Columbus July 3-4.\nThese activities will happen on top of other projects that the Ohio Bicentennial Commission has\nundertaken over the past several years. One ongoing project will see 250-pound bronze BicentennialBells cast in 41 Ohio Counties. This project began in 2001 as a partnership between the BicentennialCommission and the Verdin Company of Cincinnati, Ohio's oldest family-owned manufacturer.When completed, the project will have cast a personalized bell in each of Ohio's 88 counties duringa two-day, out-in-the-open event.\nAnother enormously popular program has seen the Bicentennial Commission paint its logo on a\nbarn in each Ohio County. The barn paintings have become extremely popular, with hundreds ofOhioans cris-crossing the state to visit and photograph all 88 barns.\nIn addition, the Ohio Department of Public Safety (ODPS) began distributing the bicentennial\nplate in October 2001. The ODPS sold 1,384,013 bicentennial plates in 2001. In 2002, therewere 3,629, 611 plates sold. More than 5 million platesare now on the road advertising the bicentennial year.\nCommunity-based bicentennial celebrations will take place\nin the form of 40 Commission-funded Legacy Projects,which include antique car rallies, exhibits, living historyperformances and lecture series in different parts aroundthe state.\nA full list of all bicentennial activities, including a monthly\nCalendar of Events, is available at the Ohio BicentennialCommission Web site, www.ohio200.com. Look for\nSignature Events.\n The color is white. The reason is visibility. On February 14, 2003, the Ohio\nState Highway Patrol (OSHP) premiered its new Patrol cruiser at the an-nual awards banquet in Columbus. The Trooper of the Year, Sgt. Matthew\nR. Crow, received the first one and each district will be given one new car.\nGradually, the other charcoal gray cars will be phased out, usually when acar reaches 85,000 miles, which is approximately 33 months of service. Itwill take several years to change over the 1,200 marked Patrol cars.\nThe current dark color tends to blend in with roads during the day and can't\nbe seen at night. The death of two troopers in less than three years is afactor in the switch. Trooper Robert Perez was completing paperwork ona routine traffic stop on the Ohio Turnpike in Sandusky when a speeding\ncar hit the cruiser from behind and killed him on May 15, 2000.\nOn November 5, 2001, Trooper Frank Vazquez was approaching a car on\nInterstate 270 in Columbus when a sport utility vehicle hit him, the cruiser\nand the car he stopped. Vazquez died the next day.\nPatrol cruisers were white from 1970 until 1981. They became silver in\n1983 to celebrate the 50th anniversary of the founding of the Patrol. In1992, the cars became charcoal.\nThe decision to change colors was made last September, after the first\nPatrol Car Committee meeting. Committee members met one evening toobserve a patrol car demonstration in a parking lot on the state fairground.Headed by Major Robert Cassidy, the other members included Lt. Col.Michael W. Finamore, Capt. Lisa Taylor, Lt. Jim Wernecke, Lt. Brian Charles,\nLt. Rick Fambro, Lt. C. Lance Mathess, MCES Milan Orbovich, Sgt. Kay\nPerkins, Sgt. Walter Davis, Sgt. Dennis Lee, Fleet Mgr. Joe Price, Sgt. JohnRinko, Tpr. Kenneth Metz, and Tpr. Mark Neff.\nThe consensus of the committee was that the white Crown Victoria pro-\nvided far superior visibility at night when compared to the current issue graypatrol car. The new white cruisers will continue to move the Patrol in thedirection of providing troopers with the safest, most reliable, and best equip-\nment available.Effective January 1, 2003, the\ndeputy registrar fee increased from$2.75 to $3.25. A provision of the\nState's general revenue budget bill\n(HB 94), provided for an annual re-view of deputy registrars for the\npurpose of determining fees which\nwill be paid to transact driver li-cense and vehicle registration\nfunctions on behalf of the Bureau\nof Motor Vehicles (BMV). The feeis collected to reimburse deputy\nregistrars for their expenses in per-\nforming driver and vehicle registra-tion services on behalf of the state.\nDeputy registrars and their em-\nployees are not state employees.\nThe 50-cent increase is the result\nof the deputy registrars receivinga statewide satisfaction rating of\n90-percent or better on surveys\nconducted by The Ohio State Uni-versity. The study focused on thedelivery of services to Ohioans by\nthe 215 deputy registrar agencies.\nThe BMV's Registrar stated that theresults of the study are encourag-\ning and confirm that the BMV is\nmoving in the right direction withtheir customer focused approach.\nAccording to the survey, 90 percent\nof respondents reported a favor-able opinion regarding the perfor-\nmance of the BMV and 93 percent\nindicated that the Deputy RegistrarAgency they visited met or ex-\nceeded their expectations of qual-\nity customer care.\nThe deputy registrar fee is used in\ntransactions dealing with vehicleregistrations, out-of-state inspec-\ntions, driver licenses, state identi-\nfication cards and endorsementissuances. The fee increase will\naffect transactions completed\nthrough the deputy registrars, mail,phone and Internet.Performance Ratings\nof Deputy Registrars\nLead to Fee IncreasePATROL CARS CRUISE\nTO A NEW COLOR\n1934 Chevy1934 Chevy1934 Chevy1934 Chevy1934 Chevy1938 Con1938 Con1938 Con1938 Con1938 Con vvvvv.....\n1949 Ford1949 Ford1949 Ford1949 Ford1949 Ford\n1957 Chevy1957 Chevy1957 Chevy1957 Chevy1957 Chevy\n1970 Plymouth1970 Plymouth1970 Plymouth1970 Plymouth1970 Plymouth1993 Ford1993 Ford1993 Ford1993 Ford1993 Ford\n2001 Ford2001 Ford2001 Ford2001 Ford2001 Ford\n2003 Ford2003 Ford2003 Ford2003 Ford2003 Ford Baby Boomers\nAre Aging\nThe Excellence in Service (ESA) Awards ceremony was held on\nJanuary 8, 2003, in the Shipley Building Atrium. The followingemployees received awards: ESA Awards for Fourth\nQuarter\nAccording to a study that appeared\nin the August issue of the American\nJournal of Public Health , by the year\n2030, about 7 million baby boomersage 85 and older will have stopped\ndriving and will be forced to rely on\nother forms of transportation.\nWith this dependency comes a host\nof issues for baby boomer familiesand society in general. The study says\nthat more than 600,000 Americans\nstop driving each year. This numberis expected to rise sharply as baby\nboomers begin to retire.\nSeniors stop driving because of poor\neyesight, memory problems or other\nhealth-related problems that make itdifficult for them to get behind the\nwheel, according to Jeff Runge, the\nadministrator for the National HighwayTraffic Safety Administration\n(NHTSA).\nIt becomes harder for older people to\nrely on bus transportation because\nthey may have trouble walking to thebus stop. Some communities have\nbegun offering services that provide\ncurb-to-curb service; but in manyplaces, seniors have to rely on family\nand friends.\nRunge suggests that adult children\ntake a hard look at the situation be-\nfore a crisis occurs and says it is of-ten a person's doctor that can assess\nthe situation and help tell the older\nperson they are no longer fit to drive.\nManagement: Debbie Bell,\nTitlesLaw Enforcement: George Pitre,\nInvestigative Unit\nOffice Support: Dustyn Fox,\nInformation Services\nToll-Free Number and E-mail Address\nOhioans can now address their Bureau of Motor Vehicles (BMV) concerns at a toll-freenumber and an e-mail address. Any comments, suggestions or recommendations inreference to the BMV can be phoned in or e-mailed at:\n1-866-238-2888 or E-mailed to AdviseBMV@dps.state.oh.us\nOhioans who wish to discuss an individual case must continue to call 614/752-7500.\n Quality\nQuote\nCalling all\nTrivia Buffs\nE-mail your answer to: lmcbee@dps.state.oh.us QQQQQThe PSNEWS Roving Reporter\nAAAAAAAAAA\nIn January's issue, the person is Rick Fulton.\nHe works in the Governor's Highway SafetyOffice (GHSO) on the fourth floor.\nThese people knew the answer:Dustyn Fox, Melony Simpson, Rhonda\nMeggitt, Donna Dehl, Tamara Larrick and\nGeri Berry.\n○○○○○○○○○○○○○○○○○○○○○Who is it?Who is it?Who is it?Who is it?Who is it?\nThis person works in the Financial\nResponsibility Section of the BMV.The Automobile Division changed to the\nBureau of Motor Vehicles in 1925.\nThese people knew the answer:\nDustyn Fox and Peggy Barber\nCarol SpencerWhat television show won the\n\"People's Choice\" Award for bestdrama for 2002?\nSend your guesses to lmcbee@dps.state.oh.usWhat is your most favorite romantic movie?\n\"The Quiet Man starring John Wayne and Maureen O'Hara.\" Nancy Boyd, EMA\n\"It is the Bridges of Madison County !\" Sue Rance-Locke, OSHP\n\"I'd have to say right off the top of my head my all time favorite romantic movie\nwould be Sleepless in Seattle starring Meg Ryan and Tom Hanks.\" Tammy\nBonner, ACF\n\"My favorite romantic movie of all time is Notting Hill with Hugh Grant and Julia\nRoberts. It's a funny love story, and the soundtrack is awesome. My (now)husband asked me out on a date to see this movie when we were dating; andduring the movie, he said he wondered if he could spend the rest of his life withme...I guess I know the answer!\" Sabrina Straight, ACF\n\"My favorite romantic movie is Terms of Endearment with Debra Winger, Shirley\nMacLaine and Jack Nicholson.\" Louise Davidson, Training\n\"Titanic .\" Diane Walton, EMS\n\"An Officer and A Gentleman . Close second: Pretty Woman .\" Barbara Hamilton,\nBMV\nOhio's Presidents\nAmazing as it may sound, more U.S. presidents were born or reared in\nOhio than in any other state in the union. Boasting a total of eight, Ohiohas earned the nickname, \"The Mother of Presidents.\" They were:\nWilliam Henry Harrison-9th President, North Bend, OH\nUlysses Simpson Grant-18th President, Point Pleasant, OHRutherford Birchard Hayes-19th President, Delaware, OHJames Abram Garfield-20th President, Orange OHBenjamin Harrison-23rd President, North Bend, OH\nWilliam McKinley-25th President, Niles, OH\nWilliam Howard Taft-27th President, Cincinnati, OHWarren Gamaliel Harding-29th President, Blooming Grove, OHSalute to OhioSalute to OhioSalute to OhioSalute to OhioSalute to Ohio\nProud to be a Buckeye \"I've learned that it's those small, daily happenings\nthat make life so spectacular.\" Andy Rooney○○○○○○○○○○○○○○○○○○○○○\n(Source: Ohio Division of Travel and Tourism)AAAAAAAAAA\nAAAAA\nAAAAA\nAAAAA\n" }

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{ "pdf_file": "GZ4X7A3RHNQOWPWZQJ5LHKIZ3JTHSIZI.pdf", "text": "11032 Federal Register / Vol. 69, No. 46 / Tuesday, March 9, 2004 / Notices \nand (10) the contact information of an \nagency official familiar with the proposal and the OMB Desk Officer for the Department. \nThis notice also lists the following \ninformation: \nTitle of Proposal: Request for \nConstruction Change. \nOMB Approval Number: 2502 –0011. Form Numbers: HUD –92437, HUD –\n92441, HUD –92442, HUD –92442 –\nA,HUD –92442 –CA, HUD –92442 –A–CA. \nDescription of the Need for the \nInformation and Its Proposed Use: This \nis a request for reinstatement of the approval to collect the subject information. The information is submitted by contractors and architects through mortgagees/lenders to obtain \napproval of proposed changes to previously approved contract drawings and/or specifications. \nRespondents: Business or other for-\nprofit, Not-for-profit institutions. \nFrequency of Submission: On \noccasion. \nReporting Burden:\nNumber of respondents Annual responses × Hours per response = Burden hours \n900 5 4.6 20,700 \nTotal Estimated Burden Hours: \n20,700. \nStatus: Reinstatement, without \nchange, of previously approved collection\nAuthority: Section 3507 of the Paperwork \nReduction Act of 1995, 44 U.S.C. 35, as amended.\nDated: February 3, 2004. \nWayne Eddins, Departmental Reports Management Officer, \nOffice of the Chief Information Officer.\n[FR Doc. 04 –5202 Filed 3 –8–04; 8:45 am] \nBILLING CODE 4210 –72–P\nDEPARTMENT OF HOUSING AND \nURBAN DEVELOPMENT \n[Docket No. FR –4800–FA–04] \nAnnouncement of Funding Awards for \nthe Assisted Living Conversion Program Fiscal Year 2003\nAGENCY: Office of the Assistant \nSecretary for Housing —Federal Housing \nCommissioner, HUD.\nACTION: Notice of funding awards.\nSUMMARY: In accordance with section \n102 (a)(4)(C) of the Department of Housing and Urban Development Reform Act of 1989, this announcement \nnotifies the public of funding decisions made by the Department in a competition for funding under the Super Notice of Funding Availability (SuperNOFA) for the Assisted Living Conversion Program. This announcement contains the names of the awardees and the amounts of the awards made available by HUD.\nFOR FURTHER INFORMATION CONTACT : \nWillie Spearmon, Director, Office of Housing Assistance and Grant Administration, 451 7th Street, SW., Washington, DC 20410 –8000; telephone \n(202) 708 –3000 (this is not a toll-free \nnumber). Hearing- and speech-impaired persons may access this number via TTY by calling the Federal Relay Service toll-free at 1 –800–877–8339. For \ngeneral information on this and other HUD programs, visit the HUD Web site at http://www.hud.gov.\nSUPPLEMENTARY INFORMATION : The \nAssisted Living Conversion Program is authorized by Section 202(b) of the Housing Act of 1959 (12 U.S.C. 1701q –\n2). The competition was announced in the SuperNOFA published in the Federal Register on April 25, 2003 (68 \nFR 21793). Applications were rated and selected for funding on the basis of selection criteria contained in that \nNotice. \nThe Catalog of Federal Domestic \nAssistance number for this program is 14.314. \nThe Assisted Living Conversion \nProgram is designed to provide funds to private nonprofit owners to convert their projects (that is, projects funded under Section 202, Section 8 project-based (including Rural Housing Services ’ Section 515), Section 221(d)(3) \nBMIR, Section 236, and unused and underutilized commercial properties) to assisted living facilities. Grant funds are used to convert the units and related space for the assisted living facility. \nA total of $15,371,991 was awarded to \nnine projects for 178 units nationwide. In accordance with section 102(a)(4)(C) of the Department of Housing and Urban Development Reform Act of 1989 (103 Stat. 1987. 42 U.S.C. 3545), the Department is publishing the grantees and amounts of the awards in Appendix A of this document.\nDated: February 19, 2004. \nJohn C. Weicher, Assistant Secretary for Housing-Federal \nHousing Commissioner.\nAppendix A\nFY2003 G RANTEES FOR THE ASSISTEDLIVINGCONVERSION PROGRAM \nGrantees Amount \nLutheran Senior, 1201 N. Harrison St., Wilmington, DE 19806 .................................................................... ............................... $2,709,721.00 \nImmanuel House, 15 Woodland Street, Hartford, CT 06105 ......................................................................... ............................... 408,850.00 \nThe Bernardine, 700 East Brighton, Syracuse, NY 13205 .......................................................................... ................................. 1,087,987.00 \nAllamakee Housing Inc., 607 2nd St. SW, Waukon, IA 52172 ....................................................................... .............................. 1,217,714.00 \nMercy Manor Inc., 334 Golf View Drive, Albany, MN 56307 ........................................................................ ................................ 1,169,465.00\nNew Hope Volunteers, 1660 Duke Street, Alexandria, VA 22314 .................................................................... ............................ 1,568,208.00 \nKivel Manor, 3020 North 36th Street, Phoenix, AZ 85018 ......................................................................... .................................. 3,540,574.00 \nMenorah Plaza Housing, 4925 Minnetonka Blvd, St. Louis Park, MN 55416 .......................................................... .................... 1,391,850.00 \nJewish Apartments, 15100 West Ten Mile, Oak Park, MI 48237 ..................................................................... ............................ 2,277,622.00 \nVerDate jul<14>2003 17:59 Mar 08, 2004 Jkt 200001 PO 00000 Frm 00061 Fmt 4703 Sfmt 4703 E:\\FR\\FM\\09MRN1.SGM 09MRN1 11033 Federal Register / Vol. 69, No. 46 / Tuesday, March 9, 2004 / Notices \n[FR Doc. 04 –5200 Filed 3 –8–04; 8:45 am] \nBILLING CODE 4210 –27–P\nDEPARTMENT OF HOUSING AND \nURBAN DEVELOPMENT \n[Docket No. FR –4922–N–01] \nPrivacy Act of 1974; Notice of \nMatching Program: Matching Tenant Data in Assisted Housing Programs\nAGENCY: Office of the Chief Information \nOfficer, HUD.\nACTION: Notice of a computer matching \nprogram between the Department of Housing and Urban Development (HUD) and the Social Security Administration (SSA) and the Internal Revenue Service (IRS). \nSUMMARY: Pursuant to the Computer \nMatching and Privacy Protection Act of \n1988, as amended, and the Office of Management and Budget ’s (OMB) \nGuidance on the statute, HUD is updating its notice of a matching program involving comparisons between income data provided by applicants or participants in HUD ’s \nassisted housing programs and independent sources of income information. The matching program will be carried out to detect inappropriate (excessive or insufficient) housing assistance under the National Housing Act, the United States Housing Act of 1937, section 101 of the Housing and Community Development Act of 1965, the Native American Housing Assistance and Self-Determination Act of 1996, and the Quality Housing and Work Responsibility Act of 1998. The program provides for the verification of the matching results and the initiation of appropriate administrative or legal actions, primarily through public housing agencies (HAs) and owners and agents (all collectively referred to as POAs). Indian tribes and tribally designated housing entities (TDHEs) are not a mandatory component of the computer matching program. Participation by Indian tribes and TDHEs is discretionary; however, they may receive and use social security and supplemental security income matching information provided by HUD. \nThis notice provides an overview of \ncomputer matching for HUD ’s assisted \nhousing programs. Specifically, the notice describes HUD ’s program for \ncomputer matching of its tenant data to: (a) The SSA ’s earned income and the \nIRS’s unearned income data, (b) SSA ’s \nwage, social security, supplemental security income and special veterans benefits data, (c) State Wage Information Collection Agencies ’ (SWICAs ’) wage and unemployment benefit claim \ninformation, and (d) the Office of Personnel Management ’s (OPM) \npersonnel data.\nDATES: Effective Date: Computer \nmatching is expected to begin on April \n8, 2004, unless comments are received which will result in a contrary determination, or 40 days from the date a computer matching agreement is signed, whichever is later. \nComments Due Date: April 8, 2004.\nADDRESSES : Interested persons are \ninvited to submit comments regarding this notice to the Rules Docket Clerk, Office of General Counsel, Room 10276, Department of Housing and Urban Development, 451 Seventh Street, SW., Washington, DC 20410 –0500. \nCommunications should refer to the above docket number and title. Facsimile (FAX) comments are not acceptable. A copy of each communication submitted will be available for public inspection and copying between 7:30 a.m. and 5:30 p.m. weekdays at the above address.\nFOR FURTHER INFORMATION CONTACT : For \nPrivacy Act: Jeanette Smith, \nDepartmental Privacy Act Officer, Room P8001, Department of Housing and Urban Development, 451 Seventh Street, SW., Washington, DC 20410, telephone number (202) 708 –2374. A \ntelecommunications device for hearing- and speech-impaired individuals (TTY) is available at 1 –800–877–8339 (Federal \nInformation Relay Service). \nFor further information from recipient \nagency: Elking Tarver, Project Manager, \nTenant Assessment Sub-System, Real Estate Assessment Center, Department of Housing and Urban Development, 1280 Maryland Avenue, SW., Suite 800, Washington, DC 20024 –2635, telephone \nnumber (202) 708 –4932, extension 3235.\nSUPPLEMENTARY INFORMATION : This \nnotice supersedes a similar notice published in the Federal Register on \nMay 5, 2003 (68 FR 23753). Since that time, the matching program has been implemented on a large scale. In previous years, the computer matching was carried out for random samples of households receiving rental assistance or for selected POAs. During calendar year 1999, HUD used the matching program for a large-scale computer matching project involving over 2 million households. HUD announced plans for the large-scale implementation of the program in 64 FR 49817 (September 14, 1999). \nThe Computer Matching and Privacy \nProtection Act (CMPPA) of 1988, an amendment to the Privacy Act of 1974 (5 U.S.C. 552a), OMB ’s guidance on this \nstatute entitled ‘‘Final Guidance Interpreting the Provisions of Public \nLaw 100 –503, the CMPPA of 1988 ’’ \n(OMB Guidance), and OMB Circular No. A–130 requires publication of notices of \ncomputer matching programs. Appendix I to OMB ’s Revision of Circular No. A –\n130, ‘‘Transmittal Memorandum No. 4, ’’ \nManagement of Federal Information Resources, ’’ prescribes Federal agency \nresponsibilities for maintaining records about individuals. In with the CMPPA and Appendix I to OMB Circular No. A –\n130, copies of this notice are being provided to the Committee on Government Reform and Oversight of the House of Representatives, the Committee on Governmental Affairs of the Senate, and OMB ’s Office of \nInformation and Regulatory Affairs. \nI. Authority \nThis matching program is being \nconducted pursuant to sections 3003 and 13403 of the Omnibus Budget Reconciliation Act of 1993 (Pub. L. 103 –\n66, approved August 10, 1993); section 542(b) of the 1998 Appropriations Act (Pub. L. 105 –65); section 904 of the \nStewart B. McKinney Homeless Assistance Amendments Act of 1988 (42 U.S.C. 3544); section 165 of the Housing and Community Development Act of 1987 (42 U.S.C. 3543); the National Housing Act (12 U.S.C. 1701 –1750g); \nthe United States Housing Act of 1937 (42 U.S.C. 1437 –1437z); section 101 of \nthe Housing and Community Development Act of 1965 (12 U.S.C. 1701s); the Native American Housing Assistance and Self-Determination Act of 1996 (25 U.S.C. 4101 et seq. ); and the \nQuality Housing and Work Responsibility Act of 1998 (42 U.S.C. 1437a(f)). \nThe Omnibus Budget Reconciliation \nAct of 1993 (Budget Reconciliation Act) authorizes HUD to request from the SSA and the IRS Federal tax information as prescribed in section 6103(l)(7) of title \n26 of the United States Code (Internal Revenue Code). Section 542(b) of HUD ’s \n1998 Appropriation Act (Pub. L. 105 –\n65; October 27, 1997) eliminated a September 30, 1998, sunset provision to 26 U.S.C. 6103(l)(7)(D)(ix) of the Internal Revenue Code, effectively making permanent the authority for SSA and IRS disclosures of federal tax information to HUD. \nThe Federal tax information that HUD \nreceives includes income data that individuals receive from employers and financial institutions ( e.g., income data \nthat would be shown on IRS Form W –\n2 and Form 1099) for use in preparing tax returns. The Budget Reconciliation Act prohibits HUD redisclosure of tax data to POAs. However, it allows HUD to disclose the fact that discrepancies \nVerDate jul<14>2003 17:14 Mar 08, 2004 Jkt 200001 PO 00000 Frm 00062 Fmt 4703 Sfmt 4703 E:\\FR\\FM\\09MRN1.SGM 09MRN1" }

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{ "pdf_file": "DTUUL6SJCKWTMKUHW4EBFNTNIZCMIM2H.pdf", "text": "SECURITI ES AND E XCHANGE COMMISSION \n(Release No. 34-54941; File No. SR-Phlx-2006-70) \nDecember 1 4, 2006 \nSelf-Regulatory Organizations; Philadelphia St ock Exchange, Inc.; Notice of Filin g and \nImmedia te Effectiveness of Propos ed Rule Change and Amendment No. 1 Thereto To \nAdopt Fees for the Trading of Equity Securities on XLE \nPursuant to Section 19 (b)(1) of the S ecurities Ex change Act of 1934 (“Act”),1 and Rule \n19b-4 thereunder,2 notice is hereby given that on N ovember 2, 2006, the Philadelphia Stock \nExchange, Inc. (“Phlx” or “Exchange”) filed with the Securities and Exchange Commission \n(“Comm ission”) the p roposed rule c hange as des cribed in Ite ms I, II, and III be low, which Item s \nhave been prepared by th e Phlx. On Decem ber 12, 2006, the Exchange filed Am endment No. 1 \nto the proposed rule change.3 The Exchange has designated this am ended proposal as one \nestablishing or changing a due, fee, or other charge im posed by the Exchange under S ection \n19(b)(3 )(A),4 and Rule 19b-4(f)(2) thereunder,5 which renders the proposal effective up on filing \nwith the Commission. The Comm ission is publish ing this notice to solicit comm ents on the \nproposed rule change, as am ended, fr om interested persons. \n1 15 U.S.C. 78s(b)(1). \n2 17 CFR 24 0.19b-4. \n3 In Partial Amendment No. 1, which supplem ented the proposal as originally filed, the Exchange \nmade s everal clarify ing changes to furthe r explain the assessment of the proposed fees in \nconnection with its new equit y tradin g system and made other technical changes to the ori ginal \nfiling. In addition, t he Exchange include d a re vised Exhibit 5A in Partial Amendment No. 1 t o \nreflect te chnical and clarif ying changes made ther ein, which, for clarity and ease of reference, \nreplaces the Exhibit 5A contained in the original filing. The Exchange did not propose any new \nfees in Partial Amendment No. 1. \n4 15 U.S.C. 78s(b)(3)(A). \n5 17 CFR 240. 19b-4(f)(2) . I. \t Self-Regulatory Organization’s Statem ent of the Terms of Substance of the \nProposed Rule Change \nThe Phlx proposes to adopt the proposed fees described below for the trading of equity \nsecurities on the Exchange in connection with its ne w equity system (“XLE”).6 With XLE, the \nExchange no longer operates a physical trading fl oor for equity securities or the Philadelphia \nStock Exchange Autom ated Communicat ion and Execution (“PACE”) system .7 Therefore, the \nExchange proposes to ad opt a new fee schedule to accomm odate th e trad ing of equity securities \non XLE and to am end Appendix A of the Exchange ’s fee sch edule to ado pt XLE-rela ted fees, \ndelete obsolete fees, and modify other fees that will no longer apply to eq uity trading.8 The text \nof the proposed rule change is av ailable on the P hlx’s W eb site at http://www.phlx.com , at the \nPhlx’s Office of the Secretary, and at the Comm ission’s Public Reference Room .9 \nII. \t Self-Regulatory Organ ization’s Statemen t of the Purpose of, and Statutory Basis \nfor, the Proposed Rule Change \nIn its filing with the Commission, Phlx incl uded statem ents concerning the purpose of, \nand basis for, the proposed rule change and di scussed any comments it re ceived on the proposal. \nThe text of these statem ents m ay be exam ined at the places sp ecified in Item IV below. Phlx has \n6 XLE is designed to pr ovide the opport unity for entire ly autom ated executions to occur within a \ncentral matching s ystem accessible by Exchange me mbers and me mber organizations and the ir \nSponsored Pa rticipants. See Securities Exchange Act Release No. 54538 (September 28, 2 006), \n71 FR 59 184 (October 6, 2 006) (SR-Phl x-2006-43). \n7 PACE was the Exchange’s order routi ng, deliv ery, execution and r eporting s ystem for its equity \ntrading flo or. The Commission notes tha t XLE co mmenced lim ited operations o n Novem ber 10, \n2006 . \n8 Although the fees proposed herein have been file d to beco me immediately effective, the fees will \nnot becom e operative until the Exchange discon tinues its phy sical equities trading floor and \ncommences o peration of X LE. See Securities Exchange Act Release No. 54538 (Septem ber 28, \n2006), 71 FR 5918 4 (Octob er 6, 200 6) (S R-Phlx-200 6-43) (order ap provin g XLE rules). The \nCommission notes that XLE commenced lim ited operations on No vember 10, 2 006. \n9 The Stock Cl earing Corpor ation of Ph iladelphia (“SCCP”) filed a separate proposed rule change \nwith the Commission to amend its fee s chedule to re flect fee s asso ciated with the trade proces sing \nof equity securities through SCCP in connection with XLE. See SR-SCCP-2006-04. \n2\n prepared summaries, set forth in Sections A, B, and C below, of the m ost significant aspects of \nsuch statements. \nA. \t Self-Regulatory Organ ization’s Statement of the Purpose of, and \nStatutory B asis for, the Proposed Rule Change \n1. \t Purpose \nThe purpose of the proposed ru le change is to adopt a f ee schedule for the trading of \nequity s ecurities on the Excha nge in connection with XLE. The XLE fee schedule includes \ntransaction fees (execution and routing fees), covered sale fees , and system fees, as well as a \nmarket data revenue sharing proposal. Changes to Appendix A of the Exchange’s fee schedule \ninclude perm it fees, application fees, and a m odified exam ination fee, as well as the d eletion of \ncertain f loor-based f ees. All the p roposed f ees will be a ssesse d on Exchange m embers or \nmember organizations, which m ay include Sponsoring Mem ber Organizations,10 (collectively \nreferred to herein as “m ember organizations ”). Sponsoring Mem ber Organizations are \nresponsible for the fees generated by their Sponsored Participant’s activities. \nTransaction Fees \nWith respect to securities trading at or above $1.00, the Exchange intends to charge \nmember organizations an execution fee, ra nging from $0.0026 to $0.003 per share, depending on \nthe num ber of total sh ares executed monthly,11 for orders that rem ove liquidity from XLE. \n10 A Sponsoring Mem ber Org anization is a mem ber organization that has authorized access to XLE \nfor a Sponsor ed Participant (a person who has acce ss to XLE which is authorized by a Sponsor ing \nMem ber Org anization). See Phlx Rules 1(jj) and 1(kk). \n11 The “total m onthly shares” executed includes executions resulting from removing and providing \nliquidity on XLE and crosses exe cuted on XLE, as well as share s executed when routed via X LE \nto an away trading center and executed on that aw ay trading center, except for li quidit y provided \nby incom ing NMS Linkage Orders or ITS Commit ments. The tot al monthl y shares will be \ncalculated s eparately per XLE Participant Organi zation, which, for purposes of this proposal, \nrefers to Sponsored Participants, Sponso ring Me mber Organizations, and m ember organization s \nwithout Sponsored Participants. Thus, Sponsored Part icipant activity will accrete towards that \nSponsored Pa rticipant’s v olume tier and not towards t he Sponsori ng Mem ber Organization’s \n3\n Additiona lly, the Exchan ge intend s to offer an execution credit to m ember organizations, ranging \nfrom $0.002 to $0.0026 per share, for orders that provi de liquidity to XLE. Any available credits \nwould be applied to the m ember organization’ s monthly invoice. Excess credits would be \ncarried over into subsequent m onths or rebate d to the applicable m ember organization, as \nrequested by the m ember organization. \nThe purpose of adopting the volum e tiers in connection with the assessm ent of \ntransaction fees is to encour age XLE Participan t Organizatio ns to send and execute orders on \nXLE. The volum e tiers are based on the m onthly shares executed per XL E Participant \nOrganiza tion; for Tier 1 (less than or equa l to 10 m illion shar es execu ted), the Exchan ge \nproposes to assess a fee of $0.003 pe r share executed to rem ove liq uidity and give a credit of \n$0.002 per s hare executed for providing liquid ity; for Tier 2 (greater th an 10 m illion and less \nthan or equ al to 50 m illion shares ex ecuted ), the Exchange proposes to as sess a fee of $0.0028 \nper share executed to remove liquidity and give a cred it of $0.0025 per share executed for \nproviding liquidity; for Tier 3 (g reater than 50 m illion and less than or equal to 200 m illion \nshares executed), the Exchange proposes to assess a fee of $0.0027 per share executed to rem ove \nliquidity and give a credit of $0.0026 per share executed for providing liquidity; and for Tier 4 \n(greater than 200 m illion shares ex ecuted), the Exchange pro poses to as sess a fee of $0.0026 per \nshare executed to rem ove liquidity and give a credit of $0.0026 per share executed for providing \nliquid ity. For each of th e four volum e tiers desc ribed abov e, the Exchange proposes to charg e a \nflat routing fee of $0.0036 per share executed when an order is routed via XLE to an away \ntrading center and execu ted on that away trading center. \nvolum e tier. Once a specif ic tier has been reached in a m onth, all transactions for that m onth will \nbe subject to t he fee that corresponds with that vo lume tier. See also infra notes 15 and 16. \n4 In addition, in lieu of the above-referenced execution fees , the Exchange proposes to \nadopt a separate execution fee for securities executed on XLE at a per share price below $1.00 \nthat rem ove liquidity. For these securiti es, the E xchange would charge 0.1% ( i.e., 10 basis \npoints) of the total dollar value of the transaction. The Exchange is not proposing an execution \nfee credit for providing liquidity for shares with a per share price below $1.00. Such executed \nvolum e for securities trading below $1.00 will a ccrete towards the volu me tier breakpoint per \nXLE Participant Organization. \nAdditional transaction f ees are set f orth on the proposed fee schedul e under the heading \n“Miscellaneous Transaction Fees.” Miscellan eous Transaction Fees would be assessed in lieu of \nthe general transaction f ees desc ribed above. The Exchange propos es to adopt an execution fee \nof $0.0023 per share per side for Imm ediate or Cancel (“IOC”) Cross Orders and Mid-Point \nCross Orders entered over technology provided by Phlx.12 The Exchange is not proposing to \nadopt any transaction fees ( i.e., execution fee for rem oving li quidity or execution credit for \nproviding liquidity) for execu tions of IOC Cross Orders13 and Mid-Point Cross Orders14 with \nrespect to orders entered over technology that is not provided by the Exchange. There also \nwould be no execution credit for any IOC Cro ss or Mid-Point Cross transactions, whether \n12 Phlx inten ds to prov ide opt ional technol ogy to XLE P articipants for the entr y of two-sided ord ers \ninto XLE. \n13 IOC Cross Orders are two-sided orders that match i mmediately and autom atically on XLE the \nidentified buy-side with the identified sell-side. Specifically , an IO C Cross Orde r is a two-sided \norder that executes, in its entirety, at the speci fied price, provided that XLE will cancel an IOC \nCross Order at the tim e of order entr y under certain conditi ons. See Phlx Rules 185(c) and \n185(c)(2). \n14 A Mid-Point Cross Order is a two-sided order that executes, in its entirety, at the midpoint of the \nbest Protected Bid and the best Protected Offer in a security . These orders will match \nimmediately and autom atically on XLE the identifie d buy -side wit h the identifie d sell-side. See \nPhlx Rules 185(c) and 185(c)(1). \n5\n entered over technology provided by Phlx or not.15 In addition, in conne ction with IOC Cross \nOrders and Mid-Point Cross Or ders entered over technology provi ded by Phlx, there would be a \n$50 m aximum fee per trade side. \nThe execution fee for Odd Lot Orders16 would be $0.003 per share executed, which \napplie s to or ders in itially enter ed as Odd Lot Or ders and executed in XL E. There would be no \nexecution cr edit f or ord ers initially e ntered as Odd Lot Orders and executed on XLE. Also, for \nincom ing NMS Linkage Orders or ITS Comm itments routed to Phlx and executed on XLE, the \nExchange proposes to charge $0.003 per share for rem oving liquidity.17 The Exchange is \nproposing to delete from its Summ ary of E quity Charges the Outbound ITS fee and Net Inbound \nITS Credit, since the Exchange will no longer assess an Outbound ITS fee or give a Net Inbound \nITS Credit. \nCovered Sale Fee \nThe Exchange will con tinue to cha rge a Covered Sale Fee. Each m ember and m ember \norganization engaged in executing sale tr ansactions on the Exchange or executing transactions, \nwhich were routed over the Interm arket Trading System or pursuant to the NMS Linkage Plan, \n15 Executed vol ume for IOC Cross and Mid-Point Cross Orders, whether entered over technolog y \nprovided by the Exchange or not, will accrete towards the volum e tier breakpoint per XLE \nParticipant Organization that is a party to the execution. \n16 An Odd Lot Order means an order for l ess than a round lot, which is defined for purposes of XLE \nas a unit of tr ading that is 100 shares. See Phlx Rules 1(w) and 1(g g). Executed volum e for \norders initially entered as Odd Lot Orders a nd execu ted on XLE will accr ete towards the volum e \ntier breakpoin t per XLE Participant Organization. \n17 This fee will be assessed o n the m ember orga nization sponsoring the NMS Linkage Order or ITS \nCommitment or, if there is no m ember organi zation sponsorin g the NMS Linkag e Order or ITS \nCommitment, on the excha nge or the Par ticipant in the National Association of Se curities \nDealers, Inc. Alternative Display Facilit y (“ADF Part icipant”) sending the ITS C ommit ment or \nNMS Linkag e Order. The arrangem ent to charge other exchanges or ADF Partici pants was par t \nof separate pr oposed rule c hanges that were approved by the Commission. See Securities \nExchange Act Release Nos. 545 48 (Sept ember 29, 20 06), 7 1 FR 59 159 (October 6, 20 06) (SR-\nPhlx-20 06-58) and 54 555 ( October 2, 20 06), 7 1 FR 59 577 (October 10, 2 006) (S R-Phlx-200 6­\n60). \n6\n on another exchange or on a Participant in NAS D’s Alternative Display Facility during any \ncomputational per iod sha ll pay a Cov ered Sale Fe e equal to (i) the Section 31 f ee rate multiplied \nby (ii) the m ember’s aggregate dollar am ount of c overed sales.18 \nSystem Fees \nThe Exchange proposes to charge a monthly FIX19 Com puter-to-Com puter Interface \n(CTCI) Port Fee20 of $100.00 per port. At this tim e, how ever, the Exchange does not intend to \ncharge for monthly Drop Copy Feeds,21 Monthly Phlx System s,22 or Depth of Book Data \nFeeds.23 \nMarketing Data Revenue Sharing \nIn addition, the Exchange is proposing to adopt a quarterly m arket data revenue sharing \nprogram that would provide for 50% of gross m arket data revenue to be sh ared with th e member \norganization responsible fo r providing the liquidity portion of the trade. Sponsored Participant \ntrades will be credited to the applicable Sponsoring Mem ber Or ganization. Any m arket data \nrevenue would be paid to the applicable member organization on a quarterly basis. \n18 See Phlx Rul e 607 and Sec urities Exchange Act Release No. 54555 (October 2, 2006), 71 FR \n5957 7 (Octob er 10, 20 06) ( SR-Phlx-200 6-60) (am ending Phl x Rule 607). See also Partial \nAmendment No. 1, supra note 3 (m aking conform ing edits to the C overed Sale Fee rule text to \nreflect the amended version of Phlx Rule 607). A Sponsoring Member Organization is \nresponsible for the Covered Sale Fees generated in connection wit h its Sponsored Participant’ s \nsale trans actions. \n19 The Financial Inform ation eXchange (“FIX”) Protocol is a messaging standard de veloped \nspecifically for the real-time electronic exchange of securities tran sactions. \n20 A port is defi ned as an Internet Protocol (“IP”) address assigned by the Exchange for connectivit y \nto XLE. \n21 The Drop Copy Feed provides real-ti me inform ation c oncerning tra des executed by an XLE \nParticipant Organization and will be pr ovided on a subscription bas is. \n22 The Monthl y Phlx S ystem s Fee refers to the use of opt ional Phlx technolo gy to enter in two-sided \norders and related clearing inform ation. \n23 The Depth of Book feed dis plays ever y order, except the undispla yed porti on of a Reserve Order, \nwithin XLE at each price level and will be provide d, on a subscription basis, at no charge to \nanyone who s ubscribes to receive this information. \n7\n The m arket data revenue sharing will apply to all securities: T ape A, Tape B, and Tape C. \nAlthough there is a difference in the m anner in which the underlying Tape A and Tape B, \nrevenue versus Tape C revenue is distributed to Phlx and the other na tional secu rities \nexchanges24 there is no d ifference in the m anner in which m ember organization s will share in \nTape A and B revenue v ersus Tape C revenue because the p roposed ru le language bases the \ncredits on revenue attributable to the executions of a m ember organization. Thus, a m ember \norganization responsible for providi ng the liquidity portion of the trade will receive 50% of the \nrevenue attributable to its executions reported to each of the three tapes.25 \nDeleting Ob solete Fees \nIn connection with adopting the XLE fee schedul e for the trading of equity securities on \nthe Exchange, the Exchange proposes to delete the obsolete fees curren tly listed on the Summ ary \nof Equity Charges,26 which includes deleting references to license fees assessed in connection \nwith the trading of certain produc ts. Although the Exchange m ay curre ntly, or in the future, be a \nparty to a license fee agreem ent with a lic ensor in connectio n with the tr ading of certain \nproducts, the Exchange does not pr opose to assess license fees in connection with X LE at this \ntime. The Exchange would subm it a separate propos ed rule c hange if it decides to ass ess license \nfees in the f uture. \n24 Tape A and Tape B revenue is currently distributed to Phlx and national securities exchanges \nbased on the number of tra des reported, while Tape C revenue is distributed based on an avera ge \nof num ber of trades and nu mber of shares reported. \n25 The Exchange states that t he proposed market data revenue sharing program is sim ilar to \nprogram s implemented by other self-regulator y organizations. See, e.g., Securities Exchange Act \nRelease No. 53860 (May 2 4, 2006), 71 FR 3125 0 (Ju ne 1, 20 06) ( SR-NSX-2006-07). \n26 The Covered Sale Fee, however, will conti nue t o be assessed in connection wit h XLE. \n8\n The Exchange also proposes to delete refere nces to SCCP custom er and specialist fees on \nthe Exchange’s Nasdaq-100 Index Tracking S tockSM Fee Schedule27 to reflect chang es that were \nproposed in a separate S CCP fee filing.28 \nAppendix A \nAppendix A of the Exchange’s fee schedule co ntains general fees that a re curren tly \nassessed on m embers, foreign curre ncy options (“FCO”) participan ts, m ember organizations, or \nFCO participant organizations that are not transaction-based, such th at many of the fees relate to \ngaining access to trading on the Exchange or be ing physically present on the trading floor. As \nset forth below, the Exchange intends to adopt, m odify, or delete, as appr opriate, several fees to \naccomm odate the trading of equity securities on XLE. \nThe Exchange proposes to adopt perm it fees rela ted to the trading of equity securities on \nXLE. Currently, the Exchange assesses a perm it fee to ac cess trad ing on th e Exchange. Perm it \nfees are ass essed based o n how each perm it is use d. Specifica lly, th e Exch ange will ch arge an \nOrder Flow Provider a perm it fee of $200 per m onth to subm it orders to X LE only and $300 per \nmonth to subm it orders to m ore than one trading venue ( i.e., XLE, foreign currency options \ntrading floor, or options trad ing floor). Mem bers who are reg istered as Market Mak er \nAuthorized Traders29 will be charged $ 1,200 per month fo r the first perm it and $1,000 per m onth \n27 The Nasdaq- 100®, Nasdaq-100 I ndex ®, Nasdaq®, The Nasdaq Stock Market®, Nasdaq-100 \nShares,SM Nasdaq-100 Tru st,SM Nasdaq-100 In dex Tr acking Stock,SM and QQQSM are trade marks \nor service marks of The Nasdaq Stock Market, Inc. (“Nasdaq”) and have b een licensed for use for \ncertain purposes by the Philadelphia Stock Exch ange pursuant to a License Agre ement with \nNasdaq. The Nasdaq-100 Index® (the “Index”) is determ ined, co mposed and calculated b y \nNasdaq without regard to t he Licensee, t he Nasdaq-100 Trust,SM or the beneficial owners of \nNasdaq-100 Shares.SM Nasdaq has co mplete control and sole discretion in determining, \ncomprising or calculating the Index or i n modify ing in any way its method for d etermining, \ncomprising or calculating the Index in the future. \n28 See SR-SCCP-2006- 04. \n29 The ter m “Market Maker Authorized Trader” means a Participant Authorized User who is a \nmem ber and who perform s market making ac tivities pursuant to P hlx Rules 170 et. seq. A \n9\n for each add itional permit for m embers in the same mem ber organiz ation. If a m ember \norganization only sponsors a Sponsored Partic ipant and does not have any other trading \nfunctions, the perm it holder associated with that member organization wi ll be charged a perm it \nfee of $1,200 per m onth and $1,000 per m onth for additional perm its for m embers in the sam e \nmember organization. \nThe perm it fees will be assessed consistent with current practices. For example, any \nmember who is associated with one or more member organizations and uses a perm it in more \nthan one category will pay the higher of the applicable fees each m onth for such perm it.30 In \naddition, perm its m ay not be transferred from one perm it holder associated with one m ember \norganization to a perm it holder associated with a different m ember organi zation, thus a Transfer \nFee is in applicable f or permits rela ting to XLE tra ding.31 \nExcess perm it fees32 will c ontinue to a pply, but will be expande d to inc lude XLE users. \nTherefore, perm it holders m ay be de signated as “excess” perm it holders in cases where perm it \nholders in the sam e organization, other than the perm it holder who qualifies the m ember \norganization, are either: (1) not floor brokers, specialists, ROTs (including RSQTs and SQTs), \nOff-Floor Traders, Market Maker Authorized Traders, or an XLE Spons oring Mem ber \nOrganization whose only function is to sponsor a Sponsored Participant; or (2) not associated \nwith a m ember organ ization th at meets th e defi nition of an O rder Flow Provider, which now \nParticipant Authorized User means an in dividua l authorized b y a mem ber organization or a \nSponsored Pa rticipant to en ter or ders, on its behalf, on XLE. See Phlx Rules 1(m ) and 1(x). \n30 See Securities Exchange Act Release No . 49157 ( January 30, 2004) , 69 FR 5883 (February 6, \n2004) (SR-P hlx-200 4-02). \n31 Permits, how ever, may be transferred within a member organization without i ncurring a Transfer \nFee. See Securities Exchange Act Release No. 49157 (January 30, 2004), 69 FR 5883 (Febr uary \n6, 20 04) (SR- Phlx-20 04-02). \n32 See Securities Exchange Act Release No s. 49856 (June 15, 2004), 69 FR 34411 ( June 21, 2004) \n(SR-Phlx-200 4-32) and 53043 (Decem ber 29, 20 05), 71 FR 95 9 (January 6, 2006) (SR-Phlx­\n2005- 72). \n10\n include s sub mitting orde rs to XLE. The rate remains unchan ged. Thus, m ember organiza tions \nthat have excess perm it holders will continue to be assessed $200 for each “excess” perm it. \nThe Exchange also proposes to charge Spons oring Mem ber Organiza tions an application \nfee of $1,850.00 for each Sponsored Pa rticipant that it proposes to sponsor to help offset the \ncosts associated with th e processing of the application, incl uding adm inistrative costs associated \nwith reviewing the application a nd creating the appropriate accounts.33 \nThe Account Fee also will conti nue to apply to m ember organi zations that trade on XL E. \nCurrently, th e Exchange charges m ember organization s a monthly fee of $50.00 for each accoun t \nbeyond the num ber of perm its billed to that m ember organization.34 Therefore, if a m ember \norganization sponsors a Sponsored Participan t and estab lishes a new acco unt, each account \nbeyond the num ber of perm its billed to that m ember organization would be subject to the $50.00 \nfee. \nIn addition, any equity floor-based fees, such as p ost and booth space fees, would no \nlonger app ly to m embers or m ember organization s due to th e fact that th ere will no lon ger be a \nphysical equity trading floor.35 The Exchange will not assess these equity floor-based fees for \n33 This fee is the same am ount as the Exchange ’s curre nt application ($350.00) and initiation fees \n($1,50 0) combined for m embers and mem ber organizations. \n34 Each account may have 22 suffixes or s ub-accounts. For exam ple, account number 202 can \nactually be us ed as account s 202-A, 20 2-B, etc. There is no additi onal charge for suffixes \nassigned within the sam e account. See Securities Exchange Act Release No. 53046 (Januar y 3, \n2006), 71 FR 1459 (January 9, 2006) (S R-Phlx-200 5-89). \n35 Exam ples of these floor-based fees inclu de trading post/booth spac e, controller space, floor \nfacility , direct wire to the floor, telephone sy stem line extension, trading fl oor per sonnel \nregistration, com puter equipment services, repa irs or replacements, and com puter relocation \nrequests. These fees will remain on Appendix A to reflect that they will still be assessed on \nmem bers, participants, and mem ber or particip ant orga nizations on t he optio ns and/or foreign \ncurrency options trading fl oors. \n11\n any part of the m onth in which XLE is launched.36 These f ees will r emain on the f ee sc hedule as \napplicable to the Exchange’s other trading floors. \nThe Exchange proposes to delete from the f ee schedule any f ees applicable only to the \nequity trading floor, such as the stock execution machine registration fee, due to the f act th at \nthere will no longer be a physical equity trading floor. Additiona lly, the E xchange proposes to \ndelete all Re mote Specia list fees,37 since Rem ote Specia lists will not exis t in XLE. \nApart from the launch of XLE and merely to update th e fee s chedule, the Exchange also \nproposes to delete the “Equity, Option or FC O Transm ission Charge” and the “FCO Pricing \nTape” fees b ecause the E xchange will no longer b e provid ing these serv ices. Thus, a charge for \nthese se rvices will no t be assess ed. \nThe Exchange also proposes to delete its Off-Floor Exam inations Fee of $30.00 per \nmonth per off-floor trader and, in turn, am end its Exam inations Fee. The implem entation of a \ntiered m onthly Exam inations Fee will rep lace the Off-Floor Exam inations Fee. Curre ntly, th e \nExchange assesses a m onthly fee of $30.00 per off-fl oor trader for off-floo r traders associated \nwith m ember organizations for whom the Exch ange is the Designated Exam ining Authority \n(“DEA”).38 With the closing of the E xchange’s equ ity trading floor, traders that previously \nphysically traded on the floor of the Exchange (and for whom the Exchange was the DEA for \ntheir m ember organizatio n) will no lo nger be cons idered “on-f loor trade rs,” but will no w be \n36 For exam ple, if XLE is launched in m id-November, no equity floor-based fees fr om Appendix A \nwill be assessed for the m onth of November. \n37 Specifically , these fee s include the Re mote Speci alist System Fee, Remote Speci alist Security \nRouting Fee, Rem ote Speci alist Teleco mmunica tions Installation Fee, Rem ote Sp ecialist \nTeleco mmunications Fee, Re mote Speci alist Equipm ent Installation Fee, and Rem ote Speciali st \nEquipm ent Rental Fee. \n38 See Securities Exchange Act Release No . 53643 (A pril 13, 2006), 71 FR 20151 ( April 19, 2006) \n(SR-Phlx-200 6-23). \n12\n designated as “off-floor traders” and therefor e would now fall under and be assessed the Off-\nFloor Exam inations Fee.39 \nTo address the unintend ed conseque nces tha t XLE would now cover add itional trade rs \nthat previously were not covered under the O ff-Floor Exam inations Fee, the Exchange is \nproposing to delete the O ff-Floor Exam inations Fee and adopt a tiered Exam inations Fee based \non the num ber of off-floor trad ers in a m ember organization.40 Specifically, a member \norganization will be assessed a m onthly fee of $2,100 for one to ten off-floor trad ers; $2,600 for \neleven to fifty off-floor trad ers; $5,000 for fifty-one to two hundred off-floor traders; and \n$12,500 for over two hundred off-floor traders in th e sam e member organization. The following \nmember organiza tions w ill continu e to be exem pt from the Exam inations Fee, consis tent with \ncurren t practice: (1) inactive organizations;41 and (2) organizations operating through one or \nmore Phlx trading venues that dem onstrated that 25% or m ore of its revenue as reflected on the \nmost recen tly subm itted FOCUS Report or trans actions as reflected on its purchase an d sales \nblotter are derived from securities transactions on the Phlx. The Exchange proposes to elim inate \nthe followin g exem ptions to clarif y and sim plify the application of the Exam inations Fee: (1) the \nexem ption category for m ember organizations f or any m onth where they incur transaction or \nclearing fees charged d irectly by the Exchange or by its register ed clearing subsidiary, provided \n39 The Exam inations Fee is applicable to member/participant organi zations for whom the Exchange \nis the DEA, unless an exe mption to the asse ssment of the Exam inations Fee applies. See, e.g., \nSecurities Exchange Act Release Nos. 46392 (August 21, 2002), 67 FR 552 94 (August 28, 2002) \n(SR-Phlx-200 2-45) and 42562 (March 2 2, 2000), 65 FR 1644 5 (M arch 28, 20 00) (SR-Phlx-0 0­\n18). \n40 For purposes of assessing the proposed t iered Exam inations Fee, Sponsored Part icipants are not \nincluded in the calculation of the num ber of off-floor traders in a Sponsoring M ember \nOrganization. \n41 In connection with am ending the Exam inations Fee as described above, the definition of an \ninactive organization is being m odified slightl y so that it will be defined as an organization that \nhad no securities transaction revenue, as deter mined by FOCUS reports or other financial filings, \nas long as the organization continues to have no such revenue each month. \n13\n that the fees exceed th e exam ination fee for that m onth and (2) the exem ption for m ember \norganiz ations affiliated with a m ember organ ization exem pt from the Exam ination Fee due to the \nexem ption listed imm ediately above or the ex emption if that m ember organization is affiliated \nwith a m ember organization operating from the Phlx trading floor or as a Re mote Specialist \nwhich have dem onstrated that at least 25 % or more of their incom e as reflected on the m ost \nrecen tly sub mitted FOCUS Report was derived fr om floor activ ities or rem ote specialis t \nactiv ities. \nThe proposed revised Exam inations Fee, which would apply to m any of t he members \ncurrently covered by the Off-Floor Exam inations Fee, should more efficiently and effectively \nassess m ember organizations for recovery of re gulatory-related costs related to conducting \nexam inations and should clarify how the Exam inations Fee will be assessed in connection with \nthe m ember organization s that trad e equity securities on XLE.42 \nFinally, the Exchange proposes to renum ber the footnotes on the Exchange’s fee schedule \nto reflect the changes described above. \n2. Statutory Basis \nThe Phlx believes that the proposed rule change to am end its schedule of fees is \nconsistent w ith Section 6(b) of the Act,43 in general, and furthers the objectives of Section \n6(b)(4) of the Act,44 in pa rticular, in th at it is de signed to assu re the equ itable alloca tion of \nreasonable fees and other charges among its m ember s and other persons using its facilities. \n42 The proposed Exam ination s Fee would be im plement ed the first full m onth after XLE is \nlaunched. For exam ple, if XLE is launched in m id-Novem ber, the current off-floor Exam inations \nFee will apply for the m onth of Novem ber and the Exam inations Fee set forth in this proposal \nwould be assessed beginning with the m onth of Dece mber. \n43 15 U.S.C. 7 8f(b). \n44 15 U.S.C. 78f (b)(4). \n14\n B. \t Self-Regulatory Organ ization’s St atement on Burden on Competitio n \nThe Phlx does not believe that the proposed rule change will im pose any burden on \ncompetition that is not n ecessa ry or appropriate in furtheranc e of the purp oses of the Act. \nC. \t Self-Regulatory Organ ization’ s Sta tement on Comments on the \nProposed Rule Change Received from Members, Particip ants or Oth ers \nNo written c omments were solicited or rec eived with respe ct to the p roposed rule cha nge. \nIII.\t Date of Effectiveness of the Proposed Rule Change and Timing for C ommission \nAction \nThe foregoing rule change has beco me effective pursuant to Section 19(b)(3)(A) of the \nAct45 and subparagraph (f)(2) of Rule 19b-4 thereunder,46 since it establishes or changes a due, \nfee or other charge im posed by the E xchange. \nAt any tim e within 60 days of the filing of such proposed rule change, the Comm ission \nmay summa rily abrogate such rule change if it ap pears to the Comm ission that such action is \nnecessary of appropriate in the pub lic interest, f or the pro tectio n of investors, or otherwise in the \nfurtherance of the purposes of the Act.47 \nIV.\t Solicitation of Commen ts \nInter ested p ersons a re invited to sub mit written data, views, and argum ents conce rning \nthe foregoing, including whether th e proposed rule change is consis tent w ith the Act. Comm ents \nmay be subm itted by any of the following m ethods: \n45 15 U.S.C. 78s(b)(3)(A). \n46 17 CFR 240. 19b-4(f)(2) . \n47 The effective date of the ori ginal pro posed ru le change is Novem ber 2, 2 006 an d the effective \ndate of A mendment No. 1 is Dec ember 1 2, 2006. For purposes of calculating the 60-da y period \nwithin which the Commission m ay summarily abrogate the propos ed rule chang e under Section \n19(b)(3)(C) o f the Act, the Co mmission consid ers the period to com mence on Decem ber 12, 2006 \nthe date on which Phlx f iled Amend ment No. 1. See 15 U.S.C. 78s(b)(3)(C). \n15\n Electronic C omments: \n• Use the Commission’s Internet com ment for m (http://www.sec.gov/rules/sro.shtm l); or \n• Send an e-mail to rule-comments@sec.gov . Please include File Num ber SR-Phlx-2006­\n70 on the subject line. \nPaper Comm ents: \n• Send paper comments in triplicate to Nanc y M. Morris, Secret ary, Securities and \nExchange Comm ission, 100 F St reet, NE, W ashington DC 20549–1090. \nAll subm issions should refer to File Num ber SR- Phlx-2006-70. This file num ber should be \nincluded on the subject line if e-m ail is used. To help the Commission process and review your \ncomments more efficiently, please use only one m ethod. The Comm ission will pos t all \ncomments on the Commission’s Internet W eb site ( http://www.sec.gov/rules/sro.shtm l). Copies \nof the subm ission, all subsequent am endm ents, all written statem ents with respect to the \nproposed rule change that are filed with the Comm ission, and all written comm unications \nrelating to the proposed rule change between the Comm ission and any pe rson, other than those \nthat m ay be withheld fro m the public in acco rdance with th e provision s of 5 U.S.C. 552, will be \navailable for inspection and copying in the Commi ssion’s Public Reference Room . Copies of \nsuch filing also will b e availab le for inspection and copying at the principal office of the Phlx. \nAll comm ents received will be pos ted without change; th e Commission does not ed it personal \nidentifying infor mation from subm issions. You should subm it only inform ation that you wish to \n16\n make available publicly. All subm issions shoul d refer to File No. SR-Phlx-2006-70 and should \nbe subm itted on or before [insert date 21 days from date of publication in the Federal Register ]. \nFor the Comm ission, by the Division of Ma rket Regulation, pursuant to delegated \nauthor ity.48\n F lorence E. Harmon \nDeputy Secretary \n17 CFR 20 0.30-3(a)(12). \n17\n48 " }

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{ "pdf_file": "XKCHYHXJXXWHZHTFNEIMA4IJZSXJSLLZ.pdf", "text": "Bifurcated Delta Mercury Control Program \n \nIntroduction \nThe purpose of this document is to prov ide a focused description of a possible \n“bifurcated” structure of the Delta Methylmercury (MeHg) Total Maximum Daily Load \n(TMDL) process (Delta TMDL). It presents: \n• A general description of a bifurcated TMDL process, \n• A Southern California example of a bifurcated TMDL process, \n• A preliminary “vision” of the Delta TMDL including, \n• The proposed study area, and \n• The specific bifurcated approach for the Delta. \n• Anticipated near-term require ments of, and implications to MeHg producers and \ndischargers, \n• Potential long-term approaches to revi ew and revise the Delta MeHg TMDL. \n \nThe Bifurcated TMDL Model \nIn late 2008 and early 2009, various Delta stak eholders met to discuss the feasibility of \nrestructuring the Basin Plan amendment to provide for a more adaptive approach to \nestablishing a Delta TMDL by Oct ober 2009. A bifurcated approach has been \nimplemented in other parts of the State where TMDLs need to be developed quickly and \nthere are information gaps or complicated re gulatory options that would benefit from \nfurther detailed discussions. The basic model is to establish the te chnical parts of the \nTMDL and an adaptive implementation approach that allows for future revisions of the \nTMDL as data becomes available and water quality improvements occur. The \nbifurcated approach recogni zes that more information needs to be collected to: \n• Confirm initial allocations and, \n• Evaluate actions that can be implemented to meet allocations . \n The bifurcated approach sets up the framew ork for making certain the appropriate \ninformation is collected and the appropria te dialogue takes place with affected \nstakeholders. \n \nEXAMPLE – Calleguas Creek Nitrogen TMDL \nThe Calleguas Creek Nitrogen TMDL adopted by the Los Angeles Regional \nBoard includes a numeric target, waste load allocations for wastewater treatment \nplants and load allocations for agriculture and other nonpoint sources that would \nneed to be achieved within a time schedule. In addition, the TMDL set interim \nlimits for wastewater treatment plants t hat would apply in 4 years. A Nonpoint \nSource BMP evaluation committee wa s formed and an existing stakeholder \ncommittee agreed to take on the responsib ility for developing and implementing \na monitoring program. A study work pl an was due from the stakeholder group in \n1 year and the TMDL spelled out minimu m monitoring requirements. The TMDL \nindicated that if this stakeholder proce ss failed to produce the specified reports, \nthe Regional Board would consider requiring dischargers to implement \nmonitoring and special studies. \n \n1 Delta Mercury TMDL \nConsistent with longstanding commitments by the Regional Board to USEPA, the goal \nof the Board’s Executive Officer is to de liver the Delta TMDL for Board approval by \nOctober 2009. The bifurcated approac h would be used to address the unique \nhydrologic and geographic differenc es of the Delta and its tribut ary conditions. To apply \nthis bifurcated approach to the TMDL and succ essfully achieve the target date, Board \nstaff and stakeholders need to define the technical aspects of the TMDL ( Technical \nTMDL ) and they need to prepare an Im plementation Framework (Framework), both \ndescribed below. Attachment A presents a general description of the items to be \nincluded in a Basin Plan amendment. \n Proposed TMDL Project Area\n \nThe proposed allocation approach is to organize the Delta into seven subareas rather than one massive geographic area. Thes e subareas have been proposed based on \nwatershed boundaries and existing data on water flows and mercury sources. Each subarea has different variables to be considered such as:\n \n• Land uses, \n• Discharger occurrence and distribution, and \n• Tributary sizes and sources \n \nFor example, in the Sacram ento River subarea, fish tiss ue mercury concentrations are \n60% higher than Board staff’s proposed fish ti ssue objective. To reduce the fish tissue \nconcentration by 60%, current scientific resear ch indicates that there needs to be a 60% \nreduction in the concentration of MeHg in the Sacramento River. Since the Board does \nnot currently have sufficient information on which sources have the best potential for reducing their loads of MeHg, Board staff proposes to assign a 60% reduction in MeHg \nto apply to all dischargers in the Sacram ento River subarea, incl uding the tributary \nsources, except those dischargers with very low discharge MeHg concentrations.\n \n \n Allocations would be assigned to: \n• Wastewater treatment plants and urban areas (NPDES permitted facilities and \nmunicipal service areas), \n• Managed wetland areas, \n• Irrigated agricultural areas and • Instream production (assigned to State and/ or Federal agencies) for within Delta \nsources. \n \nIn essence, each subarea will be treated as a separate TMDL with eac h having distinct \nallocations that are consistent with the unique conditions of that subarea. Additionally, \nthe watersheds upstream of each Delta suba rea would be assigned the same reduction \nrequired for the downstream subarea. Boar d staff expects that similar discharger \ncategories are present in the upstream areas as those identified in the Delta. Additional \ncategories include upstream mines and dredge fields, unmanaged open space areas \n(e.g., forests and other native upland areas), and reservoir releases. \n Technical TMDL Components\n \nAt this time, Board staff and scientific peer re viewers believe there is sufficient scientific \nrationale supporting the: \n• Proposed fish tissue objectives; \n2 • Linkage between MeHg in the fish and MeHg in water; and the \n• General identificati on of sources. \n \nIf all MeHg sources can be reduced by t he amounts suggested in the draft TMDL, \ncurrent research suggests t hat the fish tissue objective s can be met. However, the \nmain issue with the proposed mercury control program is whether the various sources \nidentified in the TM DL can achieve the allocations by implementing feasible \nmethylmercury and total mercury control actions. At this time, there is information that \nsuggests some source categories can r educe MeHg loading, but there is much \ninformation that needs to be collected for ot her sources. To comply with State and \nFederal requirements, t he Technical TMDL should include the following: \n• Fish tissue objectives, • Load and waste load allocations, \n• Margin of safety, and \n• An Implementation Framework. \n \nAdaptive Implement ation Framework\n \nAs stated above, the Technica l TMDL will include allocations on a subarea-specific \nbasis for the Delta. Over time, these a llocations may be revised based on additional \ndata. Additional information will be needed to determine if the allocations are \nappropriate and achievable or if the allocation s for fish tissue objectives need to be \nchanged. To support an atmosphere of l earning and change (when appropriate), the \nBasin Plan amendment will include an adaptive approach to study MeHg sources and \npotential control methods, assess Delta conditions, and propose long-range revisions \nand solutions. \n \nThe proposal is to have a two-phased approach for the Delta mercur y control program. \nPhase 1 would last about 8 year s. The first 7 years would consist of a study period to \ngather more information about methylmerc ury production and to develop management \npractices. During the 8th year, staff would revise the TMDL based on the Phase 1 study \nresults. Phase 2 would include implement ation of feasible management practices \ndeveloped in Phase 1. \n \nThe first step towards creating a long-r ange adaptive implementation approach is to \nprepare an Adaptive Implement ation Framework (Framework) for the Basin Plan \namendment. The Framework should descri be the process that will be implemented \nover the next several years so there is suffi cient information for t he Board to reevaluate \nthe allocations and implementat ion plan in 8 years. The Framework should be very \nclear so that dischargers and the regulated community know what actions need to be \ninitiated and what information needs to be collected during the 7-year study period. The Framework should describe as best as possibl e, the process that will be implemented to \nmeet the adaptive implementat ion goals of the TMDL. However, the Framework needs \nto be flexible enough so that efforts can be adapted as new information becomes \navailable. The Framework must propose future approaches that are reasonable and \nequitable. \n \nComponents of the Proposed Framework\n \nDischargers would work with the Board to develop a comp rehensive implementation \nFramework and to implement studies. We need to develop a detailed plan at the \n3 beginning of Phase 1 that describes how t he 7-year stakeholder process should be set \nup and implemented and exactly what is required from st akeholders. The Framework \nshould provide some protection and incentives for working with the Board to complete \nstudies. \n What should be included in the Framework? It could include but not be limited to the \nfollowing elements: \n• Sufficient direction to ensure that a co mprehensive, scientif ically defensible, \nimplementation program can be developed in 8 years. It should clearly describe \nthe general information that needs to be collected (e.g., MeHg and inorganic mercury reduction studies and developmen t of control plans) and describe the \nprocess that will be implemented to gather and evaluate the information. Board \nstaff currently recommends that all disch arger types both within and upstream of \nthe Delta should participate in developing information and designing and implementing studies. \n• Regional Board commitment to work wit h the State and Federal governments to \ndevelop an implementation plan to addre ss instream methylmercury production \nboth within the Delta and in tributaries. \n• Interim requirements for NPDES wastew ater treatment plant dischargers to \nensure that the mercury problem does not get worse during the study period. \nThe Board staff’s current recommendation is to include narrative interim limits in \nthe Basin Plan amendment for NPDES pe rmittees and for them to implement \nmercury minimization programs. In addi tion, Board staff recommends that new \nWWTP dischargers monitor their effluent for methylmercury and total mercury. \n• Managers of proposed wetland restoration pr ojects should consider the potential \nMeHg enhancement from their projects and determine, in coor dination with the \nPhase 1 studies, if there are any feas ible control measures that could be \nimplemented as the new pr ojects are built. \n• A plan for meeting the San Francisco Bay Water Board’s inorganic mercury \nallocation. \n• Specific MeHg and inorganic mercury r eduction actions that should be initiated \nduring the 8-year Phase 1 period (i.e., Cache Creek Settling Basin improvements \nand possibly other projects). These could be projects to address known \nsubstantial sources. \n• Measures to reduce MeHg exposure for people eating contaminated fish. \n• Regional Board commitment to devel op TMDLs and control programs for Delta \ntributaries during Phase 1, and \n• General framework for an offset program. The 2008 proposed Basin Plan \namendment includes this element. \n \nAttachment A is a preliminary proposal for th e Framework. Board st aff drafted this for \nreview and modification by the Framework stakeholder group that is being convened for \nthe first part of the bifurcated TMDL. \n \n4 Requirements and Implications \nBoard staff anticipates that the adaptive approach will be used over the first seven years \nof the Delta TMDL. During that time, B oard staff will focus on ensuring that MeHg \nconditions do not deteriorate (to the extent feasible) and partnering with all stakeholders \nto learn more about MeHg production, transport and exposure to humans and the \nenvironment. \nA key perspective by the Board staff is the following: No practices or process \nchanges would be required to be implem ented toward meeting the allocations \nduring the Phase 1 study period. The Board commits to reconsidering the TMDL, allocations, compliance time schedule, and implementation plan in about 8 years and \nwould modify the Basin Plan as necessary based on new information. Dischargers would not be required to implement methylmerc ury reduction projects in Phase 1. In \naddition, the current Basin Plan amendment would not require dischargers to meet \nallocations until 2030. The Board may modi fy the compliance date at the end of \nPhase 1 based on the results of the Phas e 1 studies. The Delta Mercury Control \nProgram Phase 2 would contain implement ation requirements, allocations, and a \ncompliance time schedule. In the absence of the Phase 1 studies, the allocations and \n2030 compliance date would not change. What applies to dischargers dur ing the 7-year study period?\n \n• Dischargers in impaired Delta subar eas and in tributary watersheds could \ncollaborate on the methylmercury studies. The purpose of the studies is to \ndevelop methods to reduce MeHg from va rious source types and identify MeHg \nand total mercury sources that can be feas ibly controlled. Feasible control \nmethods may address direct MeHg inputs fr om external sources such as drains \nfrom irrigated agricultural and wetlands, ur ban runoff, wastewater treatment plant \neffluent, erosion from dredge fields, and mi ne site discharges, as well as MeHg \ninputs from within-channel sources su ch as open-water and wetland sediments. \n• Stakeholders could work together to determine how to most quickly and \neffectively accomplish MeHg and total merc ury source reductions to achieve the \nfish tissue objectives. The stakeholder gr oup(s) also could work on a plan to \nprioritize methylmercury and inorganic mercury control actions within the \nwatersheds. \n• NPDES dischargers would be required to maintain performance-based effluent \nlimits during the 7-year study period. Staff needs to work with USEPA and the \ndischargers on the Basin Plan language for this. \n• New managed wetland projects should work with the other stakeholders and \nevaluate management practices that could be implemented to minimize MeHg production, and implement any reasonable practices. \n• Dischargers can apply directly to the Boar d to implement offset projects and the \nBoard would determine the amount of credit that would be accrued. \n What applies to dischargers afte r the end of the study phase?\n \nAfter the study phase, the Regional Boar d is required to reevaluate the TMDL \nallocations and time line, based on study result s. At that time, the Regional Board will \ndetermine what requirements will apply. In the absence of the studies, the Board will \n5 have limited information on which make modifications to the original allocations and \ncompliance schedule. \n6 " }

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{ "pdf_file": "RJDPY3BZNDDW3TTJUKWZULNVI6JFGCNP.pdf", "text": "20448 CFR Ch. 18 (10 –1–02 Edition) 1807.107\n(20) If the period between release of \nsolicitation to contract award is more than 120 calendar days (180 days for for-mal SEB competitions), explain why that goal cannot be met. \n[61 FR 47068, Sept. 6, 1996, as amended at 62 \nFR 36705, July 9, 1997; 62 FR 58687, Oct. 30, 1997; 63 FR 12997, Mar. 17, 1998; 64 FR 14641, Mar. 26, 1999; 65 FR 37058, June 13, 2000; 65 FR 70315, Nov. 22, 2000; 65 FR 82296, Dec. 28, 2000; 66 FR 53546, Oct. 23, 2001]\n1807.107 Additional requirements for \nacquisitions involving bundling. \n(c) Requests for approval of proposed \nbundlings that do not meet the thresh-olds in FAR 7.107(b) must be sent to the Headquarters Office of Procurement (Code HS). \n(e) The substantial bundling docu-\nmentation requirement applies to each proposed NASA bundling expected to exceed $5 million or more. The con-tracting officer must forward the docu-mentation along with the measurable benefits analysis required by FAR 7.107(b) to the Headquarters Office of Procurement (Code HS) in sufficient time to allow a minimum of 10 days for review. \n[65 FR 46876, Aug. 1, 2000]\n1807.107 –70 Orders against Federal \nSupply Schedule contracts, Govern-mentwide acquisition contracts (GWACs), or other existing indefi-nite-delivery contracts. \nThe FAR and NFS requirements for \njustification, review, and approval of bundling of contract requirements also apply to an order from a Federal Sup-ply Schedule contract, Government-wide acquisition contract, or other in-definite-delivery contract if the re-quirements consolidated under the order meet the definition of ‘‘bundling ’’ \nat FAR 2.101. \n[65 FR 46876, Aug. 1, 2000]\n1807.170 Acquisition Strategy Meeting \n(ASM). \n(a) The ASM is an acquisition plan \nconducted through a meeting attended by all interested NASA offices. At the \nmeeting, the acquisition plan topics and structure specified in 1807.105 are presented in briefing format, and for-mal written minutes prepared to sum-marize the decision, actions, and con-\nclusions of the ASM members. The ap-proved minutes, along with the briefing charts, shall be included in the con-tract file to document completion of the acquisition plan required by 1807.103. \n(b) The ASM is not a requirements \ndefinition meeting. It is a meeting to seek approval for the proposed acquisi-tion approach for requirements that were previously defined and agreed to by the cognizant offices. \n(c) Headquarters ASMs will be \nchaired by the Assistant Administrator for Procurement or designee. The Headquarters Office of Procurement (Code HS) will prepare the minutes of Headquarters ASMs and distribute them to all attendees for review prior to approval by the ASM chairperson. \n(d) For field installation ASMs, the \nminutes shall be approved in accord-ance with installation procedures.\nSubpart 1807.2 —Planning for the \nPurchase of Supplies in Eco-nomic Quantities\n1807.204 Responsibilities of con-\ntracting officers. \n(NASA supplements paragraph (a)) \n(a) The contracting officer shall \ntransmit in writing to the cognizant inventory management/requirements office either the actual offeror re-sponses or a summary of their salient points. The transmittal should be made within five working days after the clos-ing date for receipt of offers; however, if a response indicates the potential for a significant savings, it should be transmitted immediately.\nSubpart 1807.3 —Contractor Versus \nGovernment Performance\n1807.307 Appeals. (NASA supplements \nparagraph (a)) \n(a) Installations shall establish ap-\npeals procedures in accordance with NMI 7410.3, Delegation of Authority for Acquisition of Commercial Activities for NASA ’s Use.\nVerDate 0ct<31>2002 12:51 Nov 06, 2002 Jkt 197198 PO 00000 Frm 00204 Fmt 8010 Sfmt 8010 Y:\\SGML\\197198T.XXX 197198T" }

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{ "pdf_file": "D2QRZ66KOQHV23ZCW3XLS27YON4ATGCT.pdf", "text": "ecurity Handbook\nessment and Authorization\nation Technology SecurityIT book\nSecurity As ion\nOCIO/ Deputy CIO for InforIT Security Han\nSecurity Assessment and Authoriza \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n IT S Security Hand dbook\n­\nSecurity Ass sessment and Authorizat tion\n­\nITS-HBK-2810.02-01\n­\nEffective Date: 20110506\n­\nExpiration Date: 20130506\n­\nResponsible Office: OCIO/ Deputy CIO for Inform mation Technology Security\n­ \n \n \n \n \n \n \n \n \n \n ITS Handbook (ITS-HBK-2810.02-01) \nSecurity Assessment and Authorization \nChange History \nVersion Date Change Description \n1.0 5/2/11 Initial Draft \n2 \n \n \n \n \n \n \n \n \n \n \n \n \n ITS Handbook (ITS-HBK-2810.02-01)\n­\nSecurity Assessment and Authorization\n­\nTable of Contents \nChange History...........................................................................................................................................................................................2\n­\n1 Introduction and Background .......................................................................................................................................................4 \n2 Security Assessments (CA-2).........................................................................................................................................................5 \n3 Information System Connections (CA-3).......................................................................................................................................5 \n4 Plan of Action and Milestones (CA-5) ...........................................................................................................................................6 \n5 Security Authorization (CA-6) .......................................................................................................................................................7 \n6 Continuous Monitoring (CA-7)......................................................................................................................................................7 \n7 Organizationally Defined Values...................................................................................................................................................8 \n3 \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n ITS Handbook (ITS-HBK-2810.02-01)\n­\nSecurity Assessment and Authorization\n­\n1\t� Introduction and Background \n1.1\t­ NASA requirements for protecting the security of NASA information and information systems are derived from \nNational Institute of Standards and Technology (NIST) guidance. Information System Owners (ISOs) and other \npersonnel responsible for the protection of NASA information or information systems shall follow NIST guidance in \nthe proper security categorization ( Federal Information Processing Standards (FIPS) 199, Standards for Security \nCategorization for Federal Information and Information Systems ), and in the selection and implementation of \ninformation security controls ( FIPS 200, Minimum Security Requirements for Federal Information and Information \nSystems and NIST Special Publication (SP) 800-53, Recommended Security Controls for Federal Information Systems \nand Organizations), in a manner consistent with the Risk Management Framework ( NIST SP 800-37, Guide for \nApplying the Risk Management Framework to Federal Information Systems ). \n1.2\t­ This handbook augments NIST guidance by providing NASA-specific requirements, procedures and \nrecommendations, where applicable. NASA-specific guidance does not negate NIST guidance, unless explicitly stated. \n1.3\t­ NASA Policy Directive (NPD) 2810.1, NASA Information Security Policy , NASA Procedural Requirements (NPR) \n2810.1, Security of Information Technology , and the collection of 2810 Information Technology Handbooks (ITS -\nHBK) satisfy the policy and procedure controls of NIST SP 800-53, Recommended Security Controls for Federal \nInformation Systems and Organizations . \n1.4\t­ NPR 2810.1, Security of Information Technology, designates this handbook as a guide of NASA’s Security \nAssessment and Authorization (CA) information security controls. \n1.5\t­ The terms “shall” and “may” within this handbook are used as defined in ITS-HBK-0001, Format and Procedures for \nIT Security Policies and Handbooks. \n1.6\t­ The Security Assessment and Authorization control family relates to the activities and requirements surrounding the routine testing of security controls, the continuous monitoring of system security posture, and the ongoing risk-based decisions to approve or deny the use of a system. Officials within the NASA community are responsible \nfor continuously ensuring the effectiveness of security control implementations throughout the life cycle of a \nsystem. Moreover, in light of an ever-changing security landscape, designated NASA officials should always be \nprepared to determine the impact of a system’s operation on the success of the NASA mission. \n1.7\t­ Applicable Documents \n•\t NPD 2810.1, NASA Information Security Policy \n•\t NPR 2810.1, Security of Information Technology \n•\t ITS-HBK-0001, Format and Procedures for IT Security Policies and Handbooks \n•\t ITS-HBK-2810.02-02, Security Assessment and Authorization: FIPS 199 Moderate & High Systems \n•\t ITS-HBK-2810.02-03, Security Assessment and Authorization: FIPS 199 Low Systems \n•\t ITS-HBK-2810.02-04, Security Assessment and Authorization: Continuous Monitoring – Annual Security Control\n�\nAssessments\n�\n•\t ITS-HBK-2810.02-05, Security Assessment and Authorization: External Information Systems \n•\t ITS-HBK-2810.02-06, Security Assessment and Authorization: Extending an Information System Authorization to \nOperate Process and Templates \n•\t ITS-HBK-2810.02-07, Security Assessment and Authorization: Information System Security Plan Numbering Schema \n•\t FIPS 199, Standards for Security Categorization of Federal Information and Information Systems \n•\t FIPS 200, Minimum Security Requirements for Federal Information and Information Systems \n•\t NIST SP 800-30, Risk Management Guide for Information Technology Systems \n•\t NIST SP 800-37, Guide for Applying the Risk Management Framework to Federal Information Systems \n•\t NIST SP 800-53, Recommended Security Controls for Federal Information Systems and Organizations \n4 \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n ITS Handbook (ITS-HBK-2810.02-01)\n­\nSecurity Assessment and Authorization\n­\n2 \n2.1 \n2.1.1 \n2.1.1.1 \n2.1.1.2 \n2.1.1.3 Security Assessments (CA-2) \nRoles and Responsibilities \nThe Senior Agency Information Security Officer (SAISO) shall : \nEnsure the assessment of Agency common controls, and those portions of hybrid controls belonging to the Agency, \nin a manner consistent with NASA organizationally defined values. \nEnsure the release of security control assessment details in a manner consistent with NASA organizationally \ndefined values. \nEstablish the level of independence necessary (e.g., independent third-party, self-assessment) in order for security \ncontrol assessments to satisfy Agency requirements. \n2.1.2 \n2.1.2.1 The Authorizing Official (AO) shall : \nApprove the methods, procedures, and tools employed to assess security controls in the course of standard assessments and as a part of the continuous monitoring process. \n2.1.3 \n2.1.3.1 \n2.1.3.2 The Center Chief Information Security Officer (CISO) shall : \nConduct reviews and spot checks of Center information systems throughout the assessment process to ensure security controls are documented and meet the minimum security requirements for the system. \nEnsure timely reporting on the status of security assessments for information systems at their Center. \n2.1.4 \n2.1.4.1 \n2.1.4.2 The Organization Computer Security Official (OCSO) shall : \nConduct reviews and spot checks of organizational information systems throughout the assessment process to \nensure security controls are documented and meet the minimum security requirements for the system. \nEnsure timely reporting on the status of security assessments for the information systems within their \norganization. \n2.1.5 \n2.1.5.1 \n2.1.5.2 \n2.1.5.3 2.1.5.4 The Information System Owner (ISO) shall : \nEnsure the assessment of their systems’ security controls in a manner consistent with NASA organizationally \ndefined values. \nEnsure security documentation (e.g., Security Assessment Report (SAR), System Security Plan (SSP)) is updated in the NASA Security Assessment and Authorization Repository (NSAAR), based on security assessments. \nEnsure that all methods and procedures used in the assessment of security controls have the concurrence of the \nAO. \nMake results from security control assessments available to the AO or a designated representative as a part of the \nAuthorization Package. \n3 \n3.1 \n3.1.1 \n3.1.1.1 Information System Connections (CA-3) \nRoles and Responsibilities \nThe NASA Chief Information Officer (CIO) shall : \nApprove information system interconnections when the involved information system does not have a valid \nauthorization to operate (ATO). \n3.1.2 \n3.1.2.1 The AO shall : \nApprove information system interconnection agreements when the involved system(s) has a valid ATO, as a part of \nthe approval process for authorization packages. \n3.1.3 The ISO shall : \n5 \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n ITS Handbook (ITS-HBK-2810.02-01)\n­\nSecurity Assessment and Authorization\n­\n3.1.3.1 Ensure a Memorandum of Understanding/Agreement (MOU/A), and Interconnection Security Agreement (ISA), \nand System Interconnection Implementation Plan (SIIP) is established prior to the interconnection of NASA \ninformation systems with external systems. \n3.1.3.2 Ensure an ATO is available for external information systems prior to their interconnection with NASA systems. \n3.1.3.3 Develop, coordinate, and obtain required approvals for information system interconnections. \n3.1.3.4 Ensure each connection between information systems is addressed individually in any related documentation. \n3.1.3.5 Ensure that for each information system interconnection details regarding interface characteristics, security \nrequirements, and the nature of the information being shared is documented. \n3.1.3.6 Ensure the terms and conditions of interconnection agreements are continuously monitored. \n4 Plan of Action and Milestones (CA-5) \n4.1 Roles and Responsibilities \n4.1.1 The SAISO shall : \n4.1.1.1 Appoint principal points of contact for Agency-level Plan of Action and Milestones (POA&M) items. \n4.1.1.2 Provide oversight of Agency-level POA&M items. \n4.1.2 The Center CISO shall : \n4.1.2.1 Appoint principal points of contact for Center-level POA&M items. \n4.1.2.2 Provide oversight of Center-level POA&M items. \n4.1.2.3 Ensure timely reporting on the status of POA&M items for information systems at their Center. \n4.1.3 The OCSO shall : \n4.1.3.1 Appoint principal points of contact for POA&M items applicable to their organization. \n4.1.3.2 Provide oversight of POA&M items applicable to their organization. \n4.1.3.3 Ensure timely reporting on the status of POA&M items for information systems at their organization. \n4.1.4 The ISO shall : \n4.1.4.1 Ensure all POA&M items are traceable to their points of discovery. \n4.1.4.2 Ensure POA&M items are documented and updated in NSAAR. \n4.1.4.3 Ensure POA&M items detail the following information: \n4.1.4.3.1 Descriptions of the observed deficiencies or weaknesses; \n4.1.4.3.2 Associated risk level (High, Moderate, or Low); \n4.1.4.3.3 The office/organization responsible for the items resolution or remediation; \n4.1.4.3.4 Estimated funding/resources required to resolve or remediate the item; \n4.1.4.3.5 Key milestones including completion dates and activities towards the resolution or remediation of the item; and \n4.1.4.3.6 Changes to key milestones subsequent to their initial documentation (note: milestones should not be deleted or \nchanged directly, rather changes should be documented independently); \n4.1.4.4 Report on the status of POA&M items as necessary. \n4.1.4.5 Make the details of POA&M items available to the AO or a designated representative as a part of the Authorization \nPackage. \n4.1.4.6 Adhere to POA&M item requirements detailed in the Table 1. \n4.2 The following table describes specific requirements related to the management of POA&M items for Low, \nModerate, and High FIPS 199 categorized information systems: \nRequirement Low Category Moderate Category High Category \nAll identified unmitigated risks shall be entered as items in \nthe system POA&M item within: 3 Month 1 Month 1 Month \n6 \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n ITS Handbook (ITS-HBK-2810.02-01)\n­\nSecurity Assessment and Authorization\n­\nRequirement Low Category Moderate Category High Category \nPOA&M items should be reviewed by appropriate \nstakeholders (Center CISO, OCSO, ISO, etc) at least every: 1 Year 6 Months 3 Months \nA risk assessment will be conducted for unmitigated \nvulnerabilities, in accordance with NIST SP 800-30 , within: 10 Working Days (from identification) 5 Working Days (from identification) 5 Working Days (from identification) \nThe AO will be advised of all unmitigated risks designated \nHigh within: 10 Working Days (from identification) 10 Working Days (from identification) 10 Working Days (from identification) \nHigh risks will be mitigated or accepted by the AO within: 15 Working Days 15 Working Days 15 Working Days \nHigh risks that are unmitigated or not accepted by the AO \nshall be reported as “POA&M Item Past Due” after: 15 Working Days 15 Working Days 15 Working Days \nThe AO will be advised of all unmitigated risks designated \nModerate or Low within: 30 Working Days 15 Working Days 15 Working Days \nModerate and Low risks that are unmitigated or not \naccepted by the AO will be reported as “POA&M Item Past \nDue” after: 6 Months 30 Working Days 30 Working Days \nTo meet Agency and FISMA reporting requirements, \nPOA&M items are updated by: The first of each month. The first of each month The first of each month. \nTable 1 - POA&M Requirements \n5 Security Authorization (CA-6) \n5.1 Roles and Responsibilities \n5.1.1 The AO shall : \n5.1.1.1 Maintain an awareness of the security posture of information systems under their authority. \n5.1.1.2 Authorize information systems to operate. \n5.1.2 The Center CISO shall : \n5.1.2.1 Review authorization packages for compliance with all applicable requirements. \n5.1.3 The OCSO shall : \n5.1.3.1 Review authorization packages for compliance with all applicable requirements. \n5.1.4 The ISO shall : \n5.1.4.1 Ensure information systems have been granted an authorization to operate prior to their operation. \n5.1.4.2 Ensure information systems are reauthorized in a manner consistent with NASA organizationally defined values. \n5.1.4.3 Ensure authorization package documentation is updated in NSAAR, based on security authorizations. \n5.1.4.4 Ensure authorization packages contain, at a minimum, the following: \n5.1.4.4.1 An authorization letter that includes the time period for which the ATO is effective. \na. The letter may also include specific restrictions, conditions, and/or timelines for the ATO. \n5.1.4.4.2 A SSP; \n5.1.4.4.3 A SAR; and \n5.1.4.4.4 POA&M (as necessary). \n6 Continuous Monitoring (CA-7) \n6.1 Roles and Responsibilities \n6.1.1 The ISO shall : \n6.1.1.1\t­ Ensure the security posture of information systems is subject to continuous monitoring in a manner consistent \nwith NASA organizationally defined values. \n7 \n \n \n \n \n \n \n \n \n \n \n- \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n 7 ITS Handbook (ITS-HBK-2810.02-01)\n­\nSecurity Assessment and Authorization\n­\nOrganizationally Defined Values \nThe following table provides the values defined in NIST SP 800-53 as being at the discretion of the implementing organization. The Section, and Parameter columns are intended \nto help navigate various NIST SP 800-53 security controls for easier application of the organizationally defined values; these columns are defined as follows: \n•\t Section: Values in this column indicate whether an organizationally defined value is in the main body of the control (Main), or part of one of the control’s enhancements \n(E1, E2, etc). \n•\t Parameter: Sometimes, a specific Section may have multiple organizationally defined values. In those instances, the bracketed number Parameters indicate which \norganizationally defined value (numbered sequentially) is being referenced. In the case of nested organizationally defined values, a series of bracketed numbers is \nused. \n800 53 Reference FIPS 199 Categorization \nFamily # Name Section Parameter Type Description Low Moderate High \nCA 01 Security Assessment \nand Authorization \nPolicies and \nProcedures Main [1] Frequency Policy and procedure review. 1/Year 1/Year 1/Year \nCA 02 Security Assessments Main [1] Frequency Review of controls for need, and \ncorrectness of implementation. Continuous; As governed by \nChange \nManagement \ncontrols; As \nrequired for \nreauthorization Continuous; As \ngoverned by \nChange \nManagement \ncontrols; As \nrequired for \nreauthorization Continuous; As \ngoverned by \nChange \nManagement \ncontrols; As \nrequired for \nreauthorization \nCA 02 Security Assessments E 2 [1] Frequency Publication of security control \nassessment details. 1/Year 1/Year 1/Year \nCA 02 Security Assessments E 2 [2] Selection Style of release for security control \nassessment. Announced via Memo Announced via Memo Announced via Memo \nCA 02 Security Assessments E 2 [3] Selection Organization defined security testing. Assessment of \ncontrols \ndetailed by \nMemo Assessment of \ncontrols \ndetailed by \nMemo Assessment of \ncontrols \ndetailed by \nMemo \nCA 05 Plan of Action and \nMilestones Main [1] Frequency Review and update of POA&M items. By the first of \neach month. By the first of \neach month. By the first of each month. \n8 \n \n \n - \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n ITS Handbook (ITS-HBK-2810.02-01)\n­\nSecurity Assessment and Authorization\n­\n800 53 Reference FIPS 199 Categorization \nFamily # Name Section Parameter Type Description Low Moderate High \nCA 06 Security \nAuthorization Main [1] Frequency Reauthorization of system. 1/3-Years; As \ngoverned by \nChange \nManagement \ncontrols 1/3-Years; As \ngoverned by \nChange \nManagement \ncontrols 1/3-Years; As \ngoverned by \nChange \nManagement \ncontrols \nCA 07 Continuous \nMonitoring Main [1] Frequency Report of security posture to appropriate \nofficials and personnel. 1/Year; As \ngoverned by \nChange \nManagement \ncontrols 1/Year; As \ngoverned by \nChange \nManagement \ncontrols 1/Year; As \ngoverned by \nChange \nManagement \ncontrols \nCA 07 Continuous \nMonitoring E 2 [1] Frequency Planning, scheduling, and execution of \nspecialized security testing/assessments. \nCA 07 Continuous \nMonitoring E 2 [2] Selection Testing is announced or unannounced. \nCA 07 Continuous \nMonitoring E 2 [3] Selection Type of specialized security \ntesting/assessments. \nCA 07 Continuous \nMonitoring E 2 [3][1] Reference Additional types of specialized security \ntesting/assessments. \n9 " }

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{ "pdf_file": "IPSOTZ2PBHPSDMON7CRCOAQD5CNYYOVE.pdf", "text": "1182 25 CFR Ch. VI (4–1–07 Edition) § 1000.175 \n§ 1000.175 What is the process for con-\nducting the negotiation phase? \n(a) Within 30 days of receiving a writ-\nten request to negotiate, the bureau and the Tribe/Consortium will agree to a date to conduct an initial negotiation meeting. Subsequent meetings will be held with reasonable frequency at rea-sonable times. \n(b) Tribe/Consortium and bureau lead \nnegotiators must: \n(1) Be authorized to negotiate on be-\nhalf of their government; and \n(2) Involve all necessary persons in \nthe negotiation process. \n(c) Once negotiations have been suc-\ncessfully completed, the bureau and Tribe/Consortium will prepare and ei-ther execute or disapprove an AFA within 30 days or by a mutually agreed upon date. \n§ 1000.176 What issues must the bu-\nreau and the Tribe/Consortium ad-dress at negotiation meetings? \nThe negotiation meetings referred to \nin §1000.175 must address at a minimum the following: \n(a) The specific Tribe/Consortium \nproposal(s) and intentions; \n(b) Legal or program issues that the \nbureau or the Tribe/Consortium iden-tify as concerns; \n(c) Options for negotiating programs \nand related budget amounts, including mutually agreeable options for devel-oping alternative formats for pre-senting budget information to the Tribe/Consortium; \n(d) Dates for conducting and con-\ncluding negotiations; \n(e) Protocols for conducting negotia-\ntions; \n(f) Responsibility for preparation of a \nwritten summary of the discussions; and \n(g) Who will prepare an initial draft \nof the AFA. \n§ 1000.177 What happens when the \nAFA is signed? \n(a) After all parties have signed the \nAFA, a copy is sent to the Tribe/Con-sortium. \n(b) The Secretary forwards copies of \nthe AFA to: \n(1) The House Subcommittee on Na-\ntive Americans and Insular Affairs; and (2) The Senate Committee on Indian \nAffairs; \n(c) For BIA programs, the AFA is \nalso forwarded to each Indian Tribe/ Consortium served by the BIA Agency that serves any Tribe/Consortium that is a party to the AFA. \n§ 1000.178 When does the AFA become \neffective? \nThe effective date is not earlier than \n90 days after the AFA is submitted to the Congressional committees under §1000.177(b). \n§ 1000.179 What happens if the Tribe/ \nConsortium and bureau negotiators fail to reach an agreement? \n(a) If the Tribe/Consortium and bu-\nreau representatives do not reach agreement during the negotiation phase by the mutually agreed to date for completing negotiations, the Tribe/ Consortium and the bureau may each make a last and best offer to the other party. \n(b) If a last and best offer is not ac-\ncepted within 15 days, the bureau will provide a written explanation to the Tribe/Consortium explaining its rea-sons for not entering into an AFA for the requested program, together with the applicable statement prescribed in subpart R of this part, concerning ap-peal or review rights. \n(c) The Tribe/Consortium has 30 days \nfrom receipt of the bureau’s written ex-planation to file an appeal. Appeals are handled in accordance with subpart R of this part. \nN\nEGOTIATION PROCESS FOR SUCCESSOR \nANNUAL FUNDING AGREEMENTS \n§ 1000.180 What is a successor AFA? \nA successor AFA is a funding agree-\nment negotiated after a Tribe’s/Consor-tium’s initial agreement with a bureau for continuing to perform a particular program. The parties to the AFA should generally use the terms of the \nexisting AFA to expedite and simplify the exchange of information and the negotiation process. \n§ 1000.181 How does the Tribe/Consor-\ntium initiate the negotiation of a successor AFA? \nAlthough a written request is desir-\nable to document the precise request \nVerDate Aug<31>2005 14:28 May 24, 2007 Jkt 211082 PO 00000 Frm 01192 Fmt 8010 Sfmt 8010 Y:\\SGML\\211082.XXX 211082cprice-sewell on PROD1PC66 with CFR" }

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{ "pdf_file": "NO2EXNEDITIQJ5DGLCKNW22NA7KIUSFV.pdf", "text": "This Remittance Report Tracking Report Pertains to HUCKLEBERRY HOUSE INC (3164)\nNotes:\n(1) This Report Produced on 28JUL09 From a Master File Created 25JUL09\n(2) MACSIS APUPD/Posts Between 01APR09 and 30APR09 are included here.This Remittance Report Tracking Report Pertains to HUCKLEBERRY HOUSE INC (3164)\nNotes:\n(1) This Report Produced on 28JUL09 From a Master File Created 25JUL09\n(2) MACSIS APUPD/Posts Between 01APR09 and 30APR09 are included here.\nFiscal Year\n2009\nFunding Stream\nMedicaid Non-Medicaid\nBoardAPDATE ClaimsRemit\nAmt. ClaimsRemit\nAmt.\nFRANB 2009-04-13 491$53,065.94 1,269$89,688.81\n2009-04-20 3$755.13 3$-755.13\nFRANB 494$53,821.07 1,272$88,933.68\nG.TOT 494$53,821.07 1,272$88,933.68" }

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{ "pdf_file": "E45NEAYVIVYEEBRMTFW3XMU5ZQQQTCWV.pdf", "text": "Neutrino/-Induce dRadiation Haza rdMuon Deca y/1 \u0016−/=/=>\u0017\u0016\n/+\u0017e\n/+e−\n\u0016\n/+/=/=>\u0017\u0016\n/+\u0017e\n/+e\n/+T ypical op ening angle/:\n\u0012\u0017\u0019\n/1\nγ\u0016F o r /2 T eV muons\n\u0012\u0016\u0019 /5/0\u0016rad \u0017 INTERA CTIONS /#28DIS/#29T eV/-scale NEUTRINOSinteract p rima rily throughDeep Inelastic Scattering/#28DIS/#29 on nucleons /#28N/#29\n\u0017\u0016e\n/+N−!\n\u0016e/+Hadrons /#28/7/5/#25/#29\n\u0017 /+Hadrons /#28/2/5/#25/#29 Pro ducing the pa rticles/:\nHadron meters \u0019 /4/0/#25\nshowers ofE T\nElectromag: meters \u0019 /2/0/#25\nshowers ofE T\nMuons km \u0019 /2/0/#25\nofET\nNeutrino \u0019 /2/0/#25\nofET Question/: isn/'t theneutrino cross/-sec tion verysmall/?\n\u001btotal\u0017N\u0019/7\u0002 /1/0− /3/6cm\n/2\u0002E\u0017\n/#5BTeV /#5DThe o/#0B/-site dose limit is/:/1/0mrem=year /=/6/0/0TeV=kg=year /#28fo rmin/.ion/.radiation/#29\n\u0019Energyof /1/0\n/3\u00170s The small cross/-se ction iscomp ensated b y/:/6\u0002 /0/1\n/2/6N/#2Fkg/2\u0002 /1/0\n/2/1\u0017 /#2Fy ea r" }

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=/.null/nonmarkingreturn ! =/.null/nonmarkingreturn =/.null/nonmarkingreturn =/.null/nonmarkingreturn !\"\n/.nullK==/.null/nonmarkingreturn=/.null/nonmarkingreturn =ENúNO NúNONúNO NúNONúNOF /.null=/.null/nonmarkingreturn !\"# K==/.null/nonmarkingreturn =/.null/nonmarkingreturn ! =/.null/nonmarkingreturn \n/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn/.null=/.null/nonmarkingreturn=V= V=V= V=V=/.null /.null/.null /.null/.null=NN =NN=NN =NN=NN/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn/.null/nonmarkingreturn ! K==/.null/nonmarkingreturn=/.null/nonmarkingreturn =/.null/nonmarkingreturn=/.null/nonmarkingreturn=/.null/nonmarkingreturn\n/.null/nonmarkingreturn =/.null/nonmarkingreturn !\" GK\nOffice of the Secretary of State\nVoter Registration by Mail\nPO Box 40230 • Olympia, WA 98504-0230\nG/.null/nonmarkingreturn =/.null/nonmarkingreturn ! =/.null/nonmarkingreturn=/.null/nonmarkingreturn ! =/.null/nonmarkingreturn ! =/.null/nonmarkingreturn K=/.null/nonmarkingreturn=/.null/nonmarkingreturn ! =/.null/nonmarkingreturn =/.null/nonmarkingreturn ! K\n/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn=W== =W===W== =W===W==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn !\" /.null/nonmarkingreturn !\"/.null/nonmarkingreturn !\" /.null/nonmarkingreturn !\"/.null/nonmarkingreturn !\" = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturnI=`= I=`=I=`= I=`=I=`=/.null /.null/.null /.null/.null= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null /.null/.null /.null/.null\n/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn =R =R=R =R=R/.null /.null/.null /.null/.null= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! =NMIMMM=NMIMMM=NMIMMM=NMIMMM=NMIMMM /.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! = == ==/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null /.null/.null /.null/.null\n/.null /.null/.null /.null/.null= == ==/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! K==Eo`t=OV^KMUKONMF K==Eo`t=OV^KMUKONMFK==Eo`t=OV^KMUKONMF K==Eo`t=OV^KMUKONMFK==Eo`t=OV^KMUKONMF/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn == ==== ====/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn\n/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null /.null/.null /.null/.null= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! = == ==/.null/nonmarkingreturn !\"# /.null/nonmarkingreturn !\"#/.null/nonmarkingreturn !\"# /.null/nonmarkingreturn !\"#/.null/nonmarkingreturn !\"# K KK KK\n jêK\n jêëK\n jáëë\n jëK\n/.null/nonmarkingreturn=/.null/nonmarkingreturn ! =/.null/nonmarkingreturn /.null/nonmarkingreturn\n/.null/nonmarkingreturn/.null /.null/nonmarkingreturn\n41\n/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==J= J=J= J=J==V= =V==V= =V==V=/.null=NN =NN=NN =NN=NN/.null/nonmarkingreturn=/.null/nonmarkingreturn=/.null/nonmarkingreturn !\"# K\n/.null/nonmarkingreturn =/.null=/.null/nonmarkingreturn =/.null/nonmarkingreturn=/.null/nonmarkingreturn =/.null/nonmarkingreturn =/.null/nonmarkingreturn ! =/.null/nonmarkingreturn !\" K\n• /.null/nonmarkingreturn=/.null/nonmarkingreturn=/.null/nonmarkingreturn !\"#$ K\n• /.null/nonmarkingreturn=/.null/nonmarkingreturn=/.null/nonmarkingreturn=/.null/nonmarkingreturn =/.null/nonmarkingreturn=/.null/nonmarkingreturn=/.null/nonmarkingreturn =/.null/nonmarkingreturn=/.null/nonmarkingreturn =/.null/nonmarkingreturn !\" K\n• /.null/nonmarkingreturn=/.null/nonmarkingreturn=/.null/nonmarkingreturn=/.null=PM/.null=/.null/nonmarkingreturn\n• /.null/nonmarkingreturn=/.null/nonmarkingreturn ! =/.null/nonmarkingreturn ! =/.null/nonmarkingreturn=NU/.null=/.null/nonmarkingreturn !\" K/.null\n = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn/.null/nonmarkingreturn=/.null/nonmarkingreturn=/.null/nonmarkingreturn=E@Q/.null=/.null/nonmarkingreturn=/.null/nonmarkingreturnF5\n/.null/nonmarkingreturn \n/.null/nonmarkingreturn !\"# KX\n/.null /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn=/.null/nonmarkingreturn =/.null/nonmarkingreturn =/.null/nonmarkingreturn =/.null/nonmarkingreturn =/.null/nonmarkingreturn !\"#$ K\n/.null/nonmarkingreturn\n/.null\n/.null/nonmarkingreturn\n/.null/nonmarkingreturn \n/.null /.null/nonmarkingreturn !\n/.null/nonmarkingreturn =/.null/nonmarkingreturn =/.null/nonmarkingreturn =/.null/nonmarkingreturn !\"# K\nX11/.null/nonmarkingreturn \n/.null/nonmarkingreturn !\"# KX gêK\n pêK\n ff\n fff\n/.null/nonmarkingreturn=/.null/nonmarkingreturn=/.null/nonmarkingreturn /.null =====/.null/nonmarkingreturn !\n/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn\n/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn\n/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! K KK KK\n /.null /.null/.null /.null/.null ===== ========== ==========/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn \n /.null /.null/.null /.null/.null= == ==/.null /.null/.null /.null/.null= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn !\" /.null/nonmarkingreturn !\"/.null/nonmarkingreturn !\" /.null/nonmarkingreturn !\"/.null/nonmarkingreturn !\" K KK KK== ==== ====/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn !\n/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn \\ \\\\ \\\\\n/.null/nonmarkingreturn =/.null/nonmarkingreturn=/.null/nonmarkingreturn =/.null/nonmarkingreturn ! =E/.null/nonmarkingreturn ! =/.null/nonmarkingreturnF/.null/nonmarkingreturn=/.null/nonmarkingreturn=/.null/nonmarkingreturn=E/.null/nonmarkingreturnF /.null/nonmarkingreturn==E/.nullL/.nullL/.nullF\n/.null/nonmarkingreturn =/.null=/.null/nonmarkingreturn !\" =/.null/nonmarkingreturn2/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn\n/.null /.null/.null /.null/.null= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn =NU =NU=NU =NU=NU/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null /.null/.null /.null/.null /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn G GG GG\n3\n6\n89/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! = == ==/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn !\" /.null/nonmarkingreturn !\"/.null/nonmarkingreturn !\" /.null/nonmarkingreturn !\"/.null/nonmarkingreturn !\" = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn \n/.null/nonmarkingreturn !\" /.null/nonmarkingreturn !\"/.null/nonmarkingreturn !\" /.null/nonmarkingreturn !\"/.null/nonmarkingreturn !\" K== K==K== K==K==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null /.null/.null /.null/.null= == ==/.null/nonmarkingreturn !\"# /.null/nonmarkingreturn !\"#/.null/nonmarkingreturn !\"# /.null/nonmarkingreturn !\"#/.null/nonmarkingreturn !\"# = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn \n/.null /.null/.null /.null/.null= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturnI= I=I= I=I=/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn \nQ QQ QQ/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn K= K=K= K=K=/.null /.null/.null /.null/.null= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn \n/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null /.null/.null /.null/.null= == ==/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! K KK KK\n10cçê=lÑÑáÅá~ä=rëÉ=låäó cçê=lÑÑáÅá~ä=rëÉ=låäócçê=lÑÑáÅá~ä=rëÉ=låäó cçê=lÑÑáÅá~ä=rëÉ=låäócçê=lÑÑáÅá~ä=rëÉ=låäó\nG GG GG/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn=W= =W==W= =W==W=/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn=N= =N==N= =N==N=/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn=O =O=O =O=O/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn=? =?=? =?=?/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn ? ?? ??/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturn /.null/nonmarkingreturn/.null/nonmarkingreturnI= I=I= I=I=/.null /.null/.null /.null/.null= == ==/.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn = == ==/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! = == ==/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! /.null/nonmarkingreturn !/.null/nonmarkingreturn ! K KK KK\n12( ) /.null /.null/.null /.null/.null /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn /.null/nonmarkingreturn G GG GG\n / /\n / /\n ====/.null=L=/.null=L=/.null7\n /.null/nonmarkingreturn=/.null/nonmarkingreturn=/.null/nonmarkingreturn =/.null/nonmarkingreturn =Q/.null/nonmarkingreturn\n/.null/nonmarkingreturn/.null/nonmarkingreturn=/.null/nonmarkingreturn=/.null/nonmarkingreturn /.null/nonmarkingreturn !\n “WEB” MAIL-IN VREG (1/04) KOREAN/.null /.null/.null /.null/.null\\ \\\\ \\\\\n/.null/nonmarkingreturn =/.null/nonmarkingreturn=/.null/nonmarkingreturn \n/.null/nonmarkingreturn ! =/.null/nonmarkingreturn=/.null/nonmarkingreturn ! =/.null/nonmarkingreturn !\"#$ K" }

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{ "pdf_file": "SA3EKMNRN4KHJYVMDDBOUIQTZIV3ZVJH.pdf", "text": "Department of Homeland Security Privacy Office Report to Congress 2004 APPENDIX A \nPage 1 of 1 \nH. R. 5005 \n \nOne Hundred Seventh Congress \nof the \nUnited States of America \n \nAT THE SECOND SESSION \n \nBegun and held at the City of Washington on Wednesday, \nthe twenty-third day of January, two thousand and two \n \nAn Act \n \nTo establish the Department of Homela nd Security, and for other purposes. \n \nBe it enacted by the Senate and House of Representatives of the United States of \nAmerica in Congress assembled , \n \nSECTION 1. SHORT TITLE; TABLE OF CONTENTS. \n(a) SHORT TITLE.—This Act may be cited as the ‘‘Homeland Security Act of 2002’’. \n(b) TABLE OF CONTENTS.—The table of co ntents for this Act is as follows: \n \nTITLE II—INFORMATION ANALYSIS AND INFRASTRUCTURE PROTECTION \n \nSubtitle C—Information Security \n \nSEC. 222. PRIVACY OFFICER . \n \nThe Secretary shall appoint a senior o fficial in the Department to assume \nprimary responsibility for privacy policy, including – \n \n(1) assuring that the use of technologies sustain, and do not erode, privacy \nprotections relating to the use, colle ction, and disclosure of personal \ninformation; \n(2) assuring that personal information contained in Privacy Act systems of \nrecords is handled in full compliance wi th fair information practices as set \nout in the Privacy Act of 1974; \n(3) evaluating legislative and regulatory proposals involving collection, use, and \ndisclosure of personal information by the Federal Government; \n(4) conducting a privacy impact assessment of proposed rules of the Department \nor that of the Department on the priv acy of personal information, including \nthe type of personal information collect ed and the number of people affected; \nand \n(5) preparing a report to Congress on an annual basis on activities of the \nDepartment that affect privacy including complaints of privacy violations, implementation of the Privacy Act of 1974, internal controls, and other \nmatters. " }

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{ "pdf_file": "CUHGX5XRCG2IOBFKZJO73RCWRBGZTE3J.pdf", "text": "IN THE UNITED STATES DISTRICT COURT\nFOR THE WESTERN DISTRICT OF WISCONSIN\nCHARLES G. ANDERSON,\nPetitioner, ORDER\nv.\n 12-cv-578-bbc\nDEBORAH McCULLOCH, Director,\nSand Ridge Secure Treatment Center,\nRespondent.1\nPetitioner Charles G. Anderson seeks a writ of habea s corpus under 28 U.S.C. § 2254 to\nchallenge his continued c onfinement at the Sand Ridge Secure Treat ment Cent er in Maust on,\nWiscon sin. Anderson proceeds pro se and he has paid the five dollar filing fee. This case is\npending before the court for prelimin ary review under Rule 4 of the Rules Governin g Sectio n\n2254 Cases. \nPrelimina ry review of the petition show s that Anderson is in custo dy pursu ant to a civil\ncommit ment order entered under the state sexually violen t perso ns law, Wis. Stat. ch. 980. \nAnderson provides scant detail about his commit ment proceedings or his efforts to obtain relief\nin state court. He appears to challenge a judgmen t from the Circuit Court for Portage County,\nwhich denied his petition for discharge under Wis. Stat. § 980.09. Public records confirm that\nthis judgment was affirmed on direct appeal, State v. Anderson, 2012 WI App 52, 340 Wis.2 d\n742, 813 N.W.2d 248 (Wis. App. March 22, 2012) (unpublished), and the Wiscon sin Supreme\nCourt has den ied furt her review. \n The petition lists Secretary Dennis Smith of the Wisconsin Department of Health and Human1\nServices as the respondent. The court substitutes the official having custody, Sand Ridge Director\nDeborah McCulloch, as the proper respondent under Rule 2(a) of the Rules Governing Section 2254\nCases. Liberally construed, Anderson contends that his continued confinement is\nunconstitutional because the state failed to prove that he remains a sexually violen t perso n as\ndefin ed by Wis. Stat. 980.01(7). Anderson has not allege d any facts in suppo rt of this c laim. \nNevertheless, it appears that Anderson has exhaust ed his state court remedies with respect to this\nissue and that he has filed his petition within the one-year limitat ions perio d on federal review.\nTheref ore, at this early stage of the case, A nderson may pro ceed with this claim. \nORDER\nIT IS O RDERED THAT:\n 1. Service of petition. Pursua nt to an informal service agreement between the\nAttorney General and the court, the Attorney General is being notified to seek service on the\nrespondent, Deborah McCullo ch, in her official capacity as directo r of the Sand Ridge Secure\nTreat ment Cent er. \n2. Answer deadline. Wit hin 30 days of the da te of service of this o rder, respo ndent\nmust file an answer to t he pet ition, in co mplian ce with Rule 5 of the Rules Governin g Sectio n\n2254 Cases, sho wing cause, if an y, why th is writ sho uld n ot issue.\n3. Motions to dismiss. If the respo ndent contends that the petition is subject to\ndismissal on its face - - on grounds such as the statute of limitat ions, an unauthorized success ive\npetition, lack of exhaust ion or procedural default - - then respo ndent is authorized to file within\n30 days of this order, a motion to dismiss, a supporting brief and any documen ts relevant to the\nmotion. Petitioner shall have 20 days following service o f any dismissal mo tion within which\n2 to file and serve his respo nsive brief and any supporting documen ts. The respo ndent shall have\n20 days fo llowing service of the respo nse w ithin which to file a reply.\n4. Denial of motion to dismiss. If the court denies such a motion to dismiss in whole\nor in part, then it will set deadlin es for the respo ndent to file an answer and for the parties to\nbrief t he merits. \n5. Briefing on the merits. If respo ndent does not file a motion to dismiss, then the\nparties shall adhere to the following briefin g schedule regarding the merits of petitioner’s claims:\n(a) Petitioner shall file a brief in support of his petition within 30 days\nafter respo ndent files his answer. With respect to any claim\nadjud icated on the merits in state court, petitioner must show\neither that (1) the state court contravened a controlling opinion of\nthe United States Supreme Court; (2) the state court applied a\ncontrolling opinion of the United States Supreme Court in an\nunreason able manner; or (3) the state court’s decision rested upon\nan unreason able determin ation of the facts. 28 U.S.C. § 2254(d).\n(b) Respo ndent shall file a brief in opposition within 30 days after\npetitioner files his initial brief.\n(c) Petitioner shall have 20 days after respo ndent files his brief in\nwhich to file a reply b rief.\nEntered t his 22 day o f August, 2012.nd\nBY TH E CO URT:\n/s/\nSTEPHEN L. CR OCKER\nMagistrat e Judge\n3" }

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{ "pdf_file": "JWCODRHRIROHXHNEQP5VHTLJBBM5SBWX.pdf", "text": "Quigley Says \"Denial\" Isn't Just a River in Egypt, It's Also Our Gun Policy\nFriday, 15 July 2011 10:18\n \n \n \n \n \n \nThe great Mark Twain is credited with quipping, “Denial ain’t just a river in Egypt.” If he were\naround today he might add: “It also passes for gun control policy in the U.S. Congress.”\n \nThe ATF is under fast and furious fire right now; perhaps rightly so.  Allowing hundreds of guns\nto “walk” in the hopes of catching big fish traffickers was terribly ill-advised.\n \nBut so too is Congress’ excuse for gun policy.  And sorry folks, but the two are not entirely\nunrelated.\n \nIf Congress wants to crack down on straw purchasing and stop the trafficking of firearms to\nMexico, it is operating from the mother of all playbooks of how you would not accomplish it.\n \nChapter 1: Ensure ATF remains devoid of leadership; Chapter 2: Pass only perfunctory straw\npurchasing laws;\n \n 1 / 2 Quigley Says \"Denial\" Isn't Just a River in Egypt, It's Also Our Gun Policy\nFriday, 15 July 2011 10:18\nChapter 3: Attempt to block a common sense proposal that border state dealers report multiple\nsales of Ak-47s; Chapter 4: Author legislation to immunize corrupt gun dealers and call it the\n“ATF Modernization” Act.\n \nIt’s true:  Denial River in Congress runs vast, wide and deep.\n 2 / 2" }

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{ "pdf_file": "AB2LVVUR7Q4T7O5QDSUALJSM5UMJH2HT.pdf", "text": " \n \n \n \nScheduling Meeting of April 28, 2009 \n \nDays Worked since last Recordable Injury = 6 \n \nIncludes Employees & subcontractors \n FY06 FY07 FY08 FY09 Goal \nTRC Cases 29 31 12 13 <12 \nDART Cases 7 12 3 7 <5 \n \nFor every 10 days worked without an OSHA recordable injury, two employees will be selected at \nrandom to receive a Fermilab fleece pullover. \nRecent winners \n04/17/09 Hiep M Le (AD) Michael A Gerardi (AD) \n04/03/09 Shin-Shan Yu (PD) Naomi T Williams (WR) \n03/24/09 Dianne M Engram (WR) Oleg Prokofiev (TD) \n \n \nInjuries/Vehicle Accidents Reported \n04/20/2009 – 04/27/2009 \nInjuries: \nDivision Category Case Date Date Entered Reportable? Rx Medical ESH \nODD LDD ODD LDD \nAD FNAL 04/21/2009 04/21/2009 Y 0 6 0 5 \nMedical Comments: After changing HEPA filters at the top of the clean room (from a lift), \nemployee felt pain in the right scapula (shoulder b lade) area. \nESH Comments: Changing the HEPA filters required that the employe e lift each of the 5 fan/filter \nassemblies (weight = 50 lb. each) off of the clean room roof and then re-install the assemblies after \nthe filters were replaced. No suitable mechanical l ifting device was available to hoist the \nassemblies. Plans are being developed to install mo norail-mounted hoists or similar equipment \nabove the clean room to facilitate removal of the a ssemblies in the future. First aid treatment only. \nMedical limitations restrict the employee's ability to perform some routine duties, so case is DART. \n \n \n \n \n \nFermilab Leading & Lagging Indicators \n(Employees only) \nFrom 10/1/08 to Present \n \n Outstanding Excellent Good Marginal Unsatisfactory \n % Required \nES&H \nCourses % \nCurrent \nITNAs TRC Cases TRC \nRate DART \nCases DART Rate \nAD 98.1% 95.7% 3 1.22 2 0.81 \nAPC 98.8% 97.7% 0 0.00 0 0.00 \nBS 97.2% 93.7% 3 4.47 2 2.98 \nCD 96.8% 98.7% 0 0.00 0 0.00 \nCMS 98.7% 92.3% 0 0.00 0 0.00 \nDI 96.4% 93.9% 0 0.00 0 0.00 \nES 97.3% 100.0% 0 0.00 0 0.00 \nFCPA 97.7% 100.0% 0 0.00 0 0.00 \nFE 97.8% 99.1% 4 7.09 2 3.54 \nFI 99.6% 100.0% 0 0.00 0 0.00 \nPD 95.1% 91.4% 2 0.94 1 0.47 \nTD 96.8% 91.8% 1 0.89 0 0.00 \nWR 97.3% 94.9% 0 0.00 0 0.00 \nFermilab 97.1% 94.9% 13 1.35 7 0.73 \n \nRequired ES&H \nCourses 90 - 100% 85 - 89.9% 80 - 84.9% 75 - 79.9% 0 - 74.9% \nTotal Recordable \nCase Rate 0 - .74 .75 - 1.29 1.3 - 1.94 1.95 - 2.59 ≥2.6 \nDART Rate 0 - .34 .35 - .59 .6 - .84 .85 – 1.09 ≥1.1 \nCurrent ITNAs 90 - 100% 85 - 89.9% 80 - 84.9% 75 - 79.9% 0 - 74.9% \n \n \n \n \n \n \n \n \nAnnualized Injury Rate Trends \nRate = (200,000) X (Number of Cases / Hours worked) \n \n \n \n \n \n " }

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{ "pdf_file": "ZEVGJOLU5PKURGKDQ3GMLEWFTBUGJXT6.pdf", "text": "Blog: Condemning the Government of Uganda’s Anti-Homosexuality Bill\nWednesday, 13 January 2010 00:00\nA vast majority of governments throughout the world, including the United States, continue to\ndeny full civil rights and protections to their lesbian, gay, bisexual, and transgender (LGBT)\ncitizens. However, the Anti-Homosexuality Bill of 2009 that has been introduced in the\nParliament of Uganda takes this to a deadly extreme.  This proposed legislation criminalizes\nand punishes homosexuality, thereby endangering the lives of all Ugandans and threatening\ntheir civil and human rights.  This is outrageously discriminatory and deeply troubling. \nIf it became law, the Anti-Homosexuality Bill would condemn HIV-positive citizens who engage\nin consensual homosexual acts to death. It would also sentence those who engage in\nconsensual homosexual acts to life imprisonment.  LGBT citizens living abroad could be\nextradited for acts committed outside Uganda and tried under this law, including those who are\nalso dual citizens of Uganda and the United States.  If you knew that a homosexual act had\nbeen committed either in Uganda or by a Ugandan citizen, this would have to be reported to the\nauthorities within 24 hours – failure to do so could result in a jail term of up to three years, even\nif you are not a Ugandan citizen.  Finally, the Anti-Homosexuality Bill requires that it takes\nprecedence over any commitment to international agreements that recognize the rights of LGBT\npersons.  As a responsible member of the international community, the United States cannot sit\nidly by as such a bill becomes law.\n \nThis legislation would undermine the government of Uganda’s commitment to democracy at a\nmost basic level, significantly damage its relations with the international community, and risk\ninciting greater hate-motivated violence within Uganda itself.  Furthermore, I am deeply\nconcerned about the consequences that this bill would have on public health in Uganda as it\nattempts to combat HIV/AIDS.  The stigmatization of homosexual identity and behavior\ncontinues to stymie efforts to fight HIV/AIDS in the United States and abroad.  The bill’s\ncriminalization of homosexuality will undoubtedly discourage individuals from having the open\nand honest discussions about their sexual health and behavior that are crucial to lessening the\nspread and burden of this infection.\n \nI commend President Obama and State Secretary Clinton for denouncing this bigoted\nlegislation and am further encouraged by Secretary Clinton’s commitment to protect “the rights\nof the LGBT community worldwide”.  It is my fervent hope that Congress will show a similar\ncommitment to its own LGBT citizens when it is called upon to repeal discriminatory legislation\nsuch as “Don’t Ask, Don’t Tell” and the Defense of Marriage Act .\n \nI unequivocally condemn the Anti-Homosexuality Bill in the strongest possible terms and urge\nthe government of Uganda to withdraw this bill and support the inalienable human rights of all\npeople.\n 1 / 2 Blog: Condemning the Government of Uganda’s Anti-Homosexuality Bill\nWednesday, 13 January 2010 00:00\n \n[Archived Blog Entries ]\n \n 2 / 2" }

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{ "pdf_file": "VBIAQQSSCXZFKZTBZCYGIU4IJTA54DCY.pdf", "text": "I \n111 THCONGRESS \n1STSESSION H. R. 2028 \nTo amend the Social Security Act to prevent unauthorized earnings from \nbeing credited toward benefits under title II of such Act and to make improvements in provisions governing totalization agreements, to amend the Social Security Act and the Immigration and Nationality Act to prevent unauthorized employment, and to improve coordination of the provisions of such Acts, and for other purposes. \nIN THE HOUSE OF REPRESENTATIVES \nAPRIL 22, 2009 \nMr. S AMJOHNSON of Texas (for himself, Ms. G IFFORDS , Mr. B RADY of \nTexas, Mr. M OORE of Kansas, Mr. R YAN of Wisconsin, and Mr. M ITCH -\nELL) introduced the following bill; which was referred to the Committee \non the Judiciary, and in addition to the Committees on Education and Labor, Rules, and Ways and Means, for a period to be subsequently de-termined by the Speaker, in each case for consideration of such provisions as fall within the jurisdiction of the committee concerned \nA BILL \nTo amend the Social Security Act to prevent unauthorized \nearnings from being credited toward benefits under title II of such Act and to make improvements in provisions governing totalization agreements, to amend the Social Security Act and the Immigration and Nationality Act to prevent unauthorized employment, and to improve co-ordination of the provisions of such Acts, and for other purposes. \nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00001 Fmt 6652 Sfmt 6652 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 2 \n•HR 2028 IHBe it enacted by the Senate and House of Representa- 1\ntives of the United States of America in Congress assembled, 2\nSECTION 1. SHORT TITLE. 3\nThis Act may be cited as the ‘‘New Employee 4\nVerification Act of 2009’’. 5\nTITLE I—ELECTRONIC 6\nEMPLOYMENT VERIFICATION 7\nSubtitle A—Implementation of New 8\nSystems 9\nSEC. 101. EXTENSTION OF BASIC PILOT UNTIL NEW SYS-10\nTEMS OPERATING. 11\nSection 401(b) of the Illegal Immigration Reform and 12\nImmigrant Responsibility Act of 1996 (8 U.S.C. 1324a 13\nnote) is amended— 14\n(1) by striking ‘‘11-year period’’ and inserting 15\n‘‘16-year period’’; and 16\n(2) by striking the period at the end and insert- 17\ning the following: ‘‘, except that this subtitle is re- 18\npealed effective on the date that is 36 months after 19\nthe date of the enactment of the New Employee 20\nVerification Act of 2009.’’. 21\nSEC. 102. AMENDMENTS TO IMMIGRATION LAWS TO IM-22\nPROVE EMPLOYMENT AUTHORIZATION 23\nVERIFICATION. 24\n(a) I NGENERAL .— 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00002 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 3 \n•HR 2028 IH(1) C HANGE IN EMPLOYMENT ELIGIBILITY 1\nVERIFICATION PROCESS .—Section 274A of the Im- 2\nmigration and Nationality Act (8 U.S.C. 1324a) is 3\namended— 4\n(A) in subsection (a)(1)(B)— 5\n(i) in clause (i), by striking ‘‘sub- 6\nsection (b)’’ and inserting ‘‘(b), (c), or 7\n(d)’’; and 8\n(ii) in clause (ii), by striking ‘‘sub- 9\nsection (b).’’ and inserting ‘‘subsection (b), 10\n(c), or (d).’’; and 11\n(B) in subsection (b), in the matter pre- 12\nceding paragraph (1), by striking ‘‘United 13\nStates,’’ and inserting ‘‘United States who is 14\nsubject to compliance with this subsection,’’. 15\n(2) V ERIFICATION VIA EEVS AND SEEVS SYS - 16\nTEMS .—Subsections (c) and (d) of section 274A of 17\nthe Immigration and Nationality Act (8 U.S.C. 18\n1324a) are amended to read as follows: 19\n‘‘(c) E LECTRONIC EMPLOYMENT VERIFICATION SYS- 20\nTEM.— 21\n‘‘(1) E NROLLMENT .— 22\n‘‘(A) I N GENERAL .—Every person or other 23\nentity subject to subsection (a)(1)(B), and that 24\nis not in compliance with such subsection by 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00003 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 4 \n•HR 2028 IHreason of compliance with subsection (d), shall 1\nparticipate in the Electronic Employment 2\nVerification System established under section 3\n235(a) of the Social Security Act (the ‘EEVS’) 4\non a schedule established in accordance with 5\nsection 235(a)(4) of the Social Security Act 6\nwith respect to all hiring, recruitment, and re- 7\nferral described in subsection (a)(1)(B) occur- 8\nring after the earlier of the date on which the 9\nentity— 10\n‘‘(i) is required to register under this 11\nparagraph; or 12\n‘‘(ii) voluntarily registers. 13\n‘‘(B) V OLUNTARY PARTICIPATION .—The 14\nSecretary of Homeland Security, in consultation 15\nwith the Commissioner of Social Security, may 16\npermit any person or other entity subject to 17\nsubsection (a)(1)(B), and that is not yet re- 18\nquired to participate in the EEVS under section 19\n235(a)(4) of the Social Security Act to partici- 20\npate in the EEVS on a voluntary basis. 21\n‘‘(C) E XPEDITED PARTICIPATION .—The 22\nSecretary of Homeland Security, on a case-by- 23\ncase or classwide basis, may require any person 24\nor other entity subject to subsection (a)(1)(B), 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00004 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 5 \n•HR 2028 IHand that is not yet required to participate in 1\nthe EEVS under section 235(a)(4) of the Social 2\nSecurity Act, to participate in the EEVS (or, 3\nalternatively, the Secure Employment Eligibility 4\nVerification System established under section 5\n235(b) of the Social Security Act (the 6\n‘SEEVS’)) on an expedited basis if the Sec- 7\nretary designates such person or entity as— 8\n‘‘(i) employing individuals having ac- 9\ncess to locations or information that have 10\na direct impact on the security of the 11\nUnited States; or 12\n‘‘(ii) having engaged in material viola- 13\ntions of this section. 14\n‘‘(D) R EQUIREMENT TO NOTIFY .—The 15\nSecretary of Homeland Security shall notify 16\npersons or entities required to register not less 17\nthan 60 days prior to the effective date of such 18\nrequirement through publication in the Federal 19\nRegister regarding the requirement for partici- 20\npation in the EEVS under subparagraphs (A) 21\nand (C)(i) and by mail regarding the require- 22\nment for participation in the EEVS under sub- 23\nparagraph (C)(ii). Such notice shall include the 24\nVerDate Nov 24 2008 01:50 Apr 24, 2009 Jkt 079200 PO 00000 Frm 00005 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 6 \n•HR 2028 IHtraining materials described in section 1\n235(a)(5) of the Social Security Act. 2\n‘‘(E) R EGISTRATION .—A person or other 3\nentity shall register to participate in the EEVS 4\nor the SEEVS in the manner prescribed by the 5\nCommissioner of Social Security prior to the 6\ndate the person or entity is required or per- 7\nmitted to submit information with respect to an 8\nindividual under this subsection. 9\n‘‘(F) C ONSEQUENCE OF FAILURE TO PAR - 10\nTICIPATE .—If a person or other entity is re- 11\nquired or has elected to participate in the 12\nEEVS or the SEEVS and fails to comply with 13\nthe requirements thereof, such failure— 14\n‘‘(i) shall be treated as a violation of 15\nsubsection (a)(1)(B) punishable under sub- 16\nsection (e)(5); and 17\n‘‘(ii) shall create a rebuttable pre- 18\nsumption that the person or other entity 19\nhas violated subsection (a)(1)(A), except 20\nthat such presumption shall not apply to a 21\nprosecution under subsection (f)(1). 22\n‘‘(G) P ROTECTION FROM LIABILITY .—No 23\nperson or other entity that participates in the 24\nEEVS or the SEEVS shall be liable under any 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00006 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 7 \n•HR 2028 IHlaw for any employment-related action taken 1\nwith respect to an individual in reliance on in- 2\nformation provided by the EEVS or the SEEVS 3\n(as applicable) in connection with such partici- 4\npation, if such action is taken in accordance 5\nwith the requirements of this subsection, section 6\n235 of the Social Security Act, and applicable 7\nregulations prescribed thereunder. 8\n‘‘(H) E XCLUSIVE MEANS OF 9\nVERIFICATION .—If a person or other entity is 10\nrequired or has elected to participate in the 11\nEEVS, subsections (b) and (d) shall not apply 12\nto the person or other entity. 13\n‘‘(2) O BTAINING DOCUMENTS FOR EEVS .— 14\n‘‘(A) I NFORMATION REQUIRED .—A person 15\nor other entity registered to participate in the 16\nEEVS shall, with respect to the hiring, or re- 17\ncruiting or referring for a fee, any individual 18\nfor employment in the United States, obtain 19\nfrom the individual— 20\n‘‘(i) the individual’s name and date of 21\nbirth; 22\n‘‘(ii) the individual’s social security 23\naccount number; and 24\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00007 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 8 \n•HR 2028 IH‘‘(iii) in the case of an individual who 1\ndoes not claim to be a national of the 2\nUnited States, such alien identification or 3\nauthorization number as the Secretary 4\nshall require. 5\n‘‘(B) D OCUMENTS REQUIRED .—The person 6\nor entity shall require that the individual 7\nproduce one of the following documents con- 8\nsistent with the status claimed by the individual 9\nand bearing identifying information consistent 10\nwith that obtained from the individual: 11\n‘‘(i) In the case of an individual who 12\nis a national of the United States— 13\n‘‘(I) a United States passport; or 14\n‘‘(II) a driver’s license or identity 15\ncard, issued by a State, the Common- 16\nwealth of the Northern Mariana Is- 17\nlands, or an outlying possession of the 18\nUnited States, that contains a photo- 19\ngraph of the individual, other identi- 20\nfying information (including the indi- 21\nvidual’s name, date of birth, gender, 22\nand address) and security features to 23\nmake the license or card resistant to 24\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00008 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 9 \n•HR 2028 IHtampering, counterfeiting, and fraudu- 1\nlent use. 2\n‘‘(ii) In the case of an alien lawfully 3\nadmitted for permanent residence in the 4\nUnited States, a permanent resident card, 5\nas specified by the Secretary, that contains 6\na photograph of the individual, other iden- 7\ntifying information (including name, date 8\nof birth, gender, and address), and con- 9\ntains security features to make the docu- 10\nment resistant to tampering, counter- 11\nfeiting, and fraudulent use. 12\n‘‘(iii) In the case of an alien who is 13\nauthorized under the Immigration and Na- 14\ntionality Act or by the Secretary of Home- 15\nland Security to be employed in the United 16\nStates, an employment authorization card, 17\nissued by the Secretary that contains a 18\nphotograph of the individual, other identi- 19\nfying information (including name, date of 20\nbirth, gender, and address), and security 21\nfeatures to make the document resistant to 22\ntampering, counterfeiting, and fraudulent 23\nuse. 24\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00009 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 10 \n•HR 2028 IH‘‘(iv) In the case of an individual who 1\nis unable to obtain a document described 2\nin clause (i), (ii), or (iii), a document des- 3\nignated by the Secretary that contains a 4\nphotograph of the individual, other identi- 5\nfying information (including name, date of 6\nbirth, gender, and address) and security 7\nfeatures to make the document resistant to 8\ntampering, counterfeiting, and fraudulent 9\nuse. 10\n‘‘(C) U NACCEPTABLE DOCUMENTS .—If the 11\nSecretary finds that a document or class of doc- 12\numents described in clause (ii) is not reliable to 13\nestablish identity or is being used fraudulently 14\nto an unacceptable degree, the Secretary shall 15\nprohibit, or impose conditions, on the use of 16\nsuch documents or class of documents for pur- 17\nposes of this subsection. The Secretary shall 18\npublish notice of any findings under this clause 19\nin the Federal Register. 20\n‘‘(3) A TTESTATION .—A person or other entity 21\nregistered to participate in the EEVS shall attest, 22\nunder penalty of perjury using an electronic signa- 23\nture or code approved by the Commissioner of Social 24\nSecurity through an internet or telephonic connec- 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00010 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 11 \n•HR 2028 IHtion prescribed by the Commissioner, that registrant 1\nhas obtained the information required by paragraph 2\n(2)(A) and examined a consistent document required 3\nby paragraph (2)(B). 4\n‘‘(4) C ONSEQUENCES OF CERTAIN EEVS DETER - 5\nMINATIONS .— 6\n‘‘(A) M ANDATORY DISMISSAL IF NO CON - 7\nTEST OF INITIAL DISAPPROVAL .—If an indi- 8\nvidual does not contest the initial disapproval 9\nnotice described in section 235(a)(3)(C)(ii) of 10\nthe Social Security Act by the end of the 10- 11\nday period beginning on the date on which the 12\nnotice is received from the employer, the dis- 13\napproval shall become final, and the employer 14\nshall, within 3 business days after the end of 15\nsuch 10-day period, terminate the employment, 16\nrecruitment, or referral of the individual by the 17\nemployer. 18\n‘‘(B) M ANDATORY DISMISSAL IF DIS - 19\nAPPROVAL NOTICE ISSUED AFTER CONTEST .— 20\nIn any case in which a disapproval notice de- 21\nscribed in section 235(a)(3)(C)(v) of the Social 22\nSecurity Act is issued, the employer shall, with- 23\nin 3 business days after receipt of such notice, 24\nterminate the employment, recruitment, or re- 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00011 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 12 \n•HR 2028 IHferral of the individual who is the subject of the 1\nnotice. 2\n‘‘(C) R ULE ON DISMISSAL .—An employer 3\nshall not terminate an employee until receiving 4\na final disapproval notice, unless there is good 5\ncause for dismissal for a reason other than the 6\nfailure to obtain approval of employment eligi- 7\nbility. 8\n‘‘(5) P RESUMPTION OF VIOLATION .—If a per- 9\nson or other entity registered to participate in the 10\nEEVS continues, in violation of this subparagraph, 11\nto employ, recruit, or refer an individual, a rebutta- 12\nble presumption is created that the registrant has 13\nviolated subsections (a)(1)(A) and (a)(2) of this sec- 14\ntion, except that such presumption shall not apply to 15\na prosecution under subsection (f)(1) of this section. 16\n‘‘(d) S ECURE EMPLOYMENT ELIGIBILITY 17\nVERIFICATION SYSTEM .— 18\n‘‘(1) I N GENERAL .—Beginning with the first 19\nday of operation of the SEEVS a person or other 20\nentity subject to subsection (a)(1)(B) of this section 21\nmay elect to comply with such subsection by partici- 22\npating in the SEEVS. Such participation shall be in 23\nlieu of participation in the EEVS established under 24\nsection 235(a) of the Social Security Act. Such par- 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00012 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 13 \n•HR 2028 IHticipation shall be subject to the requirements of sec- 1\ntion 235(b) of such Act and the regulations issued 2\nunder such section. 3\n‘‘(2) R EQUIREMENT TO NOTIFY .—The Sec- 4\nretary of Homeland Security shall notify persons or 5\nentities subject to subsection (a)(1)(B) about the op- 6\nportunity to participate in the SEEVS not less than 7\n60 days prior to the first day of operation of the 8\nsystem. 9\n‘‘(3) P RESUMPTION .—Participation in SEEVS 10\nby an employer that follows the required procedures 11\nof the system shall create a presumption that the 12\nemployer has not violated the requirements of this 13\nAct with respect to its hiring decisions, which pre- 14\nsumption shall only be overcome by clear and con- 15\nvincing evidence of willful noncompliance resulting in 16\nthe hiring of an unauthorized employee. 17\n‘‘(4) E XCLUSIVE MEANS OF VERIFICATION .—If 18\na person or other entity is required or has elected 19\nto participate in the SEEVS, subsections (b) and (c) 20\nshall not apply to the person or other entity. 21\n‘‘(5) C OMPLIANCE WITH EEVS REQUIREMENTS 22\nUPON TERMINATION OF ELECTION .—If a person or 23\nother entity terminates its election to participate in 24\nthe SEEVS, the person or entity shall be subject to 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00013 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 14 \n•HR 2028 IHcompliance with subsection (c) with respect to all 1\nemployment actions beginning on the date of such 2\ntermination.’’. 3\n(b) E NHANCEMENT OF FEDERAL PREEMPTION 4\nSTANDARDS .—Section 274A(h)(2) of the Immigration and 5\nNationality Act (8 U.S.C. 1324a(h)(2)) is amended to 6\nread as follows: 7\n‘‘(2) P REEMPTION ; NO NATIONAL IDENTIFICA - 8\nTION CARD .— 9\n‘‘(A) P REEMPTION .—The provisions of this 10\nsection preempt any provision of any law of any 11\nState or political subdivision thereof or any con- 12\ntract entered into by any State or political sub- 13\ndivision thereof which— 14\n‘‘(i) imposes civil or criminal sanctions 15\nupon employers for actions governed by the 16\nAct; 17\n‘‘(ii) requires, authorizes or permits a 18\nsystem of verification of the immigration 19\nstatus of employees or employment appli- 20\ncants; 21\n‘‘(iii) requires, authorizes, or permits 22\nthe use of a federally mandated employ- 23\nment verification system for any purpose 24\nother than that required by Federal law, 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00014 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 15 \n•HR 2028 IHincluding verifying status of renters, deter- 1\nmining eligibility for receipt of benefits, en- 2\nrollment in school, obtaining or retaining a 3\nbusiness or other license provided by the 4\nunit of government, or conducting a back- 5\nground check; or 6\n‘‘(iv) requires or prohibits the use of 7\nan immigration status employment 8\nverification system for any purpose, except 9\nas required by Federal law, including with- 10\nout limitation, such purposes as— 11\n‘‘(I) a condition of receiving a 12\ngovernment contract; 13\n‘‘(II) a condition of receiving a 14\nbusiness license; or 15\n‘‘(III) the basis of assessing a 16\npenalty. 17\n‘‘(B) N O AUTHORIZATION OF NATIONAL 18\nIDENTIFICATION CARD .—Nothing in this sec- 19\ntion shall be construed to authorize, directly or 20\nindirectly, the issuance or use of national iden- 21\ntification cards or the establishment of a na- 22\ntional identification card.’’. 23\n(c) A UTHORIZATION OF APPROPRIATIONS .—There 24\nare authorized to be appropriated to the Secretary of 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00015 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 16 \n•HR 2028 IHHomeland Security such sums as may be necessary to 1\ncarry out the amendments made by this section. 2\nSEC. 103. AMENDMENTS TO SOCIAL SECURITY ACT TO IM-3\nPROVE EMPLOYMENT AUTHORIZATION 4\nVERIFICATION. 5\n(a) A MENDMENT TO TITLE II.— 6\n(1) I N GENERAL .—Title II of the Social Secu- 7\nrity Act (42 U.S.C. 401 et seq.) is amended by add- 8\ning at the end the following new section: 9\n‘‘ELECTRONIC EMPLOYMENT VERIFICATION 10\n‘‘SEC. 235. (a) E LECTRONIC EMPLOYMENT 11\nVERIFICATION SYSTEM .— 12\n‘‘(1) I N GENERAL .—The Commissioner of So- 13\ncial Security, in cooperation and consultation with 14\nthe Secretary of Health and Human Services, Sec- 15\nretary of Homeland Security, the States, and the 16\nAdvisory Panel created in subsection (c) of this sec- 17\ntion, shall establish an Electronic Employment 18\nVerification System (the ‘EEVS’) using the em- 19\nployer data entry infrastructure of the National Di- 20\nrectory of New Hires (established pursuant to sec- 21\ntion 453(i)). The EEVS— 22\n‘‘(A) shall, as is appropriate and effective, 23\nutilize elements of the employment eligibility 24\nconfirmation system infrastructure established 25\nunder section 404 of the Illegal Immigration 26\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00016 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 17 \n•HR 2028 IHReform and Immigrant Responsibility Act of 1\n1996 (Public Law 104–208; 110 Stat. 3009– 2\n664); 3\n‘‘(B) shall be accessible over the Internet 4\nand a toll-free telephone line maintained by the 5\nCommissioner; and 6\n‘‘(C) shall have the capacity to determine 7\nwhether— 8\n‘‘(i) identifying information with re- 9\nspect to an individual, submitted by the 10\nsubject employer, is consistent with the in- 11\nformation maintained by the Commissioner 12\n(with respect to both citizens and nationals 13\nof the United States) and by the Secretary 14\nof Homeland Security (solely with respect 15\nto aliens); and 16\n‘‘(ii) the individual is a citizen or na- 17\ntional or is not an unauthorized alien (as 18\ndefined in section 274A(h)(3) of the Immi- 19\ngration and Nationality Act (8 U.S.C. 20\n1324a(h)(3))) with respect to the employ- 21\nment. 22\n‘‘(2) S UBJECT EMPLOYER .—For purposes of 23\nthis section, the term ‘subject employer’ means, in 24\nconnection with any individual, an employer (within 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00017 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 18 \n•HR 2028 IHthe meaning of section 453A(a)(2)(B)(i)) of such in- 1\ndividual and includes any person who recruits or re- 2\nfers for employment such individual for a fee. 3\n‘‘(3) V ERIFICATION OF EMPLOYMENT AUTHOR - 4\nIZATION .— 5\n‘‘(A) I N GENERAL .—The Commissioner 6\nshall, through the EEVS— 7\n‘‘(i) respond to each inquiry regarding 8\nan individual’s identifying information and 9\neligibility for employment in the United 10\nStates for the subject employer, as re- 11\ncorded in the information maintained by 12\nthe Commissioner or the Secretary of 13\nHomeland Security as appropriate, and in- 14\nclude in the response the time period 15\n(which may be unlimited) for which the in- 16\ndividual is authorized to be employed in 17\nthe United States by such employer, as so 18\nrecorded; and 19\n‘‘(ii) maintain a record of each such 20\ninquiry and the information provided in re- 21\nsponse to such inquiry. 22\n‘‘(B) S UBMISSION TO SYSTEM .— 23\n‘‘(i) I N GENERAL .—A subject em- 24\nployer shall submit an inquiry through the 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00018 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 19 \n•HR 2028 IHEEVS to seek confirmation of an individ- 1\nual’s identifying information and eligibility 2\nfor employment in the United States— 3\n‘‘(I) in the case of hiring subject 4\nto clause (i) of section 274A(a)(1)(B) 5\nof the Immigration and Nationality 6\nAct (8 U.S.C. 1324a(a)(1)(B)), dur- 7\ning the period beginning on the date 8\nof hire and ending at the end of the 9\nthird business day after the employee 10\nhas reported for duty; and 11\n‘‘(II) in the case of recruitment 12\nor referral for a fee subject to clause 13\n(ii) of such section, not later than the 14\nfirst day of such recruitment or refer- 15\nral. 16\n‘‘(ii) R EQUIRED INFORMATION .—Such 17\ninquiry shall include— 18\n‘‘(I) the individual’s name and 19\ndate of birth; 20\n‘‘(II) the individual’s social secu- 21\nrity account number; 22\n‘‘(III) in the case of an individual 23\nwho does not claim to be a national of 24\nthe United States, such alien identi- 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00019 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 20 \n•HR 2028 IHfication or authorization number as 1\nthe Secretary shall require. 2\n‘‘(C) EEVS SCREENING OF EMPLOYMENT 3\nELIGIBILITY .— 4\n‘‘(i) I N GENERAL .—As soon as pos- 5\nsible, but not later than 3 business days 6\nafter a subject employer submits an in- 7\nquiry to the EEVS regarding an indi- 8\nvidual, the EEVS shall provide to the sub- 9\nject employer, through the EEVS, approval 10\nor initial disapproval of the employment of 11\nthe individual in the United States. 12\n‘‘(ii) I NITIAL DISAPPROVAL .—If a 13\nsubject employer receives an initial dis- 14\napproval from the system for an individual, 15\nthe subject employer shall notify such indi- 16\nvidual of the issuance of such disapproval 17\nin writing, on the form described in para- 18\ngraph (5)(E), not later than 3 business 19\ndays after receiving such notice. Such indi- 20\nvidual shall acknowledge receipt of such 21\nnotice in writing on a form prescribed by 22\nthe Commissioner. The Commissioner shall 23\nprovide the individual an opportunity to 24\ncontest the initial disapproval, and the no- 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00020 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 21 \n•HR 2028 IHtification of the individual by the subject 1\nemployer shall include a description of the 2\nindividual’s right to contest such dis- 3\napproval. 4\n‘‘(iii) C ONTEST .—If the individual 5\ncontests the initial disapproval, the indi- 6\nvidual shall submit appropriate information 7\nto contest such notice under the proce- 8\ndures established by the Commissioner, in 9\nconsultation with the Secretary of Home- 10\nland Security, not later than 10 business 11\ndays after receiving the notice from the 12\nsubject employer. 13\n‘‘(iv) N O CONTEST .—If the individual 14\ndoes not contest the initial disapproval no- 15\ntice by the end of the 10-day period begin- 16\nning on the date on which the notice is re- 17\nceived from the subject employer, the dis- 18\napproval shall become final, and the sub- 19\nject employer shall record on the system 20\nthe appropriate code, in accordance with 21\nregulations of the Commissioner, to indi- 22\ncate the individual did not contest the ini- 23\ntial disapproval. An individual’s failure to 24\ncontest an initial disapproval shall not be 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00021 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 22 \n•HR 2028 IHconsidered an admission of any fact with 1\nrespect to any violation of this title, the 2\nImmigration and Nationality Act, or any 3\nother provision of law. 4\n‘‘(v) A PPROVAL OR DISAPPROVAL .— 5\nThe Commissioner, in consultation with 6\nthe Secretary of Homeland Security, shall 7\nensure prompt resolution of the individ- 8\nual’s contest of the initial disapproval and 9\nissue either an approval or disapproval no- 10\ntice to the subject employer through the 11\nEEVS not later than 10 business days 12\nafter the date on which the individual con- 13\ntests their initial disapproval. 14\n‘‘(D) A DMINISTRATIVE REVIEW OF DIS - 15\nAPPROVALS .— 16\n‘‘(i) I N GENERAL .—An individual who 17\nis terminated from employment pursuant 18\nto subparagraph (B) or (C) of section 19\n274A(c)(4) of the Immigration and Na- 20\ntionality Act may, not later than 30 busi- 21\nness days after the date of such termi- 22\nnation, file an appeal of the disapproval 23\nnotice resulting in such termination. 24\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00022 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 23 \n•HR 2028 IH‘‘(ii) P ROCEDURES .—The Commis- 1\nsioner and the Secretary of Homeland Se- 2\ncurity shall jointly develop procedures to 3\nreview appeals filed under clause (i) and— 4\n‘‘(I) with respect to disapprovals 5\nbased on information maintained by 6\nthe Commissioner, the appeal shall be 7\nfiled with the Commissioner and the 8\nCommissioner shall make the final de- 9\nterminations; and 10\n‘‘(II) with respect to disapprovals 11\nbased on information maintained by 12\nthe Secretary of Homeland Security, 13\nthe appeal shall be filed with the Sec- 14\nretary of Homeland Security and the 15\nSecretary shall make the final deter- 16\nminations on such appeals and pro- 17\nvide certification of such final deter- 18\nminations to the Commissioner. 19\n‘‘(iii) R EVIEW FOR ERRORS .—If a 20\nfinal determination on an appeal filed 21\nunder clause (i) results in approval of an 22\nindividual’s eligibility to work in the 23\nUnited States, the Commissioner (in the 24\ncase of a final determination under clause 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00023 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 24 \n•HR 2028 IH(ii)(I)) or the Secretary of Homeland Secu- 1\nrity (in the case of a final determination 2\nunder clause (ii)(II)) shall determine if the 3\nfinal disapproval notice issued for the indi- 4\nvidual was the result of an act or omission 5\nthat was the responsibility of the individual 6\nor from another cause. 7\n‘‘(iv) C OMPENSATION FOR ERRORS .— 8\n‘‘(I) I N GENERAL .—In any case 9\nin which the Commissioner makes a 10\ndetermination under this subpara- 11\ngraph that the disapproval notice 12\nissued for an individual was caused by 13\na negligent, reckless, willful, or mali- 14\ncious act of the Government and was 15\nnot caused by an act or omission that 16\nwas the responsibility of the indi- 17\nvidual, or the Secretary of Homeland 18\nSecurity provides to the Commissioner 19\ncertification of such a determination 20\npursuant to clause (ii)(II), the Com- 21\nmissioner shall certify to the Treasury 22\nthe amount of the lost wages and the 23\nSecretary of the Treasury shall com- 24\npensate the individual for such lost 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00024 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 25 \n•HR 2028 IHwages from the general fund of the 1\nTreasury. 2\n‘‘(II) C ALCULATION OF LOST 3\nWAGES .—Lost wages shall be cal- 4\nculated based on the wage rate and 5\nwork schedule that prevailed prior to 6\ntermination. The individual shall be 7\ncompensated for wages lost beginning 8\non the first scheduled work day after 9\nemployment was terminated and end- 10\ning 180 days after completion of the 11\nadministrative review process de- 12\nscribed in this paragraph or the day 13\nafter the individual is reinstated or 14\nobtains employment elsewhere, which- 15\never occurs first. 16\n‘‘(III) L IMITATION ON COM - 17\nPENSATION .—For purposes of deter- 18\nmining an individual’s compensation 19\nfor the loss of employment, such com- 20\npensation shall be reduced by any 21\ncompensation earned from any em- 22\nployment during such period and shall 23\nnot include any period in which the 24\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00025 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 26 \n•HR 2028 IHindividual was ineligible for employ- 1\nment in the United States. 2\n‘‘(E) J UDICIAL REVIEW OF DIS - 3\nAPPROVALS .— 4\n‘‘(i) I N GENERAL .—An individual de- 5\nscribed in subparagraph (D)(i) may obtain 6\njudicial review of a final determination 7\nunder subparagraph (D) by a civil action 8\ncommenced not later than 30 days after 9\nthe date of such determination. 10\n‘‘(ii) J URISDICTION .—A civil action 11\nfor such judicial review shall be brought in 12\nthe district court of the United States for 13\nthe judicial district in which the plaintiff 14\nresides, or has a principal place of busi- 15\nness, or, if the plaintiff does not reside or 16\nhave a principal place of business within 17\nany such judicial district, in the District 18\nCourt of the United States for the District 19\nof Columbia. 20\n‘‘(iii) A NSWER .—A certified copy of 21\nthe administrative record compiled during 22\nthe administrative review under subpara- 23\ngraph (D), including the evidence received 24\nduring such review, shall be filed in such 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00026 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 27 \n•HR 2028 IHcivil action. The court shall have power to 1\nenter, upon the pleadings and administra- 2\ntive record, a judgment affirming, modi- 3\nfying or reversing such administrative deci- 4\nsion, with or without remanding the matter 5\nfor further proceedings. 6\n‘‘(iv) C OMPENSATION FOR ERROR .— 7\nIn cases in which such judicial review re- 8\nsults in a determination that compensation 9\nfor lost wages is due, such compensation 10\nshall be computed and paid in accordance 11\nwith subparagraph (D)(iv). 12\n‘‘(4) I MPLEMENTATION OF THE EEVS .— 13\n‘‘(A) I N GENERAL .—The Commissioner 14\nshall establish a schedule for implementation of 15\nthe EEVS that is designed to assure that the 16\ncapacity of all aspects of the EEVS, including 17\nthe equipment and personnel required to com- 18\nplete reviews of contested initial disapprovals 19\nand corrections of erroneous records, within the 20\ntime limits established by subparagraphs (C) 21\nand (D) of paragraph (3). 22\n‘‘(B) P RIORITIES .—The schedule estab- 23\nlished pursuant to subparagraph (A) shall be 24\nestablished based on the priority of maximizing 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00027 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 28 \n•HR 2028 IHthe deterrent effect on illegal migration and un- 1\nauthorized employment on the most expeditious 2\nbasis possible. 3\n‘‘(C) B ASIC PILOT PARTICIPANTS .—The 4\nschedule established pursuant to subparagraph 5\n(A) shall assure that all participants in the 6\nbasic pilot program for employment eligibility 7\nverification described in section 403(a) of the 8\nIllegal Immigration Reform and Immigrant Re- 9\nsponsibility Act of 1996 (8 U.S.C. 1324a note) 10\nare registered in the EEVS as soon as feasible 11\nafter the date of the enactment of the New Em- 12\nployee Verification Act of 2009. 13\n‘‘(D) A LL OTHERS .—Every person that is 14\na subject employer with respect to one or more 15\nindividuals as of the date of enactment of the 16\nNew Employee Verification Act of 2009 shall be 17\nrequired to register in the EEVS, or be compli- 18\nant under subsection (b) of this section, not 19\nlater than 36 months after such date. 20\n‘‘(5) S TANDARDS FOR OPERATION .— 21\n‘‘(A) P OLICIES AND PROCEDURES .—The 22\nCommissioner, the Secretary of Homeland Se- 23\ncurity, and the Secretary of Health and Human 24\nServices shall establish procedures for col- 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00028 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 29 \n•HR 2028 IHlecting, updating, removing, and adding data to 1\nthe EEVS to ensure the accuracy and integrity 2\nof the data and to limit access to the data to 3\nauthorized personnel. 4\n‘‘(B) P UBLIC EDUCATION .—Not later than 5\n6 months before the first registration date, the 6\nCommissioner, in cooperation with the Sec- 7\nretary of Health and Human Services, the Sec- 8\nretary of Homeland Security, and the States, 9\nshall develop a public education campaign re- 10\ngarding the obligations imposed by this section, 11\nas well as instructional materials provided with- 12\nout cost to the public regarding how to use the 13\nEEVS. 14\n‘‘(C) R EGISTRANT TRAINING .—Not later 15\nthan 6 months before the first registration date, 16\nthe Commissioner, in cooperation with the Sec- 17\nretary of Homeland Security, the Secretary of 18\nHealth and Human Services, and the States, 19\nshall institute a comprehensive program of out- 20\nreach and training for employers regarding the 21\noperation and benefits of using the verification 22\nsystems described in this section and informing 23\nthem of ongoing assistance resources for the 24\nimplementation and use of such systems. 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00029 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 30 \n•HR 2028 IH‘‘(D) EEVS DESIGN AND TECHNOLOGY 1\nSTANDARDS .—The Commissioner and the Sec- 2\nretary of Homeland Security shall ensure the 3\nfollowing with respect to the development and 4\noperation of the EEVS: 5\n‘‘(i) The development and implemen- 6\ntation of the system in accordance with 7\ntechnology standards that are sufficiently 8\ncomprehensive and robust to verify the em- 9\nployment eligibility of all persons applying 10\nfor employment in the United States at all 11\ntimes. 12\n‘‘(ii) The dependable operation of a 13\ncross-agency, cross-platform electronic sys- 14\ntem that is a cost-effective, efficient, fully 15\nintegrated means to share identifying in- 16\nformation, immigration information, and 17\nSocial Security information necessary to 18\nconfirm the employment eligibility of all 19\npersons seeking employment. 20\n‘‘(iii) The real-time data entry of em- 21\nployment eligibility with respect to all indi- 22\nviduals that is accomplished on a contem- 23\nporaneous basis with the establishment or 24\nchange of immigration, citizenship, work 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00030 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 31 \n•HR 2028 IHauthorization, or identifying information 1\nmaintained by the Commissioner, such that 2\nthis information is immediately available to 3\nbe accessed through the EEVS. 4\n‘‘(iv) The operation of EEVS on a 5\nfully electronic basis that shall not require 6\nthe creation or maintenance of paper 7\nrecords or electronic copies of documents 8\nother than a log of inquiries and responses 9\nfor those employers that employ telephonic 10\naccess to the system. 11\n‘‘(v) The accessibility to all employers 12\nvia the Internet and telephone through a 13\nsystem that permits a subject employer to 14\nutilize any appropriate technology to access 15\nthe EEVS, including technology that is 16\nmaintained or operated by the private sec- 17\ntor vendors. 18\n‘‘(vi) The provision of an expeditious 19\nmethod exists for correcting errors regard- 20\ning immigration, citizenship, work author- 21\nization, and identifying information main- 22\ntained by the Commissioner, or any other 23\nrelevant data in a timely and effective 24\nmanner, for determining the source of data 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00031 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 32 \n•HR 2028 IHto ascertain its accuracy and correcting 1\nprocedures known to lead to errors in such 2\ndata. 3\n‘‘(vii) The enforcement of strict limi- 4\ntations on agency and contractor personnel 5\nauthorized to input data into the EEVS, 6\nand identify classes of prejudicial informa- 7\ntion requiring authorization of supervisory 8\npersonnel before entry into the System. 9\n‘‘(viii) The operation of a centralized 10\nsystem through which individuals who have 11\nbeen notified of ineligibility for employ- 12\nment or benefits based on their immigra- 13\ntion, citizenship, work authorization, or 14\nidentifying information maintained by the 15\nCommissioner can seek to correct erro- 16\nneous or inaccurate information within 17\nspecific time schedules for reviewing data 18\ncorrection requests, rendering decisions on 19\nsuch requests, and implementing appro- 20\npriate corrective action in a timely manner. 21\n‘‘(ix) The provision of a 24-hour 22\nInternet and telephonic help-desk available 23\nto respond to questions about the use of 24\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00032 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 33 \n•HR 2028 IHthe system as well as to resolve questions 1\nabout employment status. 2\n‘‘(x) The Commissioner and the Sec- 3\nretary of Homeland Security shall conduct 4\na study of the feasibility of a mechanism to 5\nupdate all Social Security records on a 6\ncontinuous basis with immigration and 7\nwork authorization status to permit the 8\nCommissioner to respond to employer in- 9\nquiries pursuant to subparagraph (C) with- 10\nout the necessity of accessing of other data 11\nbases. Study findings shall be provided to 12\nthe Committees of jurisdiction in the Con- 13\ngress not later than one year after the date 14\nof the enactment of this section. 15\n‘‘(E) N OTICES TO EMPLOYEES .—The Com- 16\nmissioner, in consultation with the Secretary of 17\nHomeland Security, shall develop a written 18\nform for employers to provide to individuals for 19\nwhom they receive an initial disapproval and 20\ndisapproval notices that shall include— 21\n‘‘(i) in the case of an initial dis- 22\napproval— 23\n‘‘(I) the right to contest such ini- 24\ntial disapproval; and 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00033 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 34 \n•HR 2028 IH‘‘(II) contact information for ini- 1\ntiating such contest, including the ap- 2\npropriate agency to contact and the 3\nprocedures to follow in doing so; and 4\n‘‘(ii) in the case of a disapproval, the 5\nright to appeal the disapproval, including 6\nthe appropriate agency to contact and the 7\nprocedures to follow in doing so. 8\n‘‘(F) A DDITIONAL RESPONSIBILITIES OF 9\nCOMMISSIONER IN SUPPORT OF THE EEVS .— 10\nThe Commissioner shall establish— 11\n‘‘(i) a reliable, secure method for de- 12\ntermining, through the EEVS— 13\n‘‘(I) whether the name, date of 14\nbirth, and social security account 15\nnumber of an individual provided in 16\nan inquiry made to the EEVS by an 17\nemployer is consistent with such infor- 18\nmation maintained by the Commis- 19\nsioner; 20\n‘‘(II) the citizenship status asso- 21\nciated with such name and social se- 22\ncurity account number, according to 23\nthe records maintained by the Com- 24\nmissioner; 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00034 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 35 \n•HR 2028 IH‘‘(III) whether the name and 1\nnumber belongs to an individual who 2\nis deceased or a child, according to 3\nthe records maintained by the Com- 4\nmissioner; 5\n‘‘(IV) whether the name belongs 6\nto an individual whose record has a 7\nfraud indicator; and 8\n‘‘(V) whether the name and num- 9\nber is blocked in accordance with 10\nparagraph (7); and 11\n‘‘(ii) in consultation with the Sec- 12\nretary of Homeland Security, a reliable, se- 13\ncure method for an individual to verify 14\nsuch individual’s own eligibility for employ- 15\nment in the United States. 16\n‘‘(G) A NNUAL REPORT AND CERTIFI - 17\nCATION .—Not later than 24 months after the 18\ndate of the enactment of the New Employee 19\nVerification Act of 2009, and annually there- 20\nafter, the Commissioner, in cooperation with 21\nthe Secretary of Homeland Security, shall sub- 22\nmit to the Congress a report that includes— 23\n‘‘(i) a certified determination of the 24\npercentage of inquiries to the EEVS and 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00035 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 36 \n•HR 2028 IHSEEVS that result in a final approval or 1\ndisapproval notice, within the applicable 2\nperiod described in paragraph (3)(C), that 3\nare not overturned in a subsequent appeal, 4\nand if that percentage is less than 99 per- 5\ncent of the cases, the steps being taken to 6\nbring the percentage to 99 percent or high- 7\ner within specified time frames; and 8\n‘‘(ii) an assessment of the privacy and 9\nsecurity of the EEVS and SEEVS. 10\n‘‘(H) E NUMERATION .—The Commissioner 11\nshall seek to assign social security account 12\nnumbers to all aliens who are authorized to 13\nwork in the United States, at the time of entry 14\nto the United States or at the time of acquisi- 15\ntion of work authorized status in accordance 16\nwith section 205(c)(2)(B)(i)(I) by employing 17\nenumeration procedures administered jointly by 18\nthe Commissioner, the Secretary of State, and 19\nthe Secretary of Homeland Security. 20\n‘‘(6) L IMITATION ON COLLECTION AND USE OF 21\nDATA .— 22\n‘‘(A) C OLLECTION .— 23\n‘‘(i) I N GENERAL .—The EEVS shall 24\ncollect and maintain only the minimum 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00036 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 37 \n•HR 2028 IHdata necessary to facilitate the successful 1\noperation of the EEVS, and in no case 2\nshall the data be other than information 3\nnecessary— 4\n‘‘(I) to register subject employ- 5\ners; 6\n‘‘(II) to initiate and respond to 7\ninquiries or contests; 8\n‘‘(III) to establish and enforce 9\ncompliance with paragraphs (3) and 10\n(4); or 11\n‘‘(IV) to detect and prevent em- 12\nployment related identity fraud. 13\n‘‘(ii) P ENALTIES .—Any officer, em- 14\nployee, or contractor who willfully and 15\nknowingly collects and maintains data in 16\nthe EEVS other than data described in 17\nclause (i) shall be, for each such violation, 18\nguilty of a misdemeanor and, upon convic- 19\ntion, fined as provided in title 18, United 20\nStates Code, imprisoned for not more than 21\n1 year, or both. 22\n‘‘(B) U SE.—Whoever willfully and know- 23\ningly accesses, discloses, or uses any informa- 24\ntion obtained or maintained by the EEVS— 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00037 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 38 \n•HR 2028 IH‘‘(i) for the purpose of committing 1\nidentity fraud, or assisting another person 2\nin committing identity fraud, as defined in 3\nsection 1028 of title 18, United States 4\nCode; 5\n‘‘(ii) for the purpose of unlawfully ob- 6\ntaining employment in the United States 7\nor unlawfully obtaining employment in the 8\nUnited States for any other person; or 9\n‘‘(iii) for any purpose other than as 10\nprovided for under any provision of law, 11\nshall be guilty of a felony and upon conviction 12\nshall be fined under title 18, United States 13\nCode, or be imprisoned for not more than 5 14\nyears, or both. 15\n‘‘(C) E XCEPTIONS .—Nothing in subpara- 16\ngraph (A) or (B) may be construed to limit the 17\ncollection, maintenance, or use of data by the 18\nCommissioner of Internal Revenue or the Com- 19\nmissioner of Social Security as provided by law. 20\n‘‘(7) R IGHT TO BLOCK USE OF NUMBER .—The 21\nCommissioner shall establish secure procedures 22\nunder which an individual who has been assigned a 23\nsocial security account number may block the use of 24\nsuch number under the EEVS and may remove any 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00038 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 39 \n•HR 2028 IHsuch block. Such procedures shall ensure the authen- 1\ntication of the identity of such individual. 2\n‘‘(b) S ECURE EMPLOYMENT ELIGIBILITY 3\nVERIFICATION SYSTEM .— 4\n‘‘(1) I N GENERAL .—Not later than 18 months 5\nafter the date of the enactment of the New Em- 6\nployee Verification Act of 2009, the Commissioner 7\nshall, after consultation with the Secretary of Home- 8\nland Security, the Director of the National Institute 9\nof Standards and Technology, and the Employment 10\nVerification Advisory Panel established under para- 11\ngraph (5), establish by regulation a Secure Employ- 12\nment Eligibility Verification System (referred to in 13\nthis subsection as the ‘SEEVS’). The purpose of the 14\nSEEVS shall be to provide for identity authentica- 15\ntion and employment eligibility verification with re- 16\nspect to enrolled new employees which shall be avail- 17\nable to subject employers who elect to participate in 18\nthe SEEVS in lieu of the EEVS. Any subject em- 19\nployer may cancel the employer’s participation in the 20\nSEEVS after one year after electing to participate 21\nwithout prejudice to future participation. 22\n‘‘(2) M INIMUM REQUIREMENTS .—In accordance 23\nwith the regulations prescribed by the Commissioner 24\npursuant to paragraph (1)— 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00039 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 40 \n•HR 2028 IH‘‘(A) I DENTITY AUTHENTICATION AND EM - 1\nPLOYMENT ELIGIBILITY VERIFICATION BY EN - 2\nROLLMENT PROVIDERS .—The SEEVS shall uti- 3\nlize the services of private sector entities (here- 4\ninafter in this subsection referred to as ‘enroll- 5\nment providers’), with appropriate expertise, 6\nwhich shall be subject to initial and periodic 7\ncertification by the Commissioner, to provide— 8\n‘‘(i) enrollment under the SEEVS of 9\nnew employees by means of identity au- 10\nthentication in a manner that provides a 11\nhigh level of certainty as to their true iden- 12\ntities, using immigration and identifying 13\ninformation maintained by the Social Secu- 14\nrity Administration and the Department of 15\nHomeland Security, review of identity doc- 16\numents, and background screening 17\nverification techniques using publicly avail- 18\nable information; 19\n‘‘(ii) protection of the authenticated 20\ninformation through biometric technology; 21\nand 22\n‘‘(iii) verification of employment eligi- 23\nbility of such new employees. 24\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00040 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 41 \n•HR 2028 IH‘‘(B) D ATABASE MANAGEMENT .—The 1\nSEEVS shall provide for databases of identi- 2\nfying information which may be retained by the 3\nenrollment providers. Databases controlled by 4\nthe Commissioner and Secretary of Homeland 5\nSecurity shall be maintained in a manner to 6\ncapture new entries and new status information 7\nin a timely manner and to interact with the pri- 8\nvate enrollment databases to keep employment 9\nauthorization status and identifying information 10\ncurrent on a daily basis. The information main- 11\ntained in such databases shall be subject to the 12\nrequirements established pursuant to paragraph 13\n(5), except that— 14\n‘‘(i) use of the data shall be limited to 15\nobtaining employment eligibility 16\nverification only, unless the new employee 17\nconsents to use the data for other pur- 18\nposes, as provided in regulations prescribed 19\nby the Commissioner, and 20\n‘‘(ii) other identifying traits of the 21\nnew employees shall be stored through an 22\nencoding process that keeps their accurate 23\nnames, dates of birth, social security num- 24\nbers, and immigration identification num- 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00041 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 42 \n•HR 2028 IHbers (if any) separate, except during elec- 1\ntronic verification. 2\n‘‘(C) A CCESSIBILITY TO EMPLOYERS .— 3\nAvailability of data maintained in the SEEVS 4\nshall be managed so that any subject employer 5\nwho participates in the SEEVS can obtain 6\nverification with respect to any new employee 7\nenrolled with any enrollment provider serving in 8\nthe SEEVS. 9\n‘‘(D) L IMITATIONS RELATING TO BIOMET - 10\nRIC DATA .—Any biometric data maintained in 11\nthe SEEVS relating to any new employee shall 12\nbe— 13\n‘‘(i) encrypted and segregated from 14\nidentifying information relating to the new 15\nemployee, and 16\n‘‘(ii) maintained and linked to identi- 17\nfying information relating to the new em- 18\nployee only by consent of the new employee 19\nfor the purpose of verifying employment 20\neligibility or approved correction processes 21\nor for other purposes specifically author- 22\nized by the employee as provided in regula- 23\ntions prescribed by the Commissioner. 24\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00042 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 43 \n•HR 2028 IH‘‘(E) A CCURACY OF ASSOCIATION OF DATA 1\nWITH ENROLLED NEW EMPLOYEES .—The en- 2\nrollment process under the SEEVS shall be 3\nmanaged, in the case of each new employee en- 4\nrolled in the SEEVS, so as to result in the ac- 5\ncurate association of data consisting of name, 6\ndate of birth, Social Security number, and im- 7\nmigration identification number (if any) with 8\nthe established identity of the new employee. 9\n‘‘(F) L IMITATIONS ON ACCESSIBILITY OF 10\nINFORMATION .—Data stored in SEEVS relat- 11\ning to any enrolled new employee shall not be 12\naccessible to any person other than those oper- 13\nating the SEEVS and for the sole purpose of 14\nidentity authentication and employment eligi- 15\nbility verification in connection with the new 16\nemployee, except— 17\n‘‘(i) by the written consent of the new 18\nemployee given specifically for each in- 19\nstance or category of disclosure for any 20\nother purpose as provided in regulations 21\nprescribed by the Commissioner, or 22\n‘‘(ii) in response to a warrant issued 23\nby a judicial authority of competent juris- 24\ndiction in a criminal proceeding. 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00043 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 44 \n•HR 2028 IH‘‘(G) P UBLIC EDUCATION .—The Commis- 1\nsioner shall conduct a program of ongoing, com- 2\nprehensive public education campaign relating 3\nto the SEEVS. 4\n‘‘(3) E MPLOYER RESPONSIBILITIES .—Under 5\nthe regulations prescribed by the Commissioner pur- 6\nsuant to paragraph (1)— 7\n‘‘(A) U SE LIMITED TO ENROLLED NEW 8\nEMPLOYEES .—Use of the SEEVS by subject 9\nemployers participating in the SEEVS shall be 10\nlimited to use in connection with the hiring of 11\nnew employees occurring after their enrollment 12\nin the SEEVS. 13\n‘‘(B) U SE FOR LIMITED PERIOD .—Use of 14\nthe SEEVS by any subject employer partici- 15\npating in the SEEVS in connection with any 16\nnew employee may occur only during the period 17\nbeginning on the date of hire and ending at the 18\nend of the third business day after the employee 19\nhas reported for duty. Use of the SEEVS with 20\nrespect to recruitment or referral for a fee may 21\noccur only until the first day of such recruit- 22\nment or referral. 23\n‘‘(C) R ESPONSIBILITY OF EMPLOYERS TO 24\nENROLL NEW EMPLOYEES .—In connection with 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00044 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 45 \n•HR 2028 IHthe hiring by any subject employer of a new 1\nemployee who has not been previously enrolled 2\nin the SEEVS, enrollment of the new employee 3\nshall occur only upon application by the subject 4\nemployer submitted to an enrollment provider, 5\ntogether with payment of any costs associated 6\nwith the enrollment. 7\n‘‘(D) L IMITATIONS ON SELECTIVE USE .— 8\nNo subject employer may use the SEEVS selec- 9\ntively to verify any class, level, or category of 10\nnew employees. Nothing in this subparagraph 11\nshall be construed to preclude subject employers 12\nfrom utilizing the SEEVS in connection with 13\nhiring at selected employment locations without 14\nimplementing such usage at all locations of the 15\nemployer. 16\n‘‘(4) E MPLOYEE PROTECTIONS .—Under regula- 17\ntions prescribed by the Commissioner pursuant to 18\nparagraph (1)— 19\n‘‘(A) A CCESS FOR EMPLOYEES TO COR - 20\nRECT AND UPDATE INFORMATION .—Employees 21\nenrolled in the SEEVS shall be provided access 22\nto the SEEVS to verify information relating to 23\ntheir employment authorization and readily 24\navailable processes to correct and update their 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00045 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 46 \n•HR 2028 IHenrollment information and information relating 1\nto employment authorization. 2\n‘‘(B) S AME RIGHTS AND PROTECTIONS AS 3\nTHOSE PROVIDED UNDER THE EEVS .—Employ- 4\nees shall be provided the same rights and pro- 5\ntections in connection with responses to inquir- 6\nies under the SEEVS relating to identity au- 7\nthentication or employment eligibility 8\nverification as are afforded under subsection 9\n(a). 10\n‘‘(C) R IGHT TO CANCEL ENROLLMENT .— 11\nEach employee enrolled in the SEEVS shall 12\nhave the right to cancel such employee’s enroll- 13\nment at any time after the identity authentica- 14\ntion and employment eligibility verification 15\nprocesses are completed by the subject employer 16\ndescribed in paragraph (3)(C). Such cancella- 17\ntion shall remove from the SEEVS all identi- 18\nfying information and biometrics in connection 19\nwith such employee without prejudice to future 20\nenrollments. 21\n‘‘(5) M AINTENANCE OF SECURITY AND CON - 22\nFIDENTIALITY OF INFORMATION .— 23\n‘‘(A) I N GENERAL .—Every person who is a 24\nsubject employer participating in the SEEVS or 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00046 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 47 \n•HR 2028 IHan officer or contractor of such a subject em- 1\nployer and who has access to any information 2\nobtained at any time from the Social Security 3\nAdministration shall maintain the security and 4\nconfidentiality of such information. No such 5\nperson may disclose any file, record, report, 6\npaper, or other item containing information so 7\nobtained at any time by any such person from 8\nthe Commissioner of Social Security or from 9\nany officer or employee of the Social Security 10\nAdministration except as the Commissioner of 11\nSocial Security may by regulations prescribe or 12\nas otherwise provided by Federal law. 13\n‘‘(B) P ENALTY FOR DISCLOSURE IN VIOLA - 14\nTION OF SUBPARAGRAPH ( A).—Any person de- 15\nscribed in subparagraph (A) who violates sub- 16\nparagraph (A) shall be guilty of a felony and, 17\nupon conviction thereof, shall be punished by a 18\nfine not exceeding $10,000 for each occurrence 19\nof a violation, or by imprisonment not exceeding 20\n5 years, or both. 21\n‘‘(C) P ENALTY FOR KNOWING DISCLOSURE 22\nOF FRAUDULENT INFORMATION .—Any person 23\nwho willfully and knowingly accesses, discloses, 24\nor uses any information which such person pur- 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00047 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 48 \n•HR 2028 IHports to be information obtained as described in 1\nsubparagraph (A) knowing such information to 2\nbe false shall be guilty of a felony and, upon 3\nconviction thereof, shall be punished by a fine 4\nnot exceeding $10,000 for each occurrence of a 5\nviolation, or by imprisonment not exceeding 5 6\nyears, or both. 7\n‘‘(D) R ESTITUTION .— 8\n‘‘(i) I N GENERAL .—Any Federal 9\ncourt, when sentencing a defendant con- 10\nvicted of an offense under this paragraph, 11\nmay order, in addition to or in lieu of any 12\nother penalty authorized by law, that the 13\ndefendant make restitution to the victims 14\nof such offense specified in clause (ii). Sec- 15\ntions 3612, 3663, and 3664 of title 18, 16\nUnited States Code, shall apply with re- 17\nspect to the issuance and enforcement of 18\norders of restitution to victims of such of- 19\nfense under this subparagraph. If the court 20\ndoes not order restitution, or orders only 21\npartial restitution, under this subsection, 22\nthe court shall state on the record the rea- 23\nsons therefor. 24\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00048 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 49 \n•HR 2028 IH‘‘(ii) V ICTIMS SPECIFIED .—The vic- 1\ntims specified in this clause are the fol- 2\nlowing: 3\n‘‘(I) Any individual who suffers a 4\nfinancial loss as a result of the disclo- 5\nsure described in subparagraph (B) or 6\n(C). 7\n‘‘(II) The Commissioner of Social 8\nSecurity, to the extent that the disclo- 9\nsure described in subparagraph (B) or 10\n(C) results in the inappropriate pay- 11\nment of a benefit by the Commis- 12\nsioner. 13\n‘‘(iii) D EPOSIT IN THE TRUST FUNDS 14\nOF AMOUNTS PAID AS RESTITUTION TO 15\nTHE COMMISSIONER .—Funds paid to the 16\nCommissioner as restitution pursuant to a 17\ncourt order under this subparagraph shall 18\nbe deposited in the Federal Old-Age and 19\nSurvivors Insurance Trust Fund or the 20\nFederal Disability Insurance Trust Fund, 21\nas appropriate. 22\n‘‘(c) C REATION OF EMPLOYMENT VERIFICATION AD- 23\nVISORY PANEL .— 24\nVerDate Nov 24 2008 01:50 Apr 24, 2009 Jkt 079200 PO 00000 Frm 00049 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 50 \n•HR 2028 IH‘‘(1) I N GENERAL .—Not later than 180 days 1\nafter the date of the enactment of the New Em- 2\nployee Verification Act of 2009, the Commissioner 3\nshall establish an Employment Verification Advisory 4\nPanel (hereinafter in this subsection referred to as 5\nthe ‘Advisory Panel’). 6\n‘‘(2) M EMBERSHIP .—The Advisory Panel 7\nshould consist of members appointed by the Com- 8\nmissioner, after consulting with the Secretary of 9\nHomeland Secretary, the Secretary of the Treasury, 10\nthe Director of National Institutes of Standards and 11\nTechnology, and other appropriate Federal agencies. 12\nSuch members should include representatives from 13\nappropriate Federal agencies and private sector rep- 14\nresentatives of affected industries and groups, in- 15\ncluding immigration policy, human resource, em- 16\nployer and employee organizations, experts in fields 17\nincluding database security, biometrics, and privacy. 18\n‘‘(3) F UNCTIONS .—The Advisory Panel shall 19\nadvise the Commissioner and the Secretary of 20\nHomeland Security on the implementation and de- 21\nployment of the verification systems established 22\nunder this section, including— 23\n‘‘(A) the best means of promoting effi- 24\nciency, responsiveness, accuracy, public edu- 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00050 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 51 \n•HR 2028 IHcation, user support, interoperability, and cost- 1\neffectiveness of the systems established under 2\nthis section; 3\n‘‘(B) best practices and procedures in 4\norder to protect the privacy and identities of in- 5\ndividuals enrolled in the systems established 6\nunder this section; 7\n‘‘(C) standards of database accuracy, error 8\nrates, privacy, and measurable compliance that 9\nshould be met before implementation begins 10\nand before each additional phase of implemen- 11\ntation; and 12\n‘‘(D) the best means by which data ob- 13\ntained through the EEVS and the SEEVS may 14\nbe used to timely improve the accuracy of data- 15\nbases maintained by the Commissioner and the 16\nSecretary of Homeland Security. 17\n‘‘(4) T ERMINATION .—The Advisory Panel shall 18\nterminate 5 years after the date of the enactment of 19\nthis Act.’’. 20\n(2) A UTHORIZATION OF APPROPRIATIONS AND 21\nLIMITATION OF RESPONSIBILITIES .— 22\n(A) A UTHORIZATION .—There are author- 23\nized to be appropriated to the Commissioner of 24\nSocial Security such sums as may be necessary 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00051 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 52 \n•HR 2028 IHto carry out the amendments made by this sec- 1\ntion. 2\n(B) L IMITATION .—The Commissioner of 3\nSocial Security may carry out the Commis- 4\nsioner’s responsibilities under the amendment 5\nmade by paragraph (1) only to the extent that 6\nfunds are appropriated in advance to cover the 7\nCommissioner’s full costs in carrying out such 8\nresponsibilities. In no case shall funds from the 9\nFederal Old-Age and Survivors Insurance Trust 10\nFund or the Federal Disability Insurance Trust 11\nFund be used to carry out such responsibilities. 12\n(b) A MENDMENTS RELATING TO PROVISION OF IN- 13\nFORMATION BY EMPLOYERS TO THE STATE DIRECTORY 14\nOFNEWHIRES.—Section 453A(b) of the Social Security 15\nAct (42 U.S.C. 653a(b)) is amended— 16\n(1) in paragraph (1)(A), by striking ‘‘and social 17\nsecurity number of the employee’’ and inserting 18\n‘‘date of birth, and social security number (or such 19\nalien identification or authorization number as the 20\nSecretary of Homeland Security shall require) of the 21\nemployee, the date the employee first reported for 22\nduty’’; and 23\n(2) in paragraph (2), by striking ‘‘—’’ and all 24\nthat follows and inserting ‘‘not later than the 3rd 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00052 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 53 \n•HR 2028 IHbusiness day after the employee first reported for 1\nduty.’’. 2\nSEC. 104. ANTIDISCRIMINATION PROTECTIONS. 3\n(a) A PPLICATION OF PROHIBITION OF DISCRIMINA - 4\nTION TO VERIFICATION SYSTEM .—Section 274B(a) of the 5\nImmigration and Nationality Act (8 U.S.C. 1324b(a)) is 6\namended— 7\n(1) in paragraph (1)— 8\n(A) in the matter preceding subparagraph 9\n(A), by inserting ‘‘, the verification of the indi- 10\nvidual’s work authorization through the Elec- 11\ntronic Employment Verification System de- 12\nscribed in section 235(a) of the Social Security 13\nAct or the Secure Employment Eligibility 14\nVerification System described in section 235(b) 15\nof such Act,’’ after ‘‘the individual for employ- 16\nment’’; and 17\n(B) in subparagraph (B), by striking ‘‘in 18\nthe case of a protected individual (as defined in 19\nparagraph (3)),’’; and 20\n(2) by amending paragraph (3) to read as fol- 21\nlows: 22\n‘‘(3) A NTIDISCRIMINATION REQUIREMENTS OF 23\nTHE ELECTRONIC EMPLOYMENT VERIFICATION SYS - 24\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00053 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 54 \n•HR 2028 IHTEM AND THE SECURE EMPLOYMENT ELIGIBILITY 1\nVERIFICATION SYSTEM .— 2\n‘‘(A) I N GENERAL .—It is an unfair immi- 3\ngration-related employment practice for a per- 4\nson or other entity, in the course of partici- 5\npating in the Electronic Employment 6\nVerification System described in section 235(a) 7\nof the Social Security Act or the Secure Em- 8\nployment Eligibility Verification System de- 9\nscribed in section 235(b) of such Act— 10\n‘‘(i) to terminate or undertake any ad- 11\nverse employment action due to an initial 12\ndisapproval or disapproval unless author- 13\nized or required under such sections; 14\n‘‘(ii) to use the verification system for 15\nscreening of an applicant prior to an offer 16\nof employment; 17\n‘‘(iii) except as described in sub- 18\nsections (a)(3)(C) and (b)(4)(A) of section 19\n235 of such Act, to use the verification 20\nsystem for a current employee after the 21\nfirst day of employment, or for the re- 22\nverification of an employee after the em- 23\nployee has satisfied the process described 24\nVerDate Nov 24 2008 01:50 Apr 24, 2009 Jkt 079200 PO 00000 Frm 00054 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 55 \n•HR 2028 IHin subsection (a) or (b) of section 235 of 1\nsuch Act; or 2\n‘‘(iv) to require an individual to make 3\nan inquiry under the self-verification proce- 4\ndures established under section 5\n235(b)(5)(A) of such Act. 6\n‘‘(B) P REEMPLOYMENT SCREENING AND 7\nBACKGROUND CHECK .—Nothing in subpara- 8\ngraph (A) shall be construed to preclude a pre- 9\nemployment screening or background check that 10\nis required or permitted under any other provi- 11\nsion of law. 12\n‘‘(C) R E-VERIFICATION .—A person or 13\nother entity, in the course of participating in 14\nthe Electronic Employment Verification System 15\ndescribed in section 235(a) of the Social Secu- 16\nrity Act, shall not repeat the verification proc- 17\ness established by such section unless— 18\n‘‘(i) the previously approved period of 19\nemployment provided by the system has ex- 20\npired, or 21\n‘‘(ii) if such person or other entity is 22\nthe most recent such person or other entity 23\nin connection with the employee, the Com- 24\nmissioner of Social Security, in cooperation 25\nVerDate Nov 24 2008 01:50 Apr 24, 2009 Jkt 079200 PO 00000 Frm 00055 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 56 \n•HR 2028 IHwith the Secretary of Homeland Security, 1\nhas provided specific notice to re-verify the 2\nemployee based on specific information 3\nabout the employee’s authorization to be 4\nemployed by such person or entity.’’. 5\n(b) I NCREASE IN CIVILMONEY PENALTIES .—Section 6\n274B(g)(2)(B)(iv) of such Act (8 U.S.C. 7\n1324b(g)(2)(B)(iv)) is amended— 8\n(1) in subclause (I), by striking ‘‘$250 and not 9\nmore than $2,000’’ and inserting ‘‘$1,000 and not 10\nmore than $4,000’’; 11\n(2) in subclause (II), by striking ‘‘$2,000 and 12\nnot more than $5,000’’ and inserting ‘‘$4,000 and 13\nnot more than $10,000’’; 14\n(3) in subclause (III), by striking ‘‘$3,000 and 15\nnot more than $10,000’’ and inserting ‘‘$6,000 and 16\nnot more than $20,000’’; and 17\n(4) in subclause (IV), by striking ‘‘$100 and 18\nnot more than $1,000’’ and inserting ‘‘$500 and not 19\nmore than $5,000’’. 20\n(c) E FFECTIVE DATE.—The amendments made by 21\nthis section shall take effect on the date of the enactment 22\nof this Act and shall apply to violations occurring on or 23\nafter such date. 24\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00056 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 57 \n•HR 2028 IHSEC. 105. PENALTIES. 1\nSection 274A of the Immigration and Nationality Act 2\n(8 U.S.C. 1324a) is amended— 3\n(1) in subsection (e)(4)— 4\n(A) in subparagraph (A), in the matter be- 5\nfore clause (i), by inserting ‘‘, subject to para- 6\ngraphs (10) through (12),’’ after ‘‘in an 7\namount’’; 8\n(B) in subparagraph (A)(i), by striking 9\n‘‘not less than $250 and not more than 10\n$2,000’’ and inserting ‘‘not less than $5,000 11\nand not more than $7,500’’; 12\n(C) in subparagraph (A)(ii), by striking 13\n‘‘not less than $2,000 and not more than 14\n$5,000’’ and inserting ‘‘not less than $10,000 15\nand not more than $15,000’’; 16\n(D) in subparagraph (A)(iii), by striking 17\n‘‘not less than $3,000 and not more than 18\n$10,000’’ and inserting ‘‘not less than $25,000 19\nand not more than $40,000’’; and 20\n(E) by amending subparagraph (B) to read 21\nas follows: 22\n‘‘(B) may require the person or entity to 23\ntake such other remedial action as is appro- 24\npriate.’’; 25\n(2) in subsection (e)(5)— 26\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00057 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 58 \n•HR 2028 IH(A) by inserting ‘‘, subject to paragraphs 1\n(10) through (12),’’ after ‘‘in an amount’’; 2\n(B) by striking ‘‘$100’’ and inserting 3\n‘‘$1,000’’; 4\n(C) by striking ‘‘$1,000’’ and inserting 5\n‘‘$25,000’’; 6\n(D) by striking ‘‘the size of the business of 7\nthe employer being charged, the good faith of 8\nthe employer’’ and inserting ‘‘the good faith of 9\nthe employer being charged’’; and 10\n(E) by adding at the end the following sen- 11\ntence: ‘‘Failure by a person or entity to utilize 12\nthe employment eligibility verification system as 13\nrequired by law, or providing information to the 14\nsystem that the person or entity knows or rea- 15\nsonably believes to be false, shall be treated as 16\na violation of subsection (a)(1)(A).’’; 17\n(3) by adding at the end of subsection (e) the 18\nfollowing new paragraphs: 19\n‘‘(10) M ITIGATION OF CIVIL MONEY PENALTIES 20\nFOR SMALLER EMPLOYERS .—In the case of imposi- 21\ntion of a civil penalty under paragraph (4)(A) with 22\nrespect to a violation of subsection (a)(1)(A) or 23\n(a)(2) for hiring or continuation of employment by 24\nan employer and in the case of imposition of a civil 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00058 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 59 \n•HR 2028 IHpenalty under paragraph (5) for a violation of sub- 1\nsection (a)(1)(B) for hiring by an employer, the dol- 2\nlar amounts otherwise specified in the respective 3\nparagraph shall be reduced as follows: 4\n‘‘(A) In the case of an employer with an 5\naverage of fewer than 26 full-time equivalent 6\nemployees (as defined by the Secretary of 7\nHomeland Security), the amounts shall be re- 8\nduced by 60 percent. 9\n‘‘(B) In the case of an employer with an 10\naverage of at least 26, but fewer than 101, full- 11\ntime equivalent employees (as so defined), the 12\namounts shall be reduced by 40 percent. 13\n‘‘(C) In the case of an employer with an 14\naverage of at least 101, but fewer than 251, 15\nfull-time equivalent employees (as so defined), 16\nthe amounts shall be reduced by 20 percent. 17\nThe last sentence of paragraph (4) shall apply under 18\nthis paragraph in the same manner as it applies 19\nunder such paragraph. 20\n‘‘(11) E XEMPTION FROM PENALTY FOR INITIAL 21\nGOOD FAITH VIOLATION .—In the case of imposition 22\nof a civil penalty under paragraph (4)(A) with re- 23\nspect to a violation of subsection (a)(1)(A) or (a)(2) 24\nfor hiring or continuation of employment or recruit- 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00059 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 60 \n•HR 2028 IHment or referral by person or entity and in the case 1\nof imposition of a civil penalty under paragraph (5) 2\nfor a violation of subsection (a)(1)(B) for hiring or 3\nrecruitment or referral by a person or entity, the 4\npenalty otherwise imposed shall be waived if the vio- 5\nlator establishes that it was the first such violation 6\nof such provision by the violator and the violator 7\nacted in good faith. 8\n‘‘(12) S AFE HARBOR FOR CONTRACTORS .—A 9\nperson or other entity shall not be liable for a pen- 10\nalty under paragraph (4)(A) with respect to the vio- 11\nlation of subsection (a)(1)(A), (a)(1)(B), or (a)(2) 12\nwith respect to the hiring or continuation of employ- 13\nment of an unauthorized alien by a subcontractor of 14\nthat person or entity unless the person or entity 15\nknew that the subcontractor hired or continued to 16\nemploy such alien in violation of such subsection.’’; 17\n(4) by amending paragraph (1) of subsection (f) 18\nto read as follows: 19\n‘‘(1) C RIMINAL PENALTY .—Any person or enti- 20\nty which engages in a pattern or practice of viola- 21\ntions of subsection (a)(1) or (2) shall be fined not 22\nmore than $50,000 for each unauthorized alien with 23\nrespect to which such a violation occurs, imprisoned 24\nfor not less than one year, or both, notwithstanding 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00060 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 61 \n•HR 2028 IHthe provisions of any other Federal law relating to 1\nfine levels.’’; and 2\n(5) in subsection (f)(2), by striking ‘‘Attorney 3\nGeneral’’ each place it appears and inserting ‘‘Sec- 4\nretary of Homeland Security’’. 5\nSEC. 106. ANNUAL GAO STUDY AND REPORT. 6\n(a) R EQUIREMENT .—The Comptroller General of the 7\nUnited States shall conduct an annual study of the Em-8\nployment Eligibility Verification System described in sec-9\ntion 235(a) of the Social Security Act as added by this 10\nAct (hereinafter in the Act referred to as the ‘‘EEVS’’) 11\nand the Secure Employment Eligibility Verification Sys-12\ntem described in section 235(b) of such Act as added by 13\nthis Act (hereinafter in the Act referred to as the 14\n‘‘SEEVS’’). 15\n(b) P URPOSE .—The study shall evaluate the accu- 16\nracy, efficiency, integrity, and impact of the EEVS and 17\nthe SEEVS. 18\n(c) R EPORT .—Not later than the date that is 15 19\nmonths after the date of the enactment of this Act, and 20\nannually thereafter, ending once the System has been fully 21\nimplemented for 5 years, the Comptroller General shall 22\nsubmit to the Congress a report containing the findings 23\nof the study carried out under this section. Each such re-24\nport shall include, at a minimum, the following: 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00061 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 62 \n•HR 2028 IH(1) An assessment of the EEVS and SEEVS 1\nperformance with respect to the rate at which indi- 2\nviduals who are eligible for employment in the 3\nUnited States are correctly approved within the time 4\nperiods specified in section 235(a)(3)(B) of the So- 5\ncial Security Act. 6\n(2) An assessment of the privacy and security 7\nof the EEVS and the SEEVS and its effects on 8\nidentity fraud or the misuse of personal data. 9\n(3) An assessment of the effects of the EEVS 10\nand SEEVS on the employment of unauthorized 11\naliens (as defined in section 274A(h)(3) of the Im- 12\nmigration and Nationality Act). 13\n(4) An assessment of the effects of the EEVS 14\nand the SEEVS, including the effects of initial dis- 15\napprovals on unfair immigration-related employment 16\npractices, and employment discrimination based on 17\nnational origin or citizenship status. 18\n(5) An assessment of the effects of the EEVS 19\nand SEEVS on employers. 20\n(6) An assessment of whether the Secretary and 21\nthe Commissioner of Social Security have adequate 22\nresources to carry out the duties and responsibilities 23\nset forth in section 235 of the Social Security Act. 24\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00062 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 63 \n•HR 2028 IHSEC. 107. DISCLOSURE TO THE SECRETARY OF HOMELAND 1\nSECURITY OF INFORMATION IN THE NA- 2\nTIONAL DIRECTORY OF NEW HIRES ABOUT 3\nEMPLOYERS WITH THE GREATEST NUMBER 4\nOR PERCENTAGE OF EMPLOYEES WITH MIS- 5\nMATCHED SOCIAL SECURITY INFORMATION. 6\n(a) I NGENERAL .—Section 453(j) of the Social Secu- 7\nrity Act (42 U.S.C. 653(j)) is amended by adding at the 8\nend the following: 9\n‘‘(11) D ISCLOSURE TO SECRETARY OF HOME - 10\nLAND SECURITY OF INFORMATION ABOUT EMPLOY - 11\nERS WITH THE GREATEST NUMBER OR PERCENTAGE 12\nOF EMPLOYEES WITH MISMATCHED SOCIAL SECU - 13\nRITY INFORMATION .— 14\n‘‘(A) D ISCLOSURE REQUIREMENT .— 15\n‘‘(i) I N GENERAL .—Within 4 months 16\nafter the Secretary receives from the Sec- 17\nretary of Homeland Security, in accord- 18\nance with clause (ii) of this subparagraph, 19\na written request for the information de- 20\nscribed in subparagraph (B), the Secretary 21\nshall disclose the information to the Sec- 22\nretary of Homeland Security, based on the 23\ninformation available on new hires for the 24\n12 months preceding compilation of infor- 25\nmation in response to the request. 26\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00063 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 64 \n•HR 2028 IH‘‘(ii) S UNSET .—A request is received 1\nin accordance with this clause if the re- 2\nquest is received in the 3-year period that 3\nbegins with the date of the enactment of 4\nthis paragraph. 5\n‘‘(B) I NFORMATION TO BE DISCLOSED .— 6\nThe information described in this subparagraph 7\nis the following: 8\n‘‘(i) T OP 1 ,000 EMPLOYERS WITH 9\nGREATEST NUMBER OF EMPLOYEES WITH 10\nMISMATCHED SOCIAL SECURITY INFORMA - 11\nTION .—The name, taxpayer identification 12\nnumber, and address of each employer who 13\nis among the 1,000 employers ranked high- 14\nest under subparagraph (C)(i), and the 15\ntotal number of mismatches with respect to 16\nthe employees of each such employer. If 17\nthere is more than 1 employer so ranked 18\n1,000th, then such information with re- 19\nspect to all employers so ranked shall be 20\nincluded. 21\n‘‘(ii) T OP 1 ,000 EMPLOYERS WITH 22\nGREATEST PERCENTAGE OF EMPLOYEES 23\nWITH MISMATCHED SOCIAL SECURITY IN - 24\nFORMATION .—The name, taxpayer identi- 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00064 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 65 \n•HR 2028 IHfication number, and address of each em- 1\nployer who is among the 1,000 employers 2\nranked highest under subparagraph (C)(ii), 3\nthe total number of mismatches with re- 4\nspect to the employees of each such em- 5\nployer, and the total percentage of the em- 6\nployees of each such employer with respect 7\nto whom there is a mismatch. If there is 8\nmore than 1 employer so ranked 1,000th, 9\nthen such information with respect to all 10\nemployers so ranked shall be included. 11\n‘‘(iii) T OP 500 EMPLOYERS WITH 12\nGREATEST NUMBER OF EMPLOYEES WITH 13\nSAME REPORTED SOCIAL SECURITY NUM - 14\nBERS .—The name, taxpayer identification 15\nnumber, and address of each employer who 16\nis among the 500 employers ranked high- 17\nest under subparagraph (C)(iii), and the 18\ntotal number of employees of each such 19\nemployer who have the same social security 20\naccount number as another employee of 21\nthe employer. If there is more than 1 em- 22\nployer so ranked 500th, then such informa- 23\ntion with respect to all employers so 24\nranked shall be included. 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00065 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 66 \n•HR 2028 IH‘‘(C) R ANKINGS OF EMPLOYERS .— 1\n‘‘(i) R ANKING BY NUMBER OF MIS - 2\nMATCHED EMPLOYEES .—The Secretary 3\nshall assign a rank to each employer with 4\nrespect to whom there is new hire informa- 5\ntion which has been submitted to the Na- 6\ntional Directory of New Hires, based on 7\nthe number of employees of the employer 8\nwith respect to whom there is a mismatch, 9\nas described in clause (iv). The Secretary 10\nshall assign a rank of 1 to the employer 11\nwith the greatest number of such employ- 12\nees, and a lower rank to employers with 13\nlesser numbers of such employees. The 14\nSecretary shall assign the same rank to 15\nemployers with the same number of such 16\nemployees. 17\n‘‘(ii) R ANKING BY PERCENTAGE OF 18\nMISMATCHED EMPLOYEES .—The Secretary 19\nshall assign a rank to each employer with 20\nrespect to whom there is new hire informa- 21\ntion which has been submitted to the Na- 22\ntional Directory of New Hires, based on 23\nthe percentage of employees of the em- 24\nployer with respect to whom there is a mis- 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00066 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 67 \n•HR 2028 IHmatch, as described in clause (iv). The 1\nSecretary shall assign a rank of 1 to the 2\nemployer with the greatest percentage of 3\nsuch employees, and a lower rank to em- 4\nployers with lesser percentages of such em- 5\nployees. The Secretary shall assign the 6\nsame rank to employers with the same per- 7\ncentage of such employees. 8\n‘‘(iii) R ANKING BY NUMBER OF EM - 9\nPLOYEES WITH SAME SOCIAL SECURITY 10\nACCOUNT NUMBER .—The Secretary shall 11\nassign a rank to each employer with re- 12\nspect to whom there is new hire informa- 13\ntion which has been submitted to the Na- 14\ntional Directory of New Hires, based on 15\nthe number of employees of the employer 16\nwhose social security account number re- 17\nported to the National Directory of New 18\nHires is the same as the social security ac- 19\ncount number of another employee of the 20\nemployer, so reported. The Secretary shall 21\nassign a rank of 1 to the employer with the 22\ngreatest number of such employees, and a 23\nlower rank to employers with lesser num- 24\nbers of such employees. The Secretary 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00067 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 68 \n•HR 2028 IHshall assign the same rank to employers 1\nwith the same number of such employees. 2\n‘‘(iv) M ISMATCHES .—For purposes of 3\nthis paragraph, there is a mismatch with 4\nrespect to an employee if the Secretary de- 5\ntermines that— 6\n‘‘(I) the social security account 7\nnumber of the employee, as reported 8\nto the National Directory of New 9\nHires (taking into account possible 10\ncorrection by the Social Security Ad- 11\nministration), is invalid; or 12\n‘‘(II) the name and social secu- 13\nrity account number of the employee, 14\nas so reported (taking into account 15\nsuch possible correction), do not 16\nmatch the name and social security 17\naccount number of the employee in 18\nthe records of the Social Security Ad- 19\nministration. 20\n‘‘(D) L IMITATION ON USE OF DISCLOSED 21\nINFORMATION .—The Secretary of Homeland 22\nSecurity may use the information disclosed pur- 23\nsuant to subparagraph (A) of this paragraph 24\nonly for the purpose of establishing and enforc- 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00068 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 69 \n•HR 2028 IHing compliance with the Immigration and Na- 1\ntionality Act. 2\n‘‘(E) C ONDITION ON DISCLOSURE .—The 3\nSecretary shall make a disclosure in accordance 4\nwith subparagraph (A) only to the extent that 5\nthe Secretary determines that the disclosure 6\nwould not interfere with the effective operation 7\nof the program under this part. 8\n‘‘(F) R EIMBURSEMENT OF HHS COSTS .— 9\nThe Secretary of Homeland Security shall reim- 10\nburse the Secretary, in accordance with sub- 11\nsection (k)(3), for the costs incurred by the 12\nSecretary in making the disclosures required by 13\nsubparagraph (A) of this paragraph.’’. 14\n(b) C ONFORMING AMENDMENT TO IEVS.— 15\n(1) I N GENERAL .—Section 1137(a)(3) of such 16\nAct (42 U.S.C. 1320b–7(a)(3)) is amended by in- 17\nserting ‘‘(including the full name and social security 18\naccount number of, and the aggregate wages paid to, 19\neach employee during the reporting period, and the 20\nname, address, and Federal employer identification 21\nnumber of each employer reporting wages)’’ after 22\n‘‘quarterly wage reports’’. 23\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00069 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 70 \n•HR 2028 IH(2) E FFECTIVE DATE .—The amendment made 1\nby paragraph (1) shall take effect 180 days after the 2\ndate of the enactment of this Act. 3\nSubtitle B—Transition Provisions 4\nSEC. 111. PROTECTION OF SOCIAL SECURITY ADMINISTRA-5\nTION PROGRAMS. 6\n(a) F UNDING UNDER AGREEMENT .—Effective for 7\nfiscal years beginning on or after October 1, 2009, the 8\nCommissioner of Social Security and the Secretary of 9\nHomeland Security shall enter into and maintain an 10\nagreement which shall— 11\n(1) provide funds to the Commissioner for the 12\nfull costs of the responsibilities of the Commissioner 13\nunder section 404 of the Illegal Immigration Reform 14\nand Immigrant Responsibility Act of 1996 (8 U.S.C. 15\n1324a note), including (but not limited to)— 16\n(A) acquiring, installing, and maintaining 17\ntechnological equipment and systems necessary 18\nfor the fulfillment of the responsibilities of the 19\nCommissioner under such section 404, but only 20\nthat portion of such costs that are attributable 21\nexclusively to such responsibilities; and 22\n(B) responding to individuals who contest 23\na tentative nonconfirmation provided by the 24\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00070 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 71 \n•HR 2028 IHbasic pilot confirmation system established 1\nunder such section; 2\n(2) provide such funds quarterly in advance of 3\nthe applicable quarter based on estimating method- 4\nology agreed to by the Commissioner and the Sec- 5\nretary (except in such instances where the delayed 6\nenactment of an annual appropriation may preclude 7\nsuch quarterly payments); and 8\n(3) require an annual accounting and reconcili- 9\nation of the actual costs incurred and the funds pro- 10\nvided under the agreement, which shall be reviewed 11\nby the Office of Inspector General of the Social Se- 12\ncurity Administration and the Department of Home- 13\nland Security. 14\n(b) C ONTINUATION OF EMPLOYMENT VERIFICATION 15\nINABSENCE OF TIMELY AGREEMENT .—In any case in 16\nwhich the agreement required under subsection (a) for any 17\nfiscal year beginning on or after October 1, 2009, has not 18\nbeen reached as of October 1 of such fiscal year, the latest 19\nagreement between the Commissioner and the Secretary 20\nof Homeland Security providing for funding to cover the 21\ncosts of the responsibilities of the Commissioner under 22\nsection 404 of the Illegal Immigration Reform and Immi-23\ngrant Responsibility Act of 1996 (8 U.S.C. 1324a note) 24\nshall be deemed in effect on an interim basis for such fis-25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00071 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 72 \n•HR 2028 IHcal year until such time as an agreement required under 1\nsubsection (a) is subsequently reached, except that the 2\nterms of such interim agreement shall be modified by the 3\nDirector of the Office of Management and Budget to ad-4\njust for inflation and any increase or decrease in the vol-5\nume of requests under the basic pilot confirmation system. 6\nIn any case in which an interim agreement applies for any 7\nfiscal year under this subsection, the Commissioner and 8\nthe Secretary shall, not later than October 1 of such fiscal 9\nyear, notify the Committee on Ways and Means, the Com-10\nmittee on the Judiciary, and the Committee on Appropria-11\ntions of the House of Representatives and the Committee 12\non Finance, the Committee on the Judiciary, and the 13\nCommittee on Appropriations of the Senate of the failure 14\nto reach the agreement required under subsection (a) for 15\nsuch fiscal year. Until such time as the agreement re-16\nquired under subsection (a) has been reached for such fis-17\ncal year, the Commissioner and the Secretary shall, not 18\nlater than the end of each 90-day period after October 19\n1 of such fiscal year, notify such Committees of the status 20\nof negotiations between the Commissioner and the Sec-21\nretary in order to reach such an agreement. 22\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00072 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 73 \n•HR 2028 IHSEC. 112. GAO STUDY OF BASIC PILOT CONFIRMATION SYS-1\nTEM. 2\n(a) I NGENERAL .—As soon as practicable after the 3\ndate of the enactment of this Act, the Comptroller General 4\nof the United States shall conduct a study regarding erro-5\nneous tentative nonconfirmations under the basic pilot 6\nconfirmation system established under section 404(a) of 7\nthe Illegal Immigration Reform and Immigrant Responsi-8\nbility Act of 1996 (8 U.S.C. 1324a note). The results of 9\nthe study shall be taken into account in the implementa-10\ntion of the amendments made by subtitle A. 11\n(b) M ATTERS TOBESTUDIED .—In the study re- 12\nquired under subsection (a), the Comptroller General shall 13\ndetermine and analyze— 14\n(1) the causes of erroneous tentative noncon- 15\nfirmations under the basic pilot confirmation system; 16\n(2) the processes by which such erroneous ten- 17\ntative nonconfirmations are remedied; and 18\n(3) the effect of such erroneous tentative non- 19\nconfirmations on individuals, employers, and Federal 20\nagencies. 21\n(c) R EPORT .—Not later than 2 years after the date 22\nof the enactment of this Act, the Comptroller General shall 23\nsubmit the results of the study required under subsection 24\n(a) to the Committee on Ways and Means and the Com-25\nmittee on the Judiciary of the House of Representatives 26\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00073 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 74 \n•HR 2028 IHand the Committee on Finance and the Committee on the 1\nJudiciary of the Senate. 2\nSEC. 113. GAO STUDY OF EFFECTS OF BASIC PILOT PRO-3\nGRAM ON SMALL ENTITIES. 4\n(a) I NGENERAL .—Not later than 2 years after the 5\ndate of the enactment of this Act, the Comptroller General 6\nof the United States shall submit to the Committees on 7\nthe Judiciary of the United States House of Representa-8\ntives and the Senate a report containing the Comptroller 9\nGeneral’s analysis of the effects of the basic pilot program 10\ndescribed in section 403(a) of the Illegal Immigration Re-11\nform and Immigrant Responsibility Act of 1996 (8 U.S.C. 12\n1324a note) on small entities (as defined in section 601 13\nof title 5, United States Code). The analysis shall be taken 14\ninto account in the implementation of the amendments 15\nmade by subtitle A. The report shall detail— 16\n(1) the costs of compliance with such program 17\non small entities; 18\n(2) a description and an estimate of the number 19\nof small entities enrolled and participating in such 20\nprogram or an explanation of why no such estimate 21\nis available; 22\n(3) the projected reporting, recordkeeping and 23\nother compliance requirements of such program on 24\nsmall entities; 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00074 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 75 \n•HR 2028 IH(4) factors that impact small entities’ enroll- 1\nment and participation in such program, including 2\naccess to appropriate technology, geography, entity 3\nsize, and class of entity; and 4\n(5) the steps, if any, the Secretary of Homeland 5\nSecurity has taken to minimize the economic impact 6\nof participating in such program on small entities. 7\n(b) D IRECT AND INDIRECT EFFECTS .—The report 8\nshall cover, and treat separately, direct effects (such as 9\nwages, time, and fees spent on compliance) and indirect 10\neffects (such as the effect on cash flow, sales, and competi-11\ntiveness). 12\n(c) S PECIFIC CONTENTS .—The report shall provide 13\nspecific and separate details with respect to— 14\n(1) small businesses (as defined in section 601 15\nof title 5, United States Code) with fewer than 50 16\nemployees; and 17\n(2) small entities operating in States that have 18\nmandated use of the basic pilot program. 19\nTITLE II—OASDI BENEFITS 20\nSEC. 201. DENIAL OF CREDIT TOWARD BENEFITS FOR 21\nEARNINGS FROM UNAUTHORIZED WORK. 22\n(a) I NGENERAL .—Section 214 of the Social Security 23\nAct (42 U.S.C. 414) is amended by adding at the end the 24\nfollowing: 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00075 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 76 \n•HR 2028 IH‘‘(d)(1) No quarters of coverage shall be credited for 1\npurposes of this section or section 223(a)(1)(A) for any 2\ncalender year in the case of any individual if— 3\n‘‘(A) on the last day of such year, such indi- 4\nvidual is not a citizen or national of the United 5\nStates, and 6\n‘‘(B) the Secretary of Homeland Security deter- 7\nmines, pursuant to paragraph (2), that such indi- 8\nvidual was not authorized to be employed in the 9\nUnited States during any portion of such calender 10\nyear. 11\n‘‘(2)(A) The Secretary of Homeland Security shall 12\nenter into an agreement with the Commissioner to provide, 13\nin a form and manner specified by the Commissioner, such 14\ninformation as the Commissioner determines necessary to 15\ncarry out the limitations on crediting quarters of coverage 16\nfor years under paragraph (1). 17\n‘‘(B) For the purpose of carrying out the Secretary’s 18\nduties under subparagraph (A), the Secretary of Home-19\nland Security shall, in consultation with the Commis-20\nsioner, develop and maintain the following information: 21\n‘‘(i) The name, social security account number, 22\nand date of birth of each individual who is author- 23\nized by the Secretary of Homeland Security or the 24\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00076 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 77 \n•HR 2028 IHSecretary of State to be employed in the United 1\nStates. 2\n‘‘(ii) The date on which each such authorization 3\nis granted. 4\n‘‘(iii) The date on which each such authoriza- 5\ntion is revoked or terminated. 6\n‘‘(iv) The date of naturalization for each indi- 7\nvidual who becomes a naturalized citizen of the 8\nUnited States. 9\n‘‘(C) The information provided to the Commissioner 10\nunder subparagraph (A) relating to years in which an indi-11\nvidual was not authorized to be employed in the United 12\nStates during any portion of a year shall be the final de-13\ntermination of the Secretary of Homeland Security after 14\nan opportunity for review or appeal under procedures 15\nwhich shall be established by the Secretary of Homeland 16\nSecurity and shall not be reviewable by the Commissioner. 17\n‘‘(3) Paragraph (1) shall not apply with respect to 18\nan individual who was assigned a social security account 19\nnumber prior to the date of the enactment of the New 20\nEmployee Verification Act of 2009.’’. 21\n(b) D ISREGARD OF EARNINGS FOR YEARS FOR 22\nWHICH NOQUARTER OF COVERAGE MAYBECRED- 23\nITED .—Section 215(e) of such Act (42 U.S.C. 415(e)) is 24\namended— 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00077 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 78 \n•HR 2028 IH(1) by striking ‘‘and’’ at the end of paragraph 1\n(1); 2\n(2) by striking the period at the end of para- 3\ngraph (2) and inserting ‘‘; and’’; and 4\n(3) by adding at the end the following new 5\nparagraph: 6\n‘‘(3) in computing the average indexed monthly 7\nearnings of an individual, there shall not be counted 8\nany annual wages or self-employment income for any 9\nyear for which no quarter of coverage may be cred- 10\nited to such individual as a result of the application 11\nof section 214(d)(1).’’. 12\n(c) T RANSMISSION OF INFORMATION FROM COMMIS - 13\nSIONER TO SECRETARY .—Section 205(c)(2) of such Act 14\n(42 U.S.C. 405(c)(2)) is amended by adding at the end 15\nthe following new subparagraph: 16\n‘‘(I) The Commissioner and the Secretary of Home- 17\nland Security shall enter into an agreement to establish 18\na system to transmit to the Secretary of Homeland Secu-19\nrity any social security account number assigned to an in-20\ndividual after the date of the enactment of the New Em-21\nployee Verification Act of 2009, and other identifying in-22\nformation relating to such individual, in any case in which 23\nsuch individual is not a citizen or national of the United 24\nStates at the time of the assignment of such number to 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00078 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 79 \n•HR 2028 IHsuch individual. The Secretary of Homeland Security shall 1\nincorporate such number and other identifying informa-2\ntion into all records of the Department of Homeland Secu-3\nrity maintained with respect to such individual.’’. 4\n(d) E FFECTIVE DATES .— 5\n(1) Section 214(d)(1) of the Social Security Act 6\n(added by subsection (a)) shall be effective with re- 7\nspect to quarters of coverage credited for calendar 8\nyears commencing after the date on which the Sec- 9\nretary of Homeland Security and the Commissioner 10\ncertify, by publication in the Federal Register, that 11\nthe system for developing and maintaining informa- 12\ntion pursuant to section 214(d)(2)(B) of the Social 13\nSecurity Act (added by subsection (a)) is oper- 14\national. 15\n(2) The Commissioner of Social Security and 16\nthe Secretary of Homeland Security shall enter into 17\nthe agreement described in section 205(c)(2) of the 18\nSocial Security Act (added by subsection (c)) not 19\nlater than 180 days after the date of the enactment 20\nof this Act. 21\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00079 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 80 \n•HR 2028 IHSEC. 202. IMPROVEMENTS IN PROVISIONS GOVERNING TO-1\nTALIZATION AGREEMENTS. 2\n(a) A DDITIONAL INFORMATION REQUIRED IN DOCU- 3\nMENT TRANSMITTING TOTALIZATION AGREEMENTS TO 4\nTHE CONGRESS .— 5\n(1) I N GENERAL .—Section 233(e)(1) of the So- 6\ncial Security Act (42 U.S.C. 433(e)(1)) is amended 7\nto read as follows: 8\n‘‘(e)(1) Any agreement to establish a totalization ar- 9\nrangement entered into pursuant to this section (and any 10\nsuch agreement to amend a totalization arrangement) 11\nshall be transmitted by the President to each House of 12\nthe Congress together with a report by the President in 13\nsupport of such agreement. The President’s report shall 14\ninclude the following: 15\n‘‘(A) an identification and assessment by the 16\nCommissioner of Social Security of the major risks 17\nassociated with entering into such an agreement 18\nwith such other country, including an assessment 19\nof— 20\n‘‘(i) the integrity of such other country’s 21\ndata and records on births, deaths, marriages, 22\ndivorces, earnings, and other information affect- 23\ning eligibility for benefits or benefit amounts, 24\nand 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00080 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 81 \n•HR 2028 IH‘‘(ii) the potential for fraudulent receipt of 1\nbenefits under this title and how any such po- 2\ntential fraud would be mitigated; 3\n‘‘(B) the number of individuals who are United 4\nStates citizens estimated by the Chief Actuary of the 5\nSocial Security Administration to be affected by the 6\nagreement; 7\n‘‘(C) the number of individuals who are not 8\nUnited States citizens estimated by the Chief Actu- 9\nary to be affected by the agreement; 10\n‘‘(D) the Chief Actuary’s estimate of any result- 11\ning reduction in liability for taxes or contributions 12\nand increases in benefit payments, under the social 13\nsecurity system established by this title and the so- 14\ncial security system of such other country, of— 15\n‘‘(i) individuals who are United States citi- 16\nzens and their employers, and 17\n‘‘(ii) individuals who are not United States 18\ncitizens and their employers; 19\n‘‘(E) the Chief Actuary’s estimate of the effect 20\nof the agreement, in the short-term and in the long- 21\nterm, on the receipts and disbursements under the 22\nsocial security system established by this title; and 23\n‘‘(F) an analysis by the Chief Actuary of the 24\nsensitivity of the estimates of the Chief Actuary to 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00081 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 82 \n•HR 2028 IHalternative assumptions with respect to economic 1\nand demographic variables.’’. 2\n(2) E FFECTIVE DATE .—The amendment made 3\nby this subsection shall apply with respect to agree- 4\nments, establishing totalization arrangements pursu- 5\nant to section 233 of the Social Security Act, which 6\nare transmitted to the Congress on or after the date 7\nof the enactment of this Act. 8\n(b) A PPROVAL OF TOTALIZATION AGREEMENTS BY 9\nJOINT RESOLUTION .— 10\n(1) I N GENERAL .—Section 233(e) of such Act 11\n(42 U.S.C. 433(e)) is amended by striking para- 12\ngraph (2) and inserting the following new para- 13\ngraphs: 14\n‘‘(2)(A) Except as provided in paragraph (4) or (5), 15\nthe agreement transmitted to the Congress pursuant to 16\nparagraph (1) may enter into force according to its terms 17\nor upon the expiration of the period of 60 calendar days 18\nfollowing the date of its transmittal to each House of the 19\nCongress (excluding Saturdays, Sundays, holidays, and 20\ndays on which either House of Congress is not in session), 21\nwhichever is later. 22\n‘‘(B) Whenever a document setting forth an agree- 23\nment entered into under this section and the President’s 24\nreport in support of the agreement is transmitted to the 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00082 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 83 \n•HR 2028 IHCongress pursuant to paragraph (1), copies of such docu-1\nment shall be delivered to both Houses of Congress on 2\nthe same day and shall be delivered to the Clerk of the 3\nHouse of Representatives if the House is not in session 4\nand to the Secretary of the Senate if the Senate is not 5\nin session. 6\n‘‘(3)(A) Any document setting forth an agreement en- 7\ntered into under this section and transmitted to each 8\nHouse of the Congress pursuant to paragraph (1) shall 9\nset forth a determination of the Chief Actuary of the So-10\ncial Security Administration as to whether there is ex-11\npected, over the 75-year period following the date of the 12\nentry into force of the agreement, a net reduction in any 13\npositive actuarial balance for such period of the social se-14\ncurity system established by this title (or a net increase 15\nin any negative actuarial balance for such period for such 16\nsystem) attributable to the operation of such agreement 17\nequal to at least 0.005 percent of the present value of tax-18\nable payroll for such period. 19\n‘‘(B) For purposes of this paragraph— 20\n‘‘(i) The term ‘actuarial balance’ means, with 21\nrespect to a period, the difference between the ad- 22\njusted summarized income rate over such period and 23\nthe adjusted summarized cost rate over such period. 24\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00083 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 84 \n•HR 2028 IH‘‘(ii) The term ‘taxable payroll’ means, for a pe- 1\nriod, the total wages (as defined in section 209) to 2\nbe paid, and self-employment income (as defined in 3\nsection 211(b)) to be derived, during such period. 4\n‘‘(iii) The term ‘adjusted summarized income 5\nrate’ means, over a period, the ratio (expressed as 6\na percentage) of the sum of the trust fund balance 7\nat the beginning of the period plus the present value 8\nof the total income from taxes during such period, 9\nto the present value of the taxable payroll for such 10\nperiod. 11\n‘‘(iv) The term ‘adjusted summarized cost rate’ 12\nmeans, over a period, the ratio (expressed as a per- 13\ncentage) of the sum of the present value of the cost 14\nduring such period plus the present value of the tar- 15\ngeted trust fund balance, to the present value of the 16\ntaxable payroll for the years for such period. 17\n‘‘(v) The term ‘trust fund balance’ means the 18\ncombined balance of the Federal Old-Age and Sur- 19\nvivors Insurance Trust Fund and the Federal Dis- 20\nability Insurance Trust Fund (hereinafter in this 21\nsubparagraph referred to as the ‘Trust Funds’). 22\n‘‘(vi) The term ‘income from taxes’ means, dur- 23\ning a period, the amounts deposited in the Trust 24\nFunds as appropriations during the period based on 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00084 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 85 \n•HR 2028 IHtaxes under chapters 2 and 21 and section 86 of the 1\nInternal Revenue Code of 1986. 2\n‘‘(vii) The term ‘cost’ means, during a period, 3\ndisbursements from the Trust Funds during such 4\nperiod, including scheduled benefit payments, special 5\nmonthly payments to certain uninsured persons who 6\nhave 3 or more quarters of coverage (and whose pay- 7\nments are therefore not reimbursable from the gen- 8\neral fund of the Treasury), administrative expenses, 9\nnet transfers from the Trust Funds to the Railroad 10\nRetirement program under financial-interchange 11\nprovisions, and payments for vocational rehabilita- 12\ntion services for disabled beneficiaries, and excluding 13\nspecial monthly payments to certain uninsured per- 14\nsons whose payments are reimbursable from the gen- 15\neral fund of the Treasury, and transfers under the 16\ninterfund borrowing provisions of section 201(l). 17\n‘‘(viii) The term ‘target trust fund balance’ 18\nmeans the trust fund balance, as of the end of the 19\n75-year period described in subparagraph (A), nec- 20\nessary to support an OASDI trust fund ratio (as de- 21\nfined in section 201(l)(3)(B)(iii)) of 100 percent for 22\nthe year following the last year of such period. 23\n‘‘(C) In making determinations under this paragraph, 24\nthe Chief Actuary shall employ the intermediate assump-25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00085 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 86 \n•HR 2028 IHtions of the Board of Trustees of the Federal Old-Age and 1\nSurvivors Insurance Trust Fund and the Federal Dis-2\nability Insurance Trust Fund in its most recent annual 3\nreport issued pursuant to section 201. 4\n‘‘(4) An agreement entered into under this section 5\nshall not enter into force if there is enacted into law, dur-6\ning the period of 60 calendar days specified in paragraph 7\n(2)(A), a bill or joint resolution disapproving such agree-8\nment. 9\n‘‘(5) In any case in which the determination of the 10\nChief Actuary described in subparagraph (A) of paragraph 11\n(3) in connection with an agreement entered into under 12\nthis section is that, with respect to the 75-year period de-13\nscribed in such subparagraph, there is expected a net re-14\nduction, in the actuarial balance for such period of the 15\nsocial security system established by this title, which— 16\n‘‘(A) is attributable to the operation of such 17\nagreement, and 18\n‘‘(B) is equal to at least 0.005 percent of the 19\npresent value of taxable payroll for such period, 20\nsuch agreement shall not enter into force unless, during 21\nthe period of 60 calendar days specified in paragraph 22\n(2)(A), there is enacted into law a bill or joint resolution 23\napproving such agreement. 24\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00086 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 87 \n•HR 2028 IH‘‘(6)(A) The provisions of this paragraph are enacted 1\nby the Congress— 2\n‘‘(i) as an exercise of the rulemaking power of 3\nthe House of Representatives and the Senate, re- 4\nspectively, and as such they are deemed a part of 5\nthe rules of each House, respectively, but applicable 6\nonly with respect to the procedure to be followed in 7\nthat House in the case of disapproval resolutions 8\nand approval resolutions, and they supersede other 9\nrules only to the extent that they are inconsistent 10\ntherewith; and 11\n‘‘(ii) with full recognition of the constitutional 12\nright of either House to change the rules (so far as 13\nrelating to the procedure of that House) at any time, 14\nin the same manner and to the same extent as in 15\nthe case of any other rule of that House. 16\n‘‘(B) During the period of 60 calendar days specified 17\nin paragraph (2)(A), it shall be in order as a matter of 18\nhighest privilege in each House of the Congress to con-19\nsider a bill or joint resolution described in paragraph (4) 20\nor (5) providing solely for the disapproval or approval of 21\nan agreement entered into under this section, if offered 22\nby the majority leader or minority leader of such House 23\n(or a designee). 24\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00087 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 88 \n•HR 2028 IH‘‘(C) For purposes of consideration of a bill or joint 1\nresolution described in paragraph (4) or (5) providing 2\nsolely for approval or disapproval of an agreement under 3\nthis section, the agreement shall not be subject to amend-4\nment after the transmittal to each House of the Congress 5\npursuant to paragraph (1).’’. 6\n(2) E FFECTIVE DATE .—The amendment made 7\nby this subsection shall apply with respect to agree- 8\nments, establishing totalization arrangements pursu- 9\nant to section 233 of the Social Security Act, which 10\nare transmitted to the Congress on or after the date 11\nof the enactment of this Act. 12\n(3) S PECIAL RULE .—Notwithstanding sub- 13\nsection (e) of section 233 of the Social Security Act 14\n(as in effect prior to the amendments made by this 15\nsection), any agreement entered into pursuant to 16\nsuch section 233, establishing totalization arrange- 17\nments between the social security system established 18\nby title II of such Act and the social security system 19\nof another country, which— 20\n(A) was signed by the Commissioner of So- 21\ncial Security in June 2004, and 22\n(B) was transmitted to the Congress pur- 23\nsuant to such subsection (e) on or after Sep- 24\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00088 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 89 \n•HR 2028 IHtember 1, 2007, and before the date of the en- 1\nactment of this Act, 2\nshall be deemed not to have entered into force as of 3\nthe date of the enactment of this Act and shall be 4\ndeemed to enter into force after such date only as 5\nprovided in section 233(e) of such Act (as amended 6\nby this section) as if such agreement had been trans- 7\nmitted to the Congress on the date on which the 8\nPresident transmits to the Congress on or after such 9\ndate, pursuant to section 233(e)(1) of such Act (as 10\namended by this section), a report in support of 11\nsuch agreement meeting the requirements of such 12\nsection 233(e)(1) (as so amended). 13\n(c) B IENNIAL REPORTS TO THE CONGRESS REGARD - 14\nING ONGOING OPERATION OF TOTALIZATION AGREE - 15\nMENTS .— 16\n(1) I N GENERAL .—Section 233 of such Act (42 17\nU.S.C. 433) is amended by adding at the end the 18\nfollowing new subsection: 19\n‘‘Biennial Oversight Reports 20\n‘‘(f) The Commissioner of Social Security shall sub- 21\nmit biennially to the Committee on Ways and Means of 22\nthe House of Representatives and the Committee on Fi-23\nnance of the Senate a report evaluating the operation, dur-24\ning the preceding 2-year period covered by the report, of 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00089 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 90 \n•HR 2028 IHeach agreement entered into pursuant to this section. 1\nSuch report shall include— 2\n‘‘(1) if the report is submitted during the 10- 3\nyear period following the date on which the agree- 4\nment enters into force, the change in benefit costs 5\nunder the social security system established by this 6\ntitle which is attributable to the agreement, as esti- 7\nmated as of the date of the report, and the change 8\nin contributions under such system which is attrib- 9\nutable to such agreement, as so estimated, 10\n‘‘(2) information relating to actual, or perceived 11\npotential, fraudulent receipt of benefits attributable 12\nto the operation of the agreement under the social 13\nsecurity system established by this title, 14\n‘‘(3) information relating to perceived problems 15\nwith the integrity of the other country’s data and 16\nrecords used in determining eligibility for benefits or 17\nbenefit amounts, and 18\n‘‘(4) if the report is submitted during the 10- 19\nyear period following the date on which the agree- 20\nment enters into force, information relating to demo- 21\ngraphic or other trends that may cause future devi- 22\nations from the original estimates of costs to each 23\nsocial security system which are attributable to the 24\nagreement.’’. 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00090 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 91 \n•HR 2028 IH(2) I NITIAL REPORT .—The Commissioner of 1\nSocial Security shall submit the initial report pursu- 2\nant to section 233(f) of the Social Security Act 3\n(added by this subsection) not later than December 4\n31, 2009. 5\nSEC. 203. SUSPENSION OF BENEFITS FOR INDIVIDUALS RE-6\nMOVED FROM THE UNITED STATES. 7\n(a) I NGENERAL .—Section 202(n)(1) of the Social 8\nSecurity Act (42 U.S.C. 402(n)(1)) is amended— 9\n(1) in subparagraph (A), by striking ‘‘, on the 10\nbasis of his wages and self-employment income,’’; 11\n(2) in subparagraph (B), by striking ‘‘and’’ at 12\nthe end; 13\n(3) in subparagraph (C), by striking the period 14\nand inserting ‘‘, and’’; and 15\n(4) by adding at the end the following new sub- 16\nparagraph: 17\n‘‘(D) no lump sum death payment shall be 18\nmade to such individual after the Commissioner of 19\nSocial Security is notified by the Attorney General 20\nor the Secretary of Homeland Security that such in- 21\ndividual has been so removed.’’. 22\n(b) E FFECTIVE DATE.—The amendments made by 23\nthis section shall apply to any individual with respect to 24\nwhose removal from the United States the Commissioner 25\nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00091 Fmt 6652 Sfmt 6201 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS 92 \n•HR 2028 IHof Social Security receives notification from the Attorney 1\nGeneral or the Secretary of Homeland Security after the 2\ntwelfth month that begins after the date of the enactment 3\nof this Act. 4\nÆ \nVerDate Nov 24 2008 23:05 Apr 23, 2009 Jkt 079200 PO 00000 Frm 00092 Fmt 6652 Sfmt 6301 E:\\BILLS\\H2028.IH H2028hsrobinson on PROD1PC76 with BILLS" }

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{ "pdf_file": "43QM3XC3PVX5LLMG2IHDTOMSCNYZYA7Y.pdf", "text": "Livable Communities Task Force\n \n \n \n Every community in America – regardless of its size, geographic location, demographic\ncomposition, or economic base -- aspires to become a place where families are safe, enjoy\npersonal and environmental health, can select from a range of housing and transportation\nchoices, and have access to educational and economic opportunities.  These are the building\nblocks of livable communities. \n Unfortunately, the federal government has all too often hindered or even blocked the ability of\nlocal communities to achieve these goals. In fact, federal policies have often led to today’s\nunproductive and even destructive patterns of community neglect,  inefficient energy use,\neconomic dislocation, and environmental damage.  Sadly, in many cases, American taxpayers\nhave paid for it. \n It’s time to change this relationship.  It’s time to create a new, dynamic partnership in which the\nfederal government enables and helps local governments create livable communities where\npeople are safe, healthy and economically secure. \n 1 / 3 Livable Communities Task Force\n The Livable Communities Task Force recognizes that federal policies – from transportation to\ntax incentives to environmental regulations and everything in between – have a profound effect\non the livability of communities. This Task Force seeks to identify the ways in which the federal\ngovernment can affect community livability and improve Americans’ quality of life. This includes\nreducing the nation’s dependence on oil, protecting the environment, improving public health\nand investing in housing and transportation projects that create jobs and give people more\ncommuting choices.    \n With significant resources, and in coordination with the administration’s new Partnership for\nSustainable Communities (which includes the Department of Housing and Urban Development,\nthe Department of Transportation, and the Environmental Protection Agency), the Federal\nGovernment is poised to help communities take advantage of federal and local investment\nopportunities to provide a range of housing and transportation choices, create safer and\nhealthier communities, strengthen their economies, and protect their environment.  \n In accordance with the Partnership for Sustainable Communities, the Livable Communities\nTask Force endorses the following six livability principles.  Successful incorporation of these\nprinciples into policy making at all levels of government will greatly enhance the livability of all\nrural and urban American communities. It will also help communities across the country\nproactively address and adapt to the threats of climate change, preserve natural resources and\nopen space, and contribute to cleaner air and water. \n•    Provide more transportation choices. Develop safe, reliable, and economical\ntransportation choices to decrease household transportation costs, reduce our nation’s\ndependence on foreign oil, improve air quality, reduce greenhouse gas emissions, and promote\npublic health.\n \n•    Promote equitable, affordable housing. Expand location- and energy-efficient housing\nchoices for people of all ages, incomes, races, and ethnicities to increase mobility and lower the\ncombined cost of housing and transportation.\n \n•    Enhance economic competitiveness. Improve economic competitiveness through\nreliable and timely access to employment centers, educational opportunities, services and other\nbasic needs by workers, as well as expanded business access to markets.\n \n•    Reinvest in existing communities. Target federal funding toward existing\ncommunities—through strategies like transit oriented, mixed-use development, and land\nrecycling—to increase community revitalization and the efficiency of public works investments\nand safeguard rural landscapes.\n 2 / 3 Livable Communities Task Force\n \n•    Coordinate and leverage federal policies and investment. Align federal policies and\nfunding to remove barriers to collaboration, leverage funding, and increase the accountability\nand effectiveness of all levels of government to plan for future growth, including making smart\nenergy choices such as locally generated renewable energy.\n \n•    Value communities and neighborhoods. Enhance the unique characteristics of all\ncommunities by investing in healthy, safe, and walkable neighborhoods—rural, urban, or\nsuburban.\n \n 3 / 3" }

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{ "pdf_file": "GHHN226SIBRDZ5Y52XT5WBU2Y6HS4C6P.pdf", "text": "National Climate Services Program \nAndrew Stern \nDirector, Analyze, Forecast & Support (AFS) Office & Portfolio \nFiona Horsfall, Ph.D. \nChief, AFSO/Climate Services Branch \nPresented by Marina Timofeyeva, Ph.D. \nClimate Scientist, AFSO/Climate Services Branch \nMay 9th, 2016 \nNational Climate Services Program Meeting, Silver Spring, MD \n NWS HQ & Field \n Organization \nThe Office of \nAssistant \nAdministrator \nAA\nDAA \nOffice of Planning & \nProgramming for Service \nDelivery \nOffice of \nScience & \nTechnology \n Integration Office of \nDissemination Office of \nCentral \nProcessing Office of \nFacilities Office of Chief Operating \nOfficer \nAnalyze, \nForecast, & \nSupport \nOffice National \nCenters for \nEnv. \nPrediction National \n Water \nCenter Office of the Chief of Staff \nInternational Affairs \nOffice of the \nChief Learning Officer CFO/CAO \nEnterprise Risk Management \n& Internal Audit Office \nAssistant CIO \nOffice of \nOrganizational Excellence \nRegional \nOffices New HQ Office Field Office Existing HQ Office \nOffice of \nObservations Paul Schlatter (A) \nCourtney Draggon \nJohn Ogren (A) John Potts \n vacant \nKevin Cooley Richard Varn (A) \nJohn Murphy \nDeirdre \nJonesJoe Pica Luis \nCanoMing \nJiDave \nMichaud Andy \nSternBill \nLapenta AR: Carven Scott (A) \nPR: Ray Tanabe \nWR: Grant Cooper \nCR: Chris Strager \nSR: Steven Cooper \nER: Jason Tuell \nTom \nGrazian\no (A)Louis Uccellini Laura Furgione \nKevin Werner \n2AWC: Bob Maxson \nCPC: Dave DeWitt \nEMC: Hendrik Tolman \nNCO: Ben Kyger \nNHC: Rick Knabb \nOPC: Tom Cuff \nSPC: Russ Schneider \nSWPC: Tom Berger \nWPC: Dave Novak 3Analyze, Forecast & Support Office \nAFS Director \nAndy Stern Portfolio \nManagement \nDawn McClure (A) \nAnalysis & \nMission Support \nMark Tew Forecast Services \nEli Jacks \nIDSS \nNBM Demo \nImpacts Catalog Demo \nCaRDS Administration \nNational WCM \nEcological Support \nDigital Policy \nShort Range Analysis & Prediction Home of the 11 National \nService Programs \nHazard Simplification \nArctic Team \nHome of the Climate Services \nBranch and Services Program \nTeam Annual Operating Plan (AFS) \nFunding for Field Training \nProgrammatic Training \nNational Field Policy 411 National Service Programs \n•Aviation Weather \n•Climate \n•Fire Weather \n•Hydrology/Water Resources \n•Marine and Coastal \n•Public Weather \n•Severe Weather \n•Space Weather \n•Tropical Weather \n•Tsunami \n•Winter Weather \nClimate Services are Cross-cutting! 4 Climate as Cross-cutting \n5Climate Aviation \nMarine \nPublic \nTropical \nWater \nResources Winter Fire Wx Ecological \nFcstg \nInfectious \nDisease \nArctic \nSurface \nTransp Severe \nWx\nHealth Mission Service Areas \nEnabling Areas Requests can originate in many places \n6Core \nPartners \nPresiden\ntCongres\ns\nDO\nCWeather \nEnterprise \nSAB\nStrategic \nPlans NOA\nAAGM/PG\nM\nField Ideas/Needs \nWRN \nRoadmap Service \nAssessment \nRecommendation\nsNOAA Line \nOffices Other \nPortfolios OM\nBNAS/NAPA \nReports OSTP \nBut not all “ideas” equate to a validated requirement! \nRequirements must be prioritized against finite resources 6 Validation Overview for CaRDS \n7Request \nOriginator Tier 1 – First Level (Local) Review (MIC/HIC, MSD, NC Director, \n Div Chief with clearance by FMC Director) Tier 2 – Service Program Team (SPT) Review Tier 3 – AFS Director \nReview/Validation Tier 4 – MDC \nValidation \nSubmit \nRequest \n(short \ntemplate) To PIC (as validated field \nrequirement) \nTo AFS (if contained within \nPortfolio) \nTo NSP Team (for \nexecution) Not Approved - Feedback to Originator Approved\nNeeds/ \nRequests CaRDS Template Submission \n(at FMC Level by designated submitter) A Mandate (e.g., \nexecutive order, \npublic law, etc.) \nwould enter Cards \nat Tier 2 Integrat\ne\nwith SD \nPortfolio\nso\nr\nObtain RD/OD Clearance \nAuto\nNotification \nAppeal \nCaRDS \n7 New NWS Governance & Field \nRequirements Validation Process (CaRDS) \nNWS Executive \nCouncil (EC) \nPortfolio Integration \nCouncil (PIC) Mission Delivery \nCouncil (MDC) \nObservations Central \nProcessing \nDissemination Science & \nTechnology \nIntegration Analyze, \nForecast & \nSupport NWS \nGovernance \nCouncils \nNWS ORF \nPortfolios Service Delivery Portfolios \n(Innovates Solutions) Mission Execution Portfolio \n(Generates Needs) Requirements \nSolutions \nNeeds/ \nRequests \n8 Climate Example \n9WFO Forecaster has a great \nidea for a new climate product Approval by MIC \nApproval by Region Review by PET \nVote by Climate SPT Review by AFS Dir Review & Vote by \nMDC \nValidated Requirement for \nnew Product sent to PIC \nSubmit CaRDS form Trade Space & \nResource Discussion \nOptions & \nDevelopment \nPossible Social \nScience Study \nTesting (OPG) & \nTraining Development \nTransition to Operations Link to Annual \nOperating Plan \n Climate Program – Looking Forward \n10•Exciting Times Ahead for Climate Services \n•Maturing a continuum of information \n•Increased computing capacity & new sensors (e.g., GOES R) \n•Filling in weather-climate gap time period \n•Improved ability to convey IDSS (Climate/Weather Linkage) \n•Impacts Catalog \n•Tools to show recurrence frequencies of extreme \nevents \n•Ability to provide environmental data to core partners to \nenable their mission areas \n•Ecological Forecasting \n•Infectious Diseases \n•Human Health \n•Surface Transportation NWS Climate Services Program \n11●Climate data stewardship and \nservices \n●Monitoring, prediction, \nassessment, analysis, and \ndiagnostics of the climate system \n●Regional and local climate \nservices through distributed \nservice outlets \n●Decision support, capacity \nbuilding, and customer service Deliver climate information for \nresponse and preparedness for \nseasonal to sub-seasonal timescales \nNWS \nWFO WSO RFC NCEP \nCPC EMC NWS HQs \nRegions \nCSB Climate Services Branch \n•Coordinates NWS Climate Program in \nNWS and NOAA planning activities \n•Coordinates NWS policy and \nrequirements gathering \n•Serves as the national coordinator for \nregional and local climate services \n•Coordinates development of guidance \nfor operational delivery of NWS climate \nservices \n•Coordinates development of policies \nand documents in support of climate \nservices \n12\n •Training \n1.30 hours online training \n•Module updates and additions as needed \n2.Operational Climate Services \nDelivery \n•Residence course offered at NWSTC, Kansas \nCity\n3.Climate Variability and Change \nVirtual Course (CVCVC) \n•In partnership with COMET \n4.Advanced Climate Variability and \nChange Course \n•Residence course in partnership with COMET \n5.Technical training for national and \ninternational partners/users \n13\nTraining leveraged by CPO Staff \nClimate.gov \nClimate Resilience Toolkit - CRT Building capacity within NWS staff •Climate Services Seminar Series \n•Factsheets on a variety of climate \ntopics \n•Outreach \n14Building Capacity \nGrab-and-go Climate \nPresentation Series \n(Under Development) \nNWS Climate Outreach Google Site \nProvides a \"one-stop-shop\" for \noutreach material \nPartners Exchange Program \n& \nVisiting Partners Program \nhttp://www.nws.noaa.gov/os/csd/ Tools – LCAT \n•Local Climate Analysis Tool \n•Uses\n–Local impacts of climate variability and \nchange \n–Drought impacts and water resource \nmanagement \n–Severe weather (beyond Tavg and Ptotal) \n–Decision support \n•CPO partnership \n–Linked to on Climate.gov \n–Contract support in FY16 for O&M, \nredesign, and development of capabilities \nfor the Arctic \n15\nSupporting the Field National Centers for \nEnvironmental Prediction (NCEP) \n•Aviation Weather Center \n•Climate Prediction Center - CPC \n–Monitors and forecasts short-term climate fluctuations and provides \ninformation on the effects climate patterns can have on the nation \n•Environmental Modeling Center - EMC \n–Develops and improves numerical weather, climate, hydrological \nand ocean prediction through a broad program in partnership with \nthe research community \n•National Hurricane Center \n•NCEP Central Operations - NCO \n–Sustains and executes the operational suite of numerical analyses \nand forecast models and prepares NCEP products for dissemination \n•Ocean Prediction Center \n•Space Weather Prediction center \n•Storm Prediction Center \n•Weather Prediction Center \n16 Regional Climate Services \nClimate Services Program Managers – CSPMs \n•Provide leadership for and manage accountability of local climate \nservices programs \n•Coordinate and collaborate with NESDIS Regional Climate Services \nDirectors (RCSDs) \n•Collect user and field requirements and training needs \n•Develop and nurture partnerships within the regional climate \ncommunity \n•Conduct outreach activities within the regions \n•Participate in or lead projects/studies that help further NOAA Climate \nServices within the region \n•Oversee Drought Services and participate in NIDIS projects when \nappropriate \n17 Local Climate Services \nClimate Services Focal Points – CSFPs \n•Deliver products and services to users \n•Conduct local education and outreach activities \n•Interpret products and data for the local community \n•Gather and quality control daily climate data \n•Work with partners to develop and deliver products \n•Produce local climate studies \n•Through CSPMs, provide support for regional climate \nservices \n18 Climate Data Services \nThe Climate Services Branch is on point to coordinate the various tools that are \nprovided by NWS and our partners in order to provide \nTimely, continuous, reliable climate records \nWith our partners at NCEI, NERCC, SRCC & WRCC \n✓ WxCoder provides a means for the NWS Cooperative Observer \nto provide timely, paperless reporting of observations \n✓ IV-ROCS for those observers without internet access to provide \ntheir observations \n✓ NOWData2 provides the NWS Climate Web Pages with the \nmost current data from the NWS Cooperative Observers \n✓ xmACIS2 provides the local office a robust set of data retrieval \ntools in order to provide localized service to their customers \n✓ Health of the Network reports to help the WFO identify local \ndata errors \n✓ Datzilla to help provide corrections to erroneous data \n✓ ThreadEx to provide a longer period of extremes data to the \nlocal communities \nWithin the NWS: Manage changes to the NWS Climate Web Pages \n19 •NESDIS/NCEI – data issues \n•OAR – CPO, ESRL \n•Climate.gov/CRT; training; LCAT; RISAs; product \ndevelopment \n•NOS\n•Data and expertise exchange \n•Marine Sanctuaries – IMPACT \ncollaboration/training \n•NWS Ecological Forecasting Team \n•Climate Capacity Building Service – traning \n•NMFS \n•Climate Capacity Building Service – Tools and \ntraining \n•FY17/18 initiative \n•AASC – joint activities; support for data \nmanagement; field office support \n•RCCs – data services, field office support 20\nDeveloping Partnerships \n Sustained Partnerships \nLinking Weather and Climate Services to Enable \nHealth Decisions \n•Engaging health partners in Africa \n–Enabling health forecasting and prediction in Africa through the \nAfrica Desk \n•Pandemic Prediction and Forecasting Science and Technology \nWorking Group \n–Inter-agency coordination to accelerate the development of \ninfectious disease outbreak prediction and forecasting capabilities \n•Integration of weather and climate data, health impacts, and \nmessaging \n–International Engagement with Environment and Climate Change \nCanada on extreme cold and heat services at border states \n–Developing tools for issuing heat warnings based on climatology \n•National Integrated Heat Health Information System in \ndevelopment with CDC \n–Integrated system and clearinghouse of US agency resources to \nenhance knowledge of and improve resilience to extreme heat \nWeekly Hazards Outlook for \nUSAID/FEWS \n •Climate Prediction \nApplication Science \nWorkshop \n–Key partnership with CPO, including RISAs \n–Partnership with academia, state agencies \n•Climate Diagnostic and \nPrediction Workshop \n–Key partnership with AASC and CPO \nCommunications \n–Partnership with operational climate \ninformation producers, researchers, \nand users \n22\nClimate Information for Agriculture and Agribusiness Key Annual Meetings \nMarch 22-24, 2016 \nBurlington, VT Summary \n•This meeting will be a learning experience \nfor all of us \n–NWS organization \n–NWS budget \n–Where you all fit in \n–Science \n–Services \n–Partners \n•It will help us establish a path forward for \nmore effective climate services delivery \n23" }

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{ "pdf_file": "EB3A6TOVFRNEROHIMEIZF55MYVF3CAP5.pdf", "text": "Page 1 FINAL PRE RULE DEVELOPMENT DRAFT \nDecember 2008 \nAmbulatory Surgical Facility Rules \n \nWAC 246-XXX-001 Purpose and applicability of chapter. \nThis chapter is adopted by the Washington state department \nof health to implement chapter 70.230 RCW and establish \nminimum health and safety requirements for the licensing, inspection, operation, maintenance, and construction of \nambulatory surgical facilities. \n (1) Compliance with the regulations in this chapter \ndoes not constitute release from the requirements of \napplicable federal, state and local codes and ordinances. \nWhere regulations in this chapter exceed other codes and \nordinances, the regulations in this chapter will apply: \n (2) The department will update or adopt references to \ncodes and regulations in this chapter as necessary. \n \nWAC 246-XXX-010 Definitions. \nFor the purposes of this chapter and chapter 70.230 RCW, \nthe following words and phrases will have the following \nmeanings unless the context clearly indicates otherwise: \n (1) \"Abuse\" means injury or sexual abuse of a patient indicating the health, welfare, and safety of the patient \nis harmed: \n (a) \"Physical abuse\" means acts or incidents which may \nresult in bodily injury or death. \n (b) \"Emotional abuse\" means verbal behavior, \nharassment, or other actions which may result in emotional \nor behavioral stress or injury. \n (2) “Advanced registered nurse practitioner means an \nindividual so licensed under chapter 18.79 RCW. (3) “Adverse health event” or “adverse event” means \nthe list serious reportable events adopted by the national \nquality forum in 2002 (and as updated\n), in its consensus \nreport on serious reportable events in health care. \n (4) \"Agent,\" when referring to a medical order or \nprocedure, means any power, principle, or substance, \nwhether physical, chemical, or biological, capable of producing an effect upon the human body. \n (5) \"Alteration\" means any change, addition, \nfunctional change, or modification to an existing \nambulatory surgical facility or a portion of an existing \nambulatory surgical facility. \n (a) \"Minor alteration\" means renovation that does not \nrequire an increase in capacity to structural, mechanical Page 2 or electrical systems, does not affect fire and life \nsafety, and does not add facilities in addition to that for \nwhich the ambulatory surgical facility is currently \nlicensed. \n (6) “Ambulatory surgical facility” means any distinct \nentity that operates for the primary purpose of providing \nspecialty or multi-specialty outpatient surgical services \nin which patients are admitted to and discharged from the facility within twenty-four hours and do not require \ninpatient hospitalization, whether or not the facility is \ncertified under Title XVIII of the federal social security \nact. Excluded from this definition are: a dental office, an \nambulatory surgical facility licensed as part of a hospital \nunder chapter 70.41 RCW or a practitioner’s office where \nsurgical procedures are conducted without general \nanesthesia. \n (7) \"Assessment\" means the: \n(a) Systematic collection and review of patient-\nspecific data; \n(b) A process for obtaining appropriate and necessary \ninformation about individuals seeking entry into the \nambulatory surgical facility or service; and \n (c) Information used to match an individual with an \nappropriate setting or intervention. The assessment is based on the patient's diagnosis, care setting, desire for \ncare, response to any previous treatment, consent to \ntreatment, and education needs. \n (8) \"Authentication\" means the process used to verify \nan entry is complete, accurate, and final. \n (9) “Change of ownership” means: \n (a) A sole proprietor who transfers all or part \nof the ambulatory surgical facility’s ownership to \nanother person or persons; (b) The addition, removal, or substitution of a \nperson as a general, managing, or controlling partner \nin an ambulatory surgical facility owned by a \npartnership where the tax identification number of \nthat ownership changes; or \n (c) A corporation that transfers all or part of the \ncorporate stock which represents the ambulatory surgical facility’s ownership to another person where the tax \nidentification number of that ownership changes \n (10) “Clinical evidence” means the same as original \nclinical evidence used in diagnosing a patient’s condition \nor assessing a clinical course and includes, but is not \nlimited to: \n (a) X-ray films; Page 3 (b) Digital records; \n (c) Laboratory slides; \n (d) Tissue specimens; and \n (e) Medical photographs. \n (11) \"Department\" means the Washington state \ndepartment of health. \n (12) \"Double-checking\" means verifying patient \nidentity, agent to be administered, route, quantity, rate, time, and interval of administration by two persons. \n (13) \"Drugs\" as defined in RCW 18.64.011(3) means: \n (a) Articles recognized in the official U.S. \npharmacopoeia or the official homeopathic pharmacopoeia of \nthe United States; \n (b) Substances intended for use in the diagnosis, \ncure, mitigation, treatment, or prevention of disease in \nman or other animals; \n (c) Substances (other than food) intended to affect the structure or any function of the body of man or other \nanimals; or \n (d) Substances intended for use as a component of any \nsubstances specified in (a), (b), or (c) of this subsection \nbut not including devices or component parts or \naccessories. \n (14) “Emergency medical condition” means a condition manifesting itself by acute symptoms of severity (including \nsevere pain, symptoms of mental disorder, or symptoms of \nsubstance abuse) that absent of immediate medical attention \ncould result in: \n (a) Placing the health of an individual in serious \njeopardy; \n (b) Serious impairment to bodily functions; \n (c) Serious dysfunction of a bodily organ or part; or \n (d) With respect to a pregnant woman who is having contractions: \n (i) That there is inadequate time to effect a safe \ntransfer to a hospital before delivery, or \n (ii) That the transfer may pose a threat to the health \nor safety of the woman or the unborn child. \n (15) “Emergency services\" means health care services \nmedically necessary to evaluate and treat a medical condition that manifests itself by the acute onset of a \nsymptom or symptoms, including severe pain, that would lead \na prudent layperson acting reasonably to believe that a \nhealth condition exists that requires immediate medical \nattention, and that the absence of immediate medical \nattention could reasonably be expected to result in serious \nimpairment to bodily functions or serious dysfunction of an Page 4 organ or part of the body, or would place the person's \nhealth, or in the case of a pregnant woman, the health of \nthe woman or her unborn child, in serious jeopardy. \n (16) \"Family\" means individuals designated by a \npatient who need not be relatives. \n (17) \"General anesthesia” means a state of \nunconsciousness intentionally produced by anesthetic \nagents, with absence of pain sensation over the entire body, in which the patient is without protective reflexes \nand is unable to maintain an airway. Lower levels of \nsedation that unintentionally progress to the point at \nwhich the patient is without protective reflexes and is \nunable to maintain an airway is not considered general \nanesthesia. \n (18) \"Governing authority/body\" means the person or \npersons responsible for establishing the purposes and \npolicies of the ambulatory surgical facility. (19) \"Hospital\" means any institution, place, \nbuilding, or agency providing accommodations, facilities, \nand services as defined in chapter 70.41 RCW. \n (20) \"Individualized treatment plan\" means a written \nand/or electronically recorded statement of care planned \nfor a patient based upon assessment of the patient's \ndevelopmental, biological, psychological, and social strengths and problems, and including: \n (a) Treatment goals, with stipulated time frames; \n (b) Specific services to be utilized; \n (c) Designation of individuals responsible for \nspecific service to be provided; \n (d) Discharge criteria with estimated time frames; and \n (e) Participation of the patient and the patient's \ndesignee as appropriate. \n (21) \"Invasive medical procedure\" means a procedure involving puncture or incision of the skin or insertion of \nan instrument or foreign material into the body including, \nbut not limited to, percutaneous aspirations, biopsies, \ncardiac and vascular catheterizations, endoscopies, \nangioplasties, and implantations. Excluded are \nvenipuncture and intravenous therapy. \n (22) \"Maintenance\" means the work of keeping something in safe, workable or suitable condition. \n (23) \"Medical Equipment\" means equipment used in a \npatient care environment to support patient treatment and \ndiagnosis. \n (24) \"Medical staff\" means practitioners and advanced \nregistered nurse practitioners appointed by the governing \nauthority. Page 5 (25) \"Medication\" means any substance, other than food \nor devices, intended for use in diagnosing, curing, \nmitigating, treating, or preventing disease. \n (26) “Near miss” means an event which had the \npotential to cause serious injury, death, or harm but did \nnot happen due to chance, corrective action or timely \nintervention \n (27) \"Neglect\" means mistreatment or maltreatment; a disregard of consequences or magnitude constituting a clear \nand present danger to an individual patient's health, \nwelfare, and safety. \n (a) \"Physical neglect\" means physical or material \ndeprivation, such as lack of medical care, lack of \nsupervision, inadequate food, clothing, or cleanliness. \n (b) \"Emotional neglect\" means acts such as rejection, \nlack of stimulation, or other acts which may result in \nemotional or behavioral problems, physical manifestations, and disorders. \n (28) \"New construction\" means any renovation, \nalteration or new facility to be licensed as an ambulatory \nsurgical facility. \n (29) \"Nonambulatory\" means an individual physically or \nmentally unable to walk or traverse a normal path to safety \nwithout the physical assistance of another. (30) \"Operating room\" means a room intended for \ninvasive and noninvasive procedures. \n (31) \"Patient\" means an individual receiving (or \nhaving received) preventive, diagnostic, therapeutic, \nrehabilitative, maintenance, or palliative health services. \n (32) \"Patient care areas\" means all areas of the \nambulatory surgical facility where direct patient care is \ndelivered and where patient diagnostic or treatment \nprocedures are performed. (33) \"Person\" means any individual, firm, partnership, \ncorporation, company, association, joint stock association, \nand the legal successor thereof. \n (34) \"Pharmacist\" means an individual licensed by the \nstate board of pharmacy under chapter 18.64 RCW. \n (35) \"Pharmacy\" means every place properly licensed by \nthe board of pharmacy where the practice of pharmacy is conducted. \n (36) \"Physician\" means an individual licensed under \nchapter 18.71 RCW, Physicians, chapter 18.22 RCW, Podiatric \nmedicine and surgery, or chapter 18.57 RCW, Osteopathy--\nOsteopathic medicine and surgery. \n (37) “Practitioner” means any physician or surgeon \nlicensed under chapter 18.71 RCW, an osteopathic physician Page 6 or surgeon licensed under chapter 18.57 RCW, or a podiatric \nphysician or surgeon licensed under chapter 18.22 RCW. \n (38) \"Prescription\" means an order for drugs or \ndevices issued by a practitioner authorized by law or rule \nin the state of Washington for a legitimate medical \npurpose. \n (39) \"Procedure\" means a particular course of action \nto relieve pain, diagnose, cure, improve, or treat a patient's condition. \n (40) \"Protocols\" and \"standing order\" mean written or \nelectronically recorded descriptions of actions and \ninterventions for implementation by designated ambulatory \nsurgical facility staff under defined circumstances \nrecorded in policy and procedure. \n (41) \"Recovery unit\" means a physical area for the \nsegregation, concentration, and close or continuous nursing \nobservation of patients for less than twenty-four hours immediately following anesthesia, surgery, or other \ndiagnostic or treatment procedures. \n (42) \"Registered nurse\" means an individual licensed \nunder chapter 18.79 RCW. \n (43) \"Restraint\" means any method used to prevent or \nlimit free body movement including, but not limited to, \ninvoluntary confinement, a physical or mechanical device, or a drug given not required to treat a patient's symptoms. \n (44) \"Room\" means a space set apart by floor-to-\nceiling partitions on all sides with proper access to a \ncorridor and with all openings provided with doors or \nwindows. \n (45) \"Sexual assault\" means one or more of the \nfollowing: \n (a) Rape or rape of a child; \n (b) Assault with intent to commit rape or rape of a child; \n (c) Incest or indecent liberties; \n (d) Child molestation; \n (e) Sexual misconduct with a minor; \n (f) Custodial sexual misconduct; \n (g) Crimes with a sexual motivation; or \n (h) An attempt to commit any of the aforementioned offenses. \n (46) “Severe Pain” means a level of pain reported by a \npatient of 8 or higher based on a 10 point scale with 1 \nbeing the least and 10 being the most pain. \n (47) \"Staff\" means paid employees, leased or \ncontracted persons, students, and volunteers. \n (48) \"Surgical services\" means invasive medical Page 7 procedures that: \n (a) Utilize a knife, laser, cautery, cytogenics, or \nchemicals; and \n (b) Remove, correct, or facilitate the diagnosis or \ncure of disease, process or injury through that branch of \nmedicine that treats diseases, injuries and deformities by \nmanual or operative methods by a practitioner. \n (49) \"Surrogate decision-maker\" means an individual appointed to act on behalf of another when an individual is \nwithout capacity or has given permission. \n (50) “Transfer agreement” means a written agreement \nproviding an effective process for the transfer of a \npatient requiring emergency services to a hospital \nproviding emergency services and for continuity of care for \nthat patient. \n (51) \"Treatment\" means the care and management of a \npatient to combat, improve, or prevent a disease, disorder, or injury, and may be: \n (a) Pharmacologic, surgical, or supportive; \n (b) Specific for a disorder; or \n (c) Symptomatic to relieve symptoms without effecting \na cure. \n (52) “Vulnerable adult” means, as defined in chapter \n74.34 RCW, a person 60 years of age or older who lacks the functional, physical, or mental ability to care for him or \nherself; an adult with a developmental disability per RCW \n71A.10.020; an adult with a legal guardian per chapter \n11.88 RCW; an adult living in a long-term care facility (an \nadult family home, boarding home or nursing home); an adult \nliving in their own or a family’s home receiving services \nfrom an agency or contracted individual provider; or an \nadult self-directing their care per 74.39.050 RCW. For the \npurposes of requesting background checks pursuant to 43.43.832 RCW, it shall also include adults of any age \nwho lack the functional, mental, or physical ability to \ncare for themselves. \n (53) “Well being” means free from actual or potential \nharm, abuse, neglect, unintended injury, death, serious \ndisability or illness. \n \nPart I – Operational Rules \n \n WAC 246-XXX-020 Department Responsibilities – \nLicensing, Change of Ownership – Adjudicative Proceeding. \nThis section outlines the actions and roles of the \ndepartment for licensing an ambulatory surgical facility. Page 8 (1) Before issuing an initial license to facilities \nthat exist prior to July 1, 2009, the department will \nverify compliance with chapter 70.230 RCW and this chapter \nby: \n (a) Receipt and approval of the initial license \napplication; \n (b) Receipt of the correct licensing fee; \n (c) Receipt of a completed and accepted inspection conducted by: \n(i) The Centers for Medicare and Medicaid Services; \n(ii) The Joint Commission; \n(iii) The Accreditation Association for Ambulatory \nHealth Care; \n(iv) The American Association for Accreditation of \nAmbulatory Surgery Facilities; or \n(d) For facilities that have not been inspected by \nMedicare or one of the accrediting organizations listed in (c) the following: \n (i) Receipt of a certificate of need, when needed, as \nprovided in chapter 70.38 RCW; \n (ii) Receipt of a certificate of occupancy by the \nlocal jurisdiction; \n (iii) Receipt of the ambulatory surgical facility’s \nsafety and emergency training program; and (iv) Successfully completing an on-site licensing \ninspection conducted by the department. \n (2) Before issuing an initial license after July 1, \n2009, the department will verify compliance with chapter \n70.230 RCW and this chapter including, but is not limited \nto: \n (a) Approval of construction documents in accordance \nwith this chapter; \n (b) Receipt of a certificate, when needed, as provided in chapter 70.38 RCW; \n (c) Receipt and approval of the initial license \napplication; \n (d) Receipt of the correct license fee; \n(e) Receipt of the ambulatory surgical facility’s \nsafety and emergency training program; and \n (f) Receipt of a completed and accepted inspection conducted by: \n(i) The Centers for Medicare and Medicaid Services; \n(ii) The Joint Commission; \n(iii) The Accreditation Association for Ambulatory \nHealth Care; \n(iv) The American Association for Accreditation of \nAmbulatory Surgery Facilities; or Page 9 (g) Successfully completing an on-site licensing \ninspection conducted by the department. \n(3) Before reissuing a license, the department will: \n(a) Approve the amended ambulatory surgical facility \napplication form; and \n(b) Confirm receipt of the correct fee. \n (4) Before issuing a change of ownership license, the \ndepartment will: (a) Approve the change of ownership application, \n (b) Confirm receipt of the change of ownership fee, \nand \n(c) Confirm the change of ownership will not alter the \ncertificate of need status or require a certificate of need \nreview. \nNOTE: A change of ownership application does not \nrequire a construction review or on-site inspection. A \nchange of ownership may or may not require a certificate of need review and approval per RCW 70.38. \n (5) The department may issue a provisional license to \nallow the operation of an ambulatory surgical facility, if \nthe department determines that the applicant or licensed \nambulatory surgical facility failed to comply with chapter \n70.230 RCW or this chapter. \n(6) The department may deny, suspend, modify, or \nrevoke a license when it finds an applicant or ambulatory \nsurgical facility has failed or refused to comply with \nchapter 70.230 RCW or this chapter. The department’s notice \nof a license denial, suspension, modification, or \nrevocation will be consistent with RCW 43.70.115. The \nproceeding is governed by the Administrative Procedure Act \nchapter 34.05 RCW, this chapter, and chapter 246-10 WAC. An \napplicant or license holder has the right to an \nadjudicative proceeding to contest the decision as described in subsection 100(4)(c) of this chapter. \n \n \nWAC 246-XXX-025 Department Responsibility - On-site \nSurvey and Complaint Investigation. This section outlines \nthe department’s on-site survey and complaint investigation \nactivities and roles. \n (1) Surveys. The department will: \n (a) Conduct on-site surveys of each ambulatory \nsurgical facility every 18 months or more often using the \nhealth and safety standards in this chapter and chapter \n70.230 RCW; \n (b) Accept, in accordance with RCW 70.320.100(20, on- Page 10 site surveys conducted by the Joint Commission, \nAccreditation Association for Ambulatory Health Care, \nAmerican Association for Accreditation of Ambulatory \nSurgery Facilities or the Centers for Medicare and Medicaid \nServices as substituting for the 18 month state survey \nrequirement once every three years; \n (c) Notify the ambulatory surgical facility in writing \nthe survey findings following each on-site survey; (d)Require each ambulatory surgical facility to submit \na corrective action plan addressing each deficient practice \nidentified in the survey findings; and \n (e)Notify the ambulatory surgical facility when their \nsubmitted plan of correction adequately addresses the \nsurvey findings. \n (2) Complaint Investigations. The department will: \n (a) Conduct an investigation of every complaint \nagainst an ambulatory surgical facility that concerns patient well-being; \n (b) Notify the ambulatory surgical facility in writing \nof complaint investigation findings following each \ncomplaint investigation; \n (c) Require each ambulatory surgical facility to \nsubmit a corrective action plan addressing each deficient \npractice identified in the complaint investigation findings; and \n (d) Notify the ambulatory surgical facility when the \nfacility submitted plan of correction adequately addresses \nthe complaint investigation findings. \n (3) The department may: \n (a) For the purpose of meeting the every 18 month \nsurvey requirement in RCW 70.320.100(2), allow an \nambulatory surgical facility to conduct a self-survey once \nevery 3 years if the previous 3 department inspections did not reveal any significant deficient practice; \n (b) Direct an ambulatory surgical facility on how to \nimplement a corrective action plan based on the findings \nfrom an on-site survey or complaint investigation; or \n (c) Contact an ambulatory surgical facility to discuss \nthe findings of the Joint Commission, Accreditation \nAssociation for Ambulatory Health Care or American Association for Accreditation of Ambulatory Surgery \nFacilities on-site accreditation survey. \n \n \n WAC 246-XXX-030 – Operating without a License– \nAdjudicative Proceeding. This section outlines the \ndepartment’s responsibility and authority over ambulatory Page 11 surgical facilities that operate after July 1, 2009 without \na department issued license. \n(1) The department will investigate complaints of an \nambulatory surgical facility operating without a license. \n(2) Upon confirming that an ambulatory surgical \nfacility is operating without a license, the secretary of \nthe department may \n(a) Issue a notice of intention to issue a cease and \ndesist order; or \n(b) Issue a temporary cease and desist order after \nmaking a written finding of fact that the public interest \nwill be irreparably harmed by delay in issuing the order. \nThe temporary cease and desist order will remain in effect \nuntil further order by the secretary of the department. \n(3) The person receiving a temporary cease and desist \norder is entitled to a prompt hearing. Actions taken under \nthis section are governed by the Administrative Procedure Act chapter 34.05 RCW, this chapter, and chapter 246-10 \nWAC. \n \n \nWAC 246-XXX-035 – Exemptions, Interpretations, \nAlternative Methods. \n (1) The department may exempt an ambulatory surgical \nfacility from complying with portions of this chapter when: \n (a) The exemption will not change the purpose and \nintent of chapter 70.230 RCW or this chapter; \n (b) Patient safety, health or well being is not \nthreatened; \n (c) Fire and life safety regulations, infection \ncontrol standards or other codes or regulations would not \nbe reduced; and \n (d) Structural integrity of the building is not compromised. \n (2) The department will send a written interpretation \nof a rule within thirty calendar days after the department \nhas received complete information relevant to the \ninterpretation. \n (3) The department may approve an ambulatory surgical \nfacility to use alternative materials, designs, and methods if the documentation and supporting information: \n (a) Meets the intent and purpose of these rules; and \n (b) Is equivalent to the methods prescribed in this \nchapter. \n (4) The department will keep copies of each exemption, \nalternative, or interpretation issued. \n Page 12 \n WAC 246-XXX-100 Application for license — Annual \nupdate of ambulatory surgical facilities information - \nLicense renewal - Right to contest a license decision. \nThis section identifies the actions and responsibilities of \nan applicant or ambulatory surgical facility for a license. \n (1) Initial license. An applicant must submit an \napplication packet and fee to the department at least sixty days before the intended opening date of the new ambulatory \nsurgical facility. \n (2) Annual Update. Before December 31 of each calendar \nyear, a licensed ambulatory surgical facility must submit \nto the department an annual update documentation form. \n (3) License renewal. No later than thirty days before \nthe license expiration date, a licensed ambulatory surgical \nfacility must submit to the department a renewal \napplication form and fee. (4) An applicant or ambulatory surgical facility has \nthe right to contest a department decision to deny, modify, \nsuspend or revoke a license by: \n (a) Sending a written request for an adjudicative \nproceeding within twenty-eight days of receipt of the \ndepartment’s licensing decision showing proof of receipt \nwith the office of the Adjudicative Service Unit, Department of Health, PO Box 47879, Olympia, WA 98504-7879; \nand \n (b) Include as part of the written request: \n (i) A specific statement of the issues and law \ninvolved; \n (ii) The grounds for contesting the department \ndecision; and \n (iii) A copy of the contested department decision. \n (c) The adjudicative proceeding is governed by the Administrative Procedure Act chapter 34.05 RCW, this \nchapter, and 246-10 WAC. \n \n \nWAC 246-XXX-105 Ambulatory Surgical Facility \nResponsibilities. This section identifies the actions and \nresponsibilities of a licensed ambulatory surgical \nfacility. \n (1) An ambulatory surgical facility must comply with \nchapter 70.230 RCW and this chapter; \n (2) An ambulatory surgical facility accredited by the \nJoint Commission, Accreditation Association for Ambulatory \nHealth Care or American Association for Accreditation of \nAmbulatory Surgery Facilities must: Page 13 (a) Notify the department of an accreditation survey \nwithin 2 business days following completion of the survey; \nand \n (b) Notify the department in writing of the \naccreditation decision and any changes in accreditation \nstatus within thirty calendar days of receiving the \naccreditation report. \n \n WAC 246-XXX-110 Requests for Exemptions, \nInterpretations, Alternative Methods. This section \noutlines a process to request an exemption, interpretation, \nor approval to use an alternative method and the \ndepartment’s response. This section is not intended to \nprevent use of systems, materials, alternate design, or \nmethods of construction as alternatives to those prescribed \nby this chapter. \n(1) A licensed ambulatory surgical facility requesting \nexemption from this chapter must: \n(a) Send a written request to the department; \n(b) Include in the request: \n(i) The specific section of this chapter to be \nexempted; \n(ii) Explain the reasons for requesting the exemption; (iii) How the exemption will not change the \npurpose and intent of chapter 70.230 RCW or this \nchapter; \n(iv) Why the exemption does not threaten patient \nsafety, health; \n(v) How the exemption will not reduce or alter \nfire and life safety or infection control \nrequirements; and \n(vi) Why the exemption does not compromise structural \nintegrity of the building; \n(2) A licensed ambulatory surgical facility or person \nrequesting an interpretation of a rule in this chapter \nmust: \n(a) Send a written request to the department; \n(b) Include in the request : \n(i) The specific section of this chapter to be \ninterpreted; \n(ii) Explain the reason or circumstances for \nrequesting the interpretation; and \n(iii) Where or how the rule is being applied. \n(c) Provide additional information when required by \nthe department. \n(3) A licensed ambulatory surgical facility requesting Page 14 use of alternative materials, design, and methods must: \n(a) Send a written request to the department; and \n(b) Explain and support with technical documentation \nthe reasons the department should consider the request. \n (4) The licensed ambulatory surgical facility must \nkeep and make available copies of each exemption, \nalternative, or interpretation received from the \ndepartment. \n(5) The department will, in response to a written \nrequest for an exemption or approval to use alternative \nmaterials, designs, and methods, send a written \ndetermination within thirty days after the department has \nreceived complete information relevant to the request. \n(6) The department will keep copies of each exemption, \napproved alternative, or interpretation issued. \n \n \n WAC 246-XXX-115 Governance. This section outlines the \norganizational guidance and oversight responsibilities of \nambulatory surgical facility resources and staff to support \nsafe patient care. \nAn ambulatory surgical facility must have a governing \nauthority that is responsible for determining, \nimplementing, monitoring and revising policies and procedures covering the operation of the facility that \ninclude: \n(1) Selecting and periodically evaluating a chief \nexecutive officer or administrator; \n(2) Appointing and periodically reviewing a medical \nstaff; \n(3) Approving the medical staff bylaws; \n (4) Reporting practitioners according to RCW \n70.230.120; \n(5) Informing patients of any unanticipated outcomes \naccording to RCW 70.230.150; \n(6) Establishing and approving a coordinated quality \nperformance improvement plan according to chapter \n70.230.080 RCW; \n(7) Establishing and approving a facility safety and \nemergency training program according to RCW 70.230.060; \n(8) Reporting adverse events and conducting root cause \nanalyses according to RCW 70.56.020; \n(9) Providing a patient and family grievance process \nincluding a timeframe for resolving each grievance \naccording to RCW 70.230.080(1)(d); \n(10) Defining who can give and receive patient care \norders that are consistent with professional licensing Page 15 laws; and \n(11) Defining who can authenticate written or \nelectronic orders for all drugs, intravenous solutions, \nblood, and medical treatments that are consistent with \nprofessional licensing laws. \n \n \n WAC 246-XXX-120 Leadership. This section describes \nleaderships’ role in assuring care is provided consistently \nthroughout the facility according to patient needs. \nThe ambulatory surgical facility leaders must: \n The ambulatory surgical facility leaders must: \n(1) Delineate patient care responsibilities for all \nnursing personnel; \n(2) Assure nursing services are provided in accordance \nwith state nurse licensing law and recognized standards of \npractice; \n(3) Assure a registered nurse is available for \nemergency treatment at all times a patient is present in \nthe facility; \n(4) Establish and implement a facility-wide procedure \nfor double-checking certain drugs, biologicals, and agents; \n(5) Ensure immediate staff access to and appropriate \ndosages for emergency drugs; \n(6) Require individuals conducting business in the \nambulatory surgical facility comply with facility policies \nand procedures; \n(7) Post the complaint hotline notice according to RCW \n70.230.160; and \n(8) Adopt and implement policies and procedures to \nreport suspected abuse within 48 hours to local police or \nappropriate law enforcement agency according to RCW \n26.44.030. \n \nWAC 246-XXX-125 Patient rights and organizational \nethics. The purpose of this section is to improve patient \ncare and outcomes by respecting every patient and \nmaintaining ethical relationships with the public. \n Ambulatory surgical facilities must: \n (1) Adopt and implement policies and procedures that \ndefine each patient’s right to: \n (a) Be treated and cared for with dignity and respect; \n (b) Confidentiality, privacy, security, complaint \nresolution, spiritual care, and communication. If \ncommunication restrictions are necessary for patient care Page 16 and safety, the facility must document and explain the \nrestrictions to the patient and family; \n (c) Be protected from abuse and neglect; \n (d) Access protective services; \n (e) Complain about their care and treatment without \nfear of retribution or denial of care; \n (f) Timely complaint resolution; \n(g) Be involved in all aspects of their care \nincluding: \n (i) Refusing care and treatment; and \n (ii) Resolving problems with care decisions; \n (h) Be informed of unanticipated outcomes according to \nRCW 70.230.150; \n(i) Be informed and agree to their care; and \n (j) Family input in care decisions; \n (2) Provide each patient a written statement of \npatient rights from section (1). (3) Adopt and implement policies and procedures to \naddress research, investigation, and clinical trials \nincluding: \n (a) how to authorize research; \n (b) require staff to follow informed consent laws; and \n (c) Not hindering a patient’s access to care if a \npatient refuses to participate. \n \nWAC 246-XXX-130 Adverse Events. For the purpose of \nthis sub-section, “serious disability” means a physical or \nmental impairment that substantially limits the major life \nactivities of a patient. \nAmbulatory surgical facilities must: \n(1) Notify the department whenever any of the \nfollowing adverse events have occurred: \n(a) Surgery performed on the wrong body part; \n(b) Surgery performed on the wrong patient; \n(c) Wrong surgical procedure performed on a patient; \n(d) Unintended retention of a foreign object in a \npatient after surgery or other procedure; \n(e) Intraoperative or immediately post-operative death \nin an ASA Class 1 patient; \n(f) Patient death or serious disability associated \nwith the use of contaminated drugs, devices, or biologics \nprovided by the healthcare facility; \n(g) Patient death or serious disability associated \nwith the use or function of a device in patient care in \nwhich the device is used or functions other than as \nintended; Page 17 (h) Patient death or serious disability associated \nwith intravascular air embolism that occurs while being \ncared for in a healthcare facility; \n(i) Patient suicide, or attempted suicide resulting in \nserious disability, while being cared for in a healthcare \nfacility; \n(j) Patient death or serious disability associated \nwith a medication error (e.g. errors involving the wrong drug, wrong dose, wrong patient, wrong time, wrong rate, \nwrong preparation or wrong route of administration; \n(k) Patient death or serious disability associated \nwith a hemolytic reaction due to the administration of \nABO/HLA-incompatible blood or blood products; \n(l) Patient death or serious disability associated \nwith hypoglycemia, the onset of which occurs while the \npatient is being cared for in a healthcare facility; \n(m) Any incident in which a line designed for oxygen \nor other gas to be delivered to a patient contains the \nwrong gas or is contaminated by toxic substances; \n(n) Patient death or serious disability associated \nwith a burn incurred from any source while being cared for \nin a healthcare facility; \n(o) Any instance of care ordered by or provided by \nsomeone impersonating a physician, nurse, pharmacist, or other licensed healthcare provider; \n(p) Sexual assault on a patient within or on the \ngrounds of a healthcare facility; \n(q) Death or significant injury of a patient or staff \nmember resulting from a physical assault (i.e. battery) \nthat occurs within or on the grounds of a healthcare \nfacility. \n (2) Notify the department using the internet reporting \nsystem within forty-eight hours of confirmation by the ambulatory surgical facility when any adverse event has \noccurred. The notice must include: \n (a) The ambulatory surgical facility's name; \n (b) The type of event identified from the list above; \nand \n (c) The date the event occurred. \n (3) Conduct a root cause analysis of each adverse event following the procedures and methods of: \n (a) The joint commission; \n (b) The department of veterans affairs national center \nfor patient safety; or \n (c) Another nationally recognized root cause analysis \nmethodology found acceptable by the department. \n (4) Create and implement a corrective action plan for Page 18 each adverse event consistent with the findings of the root \ncause analysis. Each corrective action plan must include: \n (a) How each finding will be addressed and corrected; \n (b) When each correction will be completed; \n (c) Who is responsible to make the corrections; \n (d) What action will be taken to prevent each finding \nfrom reoccurring; and \n (e) A monitoring schedule for assessing the effectiveness of the corrective action plan including who \nis responsible for the monitoring schedule. \n (5) If an ambulatory surgical facility determines \nthere is no need to create a corrective action plan for a \nparticular adverse event, provide a written explanation of \nthe reasons for not creating a corrective action plan. \n (6) Complete and submit a report using the internet-\nbased adverse events and incident reporting system within \nforty-five days after confirming an adverse event has occurred. \n(7) Ambulatory surgical facilities reporting adverse \nevents per this section have the confidentiality \nprotections provided in Chapter 70.56 RCW. \n \n \n WAC 246-XXX-140 Management of human resources. This \nsection ensures that ambulatory surgical facility provide \ncompetent staff consistent with scope of services. \n \nAmbulatory surgical facilities must: \n (1) Create and periodically review job descriptions \nfor all staff; \n (2) Supervise staff performance to assure competency; \n (3) Verify and document licensure, certification, or \nregistration of staff; (4) Complete tuberculosis screening for new and \ncurrent employees consistent with the Guidelines for \nPreventing the Transmission of Mycobacterium Tuberculosis \nin Healthcare Facilities, 2005. Morbidity Mortality Weekly \nReport (MMWR) Volume 54, December 30, 2005; \n (5) Provide infection control information to staff \nupon hire and annually which includes: (a) Education on general infection control according \nto WAC 296-823 blood borne pathogens exposure control; and \n (b) General and specific infection control measures \nrelated to patient care. \n (6) Establish and implement an education plan that \nverifies staff training on prevention, transmission, and \ntreatment of human immunodeficiency virus (HIV) and Page 19 acquired immunodeficiency syndrome (AIDS) consistent with \nRCW 70.24.310. \n \n \n WAC 246-XXX-145 Medical staff. This section requires \ndevelopment of a medical staff structure, consistent with \nclinical competence, to ensure a safe patient care \nenvironment. \nThe medical staff must: \n (1) Be accountable to the governing body; \n (2) Adopt bylaws, rules, regulations, and \norganizational structure including an appointment and \nreappointment process; \n (3) Be legally and professionally qualified for the \npositions to which they are appointed and for the \nperformance of privileges in accordance with recommendations from qualified medical personnel; \n (4) Periodically review and reappraise medical staff \nprivileges using peer review data; \n (5) Periodically review and amend the scope of \nprocedures performed in the ambulatory surgical facility; \n (6) If the ambulatory surgical facility assigns \npatient care responsibilities to practitioners other than physicians, it must have established policies and \nprocedures, approved by the governing body, for overseeing \nand evaluating their clinical activities; and \n (7) Report practitioners according to RCW 70.230.120. \n \n \n WAC 246-XXX-150 Management of information . The \npurpose of this section is to improve patient outcomes and \nambulatory surgical facility performance through obtaining, managing, and use of information. \n \nAn ambulatory surgical facility must: \n (1) Provide medical staff, employees and other \nauthorized persons with access to patient information \nsystems, resources, and services; \n (2) Maintain confidentiality, security, and integrity of information; \n (3) Initiate and maintain a medical record for every \npatient assessed or treated including a process to review \nrecords for completeness, accuracy, and timeliness. \n(4) Create medical records that: \n (a) Identify the patient; \n (b) Have clinical data to support the diagnosis, Page 20 course and results of treatment for the patient; \n (c) Have signed consent documents; \n (d) Promote continuity of care; \n (e) Have accurately written, signed, dated, and timed \nentries; \n (f) Indicates authentication after the record is \ntranscribed; \n (g) Are promptly filed, accessible, and retained according to chapter 5.46 RCW; and \n (h) Include verbal orders that are accepted and \ntranscribed by qualified personnel; \n (5) Establish a systematic method for identifying each \nmedical record, identification of service area, filing, and \nretrieval of all patient's records; and \n (6) Adopt and implement policies and procedures that \naddress: \n (a) Who has access to and release of confidential medical records according to chapter 70.02 RCW; \n (b) Retention and preservation of medical records; \n (c) Transmittal of medical data to ensure continuity \nof care; and \n (d) Exclusion of clinical evidence from the medical \nrecord. \n \n WAC 246-XXX-155 Coordinated Quality Improvement \nProgram. The purpose of this section is to ensure the \nestablishment and on-going maintenance of a coordinated \nquality improvement program. The intent is to improve the \nquality of health care services provided to patients and to \nidentify and prevent medical malpractice. \n \nAn ambulatory surgical facility must: (1) Have a facility-wide approach to process design \nand performance measurement, assessment, and improving \npatient care services according to RCW 70.230.080 \nincluding, but not limited to: \n (a) A written performance improvement plan that is \nperiodically evaluated; \n (b) Performance improvement activities which are interdisciplinary and include at least one member of the \ngoverning authority; \n (c) Prioritize performance improvement activities; \n (d) Implement and monitor actions taken to improve \nperformance; \n (e) Education programs dealing with performance \nimprovement, patient safety, medication errors, injury Page 21 prevention; and \n (f) Review serious or unanticipated patient outcomes \nin a timely manner; \n (2) Systematically collect, measure and assess data on \nprocesses and outcomes related to patient care and \norganization functions. \n(3) Collect, measure and assess data including, but \nnot limited to: (a) Operative, other invasive, and noninvasive \nprocedures that place patients at risk; \n (b) Infection rates, pathogen distributions and \nantimicrobial susceptibility profiles; \n (c) Death; \n (d) Medication management or administration related to \nwrong medication, wrong dose, wrong time, near misses and \nany other medication errors and incidents; \n (e) Injuries, falls; restraint use; negative health outcomes and incidents injurious to patients in the \nambulatory surgical facility; \n (f) Adverse events listed in WAC 246-XXX-130; \n (g) Discrepancies or patterns between preoperative and \npostoperative (including pathologic) diagnosis, including \npathologic review of specimens removed during surgical or \ninvasive procedures; (h) Adverse drug reactions (as defined by the \nambulatory surgical facility); \n (i) Confirmed transfusion reactions; \n (j) Patient grievances, needs, expectations, and \nsatisfaction; and \n (k) Quality control and risk management activities. \n \n \n WAC 246-320-176 Infection control program. The \npurpose of this section is to identify and reduce the risk \nof acquiring and transmitting infections and communicable \ndiseases between patients, employees, medical staff, \nvolunteers, and visitors. An ambulatory surgical facility \nmust: \n (1) Develop, implement and maintain a written \ninfection control and surveillance program; (2) Designate staff to: \n (a) Manage the activities of the infection control \nprogram; \n (b) Assure the infection control program conforms with \npatient care and safety policies and procedures; and \n (c) Provide consultation on the infection control \nprogram, policies and procedures throughout the entire Page 22 facility; \n (3) Ensure staff managing the infection control \nprogram have: \n (a) A minimum of two years experience in a health \nrelated field; and \n (b) Training in the principles and practices of \ninfection control; \n (4) Develop and implement infection control policies and procedures consistent with the guidelines of the \ncenters for disease control and prevention (CDC). \n (5) Assure the infection control policies and \nprocedures address, but are not limited to the following: \n (a) Routine surveillance, outbreak investigations and \ninterventions including pathogen distributions and \nantimicrobial susceptibility profiles consistent with the \n2006 CDC healthcare infection control practices advisory \ncommittee guideline, Management of Multidrug-Resistant Organisms in Healthcare Settings; \n (b) Patient care practices in all clinical care areas; \n (c) Receipt, use, disposal, sterilizing, processing, \nor reuse of equipment to prevent disease transmission; \n (d) Preventing cross contamination of soiled and clean \nitems during sorting, processing, transporting, and \nstorage; (e) Environmental management and housekeeping \nfunctions; \n (f) Approving and properly using disinfectants, \nequipment, and sanitation procedures; \n (g) Cleaning areas used for surgical procedures \nbefore, between, and after use; \n (h) Facility-wide daily and periodic cleaning; \n (i) Occupational health consistent with current \npractice; (j) Attire; \n (k) Traffic patterns; \n (l) Antisepsis; \n(m) Hand washing; \n (n) Scrub technique and surgical preparation; \n (o) Biohazardous waste management according to \napplicable federal, state, and local regulations; (p) Barrier, transmission and isolation precautions; \nand \n (q) Pharmacy and therapeutics; \n (6) Establish and implement a plan for: \n (a) Reporting communicable diseases including cluster \nor outbreaks of post-operative infections according to \nchapter 246-100 WAC; and Page 23 (b) Surveying and investigating communicable disease \noccurrences in the ambulatory surgical facility consistent \nwith WAC 246-100; and \n (c) Collecting, measuring and assessing data on \ninfection rates, pathogen distributions and antimicrobial \nsusceptibility profiles \n \n \nWAC 246-XXX-199 Fees – License, Survey, Change of \nOwnership, Refund Process. This section establishes the \nlicense, survey, and change of ownership fees, a late \npenalty fee and request for refund of an initial fee. \n \n (1) Initial License. Applicants for an initial license \nmust send the department: \n (a) An initial license fee of two hundred dollars; and \n (b) An initial survey fee based on the number of known or expected annual visits as follows; \n(i) One thousand two hundred dollars for under 1000 \nannual patient visits; \n(ii) One thousand six hundred dollars for 1001 to 5000 \nannual patient visits; or \n(iii) Two thousand two hundred dollars for more than \n5000 annual patient visits. (2) Renewal License. Licensees must send the \ndepartment a license renewal and survey fee at least 30 \ndays before the license expiration date as follows: \n (a) One thousand three hundred dollars for under 1000 \nannual patient visits; \n (b) One thousand seven hundred dollars for 1001 to \n5000 annual patient visits; or \n(c) Two thousand three hundred dollars for more than \n5000 annual patient visits. (3) Late Fee. A licensee must send the department a \nlate fee in the amount of twenty-five dollars per day, not \nto exceed five hundred dollars, whenever the renewal fee is \nnot paid by 30 days before the license expiration (date as \nindicated by the postmark). \n (4) Change of Ownership. The person purchasing or \ntaking over ownership of a licensed ambulatory surgical facility must: \n(a) Send the department a change of ownership fee in \nthe amount of two hundred fifty dollars. The fee is paid \nthirty days before the change of ownership becomes final; \nand \n(b) Receive from the department a new license valid \nfor the remainder of the current license period. Page 24 (5) An applicant may request a refund for initial \nlicensure as follows: \n (a) Two-thirds of the initial fee paid after the \ndepartment has received an application and not conducted an \non-site survey or provided technical assistance; or \n (b) One-third of the initial fee paid after the \ndepartment has received an application and conducted either \nan on-site survey or provided technical assistance but not issued a license. \n \n \nWAC 246-XXX-200 Pharmaceutical Services. This section \nassures patient pharmaceutical needs are met in a planned \nand organized manner. This section is consistent with the \nrequirements for a health care entity license under RCW \n18,46.450 and Chapter 246-904 WAC. \n An ambulatory surgical facility must: \n (1) Designate a pharmacist in charge who is licensed \nin Washington State and responsible to: \n (a) Assure drugs are stored, compounded, delivered or \ndispensed according to all applicable state and federal \nrules and regulations, \n (b) Create and implement policy and procedures related to: \n (i) Purchasing, ordering, storing, compounding, \ndelivering, dispensing and administering of controlled \nsubstances or legend drugs; \n (ii) Maintaining accurate inventory records and \npatient medical records related to the administration of \ncontrolled substances and legend drugs; \n (iii)Maintaining any other records required by state \nand federal regulations; (iv) Security of legend drugs and controlled \nsubstances; and \n (v) Controlling access to controlled substances and \nlegend drugs. \n (c) Execute all forms for the purchase and order of \nlegend drugs and controlled substances, and \n (d) Verify receipt of all legend drugs and controlled substances purchased and ordered by the ambulatory surgical \nfacility. \n NOTE: The pharmacist in charge can be either employed \nby the facility or be a pharmacy consultant. \n (2) Only administer, dispense or deliver legend drugs \nand controlled substances to patients receiving care in the \nfacility; Page 25 (3) Assure drugs dispensed to patients are dispensed \nand labeled consistent with the requirements of RCW \n18.64.264, and Chapters 69.41 and 69.50 RCW; and \n (4) Establish and use a process for selecting \nmedications based on evaluating their relative therapeutic \nmerits, safety, and cost. \n \n \n WAC 246-XXX-205 Patient Care Services. This section \nguides the development of a plan for patient care. This is \naccomplished by supervising staff, establishing, \nmonitoring, and enforcing policies and procedures that \ndefine and outline the use of materials, resources, and \npromote the delivery of care. \n \nAn ambulatory surgical facility must: \n (1) Provide personnel, space, equipment, reference materials, training, and supplies for the appropriate care \nand treatment of patients; \n (2) Have a registered nurse available for consultation \nin the ambulatory surgical facility at all times patients \nare present; \n (3) Adopt, implement, review and revise patient care \npolicies and procedures designed to guide staff that address: \n (a) Criteria for patient admission; \n (b) Reliable method for personal identification of \neach patient; \n (c) Conditions that require patient transfer to \noutside facilities; \n (d) Patient safety measures; \n (e) Staff access to patient care areas; \n (f) Use of physical and chemical restraints or seclusion consistent with CFR 42.482; \n (g) Use of pre established patient care guidelines or \nprotocols. When used, these must be documented in the \nmedical record and be pre approved or authenticated by an \nauthorized practitioner or advanced registered nurse \npractitioner; \n (h) Care and handling of patients whose condition require special medical or medical-legal consideration; \n (i) Preparation and administration of blood and blood \nproducts; and \n (j) Discharge planning. \n(4) Have a system to plan and document care in an \ninterdisciplinary manner, including: \n (a) Development of an individualized patient plan of Page 26 care, based on an initial assessment; \n (b) Assessment for risk of falls, skin condition, \npressure ulcers, pain, medication use, therapeutic effects \nand side or adverse effects. \n (5) Complete and document an initial assessment of \neach patient's physical condition, emotional, and social \nneeds in the medical record. Initial assessment includes: \n (a) Dependent upon the procedure and the risk of harm or injury, a patient history and physical assessment \nincluding but not limited to falls, mental status and skin \ncondition; \n (b) Current needs; \n (c) Need for discharge planning; \n (d) When treating pediatric patients, the immunization \nstatus; \n (e) Physical examination, if within thirty days prior \nto admission, and updated as needed if patient status has changed; and \n (f) Discharge plans when appropriate, coordinated \nwith: \n (i) Patient, family or caregiver; and \n (ii) Receiving agency, when necessary. \n \n \nWAC 246-XXX-210 Surgical Services. The purpose of \nthis section is to guide the development and management of \nsurgical services. \n An ambulatory surgical facility must: \n (1) Adopt and implement policies and procedures that: \n (a) Identify areas where surgery and invasive \nprocedures may be performed; \n (b) Define staff access to areas where surgery and \ninvasive procedures are performed; \n (c) Identify practitioner and advanced registered nurse practitioner's privileges for operating room staff, \nand \n \n \n (d) Define staff qualifications and oversight; \n (2) Use facility policies and procedures which define \nstandards of care; \n (3) Implement a system to identify and indicate the \ncorrect surgical site prior to beginning a surgical procedure. \n (4) Timely provide emergency equipment, supplies, and \nservices to surgical and invasive areas; Page 27 (5) Provide separate refrigerated storage equipment \nwith temperature alarms, when blood is stored in the \nsurgical department and \n (6) Assure either \n (a) A registered nurse qualified by training and \nexperience; or \n (b) An ACLS-certified licensed practical nurse \nsupervised by an immediately available ACLS-certified registered nurse or physician functions as the circulating \nnurse in every operating room during surgical procedures. \n \n \nWAC 246-XXX-215 Anesthesia services. The purpose of \nthis section is to guide the management and care of \npatients receiving anesthesia. \n \nAn ambulatory surgical facility must: (1) Adopt and implement policies and procedures that: \n (a) Identify the types of anesthesia that may be used; \n (b) Identify areas where each type of anesthesia may \nbe used; and \n (c) Define the staff qualifications and oversight for \nadministering each type of anesthesia used in the facility; \n (2) Use facility policies and procedures which define standards of care; \n (3) Assure emergency equipment, supplies and services \nare immediately available in all areas where anesthesia is \nused. \n \n \nWAC 246-XXX-220 Recovery Care. The purpose of this \nsection is to guide the management of patients recovering \nfrom anesthesia and sedation. \n \nAn ambulatory surgical facility must: \n (1) Adopt and implement policies and procedures that \ndefine the qualifications and oversight of staff delivering \nrecovery services; \n (2) Assure a physician or advanced registered nurse \npractitioner capable of managing complications and providing cardiopulmonary resuscitation is immediately \navailable for patients recovering from anesthesia; and \n (3) Assure a registered nurse trained and current in \nadvanced cardiac life support measures is immediately \navailable for patients recovering from anesthesia. \n \n Page 28 WAC 246-XXX-225 Emergency services. The purpose of \nthis section is to guide the management and care of \npatients receiving emergency services. \n \nAn ambulatory surgical facility must: \n (1) Develop, implement and maintain a facility safety \nand emergency training program that includes: \n (a) On-site equipment, medication and trained personnel to manage any medical emergency that may arise \nfrom the services provided or sought; \n (b) A written and signed transfer agreement with one \nor more local hospitals that has been approved by the \nambulatory surgical facility’s medical staff; and \n (c)Policies and a procedural plan for handling medical \nemergencies; \n (d) Define the qualifications and oversight of staff \ndelivering emergency care services; (2) Assure at least one registered nurse skilled and \ntrained in emergency care services on duty and in the \nambulatory surgical facility at all times a patient is \npresent, who is: \n (a) Immediately available to provide care; and \n (b) Trained and current in advanced cardiac life \nsupport. (3) Assure communication with agencies and health care \nproviders as indicated by patient condition; and \n (4) Assure emergency equipment, supplies and services \nnecessary to meet the needs of patients are immediately \navailable. \n \n \nPart II – Environment of Care \n \n WAC 246-XXX-230 Management of environment for care. \nThe purpose of this section is to manage environmental \nhazards and risks, prevent accidents and injuries, and \nmaintain safe conditions for patients, visitors, and staff. \n (1) An ambulatory surgical facility must create and \nfollow an environment of care management plan that \naddresses safety, security, hazardous materials and waste, emergency preparedness, fire safety, medical equipment, \nutility systems and physical environment. \n (2) An ambulatory surgical facility must assure the \nenvironment of care management plan contains the follow \nitems: \n(a) Safety: \n (i) Policies and procedures on safety related issues Page 29 such as but not limited to physical hazards and injury \nprevention; \n (ii) Method to educate and periodically review with \nstaff the safety policies and procedures; \n (iii) Process to investigate, correct and report \nsafety related incidents; and \n(iv) Process to keep the physical environment free of \nhazards. (b) Security: \n (i) Policies and procedures to protect patients, \nvisitors, and staff while in the facility including \npreventing patient abduction; \n (ii) Method to educate and periodically review \nsecurity policies and procedures with staff; and \n (iii) When the facility has security staff, train the \nsecurity staff to a level of skill and competency for their \nassigned responsibility. (c) Hazardous materials and waste: \n (i) Establish and implement a program to safely \ncontrol hazardous materials and waste according to federal, \nstate, and local regulations; \n (ii) Provide space and equipment for safe handling and \nstorage of hazardous materials and waste; \n (iii) Process to investigate all hazardous material or waste spills, exposures, and other incidents, and report as \nrequired to appropriate authority; and \n (iv) Method to educate staff on hazardous materials \nand waste policies and procedures. \n (d) Emergency preparedness: \n (i) Establish, implement and periodically review a \ndisaster plan for internal and external disasters that is \nspecific to the facility and community; \n(ii) Process to educate and train staff on the \ndisaster plan; \n(iii) Process to periodically conduct drills to test \nthe plan. \n (e) Fire Safety: \n (i) Policies and procedures on fire prevention and \nemergencies including an evacuation plan; and \n (ii) Process to orient, educate, and conduct drills with staff fire prevention, emergency and evacuation \npolicies and procedures. \n (f) Medical Equipment: \n (i) Method to operate and maintain medical equipment \nproperly, safely and according to manufacturer’s \nrecommendations; \n (ii) Perform and document preventive maintenance; and Page 30 (iii) Process to investigate, report, and evaluate \nprocedures in response to equipment failures. \n (g) Utility systems: \n (i) Policies and procedures to operate and maintain a \nsafe and comfortable environment; and \n (ii) Process to investigate and evaluate utility \nsystems problems, failures, or user errors and report \nincidents. (h) Physical Environment: \n (i) Process to keep the physical environment clean \nincluding cleaning the operating between surgical \nprocedures; \n (ii) Operate and maintain a water supply providing hot \nand cold water under pressure which conforms to WAC 246-\n290, (Department of Health, division of drinking water); \n (iii) Assure hot water for hand washing does not \nexceed 120°F; (iv) Assure cross connection controls meet the \nrequirements of the state plumbing code; and \n (v) Operate and maintain ventilation to prevent \nobjectionable odors and excessive condensation. \n \n \nPart III – New Construction \nThe New Construction Regulations apply only to \nfacilities submitted to the Construction Review Program \nafter July 1\nst, 2009. Facilities participating in the \nMedicare/Medicaid program prior to July 1st, 2009 must be \nable to show compliance with the federal requirements for \nexisting facilities. Facilities participating in \nMedicare/Medicaid submitted after July 1st, 2009 must comply \nwith the federal requirements for new facilities. \n \nWAC 246-320-500 Applicability of WAC 246-XXX-500 \nthrough 246-XXX-XXX. The purpose of the new construction \nregulations is to provide minimum standards for the \nconstruction, maintenance and operation of ambulatory \nsurgical facilities and the establishment of a safe and \nadequate care and treatment environment. These rules are consistent with other accrediting organizations and federal \nagency rules and regulations without redundancy and \ncontradictory requirements. Compliance with these new \nconstruction regulations does not relieve an ambulatory \nsurgical facility of the need to comply with applicable \nstate and local building and zoning codes. \n Page 31 (1) These regulations apply to ambulatory surgical \nfacilities as defined in RCW 70.230-010: \n(a) New buildings to be licensed as an ambulatory \nsurgical facility; \n(b) Conversion of an existing building or portion \nthereof for use as an ambulatory surgical facility; \n(c) Additions to an existing ambulatory surgical \nfacility; \n(d) Alterations to an existing ambulatory surgical \nfacility. \n(2) The requirements of chapter 246-XXX WAC in effect \nat the time the application, fee, and construction \ndocuments are submitted to the department for review will \napply for the duration of the construction project. \n \n \nWAC 246-XXX-505 Department Responsibilities – \nConstruction Review, Approval of Plans. This section \nidentifies the actions and responsibilities of the \ndepartment for reviewing and approving new construction of \nambulatory surgical facilities. \n \n(1) Before issuing an approval, the department will \nverify compliance with chapter 70.230 RCW and this chapter which includes, but is not limited to: \n(a) Review of all construction documents for \ncompliance with these standards and other applicable \nfederal and state regulations; \n(b) Assure the issuance of a certificate of need, when \nneeded, as provided in chapter 70.38 RCW; \n(c) Receipt of the application for construction review \nservices and a full plan review fee based on Chapter 246-\n314 WAC; \n(d) Approval by the local jurisdiction has been \nobtained; \n(e) Approval of the initial license application; \n(f) Verify compliance with the applicable chapters of \nthe 2006 Guidelines for the Design and Construction of \nHealthcare Facilities \n \nWAC 246-320-510 Design, construction review, and \napproval of plans. \n(1) Drawings and specifications for new construction, \nmust be prepared by, or under the direction of, an \narchitect registered under chapter 18.08 RCW. The services \nof a consulting engineer registered under chapter 18.43 RCW Page 32 must be used for the various branches of the work where \nappropriate. The services of a registered professional \nengineer may be used in lieu of the services of an \narchitect if work involves engineering only. \n(2) An ambulatory surgical facility must submit \nconstruction documents for proposed new construction to the \ndepartment for review and approval prior to new \nconstruction as required in RCW 70.230.050(b). \n(3)The facility must submit: \n(a) A written functional program containing, at a \nminimum: \n(i) Information concerning surgical services to be \nprovided and operational methods to be used; and \n(ii) Description of work, patient, soiled waste and \nclean processing flows. \n(b) Two sets of Construction Drawings and \nspecifications to include coordinated civil, architectural, structural, mechanical, fire sprinkler, fire alarm and \nelectrical work. Each room, area, and item of fixed \nequipment and major movable equipment must be identified on \nall drawings to demonstrate that the required facilities \nfor each function are provided. \n(c) Floor plan of the building showing the alterations \nand additions including location of any service or support areas. \n(d) For Additions and/or Alterations: \n(i) A plan to show how the ambulatory surgical \nfacility will ensure the health and safety of occupants \nduring construction and installation of finishes. This \nincludes taking appropriate infection control measures, \nkeeping the surrounding area free of dust and fumes, and \nassuring rooms or areas are well-ventilated, unoccupied, \nand unavailable for use until free of volatile fumes and odors. \n(ii) A plan to show how the ambulatory surgical \nfacility will provide safety during construction consistent \nwith the fire code showing required paths of egress, exit \ndischarge and interim life safety measures serving the \nalterations or additions. \n(4) An ambulatory surgical facility must: (a) Respond to requests for additional or corrected \ndocuments; \n(b) Submit to the department for review and approval \nany addenda or modifications to the original department \napproved construction documents; \n(c) Assure construction is completed in compliance \nwith the final \"department approved\" documents; and Page 33 (d) Notify the department when construction is \ncompleted and provide a copy of the local jurisdiction's \napproval for occupancy if requested by the Department. \n(5) An ambulatory surgical facility will not use any \nnew construction, alterations or additions until: \n(a) The construction documents are approved by the \ndepartment; and \n(b) The local jurisdictions have issued an approval to \noccupy and. \n(c) Notification to the department that the \nconstruction has been completed, the proposed occupancy \ndate, final declared construction cost and that any \nadditional fees have been paid. " }

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{ "pdf_file": "HQIOPSJSKZG4AZ2NCERJBQQWVWNJ2CWH.pdf", "text": "The State of our Union\nWritten by Mike Honda\nTuesday, 02 February 2010 08:52\n \nOn January 27th, President Obama gave the constitutionally mandated State of the Union\naddress to our nation’s Congress. In it, he presented a vision to the American people of a\nstronger union, one that focuses on our middle-class and adopts a bold agenda for long-term\nprosperity. This agenda is founded on investments in our future – a better education for our\nchildren, a clean energy economy, affordable health insurance and critical help for our small\nbusinesses.\n \nEach week, I receive hundreds of letters with heart wrenching stories about health insurance\nbills bankrupting families, difficult dinner table conversations about where that next paycheck\nwill come from and worries about how parents will pay for their children’s education. The\nPresident showcased his understanding of these issues during his address, and I am confident\nthat this Congress will support solutions to these issues quickly and effectively.\n \nOn addressing our economy, the House of Representatives has already passed a Jobs For\nMain Street Act that will make targeted investments for highways and transit, school renovation,\nhiring teachers, police, and firefighters, small business, job training and affordable housing –\nkey drivers of economic growth that have the most bang for the buck.  These investments are fu\nlly paid for by redirecting TARP funds from Wall Street to Main Street\n.  It also includes emergency relief funding to extend unemployment benefits and help with\nhealth benefits for those who are out of work. I look forward to working with the Senate on its\nversion of the bill so that we can send something to the President very soon. On health care,\nboth chambers of Congress are committed to ensuring that reform lowers costs for everyday\nAmericans and small businesses while ending the culture of ‘no’ in the health insurance\nindustry. On the housing crisis, I remain committed to making sure that banks that have\nbenefited from taxpayer assistance repay that favor to homeowners facing challenging\ncircumstances. President Obama has highlighted charging fees to banks that received taxpayer\nassistance to recover that money and passing legislation that would support those that have\nbeen unfairly targeted by predatory lending practices. To this point, the House has already \nmoved on legislation \nthat would protect consumers and reform Wall Street.\n \nAmericans are still hurting, with double digit employment and crushing debt obligations, but I am\nconfident that our President and this Congress understand the work that needs to be done to\nturn things around and that we have begun to act. In this regard, I assure you that I will do\neverything in my power to ensure that any legislation passed in the House is done with for the\nsole purpose of putting Americans back to work and ensuring that the American Dream never\ndies.\n 1 / 1" }

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{ "pdf_file": "W7RVZWNXECQ4TT2MDDL7LOATVIQJFJTV.pdf", "text": "Entitlement Reform\nWelcome Message Tax Reform Trade Health Care\n \n \n \nClick here to see additional news and speeches about entitlement reform.\n \n\"Continuing on this unsustainable fiscal path will gradually erode, if not suddenly damage, our\neconomy, our standard of living, and ultimately our national security.\" David Walker, Comptroller\nGeneral, testimony before the Senate Budget Committee, October 31, 2007.\n \n \nAs this quote from the former Comptroller General starkly highlights, our entitlement programs –\nSocial Security, Medicare, and Medicaid – are growing at an unsustainable rate and need\nfundamental reform. The following numbers illustrate the scope of the challenge we face: \n \n \noAt current trends, mandatory spending (Social Security, Medicare, Medicaid, and net interest)\nwill exceed federal revenues by 2030 and will approach 30% of GDP by 2040. In other words,\nlong-term projections show that by 2030 Social Security, Medicare and Medicaid will absorb\nmost of the available revenues within the federal budget, leaving nothing for other national\npriorities like defense, homeland security and transportation. \n \n \n 1 / 4 Entitlement Reform\noThe cost of our unfunded liabilities comes out to $455,000 per household. In other words, a\nchild born today in America automatically inherits a debt of almost $200,000 as she takes her\nfirst breath. \n \n \nOnly real reform will fix this funding gap and protect the next generation from crippling debt and\nmassive tax increases. But we cannot continue to postpone action. As the saying goes, ‘Facts\nare stubborn things’, and those facts facing us today tell us that waiting on entitlement reform\ncosts us $2 trillion per year.\n \n \n \n 2 / 4 Entitlement Reform\n \nAs the principal supporter of the Social Security and Medicare \"Lock Box\" legislation, I led\nefforts to stop the raid on the Social Security surplus and raise public awareness regarding the\nentitlement crisis. In addition we desperately need the following reforms:\n \n \noSocial Security reform that allows Americans to save for their future. Social Security is a\ngood deal for today’s seniors and those nearing retirement, but it’s a bad deal for younger\nworkers. Without reform, many Americans entering the workforce today will earn a negative\nreturn on the money they pay into Social Security. We must find a way to offer younger workers\nmore freedom to secure their own retirement while guaranteeing the current levels of Social\nSecurity for seniors and workers approaching retirement today. \n \n \noBold structural Medicare reform that is fair and ensures the program will be available to\nfuture generations of Americans. We need reforms that move beyond the traditional\nMedicare short-term fixes and fundamentally update an aging program into one that will meet\nthe needs of today's seniors but also the needs of the next generation of Americans.\nSpecifically, we need reforms that: \n \n \noMaintain the current program for those 55 and older (those who have long planned on the\nexisting program); \n \n \n 3 / 4 Entitlement Reform\noChange how Medicare pays health care providers so payments are based on actual health\noutcomes, not just the number of tests ordered or drugs prescribed; \n \n \noFundamentally restructure the Medicare program for future retirees, so that these\nbeneficiaries will have a choice of coverage options for high quality health care;\n \n \noProvide incentives for younger workers to begin saving now for their post-retirement health\ncare needs. \n \n \nAmerica has reached the tipping point on the entitlement crisis. Unless we act, our generation\nstands to be the first that will leave our children with a lower standard of living than we currently\nenjoy. That's why I intend to continue calling on leaders in Congress to address this challenge\nto our economic future.\n \n 4 / 4" }

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{ "pdf_file": "BRP4EG4C6NJVFZHSZUZIOAXSGVHHFJDH.pdf", "text": "03:00 06:00 09:00 12:00 15:00 18:00 21:000100200300pitch angle (deg)Quality Check N16 2013−12−02\n \nted_alpha_0_sat ted_alpha_30_sat\n03:00 06:00 09:00 12:00 15:00 18:00 21:00−50150350550750deg or km\n \naltlatlon\n03:00 06:00 09:00 12:00 15:00 18:00 21:0010−410−310−210−1100deg or km\n \nted_ele_tel0_hi_eflux ted_ele_tel0_low_eflux ted_ele_tel30_hi_eflux ted_ele_tel30_low_eflux\n03:00 06:00 09:00 12:00 15:00 18:00 21:0010−410−310−210−1100deg or km\n \nted_ele_eflux_bg_tel0_hi ted_ele_eflux_bg_tel0_low ted_ele_eflux_bg_tel30_hi ted_ele_eflux_bg_tel30_low\n03:00 06:00 09:00 12:00 15:00 18:00 21:0010−410−310−210−1100deg or km\n \nted_pro_tel0_hi_eflux ted_pro_tel0_low_eflux ted_pro_tel30_hi_eflux ted_pro_tel30_low_eflux\n03:00 06:00 09:00 12:00 15:00 18:00 21:0010−410−310−210−1100deg or km\n \nted_pro_eflux_bg_tel0_hi ted_pro_eflux_bg_tel0_low ted_pro_eflux_bg_tel30_hi ted_pro_eflux_bg_tel30_low\n03:00 06:00 09:00 12:00 15:00 18:00 21:0010−410−310−210−1100deg or km\n \nted_ele_eflux_atmo_low ted_ele_eflux_atmo_hi ted_ele_eflux_atmo_total\n03:00 06:00 09:00 12:00 15:00 18:00 21:0010−410−310−210−1100deg or km\n \nted_pro_eflux_atmo_low ted_pro_eflux_atmo_hi ted_pro_eflux_atmo_total" }

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{ "pdf_file": "INE663VOPVFVXLNIIAX5ZESMKE2X34Z3.pdf", "text": "Project 25 Compliance Assessment Program \nSummary Test Report \nHarris XG-25P UHF-L \nSTR-Harris -XG25PUHFL 141112 \n \n \nPage 1 of 12 Test Item Description \nManufacturer Harris Corp \nManufacturer Contact David Prather 434 -455-6742 \nProduct Name Harris XG-25P UHF-L portable subscriber \nInstalled Options XGP R04A firmware \nInstalled Vocoder Enhanced Full R ate with system improvements \n \n \nTest Description \nP25-CAB-CAI_TEST_REQ – March 2010 , Section 2.1.1.1 – Project 25 Phase 1 Common Air Interface Conventional \nSubscriber Unit Performance \nP25-CAB-CAI_TEST_REQ –March 2010 , Section 2.1.1. 2 – Project 25 Phase 1 Common Air Interface Trunked \nSubscriber Unit Performance \nP25-CAB-CAI_TEST_REQ - March 2010 , Section 2.1. 3.2 – Project 25 Phase 1 Common Air Interface Trunked \nSubscriber Unit Interoperability \n \n \nLaboratory Information (Performance) \nP25 CAP Laboratory Code Harris Corp P25CAP081017 \nDate(s) of Test November 12, 2014 \nDate of Issue November 12, 2014 \n \n \nLaboratory Information \nP25 CAP Laboratory Code Harris Corp P25CAP081017 \nDate(s) of Test September 9, 2013 \nDate of Issue May 1, 2014 \n \n \nLaboratory Information \nP25 CAP Laboratory Code EF Johnson Technologies P25CAP081010 \nDate(s) of Test August 8, 2013 \nDate of Issue September 5, 2013 \n \n \nLaboratory Information \nP25 CAP Laboratory Code Timco Engineering P25CAPTIMCO081016 \nDate(s) of Test October 18, 2013 ; October 18, 2013 \nDate of Issue October 22 , 2013 ; October 23 , 2013 Project 25 Compliance Assessment Program \nSummary Test Report \nHarris XG-25P UHF-L \nSTR-Harris -XG25PUHFL 141112 \n \nPage 2 of 12 \n \nInformative References \nDate Title \nMarch 2010 P25-CAB-CAI_TEST_REQ \n \n \nOther Devices Tested with Harris XG-25P UHF-L \nManufacturer Product Name, Definition, and \nunique ID Installed Options \nHarris MASTR V \nSubsystem Serial #s: 8529055, 8527186, \n8527187, 8527188, 8090080, 8529054, \n8527183, 8527184, 8527185 SR10A \nEF Johnson Technologies 3800 Trunking Repeater Base Station Rel 1.1.1 -5 \nTait TN9400 V 1.40 \nTait/Cassidian Tait Cassidian P25 Core Network EADS P25V11_0 6 E22 \n Project 25 Compliance Assessment Program \nSummary Test Report \nHarris XG-25P UHF-L \nSTR-Harris -XG25PUHFL 141112 \n \nPage 3 of 12 Performance Testing \n \nP25-CAB -CAI_TEST_REQ – March 2010 , Section \n2.1.1.1 – Project 25 Phase 1 Common Air Interface \nConventional Subscriber Unit Performance DTR-P25CAP081017 -2141112 H \nXG-25P UHF-L \nRECEIVER TESTS - UHF-L (P25 Conventional Mode) \nTest Case Description Requirement Results \n2.1.4 Reference Sensitivity  -116 dBm P1 \n2.1.5 Faded Reference Sensitivity (8 & 100 \nkm/h)  -108 dBm  P1 \n2.1.6 Signal Delay Spread Capability  50 us P1 \n2.1.7 Adjacent Channel Rejection  60 dB P1 \n2.1.8 Co-Channel Rejection  9 dB P \n2.1.9 Spurious Response Rejection  70 dB P \n2.1.10 Intermodulation Rejection  70 dB P \n2.1.11 Signal Displacement Bandwidth  1000 Hz P \n2.1.17 Late Entry Unsquelch Delay (No talk \ngroup or encryption)  125 ms  P \n2.1.18 Receiver Throughput Delay  125 ms P \n \n \nP25-CAB -CAI_TEST_REQ – March 2010 , Section \n2.1.1.1 – Project 25 Phase 1 Common Air Interface \nConventional Subscriber Unit Performance DTR-P25CAP081017 -2141112 H \nXG-25P UHF-L \nTRANSMITTER TESTS - UHF-L (P25 Conventional Mode) \nTest Case Description Requirement Results \n2.2.8 Unwanted Emissions: Adjacent Power \nRatio  dB P \n2.2.12 Transmitter Power and Encoder Attack \nTime \nTransmitter Attack Time  50 ms P \nEncoder Attack Time  100 ms P \n2.2.14 Transmitter Throughput Delay  125 ms P \n2.2.15 Frequency Deviation for C4FM  \nHigh level Signal Deviation 2544 fdev ≤ 3111Hz P \nLow Level Signal Deviation 848 fdev ≤ 1037Hz P \n2.2.16 Modulation Fidelity  5% P \n2.2.18 Transient Frequency Behavior  \nTime Interval t 1 = 10 ms f 12.5 KHz P2 \nTime Interval t 2 = 25 ms f 6.25 KHz P \nTime Interval t 3 = 10 ms f 12.5 KHz P2 \n \n Project 25 Compliance Assessment Program \nSummary Test Report \nHarris XG-25P UHF-L \nSTR-Harris -XG25PUHFL 141112 \n \nPage 4 of 12 P25-CAB -CAI_TEST_REQ –March 2010 , Section 2.1.1.2 \n– Project 25 Phase 1 Common Air Interface Trunked \nSubscriber Unit Performance DTR-P25CAP081017 -2141112 H \nXG-25P UHF-L \nRECEIVER TESTS - UHF-L (P25 Trunked Mode) \nTest Case Description Requirement Results \n2.1.4 Reference Sensitivity  -116 dBm P1 \n2.1.5 Faded Reference Sensitivity (8 & 100 \nkm/h)  -108 dBm  P1 \n2.1.6 Signal Delay Spread Capability  50 us P1 \n2.1.7 Adjacent Channel Rejection  60 dB P1 \n2.1.8 Co-Channel Rejection  9 dB P \n2.1.9 Spurious Response Rejection  70 dB P \n2.1.10 Intermodulation Rejection  70 dB P \n2.1.11 Signal Displacement Bandwidth  1000 Hz P \n \n \nP25-CAB -CAI_TEST_REQ –March 2010 , Section 2.1.1.2 \n– Project 25 Phase 1 Common Air Interface Trunked \nSubscriber Unit Performance DTR-P25CAP081017 -2141112 H \nXG-25P UHF-L \nTRANSMITTER TESTS - UHF-L (P25 Trunked Mode) \nTest Case Description Requirement Results \n2.2.8 Unwanted Emissions: Adjacent \nPower Ratio  dB P \n2.2.12 Transmitter Power and Encoder \nAttack Time \nTransmitter Attack Time  50 ms P \nEncoder Attack Time  100 ms P \n2.2.14 Transmitter Throughput Delay  125 ms P \n2.2.15 Frequency Deviation for C4FM  \nHigh level Signal Deviation 2544 fdev ≤ 3111Hz P \nLow Level Signal Deviation 848 fdev ≤ 1037Hz P \n2.2.16 Modulation Fidelity  5% P \n2.2.18 Transient Frequency Behavior  \nTime Interval t 1 = 10 ms f 12.5 KHz P2 \nTime Interval t 2 = 25 ms f 6.25 KHz P \nTime Interval t 3 = 10 ms f 12.5 KHz P2 \n \n Project 25 Compliance Assessment Program \nSummary Test Report \nHarris XG-25P UHF-L \nSTR-Harris -XG25PUHFL 141112 \n \nPage 5 of 12 Trunking Performance Testing \n \nP25-CAB -CAI_TEST_REQ –March 2010 , Section \n2.1.1.2 – Project 25 Phase 1 Common Air Interface \nTrunked Subscriber Unit Performance DTR-P25CAP081017 -2141112 H \nXG-25P UHF-L \nTrunked Subscriber Tests - UHF-L \nTest \nCase Description Requirement Results \n2.3.1 Trunking Control Channel Slot Times \n(37.5-ms slot*) \n Encode Attack Time 4.15 ms max \n2.00 ms min P \n RF Power Attack Time 4.15 ms max \n0.00 ms min P \n RF Power Turn Off Time 1.57 ms max P \n2.3.2 Trunking Request Time (37.5-ms slot*)  160 ms P \n2.3.3 Trunking Voice Access Time  400 ms P \n2.3.5 Transmitter Time to Key on a Traffic \nChannel Short Channel F orm \n RF transmitter time to key on a working \nchannel 150.0 ms P \n Encoder transmit time 150.0 ms P \n \n* Harris base station and subscriber unit products operate with 37.5 ms ISP slot times, and do not support \n45 ms ISP slot times . \n Project 25 Compliance Assessment Program \nSummary Test Report \nHarris XG-25P UHF-L \nSTR-Harris -XG25PUHFL 141112 \n \nPage 6 of 12 Trunking Interoperability Testing \n \n \n \n \n P25-CAB -CAI_Test_REQ - March 2010, Section 2.1.3.2 – \nProject 25 Phase 1 Common Air Interface Trunked \nSubscriber Unit Interoperability \nDTRP25CAP -081017 - \n1120312H 13 \nDTR-P25CAP -081010 - \n13090501 -Harris XG -25P \nDTR-TIMCO081016 \nTAIT/TN9400/HARRIS \nDTR-TIMCO081016 \nTait/Cassidian/Harris \nHarris Model Class : \nXGP Software \n \n \nHarris MASTR V \n SR10A \nEF Johnson 3800 \nRel 1.1.1 -5 \nTait N9400 \nVer 1.40 \nTait Cassidian P25 Core \nNetwork \nEADS P25V11_0 6 E22 \nTest \nCase Description \n2.2.1 Full registration \n2.2.1.4.1 Test case 1 - Valid registration \n Home operation P P P P \n Inter-System operation N1 N1 N1 N1 \n Inter-WACN operation N1 N1 N1 N1 \n2.2.1.4.2 Test case 2 - Denied or refused registration \n Home operation P P P P \n Inter-System operation N1 N1 N1 N1 \n Inter-WACN operation N1 N1 N1 N1 \n2.2.1.4.3 Test case 3 - Unverified registration \n Home operation P P P P \n Inter-System operation N1 N1 N1 N1 \n Inter-WACN operation N1 N1 N1 N1 \n2.2.2 Group Voice Call \n2.2.2.4.1 Test case 1 - Group call granted \n Home operation P P P P \n Inter-System operation N1 N1 N1 N1 \n Inter-WACN operation N1 N1 N1 N1 \n2.2.2.4.2 Test case 2 - Group call denied \n Home operation P P P P \n Inter-System operation N1 N1 N1 N1 \n Inter-WACN operation N1 N1 N1 N1 Project 25 Compliance Assessment Program \nSummary Test Report \nHarris XG-25P UHF-L \nSTR-Harris -XG25PUHFL 141112 \n \nPage 7 of 12 P25-CAB -CAI_Test_REQ - March 2010, Section 2.1.3.2 – \nProject 25 Phase 1 Common Air Interface Trunked \nSubscriber Unit Interoperability \nDTRP25CAP -081017 - \n1120312H1 3 \nDTR-P25CAP -081010 - \n13090501 -Harris XG -25P \nDTR-TIMCO081016 \nTAIT/TN9400/HARRIS \nDTR-TIMCO081016 \nTait/Cassidian/Harris \nHarris Model Class : \nXGP Software \n \nHarris MASTR V \n SR10A \nEF Johnson 3800 \nRel 1.1.1 -5 \nTait N9400 \nVer 1.40 \nTait Cassidian P25 Core \nNetwork \nEADS P25V11_06 E22 \nTest \nCase Description \n2.2.2.4.3 Test case 3 - Group call request queued \n Home operation P P P P \n Inter-System operation N1 N1 N1 N1 \n Inter-WACN operation N1 N1 N1 N1 \n2.2.3 Unit-to-Unit Voice Call \n2.2.3.4.1 Test case 1 – Unit-to-Unit call with target availability \ncheck \n Home operation P P P P \n Inter-System operation N1 N1 N1 N1 \n Inter-WACN operation N1 N1 N1 N1 \n2.2.3.4.2 Test case 2 – Unit-to-Unit call with target availability \ncheck denied by target \n Home operation P P P P \n Inter-System operation N1 N1 N1 N1 \n Inter-WACN operation N1 N1 N1 N1 \n2.2.3.4.3 Test case 3 – Unit-to-Unit call queued with target \navailability check – traffic channel assignment after \ntarget availability check \n Home operation P P P P \n Inter-System operation N1 N1 N1 N1 \n Inter-WACN operation N1 N1 N1 N1 \n \n \n \n Project 25 Compliance Assessment Program \nSummary Test Report \nHarris XG-25P UHF-L \nSTR-Harris -XG25PUHFL 141112 \n \nPage 8 of 12 P25-CAB -CAI_Test_REQ - March 2010, Section 2.1.3.2 – \nProject 25 Phase 1 Common Air Interface Trunked \nSubscriber Unit Interoperability \nDTRP25CAP -081017 - \n1120312H1 3 \nDTR-P25CAP -081010 - \n13090501 -Harris XG-25P \nDTR-TIMCO081016 \nTAIT/TN9400/HARRIS \nDTR-TIMCO081016 \nTait/Cassidian/Harris \nHarris Model Class : \nXGP Software \n \nHarris MASTR V \n SR10A \nEF Johnson 3800 \nRel 1.1.1 -5 \nTait N9400 \nVer 1.40 \nTait Cassidian P25 Core \nNetwork \nEADS P25V11_06 E22 \nTest \nCase Description \n \n2.2.3.4. 4 Test case 4 – Unit-to-Unit call queued with target \navailability check – traffic channel assignment before \ntarget availability check \n Home operation N1 N1 N1 N1 \n Inter-System operation N1 N1 N1 N1 \n Inter-WACN operation N1 N1 N1 N1 \n2.2.3.4. 5 Test case 5 – Unit-to-Unit call without target \navailability check \n Home operation P N1 N1 N1 \n Inter-System operation N1 N1 N1 N1 \n Inter-WACN operation N1 N1 N1 N1 \n2.2.3.4. 6 Test case 6 – Unit-to-Unit call queued without target \navailability check \n Home operation P N1 N1 N1 \n Inter-System operation N1 N1 N1 N1 \n Inter-WACN operation N1 N1 N1 N1 \n2.2.3.4. 7 Test case 7 – Unit-to-Unit call denied \n Home operation P P P P \n Inter-System operation N1 N1 N1 N1 \n Inter-WACN operation N1 N1 N1 N1 \n2.2.4 Broadcast Voice Call \n2.2.4.4.1 Test case 1 - Broadcast voice call \n Home operation P P P P \n Inter-System operation N1 N1 N1 N1 \n Inter-WACN operation N1 N1 N1 N1 \n \n Project 25 Compliance Assessment Program \nSummary Test Report \nHarris XG-25P UHF-L \nSTR-Harris -XG25PUHFL 141112 \n \nPage 9 of 12 P25-CAB -CAI_Test_REQ - March 2010, Section 2.1.3.2 – \nProject 25 Phase 1 Common Air Interface Trunked \nSubscriber Unit Interoperability \nDTRP25CAP -081017 - \n1120312H1 3 \nDTR-P25CAP -081010 - \n13090501 -Harris XG -25P \nDTR-TIMCO081016 \nTAIT/TN9400/HARRIS \nDTR-TIMCO081016 \nTait/Cassidian/Harris \nHarris Model Class : \nXGP Software \nHarris MASTR V \n SR10A \nEF Johnson 3800 \nRel 1.1.1 -5 \nTait N9400 \nVer 1.40 \nTait Cassidian P25 Core \nNetwork \nEADS P25V11_06 E22 \nTest \nCase Description \n2.2.5 Affiliation \n2.2.5.4.1 Test case 1 - Radio permitted to affiliate with new \ngroup \n Home operation P P P P \n Inter-System operation N1 N1 N1 N1 \n Inter-WACN operation N1 N1 N1 N1 \n2.2.5.4.2 Test case 2 - Radio denied affiliation to new group \n Home operation P P P P \n Inter-System operation N1 N1 N1 N1 \n Inter-WACN operation N1 N1 N1 N1 \n2.2.6 Announcement Group Call \n2.2.6.4.1 Test case 1 - Collection of talk groups receive call \n Home operation P P P P \n Inter-System operation N1 N1 N1 N1 \n Inter-WACN operation N1 N1 N1 N1 \n2.2.7 Emergency Alarm \n2.2.7.4.1 Test case 1 - Emergency alarm \n Home operation P P P P \n Inter-System operation N1 N1 N1 N1 \n Inter-WACN operation N1 N1 N1 N1 \n \n Project 25 Compliance Assessment Program \nSummary Test Report \nHarris XG-25P UHF-L \nSTR-Harris -XG25PUHFL 141112 \n \nPage 10 of 12 P25-CAB -CAI_Test_REQ - March 2010, Section 2.1.3.2 – \nProject 25 Phase 1 Common Air Interface Trunked \nSubscriber Unit Interoperability \nDTRP25CAP -081017 - \n1120312H1 3 \nDTR-P25CAP -081010 - \n13090501 -Harris XG -25P \nDTR-TIMCO081016 \nTAIT/TN9400/HARRIS \nDTR-TIMCO081016 \nTait/Cassidian/Harris \nHarris Model Class : \nXGP Software \n \nHarris MASTR V \n SR10A \nEF Johnson 3800 \nRel 1.1.1 -5 \nTait N9400 \nVer 1.40 \nTait Cassidian P25 Core \nNetwork \nEADS P25V11_06 E22 \nTest \nCase Description \n2.2.8 Emergency Group Call \n2.2.8.4.1 Test case 1 - Emergency call \n Home operation P P P P \n Inter-System operation N1 N1 N1 N1 \n Inter-WACN operation N1 N1 N1 N1 \n2.2.10 Encryption \n2.2.10.4.1 Test case 1 - Call privacy for encrypted call \n Home operation P P P P \n Inter-System operation N1 N1 N1 N1 \n Inter-WACN operation N1 N1 N1 N1 \n2.2.11 Intra -Location Registration Area Roaming \n2.2.11.4.1 Test case 1 - Idle radio \n Home operation P P P P \n Inter-System operation N1 N1 N1 N1 \n Inter-WACN operation N1 N1 N1 N1 Project 25 Compliance Assessment Program \nSummary Test Report \nHarris XG-25P UHF-L \nSTR-Harris -XG25PUHFL 141112 \n \nPage 11 of 12 Model Class Definition \nModel Class Definition \n(as of the date of this STR) Applied to: P25-CAB -CAI_TEST_REQ – March 2010, \nSection 2.1.3.2 – Project 25 Phase 1 Common Air \nInterface Trunked Subscriber Unit Interoperability \nModel Class Name Product Name, Definition, Unique ID Installed Options* \nXGP Software Unity XG -100P XGP Rxx \n Unity XG -100M XGP Rxx \n XG-75P 7/8 XGP Rxx \n XG-75PE UHF-H XGP Rxx \n XG-75P UHF -L XGP Rxx \n XG-75P UHF -L 100mW XGP Rxx \n XG-75P VHF XGP Rxx \n XG-75M/M7300 7/8 XGP Rxx \n XG-75M/M7300 UHF -H XGP Rxx \n XG-75M/M7300 UHF -L XGP Rxx \n XG-75M/M7300 VHF 50W XGP Rxx \n XG-75M/M7300 VHF 110W XGP Rxx \n XG-25P 7/8 XGP Rxx \n XG-25P UHF -L XGP Rxx \n XG-25P VHF XGP Rxx \n XG-25M 7/8 XGP Rxx \n XG-25M UHF -L XGP Rxx \n XG-25M VHF XGP Rxx \n P5500 800 XGP Rxx \n P5500 VHF XGP Rxx \n P5400 800 XGP Rxx \n P5400 UHF -H XGP Rxx \n P5400 UHF -L XGP Rxx \n P5400 VHF XGP Rxx \n P7300 7/8 XGP Rxx \n P7300 UHF -H XGP Rxx \n \n* Note: In the installed option designation “XGP Rxx”, the “xx” denotes the inclusion of any revision number, \nindicating that all revisions of XGP software are included in the model class for the associated product. \n \n Project 25 Compliance Assessment Program \nSummary Test Report \nHarris XG-25P UHF-L \nSTR-Harris -XG25PUHFL 141112 \n \nPage 12 of 12 Test Case Result Definitions \nNo Test performed --- \nTest Does Not Apply to the Test Object N/A \nTest Object Meets Requirements P (Pass) \nTest Object Does Not Meet Requirements F (Fail) \nTest Object is Not Conclusive I (Inconclusive) \nComments \nP1: Device under test passes requirements for both C4FM and WCQPSK \nP2: Device under test measured f 12.5 KHz for time intervals t 1 and t 3, though not a requirement for transmitter carrier output \npower rating of 6 watts per TIA -102.CAAB -C section 3.2.18, last paragraph. \nN1: FNE does not support this feature \n \nThe information contained herein has been provided by the manufacturer of the product with permission to \nmake the information publically available. The Department of Homeland Security 9DHS) is making this \ninformation available as a public service; however, DHS IS PROVIDING THE INFORMATION “AS IS.” DHS \nMAKES NO EXPRESS OR IMPLIED W ARRANTIES AND SPECIFICALLY, DHS MAKES NO \nWARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE, REGARDING \nTHE ACCURACY OR USE OF THIS INFORMATION. Reference to any specific commercial products, \nprocesses, or services by trade name, trademark, manufacturer, or otherwise does not constitute an \nendorsement by or a recommendation f rom DHS. \nOMB NO: 1640 -0015 \nEXPIRATION DATE: 07/31/2015 \nBurden Statement \nAn agency may not conduct or sponsor information collection and a person is not required to respond to this \ninformation collection unless it displays a current valid Office of Management and Budget control number \nand expiration date. The control number fo r this collection is 1640 -0015 and this form will expire on \n07/31/2015 . The estimated average time to complete this form is 60 minutes per respondent. If you have \nany comments regarding the burden estimate you can write to Department of Homeland Security , Science \nand Technology Directorate, Washington, DC 20528. \nDHS FORM 10056 – June 2009 " }

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{ "pdf_file": "JXM2RAH5DJSVW2XCEGXVMU2PFPC4J3P4.pdf", "text": "111 THCONGRESS \n1STSESSION H. R. 3326 \nAN ACT \nMaking appropriations for the Department of Defense for \nthe fiscal year ending September 30, 2010, and for other purposes. \nBe it enacted by the Senate and House of Representa- 1\ntives of the United States of America in Congress assembled, 2 2 \n•HR 3326 EHThat the following sums are appropriated, out of any 1\nmoney in the Treasury not otherwise appropriated, for the 2\nfiscal year ending September 30, 2010, for military func-3\ntions administered by the Department of Defense and for 4\nother purposes, namely: 5\nTITLE I 6\nMILITARY PERSONNEL 7\nMILITARY PERSONNEL , ARMY 8\nFor pay, allowances, individual clothing, subsistence, 9\ninterest on deposits, gratuities, permanent change of sta-10\ntion travel (including all expenses thereof for organiza-11\ntional movements), and expenses of temporary duty travel 12\nbetween permanent duty stations, for members of the 13\nArmy on active duty (except members of reserve compo-14\nnents provided for elsewhere), cadets, and aviation cadets; 15\nfor members of the Reserve Officers’ Training Corps; and 16\nfor payments pursuant to section 156 of Public Law 97– 17\n377, as amended (42 U.S.C. 402 note), and to the Depart-18\nment of Defense Military Retirement Fund, 19\n$39,901,547,000. 20\nMILITARY PERSONNEL , NAVY 21\nFor pay, allowances, individual clothing, subsistence, 22\ninterest on deposits, gratuities, permanent change of sta-23\ntion travel (including all expenses thereof for organiza-24\ntional movements), and expenses of temporary duty travel 25 3 \n•HR 3326 EHbetween permanent duty stations, for members of the 1\nNavy on active duty (except members of the Reserve pro-2\nvided for elsewhere), midshipmen, and aviation cadets; for 3\nmembers of the Reserve Officers’ Training Corps; and for 4\npayments pursuant to section 156 of Public Law 97–377, 5\nas amended (42 U.S.C. 402 note), and to the Department 6\nof Defense Military Retirement Fund, $25,095,581,000. 7\nMILITARY PERSONNEL , MARINE CORPS 8\nFor pay, allowances, individual clothing, subsistence, 9\ninterest on deposits, gratuities, permanent change of sta-10\ntion travel (including all expenses thereof for organiza-11\ntional movements), and expenses of temporary duty travel 12\nbetween permanent duty stations, for members of the Ma-13\nrine Corps on active duty (except members of the Reserve 14\nprovided for elsewhere); and for payments pursuant to sec-15\ntion 156 of Public Law 97–377, as amended (42 U.S.C. 16\n402 note), and to the Department of Defense Military Re-17\ntirement Fund, $12,528,845,000. 18\nMILITARY PERSONNEL , AIRFORCE 19\nFor pay, allowances, individual clothing, subsistence, 20\ninterest on deposits, gratuities, permanent change of sta-21\ntion travel (including all expenses thereof for organiza-22\ntional movements), and expenses of temporary duty travel 23\nbetween permanent duty stations, for members of the Air 24\nForce on active duty (except members of reserve compo-25 4 \n•HR 3326 EHnents provided for elsewhere), cadets, and aviation cadets; 1\nfor members of the Reserve Officers’ Training Corps; and 2\nfor payments pursuant to section 156 of Public Law 97– 3\n377, as amended (42 U.S.C. 402 note), and to the Depart-4\nment of Defense Military Retirement Fund, 5\n$25,938,850,000. 6\nRESERVE PERSONNEL , ARMY 7\nFor pay, allowances, clothing, subsistence, gratuities, 8\ntravel, and related expenses for personnel of the Army Re-9\nserve on active duty under sections 10211, 10302, and 10\n3038 of title 10, United States Code, or while serving on 11\nactive duty under section 12301(d) of title 10, United 12\nStates Code, in connection with performing duty specified 13\nin section 12310(a) of title 10, United States Code, or 14\nwhile undergoing reserve training, or while performing 15\ndrills or equivalent duty or other duty, and expenses au-16\nthorized by section 16131 of title 10, United States Code; 17\nand for payments to the Department of Defense Military 18\nRetirement Fund, $4,308,513,000. 19\nRESERVE PERSONNEL , NAVY 20\nFor pay, allowances, clothing, subsistence, gratuities, 21\ntravel, and related expenses for personnel of the Navy Re-22\nserve on active duty under section 10211 of title 10, 23\nUnited States Code, or while serving on active duty under 24\nsection 12301(d) of title 10, United States Code, in con-25 5 \n•HR 3326 EHnection with performing duty specified in section 12310(a) 1\nof title 10, United States Code, or while undergoing re-2\nserve training, or while performing drills or equivalent 3\nduty, and expenses authorized by section 16131 of title 4\n10, United States Code; and for payments to the Depart-5\nment of Defense Military Retirement Fund, 6\n$1,918,111,000. 7\nRESERVE PERSONNEL , MARINE CORPS 8\nFor pay, allowances, clothing, subsistence, gratuities, 9\ntravel, and related expenses for personnel of the Marine 10\nCorps Reserve on active duty under section 10211 of title 11\n10, United States Code, or while serving on active duty 12\nunder section 12301(d) of title 10, United States Code, 13\nin connection with performing duty specified in section 14\n12310(a) of title 10, United States Code, or while under-15\ngoing reserve training, or while performing drills or equiv-16\nalent duty, and for members of the Marine Corps platoon 17\nleaders class, and expenses authorized by section 16131 18\nof title 10, United States Code; and for payments to the 19\nDepartment of Defense Military Retirement Fund, 20\n$610,580,000. 21\nRESERVE PERSONNEL , AIRFORCE 22\nFor pay, allowances, clothing, subsistence, gratuities, 23\ntravel, and related expenses for personnel of the Air Force 24\nReserve on active duty under sections 10211, 10305, and 25 6 \n•HR 3326 EH8038 of title 10, United States Code, or while serving on 1\nactive duty under section 12301(d) of title 10, United 2\nStates Code, in connection with performing duty specified 3\nin section 12310(a) of title 10, United States Code, or 4\nwhile undergoing reserve training, or while performing 5\ndrills or equivalent duty or other duty, and expenses au-6\nthorized by section 16131 of title 10, United States Code; 7\nand for payments to the Department of Defense Military 8\nRetirement Fund, $1,600,462,000. 9\nNATIONAL GUARD PERSONNEL , ARMY 10\nFor pay, allowances, clothing, subsistence, gratuities, 11\ntravel, and related expenses for personnel of the Army Na-12\ntional Guard while on duty under section 10211, 10302, 13\nor 12402 of title 10 or section 708 of title 32, United 14\nStates Code, or while serving on duty under section 15\n12301(d) of title 10 or section 502(f) of title 32, United 16\nStates Code, in connection with performing duty specified 17\nin section 12310(a) of title 10, United States Code, or 18\nwhile undergoing training, or while performing drills or 19\nequivalent duty or other duty, and expenses authorized by 20\nsection 16131 of title 10, United States Code; and for pay-21\nments to the Department of Defense Military Retirement 22\nFund, $7,525,628,000. 23 7 \n•HR 3326 EHNATIONAL GUARD PERSONNEL , AIRFORCE 1\nFor pay, allowances, clothing, subsistence, gratuities, 2\ntravel, and related expenses for personnel of the Air Na-3\ntional Guard on duty under section 10211, 10305, or 4\n12402 of title 10 or section 708 of title 32, United States 5\nCode, or while serving on duty under section 12301(d) of 6\ntitle 10 or section 502(f) of title 32, United States Code, 7\nin connection with performing duty specified in section 8\n12310(a) of title 10, United States Code, or while under-9\ngoing training, or while performing drills or equivalent 10\nduty or other duty, and expenses authorized by section 11\n16131 of title 10, United States Code; and for payments 12\nto the Department of Defense Military Retirement Fund, 13\n$2,949,899,000. 14\nTITLE II 15\nOPERATION AND MAINTENANCE 16\nOPERATION AND MAINTENANCE , ARMY 17\nFor expenses, not otherwise provided for, necessary 18\nfor the operation and maintenance of the Army, as author-19\nized by law; and not to exceed $12,478,000 can be used 20\nfor emergencies and extraordinary expenses, to be ex-21\npended on the approval or authority of the Secretary of 22\nthe Army, and payments may be made on his certificate 23\nof necessity for confidential military purposes, 24\n$30,454,152,000. 25 8 \n•HR 3326 EHOPERATION AND MAINTENANCE , NAVY 1\nFor expenses, not otherwise provided for, necessary 2\nfor the operation and maintenance of the Navy and the 3\nMarine Corps, as authorized by law; and not to exceed 4\n$14,657,000 can be used for emergencies and extraor-5\ndinary expenses, to be expended on the approval or author-6\nity of the Secretary of the Navy, and payments may be 7\nmade on his certificate of necessity for confidential mili-8\ntary purposes, $34,885,932,000 (increased by 9\n$1,000,000) (reduced by $1,000,000): Provided, That 10\n$60,199,000 shall be made available for the Joint POW/ 11\nMIA Accounting Command. 12\nOPERATION AND MAINTENANCE , MARINE CORPS 13\nFor expenses, not otherwise provided for, necessary 14\nfor the operation and maintenance of the Marine Corps, 15\nas authorized by law, $5,557,510,000. 16\nOPERATION AND MAINTENANCE , AIRFORCE 17\nFor expenses, not otherwise provided for, necessary 18\nfor the operation and maintenance of the Air Force, as 19\nauthorized by law; and not to exceed $7,699,000 can be 20\nused for emergencies and extraordinary expenses, to be ex-21\npended on the approval or authority of the Secretary of 22\nthe Air Force, and payments may be made on his certifi-23\ncate of necessity for confidential military purposes, 24\n$33,785,349,000. 25 9 \n•HR 3326 EHOPERATION AND MAINTENANCE , DEFENSE -WIDE 1\nFor expenses, not otherwise provided for, necessary 2\nfor the operation and maintenance of activities and agen-3\ncies of the Department of Defense (other than the military 4\ndepartments), as authorized by law, $27,929,377,000: 5\nProvided , That not more than $50,000,000 may be used 6\nfor the Combatant Commander Initiative Fund authorized 7\nunder section 166a of title 10, United States Code: Pro- 8\nvided further , That of the funds provided under this head- 9\ning, not less than $29,732,000 shall be made available for 10\nthe Procurement Technical Assistance Cooperative Agree-11\nment Program, of which not less than $3,600,000 shall 12\nbe available for centers defined in 10 U.S.C. 2411(1)(D): 13\nProvided further , That none of the funds appropriated or 14\notherwise made available by this Act may be used to plan 15\nor implement the consolidation of a budget or appropria-16\ntions liaison office of the Office of the Secretary of De-17\nfense, the office of the Secretary of a military department, 18\nor the service headquarters of one of the Armed Forces 19\ninto a legislative affairs or legislative liaison office. 20\nOPERATION AND MAINTENANCE , ARMY RESERVE 21\nFor expenses, not otherwise provided for, necessary 22\nfor the operation and maintenance, including training, or-23\nganization, and administration, of the Army Reserve; re-24\npair of facilities and equipment; hire of passenger motor 25 10 \n•HR 3326 EHvehicles; travel and transportation; care of the dead; re-1\ncruiting; procurement of services, supplies, and equip-2\nment; and communications,$2,621,196,000. 3\nOPERATION AND MAINTENANCE , NAVYRESERVE 4\nFor expenses, not otherwise provided for, necessary 5\nfor the operation and maintenance, including training, or-6\nganization, and administration, of the Navy Reserve; re-7\npair of facilities and equipment; hire of passenger motor 8\nvehicles; travel and transportation; care of the dead; re-9\ncruiting; procurement of services, supplies, and equip-10\nment; and communications, $1,280,001,000. 11\nOPERATION AND MAINTENANCE , MARINE CORPS 12\nRESERVE 13\nFor expenses, not otherwise provided for, necessary 14\nfor the operation and maintenance, including training, or-15\nganization, and administration, of the Marine Corps Re-16\nserve; repair of facilities and equipment; hire of passenger 17\nmotor vehicles; travel and transportation; care of the dead; 18\nrecruiting; procurement of services, supplies, and equip-19\nment; and communications, $228,925,000. 20\nOPERATION AND MAINTENANCE , AIRFORCE RESERVE 21\nFor expenses, not otherwise provided for, necessary 22\nfor the operation and maintenance, including training, or-23\nganization, and administration, of the Air Force Reserve; 24\nrepair of facilities and equipment; hire of passenger motor 25 11 \n•HR 3326 EHvehicles; travel and transportation; care of the dead; re-1\ncruiting; procurement of services, supplies, and equip-2\nment; and communications, $3,079,228,000. 3\nOPERATION AND MAINTENANCE , ARMY NATIONAL 4\nGUARD 5\nFor expenses of training, organizing, and admin- 6\nistering the Army National Guard, including medical and 7\nhospital treatment and related expenses in non-Federal 8\nhospitals; maintenance, operation, and repairs to struc-9\ntures and facilities; hire of passenger motor vehicles; per-10\nsonnel services in the National Guard Bureau; travel ex-11\npenses (other than mileage), as authorized by law for 12\nArmy personnel on active duty, for Army National Guard 13\ndivision, regimental, and battalion commanders while in-14\nspecting units in compliance with National Guard Bureau 15\nregulations when specifically authorized by the Chief, Na-16\ntional Guard Bureau; supplying and equipping the Army 17\nNational Guard as authorized by law; and expenses of re-18\npair, modification, maintenance, and issue of supplies and 19\nequipment (including aircraft), $6,353,627,000. 20\nOPERATION AND MAINTENANCE , AIRNATIONAL GUARD 21\nFor expenses of training, organizing, and admin- 22\nistering the Air National Guard, including medical and 23\nhospital treatment and related expenses in non-Federal 24\nhospitals; maintenance, operation, and repairs to struc-25 12 \n•HR 3326 EHtures and facilities; transportation of things, hire of pas-1\nsenger motor vehicles; supplying and equipping the Air 2\nNational Guard, as authorized by law; expenses for repair, 3\nmodification, maintenance, and issue of supplies and 4\nequipment, including those furnished from stocks under 5\nthe control of agencies of the Department of Defense; 6\ntravel expenses (other than mileage) on the same basis as 7\nauthorized by law for Air National Guard personnel on 8\nactive Federal duty, for Air National Guard commanders 9\nwhile inspecting units in compliance with National Guard 10\nBureau regulations when specifically authorized by the 11\nChief, National Guard Bureau, $5,888,741,000. 12\nUNITED STATES COURT OF APPEALS FOR THE ARMED 13\nFORCES 14\nFor salaries and expenses necessary for the United 15\nStates Court of Appeals for the Armed Forces, 16\n$13,932,000, of which not to exceed $5,000 may be used 17\nfor official representation purposes. 18\nENVIRONMENTAL RESTORATION , ARMY 19\n(INCLUDING TRANSFER OF FUNDS) 20\nFor the Department of the Army, $415,864,000, to 21\nremain available until transferred: Provided , That the Sec- 22\nretary of the Army shall, upon determining that such 23\nfunds are required for environmental restoration, reduc-24\ntion and recycling of hazardous waste, removal of unsafe 25 13 \n•HR 3326 EHbuildings and debris of the Department of the Army, or 1\nfor similar purposes, transfer the funds made available by 2\nthis appropriation to other appropriations made available 3\nto the Department of the Army, to be merged with and 4\nto be available for the same purposes and for the same 5\ntime period as the appropriations to which transferred: 6\nProvided further , That upon a determination that all or 7\npart of the funds transferred from this appropriation are 8\nnot necessary for the purposes provided herein, such 9\namounts may be transferred back to this appropriation: 10\nProvided further , That the transfer authority provided 11\nunder this heading is in addition to any other transfer au-12\nthority provided elsewhere in this Act. 13\nENVIRONMENTAL RESTORATION , NAVY 14\n(INCLUDING TRANSFER OF FUNDS) 15\nFor the Department of the Navy, $285,869,000, to 16\nremain available until transferred: Provided , That the Sec- 17\nretary of the Navy shall, upon determining that such 18\nfunds are required for environmental restoration, reduc-19\ntion and recycling of hazardous waste, removal of unsafe 20\nbuildings and debris of the Department of the Navy, or 21\nfor similar purposes, transfer the funds made available by 22\nthis appropriation to other appropriations made available 23\nto the Department of the Navy, to be merged with and 24\nto be available for the same purposes and for the same 25 14 \n•HR 3326 EHtime period as the appropriations to which transferred: 1\nProvided further , That upon a determination that all or 2\npart of the funds transferred from this appropriation are 3\nnot necessary for the purposes provided herein, such 4\namounts may be transferred back to this appropriation: 5\nProvided further , That the transfer authority provided 6\nunder this heading is in addition to any other transfer au-7\nthority provided elsewhere in this Act. 8\nENVIRONMENTAL RESTORATION , AIRFORCE 9\n(INCLUDING TRANSFER OF FUNDS) 10\nFor the Department of the Air Force, $494,276,000, 11\nto remain available until transferred: Provided , That the 12\nSecretary of the Air Force shall, upon determining that 13\nsuch funds are required for environmental restoration, re-14\nduction and recycling of hazardous waste, removal of un-15\nsafe buildings and debris of the Department of the Air 16\nForce, or for similar purposes, transfer the funds made 17\navailable by this appropriation to other appropriations 18\nmade available to the Department of the Air Force, to be 19\nmerged with and to be available for the same purposes 20\nand for the same time period as the appropriations to 21\nwhich transferred: Provided further , That upon a deter- 22\nmination that all or part of the funds transferred from 23\nthis appropriation are not necessary for the purposes pro-24\nvided herein, such amounts may be transferred back to 25 15 \n•HR 3326 EHthis appropriation: Provided further , That the transfer au- 1\nthority provided under this heading is in addition to any 2\nother transfer authority provided elsewhere in this Act. 3\nENVIRONMENTAL RESTORATION , DEFENSE -WIDE 4\n(INCLUDING TRANSFER OF FUNDS) 5\nFor the Department of Defense, $11,100,000, to re- 6\nmain available until transferred: Provided , That the Sec- 7\nretary of Defense shall, upon determining that such funds 8\nare required for environmental restoration, reduction and 9\nrecycling of hazardous waste, removal of unsafe buildings 10\nand debris of the Department of Defense, or for similar 11\npurposes, transfer the funds made available by this appro-12\npriation to other appropriations made available to the De-13\npartment of Defense, to be merged with and to be avail-14\nable for the same purposes and for the same time period 15\nas the appropriations to which transferred: Provided fur- 16\nther, That upon a determination that all or part of the 17\nfunds transferred from this appropriation are not nec-18\nessary for the purposes provided herein, such amounts 19\nmay be transferred back to this appropriation: Provided 20\nfurther , That the transfer authority provided under this 21\nheading is in addition to any other transfer authority pro-22\nvided elsewhere in this Act. 23 16 \n•HR 3326 EHENVIRONMENTAL RESTORATION , FORMERLY USED 1\nDEFENSE SITES 2\n(INCLUDING TRANSFER OF FUNDS) 3\nFor the Department of the Army, $277,700,000, to 4\nremain available until transferred: Provided , That the Sec- 5\nretary of the Army shall, upon determining that such 6\nfunds are required for environmental restoration, reduc-7\ntion and recycling of hazardous waste, removal of unsafe 8\nbuildings and debris at sites formerly used by the Depart-9\nment of Defense, transfer the funds made available by this 10\nappropriation to other appropriations made available to 11\nthe Department of the Army, to be merged with and to 12\nbe available for the same purposes and for the same time 13\nperiod as the appropriations to which transferred: Pro- 14\nvided further , That upon a determination that all or part 15\nof the funds transferred from this appropriation are not 16\nnecessary for the purposes provided herein, such amounts 17\nmay be transferred back to this appropriation: Provided 18\nfurther , That the transfer authority provided under this 19\nheading is in addition to any other transfer authority pro-20\nvided elsewhere in this Act. 21\nOVERSEAS HUMANITARIAN , DISASTER , AND CIVIC AID 22\nFor expenses relating to the Overseas Humanitarian, 23\nDisaster, and Civic Aid programs of the Department of 24\nDefense (consisting of the programs provided under sec-25 17 \n•HR 3326 EHtions 401, 402, 404, 407, 2557, and 2561 of title 10, 1\nUnited States Code), $109,869,000, to remain available 2\nuntil September 30, 2011. 3\nCOOPERATIVE THREAT REDUCTION ACCOUNT 4\nFor assistance to the republics of the former Soviet 5\nUnion, including assistance provided by contract or by 6\ngrants, for facilitating the elimination and the safe and 7\nsecure transportation and storage of nuclear, chemical and 8\nother weapons; for establishing programs to prevent the 9\nproliferation of weapons, weapons components, and weap-10\non-related technology and expertise; for programs relating 11\nto the training and support of defense and military per-12\nsonnel for demilitarization and protection of weapons, 13\nweapons components and weapons technology and exper-14\ntise, and for defense and military contacts, $404,093,000, 15\nto remain available until September 30, 2012. 16\nDEPARTMENT OF DEFENSE ACQUISITION WORKFORCE 17\nDEVELOPMENT FUND 18\nFor the Department of Defense Acquisition Work- 19\nforce Development Fund, $100,000,000. 20\nTITLE III 21\nPROCUREMENT 22\nAIRCRAFT PROCUREMENT , ARMY 23\nFor construction, procurement, production, modifica- 24\ntion, and modernization of aircraft, equipment, including 25 18 \n•HR 3326 EHordnance, ground handling equipment, spare parts, and 1\naccessories therefor; specialized equipment and training 2\ndevices; expansion of public and private plants, including 3\nthe land necessary therefor, for the foregoing purposes, 4\nand such lands and interests therein, may be acquired, 5\nand construction prosecuted thereon prior to approval of 6\ntitle; and procurement and installation of equipment, ap-7\npliances, and machine tools in public and private plants; 8\nreserve plant and Government and contractor-owned 9\nequipment layaway; and other expenses necessary for the 10\nforegoing purposes, $5,144,991,000, to remain available 11\nfor obligation until September 30, 2012. 12\nMISSILE PROCUREMENT , ARMY 13\nFor construction, procurement, production, modifica- 14\ntion, and modernization of missiles, equipment, including 15\nordnance, ground handling equipment, spare parts, and 16\naccessories therefor; specialized equipment and training 17\ndevices; expansion of public and private plants, including 18\nthe land necessary therefor, for the foregoing purposes, 19\nand such lands and interests therein, may be acquired, 20\nand construction prosecuted thereon prior to approval of 21\ntitle; and procurement and installation of equipment, ap-22\npliances, and machine tools in public and private plants; 23\nreserve plant and Government and contractor-owned 24\nequipment layaway; and other expenses necessary for the 25 19 \n•HR 3326 EHforegoing purposes, $1,358,609,000, to remain available 1\nfor obligation until September 30, 2012. 2\nPROCUREMENT OF WEAPONS AND TRACKED COMBAT 3\nVEHICLES , ARMY 4\nFor construction, procurement, production, and 5\nmodification of weapons and tracked combat vehicles, 6\nequipment, including ordnance, spare parts, and acces-7\nsories therefor; specialized equipment and training devices; 8\nexpansion of public and private plants, including the land 9\nnecessary therefor, for the foregoing purposes, and such 10\nlands and interests therein, may be acquired, and con-11\nstruction prosecuted thereon prior to approval of title; and 12\nprocurement and installation of equipment, appliances, 13\nand machine tools in public and private plants; reserve 14\nplant and Government and contractor-owned equipment 15\nlayaway; and other expenses necessary for the foregoing 16\npurposes, $2,681,952,000, to remain available for obliga-17\ntion until September 30, 2012. 18\nPROCUREMENT OF AMMUNITION , ARMY 19\nFor construction, procurement, production, and 20\nmodification of ammunition, and accessories therefor; spe-21\ncialized equipment and training devices; expansion of pub-22\nlic and private plants, including ammunition facilities, au-23\nthorized by section 2854 of title 10, United States Code, 24\nand the land necessary therefor, for the foregoing pur-25 20 \n•HR 3326 EHposes, and such lands and interests therein, may be ac-1\nquired, and construction prosecuted thereon prior to ap-2\nproval of title; and procurement and installation of equip-3\nment, appliances, and machine tools in public and private 4\nplants; reserve plant and Government and contractor- 5\nowned equipment layaway; and other expenses necessary 6\nfor the foregoing purposes, $2,053,395,000, to remain 7\navailable for obligation until September 30, 2012. 8\nOTHER PROCUREMENT , ARMY 9\nFor construction, procurement, production, and 10\nmodification of vehicles, including tactical, support, and 11\nnon-tracked combat vehicles; the purchase of passenger 12\nmotor vehicles for replacement only; communications and 13\nelectronic equipment; other support equipment; spare 14\nparts, ordnance, and accessories therefor; specialized 15\nequipment and training devices; expansion of public and 16\nprivate plants, including the land necessary therefor, for 17\nthe foregoing purposes, and such lands and interests 18\ntherein, may be acquired, and construction prosecuted 19\nthereon prior to approval of title; and procurement and 20\ninstallation of equipment, appliances, and machine tools 21\nin public and private plants; reserve plant and Govern-22\nment and contractor-owned equipment layaway; and other 23\nexpenses necessary for the foregoing purposes, 24 21 \n•HR 3326 EH$9,293,801,000, to remain available for obligation until 1\nSeptember 30, 2012. 2\nAIRCRAFT PROCUREMENT , NAVY 3\nFor construction, procurement, production, modifica- 4\ntion, and modernization of aircraft, equipment, including 5\nordnance, spare parts, and accessories therefor; specialized 6\nequipment; expansion of public and private plants, includ-7\ning the land necessary therefor, and such lands and inter-8\nests therein, may be acquired, and construction prosecuted 9\nthereon prior to approval of title; and procurement and 10\ninstallation of equipment, appliances, and machine tools 11\nin public and private plants; reserve plant and Govern-12\nment and contractor-owned equipment layaway, 13\n$18,325,481,000, to remain available for obligation until 14\nSeptember 30, 2012. 15\nWEAPONS PROCUREMENT , NAVY 16\nFor construction, procurement, production, modifica- 17\ntion, and modernization of missiles, torpedoes, other weap-18\nons, and related support equipment including spare parts, 19\nand accessories therefor; expansion of public and private 20\nplants, including the land necessary therefor, and such 21\nlands and interests therein, may be acquired, and con-22\nstruction prosecuted thereon prior to approval of title; and 23\nprocurement and installation of equipment, appliances, 24\nand machine tools in public and private plants; reserve 25 22 \n•HR 3326 EHplant and Government and contractor-owned equipment 1\nlayaway, $3,226,403,000, to remain available for obliga-2\ntion until September 30, 2012. 3\nPROCUREMENT OF AMMUNITION , NAVY AND MARINE 4\nCORPS 5\nFor construction, procurement, production, and 6\nmodification of ammunition, and accessories therefor; spe-7\ncialized equipment and training devices; expansion of pub-8\nlic and private plants, including ammunition facilities, au-9\nthorized by section 2854 of title 10, United States Code, 10\nand the land necessary therefor, for the foregoing pur-11\nposes, and such lands and interests therein, may be ac-12\nquired, and construction prosecuted thereon prior to ap-13\nproval of title; and procurement and installation of equip-14\nment, appliances, and machine tools in public and private 15\nplants; reserve plant and Government and contractor- 16\nowned equipment layaway; and other expenses necessary 17\nfor the foregoing purposes, $794,886,000, to remain avail-18\nable for obligation until September 30, 2012. 19\nSHIPBUILDING AND CONVERSION , NAVY 20\nFor expenses necessary for the construction, acquisi- 21\ntion, or conversion of vessels as authorized by law, includ-22\ning armor and armament thereof, plant equipment, appli-23\nances, and machine tools and installation thereof in public 24\nand private plants; reserve plant and Government and con-25 23 \n•HR 3326 EHtractor-owned equipment layaway; procurement of critical, 1\nlong lead time components and designs for vessels to be 2\nconstructed or converted in the future; and expansion of 3\npublic and private plants, including land necessary there-4\nfor, and such lands and interests therein, may be acquired, 5\nand construction prosecuted thereon prior to approval of 6\ntitle, as follows: 7\nCarrier Replacement Program, $739,269,000. 8\nCarrier Replacement Program (AP), 9\n$484,432,000. 10\nNSSN, $1,964,317,000. 11\nNSSN (AP), $1,959,725,000. 12\nCVN Refueling, $1,563,602,000. 13\nCVN Refuelings (AP), $211,820,000. 14\nDD(X), $1,073,161,000. 15\nDDG–51 Destroyer, $1,912,267,000. 16\nDDG–51 Destroyer (AP), $328,996,000. 17\nLittoral Combat Ship, $2,160,000,000. 18\nLPD–17, $872,392,000. 19\nLPD–17 (AP), $184,555,000. 20\nIntratheater Connector, $357,956,000. 21\nLCAC Service Life Extension Program, 22\n$63,857,000. 23\nPrior year shipbuilding costs, $454,586,000. 24\nService Craft, $3,694,000. 25 24 \n•HR 3326 EHFor outfitting, post delivery, conversions, and 1\nfirst destination transportation, $386,903,000. 2\nIn all: $14,721,532,000, to remain available for obli- 3\ngation until September 30, 2014: Provided , That addi- 4\ntional obligations may be incurred after September 30, 5\n2014, for engineering services, tests, evaluations, and 6\nother such budgeted work that must be performed in the 7\nfinal stage of ship construction: Provided further , That 8\nnone of the funds provided under this heading for the con-9\nstruction or conversion of any naval vessel to be con-10\nstructed in shipyards in the United States shall be ex-11\npended in foreign facilities for the construction of major 12\ncomponents of such vessel: Provided further , That none 13\nof the funds provided under this heading shall be used 14\nfor the construction of any naval vessel in foreign ship-15\nyards. 16\nOTHER PROCUREMENT , NAVY 17\nFor procurement, production, and modernization of 18\nsupport equipment and materials not otherwise provided 19\nfor, Navy ordnance (except ordnance for new aircraft, new 20\nships, and ships authorized for conversion); the purchase 21\nof passenger motor vehicles for replacement only; expan-22\nsion of public and private plants, including the land nec-23\nessary therefor, and such lands and interests therein, may 24\nbe acquired, and construction prosecuted thereon prior to 25 25 \n•HR 3326 EHapproval of title; and procurement and installation of 1\nequipment, appliances, and machine tools in public and 2\nprivate plants; reserve plant and Government and con-3\ntractor-owned equipment layaway, $5,395,081,000, to re-4\nmain available for obligation until September 30, 2012. 5\nPROCUREMENT , MARINE CORPS 6\nFor expenses necessary for the procurement, manu- 7\nfacture, and modification of missiles, armament, military 8\nequipment, spare parts, and accessories therefor; plant 9\nequipment, appliances, and machine tools, and installation 10\nthereof in public and private plants; reserve plant and 11\nGovernment and contractor-owned equipment layaway; ve-12\nhicles for the Marine Corps, including the purchase of pas-13\nsenger motor vehicles for replacement only; and expansion 14\nof public and private plants, including land necessary 15\ntherefor, and such lands and interests therein, may be ac-16\nquired, and construction prosecuted thereon prior to ap-17\nproval of title, $1,563,743,000, to remain available for ob-18\nligation until September 30, 2012. 19\nAIRCRAFT PROCUREMENT , AIRFORCE 20\nFor construction, procurement, and modification of 21\naircraft and equipment, including armor and armament, 22\nspecialized ground handling equipment, and training de-23\nvices, spare parts, and accessories therefor; specialized 24\nequipment; expansion of public and private plants, Gov-25 26 \n•HR 3326 EHernment-owned equipment and installation thereof in such 1\nplants, erection of structures, and acquisition of land, for 2\nthe foregoing purposes, and such lands and interests 3\ntherein, may be acquired, and construction prosecuted 4\nthereon prior to approval of title; reserve plant and Gov-5\nernment and contractor-owned equipment layaway; and 6\nother expenses necessary for the foregoing purposes in-7\ncluding rents and transportation of things, 8\n$11,956,182,000, to remain available for obligation until 9\nSeptember 30, 2012; Provided , That no funds provided 10\nin this Act for the procurement or modernization of C– 11\n17 aircraft may be obligated until all C–17 contracts fund-12\ned with prior year ‘‘Aircraft Procurement, Air Force’’ ap-13\npropriated funds are definitized. 14\nMISSILE PROCUREMENT , AIRFORCE 15\nFor construction, procurement, and modification of 16\nmissiles, spacecraft, rockets, and related equipment, in-17\ncluding spare parts and accessories therefor, ground han-18\ndling equipment, and training devices; expansion of public 19\nand private plants, Government-owned equipment and in-20\nstallation thereof in such plants, erection of structures, 21\nand acquisition of land, for the foregoing purposes, and 22\nsuch lands and interests therein, may be acquired, and 23\nconstruction prosecuted thereon prior to approval of title; 24\nreserve plant and Government and contractor-owned 25 27 \n•HR 3326 EHequipment layaway; and other expenses necessary for the 1\nforegoing purposes including rents and transportation of 2\nthings, $6,508,359,000, to remain available for obligation 3\nuntil September 30, 2012. 4\nPROCUREMENT OF AMMUNITION , AIRFORCE 5\nFor construction, procurement, production, and 6\nmodification of ammunition, and accessories therefor; spe-7\ncialized equipment and training devices; expansion of pub-8\nlic and private plants, including ammunition facilities, au-9\nthorized by section 2854 of title 10, United States Code, 10\nand the land necessary therefor, for the foregoing pur-11\nposes, and such lands and interests therein, may be ac-12\nquired, and construction prosecuted thereon prior to ap-13\nproval of title; and procurement and installation of equip-14\nment, appliances, and machine tools in public and private 15\nplants; reserve plant and Government and contractor- 16\nowned equipment layaway; and other expenses necessary 17\nfor the foregoing purposes, $809,941,000, to remain avail-18\nable for obligation until September 30, 2012. 19\nOTHER PROCUREMENT , AIRFORCE 20\nFor procurement and modification of equipment (in- 21\ncluding ground guidance and electronic control equipment, 22\nand ground electronic and communication equipment), 23\nand supplies, materials, and spare parts therefor, not oth-24\nerwise provided for; the purchase of passenger motor vehi-25 28 \n•HR 3326 EHcles for replacement only; lease of passenger motor vehi-1\ncles; and expansion of public and private plants, Govern-2\nment-owned equipment and installation thereof in such 3\nplants, erection of structures, and acquisition of land, for 4\nthe foregoing purposes, and such lands and interests 5\ntherein, may be acquired, and construction prosecuted 6\nthereon, prior to approval of title; reserve plant and Gov-7\nernment and contractor-owned equipment layaway, 8\n$16,883,791,000, to remain available for obligation until 9\nSeptember 30, 2012. 10\nPROCUREMENT , DEFENSE -WIDE 11\nFor expenses of activities and agencies of the Depart- 12\nment of Defense (other than the military departments) 13\nnecessary for procurement, production, and modification 14\nof equipment, supplies, materials, and spare parts there-15\nfor, not otherwise provided for; the purchase of passenger 16\nmotor vehicles for replacement only; expansion of public 17\nand private plants, equipment, and installation thereof in 18\nsuch plants, erection of structures, and acquisition of land 19\nfor the foregoing purposes, and such lands and interests 20\ntherein, may be acquired, and construction prosecuted 21\nthereon prior to approval of title; reserve plant and Gov-22\nernment and contractor-owned equipment layaway, 23\n$4,036,816,000, to remain available for obligation until 24\nSeptember 30, 2012. 25 29 \n•HR 3326 EHDEFENSE PRODUCTION ACTPURCHASES 1\nFor activities by the Department of Defense pursuant 2\nto sections 108, 301, 302, and 303 of the Defense Produc-3\ntion Act of 1950 (50 U.S.C. App. 2078, 2091, 2092, and 4\n2093), $82,846,000, to remain available until expended. 5\nTITLE IV 6\nRESEARCH, DEVELOPMENT, TEST AND 7\nEVALUATION 8\nRESEARCH , DEVELOPMENT , TEST AND EVALUATION , 9\nARMY 10\nFor expenses necessary for basic and applied sci- 11\nentific research, development, test and evaluation, includ-12\ning maintenance, rehabilitation, lease, and operation of fa-13\ncilities and equipment, $11,151,884,000, to remain avail-14\nable for obligation until September 30, 2011. 15\nRESEARCH , DEVELOPMENT , TEST AND EVALUATION , 16\nNAVY 17\nFor expenses necessary for basic and applied sci- 18\nentific research, development, test and evaluation, includ-19\ning maintenance, rehabilitation, lease, and operation of fa-20\ncilities and equipment, $20,197,300,000, to remain avail-21\nable for obligation until September 30, 2011: Provided , 22\nThat funds appropriated in this paragraph which are 23\navailable for the V–22 may be used to meet unique oper-24\national requirements of the Special Operations Forces: 25 30 \n•HR 3326 EHProvided further , That funds appropriated in this para- 1\ngraph shall be available for the Cobra Judy program. 2\nRESEARCH , DEVELOPMENT , TEST AND EVALUATION , 3\nAIRFORCE 4\nFor expenses necessary for basic and applied sci- 5\nentific research, development, test and evaluation, includ-6\ning maintenance, rehabilitation, lease, and operation of fa-7\ncilities and equipment, $27,976,278,000, to remain avail-8\nable for obligation until September 30, 2011. 9\nRESEARCH , DEVELOPMENT , TEST AND EVALUATION , 10\nDEFENSE -WIDE 11\nFor expenses of activities and agencies of the Depart- 12\nment of Defense (other than the military departments), 13\nnecessary for basic and applied scientific research, devel-14\nopment, test and evaluation; advanced research projects 15\nas may be designated and determined by the Secretary 16\nof Defense, pursuant to law; maintenance, rehabilitation, 17\nlease, and operation of facilities and equipment, 18\n$20,721,723,000, to remain available for obligation until 19\nSeptember 30, 2011: Provided , That, notwithstanding any 20\nother provision of law, of the funds made available under 21\nthis heading for missile defense programs, not less than 22\n$80,000,000 shall be available for the Kinetic Energy In-23\nterceptor Program. 24 31 \n•HR 3326 EHOPERATIONAL TEST AND EVALUATION , DEFENSE 1\nFor expenses, not otherwise provided for, necessary 2\nfor the independent activities of the Director, Operational 3\nTest and Evaluation, in the direction and supervision of 4\noperational test and evaluation, including initial oper-5\national test and evaluation which is conducted prior to, 6\nand in support of, production decisions; joint operational 7\ntesting and evaluation; and administrative expenses in 8\nconnection therewith, $190,770,000, to remain available 9\nfor obligation until September 30, 2011. 10\nTITLE V 11\nREVOLVING AND MANAGEMENT FUNDS 12\nDEFENSE WORKING CAPITAL FUNDS 13\nFor the Defense Working Capital Funds, 14\n$1,455,004,000. 15\nNATIONAL DEFENSE SEALIFT FUND 16\nFor National Defense Sealift Fund programs, 17\nprojects, and activities, and for expenses of the National 18\nDefense Reserve Fleet, as established by section 11 of the 19\nMerchant Ship Sales Act of 1946 (50 U.S.C. App. 1744), 20\nand for the necessary expenses to maintain and preserve 21\na U.S.-flag merchant fleet to serve the national security 22\nneeds of the United States, $1,692,758,000, to remain 23\navailable until expended: Provided , That none of the funds 24\nprovided in this paragraph shall be used to award a new 25 32 \n•HR 3326 EHcontract that provides for the acquisition of any of the 1\nfollowing major components unless such components are 2\nmanufactured in the United States: auxiliary equipment, 3\nincluding pumps, for all shipboard services; propulsion 4\nsystem components (engines, reduction gears, and propel-5\nlers); shipboard cranes; and spreaders for shipboard 6\ncranes: Provided further , That the exercise of an option 7\nin a contract awarded through the obligation of previously 8\nappropriated funds shall not be considered to be the award 9\nof a new contract: Provided further , That the Secretary 10\nof the military department responsible for such procure-11\nment may waive the restrictions in the first proviso on 12\na case-by-case basis by certifying in writing to the Com-13\nmittees on Appropriations of the House of Representatives 14\nand the Senate that adequate domestic supplies are not 15\navailable to meet Department of Defense requirements on 16\na timely basis and that such an acquisition must be made 17\nin order to acquire capability for national security pur-18\nposes. 19\nTITLE VI 20\nOTHER DEPARTMENT OF DEFENSE PROGRAMS 21\nDEFENSE HEALTH PROGRAM 22\n(INCLUDING TRANSFER OF FUNDS) 23\nFor expenses, not otherwise provided for, for medical 24\nand health care programs of the Department of Defense 25 33 \n•HR 3326 EHas authorized by law, $29,891,109,000; of which 1\n$28,257,565,000 shall be for operation and maintenance, 2\nof which not to exceed 2 percent shall remain available 3\nuntil September 30, 2011, and of which up to 4\n$15,537,688,000 may be available for contracts entered 5\ninto under the TRICARE program; of which 6\n$384,142,000, to remain available for obligation until Sep-7\ntember 30, 2012, shall be for procurement; and of which 8\n$1,249,402,000, to remain available for obligation until 9\nSeptember 30, 2011, shall be for research, development, 10\ntest and evaluation: Provided , That, notwithstanding any 11\nother provision of law, of the amount made available under 12\nthis heading for research, development, test and evalua-13\ntion, not less than $10,000,000 shall be available for HIV 14\nprevention educational activities undertaken in connection 15\nwith United States military training, exercises, and hu-16\nmanitarian assistance activities conducted primarily in Af-17\nrican nations. 18\nCHEMICAL AGENTS AND MUNITIONS DESTRUCTION , 19\nDEFENSE 20\nFor expenses, not otherwise provided for, necessary 21\nfor the destruction of the United States stockpile of lethal 22\nchemical agents and munitions, to include construction of 23\nfacilities, in accordance with the provisions of section 1412 24\nof the Department of Defense Authorization Act, 1986 25 34 \n•HR 3326 EH(50 U.S.C. 1521), and for the destruction of other chem-1\nical warfare materials that are not in the chemical weapon 2\nstockpile, $1,510,760,000, of which $1,146,802,000 shall 3\nbe for operation and maintenance, of which no less than 4\n$84,839,000, shall be for the Chemical Stockpile Emer-5\ngency Preparedness Program, consisting of $34,905,000 6\nfor activities on military installations and $49,934,000, to 7\nremain available until September 30, 2011, to assist State 8\nand local governments; $12,689,000 shall be for procure-9\nment, to remain available until September 30, 2012, of 10\nwhich no less than $12,689,000 shall be for the Chemical 11\nStockpile Emergency Preparedness Program to assist 12\nState and local governments; and $351,269,000, to re-13\nmain available until September 30, 2011, shall be for re-14\nsearch, development, test and evaluation, of which 15\n$348,669,000 shall only be for the Assembled Chemical 16\nWeapons Alternatives (ACWA) program. 17\nDRUG INTERDICTION AND COUNTER -DRUG ACTIVITIES , 18\nDEFENSE 19\n(INCLUDING TRANSFER OF FUNDS) 20\nFor drug interdiction and counter-drug activities of 21\nthe Department of Defense, for transfer to appropriations 22\navailable to the Department of Defense for military per-23\nsonnel of the reserve components serving under the provi-24\nsions of title 10 and title 32, United States Code; for oper-25 35 \n•HR 3326 EHation and maintenance; for procurement; and for research, 1\ndevelopment, test and evaluation, $1,237,684,000: Pro- 2\nvided , That the funds appropriated under this heading 3\nshall be available for obligation for the same time period 4\nand for the same purpose as the appropriation to which 5\ntransferred: Provided further , That upon a determination 6\nthat all or part of the funds transferred from this appro-7\npriation are not necessary for the purposes provided here-8\nin, such amounts may be transferred back to this appro-9\npriation: Provided further , That the transfer authority pro- 10\nvided under this heading is in addition to any other trans-11\nfer authority contained elsewhere in this Act. 12\nJOINT IMPROVISED EXPLOSIVE DEVICE DEFEAT FUND 13\n(INCLUDING TRANSFER OF FUNDS) 14\nFor the ‘‘Joint Improvised Explosive Device Defeat 15\nFund’’, $364,550,000, of which $183,000,000 shall be for 16\nAttack the Network, to remain available until September 17\n30, 2011; $25,000,000 shall be for Defeat the Device, to 18\nremain available until September 30, 2012; $35,000,000 19\nshall be for Train the Force, to remain available until Sep-20\ntember 30, 2010; $121,550,000 shall be for Staff and In-21\nfrastructure, to remain available until September 30, 22\n2010: Provided , That such funds shall be available to the 23\nSecretary of Defense, notwithstanding any other provision 24\nof law, for the purpose of allowing the Director of the 25 36 \n•HR 3326 EHJoint Improvised Explosive Device Defeat Organization to 1\ninvestigate, develop and provide equipment, supplies, serv-2\nices, training, facilities, personnel and funds to assist 3\nUnited States forces in the defeat of improvised explosive 4\ndevices: Provided further , That within 60 days of the en- 5\nactment of this Act, a plan for the intended management 6\nand use of the amounts provided under this heading shall 7\nbe submitted to the congressional defense committees: 8\nProvided further , That the Secretary of Defense shall sub- 9\nmit a report not later than 60 days after the end of each 10\nfiscal quarter to the congressional defense committees pro-11\nviding assessments of the evolving threats, individual serv-12\nice requirements to counter the threats, the current strat-13\negy for predeployment training of members of the Armed 14\nForces on improvised explosive devices, and details on the 15\nexecution of the Fund: Provided further , That the Sec- 16\nretary of Defense may transfer funds provided herein to 17\nappropriations for operation and maintenance; procure-18\nment; research, development, test and evaluation; and de-19\nfense working capital funds to accomplish the purpose pro-20\nvided herein: Provided further , That this transfer author- 21\nity is in addition to any other transfer authority available 22\nto the Department of Defense: Provided further , That the 23\nSecretary of Defense shall, not fewer than 15 days prior 24\nto making transfers from this appropriation, notify the 25 37 \n•HR 3326 EHcongressional defense committees in writing of the details 1\nof any such transfer. 2\nOFFICE OF THE INSPECTOR GENERAL 3\nFor expenses and activities of the Office of the In- 4\nspector General in carrying out the provisions of the In-5\nspector General Act of 1978, as amended, $288,100,000, 6\nof which $287,100,000 shall be for operation and mainte-7\nnance, of which not to exceed $700,000 is available for 8\nemergencies and extraordinary expenses to be expended on 9\nthe approval or authority of the Inspector General, and 10\npayments may be made on the Inspector General’s certifi-11\ncate of necessity for confidential military purposes; and 12\nof which $1,000,000, to remain available until September 13\n30, 2012, shall be for procurement. 14\nTITLE VII 15\nRELATED AGENCIES 16\nCENTRAL INTELLIGENCE AGENCY RETIREMENT AND 17\nDISABILITY SYSTEM FUND 18\nFor payment to the Central Intelligence Agency Re- 19\ntirement and Disability System Fund, to maintain the 20\nproper funding level for continuing the operation of the 21\nCentral Intelligence Agency Retirement and Disability 22\nSystem, $290,900,000. 23 38 \n•HR 3326 EHINTELLIGENCE COMMUNITY MANAGEMENT ACCOUNT 1\nFor necessary expenses of the Intelligence Commu- 2\nnity Management Account, $611,002,000. 3\nTITLE VIII 4\nGENERAL PROVISIONS 5\nSEC. 8001. No part of any appropriation contained 6\nin this Act shall be used for publicity or propaganda pur-7\nposes not authorized by the Congress. 8\nSEC. 8002. During the current fiscal year, provisions 9\nof law prohibiting the payment of compensation to, or em-10\nployment of, any person not a citizen of the United States 11\nshall not apply to personnel of the Department of Defense: 12\nProvided , That salary increases granted to direct and indi- 13\nrect hire foreign national employees of the Department of 14\nDefense funded by this Act shall not be at a rate in excess 15\nof the percentage increase authorized by law for civilian 16\nemployees of the Department of Defense whose pay is 17\ncomputed under the provisions of section 5332 of title 5, 18\nUnited States Code, or at a rate in excess of the percent-19\nage increase provided by the appropriate host nation to 20\nits own employees, whichever is higher: Provided further , 21\nThat this section shall not apply to Department of De-22\nfense foreign service national employees serving at United 23\nStates diplomatic missions whose pay is set by the Depart-24\nment of State under the Foreign Service Act of 1980: Pro- 25 39 \n•HR 3326 EHvided further , That the limitations of this provision shall 1\nnot apply to foreign national employees of the Department 2\nof Defense in the Republic of Turkey. 3\nSEC. 8003. No part of any appropriation contained 4\nin this Act shall remain available for obligation beyond 5\nthe current fiscal year, unless expressly so provided herein. 6\nSEC. 8004. No more than 20 percent of the appro- 7\npriations in this Act which are limited for obligation dur-8\ning the current fiscal year shall be obligated during the 9\nlast 2 months of the fiscal year: Provided , That this sec- 10\ntion shall not apply to obligations for support of active 11\nduty training of reserve components or summer camp 12\ntraining of the Reserve Officers’ Training Corps. 13\n(TRANSFER OF FUNDS) 14\nSEC. 8005. Upon determination by the Secretary of 15\nDefense that such action is necessary in the national inter-16\nest, he may, with the approval of the Office of Manage-17\nment and Budget, transfer not to exceed $4,000,000,000 18\nof working capital funds of the Department of Defense 19\nor funds made available in this Act to the Department 20\nof Defense for military functions (except military con-21\nstruction) between such appropriations or funds or any 22\nsubdivision thereof, to be merged with and to be available 23\nfor the same purposes, and for the same time period, as 24\nthe appropriation or fund to which transferred: Provided , 25 40 \n•HR 3326 EHThat such authority to transfer may not be used unless 1\nfor higher priority items, based on unforeseen military re-2\nquirements, than those for which originally appropriated 3\nand in no case where the item for which funds are re-4\nquested has been denied by the Congress: Provided further , 5\nThat the Secretary of Defense shall notify the Congress 6\npromptly of all transfers made pursuant to this authority 7\nor any other authority in this Act: Provided further , That 8\nno part of the funds in this Act shall be available to pre-9\npare or present a request to the Committees on Appropria-10\ntions for reprogramming of funds, unless for higher pri-11\nority items, based on unforeseen military requirements, 12\nthan those for which originally appropriated and in no 13\ncase where the item for which reprogramming is requested 14\nhas been denied by the Congress: Provided further , That 15\na request for multiple reprogrammings of funds using au-16\nthority provided in this section shall be made prior to June 17\n30, 2010: Provided further , That transfers among military 18\npersonnel appropriations shall not be taken into account 19\nfor purposes of the limitation on the amount of funds that 20\nmay be transferred under this section: Provided further , 21\nThat no obligation of funds may be made pursuant to sec-22\ntion 1206 of Public Law 109–163 (or any successor provi-23\nsion) unless the Secretary of Defense has notified the con-24\ngressional defense committees prior to any such obligation. 25 41 \n•HR 3326 EHSEC. 8006. (a) With regard to the list of specific pro- 1\ngrams, projects, and activities (and the dollar amounts 2\nand adjustments to budget activities corresponding to 3\nsuch programs, projects, and activities) contained in the 4\ntables titled ‘‘Explanation of Project Level Adjustments’’ 5\nin the report of the Committee on Appropriations of the 6\nHouse of Representatives accompanying this Act, the obli-7\ngation and expenditure of amounts appropriated or other-8\nwise made available in this Act for those programs, 9\nprojects, and activities for which the amounts appro-10\npriated exceed the amounts requested are hereby required 11\nby law to be carried out in the manner provided by such 12\ntables to the same extent as if the tables were included 13\nin the text of this Act. 14\n(b) Amounts specified in the referenced tables de- 15\nscribed in subsection (a) shall not be treated as subdivi-16\nsions of appropriations for purposes of section 8005 of this 17\nAct: Provided , That section 8005 shall apply when trans- 18\nfers of the amounts described in subsection (a) occur be-19\ntween appropriation accounts. 20\nSEC. 8007. (a) Not later than 60 days after enact- 21\nment of this Act, the Department of Defense shall submit 22\na report to the congressional defense committees to estab-23\nlish the baseline for application of reprogramming and 24 42 \n•HR 3326 EHtransfer authorities for fiscal year 2010: Provided , That 1\nthe report shall include— 2\n(1) a table for each appropriation with a sepa- 3\nrate column to display the President’s budget re- 4\nquest, adjustments made by Congress, adjustments 5\ndue to enacted rescissions, if appropriate, and the 6\nfiscal year enacted level; 7\n(2) a delineation in the table for each appro- 8\npriation both by budget activity and program, 9\nproject, and activity as detailed in the Budget Ap- 10\npendix; and 11\n(3) an identification of items of special congres- 12\nsional interest. 13\n(b) Notwithstanding section 8005 of this Act, none 14\nof the funds provided in this Act shall be available for 15\nreprogramming or transfer until the report identified in 16\nsubsection (a) is submitted to the congressional defense 17\ncommittees, unless the Secretary of Defense certifies in 18\nwriting to the congressional defense committees that such 19\nreprogramming or transfer is necessary as an emergency 20\nrequirement. 21\n(TRANSFER OF FUNDS) 22\nSEC. 8008. During the current fiscal year, cash bal- 23\nances in working capital funds of the Department of De-24\nfense established pursuant to section 2208 of title 10, 25 43 \n•HR 3326 EHUnited States Code, may be maintained in only such 1\namounts as are necessary at any time for cash disburse-2\nments to be made from such funds: Provided , That trans- 3\nfers may be made between such funds: Provided further , 4\nThat transfers may be made between working capital 5\nfunds and the ‘‘Operation and Maintenance’’ appropria-6\ntion accounts in such amounts as may be determined by 7\nthe Secretary of Defense, with the approval of the Office 8\nof Management and Budget, except that such transfers 9\nmay not be made unless the Secretary of Defense has noti-10\nfied the Congress of the proposed transfer. Except in 11\namounts equal to the amounts appropriated to working 12\ncapital funds in this Act, no obligations may be made 13\nagainst a working capital fund to procure or increase the 14\nvalue of war reserve material inventory, unless the Sec-15\nretary of Defense has notified the Congress prior to any 16\nsuch obligation. 17\nSEC. 8009. Funds appropriated by this Act may not 18\nbe used to initiate a special access program without prior 19\nnotification 30 calendar days in advance to the congres-20\nsional defense committees. 21\nSEC. 8010. None of the funds provided in this Act 22\nshall be available to initiate: (1) a multiyear contract that 23\nemploys economic order quantity procurement in excess of 24\n$20,000,000 in any one year of the contract or that in-25 44 \n•HR 3326 EHcludes an unfunded contingent liability in excess of 1\n$20,000,000; or (2) a contract for advance procurement 2\nleading to a multiyear contract that employs economic 3\norder quantity procurement in excess of $20,000,000 in 4\nany one year, unless the congressional defense committees 5\nhave been notified at least 30 days in advance of the pro-6\nposed contract award: Provided , That no part of any ap- 7\npropriation contained in this Act shall be available to ini-8\ntiate a multiyear contract for which the economic order 9\nquantity advance procurement is not funded at least to 10\nthe limits of the Government’s liability: Provided further , 11\nThat no part of any appropriation contained in this Act 12\nshall be available to initiate multiyear procurement con-13\ntracts for any systems or component thereof if the value 14\nof the multiyear contract would exceed $500,000,000 un-15\nless specifically provided in this Act: Provided further , 16\nThat no multiyear procurement contract can be termi-17\nnated without 10-day prior notification to the congres-18\nsional defense committees: Provided further , That the exe- 19\ncution of multiyear authority shall require the use of a 20\npresent value analysis to determine lowest cost compared 21\nto an annual procurement: Provided further , That none of 22\nthe funds provided in this Act may be used for a multiyear 23\ncontract executed after the date of the enactment of this 24\nAct unless in the case of any such contract— 25 45 \n•HR 3326 EH(1) the Secretary of Defense has submitted to 1\nCongress a report within 30 days of enactment of 2\nthis Act that certifies full funding of units to be pro- 3\ncured through the contract and, in the case of a con- 4\ntract for procurement of aircraft, that includes, for 5\nany aircraft unit to be procured through the con- 6\ntract for which procurement funds are identified in 7\nthat report for production beyond advance procure- 8\nment activities in the fiscal year 2010 budget, full 9\nfunding of procurement of such unit in that fiscal 10\nyear; 11\n(2) cancellation provisions in the contract do 12\nnot include consideration of recurring manufacturing 13\ncosts of the contractor associated with the produc- 14\ntion of unfunded units to be delivered under the con- 15\ntract; 16\n(3) the contract provides that payments to the 17\ncontractor under the contract shall not be made in 18\nadvance of incurred costs on funded units; and 19\n(4) the contract does not provide for a price ad- 20\njustment based on a failure to award a follow-on 21\ncontract. 22\nFunds appropriated in title III of this Act may be 23\nused for a multiyear procurement contract as follows: 24\nF–18 aircraft variants. 25 46 \n•HR 3326 EHSEC. 8011. Within the funds appropriated for the op- 1\neration and maintenance of the Armed Forces, funds are 2\nhereby appropriated pursuant to section 401 of title 10, 3\nUnited States Code, for humanitarian and civic assistance 4\ncosts under chapter 20 of title 10, United States Code. 5\nSuch funds may also be obligated for humanitarian and 6\ncivic assistance costs incidental to authorized operations 7\nand pursuant to authority granted in section 401 of chap-8\nter 20 of title 10, United States Code, and these obliga-9\ntions shall be reported as required by section 401(d) of 10\ntitle 10, United States Code: Provided , That funds avail- 11\nable for operation and maintenance shall be available for 12\nproviding humanitarian and similar assistance by using 13\nCivic Action Teams in the Trust Territories of the Pacific 14\nIslands and freely associated states of Micronesia, pursu-15\nant to the Compact of Free Association as authorized by 16\nPublic Law 99–239: Provided further , That upon a deter- 17\nmination by the Secretary of the Army that such action 18\nis beneficial for graduate medical education programs con-19\nducted at Army medical facilities located in Hawaii, the 20\nSecretary of the Army may authorize the provision of med-21\nical services at such facilities and transportation to such 22\nfacilities, on a nonreimbursable basis, for civilian patients 23\nfrom American Samoa, the Commonwealth of the North-24 47 \n•HR 3326 EHern Mariana Islands, the Marshall Islands, the Federated 1\nStates of Micronesia, Palau, and Guam. 2\nSEC. 8012. (a) During fiscal year 2010, the civilian 3\npersonnel of the Department of Defense may not be man-4\naged on the basis of any end-strength, and the manage-5\nment of such personnel during that fiscal year shall not 6\nbe subject to any constraint or limitation (known as an 7\nend-strength) on the number of such personnel who may 8\nbe employed on the last day of such fiscal year. 9\n(b) The fiscal year 2011 budget request for the De- 10\npartment of Defense as well as all justification material 11\nand other documentation supporting the fiscal year 2011 12\nDepartment of Defense budget request shall be prepared 13\nand submitted to the Congress as if subsections (a) and 14\n(b) of this provision were effective with regard to fiscal 15\nyear 2011. 16\n(c) Nothing in this section shall be construed to apply 17\nto military (civilian) technicians. 18\nSEC. 8013. None of the funds made available by this 19\nAct shall be used in any way, directly or indirectly, to in-20\nfluence congressional action on any legislation or appro-21\npriation matters pending before the Congress. 22\nSEC. 8014. None of the funds appropriated by this 23\nAct shall be available for the basic pay and allowances of 24\nany member of the Army participating as a full-time stu-25 48 \n•HR 3326 EHdent and receiving benefits paid by the Secretary of Vet-1\nerans Affairs from the Department of Defense Education 2\nBenefits Fund when time spent as a full-time student is 3\ncredited toward completion of a service commitment: Pro- 4\nvided , That this section shall not apply to those members 5\nwho have reenlisted with this option prior to October 1, 6\n1987: Provided further , That this section applies only to 7\nactive components of the Army. 8\nSEC. 8015. (a) None of the funds appropriated by 9\nthis Act shall be available to convert to contractor per-10\nformance an activity or function of the Department of De-11\nfense that, on or after the date of the enactment of this 12\nAct, is performed by more than 10 Department of Defense 13\ncivilian employees unless— 14\n(1) the conversion is based on the result of a 15\npublic-private competition that includes a most effi- 16\ncient and cost effective organization plan developed 17\nby such activity or function; 18\n(2) the Competitive Sourcing Official deter- 19\nmines that, over all performance periods stated in 20\nthe solicitation of offers for performance of the ac- 21\ntivity or function, the cost of performance of the ac- 22\ntivity or function by a contractor would be less costly 23\nto the Department of Defense by an amount that 24\nequals or exceeds the lesser of— 25 49 \n•HR 3326 EH(A) 10 percent of the most efficient organi- 1\nzation’s personnel-related costs for performance 2\nof that activity or function by Federal employ- 3\nees; or 4\n(B) $10,000,000; and 5\n(3) the contractor does not receive an advan- 6\ntage for a proposal that would reduce costs for the 7\nDepartment of Defense by— 8\n(A) not making an employer-sponsored 9\nhealth insurance plan available to the workers 10\nwho are to be employed in the performance of 11\nthat activity or function under the contract; or 12\n(B) offering to such workers an employer- 13\nsponsored health benefits plan that requires the 14\nemployer to contribute less towards the pre- 15\nmium or subscription share than the amount 16\nthat is paid by the Department of Defense for 17\nhealth benefits for civilian employees under 18\nchapter 89 of title 5, United States Code. 19\n(b)(1) The Department of Defense, without regard 20\nto subsection (a) of this section or subsection (a), (b), or 21\n(c) of section 2461 of title 10, United States Code, and 22\nnotwithstanding any administrative regulation, require-23\nment, or policy to the contrary shall have full authority 24\nto enter into a contract for the performance of any com-25 50 \n•HR 3326 EHmercial or industrial type function of the Department of 1\nDefense that— 2\n(A) is included on the procurement list estab- 3\nlished pursuant to section 2 of the Javits-Wagner- 4\nO’Day Act (41 U.S.C. 47); 5\n(B) is planned to be converted to performance 6\nby a qualified nonprofit agency for the blind or by 7\na qualified nonprofit agency for other severely handi- 8\ncapped individuals in accordance with that Act; or 9\n(C) is planned to be converted to performance 10\nby a qualified firm under at least 51 percent owner- 11\nship by an Indian tribe, as defined in section 4(e) 12\nof the Indian Self-Determination and Education As- 13\nsistance Act (25 U.S.C. 450b(e)), or a Native Ha- 14\nwaiian Organization, as defined in section 8(a)(15) 15\nof the Small Business Act (15 U.S.C. 637(a)(15)). 16\n(2) This section shall not apply to depot contracts 17\nor contracts for depot maintenance as provided in sections 18\n2469 and 2474 of title 10, United States Code. 19\n(c) The conversion of any activity or function of the 20\nDepartment of Defense under the authority provided by 21\nthis section shall be credited toward any competitive or 22\noutsourcing goal, target, or measurement that may be es-23\ntablished by statute, regulation, or policy and is deemed 24\nto be awarded under the authority of, and in compliance 25 51 \n•HR 3326 EHwith, subsection (h) of section 2304 of title 10, United 1\nStates Code, for the competition or outsourcing of com-2\nmercial activities. 3\n(TRANSFER OF FUNDS) 4\nSEC. 8016. Funds appropriated in title III of this Act 5\nfor the Department of Defense Pilot Mentor-Protege Pro-6\ngram may be transferred to any other appropriation con-7\ntained in this Act solely for the purpose of implementing 8\na Mentor-Protege Program developmental assistance 9\nagreement pursuant to section 831 of the National De-10\nfense Authorization Act for Fiscal Year 1991 (Public Law 11\n101–510; 10 U.S.C. 2302 note), as amended, under the 12\nauthority of this provision or any other transfer authority 13\ncontained in this Act. 14\nSEC. 8017. None of the funds in this Act may be 15\navailable for the purchase by the Department of Defense 16\n(and its departments and agencies) of welded shipboard 17\nanchor and mooring chain 4 inches in diameter and under 18\nunless the anchor and mooring chain are manufactured 19\nin the United States from components which are substan-20\ntially manufactured in the United States: Provided , That 21\nfor the purpose of this section, the term ‘‘manufactured’’ 22\nshall include cutting, heat treating, quality control, testing 23\nof chain and welding (including the forging and shot blast-24\ning process): Provided further , That for the purpose of this 25 52 \n•HR 3326 EHsection substantially all of the components of anchor and 1\nmooring chain shall be considered to be produced or manu-2\nfactured in the United States if the aggregate cost of the 3\ncomponents produced or manufactured in the United 4\nStates exceeds the aggregate cost of the components pro-5\nduced or manufactured outside the United States: Pro- 6\nvided further , That when adequate domestic supplies are 7\nnot available to meet Department of Defense requirements 8\non a timely basis, the Secretary of the service responsible 9\nfor the procurement may waive this restriction on a case- 10\nby-case basis by certifying in writing to the Committees 11\non Appropriations that such an acquisition must be made 12\nin order to acquire capability for national security pur-13\nposes. 14\nSEC. 8018. None of the funds available to the De- 15\npartment of Defense may be used to demilitarize or dis-16\npose of M–1 Carbines, M–1 Garand rifles, M–14 rifles, 17\n.22 caliber rifles, .30 caliber rifles, or M–1911 pistols, or 18\nto demilitarize or destroy small arms ammunition or am-19\nmunition components that are not otherwise prohibited 20\nfrom commercial sale under Federal law. 21\nSEC. 8019. No more than $500,000 of the funds ap- 22\npropriated or made available in this Act shall be used dur-23\ning a single fiscal year for any single relocation of an orga-24\nnization, unit, activity or function of the Department of 25 53 \n•HR 3326 EHDefense into or within the National Capital Region: Pro- 1\nvided , That the Secretary of Defense may waive this re- 2\nstriction on a case-by-case basis by certifying in writing 3\nto the congressional defense committees that such a relo-4\ncation is required in the best interest of the Government. 5\nSEC. 8020. In addition to the funds provided else- 6\nwhere in this Act, $15,000,000 is appropriated only for 7\nincentive payments authorized by section 504 of the In-8\ndian Financing Act of 1974 (25 U.S.C. 1544): Provided , 9\nThat a prime contractor or a subcontractor at any tier 10\nthat makes a subcontract award to any subcontractor or 11\nsupplier as defined in section 1544 of title 25, United 12\nStates Code, or a small business owned and controlled by 13\nan individual or individuals defined under section 4221(9) 14\nof title 25, United States Code, shall be considered a con-15\ntractor for the purposes of being allowed additional com-16\npensation under section 504 of the Indian Financing Act 17\nof 1974 (25 U.S.C. 1544) whenever the prime contract 18\nor subcontract amount is over $500,000 and involves the 19\nexpenditure of funds appropriated by an Act making Ap-20\npropriations for the Department of Defense with respect 21\nto any fiscal year: Provided further , That notwithstanding 22\nsection 430 of title 41, United States Code, this section 23\nshall be applicable to any Department of Defense acquisi-24\ntion of supplies or services, including any contract and any 25 54 \n•HR 3326 EHsubcontract at any tier for acquisition of commercial items 1\nproduced or manufactured, in whole or in part by any sub-2\ncontractor or supplier defined in section 1544 of title 25, 3\nUnited States Code, or a small business owned and con-4\ntrolled by an individual or individuals defined under sec-5\ntion 4221(9) of title 25, United States Code. 6\nSEC. 8021. Funds appropriated by this Act for the 7\nDefense Media Activity shall not be used for any national 8\nor international political or psychological activities. 9\nSEC. 8022. None of the funds appropriated by this 10\nAct shall be available to perform any cost study pursuant 11\nto the provisions of OMB Circular A–76 if the study being 12\nperformed exceeds a period of 24 months after initiation 13\nof such study with respect to a single function activity or 14\n30 months after initiation of such study for a multi-func-15\ntion activity, commencing on the date on which the pre-16\nliminary planning for the study begins through the date 17\non which a performance decision is rendered with respect 18\nto the function, excluding time during which the study is 19\nsuspended because of protests before the Government Ac-20\ncountability Office or United States Court of Federal 21\nClaims but including time during which the study is per-22\nformed subsequent to such protests. 23\nSEC. 8023. During the current fiscal year, the De- 24\npartment of Defense is authorized to incur obligations of 25 55 \n•HR 3326 EHnot to exceed $350,000,000 for purposes specified in sec-1\ntion 2350j(c) of title 10, United States Code, in anticipa-2\ntion of receipt of contributions, only from the Government 3\nof Kuwait, under that section: Provided , That upon re- 4\nceipt, such contributions from the Government of Kuwait 5\nshall be credited to the appropriations or fund which in-6\ncurred such obligations. 7\nSEC. 8024. (a) Of the funds made available in this 8\nAct, not less than $34,756,000 shall be available for the 9\nCivil Air Patrol Corporation, of which— 10\n(1) $26,433,000 shall be available from ‘‘Oper- 11\nation and Maintenance, Air Force’’ to support Civil 12\nAir Patrol Corporation operation and maintenance, 13\nreadiness, counter-drug activities, and drug demand 14\nreduction activities involving youth programs; 15\n(2) $7,426,000 shall be available from ‘‘Aircraft 16\nProcurement, Air Force’’; and 17\n(3) $897,000 shall be available from ‘‘Other 18\nProcurement, Air Force’’ for vehicle procurement. 19\n(b) The Secretary of the Air Force should waive reim- 20\nbursement for any funds used by the Civil Air Patrol for 21\ncounter-drug activities in support of Federal, State, and 22\nlocal government agencies. 23\nSEC. 8025. (a) None of the funds appropriated in this 24\nAct are available to establish a new Department of De-25 56 \n•HR 3326 EHfense (department) federally funded research and develop-1\nment center (FFRDC), either as a new entity, or as a 2\nseparate entity administrated by an organization man-3\naging another FFRDC, or as a nonprofit membership cor-4\nporation consisting of a consortium of other FFRDCs and 5\nother non-profit entities. 6\n(b) No member of a Board of Directors, Trustees, 7\nOverseers, Advisory Group, Special Issues Panel, Visiting 8\nCommittee, or any similar entity of a defense FFRDC, 9\nand no paid consultant to any defense FFRDC, except 10\nwhen acting in a technical advisory capacity, may be com-11\npensated for his or her services as a member of such enti-12\nty, or as a paid consultant by more than one FFRDC in 13\na fiscal year: Provided , That a member of any such entity 14\nreferred to previously in this subsection shall be allowed 15\ntravel expenses and per diem as authorized under the Fed-16\neral Joint Travel Regulations, when engaged in the per-17\nformance of membership duties. 18\n(c) Notwithstanding any other provision of law, none 19\nof the funds available to the department from any source 20\nduring fiscal year 2010 may be used by a defense FFRDC, 21\nthrough a fee or other payment mechanism, for construc-22\ntion of new buildings, for payment of cost sharing for 23\nprojects funded by Government grants, for absorption of 24\ncontract overruns, or for certain charitable contributions, 25 57 \n•HR 3326 EHnot to include employee participation in community service 1\nand/or development. 2\n(d) Notwithstanding any other provision of law, of 3\nthe funds available to the department during fiscal year 4\n2010, not more than 5,582 staff years of technical effort 5\n(staff years) may be funded for defense FFRDCs, not 6\nmore than 3,236 staff years may be funded for the sys-7\ntems engineering and integration FFRDCs and not more 8\nthan 1,264 staff years may be funded for laboratory 9\nFFRDCs: Provided , That of the specific amount referred 10\nto previously in this subsection, not more than 1,082 staff 11\nyears may be funded for the defense studies and analysis 12\nFFRDCs: Provided further , That this subsection shall not 13\napply to staff years funded in the National Intelligence 14\nProgram (NIP) and the Military Intelligence Program 15\n(MIP). 16\n(e) The Secretary of Defense shall, with the submis- 17\nsion of the department’s fiscal year 2011 budget request, 18\nsubmit a report presenting the specific amounts of staff 19\nyears of technical effort to be allocated for each defense 20\nFFRDC during that fiscal year and the associated budget 21\nestimates. 22\n(f) Notwithstanding any other provision of this Act, 23\nthe total amount appropriated in this Act for FFRDCs 24\nis hereby reduced by $125,200,000. 25 58 \n•HR 3326 EHSEC. 8026. None of the funds appropriated or made 1\navailable in this Act shall be used to procure carbon, alloy 2\nor armor steel plate for use in any Government-owned fa-3\ncility or property under the control of the Department of 4\nDefense which were not melted and rolled in the United 5\nStates or Canada: Provided , That these procurement re- 6\nstrictions shall apply to any and all Federal Supply Class 7\n9515, American Society of Testing and Materials (ASTM) 8\nor American Iron and Steel Institute (AISI) specifications 9\nof carbon, alloy or armor steel plate: Provided further , 10\nThat the Secretary of the military department responsible 11\nfor the procurement may waive this restriction on a case- 12\nby-case basis by certifying in writing to the Committees 13\non Appropriations of the House of Representatives and the 14\nSenate that adequate domestic supplies are not available 15\nto meet Department of Defense requirements on a timely 16\nbasis and that such an acquisition must be made in order 17\nto acquire capability for national security purposes: Pro- 18\nvided further , That these restrictions shall not apply to 19\ncontracts which are in being as of the date of the enact-20\nment of this Act. 21\nSEC. 8027. For the purposes of this Act, the term 22\n‘‘congressional defense committees’’ means the Armed 23\nServices Committee of the House of Representatives, the 24\nArmed Services Committee of the Senate, the Sub-25 59 \n•HR 3326 EHcommittee on Defense of the Committee on Appropriations 1\nof the Senate, and the Subcommittee on Defense of the 2\nCommittee on Appropriations of the House of Representa-3\ntives. 4\nSEC. 8028. During the current fiscal year, the De- 5\npartment of Defense may acquire the modification, depot 6\nmaintenance and repair of aircraft, vehicles and vessels 7\nas well as the production of components and other De-8\nfense-related articles, through competition between De-9\npartment of Defense depot maintenance activities and pri-10\nvate firms: Provided , That the Senior Acquisition Execu- 11\ntive of the military department or Defense Agency con-12\ncerned, with power of delegation, shall certify that success-13\nful bids include comparable estimates of all direct and in-14\ndirect costs for both public and private bids: Provided fur- 15\nther, That Office of Management and Budget Circular A– 16\n76 shall not apply to competitions conducted under this 17\nsection. 18\nSEC. 8029. (a)(1) If the Secretary of Defense, after 19\nconsultation with the United States Trade Representative, 20\ndetermines that a foreign country which is party to an 21\nagreement described in paragraph (2) has violated the 22\nterms of the agreement by discriminating against certain 23\ntypes of products produced in the United States that are 24\ncovered by the agreement, the Secretary of Defense shall 25 60 \n•HR 3326 EHrescind the Secretary’s blanket waiver of the Buy Amer-1\nican Act with respect to such types of products produced 2\nin that foreign country. 3\n(2) An agreement referred to in paragraph (1) is any 4\nreciprocal defense procurement memorandum of under-5\nstanding, between the United States and a foreign country 6\npursuant to which the Secretary of Defense has prospec-7\ntively waived the Buy American Act for certain products 8\nin that country. 9\n(b) The Secretary of Defense shall submit to the Con- 10\ngress a report on the amount of Department of Defense 11\npurchases from foreign entities in fiscal year 2010. Such 12\nreport shall separately indicate the dollar value of items 13\nfor which the Buy American Act was waived pursuant to 14\nany agreement described in subsection (a)(2), the Trade 15\nAgreement Act of 1979 (19 U.S.C. 2501 et seq.), or any 16\ninternational agreement to which the United States is a 17\nparty. 18\n(c) For purposes of this section, the term ‘‘Buy 19\nAmerican Act’’ means title III of the Act entitled ‘‘An Act 20\nmaking appropriations for the Treasury and Post Office 21\nDepartments for the fiscal year ending June 30, 1934, 22\nand for other purposes’’, approved March 3, 1933 (41 23\nU.S.C. 10a et seq.). 24 61 \n•HR 3326 EHSEC. 8030. During the current fiscal year, amounts 1\ncontained in the Department of Defense Overseas Military 2\nFacility Investment Recovery Account established by sec-3\ntion 2921(c)(1) of the National Defense Authorization Act 4\nof 1991 (Public Law 101–510; 10 U.S.C. 2687 note) shall 5\nbe available until expended for the payments specified by 6\nsection 2921(c)(2) of that Act. 7\nSEC. 8031. (a) Notwithstanding any other provision 8\nof law, the Secretary of the Air Force may convey at no 9\ncost to the Air Force, without consideration, to Indian 10\ntribes located in the States of Nevada, Idaho, North Da-11\nkota, South Dakota, Montana, and Minnesota relocatable 12\nmilitary housing units located at Grand Forks Air Force 13\nBase, Malmstrom Air Force Base, Mountain Home Air 14\nForce Base, and Minot Air Force Base that are excess 15\nto the needs of the Air Force. 16\n(b) The Secretary of the Air Force shall convey, at 17\nno cost to the Air Force, military housing units under sub-18\nsection (a) in accordance with the request for such units 19\nthat are submitted to the Secretary by the Operation 20\nWalking Shield Program on behalf of Indian tribes located 21\nin the States of Nevada, Idaho, North Dakota, South Da-22\nkota, Montana, and Minnesota. 23\n(c) The Operation Walking Shield Program shall re- 24\nsolve any conflicts among requests of Indian tribes for 25 62 \n•HR 3326 EHhousing units under subsection (a) before submitting re-1\nquests to the Secretary of the Air Force under subsection 2\n(b). 3\n(d) In this section, the term ‘‘Indian tribe’’ means 4\nany recognized Indian tribe included on the current list 5\npublished by the Secretary of the Interior under section 6\n104 of the Federally Recognized Indian Tribe Act of 1994 7\n(Public Law 103–454; 108 Stat. 4792; 25 U.S.C. 479a– 8\n1). 9\nSEC. 8032. During the current fiscal year, appropria- 10\ntions which are available to the Department of Defense 11\nfor operation and maintenance may be used to purchase 12\nitems having an investment item unit cost of not more 13\nthan $250,000 . 14\nSEC. 8033. (a) During the current fiscal year, none 15\nof the appropriations or funds available to the Department 16\nof Defense Working Capital Funds shall be used for the 17\npurchase of an investment item for the purpose of acquir-18\ning a new inventory item for sale or anticipated sale dur-19\ning the current fiscal year or a subsequent fiscal year to 20\ncustomers of the Department of Defense Working Capital 21\nFunds if such an item would not have been chargeable 22\nto the Department of Defense Business Operations Fund 23\nduring fiscal year 1994 and if the purchase of such an 24\ninvestment item would be chargeable during the current 25 63 \n•HR 3326 EHfiscal year to appropriations made to the Department of 1\nDefense for procurement. 2\n(b) The fiscal year 2011 budget request for the De- 3\npartment of Defense as well as all justification material 4\nand other documentation supporting the fiscal year 2011 5\nDepartment of Defense budget shall be prepared and sub-6\nmitted to the Congress on the basis that any equipment 7\nwhich was classified as an end item and funded in a pro-8\ncurement appropriation contained in this Act shall be 9\nbudgeted for in a proposed fiscal year 2011 procurement 10\nappropriation and not in the supply management business 11\narea or any other area or category of the Department of 12\nDefense Working Capital Funds. 13\nSEC. 8034. None of the funds appropriated by this 14\nAct for programs of the Central Intelligence Agency shall 15\nremain available for obligation beyond the current fiscal 16\nyear, except for funds appropriated for the Reserve for 17\nContingencies, which shall remain available until Sep-18\ntember 30, 2011: Provided , That funds appropriated, 19\ntransferred, or otherwise credited to the Central Intel-20\nligence Agency Central Services Working Capital Fund 21\nduring this or any prior or subsequent fiscal year shall 22\nremain available until expended: Provided further , That 23\nany funds appropriated or transferred to the Central Intel-24\nligence Agency for advanced research and development ac-25 64 \n•HR 3326 EHquisition, for agent operations, and for covert action pro-1\ngrams authorized by the President under section 503 of 2\nthe National Security Act of 1947, as amended, shall re-3\nmain available until September 30, 2011. 4\nSEC. 8035. Notwithstanding any other provision of 5\nlaw, funds made available in this Act for the Defense In-6\ntelligence Agency may be used for the design, develop-7\nment, and deployment of General Defense Intelligence 8\nProgram intelligence communications and intelligence in-9\nformation systems for the Services, the Unified and Speci-10\nfied Commands, and the component commands. 11\nSEC. 8036. Of the funds appropriated to the Depart- 12\nment of Defense under the heading ‘‘Operation and Main-13\ntenance, Defense-Wide’’, not less than $12,000,000 shall 14\nbe made available only for the mitigation of environmental 15\nimpacts, including training and technical assistance to 16\ntribes, related administrative support, the gathering of in-17\nformation, documenting of environmental damage, and de-18\nveloping a system for prioritization of mitigation and cost 19\nto complete estimates for mitigation, on Indian lands re-20\nsulting from Department of Defense activities. 21\nSEC. 8037. (a) None of the funds appropriated in this 22\nAct may be expended by an entity of the Department of 23\nDefense unless the entity, in expending the funds, com-24\nplies with the Buy American Act. For purposes of this 25 65 \n•HR 3326 EHsubsection, the term ‘‘Buy American Act’’ means title III 1\nof the Act entitled ‘‘An Act making appropriations for the 2\nTreasury and Post Office Departments for the fiscal year 3\nending June 30, 1934, and for other purposes’’, approved 4\nMarch 3, 1933 (41 U.S.C. 10a et seq.). 5\n(b) If the Secretary of Defense determines that a per- 6\nson has been convicted of intentionally affixing a label 7\nbearing a ‘‘Made in America’’ inscription to any product 8\nsold in or shipped to the United States that is not made 9\nin America, the Secretary shall determine, in accordance 10\nwith section 2410f of title 10, United States Code, wheth-11\ner the person should be debarred from contracting with 12\nthe Department of Defense. 13\n(c) In the case of any equipment or products pur- 14\nchased with appropriations provided under this Act, it is 15\nthe sense of the Congress that any entity of the Depart-16\nment of Defense, in expending the appropriation, purchase 17\nonly American-made equipment and products, provided 18\nthat American-made equipment and products are cost- 19\ncompetitive, quality-competitive, and available in a timely 20\nfashion. 21\nSEC. 8038. None of the funds appropriated by this 22\nAct shall be available for a contract for studies, analysis, 23\nor consulting services entered into without competition on 24 66 \n•HR 3326 EHthe basis of an unsolicited proposal unless the head of the 1\nactivity responsible for the procurement determines— 2\n(1) as a result of thorough technical evaluation, 3\nonly one source is found fully qualified to perform 4\nthe proposed work; 5\n(2) the purpose of the contract is to explore an 6\nunsolicited proposal which offers significant sci- 7\nentific or technological promise, represents the prod- 8\nuct of original thinking, and was submitted in con- 9\nfidence by one source; or 10\n(3) the purpose of the contract is to take ad- 11\nvantage of unique and significant industrial accom- 12\nplishment by a specific concern, or to insure that a 13\nnew product or idea of a specific concern is given fi- 14\nnancial support: Provided , That this limitation shall 15\nnot apply to contracts in an amount of less than 16\n$25,000, contracts related to improvements of equip- 17\nment that is in development or production, or con- 18\ntracts as to which a civilian official of the Depart- 19\nment of Defense, who has been confirmed by the 20\nSenate, determines that the award of such contract 21\nis in the interest of the national defense. 22\nSEC. 8039. (a) Except as provided in subsections (b) 23\nand (c), none of the funds made available by this Act may 24\nbe used— 25 67 \n•HR 3326 EH(1) to establish a field operating agency; or 1\n(2) to pay the basic pay of a member of the 2\nArmed Forces or civilian employee of the depart- 3\nment who is transferred or reassigned from a head- 4\nquarters activity if the member or employee’s place 5\nof duty remains at the location of that headquarters. 6\n(b) The Secretary of Defense or Secretary of a mili- 7\ntary department may waive the limitations in subsection 8\n(a), on a case-by-case basis, if the Secretary determines, 9\nand certifies to the Committees on Appropriations of the 10\nHouse of Representatives and Senate that the granting 11\nof the waiver will reduce the personnel requirements or 12\nthe financial requirements of the department. 13\n(c) This section does not apply to— 14\n(1) field operating agencies funded within the 15\nNational Intelligence Program; or 16\n(2) an Army field operating agency established 17\nto eliminate, mitigate, or counter the effects of im- 18\nprovised explosive devices, and, as determined by the 19\nSecretary of the Army, other similar threats. 20\nSEC. 8040. The Secretary of Defense, notwith- 21\nstanding any other provision of law, acting through the 22\nOffice of Economic Adjustment of the Department of De-23\nfense, may use funds made available in this Act under the 24\nheading ‘‘Operation and Maintenance, Defense-Wide’’ to 25 68 \n•HR 3326 EHmake grants and supplement other Federal funds in ac-1\ncordance with the guidance provided in the report of the 2\nCommittee on Appropriations of the House of Representa-3\ntives accompanying this Act. 4\n(RESCISSIONS) 5\nSEC. 8041. Of the funds appropriated in Department 6\nof Defense Appropriations Acts, the following funds are 7\nhereby rescinded from the following accounts and pro-8\ngrams in the specified amounts: 9\n‘‘Other Procurement, Army, 2009/2011’’, 10\n$131,900,000. 11\n‘‘Shipbuilding and Conversion, Navy, 2009/ 12\n2013’’, $177,767,000. 13\n‘‘Other Procurement, Navy, 2009/2011’’, 14\n$18,844,000. 15\n‘‘Aircraft Procurement, Air Force, 2009/2011’’, 16\n$687,071,000. 17\n‘‘Missile Procurement, Air Force, 2009/2011’’, 18\n$60,000,000. 19\n‘‘Other Procurement, Air Force, 2009/2011’’, 20\n$36,400,000. 21\n‘‘Research, Development, Test and Evaluation, 22\nNavy, 2009/2010’’, $20,000,000. 23\n‘‘Research, Development, Test and Evaluation, 24\nAir Force, 2009/2010’’, $70,000,000. 25 69 \n•HR 3326 EH‘‘Research, Development, Test and Evaluation, 1\nDefense-Wide, 2009/2010’’, $189,357,000. 2\nSEC. 8042. None of the funds available in this Act 3\nmay be used to reduce the authorized positions for mili-4\ntary (civilian) technicians of the Army National Guard, 5\nAir National Guard, Army Reserve and Air Force Reserve 6\nfor the purpose of applying any administratively imposed 7\ncivilian personnel ceiling, freeze, or reduction on military 8\n(civilian) technicians, unless such reductions are a direct 9\nresult of a reduction in military force structure. 10\nSEC. 8043. None of the funds appropriated or other- 11\nwise made available in this Act may be obligated or ex-12\npended for assistance to the Democratic People’s Republic 13\nof Korea unless specifically appropriated for that purpose. 14\nSEC. 8044. Funds appropriated in this Act for oper- 15\nation and maintenance of the Military Departments, Com-16\nbatant Commands and Defense Agencies shall be available 17\nfor reimbursement of pay, allowances and other expenses 18\nwhich would otherwise be incurred against appropriations 19\nfor the National Guard and Reserve when members of the 20\nNational Guard and Reserve provide intelligence or coun-21\nterintelligence support to Combatant Commands, Defense 22\nAgencies and Joint Intelligence Activities, including the 23\nactivities and programs included within the National Intel-24\nligence Program and the Military Intelligence Program: 25 70 \n•HR 3326 EHProvided , That nothing in this section authorizes deviation 1\nfrom established Reserve and National Guard personnel 2\nand training procedures. 3\nSEC. 8045. During the current fiscal year, none of 4\nthe funds appropriated in this Act may be used to reduce 5\nthe civilian medical and medical support personnel as-6\nsigned to military treatment facilities below the September 7\n30, 2003, level: Provided , That the Service Surgeons Gen- 8\neral may waive this section by certifying to the congres-9\nsional defense committees that the beneficiary population 10\nis declining in some catchment areas and civilian strength 11\nreductions may be consistent with responsible resource 12\nstewardship and capitation-based budgeting. 13\nSEC. 8046. (a) None of the funds available to the 14\nDepartment of Defense for any fiscal year for drug inter-15\ndiction or counter-drug activities may be transferred to 16\nany other department or agency of the United States ex-17\ncept as specifically provided in an appropriations law. 18\n(b) None of the funds available to the Central Intel- 19\nligence Agency for any fiscal year for drug interdiction 20\nand counter-drug activities may be transferred to any 21\nother department or agency of the United States except 22\nas specifically provided in an appropriations law. 23\nSEC. 8047. None of the funds appropriated by this 24\nAct may be used for the procurement of ball and roller 25 71 \n•HR 3326 EHbearings other than those produced by a domestic source 1\nand of domestic origin: Provided , That the Secretary of 2\nthe military department responsible for such procurement 3\nmay waive this restriction on a case-by-case basis by certi-4\nfying in writing to the Committees on Appropriations of 5\nthe House of Representatives and the Senate, that ade-6\nquate domestic supplies are not available to meet Depart-7\nment of Defense requirements on a timely basis and that 8\nsuch an acquisition must be made in order to acquire ca-9\npability for national security purposes: Provided further , 10\nThat this restriction shall not apply to the purchase of 11\n‘‘commercial items’’, as defined by section 4(12) of the 12\nOffice of Federal Procurement Policy Act, except that the 13\nrestriction shall apply to ball or roller bearings purchased 14\nas end items. 15\nSEC. 8048. None of the funds in this Act may be 16\nused to purchase any supercomputer which is not manu-17\nfactured in the United States, unless the Secretary of De-18\nfense certifies to the congressional defense committees 19\nthat such an acquisition must be made in order to acquire 20\ncapability for national security purposes that is not avail-21\nable from United States manufacturers. 22\nSEC. 8049. None of the funds made available in this 23\nor any other Act may be used to pay the salary of any 24\nofficer or employee of the Department of Defense who ap-25 72 \n•HR 3326 EHproves or implements the transfer of administrative re-1\nsponsibilities or budgetary resources of any program, 2\nproject, or activity financed by this Act to the jurisdiction 3\nof another Federal agency not financed by this Act with-4\nout the express authorization of Congress: Provided , That 5\nthis limitation shall not apply to transfers of funds ex-6\npressly provided for in Defense Appropriations Acts, or 7\nprovisions of Acts providing supplemental appropriations 8\nfor the Department of Defense. 9\nSEC. 8050. (a) Notwithstanding any other provision 10\nof law, none of the funds available to the Department of 11\nDefense for the current fiscal year may be obligated or 12\nexpended to transfer to another nation or an international 13\norganization any defense articles or services (other than 14\nintelligence services) for use in the activities described in 15\nsubsection (b) unless the congressional defense commit-16\ntees, the Committee on Foreign Affairs of the House of 17\nRepresentatives, and the Committee on Foreign Relations 18\nof the Senate are notified 15 days in advance of such 19\ntransfer. 20\n(b) This section applies to— 21\n(1) any international peacekeeping or peace-en- 22\nforcement operation under the authority of chapter 23\nVI or chapter VII of the United Nations Charter 24 73 \n•HR 3326 EHunder the authority of a United Nations Security 1\nCouncil resolution; and 2\n(2) any other international peacekeeping, peace- 3\nenforcement, or humanitarian assistance operation. 4\n(c) A notice under subsection (a) shall include the 5\nfollowing: 6\n(1) A description of the equipment, supplies, or 7\nservices to be transferred. 8\n(2) A statement of the value of the equipment, 9\nsupplies, or services to be transferred. 10\n(3) In the case of a proposed transfer of equip- 11\nment or supplies— 12\n(A) a statement of whether the inventory 13\nrequirements of all elements of the Armed 14\nForces (including the reserve components) for 15\nthe type of equipment or supplies to be trans- 16\nferred have been met; and 17\n(B) a statement of whether the items pro- 18\nposed to be transferred will have to be replaced 19\nand, if so, how the President proposes to pro- 20\nvide funds for such replacement. 21\nSEC. 8051. None of the funds available to the De- 22\npartment of Defense under this Act shall be obligated or 23\nexpended to pay a contractor under a contract with the 24 74 \n•HR 3326 EHDepartment of Defense for costs of any amount paid by 1\nthe contractor to an employee when— 2\n(1) such costs are for a bonus or otherwise in 3\nexcess of the normal salary paid by the contractor 4\nto the employee; and 5\n(2) such bonus is part of restructuring costs as- 6\nsociated with a business combination. 7\n(INCLUDING TRANSFER OF FUNDS) 8\nSEC. 8052. During the current fiscal year, no more 9\nthan $30,000,000 of appropriations made in this Act 10\nunder the heading ‘‘Operation and Maintenance, Defense- 11\nWide’’ may be transferred to appropriations available for 12\nthe pay of military personnel, to be merged with, and to 13\nbe available for the same time period as the appropriations 14\nto which transferred, to be used in support of such per-15\nsonnel in connection with support and services for eligible 16\norganizations and activities outside the Department of De-17\nfense pursuant to section 2012 of title 10, United States 18\nCode. 19\nSEC. 8053. During the current fiscal year, in the case 20\nof an appropriation account of the Department of Defense 21\nfor which the period of availability for obligation has ex-22\npired or which has closed under the provisions of section 23\n1552 of title 31, United States Code, and which has a 24\nnegative unliquidated or unexpended balance, an obliga-25 75 \n•HR 3326 EHtion or an adjustment of an obligation may be charged 1\nto any current appropriation account for the same purpose 2\nas the expired or closed account if— 3\n(1) the obligation would have been properly 4\nchargeable (except as to amount) to the expired or 5\nclosed account before the end of the period of avail- 6\nability or closing of that account; 7\n(2) the obligation is not otherwise properly 8\nchargeable to any current appropriation account of 9\nthe Department of Defense; and 10\n(3) in the case of an expired account, the obli- 11\ngation is not chargeable to a current appropriation 12\nof the Department of Defense under the provisions 13\nof section 1405(b)(8) of the National Defense Au- 14\nthorization Act for Fiscal Year 1991, Public Law 15\n101–510, as amended (31 U.S.C. 1551 note): Pro- 16\nvided , That in the case of an expired account, if sub- 17\nsequent review or investigation discloses that there 18\nwas not in fact a negative unliquidated or unex- 19\npended balance in the account, any charge to a cur- 20\nrent account under the authority of this section shall 21\nbe reversed and recorded against the expired ac- 22\ncount: Provided further , That the total amount 23\ncharged to a current appropriation under this sec- 24 76 \n•HR 3326 EHtion may not exceed an amount equal to 1 percent 1\nof the total appropriation for that account. 2\nSEC. 8054. (a) Notwithstanding any other provision 3\nof law, the Chief of the National Guard Bureau may per-4\nmit the use of equipment of the National Guard Distance 5\nLearning Project by any person or entity on a space-avail-6\nable, reimbursable basis. The Chief of the National Guard 7\nBureau shall establish the amount of reimbursement for 8\nsuch use on a case-by-case basis. 9\n(b) Amounts collected under subsection (a) shall be 10\ncredited to funds available for the National Guard Dis-11\ntance Learning Project and be available to defray the costs 12\nassociated with the use of equipment of the project under 13\nthat subsection. Such funds shall be available for such 14\npurposes without fiscal year limitation. 15\nSEC. 8055. Using funds available by this Act or any 16\nother Act, the Secretary of the Air Force, pursuant to a 17\ndetermination under section 2690 of title 10, United 18\nStates Code, may implement cost-effective agreements for 19\nrequired heating facility modernization in the 20\nKaiserslautern Military Community in the Federal Repub-21\nlic of Germany: Provided , That in the City of 22\nKaiserslautern such agreements will include the use of 23\nUnited States anthracite as the base load energy for mu-24\nnicipal district heat to the United States Defense installa-25 77 \n•HR 3326 EHtions: Provided further , That at Landstuhl Army Regional 1\nMedical Center and Ramstein Air Base, furnished heat 2\nmay be obtained from private, regional or municipal serv-3\nices, if provisions are included for the consideration of 4\nUnited States coal as an energy source. 5\nSEC. 8056. None of the funds appropriated in title 6\nIV of this Act may be used to procure end-items for deliv-7\nery to military forces for operational training, operational 8\nuse or inventory requirements: Provided , That this restric- 9\ntion does not apply to end-items used in development, 10\nprototyping, and test activities preceding and leading to 11\nacceptance for operational use: Provided further , That this 12\nrestriction does not apply to programs funded within the 13\nNational Intelligence Program: Provided further , That the 14\nSecretary of Defense may waive this restriction on a case- 15\nby-case basis by certifying in writing to the Committees 16\non Appropriations of the House of Representatives and the 17\nSenate that it is in the national security interest to do 18\nso. 19\nSEC. 8057. None of the funds made available in this 20\nAct may be used to approve or license the sale of the F– 21\n22A advanced tactical fighter to any foreign government. 22\nSEC. 8058. (a) The Secretary of Defense may, on a 23\ncase-by-case basis, waive with respect to a foreign country 24\neach limitation on the procurement of defense items from 25 78 \n•HR 3326 EHforeign sources provided in law if the Secretary determines 1\nthat the application of the limitation with respect to that 2\ncountry would invalidate cooperative programs entered 3\ninto between the Department of Defense and the foreign 4\ncountry, or would invalidate reciprocal trade agreements 5\nfor the procurement of defense items entered into under 6\nsection 2531 of title 10, United States Code, and the 7\ncountry does not discriminate against the same or similar 8\ndefense items produced in the United States for that coun-9\ntry. 10\n(b) Subsection (a) applies with respect to— 11\n(1) contracts and subcontracts entered into on 12\nor after the date of the enactment of this Act; and 13\n(2) options for the procurement of items that 14\nare exercised after such date under contracts that 15\nare entered into before such date if the option prices 16\nare adjusted for any reason other than the applica- 17\ntion of a waiver granted under subsection (a). 18\n(c) Subsection (a) does not apply to a limitation re- 19\ngarding construction of public vessels, ball and roller bear-20\nings, food, and clothing or textile materials as defined by 21\nsection 11 (chapters 50–65) of the Harmonized Tariff 22\nSchedule and products classified under headings 4010, 23\n4202, 4203, 6401 through 6406, 6505, 7019, 7218 24 79 \n•HR 3326 EHthrough 7229, 7304.41 through 7304.49, 7306.40, 7502 1\nthrough 7508, 8105, 8108, 8109, 8211, 8215, and 9404. 2\nSEC. 8059. (a) None of the funds made available by 3\nthis Act may be used to support any training program in-4\nvolving a unit of the security forces of a foreign country 5\nif the Secretary of Defense has received credible informa-6\ntion from the Department of State that the unit has com-7\nmitted a gross violation of human rights, unless all nec-8\nessary corrective steps have been taken. 9\n(b) The Secretary of Defense, in consultation with the 10\nSecretary of State, shall ensure that prior to a decision 11\nto conduct any training program referred to in subsection 12\n(a), full consideration is given to all credible information 13\navailable to the Department of State relating to human 14\nrights violations by foreign security forces. 15\n(c) The Secretary of Defense, after consultation with 16\nthe Secretary of State, may waive the prohibition in sub-17\nsection (a) if he determines that such waiver is required 18\nby extraordinary circumstances. 19\n(d) Not more than 15 days after the exercise of any 20\nwaiver under subsection (c), the Secretary of Defense shall 21\nsubmit a report to the congressional defense committees 22\ndescribing the extraordinary circumstances, the purpose 23\nand duration of the training program, the United States 24\nforces and the foreign security forces involved in the train-25 80 \n•HR 3326 EHing program, and the information relating to human rights 1\nviolations that necessitates the waiver. 2\nSEC. 8060. None of the funds appropriated or made 3\navailable in this Act to the Department of the Navy shall 4\nbe used to develop, lease or procure the T–AKE class of 5\nships unless the main propulsion diesel engines and 6\npropulsors are manufactured in the United States by a 7\ndomestically operated entity: Provided , That the Secretary 8\nof Defense may waive this restriction on a case-by-case 9\nbasis by certifying in writing to the Committees on Appro-10\npriations of the House of Representatives and the Senate 11\nthat adequate domestic supplies are not available to meet 12\nDepartment of Defense requirements on a timely basis 13\nand that such an acquisition must be made in order to 14\nacquire capability for national security purposes or there 15\nexists a significant cost or quality difference. 16\nSEC. 8061. None of the funds appropriated or other- 17\nwise made available by this or other Department of De-18\nfense Appropriations Acts may be obligated or expended 19\nfor the purpose of performing repairs or maintenance to 20\nmilitary family housing units of the Department of De-21\nfense, including areas in such military family housing 22\nunits that may be used for the purpose of conducting offi-23\ncial Department of Defense business. 24 81 \n•HR 3326 EHSEC. 8062. Notwithstanding any other provision of 1\nlaw, funds appropriated in this Act under the heading 2\n‘‘Research, Development, Test and Evaluation, Defense- 3\nWide’’ for any new start advanced concept technology 4\ndemonstration project or joint capability demonstration 5\nproject may only be obligated 30 days after a report, in-6\ncluding a description of the project, the planned acquisi-7\ntion and transition strategy and its estimated annual and 8\ntotal cost, has been provided in writing to the congres-9\nsional defense committees: Provided , That the Secretary 10\nof Defense may waive this restriction on a case-by-case 11\nbasis by certifying to the congressional defense committees 12\nthat it is in the national interest to do so. 13\nSEC. 8063. The Secretary of Defense shall provide 14\na classified quarterly report beginning 30 days after enact-15\nment of this Act, to the House and Senate Appropriations 16\nCommittees, Subcommittees on Defense on certain mat-17\nters as directed in the classified annex accompanying this 18\nAct. 19\nSEC. 8064. During the current fiscal year, none of 20\nthe funds available to the Department of Defense may be 21\nused to provide support to another department or agency 22\nof the United States if such department or agency is more 23\nthan 90 days in arrears in making payment to the Depart-24\nment of Defense for goods or services previously provided 25 82 \n•HR 3326 EHto such department or agency on a reimbursable basis: 1\nProvided , That this restriction shall not apply if the de- 2\npartment is authorized by law to provide support to such 3\ndepartment or agency on a nonreimbursable basis, and is 4\nproviding the requested support pursuant to such author-5\nity: Provided further , That the Secretary of Defense may 6\nwaive this restriction on a case-by-case basis by certifying 7\nin writing to the Committees on Appropriations of the 8\nHouse of Representatives and the Senate that it is in the 9\nnational security interest to do so. 10\nSEC. 8065. Notwithstanding section 12310(b) of title 11\n10, United States Code, a Reserve who is a member of 12\nthe National Guard serving on full-time National Guard 13\nduty under section 502(f) of title 32, United States Code, 14\nmay perform duties in support of the ground-based ele-15\nments of the National Ballistic Missile Defense System. 16\nSEC. 8066. None of the funds provided in this Act 17\nmay be used to transfer to any nongovernmental entity 18\nammunition held by the Department of Defense that has 19\na center-fire cartridge and a United States military no-20\nmenclature designation of ‘‘armor penetrator’’, ‘‘armor 21\npiercing (AP)’’, ‘‘armor piercing incendiary (API)’’, or 22\n‘‘armor-piercing incendiary-tracer (API–T)’’, except to an 23\nentity performing demilitarization services for the Depart-24\nment of Defense under a contract that requires the entity 25 83 \n•HR 3326 EHto demonstrate to the satisfaction of the Department of 1\nDefense that armor piercing projectiles are either: (1) ren-2\ndered incapable of reuse by the demilitarization process; 3\nor (2) used to manufacture ammunition pursuant to a con-4\ntract with the Department of Defense or the manufacture 5\nof ammunition for export pursuant to a License for Per-6\nmanent Export of Unclassified Military Articles issued by 7\nthe Department of State. 8\nSEC. 8067. Notwithstanding any other provision of 9\nlaw, the Chief of the National Guard Bureau, or his des-10\nignee, may waive payment of all or part of the consider-11\nation that otherwise would be required under section 2667 12\nof title 10, United States Code, in the case of a lease of 13\npersonal property for a period not in excess of 1 year to 14\nany organization specified in section 508(d) of title 32, 15\nUnited States Code, or any other youth, social, or fra-16\nternal nonprofit organization as may be approved by the 17\nChief of the National Guard Bureau, or his designee, on 18\na case-by-case basis. 19\nSEC. 8068. None of the funds appropriated by this 20\nAct shall be used for the support of any nonappropriated 21\nfunds activity of the Department of Defense that procures 22\nmalt beverages and wine with nonappropriated funds for 23\nresale (including such alcoholic beverages sold by the 24\ndrink) on a military installation located in the United 25 84 \n•HR 3326 EHStates unless such malt beverages and wine are procured 1\nwithin that State, or in the case of the District of Colum-2\nbia, within the District of Columbia, in which the military 3\ninstallation is located: Provided , That in a case in which 4\nthe military installation is located in more than one State, 5\npurchases may be made in any State in which the installa-6\ntion is located: Provided further , That such local procure- 7\nment requirements for malt beverages and wine shall 8\napply to all alcoholic beverages only for military installa-9\ntions in States which are not contiguous with another 10\nState: Provided further , That alcoholic beverages other 11\nthan wine and malt beverages, in contiguous States and 12\nthe District of Columbia shall be procured from the most 13\ncompetitive source, price and other factors considered. 14\nSEC. 8069. Funds available to the Department of De- 15\nfense for the Global Positioning System during the current 16\nfiscal year may be used to fund civil requirements associ-17\nated with the satellite and ground control segments of 18\nsuch system’s modernization program. 19\n(INCLUDING TRANSFER OF FUNDS) 20\nSEC. 8070. Of the amounts appropriated in this Act 21\nunder the heading ‘‘Operation and Maintenance, Army’’, 22\n$106,754,000 shall remain available until expended: Pro- 23\nvided , That notwithstanding any other provision of law, 24\nthe Secretary of Defense is authorized to transfer such 25 85 \n•HR 3326 EHfunds to other activities of the Federal Government: Pro- 1\nvided further , That the Secretary of Defense is authorized 2\nto enter into and carry out contracts for the acquisition 3\nof real property, construction, personal services, and oper-4\nations related to projects carrying out the purposes of this 5\nsection: Provided further , That contracts entered into 6\nunder the authority of this section may provide for such 7\nindemnification as the Secretary determines to be nec-8\nessary: Provided further , That projects authorized by this 9\nsection shall comply with applicable Federal, State, and 10\nlocal law to the maximum extent consistent with the na-11\ntional security, as determined by the Secretary of Defense. 12\nSEC. 8071. Section 8106 of the Department of De- 13\nfense Appropriations Act, 1997 (titles I through VIII of 14\nthe matter under subsection 101(b) of Public Law 104– 15\n208; 110 Stat. 3009–111; 10 U.S.C. 113 note) shall con-16\ntinue in effect to apply to disbursements that are made 17\nby the Department of Defense in fiscal year 2010. 18\nSEC. 8072. In addition to amounts provided else- 19\nwhere in this Act, $5,000,000 is hereby appropriated to 20\nthe Department of Defense, to remain available for obliga-21\ntion until expended: Provided , That notwithstanding any 22\nother provision of law, these funds shall be available only 23\nfor a grant to the Fisher House Foundation, Inc., only 24\nfor the construction and furnishing of additional Fisher 25 86 \n•HR 3326 EHHouses to meet the needs of military family members 1\nwhen confronted with the illness or hospitalization of an 2\neligible military beneficiary. 3\n(INCLUDING TRANSFER OF FUNDS) 4\nSEC. 8073. Of the amounts appropriated in this Act 5\nunder the heading ‘‘Research, Development, Test and 6\nEvaluation, Defense-Wide’’, $202,434,000 shall be for the 7\nIsraeli Cooperative Programs: Provided , That of this 8\namount, $45,792,000 shall be for the Short Range Bal-9\nlistic Missile Defense (SRBMD) program, $50,036,000 10\nshall be available for an upper-tier component to the 11\nIsraeli Missile Defense Architecture, and $72,400,000 12\nshall be for the Arrow Missile Defense Program, of which 13\n$25,000,000 shall be for producing Arrow missile compo-14\nnents in the United States and Arrow missile components 15\nin Israel to meet Israel’s defense requirements, consistent 16\nwith each nation’s laws, regulations and procedures: Pro- 17\nvided further , That funds made available under this provi- 18\nsion for production of missiles and missile components 19\nmay be transferred to appropriations available for the pro-20\ncurement of weapons and equipment, to be merged with 21\nand to be available for the same time period and the same 22\npurposes as the appropriation to which transferred: Pro- 23\nvided further , That the transfer authority provided under 24 87 \n•HR 3326 EHthis provision is in addition to any other transfer authority 1\ncontained in this Act. 2\n(INCLUDING TRANSFER OF FUNDS) 3\nSEC. 8074. Of the amounts appropriated in this Act 4\nunder the heading ‘‘Shipbuilding and Conversion, Navy’’, 5\n$454,586,000 shall be available until September 30, 2010, 6\nto fund prior year shipbuilding cost increases: Provided , 7\nThat upon enactment of this Act, the Secretary of the 8\nNavy shall transfer such funds to the following appropria-9\ntions in the amounts specified: Provided further , That the 10\namounts transferred shall be merged with and be available 11\nfor the same purposes as the appropriations to which 12\ntransferred: 13\nTo: 14\nUnder the heading Shipbuilding and Conversion, 15\nNavy, 2004/2010: 16\nNew SSN, $26,906,000. 17\nLPD–17 Amphibious Transport Dock Program, 18\n$16,844,000. 19\nUnder the heading Shipbuilding and Conversion, 20\nNavy, 2005/2010: 21\nNew SSN, $18,702,000. 22\nLPD–17 Amphibious Transport Dock Program, 23\n$16,498,000. 24 88 \n•HR 3326 EHUnder the heading Shipbuilding and Conversion, 1\nNavy, 2007/2011: 2\nDD(X) Program, $309,636,000. 3\nUnder the heading Shipbuilding and Conversion, 4\nNavy, 2008/2012: 5\nLPD–17 Amphibious Transport Dock Program, 6\n$66,000,000. 7\nSEC. 8075. None of the funds available to the De- 8\npartment of Defense may be obligated to modify command 9\nand control relationships to give Fleet Forces Command 10\nadministrative and operational control of United States 11\nNavy forces assigned to the Pacific fleet: Provided , That 12\nthe command and control relationships which existed on 13\nOctober 1, 2004, shall remain in force unless changes are 14\nspecifically authorized in a subsequent Act. 15\nSEC. 8076. Notwithstanding any other provision of 16\nlaw or regulation, the Secretary of Defense may exercise 17\nthe provisions of section 7403(g) of title 38, United States 18\nCode, for occupations listed in section 7403(a)(2) of title 19\n38, United States Code, as well as the following: 20\nPharmacists, Audiologists, Psychologists, Social 21\nWorkers, Orthotists/Prosthetists, Occupational 22\nTherapists, Physical Therapists, Rehabilitation 23\nTherapy Assistants, Respiratory Therapists, Speech 24\nPathologists, Dietitian/Nutritionists, Industrial Hy- 25 89 \n•HR 3326 EHgienists, Psychology Technicians, Social Service As- 1\nsistants, Practical Nurses, Nursing Assistants, Med- 2\nical Technologists, Medical Technicians, Pharmacy 3\nTechnicians, Health System Specialists, Medical In- 4\nstrument Technicians, and Dental Hygienists: 5\n(A) The requirements of section 6\n7403(g)(1)(A) of title 38, United States Code, 7\nshall apply. 8\n(B) The limitations of section 9\n7403(g)(1)(B) of title 38, United States Code, 10\nshall not apply. 11\nSEC. 8077. Funds appropriated by this Act, or made 12\navailable by the transfer of funds in this Act, for intel-13\nligence activities are deemed to be specifically authorized 14\nby the Congress for purposes of section 504 of the Na-15\ntional Security Act of 1947 (50 U.S.C. 414) during fiscal 16\nyear 2010 until the enactment of the Intelligence Author-17\nization Act for Fiscal Year 2010. 18\nSEC. 8078. None of the funds provided in this Act 19\nshall be available for obligation or expenditure through a 20\nreprogramming of funds that creates or initiates a new 21\nprogram, project, or activity unless such program, project, 22\nor activity must be undertaken immediately in the interest 23\nof national security and only after written prior notifica-24\ntion to the congressional defense committees. 25 90 \n•HR 3326 EHSEC. 8079. (a) In addition to the amounts provided 1\nelsewhere in this Act, $3,000,000 is hereby appropriated 2\nto the Department of Defense for ‘‘Operation and Mainte-3\nnance, Army National Guard’’. Such amount shall be 4\nmade available to the Secretary of the Army only to make 5\na grant in the amount of $3,000,000 to the entity speci-6\nfied in subsection (b) to facilitate access by veterans to 7\nopportunities for skilled employment in the construction 8\nindustry. 9\n(b) The entity referred to in subsection (a) is the 10\nCenter for Military Recruitment, Assessment and Vet-11\nerans Employment, a nonprofit labor-management co-12\noperation committee provided for by section 302(c)(9) of 13\nthe Labor-Management Relations Act, 1947 (29 U.S.C. 14\n186(c)(9)), for the purposes set forth in section 6(b) of 15\nthe Labor Management Cooperation Act of 1978 (29 16\nU.S.C. 175a note). 17\nSEC. 8080. The budget of the President for fiscal 18\nyear 2011 submitted to the Congress pursuant to section 19\n1105 of title 31, United States Code, shall include sepa-20\nrate budget justification documents for costs of United 21\nStates Armed Forces’ participation in contingency oper-22\nations for the Military Personnel accounts, the Operation 23\nand Maintenance accounts, and the Procurement ac-24\ncounts: Provided , That these documents shall include a de- 25 91 \n•HR 3326 EHscription of the funding requested for each contingency op-1\neration, for each military service, to include all Active and 2\nReserve components, and for each appropriations account: 3\nProvided further , That these documents shall include esti- 4\nmated costs for each element of expense or object class, 5\na reconciliation of increases and decreases for each contin-6\ngency operation, and programmatic data including, but 7\nnot limited to, troop strength for each Active and Reserve 8\ncomponent, and estimates of the major weapons systems 9\ndeployed in support of each contingency: Provided further , 10\nThat these documents shall include budget exhibits OP– 11\n5 and OP–32 (as defined in the Department of Defense 12\nFinancial Management Regulation) for all contingency op-13\nerations for the budget year and the two preceding fiscal 14\nyears. 15\nSEC. 8081. None of the funds in this Act may be 16\nused for research, development, test, evaluation, procure-17\nment or deployment of nuclear armed interceptors of a 18\nmissile defense system. 19\nSEC. 8082. Up to $2,500,000 of the funds appro- 20\npriated under the heading ‘‘Operation and Maintenance, 21\nNavy’’ in this Act for the Pacific Missile Range Facility 22\nmay be made available to contract for the repair, mainte-23\nnance, and operation of adjacent off-base water, drainage, 24\nand flood control systems, electrical upgrade to support 25 92 \n•HR 3326 EHadditional missions critical to base operations, and support 1\nfor a range footprint expansion to further guard against 2\nencroachment. 3\nSEC. 8083. In addition to the amounts appropriated 4\nor otherwise made available elsewhere in this Act, 5\n$88,700,000 is hereby appropriated to the Department of 6\nDefense: Provided , That the Secretary of Defense shall 7\nmake grants in the amounts specified as follows: 8\n$20,000,000 to the United Service Organizations; 9\n$30,000,000 to the Red Cross; $6,000,000 to the SOAR 10\nVirtual School District; $5,000,000 to The Presidio Herit-11\nage Center; $5,000,000 to the Paralympics Military Pro-12\ngram; $4,800,000 to the Arrest Deterioration of Ford Is-13\nland Aviation Control Tower, Pearl Harbor, Hawaii; 14\n$2,000,000 to the Go For Broke program; $1,000,000 to 15\nOur Military Kids; $3,000,000 to the New Jersey Tech-16\nnology Center; $2,000,000 to the Women in Military Serv-17\nice for America Memorial; $500,000 to the Marshall Leg-18\nacy Institute; $1,000,000 to the Vietnam Veterans Memo-19\nrial Fund for Demining Activities; $7,400,000 to the Ed-20\nward M. Kennedy Institute for the Senate; and 21\n$1,000,000 for the Riverside General Hospital in Hous-22\nton, Texas, for the treatment of psychological health 23\nissues. 24 93 \n•HR 3326 EHSEC. 8084. None of the funds appropriated or made 1\navailable in this Act shall be used to reduce or disestablish 2\nthe operation of the 53rd Weather Reconnaissance Squad-3\nron of the Air Force Reserve, if such action would reduce 4\nthe WC–130 Weather Reconnaissance mission below the 5\nlevels funded in this Act: Provided , That the Air Force 6\nshall allow the 53rd Weather Reconnaissance Squadron to 7\nperform other missions in support of national defense re-8\nquirements during the non-hurricane season. 9\nSEC. 8085. None of the funds provided in this Act 10\nshall be available for integration of foreign intelligence in-11\nformation unless the information has been lawfully col-12\nlected and processed during the conduct of authorized for-13\neign intelligence activities: Provided , That information 14\npertaining to United States persons shall only be handled 15\nin accordance with protections provided in the Fourth 16\nAmendment of the United States Constitution as imple-17\nmented through Executive Order No. 12333. 18\nSEC. 8086. (a) At the time members of reserve com- 19\nponents of the Armed Forces are called or ordered to ac-20\ntive duty under section 12302(a) of title 10, United States 21\nCode, each member shall be notified in writing of the ex-22\npected period during which the member will be mobilized. 23\n(b) The Secretary of Defense may waive the require- 24\nments of subsection (a) in any case in which the Secretary 25 94 \n•HR 3326 EHdetermines that it is necessary to do so to respond to a 1\nnational security emergency or to meet dire operational 2\nrequirements of the Armed Forces. 3\n(INCLUDING TRANSFER OF FUNDS) 4\nSEC. 8087. The Secretary of Defense may transfer 5\nfunds from any available Department of the Navy appro-6\npriation to any available Navy ship construction appro-7\npriation for the purpose of liquidating necessary changes 8\nresulting from inflation, market fluctuations, or rate ad-9\njustments for any ship construction program appropriated 10\nin law: Provided , That the Secretary may transfer not to 11\nexceed $100,000,000 under the authority provided by this 12\nsection: Provided further , That the Secretary may not 13\ntransfer any funds until 30 days after the proposed trans-14\nfer has been reported to the Committees on Appropria-15\ntions of the House of Representatives and the Senate, un-16\nless a response from the Committees is received sooner: 17\nProvided further , That the transfer authority provided by 18\nthis section is in addition to any other transfer authority 19\ncontained elsewhere in this Act. 20\nSEC. 8088. For purposes of section 612 of title 41, 21\nUnited States Code, any subdivision of appropriations 22\nmade under the heading ‘‘Shipbuilding and Conversion, 23\nNavy’’ that is not closed at the time reimbursement is 24\nmade shall be available to reimburse the Judgment Fund 25 95 \n•HR 3326 EHand shall be considered for the same purposes as any sub-1\ndivision under the heading ‘‘Shipbuilding and Conversion, 2\nNavy’’ appropriations in the current fiscal year or any 3\nprior fiscal year. 4\nSEC. 8089. (a) None of the funds appropriated by 5\nthis Act may be used to transfer research and develop-6\nment, acquisition, or other program authority relating to 7\ncurrent tactical unmanned aerial vehicles (TUAVs) from 8\nthe Army. 9\n(b) None of the funds appropriated by this Act may 10\nbe used to institute an inter-Service common contract for 11\nacquisition of MQ–1 or MQ–1C UAVs until 30 days after 12\nthe Secretary of Defense certifies to the congressional de-13\nfense committees that a common contract would achieve 14\ncost savings, be interoperable with, and not create undue 15\nsustainment costs compared to the current fleet. 16\nSEC. 8090. Notwithstanding any other provision of 17\nlaw or regulation, the Secretary of Defense may adjust 18\nwage rates for civilian employees hired for certain health 19\ncare occupations as authorized for the Secretary of Vet-20\nerans Affairs by section 7455 of title 38, United States 21\nCode. 22\nSEC. 8091. Up to $15,000,000 of the funds appro- 23\npriated under the heading, ‘‘Operation and Maintenance, 24\nNavy’’ may be made available for the Asia Pacific Re-25 96 \n•HR 3326 EHgional Initiative Program for the purpose of enabling the 1\nPacific Command to execute Theater Security Cooperation 2\nactivities such as humanitarian assistance, and payment 3\nof incremental and personnel costs of training and exer-4\ncising with foreign security forces: Provided , That funds 5\nmade available for this purpose may be used, notwith-6\nstanding any other funding authorities for humanitarian 7\nassistance, security assistance or combined exercise ex-8\npenses: Provided further , That funds may not be obligated 9\nto provide assistance to any foreign country that is other-10\nwise prohibited from receiving such type of assistance 11\nunder any other provision of law. 12\nSEC. 8092. None of the funds appropriated by this 13\nAct for programs of the Office of the Director of National 14\nIntelligence shall remain available for obligation beyond 15\nthe current fiscal year, except for funds appropriated for 16\nresearch and technology, which shall remain available until 17\nSeptember 30, 2011. 18\nSEC. 8093. For purposes of section 1553(b) of title 19\n31, United States Code, any subdivision of appropriations 20\nmade in this Act under the heading ‘‘Shipbuilding and 21\nConversion, Navy’’ shall be considered to be for the same 22\npurpose as any subdivision under the heading ‘‘Ship-23\nbuilding and Conversion, Navy’’ appropriations in any 24 97 \n•HR 3326 EHprior fiscal year, and the 1 percent limitation shall apply 1\nto the total amount of the appropriation. 2\nSEC. 8094. Notwithstanding any other provision of 3\nlaw, that not more than 35 percent of funds provided in 4\nthis Act for environmental remediation may be obligated 5\nunder indefinite delivery/indefinite quantity contracts with 6\na total contract value of $130,000,000 or higher. 7\nSEC. 8095. The Secretary of Defense shall create a 8\nmajor force program category for space for the Future 9\nYears Defense Program of the Department of Defense. 10\nThe Secretary of Defense shall designate an official in the 11\nOffice of the Secretary of Defense to provide overall super-12\nvision of the preparation and justification of program rec-13\nommendations and budget proposals to be included in such 14\nmajor force program category. 15\nSEC. 8096. The Director of National Intelligence 16\nshall include the budget exhibits identified in paragraphs 17\n(1) and (2) as described in the Department of Defense 18\nFinancial Management Regulation with the congressional 19\nbudget justification books. 20\n(1) For procurement programs requesting more 21\nthan $20,000,000 in any fiscal year, the P–1, Pro- 22\ncurement Program; P–5, Cost Analysis; P–5a, Pro- 23\ncurement History and Planning; P–21, Production 24\nSchedule; and P–40, Budget Item Justification. 25 98 \n•HR 3326 EH(2) For research, development, test and evalua- 1\ntion projects requesting more than $10,000,000 in 2\nany fiscal year, the R–1, RDT&E Program; R–2, 3\nRDT&E Budget Item Justification; R–3, RDT&E 4\nProject Cost Analysis; and R–4, RDT&E Program 5\nSchedule Profile. 6\nSEC. 8097. Notwithstanding any other provision of 7\nlaw, none of the funds made available in this Act may be 8\nused to pay negotiated indirect cost rates on a contract, 9\ngrant, or cooperative agreement (or similar arrangement) 10\nentered into by the Department of Defense and an entity 11\nin excess of 35 percent of the total cost of the contract, 12\ngrant, or agreement (or similar arrangement): Provided , 13\nThat this limitation shall apply only to funds made avail-14\nable in this Act for basic research. 15\nSEC. 8098. The Secretary of Defense shall maintain 16\non the homepage of the Internet website of the Depart-17\nment of Defense a direct link to the Internet website of 18\nthe Office of Inspector General of the Department of De-19\nfense. 20\nSEC. 8099. (a) Not later than 60 days after enact- 21\nment of this Act, the Office of the Director of National 22\nIntelligence shall submit a report to the congressional in-23\ntelligence committees to establish the baseline for applica-24 99 \n•HR 3326 EHtion of reprogramming and transfer authorities for fiscal 1\nyear 2010: Provided , That the report shall include— 2\n(1) a table for each appropriation with a sepa- 3\nrate column to display the President’s budget re- 4\nquest, adjustments made by Congress, adjustments 5\ndue to enacted rescissions, if appropriate, and the 6\nfiscal year enacted level; 7\n(2) a delineation in the table for each appro- 8\npriation by Expenditure Center and project; and 9\n(3) an identification of items of special congres- 10\nsional interest. 11\n(b) None of the funds provided for the National Intel- 12\nligence Program in this Act shall be available for re-13\nprogramming or transfer until the report identified in sub-14\nsection (a) is submitted to the congressional intelligence 15\ncommittees, unless the Director of National Intelligence 16\ncertifies in writing to the congressional intelligence com-17\nmittees that such reprogramming or transfer is necessary 18\nas an emergency requirement. 19\nSEC. 8100. The Director of National Intelligence 20\nshall submit to Congress each year, at or about the time 21\nthat the President’s budget is submitted to Congress that 22\nyear under section 1105(a) of title 31, United States 23\nCode, a future-years intelligence program (including asso-24\nciated annexes) reflecting the estimated expenditures and 25 100 \n•HR 3326 EHproposed appropriations included in that budget. Any such 1\nfuture-years intelligence program shall cover the fiscal 2\nyear with respect to which the budget is submitted and 3\nat least the four succeeding fiscal years. 4\nSEC. 8101. For the purposes of this Act, the term 5\n‘‘congressional intelligence committees’’ means the Perma-6\nnent Select Committee on Intelligence of the House of 7\nRepresentatives, the Select Committee on Intelligence of 8\nthe Senate, the Subcommittee on Defense of the Com-9\nmittee on Appropriations of the House of Representatives, 10\nand the Subcommittee on Defense of the Committee on 11\nAppropriations of the Senate. 12\nSEC. 8102. The Department of Defense shall con- 13\ntinue to report incremental contingency operations costs 14\nfor Operation Iraqi Freedom and Operation Enduring 15\nFreedom on a monthly basis in the Cost of War Execution 16\nReport as prescribed in the Department of Defense Finan-17\ncial Management Regulation Department of Defense In-18\nstruction 7000.14, Volume 12, Chapter 23 ‘‘Contingency 19\nOperations’’, Annex 1, dated September 2005. 20\n(INCLUDING TRANSFER OF FUNDS) 21\nSEC. 8103. (a) C ONTINUATION OF STOP-LOSSSPE- 22\nCIAL PAY.—In addition to the amounts appropriated or 23\notherwise made available elsewhere in this Act, 24\n$8,300,000 is hereby appropriated to the Secretary of De-25 101 \n•HR 3326 EHfense to carry out this section. Such amount shall be made 1\navailable to the Secretaries of the military departments 2\nonly to provide special pay during fiscal year 2010 to 3\nmembers of the Army, Navy, Air Force, and Marine 4\nCorps, including members of their reserve components, 5\nwho, at any time during fiscal year 2010, serve on active 6\nduty while the members’ enlistment or period of obligated 7\nservice is extended, or whose eligibility for retirement is 8\nsuspended, pursuant to section 123 or 12305 of title 10, 9\nUnited States Code, or any other provision of law (com-10\nmonly referred to as a ‘‘stop-loss authority’’) authorizing 11\nthe President to extend an enlistment or period of obli-12\ngated service, or suspend an eligibility for retirement, of 13\na member of the uniformed services in time of war or of 14\nnational emergency declared by Congress or the President. 15\n(b) S PECIAL PAYAMOUNT .—The amount of the spe- 16\ncial pay paid under subsection (a) to or on behalf of an 17\neligible member shall be $500 per month for each month 18\nor portion of a month during fiscal year 2010 that the 19\nmember is retained on active duty as a result of applica-20\ntion of the stop-loss authority. 21\n(c) T REATMENT OF DECEASED MEMBERS .—If an eli- 22\ngible member described in subsection (a) dies before the 23\npayment required by this section is made, the Secretary 24 102 \n•HR 3326 EHconcerned shall make the payment in accordance with sec-1\ntion 2771 of title 10, United States Code. 2\n(d) C LARIFICATION OF RETROACTIVE STOP-LOSS 3\nSPECIAL PAYAUTHORITY .—Section 310 of the Supple- 4\nmental Appropriations Act, 2009 (Public Law 111–32) is 5\namended by adding at the end the following new sub-6\nsection: 7\n‘‘(i) E FFECT OF SUBSEQUENT REENLISTMENT OF 8\nVOLUNTARY EXTENSION OF SERVICE .—Members of the 9\nArmed Forces, retired members, and former members oth-10\nerwise described in subsection (a) are not eligible for a 11\npayment under this section if the members— 12\n‘‘(1) voluntarily reenlisted or extended their 13\nservice after their enlistment or period of obligated 14\nservice was extended, or after their eligibility for re- 15\ntirement was suspended, pursuant to a stop-loss au- 16\nthority; and 17\n‘‘(2) received a bonus for such reenlistment or 18\nextension of service.’’. 19\nSEC. 8104. Appropriations available to the Depart- 20\nment of Defense for the purchase of heavy and light ar-21\nmored vehicles for force protection purposes may be used 22\nfor such purchase, up to a limit of $262,000 per vehicle, 23\nnotwithstanding other limitations applicable to the pur-24\nchase of passenger carrying vehicles. 25 103 \n•HR 3326 EH(INCLUDING TRANSFER OF FUNDS) 1\nSEC. 8105. During the current fiscal year, not to ex- 2\nceed $12,000,000 from each of the appropriations made 3\nin title II of this Act for ‘‘Operation and Maintenance, 4\nArmy’’, ‘‘Operation and Maintenance, Navy’’, and ‘‘Oper-5\nation and Maintenance, Air Force’’ may be transferred by 6\nthe military department concerned to its central fund es-7\ntablished for Fisher Houses and Suites pursuant to sec-8\ntion 2493(d) of title 10, United States Code. 9\n(INCLUDING TRANSFER OF FUNDS) 10\nSEC. 8106. Of the funds appropriated in the Intel- 11\nligence Community Management Account for the Program 12\nManager for the Information Sharing Environment, 13\n$24,000,000 is available for transfer by the Director of 14\nNational Intelligence to other departments and agencies 15\nfor purposes of Government-wide information sharing ac-16\ntivities: Provided , That the funds transferred under this 17\nprovision are to be merged with, and to be available for 18\nthe same purposes and for the same time period as the 19\nappropriations to which transferred: Provided further , 20\nThat the Office of Management and Budget must approve 21\nany transfers made under this provision. 22\nSEC. 8107. (a) None of the funds provided for the 23\nNational Intelligence Program in this or any prior appro-24\npriations Act shall be available for obligation or expendi-25 104 \n•HR 3326 EHture through a reprogramming of funds in accordance 1\nwith section 102A(d) of the National Security Act of 1947 2\n(50 U.S.C. 403–1(d)) unless the Committees on Appro-3\npriations of the House of Representatives and the Senate 4\nare notified 15 days in advance of the reprogramming 5\nthat— 6\n(1) creates or initiates a new program, project 7\nor activity; 8\n(2) eliminates a program, project or activity; 9\n(3) augments funds for existing projects in ex- 10\ncess of 10 percent or more; or 11\n(4) reduces by 10 percent or more funding or 12\npersonnel for a project. 13\n(b) None of the funds provided for the National intel- 14\nligence Program in this or any prior appropriations Act 15\nshall be available for obligation or expenditure through a 16\nreprogramming of funds in accordance with section 17\n102A(d) of the National Security Act of 1947 (50 U.S.C. 18\n403–1(d)) made after August 1, 2010, except in extraor-19\ndinary circumstances and after the Committees on Appro-20\npriations of the House of Representatives and the Senate 21\nare notified 30 days in advance of the reprogramming. 22\nSEC. 8108. None of the funds appropriated or other- 23\nwise made available by this Act, or that remain available 24\nfor obligation for the Department of Defense from the 25 105 \n•HR 3326 EHConsolidated Security, Disaster Assistance, and Con-1\ntinuing Appropriations Act, 2009 (Public Law 110–329), 2\nthe American Recovery and Reinvestment Act of 2009 3\n(Public Law 111–5), and the Supplemental Appropria-4\ntions Act, 2009 (Public Law 111–32), may be used to 5\naward to a contractor or convert to performance by a con-6\ntractor any functions performed by Federal employees 7\npursuant to a study conducted under Office of Manage-8\nment and Budget (OMB) Circular A–76, as of the date 9\nof enactment of this Act. 10\n(INCLUDING TRANSFER OF FUNDS) 11\nSEC. 8109. During the current fiscal year, the Sec- 12\nretary of Defense may transfer to the appropriation ‘‘For-13\neign Currency Fluctuations, Defense’’ unobligated 14\namounts of funds appropriated for operation and mainte-15\nnance for fiscal year 2007, 2008, or 2009 and unobligated 16\namounts of funds appropriated for military personnel for 17\nany of such fiscal years if such unobligated amounts are 18\nnot necessary for the liquidation of obligations or for the 19\nmaking of authorized adjustments to such appropriations 20\nfor obligations incurred during the period of availability 21\nof such appropriations: Provided, That the amount in the 22\nappropriation ‘‘Foreign Currency Fluctuations, Defense’’ 23\nmay not exceed the amount specified in subsection 24\n2779(d) of title 10, United States Code, as a result of 25 106 \n•HR 3326 EHthe transfer: Provided further, That the transfer authority 1\nprovided by this section is in addition to any other transfer 2\nauthority contained in this Act. 3\nSEC. 8110. The amounts appropriated in title II of 4\nthis Act are hereby reduced by $289,570,000 to reflect 5\nexcess cash balances in Department of Defense Working 6\nCapital Funds. 7\nSEC. 8111. (a)(1) No National Intelligence Program 8\nfunds appropriated in this Act may be used for a mission 9\ncritical or mission essential business management infor-10\nmation technology system that is not registered with the 11\nDirector of National Intelligence. A system shall be con-12\nsidered to be registered with that officer upon the fur-13\nnishing notice of the system, together with such informa-14\ntion concerning the system as the Director of the Business 15\nTransformation Office may prescribe. 16\n(2) During the current fiscal year no funds may be 17\nobligated or expended for a financial management auto-18\nmated information system, a mixed information system 19\nsupporting financial and non-financial systems, or a busi-20\nness system improvement of more than $1,000,000, within 21\nthe Intelligence Community until the Director of National 22\nIntelligence certifies to the congressional intelligence com-23\nmittees that the system is being developed and managed 24 107 \n•HR 3326 EHin accordance with the Business Transformation require-1\nments. 2\n(b) The Director of the Business Transformation Of- 3\nfice shall provide the congressional intelligence committees 4\nnotification of approvals under paragraph (1) no later 5\nthan 30 days after certification. Each such notification 6\nshall include a statement confirming that the following 7\nsteps have been taken with respect to the system: 8\n(1) Business process reengineering. 9\n(2) An analysis of alternatives and an economic 10\nanalysis that includes a calculation of the return on 11\ninvestment. 12\n(3) Assurance the system is compatible with the 13\nenterprise-wide business architecture. 14\n(4) Performance measures. 15\n(5) An information assurance strategy con- 16\nsistent with the Chief Information Officer of the In- 17\ntelligence Community. 18\n(c) This section shall not apply to any programmatic 19\nor analytic systems or programmatic or analytic system 20\nimprovements. 21\n(INCLUDING TRANSFER OF FUNDS) 22\nSEC. 8112. (a) In addition to funds made available 23\nelsewhere in this Act, there is hereby appropriated 24\n$439,615,000 to remain available until transferred: Pro- 25 108 \n•HR 3326 EHvided , That these funds are appropriated to the ‘‘Tanker 1\nReplacement Transfer Fund’’ (referred to as ‘‘the Fund’’ 2\nelsewhere in this section): Provided further , That the Sec- 3\nretary of the Air Force may transfer amounts in the Fund 4\nto ‘‘Operation and Maintenance, Air Force’’, ‘‘Aircraft 5\nProcurement, Air Force’’, and ‘‘Research, Development, 6\nTest and Evaluation, Air Force’’, only for the purposes 7\nof proceeding with a tanker acquisition program: Provided 8\nfurther , That funds transferred shall be merged with and 9\nbe available for the same purposes and for the same time 10\nperiod as the appropriations or fund to which transferred: 11\nProvided further , That this transfer authority is in addi- 12\ntion to any other transfer authority available to the De-13\npartment of Defense: Provided further , That the Secretary 14\nof the Air Force shall, not fewer than 15 days prior to 15\nmaking transfers using funds provided in this section, no-16\ntify the congressional defense committees in writing of the 17\ndetails of any such transfer: Provided further , That the 18\nSecretary shall submit a report no later than 30 days after 19\nthe end of each fiscal quarter to the congressional defense 20\ncommittees summarizing the details of the transfer of 21\nfunds from this appropriation. 22\n(b) The Secretary of Defense is directed to award one 23\nor more contracts for the aerial refueling tanker replace-24 109 \n•HR 3326 EHment program according to either of the following alter-1\nnatives: 2\n(1) A contract to a single offeror based on a 3\nbest value or lowest cost source selection derived 4\nfrom full and open competition, subject to the condi- 5\ntion that non-development aircraft produced under 6\nsuch contract must be finally assembled in the 7\nUnited States. Such competition and source selection 8\nshall include evaluation of the life-cycle costs of each 9\naircraft over a 40-year period (including costs of fuel 10\nconsumption, military construction and other factors 11\nnormally associated with operation and support of 12\ntanker aircraft) and shall include an independent 13\n40-year life-cycle cost estimate conducted by a feder- 14\nally funded research and development center. 15\n(2) Contracts awarded to each of the two 16\nofferors that responded to Request for Proposal No. 17\nFA8625–07–R–6470 (as released on January 29, 18\n2007) subject to the condition that all non-develop- 19\nment aircraft produced under any such contracts 20\nmust be finally assembled in the United States. 21\n(c) The Secretary of Defense shall certify in writing 22\nto the congressional defense committees by October 1, 23\n2009, which of the procurement alternatives in subsection 24\n(b) represents the most cost-effective and expeditious 25 110 \n•HR 3326 EHtanker replacement strategy that best responds to United 1\nStates national security requirements. The certification 2\nshall be accompanied by a report to the congressional de-3\nfense committees detailing the rationale for such certifi-4\ncation. 5\nSEC. 8113. (a) Under regulations prescribed by the 6\nSecretary of Defense, the Secretary concerned shall pro-7\nvide any member or former member of the Armed Forces 8\nwith the benefits specified in subsection (b) if the member 9\nor former member would, on any day during the period 10\nbeginning on January 19, 2007, and ending on the date 11\nof the implementation of the Post-Deployment/Mobiliza-12\ntion Respite Absence (PDMRA) program by the Secretary 13\nconcerned, have qualified for a day of administrative ab-14\nsence under the Post-Deployment/Mobilization Respite 15\nAbsence program had the program been in effect during 16\nsuch period. 17\n(b) B ENEFITS .—The benefits authorized under this 18\nsection are the following: 19\n(1) In the case of an individual who is a former 20\nmember of the Armed Forces at the time of the pro- 21\nvision of benefits under this section, payment of an 22\namount not to exceed $200 for each day the indi- 23\nvidual would have qualified for a day of administra- 24 111 \n•HR 3326 EHtive absence as described in subsection (a) during 1\nthe period specified in that subsection. 2\n(2) In the case of an individual who is a mem- 3\nber of the Armed Forces at the time of the provision 4\nof benefits under this section, either one day of ad- 5\nministrative absence or payment of an amount not 6\nto exceed $200, as selected by the Secretary con- 7\ncerned, for each day the individual would have quali- 8\nfied for a day of administrative absence as described 9\nin subsection (a) during the period specified in that 10\nsubsection. 11\n(c) E XCLUSION OF CERTAIN FORMER MEMBERS .— 12\nA former member of the Armed Forces is not eligible 13\nunder this section for the benefits specified in subsection 14\n(b)(1) if the former member was discharged or released 15\nfrom the Armed Forces under other than honorable condi-16\ntions. 17\n(d) M AXIMUM NUMBER OF DAYS OF BENEFITS .— 18\nNot more than 40 days of benefits may be provided to 19\na member or former member of the Armed Forces under 20\nthis section. 21\n(e) F ORM OF PAYMENT .—The paid benefits author- 22\nized under this section may be paid in a lump sum or in-23\nstallments, at the election of the Secretary concerned. 24 112 \n•HR 3326 EH(f) C ONSTRUCTION WITHOTHER PAY AND LEAVE .— 1\nThe benefits provided a member or former member of the 2\nArmed Forces under this section are in addition to any 3\nother pay, absence, or leave provided by law. 4\n(g) D EFINITIONS .—In this section: 5\n(1) The term ‘‘Post-Deployment/Mobilization 6\nRespite Absence program’’ means the program of a 7\nmilitary department to provide days of administra- 8\ntive absence not chargeable against available leave to 9\ncertain deployed or mobilized members of the Armed 10\nForces in order to assist such members in reinte- 11\ngrating into civilian life after deployment or mobili- 12\nzation. 13\n(2) The term ‘‘Secretary concerned’’ has the 14\nmeaning given that term in section 101(5) of title 15\n37, United States Code. 16\n(h) T ERMINATION .— 17\n(1) The authority to provide benefits under this 18\nsection shall expire on the date that is 1 year after 19\nthe date of the enactment of this Act. 20\n(2) Expiration under this subsection of the au- 21\nthority to provide benefits under this section shall 22\nnot affect the utilization of any day of administra- 23\ntive absence provided a member of the Armed 24\nForces under subsection (b)(2), or the payment of 25 113 \n•HR 3326 EHany payment authorized a member or former mem- 1\nber of the Armed Forces under subsection (b), be- 2\nfore the expiration of the authority in this section. 3\nSEC. 8114. (a) R ESETTLEMENT SUPPORT AND 4\nOTHER PUBLIC BENEFITS FOR CERTAIN IRAQI REFU- 5\nGEES .—Section 1244(g) of the Refugee Crisis in Iraq Act 6\nof 2007 (subtitle C of title XII of division A of Public 7\nLaw 110–181; 122 Stat. 398) is amended by striking ‘‘for 8\na period not to exceed eight months’’ and inserting ‘‘to 9\nthe same extent, and for the same periods of time, as such 10\nrefugees’’. 11\n(b) R ESETTLEMENT SUPPORT AND OTHER PUBLIC 12\nBENEFITS FOR CERTAIN AFGHAN ALLIES .—Section 13\n602(b)(8) of the Afghan Allies Protection Act of 2009 14\n(title VI of division F of Public Law 111–8; 123 Stat. 15\n809) is amended by striking ‘‘for a period not to exceed 16\n8 months’’ and inserting ‘‘to the same extent, and for the 17\nsame periods of time, as such refugees’’. 18\nSEC. 8115. (a) With respect to the list of specific pro- 19\ngrams, projects and activities contained in the tables enti-20\ntled ‘‘Explanation of Project Level Adjustments’’ in the 21\nreport of the Committee on Appropriations of the House 22\nof Representatives, those which are considered congres-23\nsional earmarks for purposes of rule XXI of the House 24 114 \n•HR 3326 EHof Representatives, when awarded to a for profit entity, 1\nshall be awarded under full and open competition. 2\n(b) For profit entities previously awarded a contract 3\nwith the Department of Defense which remains in effect 4\nduring fiscal year 2010, to provide such programs projects 5\nor activities as described in subsection (a), shall be consid-6\nered to have satisfied the conditions of full and open com-7\npetition, provided that any such contract was awarded 8\nunder full and open competition. 9\nSEC. 8116. The amounts appropriated in title II of 10\nthis Act are hereby reduced from the specified accounts 11\nin the specified amounts: 12\n‘‘Operation and Maintenance, Navy’’, $192,000,000. 13\n‘‘Operation and Maintenance, Marine Corps’’, 14\n$28,000,000. 15\n‘‘Operation and Maintenance, Air Force’’, 16\n$188,000,000. 17\n‘‘Operation and Maintenance, Defense-Wide’’, 18\n$142,000,000. 19\nSEC. 8117. In carrying out Congressionally Directed 20\nMedical Research programs related to breast cancer re-21\nsearch, the Secretary of Defense shall ensure the fol-22\nlowing: 23\n(1) The selection process for choosing an indi- 24\nvidual to serve as a member of an integration panel 25 115 \n•HR 3326 EHshall be fair and representative of the interested 1\ncommunity so that the integration panel consists of 2\na diverse representation of the breast cancer sur- 3\nvivor and advocacy community. 4\n(2) An individual serving as a member of an in- 5\ntegration panel may not be an employee, serve on 6\nthe board of, or have a financial relationship with 7\nthe same organization (including any organization 8\nrelated to such organization through common board 9\nmembership, financial support, or other similar rela- 10\ntionship) as that of another individual serving as a 11\nmember of such panel. 12\nSEC. 8118. None of the funds appropriated or other- 13\nwise made available by this Act, or that remain available 14\nfor obligation for the Department of Defense from the 15\nConsolidated Security, Disaster Assistance, and Con-16\ntinuing Appropriations Act, 2009 (Public Law 110–329), 17\nthe American Recovery and Reinvestment Act of 2009 18\n(Public Law 111–5), and the Supplemental Appropria-19\ntions Act, 2009 (Public Law 111–32), may be used to 20\neliminate any personnel positions from the 194th Regional 21\nSupport Wing of the United States Air National Guard 22\nas of the date of enactment of this Act. 23\nSEC. 8119. (a) None of the funds made available in 24\nthis or any prior Act may be used to release an individual 25 116 \n•HR 3326 EHwho is detained, as of April 30, 2009, at Naval Station, 1\nGuantanamo Bay, Cuba, into the continental United 2\nStates, Alaska, Hawaii, the District of Columbia, or any 3\nof the United States territories of Guam, American Samoa 4\n(AS), the United States Virgin Islands (USVI), the Com-5\nmonwealth of Puerto Rico and the Commonwealth of the 6\nNorthern Mariana Islands (CNMI). 7\n(b) None of the funds made available in this or any 8\nprior Act may be used to transfer an individual who is 9\ndetained, as of April 30, 2009, at the Naval Station, 10\nGuantanamo Bay, Cuba, into the continental United 11\nStates, Alaska, Hawaii, the District of Columbia, or any 12\nof the United States territories of Guam, American Samoa 13\n(AS), the United States Virgin Islands (USVI), the Com-14\nmonwealth of Puerto Rico and the Commonwealth of the 15\nNorthern Mariana Islands (CNMI), for the purposes of 16\ndetaining or prosecuting such individual until 2 months 17\nafter the plan detailed in subsection (c) is received. 18\n(c) The President shall submit to the Congress, in 19\nwriting, a comprehensive plan regarding the proposed dis-20\nposition of each individual who is detained, as of April 30, 21\n2009, at Naval Station, Guantanamo Bay, Cuba, who is 22\nnot covered under subsection (d). Such plan shall include, 23\nat a minimum, each of the following for each such indi-24\nvidual: 25 117 \n•HR 3326 EH(1) The findings of an analysis regarding any 1\nrisk to the national security of the United States 2\nthat is posed by the transfer of the individual. 3\n(2) The costs associated with not transferring 4\nthe individual in question. 5\n(3) The legal rationale and associated court de- 6\nmands for transfer. 7\n(4) A certification by the President that any 8\nrisk described in paragraph (1) has been mitigated, 9\ntogether with a full description of the plan for such 10\nmitigation. 11\n(5) A certification by the President that the 12\nPresident has submitted to the Governor and legisla- 13\nture of the State or territory (or, in the case of the 14\nDistrict of Columbia, to the Mayor of the District of 15\nColumbia) to which the President intends to transfer 16\nthe individual a certification in writing at least 30 17\ndays prior to such transfer (together with supporting 18\ndocumentation and justification) that the individual 19\ndoes not pose a security risk to the United States. 20\n(d) None of the funds made available in this or any 21\nprior Act may be used to transfer or release an individual 22\ndetained at Naval Station, Guantanamo Bay, Cuba, as of 23\nApril 30, 2009, to the country of such individual’s nation-24\nality or last habitual residence or to the freely associated 25 118 \n•HR 3326 EHStates of the Federated States of Micronesia (FSM), the 1\nRepublic of the Marshall Islands (RMI), or the Republic 2\nof Palau, or to any other country other than the United 3\nStates, unless the President submits to the Congress, in 4\nwriting, at least 30 days prior to such transfer or release, 5\nthe following information: 6\n(1) The name of any individual to be trans- 7\nferred or released and the country to which such in- 8\ndividual is to be transferred or released. 9\n(2) An assessment of any risk to the national 10\nsecurity of the United States or its citizens, includ- 11\ning members of the Armed Services or the United 12\nStates, that is posed by such transfer or release and 13\nthe actions taken to mitigate such risk. 14\n(3) The terms of any agreement with another 15\ncountry for acceptance of such individual, including 16\nthe amount of any financial assistance related to 17\nsuch agreement. 18\nSEC. 8120. None of the funds appropriated or other- 19\nwise made available in this Act may be used for advance 20\nprocurement of the F–22 aircraft: Provided, That 21\n$368,800,000 of the funds made available in title III 22\nunder the heading ‘‘Aircraft Procurement, Air Force’’ may 23\nbe available for the following programs in the following 24\namounts: 25 119 \n•HR 3326 EH(1) $64,000,000 for production line shut down 1\nactivities for the F–22. 2\n(2) $138,800,000 for spare engines for F–22 3\nand C–17 aircraft. 4\n(3) $79,000,000 for LAIRCM kits for the Air 5\nNational Guard. 6\n(4) $37,000,000 for advanced targeting pods. 7\n(5) $50,000,000 for advanced radar develop- 8\nment. 9\nSEC. 8121. The amount appropriated in title VI 10\nunder the heading ‘‘Defense Health Program’’ for oper-11\nation and maintenance is hereby reduced by $26,000,000 12\nand the amount appropriated under such heading for re-13\nsearch, development, test, and evaluation is hereby in-14\ncreased by $26,000,000. 15\nSEC. 8122. None of the funds appropriated or other- 16\nwise made available in this Act may be used to award to 17\na contractor, or convert to performance by a contractor, 18\nthe provision of utilities at the United States Military 19\nAcademy at West Point. 20\nSEC. 8123. The amounts otherwise provided by this 21\nAct are revised by reducing the amount made available 22\nunder title II under the heading ‘‘Operation and Mainte-23\nnance, Air Force’’, and increasing the amount available 24 120 \n•HR 3326 EHunder title VI under the heading ‘‘Chemical Agents and 1\nMunitions Destruction, Defense’’, by $50,000,000. 2\nSEC. 8124. None of the funds appropriated or other- 3\nwise made available in this Act may be used by the Sec-4\nretary of the Army to convert government-owned ammuni-5\ntion production assets to the private sector. 6\nTITLE IX 7\nOVERSEAS DEPLOYMENTS AND OTHER 8\nACTIVITIES 9\nMILITARY PERSONNEL 10\nMILITARY PERSONNEL , ARMY 11\nFor an additional amount for ‘‘Military Personnel, 12\nArmy’’, $10,492,723,000: Provided , That the amount 13\nunder this heading is designated as being for overseas de-14\nployments and other activities pursuant to section 15\n423(a)(1) of S. Con. Res. 13 (111th Congress), the con-16\ncurrent resolution on the budget for fiscal year 2010. 17\nMILITARY PERSONNEL , NAVY 18\nFor an additional amount for ‘‘Military Personnel, 19\nNavy’’, $1,622,717,000: Provided , That the amount under 20\nthis heading is designated as being for overseas deploy-21\nments and other activities pursuant to section 423(a)(1) 22\nof S. Con. Res. 13 (111th Congress), the concurrent reso-23\nlution on the budget for fiscal year 2010. 24 121 \n•HR 3326 EHMILITARY PERSONNEL , MARINE CORPS 1\nFor an additional amount for ‘‘Military Personnel, 2\nMarine Corps’’, $997,470,000: Provided , That the amount 3\nunder this heading is designated as being for overseas de-4\nployments and other activities pursuant to section 5\n423(a)(1) of S. Con. Res. 13 (111th Congress), the con-6\ncurrent resolution on the budget for fiscal year 2010. 7\nMILITARY PERSONNEL , AIRFORCE 8\nFor an additional amount for ‘‘Military Personnel, 9\nAir Force’’, $1,855,337,000: Provided , That the amount 10\nunder this heading is designated as being for overseas de-11\nployments and other activities pursuant to section 12\n423(a)(1) of S. Con. Res. 13 (111th Congress), the con-13\ncurrent resolution on the budget for fiscal year 2010. 14\nRESERVE PERSONNEL , ARMY 15\nFor an additional amount for ‘‘Reserve Personnel, 16\nArmy’’, $302,637,000: Provided , That the amount under 17\nthis heading is designated as being for overseas deploy-18\nments and other activities pursuant to section 423(a)(1) 19\nof S. Con. Res. 13 (111th Congress), the concurrent reso-20\nlution on the budget for fiscal year 2010. 21\nRESERVE PERSONNEL , NAVY 22\nFor an additional amount for ‘‘Reserve Personnel, 23\nNavy’’, $39,040,000: Provided , That the amount under 24\nthis heading is designated as being for overseas deploy-25 122 \n•HR 3326 EHments and other activities pursuant to section 423(a)(1) 1\nof S. Con. Res. 13 (111th Congress), the concurrent reso-2\nlution on the budget for fiscal year 2010. 3\nRESERVE PERSONNEL , MARINE CORPS 4\nFor an additional amount for ‘‘Reserve Personnel, 5\nMarine Corps’’, $31,337,000: Provided , That the amount 6\nunder this heading is designated as being for overseas de-7\nployments and other activities pursuant to section 8\n423(a)(1) of S. Con. Res. 13 (111th Congress), the con-9\ncurrent resolution on the budget for fiscal year 2010. 10\nRESERVE PERSONNEL , AIRFORCE 11\nFor an additional amount for ‘‘Reserve Personnel, 12\nAir Force’’, $24,822,000: Provided , That the amount 13\nunder this heading is designated as being for overseas de-14\nployments and other activities pursuant to section 15\n423(a)(1) of S. Con. Res. 13 (111th Congress), the con-16\ncurrent resolution on the budget for fiscal year 2010. 17\nNATIONAL GUARD PERSONNEL , ARMY 18\nFor an additional amount for ‘‘National Guard Per- 19\nsonnel, Army’’, $839,966,000: Provided , That the amount 20\nunder this heading is designated as being for overseas de-21\nployments and other activities pursuant to section 22\n423(a)(1) of S. Con. Res. 13 (111th Congress), the con-23\ncurrent resolution on the budget for fiscal year 2010. 24 123 \n•HR 3326 EHNATIONAL GUARD PERSONNEL , AIRFORCE 1\nFor an additional amount for ‘‘National Guard Per- 2\nsonnel, Air Force’’, $18,500,000: Provided , That the 3\namount under this heading is designated as being for over-4\nseas deployments and other activities pursuant to section 5\n423(a)(1) of S. Con. Res. 13 (111th Congress), the con-6\ncurrent resolution on the budget for fiscal year 2010. 7\nOPERATION AND MAINTENANCE 8\nOPERATION AND MAINTENANCE , ARMY 9\nFor an additional amount for ‘‘Operation and Main- 10\ntenance, Army’’, $41,836,029,000: Provided , That the 11\namount under this heading is designated as being for over-12\nseas deployments and other activities pursuant to section 13\n423(a)(1) of S. Con. Res. 13 (111th Congress), the con-14\ncurrent resolution on the budget for fiscal year 2010. 15\nOPERATION AND MAINTENANCE , NAVY 16\nFor an additional amount for ‘‘Operation and Main- 17\ntenance, Navy’’, $4,975,665,000: Provided, That up to 18\n$241,503,000 of the amount under this heading shall be 19\ntransferred to the Coast Guard ‘‘Operating Expenses’’ ac-20\ncount: Provided further, That the amount under this head- 21\ning is designated as being for overseas deployments and 22\nother activities pursuant to section 423(a)(1) of S. Con. 23\nRes. 13 (111th Congress), the concurrent resolution on 24\nthe budget for fiscal year 2010. 25 124 \n•HR 3326 EHOPERATION AND MAINTENANCE , MARINE CORPS 1\nFor an additional amount for ‘‘Operation and Main- 2\ntenance, Marine Corps’’, $2,961,279,000: Provided , That 3\nthe amount under this heading is designated as being for 4\noverseas deployments and other activities pursuant to sec-5\ntion 423(a)(1) of S. Con. Res. 13 (111th Congress), the 6\nconcurrent resolution on the budget for fiscal year 2010. 7\nOPERATION AND MAINTENANCE , AIRFORCE 8\nFor an additional amount for ‘‘Operation and Main- 9\ntenance, Air Force’’, $7,858,895,000: Provided , That the 10\namount under this heading is designated as being for over-11\nseas deployments and other activities pursuant to section 12\n423(a)(1) of S. Con. Res. 13 (111th Congress), the con-13\ncurrent resolution on the budget for fiscal year 2010. 14\nOPERATION AND MAINTENANCE , DEFENSE -WIDE 15\nFor an additional amount for ‘‘Operation and Main- 16\ntenance, Defense-Wide’’, $7,397,800,000, of which: 17\n(1) Not to exceed $12,500,000 for the Combat- 18\nant Commander Initiative Fund, to be used in sup- 19\nport of Operation Iraqi Freedom and Operation En- 20\nduring Freedom. 21\n(2) Not to exceed $1,540,000,000, to remain 22\navailable until expended, for payments to reimburse 23\nkey cooperating nations for logistical, military, and 24\nother support, including access provided to United 25 125 \n•HR 3326 EHStates military operations in support of Operation 1\nIraqi Freedom and Operation Enduring Freedom, 2\nnotwithstanding any other provision of law: Pro- 3\nvided , That such reimbursement payments may be 4\nmade in such amounts as the Secretary of Defense, 5\nwith the concurrence of the Secretary of State, and 6\nin consultation with the Director of the Office of 7\nManagement and Budget, may determine, in his dis- 8\ncretion, based on documentation determined by the 9\nSecretary of Defense to adequately account for the 10\nsupport provided, and such determination is final 11\nand conclusive upon the accounting officers of the 12\nUnited States, and 15 days following notification to 13\nthe appropriate congressional committees: Provided 14\nfurther , That these funds may be used for the pur- 15\npose of providing specialized training and procuring 16\nsupplies and specialized equipment and providing 17\nsuch supplies and loaning such equipment on a non- 18\nreimbursable basis to coalition forces supporting 19\nUnited States military operations in Iraq and Af- 20\nghanistan, and 15 days following notification to the 21\nappropriate congressional committees: Provided fur- 22\nther, That the Secretary of Defense shall provide 23\nquarterly reports to the congressional defense com- 24\nmittees on the use of funds provided in this para- 25 126 \n•HR 3326 EHgraph: Provided further , That the amount under this 1\nheading is designated as being for overseas deploy- 2\nments and other activities pursuant to section 3\n423(a)(1) of S. Con. Res. 13 (111th Congress), the 4\nconcurrent resolution on the budget for fiscal year 5\n2010. 6\nOPERATION AND MAINTENANCE , ARMY RESERVE 7\nFor an additional amount for ‘‘Operation and Main- 8\ntenance, Army Reserve’’, $163,461,000: Provided , That 9\nthe amount under this heading is designated as being for 10\noverseas deployments and other activities pursuant to sec-11\ntion 423(a)(1) of S. Con. Res. 13 (111th Congress), the 12\nconcurrent resolution on the budget for fiscal year 2010. 13\nOPERATION AND MAINTENANCE , NAVYRESERVE 14\nFor an additional amount for ‘‘Operation and Main- 15\ntenance, Navy Reserve’’, $54,447,000: Provided , That the 16\namount under this heading is designated as being for over-17\nseas deployments and other activities pursuant to section 18\n423(a)(1) of S. Con. Res. 13 (111th Congress), the con-19\ncurrent resolution on the budget for fiscal year 2010. 20\nOPERATION AND MAINTENANCE , MARINE CORPS 21\nRESERVE 22\nFor an additional amount for ‘‘Operation and Main- 23\ntenance, Marine Corps Reserve’’, $69,333,000: Provided , 24\nThat the amount under this heading is designated as 25 127 \n•HR 3326 EHbeing for overseas deployments and other activities pursu-1\nant to section 423(a)(1) of S. Con. Res. 13 (111th Con-2\ngress), the concurrent resolution on the budget for fiscal 3\nyear 2010. 4\nOPERATION AND MAINTENANCE , AIRFORCE RESERVE 5\nFor an additional amount for ‘‘Operation and Main- 6\ntenance, Air Force Reserve’’, $100,740,000: Provided , 7\nThat the amount under this heading is designated as 8\nbeing for overseas deployments and other activities pursu-9\nant to section 423(a)(1) of S. Con. Res. 13 (111th Con-10\ngress), the concurrent resolution on the budget for fiscal 11\nyear 2010. 12\nOPERATION AND MAINTENANCE , ARMY NATIONAL 13\nGUARD 14\nFor an additional amount for ‘‘Operation and Main- 15\ntenance, Army National Guard’’, $257,317,000: Provided , 16\nThat the amount under this heading is designated as 17\nbeing for overseas deployments and other activities pursu-18\nant to section 423(a)(1) of S. Con. Res. 13 (111th Con-19\ngress), the concurrent resolution on the budget for fiscal 20\nyear 2010. 21\nOPERATION AND MAINTENANCE , AIRNATIONAL GUARD 22\nFor an additional amount for ‘‘Operation and Main- 23\ntenance, Air National Guard’’, $231,889,000: Provided , 24\nThat the amount under this heading is designated as 25 128 \n•HR 3326 EHbeing for overseas deployments and other activities pursu-1\nant to section 423(a)(1) of S. Con. Res. 13 (111th Con-2\ngress), the concurrent resolution on the budget for fiscal 3\nyear 2010. 4\nOVERSEAS CONTINGENCY OPERATIONS TRANSFER FUND 5\n(INCLUDING TRANSFER OF FUNDS) 6\nFor an additional amount for expenses directly relat- 7\ning to overseas contingency operations by United States 8\nmilitary forces, $14,636,901,000, to remain available for 9\nobligation until expended: Provided , That of the funds 10\nmade available under this heading, the Secretary of De-11\nfense may transfer these funds only to military personnel 12\naccounts, operation and maintenance accounts, the de-13\nfense health program appropriation, and working capital 14\nfunds accounts: Provided further , That the funds trans- 15\nferred shall be merged with and shall be available for the 16\nsame purposes and for the same time period, as the appro-17\npriation to which transferred: Provided further , That upon 18\na determination that all or part of the funds transferred 19\nfrom this appropriation are not necessary for the purposes 20\nprovided herein, such amounts may be transferred back 21\nto this appropriation: Provided further , That the Secretary 22\nshall notify the congressional defense committees 15 days 23\nprior to such transfer: Provided further , That the transfer 24\nauthority provided under this heading is in addition to any 25 129 \n•HR 3326 EHother transfer authority available to the Department of 1\nDefense: Provided further , That the amount under this 2\nheading is designated as being for overseas deployments 3\nand other activities pursuant to section 423(a)(1) of S. 4\nCon. Res. 13 (111th Congress), the concurrent resolution 5\non the budget for fiscal year 2010. 6\nAFGHANISTAN SECURITY FORCES FUND 7\nFor the ‘‘Afghanistan Security Forces Fund’’, 8\n$7,462,769,000, to remain available until September 30, 9\n2011: Provided , That such funds shall be available to the 10\nSecretary of Defense, notwithstanding any other provision 11\nof law, for the purpose of allowing the Commander, Com-12\nbined Security Transition Command-Afghanistan, or the 13\nSecretary’s designee, to provide assistance, with the con-14\ncurrence of the Secretary of State, to the security forces 15\nof Afghanistan, including the provision of equipment, sup-16\nplies, services, training, facility and infrastructure repair, 17\nrenovation, and construction, and funding: Provided fur- 18\nther, That the authority to provide assistance under this 19\nheading is in addition to any other authority to provide 20\nassistance to foreign nations: Provided further , That con- 21\ntributions of funds for the purposes provided herein from 22\nany person, foreign government, or international organiza-23\ntion may be credited to this Fund and used for such pur-24\nposes: Provided further , That the Secretary of Defense 25 130 \n•HR 3326 EHshall notify the congressional defense committees in writ-1\ning upon the receipt and upon the obligation of any con-2\ntribution, delineating the sources and amounts of the 3\nfunds received and the specific use of such contributions: 4\nProvided further , That the Secretary of Defense shall, not 5\nfewer than 15 days prior to obligating from this appro-6\npriation account, notify the congressional defense commit-7\ntees in writing of the details of any such obligation: Pro- 8\nvided further , That the amount under this heading is des- 9\nignated as being for overseas deployments and other ac-10\ntivities pursuant to section 423(a)(1) of S. Con. Res. 13 11\n(111th Congress), the concurrent resolution on the budget 12\nfor fiscal year 2010. 13\nPROCUREMENT 14\nAIRCRAFT PROCUREMENT , ARMY 15\nFor an additional amount for ‘‘Aircraft Procurement, 16\nArmy’’, $1,636,229,000, to remain available until Sep-17\ntember 30, 2012: Provided , That the amount under this 18\nheading is designated as being for overseas deployments 19\nand other activities pursuant to section 423(a)(1) of S. 20\nCon. Res. 13 (111th Congress), the concurrent resolution 21\non the budget for fiscal year 2010. 22\nMISSILE PROCUREMENT , ARMY 23\nFor an additional amount for ‘‘Missile Procurement, 24\nArmy’’, $469,470,000, to remain available until Sep-25 131 \n•HR 3326 EHtember 30, 2012: Provided , That the amount under this 1\nheading is designated as being for overseas deployments 2\nand other activities pursuant to section 423(a)(1) of S. 3\nCon. Res. 13 (111th Congress), the concurrent resolution 4\non the budget for fiscal year 2010. 5\nPROCUREMENT OF WEAPONS AND TRACKED COMBAT 6\nVEHICLES , ARMY 7\nFor an additional amount for ‘‘Procurement of Weap- 8\nons and Tracked Combat Vehicles, Army’’, 9\n$1,219,466,000, to remain available until September 30, 10\n2012: Provided , That the amount under this heading is 11\ndesignated as being for overseas deployments and other 12\nactivities pursuant to section 423(a)(1) of S. Con. Res. 13\n13 (111th Congress), the concurrent resolution on the 14\nbudget for fiscal year 2010. 15\nPROCUREMENT OF AMMUNITION , ARMY 16\nFor an additional amount for ‘‘Procurement of Am- 17\nmunition, Army’’, $370,635,000, to remain available until 18\nSeptember 30, 2012: Provided , That the amount under 19\nthis heading is designated as being for overseas deploy-20\nments and other activities pursuant to section 423(a)(1) 21\nof S. Con. Res. 13 (111th Congress), the concurrent reso-22\nlution on the budget for fiscal year 2010. 23 132 \n•HR 3326 EHOTHER PROCUREMENT , ARMY 1\nFor an additional amount for ‘‘Other Procurement, 2\nArmy’’, $5,635,306,000, to remain available until Sep-3\ntember 30, 2012: Provided , That the amount under this 4\nheading is designated as being for overseas deployments 5\nand other activities pursuant to section 423(a)(1) of S. 6\nCon. Res. 13 (111th Congress), the concurrent resolution 7\non the budget for fiscal year 2010. 8\nAIRCRAFT PROCUREMENT , NAVY 9\nFor an additional amount for ‘‘Aircraft Procurement, 10\nNavy’’, $889,097,000, to remain available until September 11\n30, 2012: Provided , That the amount under this heading 12\nis designated as being for overseas deployments and other 13\nactivities pursuant to section 423(a)(1) of S. Con. Res. 14\n13 (111th Congress), the concurrent resolution on the 15\nbudget for fiscal year 2010. 16\nWEAPONS PROCUREMENT , NAVY 17\nFor an additional amount for ‘‘Weapons Procure- 18\nment, Navy’’, $73,700,000, to remain available until Sep-19\ntember 30, 2012: Provided , That the amount under this 20\nheading is designated as being for overseas deployments 21\nand other activities pursuant to section 423(a)(1) of S. 22\nCon. Res. 13 (111th Congress), the concurrent resolution 23\non the budget for fiscal year 2010. 24 133 \n•HR 3326 EHPROCUREMENT OF AMMUNITION , NAVY AND MARINE 1\nCORPS 2\nFor an additional amount for ‘‘Procurement of Am- 3\nmunition, Navy and Marine Corps’’, $698,780,000, to re-4\nmain available until September 30, 2012: Provided , That 5\nthe amount under this heading is designated as being for 6\noverseas deployments and other activities pursuant to sec-7\ntion 423(a)(1) of S. Con. Res. 13 (111th Congress), the 8\nconcurrent resolution on the budget for fiscal year 2010. 9\nOTHER PROCUREMENT , NAVY 10\nFor an additional amount for ‘‘Other Procurement, 11\nNavy’’, $260,797,000, to remain available until September 12\n30, 2012: Provided , That the amount under this heading 13\nis designated as being for overseas deployments and other 14\nactivities pursuant to section 423(a)(1) of S. Con. Res. 15\n13 (111th Congress), the concurrent resolution on the 16\nbudget for fiscal year 2010. 17\nPROCUREMENT , MARINE CORPS 18\nFor an additional amount for ‘‘Procurement, Marine 19\nCorps’’, $1,100,268,000, to remain available until Sep-20\ntember 30, 2012: Provided , That the amount under this 21\nheading is designated as being for overseas deployments 22\nand other activities pursuant to section 423(a)(1) of S. 23\nCon. Res. 13 (111th Congress), the concurrent resolution 24\non the budget for fiscal year 2010. 25 134 \n•HR 3326 EHAIRCRAFT PROCUREMENT , AIRFORCE 1\nFor an additional amount for ‘‘Aircraft Procurement, 2\nAir Force’’, $825,718,000, to remain available until Sep-3\ntember 30, 2012: Provided , That the amount under this 4\nheading is designated as being for overseas deployments 5\nand other activities pursuant to section 423(a)(1) of S. 6\nCon. Res. 13 (111th Congress), the concurrent resolution 7\non the budget for fiscal year 2010. 8\nMISSILE PROCUREMENT , AIRFORCE 9\nFor an additional amount for ‘‘Missile Procurement, 10\nAir Force’’, $36,625,000, to remain available until Sep-11\ntember 30, 2012: Provided , That the amount under this 12\nheading is designated as being for overseas deployments 13\nand other activities pursuant to section 423(a)(1) of S. 14\nCon. Res. 13 (111th Congress), the concurrent resolution 15\non the budget for fiscal year 2010. 16\nPROCUREMENT OF AMMUNITION , AIRFORCE 17\nFor an additional amount for ‘‘Procurement of Am- 18\nmunition, Air Force’’, $256,819,000, to remain available 19\nuntil September 30, 2012: Provided , That the amount 20\nunder this heading is designated as being for overseas de-21\nployments and other activities pursuant to section 22\n423(a)(1) of S. Con. Res. 13 (111th Congress), the con-23\ncurrent resolution on the budget for fiscal year 2010. 24 135 \n•HR 3326 EHOTHER PROCUREMENT , AIRFORCE 1\nFor an additional amount for ‘‘Other Procurement, 2\nAir Force’’, $2,275,238,000, to remain available until 3\nSeptember 30, 2012: Provided , That the amount under 4\nthis heading is designated as being for overseas deploy-5\nments and other activities pursuant to section 423(a)(1) 6\nof S. Con. Res. 13 (111th Congress), the concurrent reso-7\nlution on the budget for fiscal year 2010. 8\nPROCUREMENT , DEFENSE -WIDE 9\nFor an additional amount for ‘‘Procurement, De- 10\nfense-Wide’’, $489,980,000, to remain available until Sep-11\ntember 30, 2012: Provided , That the amount under this 12\nheading is designated as being for overseas deployments 13\nand other activities pursuant to section 423(a)(1) of S. 14\nCon. Res. 13 (111th Congress), the concurrent resolution 15\non the budget for fiscal year 2010. 16\nNATIONAL GUARD AND RESERVE EQUIPMENT 17\nFor procurement of items of equipment as designated 18\nby the Chief of the National Guard Bureau and the Chiefs 19\nof the reserve components of the Armed Forces, 20\n$500,000,000, to remain available for obligation until Sep-21\ntember 30, 2012, of which $300,000,000 shall be available 22\nonly for the Army National Guard: Provided , That the 23\nChiefs of National Guard and Reserve components shall, 24\nnot later than 30 days after the enactment of this Act, 25 136 \n•HR 3326 EHindividually submit to the congressional defense commit-1\ntees the modernization priority assessment for their re-2\nspective National Guard or Reserve component: Provided 3\nfurther , That the amount under this heading is designated 4\nas being for overseas deployments and other activities pur-5\nsuant to section 423(a)(1) of S. Con. Res. 13 (111th Con-6\ngress), the concurrent resolution on the budget for fiscal 7\nyear 2010. 8\nRAPID ACQUISITION FUND 9\n(INCLUDING TRANSFER OF FUNDS) 10\nThere is hereby established in the Treasury of the 11\nUnited States the Rapid Acquisition Fund. For the Rapid 12\nAcquisition Fund, $40,000,000, to remain available until 13\nSeptember 30, 2012: Provided , That such funds shall be 14\navailable to the Secretary of Defense, with the advice of 15\nthe Chairman of the Joint Chiefs of Staff, for the purpose 16\nof providing for Joint Urgent Operational Needs: Provided 17\nfurther , That the Secretary of Defense may transfer such 18\nfunds to appropriations for operation and maintenance; 19\nprocurement; and research, development, test and evalua-20\ntion: Provided further , That funds so transferred shall be 21\nmerged with and shall be available for the same purposes 22\nand the same time period as that account to which trans-23\nferred: Provided further , That upon a determination that 24\nall or part of the funds transferred from this appropriation 25 137 \n•HR 3326 EHare not necessary for the purposes provided herein, such 1\nfunds may be transferred back to this appropriation: Pro- 2\nvided further , That the transfer authority provided herein 3\nis in addition to any other transfer authority available to 4\nthe Department of Defense: Provided further , That the 5\namount under this heading is designated as being for over-6\nseas deployments and other activities pursuant to section 7\n423(a)(1) of S. Con. Res. 13 (111th Congress), the con-8\ncurrent resolution on the budget for fiscal year 2010. 9\nMINERESISTANT AMBUSH PROTECTED VEHICLE FUND 10\n(INCLUDING TRANSFER OF FUNDS) 11\nFor the Mine Resistant Ambush Protected Vehicle 12\nFund, $3,606,000,000, to remain available until Sep-13\ntember 30, 2011: Provided , That such funds shall be avail- 14\nable to the Secretary of Defense, notwithstanding any 15\nother provision of law, to procure, sustain, transport, and 16\nfield Mine Resistant Ambush Protected vehicles: Provided 17\nfurther , That the Secretary shall transfer such funds only 18\nto appropriations for operation and maintenance; procure-19\nment; research, development, test and evaluation; and de-20\nfense working capital funds to accomplish the purpose pro-21\nvided herein: Provided further , That this transfer author- 22\nity is in addition to any other transfer authority available 23\nto the Department of Defense: Provided further , That 24\nupon a determination that all or part of the funds trans-25 138 \n•HR 3326 EHferred from this appropriation are not necessary for the 1\npurposes provided herein, such funds may be transferred 2\nback to this appropriation: Provided further , That the Sec- 3\nretary shall, not fewer than 10 days prior to making trans-4\nfers from this appropriation, notify the congressional de-5\nfense committees in writing of the details of any such 6\ntransfer: Provided further , That the amount under this 7\nheading is designated as being for overseas deployments 8\nand other activities pursuant to section 423(a)(1) of S. 9\nCon. Res. 13 (111th Congress), the concurrent resolution 10\non the budget for fiscal year 2010. 11\nRESEARCH, DEVELOPMENT, TEST AND 12\nEVALUATION 13\nRESEARCH , DEVELOPMENT , TEST AND EVALUATION , 14\nARMY 15\nFor an additional amount for ‘‘Research, Develop- 16\nment, Test and Evaluation, Army’’, $57,962,000, to re-17\nmain available until September 30, 2011: Provided , That 18\nthe amount under this heading is designated as being for 19\noverseas deployments and other activities pursuant to sec-20\ntion 423(a)(1) of S. Con. Res. 13 (111th Congress), the 21\nconcurrent resolution on the budget for fiscal year 2010. 22 139 \n•HR 3326 EHRESEARCH , DEVELOPMENT , TEST AND EVALUATION , 1\nNAVY 2\nFor an additional amount for ‘‘Research, Develop- 3\nment, Test and Evaluation, Navy’’, $38,280,000, to re-4\nmain available until September 30, 2011: Provided , That 5\nthe amount under this heading is designated as being for 6\noverseas deployments and other activities pursuant to sec-7\ntion 423(a)(1) of S. Con. Res. 13 (111th Congress), the 8\nconcurrent resolution on the budget for fiscal year 2010. 9\nRESEARCH , DEVELOPMENT , TEST AND EVALUATION , 10\nAIRFORCE 11\nFor an additional amount for ‘‘Research, Develop- 12\nment, Test and Evaluation, Air Force’’, $29,286,000, to 13\nremain available until September 30, 2011: Provided , 14\nThat the amount under this heading is designated as 15\nbeing for overseas deployments and other activities pursu-16\nant to section 423(a)(1) of S. Con. Res. 13 (111th Con-17\ngress), the concurrent resolution on the budget for fiscal 18\nyear 2010. 19\nRESEARCH , DEVELOPMENT , TEST AND EVALUATION , 20\nDEFENSE -WIDE 21\nFor an additional amount for ‘‘Research, Develop- 22\nment, Test and Evaluation, Defense-Wide’’, 23\n$115,826,000, to remain available until September 30, 24\n2011: Provided , That the amount under this heading is 25 140 \n•HR 3326 EHdesignated as being for overseas deployments and other 1\nactivities pursuant to section 423(a)(1) of S. Con. Res. 2\n13 (111th Congress), the concurrent resolution on the 3\nbudget for fiscal year 2010. 4\nREVOLVING AND MANAGEMENT FUNDS 5\nDEFENSE WORKING CAPITAL FUNDS 6\nFor an additional amount for ‘‘Defense Working 7\nCapital Funds’’, $412,215,000: Provided , That the 8\namount under this heading is designated as being for over-9\nseas deployments and other activities pursuant to section 10\n423(a)(1) of S. Con. Res. 13 (111th Congress), the con-11\ncurrent resolution on the budget for fiscal year 2010. 12\nOTHER DEPARTMENT OF DEFENSE PROGRAMS 13\nDEFENSE HEALTH PROGRAM 14\nFor an additional amount for ‘‘Defense Health Pro- 15\ngram’’, $1,155,235,000, which shall be for operation and 16\nmaintenance: Provided , That the amount under this head- 17\ning is designated as being for overseas deployments and 18\nother activities pursuant to section 423(a)(1) of S. Con. 19\nRes. 13 (111th Congress), the concurrent resolution on 20\nthe budget for fiscal year 2010. 21\nDRUG INTERDICTION AND COUNTER -DRUG ACTIVITIES 22\n(INCLUDING TRANSFER OF FUNDS) 23\nFor an additional amount for ‘‘Drug Interdiction and 24\nCounter-Drug Activities’’, $317,603,000, to remain avail-25 141 \n•HR 3326 EHable until September 30, 2011: Provided , That the amount 1\nunder this heading is designated as being for overseas de-2\nployments and other activities pursuant to section 3\n423(a)(1) of S. Con. Res. 13 (111th Congress), the con-4\ncurrent resolution on the budget for fiscal year 2010. 5\nJOINT IMPROVISED EXPLOSIVE DEVICE DEFEAT FUND 6\n(INCLUDING TRANSFER OF FUNDS) 7\nFor an additional amount for ‘‘Joint Improvised Ex- 8\nplosive Device Defeat Fund’’, $1,490,000,000, of which 9\n$730,000,000 shall be for Attack the Network, to remain 10\navailable until September 30, 2011; $600,000,000 shall be 11\nfor Defeat the Device, to remain available until September 12\n30, 2012; and $160,000,000 shall be for Train the Force, 13\nto remain available until September 30, 2010: Provided , 14\nThat the amount under this heading is designated as 15\nbeing for overseas deployments and other activities pursu-16\nant to section 423(a)(1) of S. Con. Res. 13 (111th Con-17\ngress), the concurrent resolution on the budget for fiscal 18\nyear 2010. 19\nOFFICE OF THE INSPECTOR GENERAL 20\nFor an additional amount for the ‘‘Office of the In- 21\nspector General’’, $8,876,000: Provided , That the amount 22\nunder this heading is designated as being for overseas de-23\nployments and other activities pursuant to section 24 142 \n•HR 3326 EH423(a)(1) of S. Con. Res. 13 (111th Congress), the con-1\ncurrent resolution on the budget for fiscal year 2010. 2\nGENERAL PROVISIONS—THIS TITLE 3\nSEC. 9001. Notwithstanding any other provision of 4\nlaw, funds made available in this title are in addition to 5\namounts appropriated or otherwise made available for the 6\nDepartment of Defense for fiscal year 2010. 7\n(INCLUDING TRANSFER OF FUNDS) 8\nSEC. 9002. Upon the determination of the Secretary 9\nof Defense that such action is necessary in the national 10\ninterest, the Secretary may, with the approval of the Of-11\nfice of Management and Budget, transfer up to 12\n$3,000,000,000 between the appropriations or funds made 13\navailable to the Department of Defense in this title, with 14\nthe exception of the ‘‘Overseas Contingency Operations 15\nTransfer Fund’’: Provided , That the Secretary shall notify 16\nthe Congress promptly of each transfer made pursuant to 17\nthe authority in this section: Provided further , That the 18\nauthority provided in this section is in addition to any 19\nother transfer authority available to the Department of 20\nDefense and is subject to the same terms and conditions 21\nas the authority provided in the Department of Defense 22\nAppropriations Act, 2010: Provided further , That the 23\namount in this section is designated as being for overseas 24\ndeployments and other activities pursuant to section 25 143 \n•HR 3326 EH423(a)(1) of S. Con. Res. 13 (111th Congress), the con-1\ncurrent resolution on the budget for fiscal year 2010. 2\nSEC. 9003. Supervision and administration costs as- 3\nsociated with a construction project funded with appro-4\npriations available for operation and maintenance or the 5\n‘‘Afghanistan Security Forces Fund’’ provided in this Act 6\nand executed in direct support of overseas contingency op-7\nerations in Afghanistan or Iraq, may be obligated at the 8\ntime a construction contract is awarded: Provided , That 9\nfor the purpose of this section, supervision and adminis-10\ntration costs include all in-house Government costs. 11\nSEC. 9004. From funds made available in this title, 12\nthe Secretary of Defense may purchase motor vehicles for 13\nuse by military and civilian employees of the Department 14\nof Defense in Iraq and Afghanistan, up to a limit of 15\n$75,000 per vehicle, notwithstanding other limitations ap-16\nplicable to passenger carrying motor vehicles. 17\nSEC. 9005. Not to exceed $1,300,000,000 of the 18\namount appropriated in this title under the heading ‘‘Op-19\neration and Maintenance, Army’’ may be used, notwith-20\nstanding any other provision of law, to fund the Com-21\nmander’s Emergency Response Program, for the purpose 22\nof enabling military commanders in Iraq and Afghanistan 23\nto respond to urgent humanitarian relief and reconstruc-24\ntion requirements within their areas of responsibility: Pro- 25 144 \n•HR 3326 EHvided , That not later than 15 days after the end of each 1\nfiscal year quarter, the Secretary of Defense shall submit 2\nto the congressional defense committees a report regard-3\ning the source of funds and the allocation and use of funds 4\nduring that quarter that were made available pursuant to 5\nthe authority provided in this section or under any other 6\nprovision of law for the purposes described herein: Pro- 7\nvided further , That, of the funds provided, $500,000,000 8\nshall not be available until 5 days after the Secretary of 9\nDefense has completed a thorough review of the Com-10\nmander’s Emergency Response Program and provided a 11\nreport on his findings to the congressional defense com-12\nmittees. 13\nSEC. 9006. Funds available to the Department of De- 14\nfense for operation and maintenance may be used, not-15\nwithstanding any other provision of law, to provide sup-16\nplies, services, transportation, including airlift and sealift, 17\nand other logistical support to coalition forces supporting 18\nmilitary and stability operations in Iraq and Afghanistan: 19\nProvided , That the Secretary of Defense shall provide 20\nquarterly reports to the congressional defense committees 21\nregarding support provided under this section. 22\n(INCLUDING TRANSFER OF FUNDS) 23\nSEC. 9007. During fiscal year 2010 and from funds 24\nin the ‘‘Defense Cooperation Account’’, as established by 25 145 \n•HR 3326 EH10 U.S.C. 2608, the Secretary of Defense may transfer 1\nnot to exceed $6,500,000 to such appropriations or funds 2\nof the Department of Defense as the Secretary shall deter-3\nmine for use consistent with the purposes for which such 4\nfunds were contributed and accepted: Provided , That such 5\namounts shall be available for the same time period as 6\nthe appropriation to which transferred: Provided further , 7\nThat the Secretary shall report to the Congress all trans-8\nfers made pursuant to this authority: Provided further , 9\nThat the amount in this section is designated as being 10\nfor overseas deployments and other activities pursuant to 11\nsection 423(a)(1) of S. Con. Res. 13 (111th Congress), 12\nthe concurrent resolution on the budget for fiscal year 13\n2010. 14\nSEC. 9008. None of the funds appropriated or other- 15\nwise made available by this or any other Act shall be obli-16\ngated or expended by the United States Government for 17\na purpose as follows: 18\n(1) To establish any military installation or 19\nbase for the purpose of providing for the permanent 20\nstationing of United States Armed Forces in Iraq. 21\n(2) To exercise United States control over any 22\noil resource of Iraq. 23\n(3) To establish any military installation or 24\nbase for the purpose of providing for the permanent 25 146 \n•HR 3326 EHstationing of United States Armed Forces in Af- 1\nghanistan. 2\nSEC. 9009. None of the funds made available in this 3\nAct may be used in contravention of the following laws 4\nenacted or regulations promulgated to implement the 5\nUnited Nations Convention Against Torture and Other 6\nCruel, Inhuman or Degrading Treatment or Punishment 7\n(done at New York on December 10, 1984): 8\n(1) Section 2340A of title 18, United States 9\nCode. 10\n(2) Section 2242 of the Foreign Affairs Reform 11\nand Restructuring Act of 1998 (division G of Public 12\nLaw 105–277; 112 Stat. 2681–822; 8 U.S.C. 1231 13\nnote) and regulations prescribed thereto, including 14\nregulations under part 208 of title 8, Code of Fed- 15\neral Regulations, and part 95 of title 22, Code of 16\nFederal Regulations. 17\n(3) Sections 1002 and 1003 of the Department 18\nof Defense, Emergency Supplemental Appropriations 19\nto Address Hurricanes in the Gulf of Mexico, and 20\nPandemic Influenza Act, 2006 (Public Law 109– 21\n148). 22\nSEC. 9010. (a) R EPORT ON IRAQTROOP DRAWDOWN 23\nSTATUS , GOALS , AND TIMETABLE .—In recognition and 24\nsupport of the policy of President Barack Obama to with-25 147 \n•HR 3326 EHdraw all United States combat brigades from Iraq by Au-1\ngust 31, 2010, and all United States military forces from 2\nIraq on December 31, 2011, Congress directs the Sec-3\nretary of Defense (in consultation with other members of 4\nthe National Security Council) to prepare a report that 5\nidentifies troop drawdown status and goals and includes— 6\n(1) a detailed, month-by-month description of 7\nthe transition of United States military forces and 8\nequipment out of Iraq; and 9\n(2) a detailed, month-by-month description of 10\nthe transition of United States contractors out of 11\nIraq. 12\n(b) E LEMENTS OF REPORT .—At a minimum, the 13\nSecretary of Defense shall address the following: 14\n(1) How the Government of Iraq is assuming 15\nthe responsibility for reconciliation initiatives as the 16\nmission of the United States Armed Forces transi- 17\ntions. 18\n(2) How the drawdown of military forces com- 19\nplies with the President’s planned withdrawal of 20\ncombat brigades by August 31, 2010, and all United 21\nStates forces by December 31, 2011. 22\n(3) The roles and responsibilities of remaining 23\ncontractors in Iraq as the United States mission 24\nevolves, including the anticipated number of United 25 148 \n•HR 3326 EHStates contractors to remain in Iraq after August 1\n31, 2010, and December 31, 2011. 2\n(c) S UBMISSION .— 3\n(1) Not later than 90 days after the date of en- 4\nactment of this Act, and every 90 days thereafter 5\nthrough September 30, 2010, the Secretary of De- 6\nfense shall submit the report required by subsection 7\n(a) and a classified annex to the report, as nec- 8\nessary. 9\n(2) The Secretary may submit the report re- 10\nquired by subsection (a) separately as provided in 11\nparagraph (1) or include the information required by 12\nthis report when submitting reports required of the 13\nSecretary under section 9204 of the Supplemental 14\nAppropriations Act, 2008 (Public Law 110–252; 15\n122 Stat. 2410). 16\nTITLE X 17\nADDITIONAL GENERAL PROVISIONS 18\nSEC. 1001. Not later than 60 days after the date of 19\nthe enactment of this Act, the Secretary of Defense shall 20\nsubmit to Congress a report on the use of hyperbaric oxy-21\ngen therapy (in this section referred to as ‘‘HBOT’’) 22\nunder the Secretary of Defense. Such report shall include 23\nthe following: 24 149 \n•HR 3326 EH(1) The number of members of the Armed 1\nForces, veterans, and civilians being treated with 2\nHBOT. 3\n(2) The types of conditions being treated with 4\nHBOT and the respective success rates for each con- 5\ndition. 6\n(3) The current inventory of all hyperbaric 7\nchambers being used by the Secretary of Defense 8\n(including the locations, the purposes, and the rate 9\nof use of such chambers). 10\n(4) Any plans for expanding the use of HBOT 11\nfor treatment. 12\nThis Act may be cited as the ‘‘Department of Defense 13\nAppropriations Act, 2010’’. 14\nPassed the House of Representatives July 30, 2009. Attest: \nClerk. 111 THCONGRESS \n1STSESSION H. R. 3326 \nAN ACT \nMaking appropriations for the Department of De-\nfense for the fiscal year ending September 30, 2010, and for other purposes. " }

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{ "pdf_file": "D4FEEQXJJDKXQ2NSXGTBKS64QRHHP65I.pdf", "text": "1Greg Addington\nAssistant U.S. Attorney\nSusan L. Schneider, Trial Attorney\nU.S. Department of JusticeEnvironment and Natural Resources Div.1961 Stout Street, 8\nth floor\nDenver, Colorado 80294303/844-1348susan.schneider@usdoj.gov\nAttorneys for the United States of America\nIN THE UNITED STATES DISTRICT COURT\nFOR THE DISTRICT OF NEVADA\nUNITED STATES OF AMERICA, )\n)\nPlaintiff, )\n)\nWALKER RIVER PAIUTE TRIBE, )\n)\nPlaintiff-Intervenor, )\n)\nvs. )\n)\nWALKER RIVER IRRIGATION DISTRICT, )a corporation, et al., )\n)\nDefendants. )\n \n)IN EQUITY NO. C-125-ECR\nSubproceeding: C-125-B \nREPORT OF THE COMMITTEE OF\nCERTAIN PARTIES REGARDINGCASE MANAGEMENT ISSUESASSIGNED BY THE COURT\nDuring the May 29, 2007, status conference in this action, the Court ordered that counsel\nfor certain parties form a committee to discuss eight designated case management issues and tofile a summary of accomplishments prior to the status conference set for August 20, 2007. \nMinutes of Court (May 29, 2007). The following summarizes the accomplishments of this group\nand the status of their discussions and continuing efforts to address some of these issues.\nThe attorneys who participated in some or all of this effort are: Susan Schneider, UnitedCase 3:73-cv-00127-RCJ-WGC Document 1216 Filed 08/10/07 Page 1 of 10 2Statesof America (“United States”); Wes Williams, Jr., Walker River Paiute Tribe (“Tribe”);\nSimeon Herskovits, Mineral County/Walker Lake Working Group (“MC/WLWG”); JohnHoward and William Schaeffer, D.Haight/the Landolts; Laura R. Schroeder, Reviglio; KarenPeterson, U.S. Board of Water Commissioners (“U.S. Board”); Marta Adams, Nevada Dept. ofWildlife (“Nevada”); Dale Ferguson, Walker River Irrigation District (“WRID”). As statedbelow, some of the attorneys have opted out of working on certain issues.\nThe group met by telephone on four occasions: June 14, 27; July 24; and August 9, 2007. \nIn addition, various participants conferred on other occasions. The following summarizes effortsand accomplishments according to each of the eight tasks assigned. \nThis report has been authorized by the members of the committee or their delegates to be\nfiled on behalf of the committee. On August 9, 2007, Attorney Howard stated that he expects to\nfile his own report and agrees in part and disagrees in part with the committee report, butdeclined to identify his specific concerns. Attorney Schroeder may join in this separate report.\n1. Procedure for service of pleadings\na. Participants: \nAttorneys Howard/Schaeffer and Schroeder have opted out of working on this issue.b. Status of the parties’ efforts: This issue requires consideration of a number of applicable requirements, including: In\nre Authorization for Conversion to Case Management/Electronic Case Filing (CM/ECF) ,\nSpecial Order 109Y (Sept. 29, 2005) (“Special Or der 109Y”); U.S. Dist Ct., D. Nev., Electronic\nFiling Procedures (rev. Aug. 24, 2006); and Fed. R. Civ. P. 5. An approach to this issue alsorequires consultation with the Court Clerk’s Office, which effort has begun, and requiresCase 3:73-cv-00127-RCJ-WGC Document 1216 Filed 08/10/07 Page 2 of 10 3consideration of the use and application of PACER. \nThe parties have begun to discuss these requirements and various approaches to this issue\nand will be prepared to discuss these issues in further detail and identify some approaches underconsideration with the Court during the upcoming status conference.\n2. Parties to the litigation:\na. Participants: \nAttorneys Howard/Schaeffer and Schroeder have opted out of working on this issue. \nAttorneys Schneider, Peterson and Adams have taken the lead on this issue with review andadditional work to be provided by Attorneys Ferguson and Herskowits. \nb. Scope of this Issue: The parties believe this issue focuses on the need to correct, update and coordinate with\nthe Court Clerk’s office regarding the Certificate of Service (“COS”) in this case. The parties\nwish to confirm their understanding of the scope of this issue with the Court on August 20, 2007. \nFurthermore, the attorneys working on this issue believe that the COS in each of the three casesrequire corrections and updating and have focused their efforts accordingly. As a basic matter,the Court and the parties will conserve resources if each COS is updated and all attorneys arerequired to comply with the Court’s requirement that they register for e-file. \nc. Coordination with Clerk’s Office: Attorneys Schneider and Peterson have each discussed this issue briefly with the Clerk’s\nOffice, and Attorney Peterson has arranged a mee ting with Lia Griffin of the Clerk’s Office for\nthe morning of August 20, 2007. Case 3:73-cv-00127-RCJ-WGC Document 1216 Filed 08/10/07 Page 3 of 10 4d. C-125:\nOn July 9, 2007, Attorneys Adams, Peterson and Schneider reviewed the Court’s COS\nand their own COS’s, identified names to be dropped, and divided inquiries to be made amongthemselves. We will be able to provide a preliminary list of proposed corrections and changes tothe Court on August 20, 2007, but are uncertain how the Court and/or Clerk’s Office wants thisinformation transmitted and if it requires additional filings (e.g., whether each attorney wepropose to delete from the COS must ask to be deleted). We anticipate being able to provideadditional information after we meet with the Clerk’s Office on the morning of the scheduledstatus conference.\ne. C-125-B:This review has not yet begun. This review can be divided into a review of the “core\ngroup of attorneys,” additional attorneys, and pro se parties who have filed notices ofappearance. Parties who have been dismissed should be removed from the COS, if that has notalready occurred. We anticipate discussing a process for this review with the Clerk’s Office.\nf. C-125-C:This review has not yet begun. Attorney Herskovits will take the lead on this effort. The\nState and WRID have indicated they have concerns and will be speaking further with AttorneyHerskowits.\n3. Making discovery requests :\na. The Court’s directions: \nThe Court directed the committee to consider if there is a way to use a standard set of\ndiscovery to be served by the defendants on the pl aintiffs and the plaintiffs on the defendants thatCase 3:73-cv-00127-RCJ-WGC Document 1216 Filed 08/10/07 Page 4 of 10 5would encompass most of the issues identified. The parties were to discuss procedures for such\ndiscovery. The Court recognized that implementation of discovery was “down the road.” Tr. at13-15, 35.\nb. Status of the parties’ efforts:The parties agree that use of a standard set of interrogatories and document production\nrequests may be useful, but there is not yet universal agreement as to how it may be helpful inthis case. The parties agree that the substantive content of any standard discovery cannot beprepared until the identity of legal theories and threshold issues has occurred, if not later. Consequently, assuming such an approach is appropriate for this case, they have agreed to holdoff preparing the substantive content of any such discovery. In the meantime, the parties agreethat additional investigatory work can be done now to identify instances where such discoveryhas been used and consider the procedural requirements for such an approach to discovery. Theparties agreed to consult other attorneys about such an approach and to collect and shareinformation on specific approaches used in other cases Their initial date to begin to share suchinformation is August 10, 2007. \n4. Website proposition:\na. The Court’s directions:\nThe Court directed the parties to consider the idea of a website and use of the Internet,\nand noted that the parties would need to consider such issues as the purposes to be served, whowould implement and maintain a website, and who would be responsible for the costs of such aneffort. Tr. at 13.Case 3:73-cv-00127-RCJ-WGC Document 1216 Filed 08/10/07 Page 5 of 10 6b. Status of the parties’ efforts:\nThe parties view the general concept of using a website favorably, but there is currently\nno agreement on the use of a website and the purposes to be served by a website (e.g., pleadingscompilation, document repository, discovery production) and how that might relate to the othercase management issues under discussion. Based on the review and scrutiny of preliminaryinvestigations into one possible service provider, the parties agree that they do not havesufficient information on available technology and related costs for the various purposes forwhich a website might be used. Consequently, as an initial matter, the parties agree that theseissues require further investigation, which is ongoing. \n5. Method for dealing with persons without access to website:\nThe parties have discussed this issue and determined that it should be deferred pending\nfurther discussion and possible resolution of rela ted case management issues (e.g., procedure for\nservice of pleadings; website proposal). The resolution of some of these issues may address thisissue. We also note Chief Judge Pro’s determ ination in Special Order 109Y that “the CM/ECF\nSystem provides adequate procedures for the filing, review and retrieval of documents by partieswho are not able to access the Electronic Filing System from a remote location.”\n6. Target date for completion of service:\na. C-125-B: \nThe United States and Tribe have identified a “target date” for the completion of service\nof the end of calendar year 2008. On May 29, 2007, the United States noted before the Courtthat this date is not “carved in stone” and does not include publication, challenges, etc. to thecompletion of service. Tr. at 9-11.Case 3:73-cv-00127-RCJ-WGC Document 1216 Filed 08/10/07 Page 6 of 10 7b. C-125-C: \nMC/WLWG has identified a “target date” for the completion of service of the end of\ncalendar year 2008. MC/WLWG also asserts that this date does not include publication,challenges, etc., to the completion of service. \n7. Set forth a schedule to identify legal issues and preliminary determination of legal\nissues\na. The Court’s directions:\nThe Court directed the committee “to discuss and perhaps set forth a schedule, if you can\nagree on it, for the identity of legal issues and preliminary determination of threshold issues. . . . It makes some sense to me that the plaintiffs disclose their legal issues first and then thedefendants sometime after that.” Tr. at 35. \nb. Identification of Legal Issues: \ni. Scope of this Issue: \nThe parties agree that this issue concerns just C-125-B and does not address C-125-C,\nand is limited to Phase One of the C-125-B litigation, which addresses the claims of/on behalf ofthe Walker River Paiute Tribe. Further, the parties agree that the form of this identification maybe brief (e.g. John Howard: Just a “one-pager”).\nii. Schedule for identification of legal theories: \nNote - all deadlines are subject to adjustment.\n(1) U.S. and tribe: 45 days Oct. 4, 2007(2) defendants: 45 days thereafter Nov. 19, 2007\nc. Schedule to discuss and identify threshold issues:\ni. Parties to exchange proposed threshold issues among themselves: Case 3:73-cv-00127-RCJ-WGC Document 1216 Filed 08/10/07 Page 7 of 10 8[90 days after defendants provide their legal theories] Feb. 18, 2008\nii. Parties to confer within 30 days after proposed threshold issues are\nexchanged. March 19, 2008\niii. Parties to report to Court on status of this work at the following status\nconference or at another date set by the Court.\n8. Modification of service package of domestic users:\nThe parties have deferred to Attorneys Schneider and Ferguson to address this issue. \nThey will present suggested changes to the service package regarding domestic users and mayalso suggest further changes to the package that may assist with other case management issues.\n9. Next Steps: \nThe parties’ efforts are continuing and they will provide the Court with an additional\nreport before the next status conference or as directed by the Court.\nRespectfully submitted, Susan L. Schneider\nU.S. Department of JusticeEnvironment and Natural Resources Div.Indian Resources Section1961 Stout Street, 8\nth Floor \nDenver, CO 80294303 844-1348\nBy:/s/ Susan L. Schneider \n Susan L. Schneider\nDate: August 10, 2007 \nAttorney for the United States of America\nCERTIFICATE OF SERVICECase 3:73-cv-00127-RCJ-WGC Document 1216 Filed 08/10/07 Page 8 of 10 9I hereby certify that on August 10, 2007, I served or caused to have served a true and\ncorrect copy of the foregoing REPORT OF THE COMMITTEE OF CERTAIN PARTIESREGARDING CASE MANAGEMENT ISSUES A SSIGNED BY THE COURT by electronic\nmail or first-class mail, postage prepaid, addressed to the following persons: \nMarta Adams\nDeputy Attorney GeneralState of Nevada100 N. Carson StreetCarson City, NV 89701-4717\nGreg Addington\nAsst. U. S. Attorney 100 W. Liberty St., Suite 600Reno, NV 89509\nGeorge N. Benesch\n190 W. Huffaker Lane, Ste. 408Reno, Nevada 89511\nKaren Peterson\nAllison, MacKenzie, Pavlakis, Wright &Fagan, Ltd.402 North Division Street, P.O. Box 646Carson City, Nevada 89702\nGordon H. DePaoli\nDale E. Ferguson, Esq.Woodburn and Wedge 6100 Neil Road, Suite 500Reno, NV 89511\nCheri Emm-Smith \nMineral County District AttorneyP.O. Box 1210Hawthorne, NV 89415Simeon Herskovits\nAdvocates for Community & Environment129 - C Kit Carson Rd.Taos, NM 87571\nJohn Kramer \nDepartment of Water Resources1416 Ninth StreetSacramento, CA 94814\nMichael Neville, Deputy Atty. General\nDOJ, Off. of the Attorney General455 Golden Gate Avenue, Suite 11000San Francisco, CA 94102-7004\nErin K. L. Mahaney\nOffice of Chief CounselState Water Resources Control Board1001 I Street, 22\nnd Floor\nSacramento, CA 95814\nWes Williams Jr.\nLaw Offices of Wes Williams Jr.P.O. Box 100Schurz, NV 89427\nDavid L. Negri\nUnited States Department of JusticeEnv. and Natural Resources Division161 E. Mallard Dr., Suite ABoise, ID 83706\nJeff Parker, Deputy Atty General\nOffice of the Attorney General100 N. Carson St.Carson City, NV 89701-4717Case 3:73-cv-00127-RCJ-WGC Document 1216 Filed 08/10/07 Page 9 of 10 10Marshall S. Rudolph, County Counsel\nStacey Simon, Deputy County CounselMono CountyP.O. Box 2415Mammoth Lakes, CA 93546-2415\nDistrict Attorney\nLyon County31 S. Main St.Yerington, NV 89447\nJim Shaw\nChief Dep. Water CommissionerU. S. Board of Water CommissionersPost Office Box 853Yerington, NV 89447\nKen Spooner\nWalker River Irrigation DistrictP. O. Box 820Yerington, NV 89447\n* * * * * *\nJohn W. Howard\n625 Broadway, Suite 1206San Diego, CA 92101\nTodd Plimpton\nBelanger & Plimpton1135 Central AvenueP. O. Box 59Lovelock, NV 89419\nWilliam E. Schaeffer\nP.O. Box 936Battle Mountain, NV 89820 \nLaura A. Schroeder\nSchroeder Law Offices, P.C.1915 N.E. 39\nth Ave.\nP.O. Box 12527Portland, Oregon 97212-0527* * * * \nWesley G. Beverlin\nMalissa Hathaway McKeithLewis, Brisbois, Bisgaard & Smith LCP221 N. Figueroa St., Suite 1200Los Angeles, CA 90012\nMichael D. Hoy\nBible Hoy & Trachok201 West Liberty Street, Third FloorReno, NV 89511\nTimothy A. Lukas\nP. O. Box 3237Reno, NV 89505\n/s/ Yvonne M. Marsh \nYvonne M. Marsh, Paralegal Specialist Case 3:73-cv-00127-RCJ-WGC Document 1216 Filed 08/10/07 Page 10 of 10" }

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{ "pdf_file": "QZTQ7BCZVBR4UKL4M73HH7TX4ZVROQCS.pdf", "text": "page 1 of 7 Mon Sep 07 00:55:16 EDT 2009 580410030000  New York State Education Department\nSpecial Education\nSchool District Data Profile for\nCommack Union Free School District for 2007-08\n  Vocational and Educational Services for Individuals with Disabilities\nSpecial Education School District Data Profile for 2007-08\nThe Special Education School District Data Profile is prepared in accordance with the requirement of the Individuals with Disabilities Education Act (IDEA). Each State must have \na State Performance Plan (SPP) to evaluate the State's efforts to meet the requirements and purposes of the implementation of IDEA. The SPP is a six-year plan which describes \nNew York State's performance on 20 indicators. States must report annually to the public on the performance of the State in an Annual Performance Report (APR) and each \nschool district against the State's targets. New York State's SPP and the APR that describe these indicators in detail are available at \nhttp://www.vesid.nysed.gov/specialed/spp/home.html .\nThe following report reflects only quantifiable data collected by the State. Since performance of a school district in any indicator may be the result of unique circumstances within \na district, readers are encouraged to consider information provided by the district's administration in interpreting these data.\nEnrollment and Classification Rate\n  2007-08\nEnrollment of school-age students with disabilities on December 3 952\nDistrict enrollment (public and nonpublic school-age students - with and without disabilities) on the first Wednesday in \nOctober8,283\nSpecial education classification rate 11.5%\nEnrollment of preschool students with disabilities on December 1 134\nIndicator 1: Graduation Rate of Students with Disabilities\n 2007-08\n(2004 Total Cohort four years later \nas of June 30, 2008)2007-08\n(2003 Total Cohort five years later as \nof June 30, 2008)\nNumber of students with disabilities who first entered 9th grade anywhere (or if \nungraded, became 17 years old) in 2004-0563  \nNumber of students with disabilities who first entered 9th grade anywhere (or if \nungraded, became 17 years old) in 2003-04  80\nGraduation rate 77.8% 88.8%\nState target for 2007-08 38% or higher No State Target\nMeets State target? Yes Not Applicable page 2 of 7 Mon Sep 07 00:55:16 EDT 2009 580410030000  New York State Education Department\nSpecial Education\nSchool District Data Profile for\nCommack Union Free School District\n  Vocational and Educational Services for Individuals with Disabilities\nIndicator 2: Drop-Out Rate of Students with Disabilities\n 2007-08\n(2004 Total Cohort as of June 30, 2008)\nNumber of students with disabilities who first entered 9th grade anywhere (or if ungraded, became 17 years old) in \n2004-05 school year63\nDrop-out rate after four years 3.2%\nState target for 2007-08 19% or lower\nMeets State target? Yes\nIndicator 3: State Assessments\nParticipation in State Assessments2007-08\nGrades\n3-8\nEnglish Language Arts \n(ELA)Grades\n3-8\nMathHigh School\nEnglish Language Arts \n(ELA)High School\nMath\nEnrollment of students with disabilities for participation rate 482 483 54 54\nParticipation rate 99% 100% 98% 100%\nState target for 2007-08 95% 95% 95% 95%\nMeets State target? Yes Yes Yes Yes\nPerformance on State Assessments and Adequate Yearly \nProgress (AYP)2007-08\nGrades\n3-8\nEnglish Language Arts \n(ELA)Grades\n3-8\nMathHigh School\nEnglish Language Arts \n(ELA)High School\nMath\nEnrollment of students with disabilities for performance \naccountability477 477 63 63\nScore on performance index 144 159 171 183\nState target for 2007-08 101 110 124 134\nMeets State target? Yes Yes Yes Yes\nMade AYP? Yes Yes Yes Yes page 3 of 7 Mon Sep 07 00:55:16 EDT 2009 580410030000  New York State Education Department\nSpecial Education\nSchool District Data Profile for\nCommack Union Free School District\n  Vocational and Educational Services for Individuals with Disabilities\nIndicator 4: Suspensions/Expulsions\nLong-term Suspension Rate 2007-08\nNumber of students with disabilities suspended out-of-school for more than 10 days 3\nNumber of students with disabilities enrolled on December 3 952\nPercent of students with disabilities suspended out-of-school for more than 10 days 0.3%\nState target for 2007-08 2.7% or lower\nMeets State target? Yes\nIndicator 5: School-age Least Restrictive Environment (LRE)\n  2007-2008\nNumber of students with disabilities ages 6-21 \non December 3913\n Percent of students with disabilities in general education \nprogram for: In\nseparate\nschools / \nfacilitiesIn\nOther\nSettings80% or\nmore of\nthe day40 to 79%\nof the dayLess than\n40% of\nthe day\nPercent of students ages 6-21 in each setting 71% 7.2% 18.2% 3.3% 0.3%\nState target for 2007-08 More than 53.1% No State Target Less than 24.6% Less than 6.8% No State Target\nMeets State target? Yes Not Applicable Yes Yes Not Applicable\nIndicator 6: Preschool Least Restrictive Environment (LRE)\nThe data for this indicator are not presented because the LRE reporting categories for preschool children with disabilities are under review by the United States Department of \nEducation. page 4 of 7 Mon Sep 07 00:55:16 EDT 2009 580410030000  New York State Education Department\nSpecial Education\nSchool District Data Profile for\nCommack Union Free School District\n  Vocational and Educational Services for Individuals with Disabilities\nIndicator 7: Preschool Outcomes\nIf data are not provided for this indicator, see the schedule posted at http://www.vesid.nysed.gov/sedcar/sppschedule.html for the school year in which this school district will \nreport data for this indicator.\n 2007-08\nPositive\nSocial - \nEmotional SkillsAcquisition and Use of \nKnowledge & SkillsUse of\nAppropriate \nBehaviors\nto Meet\ntheir Needs\nNumber of preschool students with disabilities evaluated for progress between entry into \npreschool special education and exit from preschool special education\nPercent of preschool students with disabilities who demonstrate improvement\nState target for 2007-08 To Be Established To Be Established To Be Established\nMeets State target?\nIndicator 8: Parental Involvement\nIf data are not provided for this indicator, see the schedule posted at http://www.vesid.nysed.gov/sedcar/sppschedule.html for the school year in which this school district will \nreport data for this indicator.\n  2007-08\nNumber of completed parent surveys returned\nPercent of parents who reported that schools facilitated parent involvement to improve services and results for students with \ndisabilities\nState target for 2007-08 87.5% or higher\nMeets State target?\nIndicator 9: Disproportionality - Identification for Special Education\n  2007-08\nDid the school district have disproportionate representation of racial and ethnic groups in special \neducation and related services that was the result of inappropriate policies, practices and procedures?No\nState target for 2007-08No school districts will have disproportionality that is the result \nof inappropriate policies, practices and procedures.\nMeets State target? Yes\nDate the district reported correction of noncompliance for this indicator if it did not meet the State \ntargetNot Applicable page 5 of 7 Mon Sep 07 00:55:16 EDT 2009 580410030000  New York State Education Department\nSpecial Education\nSchool District Data Profile for\nCommack Union Free School District\n  Vocational and Educational Services for Individuals with Disabilities\nIndicator 10A: Disproportionality in Specific Disability Categories\n  2007-08\nDid the school district have disproportionate representation of racial and ethnic groups in specific \ndisability categories that was the result of inappropriate policies, practices and procedures?No\nState target for 2007-08No school districts will have disproportionality that is the result \nof inappropriate policies, practices and procedures.\nMeets State target? Yes\nDate the district reported correction of noncompliance for this indicator if it did not meet the State \ntargetNot Applicable\nIndicator 10B: Disproportionality in Special Education Placements\n  2007-08\nDid the school district have disproportionate representation of racial and ethnic groups in \nparticular settings that was the result of inappropriate policies, practices and procedures?No\nState target for 2007-08No school districts will have disproportionality that is the result of \ninappropriate policies, practices and procedures.\nMeets State target? Yes\nDate the district reported correction of noncompliance for this indicator if it did not meet the State \ntargetNot Applicable\nIndicator 11: Timely Evaluations (Child Find)\nIf data are not provided for this indicator, see the schedule posted at http://www.vesid.nysed.gov/sedcar/sppschedule.html for the school year in which this school district will \nreport data for this indicator.\n 2007-08\nPreschool School-age\nNumber of students for whom parental consent to evaluate was received (July 1, 2007 to June 30, 2008)\nNumber of students whose evaluations were completed within the State established timeline\nNumber of children whose evaluations were not completed within State established time lines, but for reasons that are \nconsidered to be in compliance with State requirements\nCompliance Rate [Line 2 divided by (Line 1 minus Line 3)*100]\nState target for 2007-08 100% 100%\nMeets State target? page 6 of 7 Mon Sep 07 00:55:16 EDT 2009 580410030000  New York State Education Department\nSpecial Education\nSchool District Data Profile for\nCommack Union Free School District\n  Vocational and Educational Services for Individuals with Disabilities\nIndicator 12: Early Childhood Transition\nIf data are not provided for this indicator, see the schedule posted at http://www.vesid.nysed.gov/sedcar/sppschedule.html for the school year in which this school district will \nreport data for this indicator.\n  2007-08\nNumber of children who were served in Part C and referred to Part B for eligibility determination 23\nNumber of those referred determined to be NOT eligible and whose eligibilities were determined prior to their third \nbirthday3\nNumber of those found eligible who had an IEP developed and implemented by their third birthday 3\nNumber of children for whom delays in determination of eligibility or delays in implementing the IEP were caused by \nreasons that are in \"in compliance\" with State requirements17\nCompliance Rate [Line 3 divided by (Line 1 minus Line 2 minus Line 4) *100] 100%\nState target for 2007-08 100%\nMeets State target? Yes\nIndicator 13: Secondary Transition\nIf data are not provided for this indicator, see the schedule posted at http://www.vesid.nysed.gov/sedcar/sppschedule.html for the school year in which this school district will \nreport data for this indicator.\n  2007-08\nNumber of IEPs reviewed for students ages 15 and above\nPercent of IEPs of students ages 15 and above that include coordinated, measurable, annual IEP goals and transition services that \nwill reasonably enable the student to meet the post-secondary goals\nState target for 2007-08 100%\nMeets State target?\nDate the district reported correction of noncompliance for this indicator page 7 of 7 Mon Sep 07 00:55:16 EDT 2009 580410030000  New York State Education Department\nSpecial Education\nSchool District Data Profile for\nCommack Union Free School District\n  Vocational and Educational Services for Individuals with Disabilities\nIndicator 14: Post-School Outcomes\nData for this indicator will be posted beginning June 2008, in accordance with the schedule posted at http://www.vesid.nysed.gov/sedcar/sppschedule.html .\n  2007-08\nNumber of students interviewed to assess post-school outcomes one year after leaving high school\nPercent of students who had IEPs, are no longer in secondary school, and who have been enrolled in some type of post-secondary school \nAND have been competitively employed within one year of leaving high school\nPercent of students who had IEPs, are no longer in secondary school, and who have been enrolled in some type of post-secondary school \nwithin one year of leaving high school\nPercent of students who had IEPs, are no longer in secondary school, and have been competitively employed within one year of leaving \nhigh school\nPercent of students who had IEPs, are no longer in secondary school, and who have been enrolled in some type of post-secondary \nschool, have been competitively employed, or both, within one year of leaving high school (sum of the three percentages above)\nState target for 2007-08 92%\nMeets State target?\nDisclaimers and Notices " }

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{ "pdf_file": "GTB3EZFGUHRQV757YXZIRJW4C6CCYGJT.pdf", "text": "Administrative Services ...................................... 47Administrative Services Building B ...................... 48Alumni House ...................................................... 6Arntzen Hall ....................................................... 26Art Annex .......................................................... 23Biology .............................................................. 42Birnam Wood (Residence) .................................. 36Bond Hall ........................................................... 21Bookstore .......................................................... 10Buchanan Towers (Residence) ............................ 32Campus Recreation Center ................................. 38Campus Services................................................. 49Canada House ................................................... 17Carver Gymnasium ............................................ 22Chemistry Building ............................................ 41College Hall ....................................................... 19Commissary ....................................................... 33Communications Facility .................................... 30Edens Hall (Residence) .......................................... 5Edens Hall North (Residence) ............................... 4Environmental Studies ....................................... 27Fairhaven College .............................................. 31Fine Arts ............................................................ 24Fraser Hall .......................................................... 13Haggard Hall ...................................................... 20Higginson Hall (Residence) ................................... 3Highland Hall (Residence) .................................. 28High Street Hall ................................................. 18Humanities Building............................................ 14Library (Wilson Library)....................................... 15Maintenance Garage .......................................... 34Mathes Hall (Residence) ....................................... 1Miller Hall .......................................................... 12Nash Hall (Residence) ........................................... 2Old Main............................................................ 11Parking Offie....................................................... 49Parks Hall ........................................................... 39Performing Arts Center ....................................... 16Physical Plant ..................................................... 35Public Safety....................................................... 49Recycling Center ................................................ 46Ridgeway Complex (Residence).......................... 29!\u0000Alpha (Residence)'\u0000Gamma (Residence)\u0000 \"\u0000Beta (Residence)7\u0000Omega (Residence)\u0000 $\u0000Delta (Residence)3\u0000Sigma (Residence)+\u0000Kappa (Residence)Ross Engineering Technology ............................. 40Science Mathematics & Technology Education ...... 43Steam Plant ........................................................ 25Viking Commons (Dining) ................................... 7Viking Union ........................................................ 8Visitor Information.............................................. 49Washington State Archives.................................. 44Parking & Transportation Services2001 Bill McDonald Parkway(360) 650-2945www.ps.wwu.eduPARKING GUIDE\nBuilding Key#\n" }

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{ "pdf_file": "ZJ5HVWDVHYK4BXVX65BYRTCCCJRRIV4L.pdf", "text": "March 25, 2008 - Local IRS Events to Push Stimulus Tax Rebates\n WASHINGTON, D.C. - On Saturday, March 29, the IRS will join forces with local groups at two\nlocations to host &quot;Super Saturday&quot; events aimed at reaching individuals eligible for\nthe economic stimulus tax rebate but who would not normally file federal income tax returns. \n \n - The Monterey County Department of Social and Employment Services will team up with\nRippling River in Carmel Valley to hold an event at 52 East Carmel Valley Road from 10 a.m. to\n5 p.m. \n - The IRS office in Salinas will host an event at their office, 55 Plaza Circle, from 9 a.m. to 3\np.m. \n \n The events are part of a nationwide campaign by the IRS and hundreds of partner\norganizations. The events will help individuals prepare the simple Form 1040A for those filing a\nreturn solely to receive a stimulus payment. \n \n &quot;Passing the economic stimulus package was only the first step. Now we have to make\nsure that millions of Americans who wouldn't normally file a tax return won't miss out on these\nrebates,&quot; said Congressman Sam Farr (D-Carmel), who voted in January for legislation\nauthorizing the rebates. \n \n Millions of Americans who do not pay federal income taxes may be eligible for a $300 payment\n($600 for married couples) if they have at least $3,000 in qualifying income, defined as any\ncombination of earned income such as wages, nontaxable combat pay and certain benefits from\nSocial Security, Veterans Affairs and Railroad Retirement. Many families will also be eligible for\n$300 for each qualifying child younger than 17. \n \n &quot;We don't want any Americans to miss out on their economic stimulus payment,&quot;\nsaid IRS Commissioner Doug Shulman. &quot;For millions of Americans, filing a tax return is\nnot routine. Their income is either too low or not taxable. But this year, filing a 2007 tax return is\nthe only way to receive an economic stimulus payment.&quot; \n \n The IRS this week is mailing 20.5 million Social Security and Veterans Affairs recipients a\nPackage 1040A-3 that contains all the information they need to file a return immediately.\nRailroad Retirement recipients, low-income individuals and military personnel with nontaxable\n 1 / 2 March 25, 2008 - Local IRS Events to Push Stimulus Tax Rebates\ncombat pay also can use the package if they need to file solely to receive the payment. \n \n Starting in May, the IRS will issue economic stimulus payments of up to $600 ($1,200 for\nmarried couples) plus additional payments of $300 for each for qualifying child. Most Americans\ndon't need to do anything more than file their tax returns as they normally do. The maximum\npayments will begin to phase out at $75,000 in adjusted gross income ($150,000 for married\ncouples). \n \n # # # \n \n 2 / 2" }

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{ "pdf_file": "2SFC5QHEHUKZAZANWGTNYNCLR6KHKDS2.pdf", "text": "Out of State Counsel\nContact the Clerk's Office at (313) 234-5005 to receive information regarding admittance\nprocedures. " }

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{ "pdf_file": "YS6AIKVZKRRKLU2JGEBFS3PO665RXHWI.pdf", "text": "436 8 CFR Ch. I (1–1–08 Edition) § 216.6 \nbased upon the evaluation of the recog-\nnized professional. The Service re-serves the right to request additional \nevaluations from expert witnesses cho-sen by the Service. Requests for addi-tional evaluations must be authorized by the Assistant Regional Commis-sioner for Adjudications. \n(vii) Licensed clinical social workers, \npsychologists, and psychiatrists are professionals recognized by the Service for the purpose of this section. A clin-ical social worker who is not licensed only because the state in which he or she practices does not provide for li-censing will be considered a licensed professional recognized by the Service if he or she is included in the Register of Clinical Social Workers published by the National Association of Social Workers or is certified by the Amer-ican Board of Examiners in Clinical So-cial Work. \n(viii) As directed by the statute, the \ninformation contained in the applica-tion and supporting documents shall not be released without a court order or the written consent of the applicant; or, in the case of a child, the written consent of the parent or legal guardian who filed the waiver application on the child’s behalf. Information may be re-leased only to the applicant, his or her authorized representative, an officer of the Department of Justice, or any fed-eral or State law enforcement agency. Any information provided under this part may be used for the purposes of enforcement of the Act or in any crimi-nal proceeding. \n(f) Decision. The director shall pro-\nvide the alien with written notice of the decision on the application for waiver. If the decision is adverse, the director shall advise the alien of the reasons therefor, notify the alien of the termination of his or her permanent residence status, instruct the alien to surrender any Permanent Resident Card issued by the Service and issue a notice to appear placing the alien in re-moval proceedings. No appeal shall lie from the decision of the director; how-ever, the alien may seek review of such decision in removal proceedings. \n[53 FR 30018, Aug. 10, 1988, as amended at 56 \nFR 22637, May 16, 1991; 59 FR 26591, May 23, 1994; 62 FR 10350, Mar. 6, 1997; 63 FR 70315, Dec. 21, 1998] § 216.6 Petition by entrepreneur to re-\nmove conditional basis of lawful permanent resident status. \n(a) Filing the petition —(1) General pro-\ncedures. A petition to remove the con-\nditional basis of the permanent resi-dent status of an alien accorded condi-tional permanent residence pursuant to section 203(b)(5) of the Act must be filed by the alien entrepreneur on Form I–829, Petition by Entrepreneur to Remove Conditions. The alien entre-preneur must file Form I–829 within the 90-day period preceding the second anniversary of his or her admission to the United States as a conditional per-\nmanent resident. Before Form I–829 may be considered as properly filed, it must be accompanied by the fee re-quired under §103.7(b)(1) of this chap-ter, and by documentation as described in paragraph (a)(4) of this section, and it must be properly signed by the alien. Upon receipt of a properly filed Form I–829, the alien’s conditional perma-nent resident status shall be extended automatically, if necessary, until such time as the director has adjudicated the petition. The entrepreneur’s spouse and children should be included in the petition to remove conditions. Children who have reached the age of twenty- one or who have married during the pe-riod of conditional permanent resi-dence and the former spouse of an en-trepreneur, who was divorced from the entrepreneur during the period of con-ditional permanent residence, may be included in the alien entrepreneur’s pe-tition or may file a separate petition. \n(2) Jurisdiction. Form I–829 must be \nfiled with the regional service center having jurisdiction over the location of the alien entrepreneur’s commercial enterprise in the United States. \n(3) Physical presence at time of filing. A \npetition may be filed regardless of whether the alien is physically present in the United States. However, if the alien is outside the United States at the time of filing, he or she must re-turn to the United States, with his or her spouse and children, if necessary, to comply with the interview require-ments contained in the Act. Once the petition has been properly filed, the alien may travel outside the United States and return if in possession of documentation as set forth in \nVerDate Aug<31>2005 14:55 Feb 20, 2008 Jkt 214027 PO 00000 Frm 00446 Fmt 8010 Sfmt 8010 Y:\\SGML\\214027.XXX 214027yshivers on PROD1PC62 with CFR 437 Department of Homeland Security § 216.6 \n§211.1(b)(1) of this chapter, provided the \nalien complies with the interview re-quirements described in paragraph (b) of this section. An alien who is not physically present in the United States during the filing period but subse-quently applies for admission to the United States shall be processed in ac-cordance with §235.11 of this chapter. \n(4) Documentation. The petition for \nremoval of conditions must be accom-panied by the following evidence: \n(i) Evidence that a commercial enter-\nprise was established by the alien. Such evidence may include, but is not limited to, Federal income tax returns; \n(ii) Evidence that the alien invested \nor was actively in the process of invest-ing the requisite capital. Such evidence may include, but is not limited to, an audited financial statement or other probative evidence; and \n(iii) Evidence that the alien sus-\ntained the actions described in para-graph (a)(4)(i) and (a)(4)(ii) of this sec-tion throughout the period of the alien’s residence in the United States. The alien will be considered to have sustained the actions required for re-moval of conditions if he or she has, in good faith, substantially met the cap-ital investment requirement of the statute and continuously maintained his or her capital investment over the two years of conditional residence. Such evidence may include, but is not limited to, bank statements, invoices, receipts, contracts, business licenses, Federal or State income tax returns, and Federal or State quarterly tax statements. \n(iv) Evidence that the alien created \nor can be expected to create within a reasonable time ten full-time jobs for qualifying employees. In the case of a ‘‘troubled business’’ as defined in 8 CFR 204.6(j)(4)(ii), the alien entre-preneur must submit evidence that the commercial enterprise maintained the number of existing employees at no less than the pre-investment level for the period following his or her admis-sion as a conditional permanent resi-dent. Such evidence may include pay-roll records, relevant tax documents, and Forms I–9. \n(5) Termination of status for failure to \nfile petition. Failure to properly file \nForm I–829 within the 90-day period im-mediately preceding the second anni-\nversary of the date on which the alien obtained lawful permanent residence on a conditional basis shall result in the automatic termination of the alien’s permanent resident status and the initiation of deportation pro-ceedings. The director shall send a written notice of termination and an order to show cause to an alien entre-preneur who fails to timely file a peti-tion for removal of conditions. No ap-peal shall lie from this decision; how-ever, the alien may request a review of the determination during deportation proceedings. In deportation pro-ceedings, the burden of proof shall rest with the alien to show by a preponder-ance of the evidence that he or she complied with the requirement to file the petition within the designated pe-riod. The director may deem the peti-tion to have been filed prior to the sec-ond anniversary of the alien’s obtain-ing conditional permanent resident status and accept and consider a late petition if the alien demonstrates to the director’s satisfaction that failure to file a timely petition was for good cause and due to extenuating cir-cumstances. If the late petition is filed prior to jurisdiction vesting with the immigration judge in deportation pro-ceedings and the director excuses the late filing and approves the petition, he or she shall restore the alien’s perma-nent resident status, remove the condi-tional basis of such status, and cancel any outstanding order to show cause in accordance with §242.7 of this chapter. If the petition is not filed until after jurisdiction vests with the immigra-tion judge, the immigration judge may terminate the matter upon joint mo-tion by the alien and the Service. \n(6) Death of entrepreneur and effect on \nspouse and children. If an entrepreneur \ndies during the prescribed two-year pe-riod of conditional permanent resi-dence, the spouse and children of the entrepreneur will be eligible for re-moval of conditions if it can be dem-onstrated that the conditions set forth in paragraph (a)(4) of this section have been met. \n(b) Petition review —(1) Authority to \nwaive interview. The director of the \nservice center shall review the Form I– 829 and the supporting documents to \nVerDate Aug<31>2005 14:55 Feb 20, 2008 Jkt 214027 PO 00000 Frm 00447 Fmt 8010 Sfmt 8010 Y:\\SGML\\214027.XXX 214027yshivers on PROD1PC62 with CFR 438 8 CFR Ch. I (1–1–08 Edition) § 216.6 \ndetermine whether to waive the inter-\nview required by the Act. If satisfied that the requirements set forth in paragraph (c)(1) of this section have been met, the service center director may waive the interview and approve the petition. If not so satisfied, then the service center director shall for-ward the petition to the district direc-tor having jurisdiction over the loca-tion of the alien entrepreneur’s com-mercial enterprise in the United States so that an interview of the alien entre-preneur may be conducted. The direc-tor must either waive the requirement for an interview and adjudicate the pe-tition or arrange for an interview with-in 90 days of the date on which the pe-tition was properly filed. \n(2) Location of interview. Unless \nwaived, an interview relating to the Form I–829 shall be conducted by an immigration examiner or other officer so designated by the district director at the district office that has jurisdic-tion over the location of the alien en-trepreneur’s commercial enterprise in the United States. \n(3) Termination of status for failure to \nappear for interview. If the alien fails to \nappear for an interview in connection with the petition when requested by the Service, the alien’s permanent resi-dent status will be automatically ter-minated as of the second anniversary of the date on which the alien obtained permanent residence. The alien will be provided with written notification of the termination and the reasons there-fore, and an order to show cause shall be issued placing the alien under depor-tation proceedings. The alien may seek review of the decision to terminate his or her status in such proceedings, but the burden shall be on the alien to es-tablish by a preponderance of the evi-dence that he or she complied with the interview requirements. If the alien has failed to appear for a scheduled interview, he or she may submit a writ-ten request to the district director ask-ing that the interview be rescheduled or that the interview be waived. That request should explain his or her fail-ure to appear for the scheduled inter-view, and if a request for waiver of the interview, the reasons such waiver should be granted. If the district direc-tor determines that there is good cause for granting the request, the interview \nmay be rescheduled or waived, as ap-propriate. If the district director waives the interview, he or she shall restore the alien’s conditional perma-nent resident status, cancel any out-standing order to show cause in accord-ance with §242.7 of this chapter, and proceed to adjudicate the alien’s peti-tion. If the district director resched-ules that alien’s interview, he or she shall restore the alien’s conditional permanent resident status, and cancel any outstanding order to show cause in accordance with §242.7 of this chapter. If the interview is rescheduled at the request of the alien, the Service shall not be required to conduct the inter-view within the 90-day period following the filing of the petition. \n(c) Adjudication of petition. (1) The de-\ncision on the petition shall be made within 90 days of the date of filing or within 90 days of the interview, which-ever is later. In adjudicating the peti-tion, the director shall determine whether: \n(i) A commercial enterprise was es-\ntablished by the alien; \n(ii) The alien invested or was ac-\ntively in the process of investing the requisite capital; and \n(iii) The alien sustained the actions \ndescribed in paragraphs (c)(1)(i) and (c)(1)(ii) of this section throughout the period of the alien’s residence in the United States. The alien will be consid-ered to have sustained the actions re-quired for removal of conditions if he or she has, in good faith, substantially met the capital investment require-ment of the statute and continuously maintained his or her capital invest-ment over the two years of conditional residence. \n(iv) The alien created or can be ex-\npected to create within a reasonable period of time ten full-time jobs to qualifying employees. In the case of a ‘‘troubled business’’ as defined in 8 CFR 204.6(j)(4)(ii), the alien maintained the number of existing employees at no less than the pre-investment level for the previous two years. \n(2) If derogatory information is deter-\nmined regarding any of these issues or it becomes known to the government that the entrepreneur obtained his or her investment funds through other \nVerDate Aug<31>2005 14:55 Feb 20, 2008 Jkt 214027 PO 00000 Frm 00448 Fmt 8010 Sfmt 8010 Y:\\SGML\\214027.XXX 214027yshivers on PROD1PC62 with CFR 439 Department of Homeland Security § 217.2 \nthan legal means (such as through the \nsale of illegal drugs), the director shall offer the alien entrepreneur the oppor-tunity to rebut such information. If the alien entrepreneur fails to over-come such derogatory information or evidence the investment funds were ob-tained through other than legal means, the director may deny the petition, terminate the alien’s permanent resi-dent status, and issue an order to show cause. If derogatory information not relating to any of these issues is deter-mined during the course of the inter-view, such information shall be for-warded to the investigations unit for appropriate action. If no unresolved de-rogatory information is determined re-lating to these issues, the petition shall be approved and the conditional basis of the alien’s permanent resident status removed, regardless of any ac-tion taken or contemplated regarding other possible grounds for deportation. \n(d) Decision —(1) Approval. If, after ini-\ntial review or after the interview, the director approves the petition, he or she will remove the conditional basis of the alien’s permanent resident sta-tus as of the second anniversary of the alien’s entry as a conditional perma-nent resident. He or she shall provide written notice of the decision to the alien and shall require the alien to re-port to the appropriate district office for processing for a new Permanent Resident Card, Form I–551, at which time the alien shall surrender any Per-manent Resident Card previously issued. \n(2) Denial. If, after initial review or \nafter the interview, the director denies the petition, he or she shall provide written notice to the alien of the deci-sion and the reason(s) therefor, and shall issue an order to show cause why the alien should not be deported from the United States. The alien’s lawful permanent resident status and that of his or her spouse and any children shall be terminated as of the date of the di-rector’s written decision. The alien shall also be instructed to surrender any Permanent Resident Card pre-viously issued by the Service. No ap-peal shall lie from this decision; how-ever, the alien may seek review of the decision in deportation proceedings. In deportation proceedings, the burden shall rest with the Service to establish \nby a preponderance of the evidence that the facts and information in the alien’s petition for removal of condi-tions are not true and that the petition was properly denied. \n[59 FR 26591, May 23, 1994, as amended at 63 \nFR 70315, Dec. 21, 1998] \nPART 217—VISA WAIVER \nPROGRAM \nSec. \n217.1 Scope. 217.2 Eligibility. \n217.3 Maintenance of status. 217.4 Inadmissibility and deportability. 217.5 [Reserved] 217.6 Carrier agreements. 217.7 Electronic data transmission require-\nment. \nA\nUTHORITY : 8 U.S.C. 1103, 1187; 8 CFR part \n2. \nSOURCE : 53 FR 24901, June 30, 1988, unless \notherwise noted. \n§ 217.1 Scope. \nThe Visa Waiver Pilot Program \n(VWPP) described in this section is es-tablished pursuant to the provisions of section 217 of the Act. \n[62 FR 10351, Mar. 6, 1997] \n§ 217.2 Eligibility. \n(a) Definitions. As used in this part, \nthe term: \nCarrier refers to the owner, charterer, \nlessee, or authorized agent of any com-mercial vessel or commercial aircraft engaged in transporting passengers to the United States from a foreign place. \nDesignated country refers to Andorra, \nAustralia, Austria, Belgium, Brunei, Denmark, Finland, France, Germany, Iceland, Ireland, Italy, Japan, Liech-tenstein, Luxembourg, Monaco, the Netherlands, New Zealand, Norway, Portugal, San Marino, Singapore, Slo-venia, Spain, Sweden, Switzerland, and the United Kingdom. The United King-dom refers only to British citizens who have the unrestricted right of perma-nent abode in the United kingdom (England, Scotland, Wales, Northern Ireland, the Channel Islands and the Isle of Man); it does not refer to British overseas citizens, British dependent \nVerDate Aug<31>2005 14:55 Feb 20, 2008 Jkt 214027 PO 00000 Frm 00449 Fmt 8010 Sfmt 8010 Y:\\SGML\\214027.XXX 214027yshivers on PROD1PC62 with CFR" }

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{ "pdf_file": "3KF674T52XCSSWUXJN6WRXYXLXBCQI3P.pdf", "text": " \n \n \n \n Guidance Document: \nCross-Connection Control \nfor Small Water Systems \n \n \n \n \nMarch 2004 \nRevised \n \n \n \n \n \n \n \n \n \n \n \n DOH PUB. #331-234 \n \n \n \nGuidance Document: \nCross-Connection Control \nfor Small Water Systems \n \n \n \n \n \n \nMarch 2004 \nRevised \n \n \n \n \n \nFor more information or additional c opies of this publication contact: \nTraining and Outreach Section \nOffice of Drinking Water Department of Health \nPO Box 47828 \nOlympia, WA 98504-7828 (360) 236-3164 \n \nMary Selecky Secretary of Health \nJanice Adair \nAssistant Secretary, Environmental Health \nRich Hoey \nActing Director, Office of Drinking Water\n \n \nThe Department of Health is an equal opportunity agency. Fo r persons with disabilities, this document is available on \nrequest in other formats. To submit a request, pleas e call 1-800-525-0127 (TTY 1-800-833-6388). For additional \ncopies of this publication, call 800-521-0323. This and other publications are availa ble at www.doh.wa.gov/ehp/dw. \n \ni Contents \n \n \nForeword …………………………….……………… ………………………….viii \n \n \nAcknowledgement ……………………………………………………………..viii \n \n \n1.0 Purpose ………………………………………………………………….…..1 \n \n \n2.0 Introduction \n \n2.1 Overview of Cross-Connection Control . .................................................. 3 \n \n2.2 Causes of Backflow: Backsiphonage ........................................................ 3 \n2.3 Causes of Backflow: Backpressure ........................................................... 5 \n 2.4 Methods of Backflow Prevention........ ...................................................... 6 \n \n \n3.0 State and Federal Regu lations and Jurisdictions \n \n3.1 Overview of Federal an d State Drinking Water Regulations ................11 \n 3.2 Jurisdictions of Washington Stat e Department of Health and Other \nState Agencies Relating to Cross-Connection Control........................13 \n \n3.2.1 Washington State Department of Health Regulates Cross-\nConnection Control for Public Water Systems............................15 \n3.2.2 Other State Agencies with Plumbing-Related Cross-Connection \nControl Responsibilities.................... ............................................15 \n \n3.3 History of Cross-Connection Control Regulations in Washington .......18 \nii 4.0 Cross-Connection Control Regulations for Public Water \nSystems in Washington State \n \n4.1 Applicability .............................................................................................19 \n 4.2 Overview of Regulations ................... ......................................................19 \n \n4.3 Minimum Elements..................................................................................23 \n \n \n5.0 Reasons for Cross-Connection Control Programs \n \n5.1 Health Aspects..........................................................................................27 \n \n 5.1.1 Microbiological Contaminants.......................................................28 5.1.2 Chemical Contaminants..................................................................30 \n 5.1.3 Physical Hazards....................... ......................................................31 \n 5.2 Multiple Barrier Concept .........................................................................31 \n \n5.3 Legal Aspects ...........................................................................................34 \n \n \n6.0 Starting a Program \n \n6.1 Overview...................................................................................................39 \n 6.2 Program Decisions ...................................................................................40 \n \n 6.2.1 Types of Program .......................................................................41 6.2.2 Extent of Coordination ...............................................................47 \n 6.2.3 Relationship to Customer...........................................................51 \n 6.2.4 Enforcement of Corrective Actions [Element 1] ....................55 6.2.5 Initial Assessment and Pe riodic Re-Assessm ent of Hazard \n[Element 2]..................................................................................58 \n 6.2.6 Location and Ownership of Premises Isolation Assemblies \n[Element 3] .................................................................................60 \n 6.2.7 Cross-Connection Specialist Options [Element 4] .................65 \niii 6.2.8 Assembly Testing Options [Element 5] ....................................66 \n 6.2.9 Cost Recovery.............................................................................68 \n 6.3 Programs for Non-Community Systems.. ...............................................72 \n \n \n7.0 Implementing a Cross-C onnection Control Program \n \n7.1 General Administration............................................................................75 \n \n 7.1.1 Overall Management ..................................................................75 \n 7.1.2 Purveyor's Policy Statement/Ordinance ....................................76 7.1.3 Personnel.....................................................................................77 \n 7.1.4 Water Service Agreements.........................................................83 \n 7.1.5 Backflow Assembly Installation Standards...............................83 \n \n7.2 Implementation of Program.....................................................................85 \n 7.2.1 Schedule of Initial Risk Asse ssment..........................................86 \n 7.2.2 Schedule for Periodic Re-Ass essment.......................................90 \n 7.2.3 Schedule for Backflow Prev ention Assemblies Installation ....92 \n 7.2.4 Communication with Customers ...............................................96 \n 7.2.5 Requirements of Existing Customers ........................................96 \n 7.2.6 Cross Connections in Purveyor 's System ..................................97 \n 7.2.7 Common Cross Connections Associated with Small Water \nSystems .......................................................................................99 \n \n7.3 Mandatory Premises Isolation ........... ....................................................101 \n \n 7.3.1 Washington State Requirements for Fire Protection \nSystems........................................................................................102 \n 7.3.2 Purveyor's Additional Requirem ents..........................................104 \n 7.4 Requirements for Backflow Assemb ly Testing....................................104 \n \n 7.4.1 Approved Backflow Assembly Testers......................................110 7.4.2 Quality Assurance Program...... ..................................................112 \n \n7.5 Enforcement Procedures ........................................................................113 \niv 7.6 Record-Keeping and Reporting Requ irements.....................................116 \n \n 7.6.1 Record of Risk Assessment ........................................................116 7.6.2 Inventory of Backflow Prevente rs..............................................117 \n 7.6.3 Inventory of Backflow Pre venter Test/Inspection Reports. ....117 \n 7.6.4 Correspondence ...........................................................................118 7.6.5 Washington State Department of Health Reporting \nRequirements...............................................................................118 \n 7.6.6 Spreadsheets and Computer Da tabase Software...... ..................118 \n 7.6.7 Backflow Incident Reports ....... ..................................................119 \n \n7.7 Public Education.....................................................................................119 \n 7.7.1 Type of Effort ..............................................................................119 \n 7.7.2 Frequency ....................................................................................120 \n7.8 Backflow Incident Response Plan....... ..................................................120 \n 7.9 Special Requirements fo r Reclaimed or Greywater .............................121 \n \n \n8.0 Cross-Connection Control Regu lations and Related Materials \n \n8.1 Acronyms and Abbreviations ................. ...............................................123 \n \n8.2 Washington Administrative Code 246 -290-490...................................124 \n \n8.2.1 Definitions Related to Cr oss-Connection Control..................124 \n8.2.2 Washington Administrative Code 246-290-490 \nCross-Connecti on Contro l ......................................................128 \n \n8.3 Frequently Asked Regulat ory Interpretation Questions and Answers ...142 \n \n \nv Appendices \n \nAppendix A Example Cross-Connecti on Control Program and Legal \nInstrument for a Community System..................................157 \n Appendix B Example Cross-Connection Control Program and Legal \nInstrument for a Non-Community System .........................185 \n Appendix C Backflow Incident Response Plan for a Small Water \n System..............................................................................203 Appendix D Program Administration Documents ..................................207 \n \n Sample Fo rms (including Service Agreement) \nApplication for Water Service (s ervice agreement) ...........................................208 \nBackflow Assembly Test/Air Gap Inspection Report......................................210 Backflow Assembly Test/Air Gap Inspection Report - File Record ..............211 \nBackflow Assembly Testers - Pre- Approved for Submitting Test Reports... 212 \nPreliminary Hazard Assessment Form – Non-Residential Customers ...........213 \nCross-Connection Control Survey Report – Non-Residential Customers .....214 \nWater Use Questionnaire - Residential Customers ..........................................217 \nBackflow Incident Report Form ..........................................................................219 \n \n \n Sample Letters \nRequest to Complete Water Use Questionnaire ...............................................222 \nNotice of Survey of Premises.............................................................................223 Request to Install Backflow Prevention Assembly ..........................................224 \nRequest to Submit Test of Backflow Prevention Assembly ...........................225 \nSecond Notice to Test Back flow Preventio n Assembly.....................................226 \n \n \n Sample Backflow Prevention Assembly Installation Drawings \nStandard Details - Single Family Re sidential Service Connection Options.. 228 \nBackflow Prevention Assemblies - Recommended Premises Isolation \nInstallations ..........................................................................................................229 \n \nvi Appendix E Annual Summary Report Forms .........................................231 \n \n Public Water System Cross-Connection Control Activities \n Annual Summary Report..... ................................................................232 \n \n Cross-Connection Cont rol Program Summary...................................237 \n \n Excep tions to High-Health Hazard Prem ises Isolation Requirements \nfor Annual Summary Report................ ...............................................241 \n \n \nAppendix F Cross-Connection Control Resource Information ..............243 \n Guide to Cross-Connection Control Publications..............................243 \n \n Local, Regional and National Cross-Connection Control \nOrganizations.......................................................................................244 \n \n Cross-Connection Control Software.... ...............................................248 \n \nIllustrations \n 1 Backsiphonage Backflow Hazard ................. .......................................................... 4 \n2 Backpressure Backflow Hazard .................... .......................................................... 6 \n3 Public Water System/Local Administrative Authority Jurisdictions ..................17 \n4 Purveyor-Owned Premises Isolati on Assembly Insta lled at Meter .................62 \n5 Customer-Owned Premises Isolation Assembly Installed Immediately \nDownstream of Meter.......................................................................................62 \n6 Customer-Owned Premises Isolation As sembly Installed at an \"Alternate \nLocation\" Acceptable to Purveyor.......................................................................63 \n \n \nTables \n \n1 General Installation Guide for Premises Isol ation ...............................................10 \n2 High-Health Cross-Connection Hazard Premises Requiring Premises Isolation \nby Air Gap or Reduced-Pressure Backflow Assembly....................................42 \nvii 3 Type of Program Options .................................. ....................................................46 \n4 Coordination with Local Administrative Authority Options...............................49 \n5 Relationship with Customers Options ............ ......................................................55 \n6 Primary Enforcement Options....................... ........................................................58 \n7 Cross-Connection Control Specialist Op tions for Assessme nt of Degree of \nHazard.....................................................................................................................60 \n8 Mandatory/Supplemental Premises Isol ation Assembly Location Options .......64 \n9 Cross-Connection Control Specialist Options to Implement Purveyor’s \n Program ................................................................................................................ ..65 \n10 Assembly Testing Options ............................ ........................................................67 \n11 Recovery of Program Cost Options ........... ...........................................................69 \n12 Summary of Purveyor’s Program Decisions ... .....................................................71 \n13 Example of Cross-Connection Control Program Task Assignments Small Water \nSystem Program.....................................................................................................82 \n14 Hazard Assessment Schedule..................... ...........................................................88 \n15 Hazard Notification Schedule .................... ...........................................................90 \n16 Hazard Re-Assessment Schedule............... ...........................................................91 \n17 Backflow Preventer Installa tion Schedule for Existing Customers ....................94 \n18 Example Summary Task Schedule to Include in Written Cross-Connection \nControl Progr am Plan .......................................................................................95 \n19 Required/Recommended Protection for Reside ntial Hazards ...........................100 \n20 Required/Recommended Protection for Co mmercial-Type Hazard s ...............101 \n21 Backflow Prevention for Fire Spri nkler Systems on Ex isting Customer \nConnections..........................................................................................................103 \n \n \nFigures \n \n1 Regulation of Drinking Water.................... ...........................................................12 \n2 Principal Jurisdictions Relating to the Purveyor's Cros s-Connection Control \nProgram ..................................................................................................................14 \n3 Types of Hazard.....................................................................................................28 \n4 Annual Testing of Assemblies ................... .........................................................109 \n5 Enforcement Procedures......................................................................................115 \nviii Foreword\n \nThe purpose of this manual is to provide guida nce on the development and implementation of a \ncross-connection control (CCC) pr ogram that will comply with the drinking water regulations, \nChapter 246-290-490 Wash ington Administrative Code. This manual was prepar ed for Group A \npublic water systems with le ss than 1,000 connections. \n \nAlthough the elements of a CCC program for small, medi um, and large water systems are \nessentially the same, a sma ll water system program may often be streamlined to: \n \n• Suit the lower health risk posed by a pr edominantly residential customer base; and \n • Reduce the purveyor's program administra tion, and thus, oper ating costs. \n \nThis manual is divided into the following general areas: \n \n• Chapters 1 through 5 provide an ove rview of cross-connection control; \n \n• Chapter 6 outlines the deci sions to be made when starting a CCC program; \n \n• Chapter 7 addresses day-to-day program operation; \n \n• Chapter 8 contains the CCC regulations and related referenc e materials; and \n \n• The appendices provide refere nce materials, including sa mple written pr ogram plans. \n \nThis manual may be viewed and downloaded from Washington State Department of Health Office \nof Drinking Water website: http://www.doh.wa.gov/ehp/dw\n \n \nFor purveyors without Internet acces s, a CD of the manual is availa ble upon request from the Office \nof Drinking Water. \n \n \nAcknowledgement \n \nAn Environmental Protectio n Agency grant to the Of fice of Drinking Wate r provided funding for \nthe development of this guidance manual. \nGeorge Bratton, P.E., of Scha efer and Bratton Engi neers, Coupeville, Wash ington, wr ote this \nmanual with the assistance and oversight of Te rri Notestine, P.E., an d Simon Tung, P.E., of \nWashington State Department of H ealth, Office of Drinking Water. \n \nA special thanks is extended to the Spokane Region Cr oss-Connection Cont rol Committee (SRC4) \nfor permission to use the diagrams shown as Illustrations 1 and 2. \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 1 Page 1 Chapter 1. Purpose \n \nThe purpose of this gu idance manual is to: \n \n• Explain the need for a cross-co nnection control (CCC) program; \n \n• Summarize Washington State Department of Health (DOH) regulatory requirements for \ndeveloping and implementing a CCC program; \n \n• Outline the options ava ilable for complying with CCC regulations; and \n \n• Provide information to assist purveyors with the day-to-d ay implementa tion of a CCC \nprogram. \n \nThis manual is designed to prov ide guidance and resource informat ion on cross-connection control \nto DOH-certified cross-connection control specialis ts, CCC program managers , public water system \nmanagers, water system governing bodies, pub lic water system lega l counsel, and Local \nAdministrative Authorities (building/plumbing o fficials). The manual was developed for Group A \npublic water systems with le ss than 1,000 connections. \n \nFor small water systems that co ntract with a DOH-certified cross-connection control specialist \n(CCS) for development of a program, this manual can be used as a re source to help ensure that the \ncontractor’s program includes all the elem ents discussed in Chapters 6 and 7. \n Throughout this manual, the terms must, shall , and required are used to indicat e a Washington State \nregulatory requirement. The terms should or recommend are used to indicate recommended \nprocedures, schedules, and/or criteria. \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Page 2 \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 2 Page 3 Chapter 2. Introduction \n \n2.1 Overview of Cross-Connection Control \n \nA cross connection is defined as any actual or potential ph ysical connection be tween a public water \nsystem or the consumer's water syst em and any source of non-potable liquid, solid, or gas that could \ncontaminate the potable water supply by backfl ow. Cross connections exist in all plumbing \nsystems. Cross connections may also exist in the purveyor’s water system facilities. \n \nThere are numerous well-documented cases where drinking water has been contaminated via \nunprotected cross connections. These cases have caused illness, injury, and in some cases, death, to \nconsumers served by the system. \n \nThe task of eliminating all cross connections is enormous. However, all purveyors can implement \nCCC programs that reasonably redu ce the risk of contamination to their systems. For a drinking \nwater (potable water) supply to become contamin ated via a cross connectio n, three things need to \nhappen simultaneously : \n \n1. The potable water supply piping must be un protected (or improperly protected) from a cross \nconnection; \n2. A physical cross connection must be made between the potable wate r supply piping and a \ncontaminant source; and \n3. Backflow conditions must occur. \n Backflow is the flow of water (or othe r solid, liquid, or gas from any source) back into the potable \nwater supply. Backflow may be due to either: \n \n• Backsiphonage; or \n \n• Backpressure. \n \n2.2 Causes of Backfl ow: Backsiphonage \n \nBacksiphonage is backflow caused by a negative pressu re (vacuum or partial vacuum) in the supply \npiping. Backsiphonage occurs when system pressu re is reduced below atmo spheric pressure. The \neffect is similar to sipping water through a straw. \n \nThe following scenario ill ustrates how backsiphonage backflow conditions could oc cur in a public \nwater system: \n \n• A public water system main is shut off to repair a leak. The water main is at the base of a \nhill. \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 2 Page 4 • The water main is at a lower elevation than th e homes on the hill. This creates a situation \nwhere water in the plumbing in the homes on the hill can drain into the public water \nsystem main. \n \n• When a customer at the bottom of the hill uses water, a siphon is cr eated at households at \nthe top of the hill and water drains out of their plumbing systems. \n \n• At one household at the top of the hill, a gard en hose is being used to fill a child's wading \npool. The hose is submerged in the pool. S ee Illustration 1. \n \n• When the backflow conditions occur, th e non-potable water from the wading pool is \nsiphoned through the cross conn ection (submerged hose) in to the household plumbing \nand then into the water main. \n \n• The water from the wading pool contaminates the water main. \n \n• When water service is restored, contaminated water is delivered to customers served by \nthe public water system. \n \nSee Illustration 1. \n \nIllustration 1 \nBacksiphonage Backflow Hazard \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 2 Page 5 2.3 Causes of Backfl ow: Backpressure \n \nBackpressure is backflow caused by pres sure in the customer's plum bing being greater than the \npressure in the water supply piping . The higher pressure in the customer's pl umbing may be from a \nbooster pump, heating boiler, etc. \n \nThe following scenar io illustrates how backpressure backflow could occur in a water system: \n \n1. The fire department withdraws water from a hydrant. This reduces the pressu re in the \npublic water system main from 50 pounds per square inch (psi) to 20 psi. \n \n2. A customer served by the public water system installed a lawn irri gation system. The \ncustomer’s irrigation system is supplied with water from a pond. The pump supplying the \nirrigation system operates at 30 psi. To en sure a supply for the irri gation system when the \npond is dry, the customer inst alled a standby connec tion to the household plumbing (potable \nwater piping). \n3. On the day of the fire fl ow situation, the nor mally closed valve between the household \nplumbing and irrigation piping is accidentally left open. \n \n4. Backflow wouldn’t normally occur at this customer’s connection, be cause the pressure in \nthe public water system is gr eater than the pressure supplied by the irrigation pump. \nHowever, during the fire flow si tuation, the pressure from the irrigation pump is greater than \nthe pressure in the water ma in. Water from the pond is pumped into the household \nplumbing, and then into th e public water system main . See Illustration 2. \n \n5. When the fire flow ends, pr essure in the public water system water main increases, and \ncontaminated water is delivered to customers served by the system. \n \nSee Illustration 2. \n \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 2 Page 6 Illustration 2 \nBackpressure Backflow Hazard \n \n \n \n \n \n \n \n \n \n \n \n \n \n2.4 Methods of Backflow Prevention \n \nBackflow can be prevented in two wa ys, either throug h installation of: \n \n1. An approved air gap (AG) th at provides a physical separation between the contaminant and \nthe drinking water supply; or \n \n2. Mechanical devices or assemblies that prevent ba ckflow from occurring. \n Air gaps (AGs) are commonly used to prevent back flow in household plumbing systems. Examples \nof AGs can be found in typica l household kitchens and bathr ooms. The physical separation \nbetween the kitchen faucet and kitchen sink rim is an approved AG. Si milarly, the physical \nseparations between the bathroom faucets and rims of the sinks an d bathtubs are ap proved AGs. \nCurrent plumbing codes requ ire all sinks and bathtubs sold in th e United States to have “built in” \napproved AGs (designed for abov e the rim faucets) to prevent contamination of the household \nplumbing. \n \nIn addition to AGs, there are several methods of preventing backflow by mechanical means. \nThese range from simple single check valves to elaborate approved backflow prevention \nassemblies. All mechanical devices and assemblie s will prevent backflow to some degree when \nproperly installed and maintained. However, not all mechanical devices and assemblies are \ncreated equal. Thus, not all mechanical devi ces and assemblies provide equivalent backflow \nprotection. \n \n \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 2 Page 7 In fact, backflow preventers can be differentiated by a number of characteristics: \n 1. Backflow application conditions; \n \n2. Degree of hazard; \n \n3. Design; \n \n4. Approval requirements; and \n \n5. Use for premises isolation. \n \nThese characteristics are important to consider wh en deciding which type of backflow preventer \nto use to protect the public water system from contamination. The discussion below provides \nfurther detail. \n \nRegarding backflow application conditions , some devices and assemblies are designed to \nprevent backsiphonage backflow only. These ar e not effective in preventing backflow under \nbackpressure conditions. Others are designed to prevent both backsiphonage and backpressure \nbackflow. When selecting a backflow preventer to protect the public water system, the purveyor \nmust make sure that the preventer is suitable for the backflow application conditions likely to \noccur for a particular connection (or fixture). \n Backflow preventers must also be commensurate with the degree of health hazard (high vs. low) \nposed by the customer’s plumbing system (or fixtur e) to the public water system. For example, \nsome backflow preventers (i.e., assemblies) are manufactured to a very high standard, and thus, \nare more reliable in preventing backflow than devices manufactured to a lower standard. The \nmore reliable assemblies must be used to pr event backflow in high hazard cross-connection \nsituations. \nRegarding backflow preventer design , an important difference between various types of \nbackflow preventers is whether th e design allows them to be tested and repaired while in-line. \nThe purpose of the testing is to determine wh ether they are properly functioning to prevent \nbackflow. Preventers that are not testable are called devices , whereas assemblies are preventers \ndesigned for in-line testing and repair. Assemb lies include isolating valves and test cocks. \n \nRegarding approval status , in Washington, backflow preventers that protect public water systems \nfrom contamination via cross co nnections must appear on the Backflow Prevention Assemblies \nApproved for Installation in Washington published by DOH. Yet, not all backflow preventers \nappear on the approved list. Th e list identifies only those asse mblies that have successfully \ncompleted rigorous laboratory and field tests conducte d by the University of Southern California’s \nFoundation for Cross-Connection Co ntrol and Hydraulic Rese arch. It is important for purveyors to \nensure that all assemblies relied upon to protect the public water system ap pear on the above named \nlist. \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 2 Page 8 The last difference between the various types of back flow preventers is whether they can be used to \nisolate the customer’s plumbing from the public wate r system distribution system. This concept is \ncalled premises isolation . Premises isolation asse mblies are usually located at the meter or property \nline. Some assemblies ca n be used for premises isolation, whereas others are used to prevent \nbackflow at fixtures only. The concept of installi ng a backflow preventer at a particular fixture, \nsuch as a boiler, is called fixture protection . When selecting a backflow preventer for a specific \nsituation, it is important to consider whether the preventer is to be used for premises isolation or \nfixture protection. Note: Washington Admini strative Code (WAC) 24 6-290-490(4) mandates \npremises isolation for hi gh hazard premises. \n \nThe following list identifi es mechanical backflow preventers available on the market and their \nrespective acronyms. The lis t identifies non-testable devices first and then id entifies testable \nassemblies . \n \n1. Devices \n \na. Residential Meter Check / Single-Check Valve (CV) \n \nb. Dual-Check Backflow Preventer (DCV) \n \nc. Dual-Check with Atmospheric Vent (DCAV) \n \nd. Hose Bibb Vac uum Breaker (HBVB) \n \ne. Atmospheric Vacuum Breaker (AVB) \n \n2. Assemblies \n \na. Spill-Resistant Vacuum Breaker Assembly (SVBA) \n \nb. Pressure Vacuum Breaker Assembly (PVBA) \n \nc. Double-Check Valve Assembly (DCVA) \n \nd. Double-Check Detector Assembly (DCDA) \n \ne. Reduced-Pressure Backflow Assembly (RPBA) \n \nf. Reduced-Pressure Det ector Assembly (RPDA) \n \nNote: The term \"detector \" in the above assemblies list refers to a small water meter installed in a \nby-pass arrangement for detection of water use. These are most often us ed for fire sprinkler \ninstallations. \n \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 2 Page 9 For protection of a public water system from contamination, DOH recognizes as acceptable \nmethods of backflow prevention approved : \n \n1. Air gaps (AG); \n \n2. Reduced-pressure backflow assemblies (RPBA); \n \n3. Reduced-pressure detect or assemblies (RPDA); \n \n4. Double-check valve assemblies (DCVA); \n \n5. Double-check detector assemblies (DCDA); \n \n6. Pressure vacuum breaker assemblies (PVBA); \n7. Spill-resistant vacuum breaker assemblies (SVBA); and \n \n8. Atmospheric vacuum breakers (AVB). \n \nAs mentioned previously, WAC 246-290-490 (4) requires premis es isolation for high-hazard \npremises. These premises must be isolated fr om the public water system by an approved AG or \nRPBA. Other assemblies, such as DCVAs, may be used for premises isolation for lower hazard \nsituations. Table 1 shows which backflow preventers are suitable for various combinations of \nbackflow application conditions and health hazards that purv eyors may encounter. \n \nFor premises that are not considered high hazar d, the purveyor may rely on assemblies and/or \ndevices installed within the customer’s plumbing system to protect the public water system. \nNote: The latter is allo wed, because the back flow assemblies and/or devi ces installed within the \ncustomer's plumbing system reduce the health risk to a level where an ap proved assembly is not \nrequired at the meter to protect th e public water system. Devices may be used where an approved \nassembly is not required. \n \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 2 Page 10 Table 1 \nGeneral Installation Guide \nfor Premises Isolation \n \nDegree of Health Hazard Backflow Conditions Approved \nBackflow \nPreventer Type High Low Backsiphonage Backpressure \nAG Yes* Yes Yes Yes \nRPBA/RPDA Yes Yes Yes Yes \nDCVA/DCDA No Yes Yes Yes \n* “Yes” denotes that the specif ic type of preventer is su itable for the health hazard and backflow conditions (“No” \nindicates that the preventer type is not suitable for the conditions noted). \n \n \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 3 Page 11 Chapter 3. State and Federal Regulations and Jurisdictions \n \n3.1 Overview of Federal and Sta te Drinking Water Regulations \n \nThe Safe Drinking Water Act (SDWA) passed by Congress in 1974 authori zed the development of \nnational regulations to ensure safe drinking water for consumers serv ed by public water systems. \nThe 1974 Safe Drinking Water Act and subs equent amendments (through 2002) do not \nspecifically address the topi c of cross-connection control. However, the U.S. Environmental \nProtection Agency is currently c onsidering development of federal CCC rules. Thus, federal CCC \nrules may be promulgated sometime in the future. \n \n \nCurrent federal drinki ng water rules do not \nspecifically require the purveyor to have a cross-\nconnection control program. \n \n \n Confusion about cross-connection control has arisen, due to the belief by some purveyors that, \nunder the SDWA, the \"purveyor is re sponsible for water quality to the last free-flowing tap.\" This \nconfusion may have resulted from some federal rule s that require purveyors to monitor certain water \nquality parameters (i.e., lead and copper levels) in samples collected at the customer's tap. \n \nHowever, under the SDWA, purvey ors are only responsible for th e water quality delivered to \ncustomers at the meter. The purveyor is not responsible for contaminants added to the water by \ncircumstances under the control of the cu stomer (i.e., beyond the meter). \n \n \nUnder federal rules, the purveyor is only \nresponsible for the water quality delivered to the \ncustomer’s meter. \n \n \n \nUnder the SDWA, the federal g overnment may grant state go vernments \"primacy\" for the \nadministration and enforcement of the federal drinking water regulatio ns. States with primacy must \nadopt drinking water regulatio ns that are at least as stringent as the federal drinking water rules. \nWashington is a primacy state. \n \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 3 Page 12 Besides adopting the federal drin king water rules, primacy states may adopt additional (or more \nstringent) drinking water regulations as long as they are not in conflic t with the SDWA and/or \nfederal rules. In Washington, CCC requirements are state-imposed. Simila rly, lower levels of \ngovernment (e.g., counties an d cities) within the stat e, with the authority of the state, may impose \nadditional (or more stringent) regulations as lo ng as they are not in conflict with the state \nregulations. \n \nBoth federal and state g overnments regulate the public health aspects of drinking water “to protect \nthe health, safety, or welfare of the users of water.” These regulatory enti ties “govern the \nmanufacturers and distributors of water” (e.g., wa ter utilities, bottled wate r plants, etc.). \nRegulations apply to the entity that owns (contr ols) the facilities for the manufacture and/or \ndistribution of water. Th e higher level of governme nt (the State) regulates government entities (e.g., \na city or water district) that ow n water utilities. Figure 1 illustrates the hierar chical relationship in \nthe regulatory authority of the federal and state leve ls of government with respect to public water \nsystems. \n \n \nFigure 1 \nRegulation of Drinking Water \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n State \nDrinking Water Laws \nand Regulations \n \nRCW Chapters 43 & 70 \nWAC 246-290 \nPublic Water Systems in the State of Washington Federal \nSafe Drinking Water Act \nand Amendments \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 3 Page 13 In Washington State, the laws (statutes) enacted by the legi slature are published in the Revised \nCode of Washington (RCW). Th e RCWs establish general statutory authority. Subordinate to the \nRCWs, state agencies or boards, such as the State Board of Health adopt administrative rules \nthrough the Washington Ad ministrative Code (WAC). The WACs provide details consistent with \nthe RCWs. In addition to administrative rules, state agencies may issue guidance documents and/or \nother reference materials on ho w to comply with the RCWs a nd WACs. RCWs and WACs are \nenforceable by the State, whereas guidelines are not enforceable. \n Chapter 43 of the Revise d Code of Washington a ssigns to DOH the respon sibility to \"Review and \napprove plans for public water system design, engineering, operation maintenance, financing, and \nemergency response, as required under State Bo ard of Health rules. \" The RCW defines a public \nwater system as “any system, excluding a system serv ing only one single-family residence and a \nsystem with four or fewer connec tions all of which serve residen ces on the same farm, providing \npiped water for human consumption, including any collection, treatment, storage, or distribution \nfacilities under control of the purveyor and used primarily in connection with the system.\" This \ndefinition is consiste nt with the federal SDWA defin ition of a public water system. \n The definition of public water system goes to th e heart of the regulatory authority of DOH and the \npurveyors it regulates. For most purveyors, control ends at the water me ter to the customer's \npremises. The meter woul d be located within a public street right-of-way or within a utility \neasement. Public water systems where the owner controls (owns) the collection through distribution \nfacilities and the plumbing system would be considered exceptions. These c ould include both non-\ntransient (e.g., schools) and tr ansient (e.g., gambling casino) no n-community syst ems as well as \nsome community systems. \n \n \n \nWAC 246-290 (Group A Drinking Water \nRegulations) applies only to the purveyor and not \nto the purveyor’s customers. \n \n \n \n3.2 Jurisdictions of Washington Sta te Department of Health and Other \nState Agencies Relating to Cross-Connection Control \n \nThe state legislature may assign the administration and enforcement of statutes and regulations to \ndifferent departments (agencies) within state gove rnment. In Washington, several state departments \nhave responsibilities for the admi nistration and/or enfo rcement of CCC -related regulations. \n \nThese agencies incl ude, but are not ne cessarily limited to: \n \n• Washington State Departme nt of Health (DOH); \n \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 3 Page 14 • Washington State Buildi ng Code Council (SBBC); \n \n• Washington State Department of Labor and Industries (L&I); \n \n• Washington State Department of Agriculture; and \n \n• Washington State Department of Ecology. \n The following discussion provides basic information ab out the respective juri sdictions of DOH, the \nSBCC, and L&I. In ad dition to DOH, the SBCC and L&I have the most potential to impact \npurveyors. Figure 2 identifies th ese agencies and their respective cross-connection related program \nresponsibilities. \n \n \nFigure 2 \nPrincipal Jurisdiction s Relating to the \nPurveyor's Cross-Connec tion Control Program \n \n \n \n \n \n \n \n \n \n \n \n \n \n Washington State \nLegislature \nWashington State \nBuilding Code \nCouncil \nUniform Plumbing \nCode; \nBuilding, Fire & Other \nCodes Washington State \nDepartment of \nLabor & Industries\nPlumber \nCertification; \nContractor \nRegistration Washington State \nDepartment of \nHealth \nDivision of Environ-\nmental Health; \nOffice of Drinking \nWater \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 3 Page 15 3.2.1 Washington State De partment of Health Regu lates Cross-Connection \nControl for Public Water Systems \n \nAs mentioned above, DOH is on e of several agencies with re gulations pertai ning to cross-\nconnection control. DOH Office of Drinking Water administers and enforces drinking water \nregulations for public water syst ems as set forth in Chapter 246- 290 WAC. The mission of the \nOffice of Drinking Water is to protect the health of the people of Washington State by ensuring safe \nand reliable drin king water. \n The requirement for public wate r systems to develop and implem ent CCC programs as set forth in \nWAC 246-290-490 is consistent w ith the mission of the Office of Drinking Water. Except for \ncertain types of public water syst ems where the consumptio n of water is solely within the property \nowned by the purveyor, the jurisd iction of WAC 246-290-490 ends at the purveyor's water meter. \n \n3.2.2 Other State Agencies with Plumbing-Related Cross-Connection Control \nResponsibilities \n \nThe primary regulation of plumbing and plumber certification falls under the jurisdiction of two \ndifferent agencies. Th ese agencies are the: \n \n• Washington State Building Code Council (SBCC); and \n \n• Washington State Department of La bor and Industries (L&I). \n The SBCC adopts the Uniform Plumbing Code (U PC) with state amendments specific to \nWashington (under RCW 19.27). The UPC applies within the propert y lines of the customer's \npremises. Labor and Industries enforces plumber certification re quirements (under RCW \n18.106). The plumber certification requirements a pply within buildings only. Information on \nthe full text of these statutes is av ailable through the following website: \nhttp://www.access.wa.gov/\n \n \nFurther information abou t the respective jurisd ictions of these agencies is provided below. \n \n \nWAC 246-290 applies to the collection, treatment, storage \nand distribution facilities under the purveyor’s control . \n \nRCW 19.27 (Uniform Plumbing Code) applies within the \nproperty lines of the customer’s premises . \n \nRCW 18.106 (requirement for certified plumbers) applies \nwithin buildings only. \n \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 3 Page 16 Washington State Building Code Council \n \nWashington State Building Code Council (SBCC) establishes the minimum requirements for the \ndesign and installation of plumbi ng in Washington thro ugh adoption of the Un iform Plumbing Code \n(often referred to as the UPC). The UPC is applicable statewide. As mentioned above, the UPC \napplies within the property lines of the customer’s premises . The UPC in effect in Washington \nincludes amendments spec ific to Washington. These includ e a number of CCC amendments. \n The various departments of state government are not supposed to adopt co ntradictory regulations, \nincluding regulations on cross-co nnection control. Thus, during the most recent major revision \nprocess of the CCC regulations for Group A public wa ter systems, DOH worked closely with the \nSBCC to ensure greater consistency between WAC 246-290-490 and th e UPC (as amended for \nWashington). To ensure this consistency, DOH has continued to work cl osely with the SBCC on \nsubsequent revisions to the UPC. \nIn fact, starting with the 1997 Uniform Plumbing C ode, the SBCC has adopt ed a number of CCC \namendments to maintain or enhance consistency with WA C 246-290-490. Information on \nWashington State’s amendments to the UPC can be foun d on the SBCC website. Their web address \nis: http://www.sbcc.wa.gov/\n \n Although the SBCC is responsibl e for adoption of the UPC, Local Administrative Au thorities (i.e., \nlocal building and/or plumbing offi cials) administer and enforce the UPC. Customers (i.e., owners \nof potable water plumbing) must co mply with the UPC in effect at the time of installation, whether \nor not the Local Administrative Au thority inspects the plumbing. \n \nNote: RCW 19.27 does not provid e authority for purveyors to regul ate plumbing. In fact, most \npurveyors have no auth ority, and thus, no resp onsibility, beyond the mete r for the customer's \ncompliance with the UPC. The only exception to this would be systems where the purveyor owns \nthe water supply throu gh distribution facilities and the plumbing. \n \nWashington State Department of Labor and Industries\n \n \nWashington State Department of Labor and Industries (L&I) require s persons engage d in the craft \nof plumbing to be certified. Th e craft of plumbing in cludes installing, re pairing and replacing \nplumbing and applies within buildings only . Some plumbing activities require a journeyman’s \nplumber certificate, whereas other plumbing activities, such as backflow assembly repair, require \nonly a specialty plumber certificate. \n The plumber certification requir ements may impact some DOH-cer tified Backflow Assembly \nTesters (BATs) working in a pu rveyor’s service area. WAC 246 -290-490 and the UPC (WAC 51-\n0603.3) both require DOH-certified BATs to conduct backflow prev ention assembly (BPA) testing. \n RCW 18.106 requires certified jo urneyman plumbers to install backflow prevention assemblies \nwithin buildings. \n \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 3 Page 17 In 2001, RCW 18.106 was amen ded and a new specialty plumbe r certification for backflow \nassembly maintenance an d repair was created. Effective January 1, 2003, BATs that repair \nbackflow prevention assemblies within buildings must hold a valid special ty plumber certificate \nissued by L&I. Further information on the plum bing certification laws and regulations can be \nobtained by accessing the following website: \nhttp://www.lni.wa.gov/scs/plumbing/ \n \nSummary \n \nIn summary, a DOH-certified BAT must test any assembly that the purveyor relies upon to protect \nthe public water system. However, only a journe yman plumber or a DOH-cer tified tester holding a \ncurrent specialty plumbing certification may repair th e assembly if it is located within a building. \n \nPurveyors may wish to recommend that any customer with one or more in-premises assemblies hire \na DOH-certified BAT that also ho lds a specialty plumbing certifi cate (in case the customer’s \nassembly needs to be repaired). Illustration 3 shows, for a typical community water system, the \nrespective jurisdictions of th e water purveyor, Local Admini strative Authorit y and L&I. \n \n \nIllustration 3 \nPublic Water System/Local Admini strative Authority Jurisdictions \n \n \n \nPWS \nJURISDICTION \n \nDOH Regulations \nApply LOCAL ADMINISTRATIVE \nAUTHORITY JURISDICTION \n \nBuilding/Plumbing \nCodes Apply \n Property Line \nWater \nMain UPC Fixture Protection\nWater Meter Backflow \nPreventer (Premises I\nsolation) L&I Jurisdiction RCW 18.106 \nApplies \nWithin \nBuildings \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 3 Page 18 3.3 History of Cross-Connection Co ntrol Regulations in Washington \n \nChapter 246-290 WAC is the pr imary document currently used by DOH to administer the RCWs \nthat address public water systems and the protectio n of drinking water. Si nce 1970, public water \nsystems in Washington have been required to de velop CCC programs to prot ect their systems from \ncontamination. In fact, the 1978 cross-connection regulations (WAC 248-54-820) included \nessentially all the progra m requirements of the current WAC 246-290-490. Specifically, WAC 248-\n54-820 included the following statement: \n \n \"A continuing and aggressive program of cross-connection in vestigation, su rveillance and \ncontrol shall be implemented accordi ng to good CCC practice such as Accepted Procedure \nand Practice in Cross- Connection Control Manual - Pac ific Northwest Section - American \nWaterworks Association, Second Edition .\" \n \nThe current WAC 246-290-490 differ s from previous regulations by: \n \n• Clarifying the jurisdiction of the water purve yor versus Local Administrative Authority \n (e.g., local building and plum bing officials) with regards to cross-connection control; \n \n• Listing and providing details on the minimum elements of a CCC program, rather than \nmerely referencing the CCC manual published by the Pacifi c Northwest Section of the \nAmerican Water Works Asso ciation (PNWS-AWWA); and \n \n• Identifying specific categories of high hazar d premises for which pr emises isolation is \nmandated. \n \nDetails on the current CCC regula tions are provided in Chapter 4. A copy of WAC 246-290-490 is \nprovided in Chapter 8. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 4 Page 19 \n Chapter 4. Cross-Connection Cont rol Regulations for Public Water \nSystems in Washington State \n \nThis chapter contains detailed information about the CCC require ments set forth in WAC 246-290-\n490. A copy of th e WAC (including CCC-relate d definitions from WAC 2 46-290-010) is included \nin Chapter 8. \n \n4.1 Applicability \n All Group A community and non- community public water system s must comply with the CCC \nrequirements of WAC 246-290-490. \n \n4.2 Overview of Regulations \n WAC 246-290-490 requires purveyors to develop \nand implement CCC programs to protect their \nsystems from contamination via cr oss connections. The specific purpose of a CCC program is to \nprotect public health by helping to ensure the quality of water delivered to customers. This is \naccomplished by protecting the collection, treatment, storag e and distribution facilities under the \ncontrol of the purveyor from contamination vi a cross connections. \n Regarding program development, WAC 246-290-4 90 requires purveyors to include a written \ndescription of the CCC program in the purveyor’s \nWater System Plan (required in WAC 246-290-\n100) or Small Water System Management Program (required in WAC 246- 290-105). If you are \nunsure whether your system must develop a Water System Plan or Small Water System \nManagement Program , consult WAC 246-290-100 and 246-2 90-105 respectively and/or your DOH \nregional engineer. \nIn addition to the written program plan, the regulations specifically require purveyors to \nimplement \ntheir CCC programs. This is because imp lementation is the key to protecting the health of \nconsumers served by the water system . Implementation activities incl ude, but are not limited to: \n \n• Hazard surveys; \n \n• Installation of backflow preventers to protect the public water system; \n \n• Establishing a record-keeping system; \n \n• Tracking assembly test reports; and \n \n• Public education. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 4 Page 20 \n Note: No public health protection is obtain ed when a system develops but fails to \nimplement its cross-connection control program! The WAC gives purveyors the option to \nimplement their cross-connection programs, or any part, directly or by means of a contract with \nanother agency or party acceptable to DOH. \n Regarding program development and implementa tion, the general CCC program requirements \nestablished by WAC 246-290-490: \n \n1. Require purveyors to use good engineering and public health protection practices. \n \n2. Give purveyors the option to use as guidan ce the most recently publis hed editions of the \nfollowing publications (in a ddition to DOH publications): \n \na. \nManual of Cross-Connection Control , published by the University of Southern \nCalifornia Foundation for Cross-Connection Control and Hydraulic Research; and \n \nb. Cross-Connection Control Manual, Accepted Procedure and Practice , published by \nthe Pacific Northwest Section, Am erican Water Works Association. \n \n3. Give purveyors the option to establish CCC pr ogram requirements that are more stringent \nthan the requirements specified in the WAC. \n \nUnder WAC 246-290-49 0, purveyors must ensure that cross connections between the distribution \nsystem and a consumer's water system are eliminated or controlled. In most cases, eliminating cross \nconnections is almost impossible. Thus, control of cross connections is the more common approach \nused to protect public water systems from cont amination. Under the WAC, control of cross \nconnections must be accomplis hed by the installation of approved backflow preventers \ncommensurate with the degree of hazard. \n The WAC offers purveyors flexibility in CCC program implementati on. Under the WAC, \npurveyors have the option to implement two di fferent types of progra ms. Purveyors must \nimplement either: \n1. \nPremises Isol ation Program , where all backflow preventio n assemblies that protect the \npublic water system are located at the custome r’s meter to isolate th e customer’s plumbing \nsystem from the public water system distribution system; or \n \n2. Combination program , where premises isolation backflow preventers are installed for high \nhazard facilities, and for other ty pes of facilities, backflow preven ters are installed for fixture \nprotection (or area isolation) within the customer’s premises. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 4 Page 21 \n Regardless of the type of pr ogram implemented, WAC 246-290- 490 requires all purveyors to \ncomply with the mandatory premis es isolation requirements for hi gh hazard facilities of the type \nlisted on Table 9 of WAC 246-290-490. Thus, purveyors that implement combination programs \nmust ensure that all high hazard f acilities they serve are isolated fr om the public water system with \nan approved backflow preventer commensurate wi th the degree of hazard (RPBA or AG). \n \nWhere mandatory isolation is no t required under the WAC, purv eyors may rely on in-premises \nprotection in lieu of premises isolation. Purveyors implemen ting combination programs often \nchoose this option for n on-high hazard premises with limited internal cross-connection hazards. \nThis option is usually less costly for the customer, since the asse mblies used for fixture protection \nare smaller than assemblies used for premises isolation. \n \nIn situations where the purveyor relies upon fixtur e protection to protect th e public water system, \nthe WAC requires purveyors to ensure that the level of protection provided by the in-premises \nassemblies is equivalent to the level of protectio n that would be provided by a premises isolation \nassembly. The WAC specifies a nu mber of conditions that must be met to ensure the equivalent \nprotection. In-premises backflow preventers relied upon by the purveyor to protect the public water \nsystem must: \n \n• Be commensurate with the degree of hazard; \n \n• Appear on the list of asse mblies approved by DOH; and \n \n• Be installed, inspected , tested, maintained, and repaired in acco rdance with the same \nrequirements that premises isolatio n backflow preventers must meet. \n In addition to the above conditions , the WAC requires purveyors to keep the same ty pe of records \non in-premises backflow preventers as for the premis es isolation assemblies. Last of all, where the \npurveyor relies on in-premises preventers to pr otect the public water system, the purveyor must \nhave access to the consumer’s premis es to conduct an initial hazard su rvey and periodic resurveys. \n \nIn summary, under WAC 246-290-490, purveyors are only requi red to maintain records on the \nassemblies that are relied upon to protect the public water sy stem from contamination. Thus, for \nconnections with premises isolatio n assemblies, the purve yor must maintain records on the premises \nisolation assembly only. For connections without premises isolation, the purveyor must maintain \nrecords on all in-premises assembli es that are relied upon to prot ect the public water system from \ncontamination. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 4 Page 22 \n To protect their systems from contamination, pur veyors must take “corrective action” when they \nbecome aware of unprotected cross connections and/or customers fail to comply with the \npurveyor’s CCC requirements. Specifically WAC 246-290-490 requires purveyors to take \nappropriate corrective actions when: \n \n1. Cross connection exists and is not controll ed commensurate with the degree of hazard; \nand/or \n 2. Customer fails to comply with the purveyor's requirements for installation, inspection, \ntesting, maintenance or repair of approved backflow preventers. \n \nUnder the WAC, purveyors have flexibility in what corrective action to take to protect\n their \nsystems from contamination. Corrective actions may include, but are not limited to the \npurveyor: \n1. Denying or discontinuing water servi ce to the non-complying customer; \n \n2. Requiring the customer to install an appr oved backflow preventer commensurate with the \ndegree of hazard; or \n \n3. Installing an approved backflow preventer for premises isolation. \n \nWAC 246-290-490 requires purveyors to coordinate with the Local Administrative Authority (e.g., building or plumbing o fficial) on CCC issues. Similarl y, the Uniform Plumbing Code \namended for Washington requires Lo cal Administrative Authorities to coordinate with purveyors on \nCCC issues. Coordination can rang e from information sharing to implementation of joint programs. \n \nUnder WAC 246-290- 490, purveyors must docu ment the level of coordination with the Local \nAdministrative Authorities, incl uding the delineation of CCC respons ibilities, in the required written \nCCC program plan descri bed above. Although recommended, written agreements with the Local \nAdministrative Authority are not required under WAC 246- 290-490. As part of the coordination \nefforts, the cross-connection re gulations require purveyors to notify the Local Administrative \nAuthority when denying or discontin uing water service to a customer. \n \nBackflow results in the \nunintended return of used water , i.e., water that has left the control of the \npurveyor, into the distribution sy stem. However, some customers may have heating and/or cooling \nsystems that are designed to intentionally return water to the purveyor’s distribution system. The \nWAC requires purveyors to prohibit the intentiona l return of used water to their distribution \nsystems. This is becaus e used water has left th e control of the purveyor , is of unknown quality \n(may contain contaminants) and ma y be at a significantly different temperature than the purveyor’s \nwater supply. Customers with these types of hea ting or cooling systems must dispose of the water \nin some other manner in lieu of returni ng it to the purveyor’s distribution system. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 4 Page 23 \n 4.3 Minimum Elements \n \nTo be acceptable to DOH, the purveyor’s CCC pr ogram must include the minimum elements \nspecified in WAC 246-290-490( 3). There are 10 minimum program elements listed in the WAC. \n The requirements for each of the minimum el ements are provided below. Guidance for \nimplementing each of the minimum elements is provided in Chapter 7 of this manual. \n \nElement 1: Establish Legal Authority \n \nThe purveyor must adopt a local ordinance, resolution , code, bylaw, or other written legal \ninstrument that: \n \n1. Establishes the purveyor's legal au thority to implemen t a CCC program; \n \n2. Describes the operating polic ies and technical provisions of the purveyor's CCC program; \nand \n3. Describes the corrective actions used to ensure that consumer s comply with the purveyor's \nCCC requirements. \n \n \n \nGuidance for implementing each of these elements \nis provided in Chapter 7. \n \n \n \nElement 2: Procedures/Sched ules for Hazard Evaluations \n \nThe purveyor must develop and implement procedures and sche dules for evaluating new and \nexisting service connections to assess the degree of hazard posed by the consumer's premises to the \npurveyor's distribution system and notify the consumer w ithin a reasonable tim e frame of the hazard \nevaluation results. At minimum, th e program shall m eet the following: \n \n1. For new connections made on or after the effectiv e date of the DOH CCC regulations (i.e., \nApril, 1999), procedures shall en sure that an initial evaluation is conducted before service is \nprovided; \n \n2. For existing connections made prior to the effect ive date of the DOH CCC regulations \n(April, 1999), procedures shall ensure that an initial evaluatio n is conducted in accordance \nwith a schedule acce ptable to DOH; and \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 4 Page 24 \n 3. For all service connections, once an initial evaluation has been co nducted, procedures shall \nensure that periodic re-evaluations are conduc ted in accordance with a schedule acceptable \nto DOH and whenever th ere is a change in th e use of the premises. \n \nElement 3: Procedures /Schedules to Eliminate/ Control Cross Connections \n \nThe purveyor must develop an d implement procedures and schedules to ensure that: \n \n1. Cross connections are elim inated whenever possible; \n \n2. Cross connections are cont rolled by installation of ap proved backflow preventers \ncommensurate with the degree of hazard (whe n the cross connections can’t be eliminated); \nand \n \n3. Approved backflow preventers are installed in accordance wi th the requirem ents of WAC \n246-290-490(6). \n \nElement 4: Provide Qualified Personnel \n \nThe purveyor must ensure that personnel, includ ing at least one person certified as a CCS, are \nprovided to develop and im plement the CCC program. \n \nElement 5: Procedures/Schedules for Ba ckflow Preventer Inspection and Testing \n \nThe purveyor must de velop and implement procedures to ensu re that approved backflow preventers \nare inspected and/or tested (as applicable ) in accordance with WAC 246-290-490(7). \n \nElement 6: Assembly Testing Quality Assurance/Quality Control (QA/QC) \n \nThe purveyor must develop and implement a BPA testing quality assurance/quality control program \nincluding, but not limited to, documentation of tester certification and test kit calibration, test report \ncontents, and time fra mes for submitting comple ted test reports. \n \nElement 7: Backflow Incident Response Plan \n \nThe purveyor must develop and implement (when appropriate) pr ocedures for responding to \nbackflow incidents. \n \nElement 8: Pu blic Education \n \nPurveyors must include information on cross-co nnection control in thei r existing programs for \neducating consumers about water system operations. Such programs may include periodic bill \ninserts, public service announce ments, pamphlet distribution, no tification of new consumers and \nconsumer confidence reports. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 4 Page 25 \n Element 9: Establish/Maintain Cross-Connection Control Records \n \nThe purveyor must develop and maintain CCC records including, bu t not limited to , the following: \n \n1. A master list of service connections and/or consumer's premises where the purveyor \nrelies upon approved backflow preventers to protect the public water system from \ncontamination, the assessed hazard level of each connection, and the required backflow \npreventer(s); \n \n2. Inventory information on: \n a. Approved AGs installed in lieu of a pproved assemblies including exact AG location, \nassessed degree of hazard, installation date, history of inspections, inspection results, \nand person conducting inspections: \n \nb. Approved backflow assemblies includi ng exact assembly location, assembly \ndescription (type, manufacturer, model, size, and serial number), assessed degree of \nhazard, installation date, histor y of inspections, tests and repairs, test results, and \nperson performing tests; and \n \nc. Approved AVBs used for irrigation sy stem applications including location, \ndescription (manufacturer, model, and size), installation date, history of \ninspection(s), and person performing inspection(s). \n \n3. Cross-connection program annual summary reports and backflow incident reports \nrequired under WA C 246-290-490(8). \n \nElement 10: Meet Additional Reclaimed Water Requirements \n \nPurveyors who distribute and/or have facilities th at receive reclaimed water within their water \nservice areas must meet any additional CCC requirements imposed by DOH under a permit issued \nin accordance with Chapter 90.46 RCW. \n \n \n \nExamples of written programs containing the \nabove elements are included in \nAppendices A and B. \n \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Page 26 \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 5 Page 27 \n Chapter 5. Reasons for Cro ss-Connection Control Programs \n \n5.1 Health Aspects \n \nThe first and foremost reason fo r developing and implementing a CCC program is to protect the \nhealth of consumers se rved by the public wa ter system. This is accomplished by preventing \ncontamination of the public water system via cross connections. \n The purveyor of a public water system has the re sponsibility to deliver wate r to its consumers that \nmeets all health standards in th e Safe Drinking Water Act and th e Washington State Drinking Water \nRegulations for Group A systems (Chapter 246-290 WAC). The wa ter should also be desirable \nfrom an aesthetic standpo int to reduce the likelihood of consum ers turning to an unapproved water \nsupply. \n Both the drinking water regulat ions (Chapter 246-290 WAC) an d the DOH Water System Design \nStandards contain many requirements that help ensu re a safe water supply for consumers served by \npublic water systems. Thes e requirements include: \n \n• Source protection requirements (watershed control, wellhead protection); \n \n• Treatment design and performance st andards (filtration, chlorination); \n \n• Distribution system design and construction (c overed reservoirs, pressure standards); and \n \n• Proper operations (certified personnel, wate r quality monitoring, cross-connection control). \n The greatest health risk to consum ers served by public water system s lies in the in troduction of a \ncontaminant into the public water system. By design, the wa ter distribution system is an efficient \nmeans of transporting drinking water to consumers served by the system. However, the distribution \nsystem can also become the conduit for the spre ad of a contaminant to a large population. \n \nOnce introduced into the distribut ion system, a contaminant can move as a “slug.” This type of \nsituation may result in extremely high concentrations in the drinking water. In other situations, the \ncontaminant may become diluted quickly. If this occurs, lower concentra tions of the contaminant \nwill be present in the drinking water. Withou t extensive knowledge of flows in a distribution \nsystem, such as those provided by a hydraulic modeling program, purveyors will have a difficult \ntime predicting what will happ en once a contaminan t enters the water distribution system. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 5 Page 28 \n There are three categories of co ntaminants of importance to purve yors from a CCC standpoint. \nThese are: \n1. Microbiological contaminants\n; \n \n2. Chemical contaminants; and \n \n3. Physical contaminants. \n \nThe following sections discuss the various types of contaminants of concern and their effects on the \nhealth of consumers and other aspects of a wate r system. Figure 3 illustrat es the three hazard types \nand provides examples of each. \n \nFigure 3 \nTypes Of Hazard \n \n \n \n \n \n \n \n \n \n \n \n5.1.1 Microbiological Contaminants \n \nIn cross-connection control, waterborne dise ases are the primary public health concern (e.g., \ncholera, typhoid, giardiasis, and cryptosporidiosis). Microbiological organisms that may cause \nwaterborne disease include: b acteria, viruses, protozoa, and parasitic helminths (worms). \n \nThe risk of a waterborne disease transmitted thro ugh the public water supp ly is a major concern \nbecause of the: \n• Large population that may be exposed to the diseas e in a short timeframe; \n \n• Inability to immediately detect contamination (i n fact, the first indicator may be the outbreak \nof disease); and \n Physical \nCompressed Air \nSteam \nHot Water Chemical \nPesticides \nOrganics \nInorganics Microbiological \nGiardia \nCryptosporidium \n Potential \nHazard \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 5 Page 29 \n • Difficulty in tracing the contaminant source (e.g., Giardia cysts may enter the distribution \nsystem from a reservoir or through a cross connection wi th an auxilia ry supply). \n \nContributing to the problem of assessing the relativ e risk to public health of a microbiological \ncontaminant is the issue of infectious dose . The severity of the health effect experienced by an \nindividual consuming drinking water containing a disease-causing microorganism varies by the: \n \n1. Type of organism; \n2. Quantity ingested; and \n 3. Strength of the person 's immune system. \n \nIndividuals with underdeveloped or weakened immu ne systems, such as in fants, the elderly, and \npersons receiving treatment for can cer, are more vulnerable to wate rborne diseases than persons \nwith fully functioning immune systems. \n All microbiological contaminants in drinking water are not necessarily disease-causing organisms. \nHowever, their presence in the pu blic water distribution system may be an indirect concern to the \npurveyor. For example, any coliform bacteria detected through the purve yor's monitoring program \nwill require mitigation measures. These measur es include re-sampling an d possible further action \nsuch as flushing, disinfection and issuance of a boil water advisory. In addition, some \nmicrobiological contaminants may cause taste and odor problems or cause an increased chlorine \ndemand. \n \nIn assessing the problem of bacter ia entering the distribution syst em, the following system-specific \nissues should be consid ered (at a minimum): \n \n1. \nSource water quality. The quality of the s ource water, if poor, may enhance bacterial \ngrowth and re-growth in the dist ribution system. For example, sources with high levels of \norganics will provide a food source for bacteria that may enter the distri bution system due to \na backflow incident. Other quality concerns include water with hi gh turbidity, sulfide \nbacteria, iron and manganese, etc., that provide a biofilm (slime) or biomass (sediment) in \nwater mains to harbor bacteria. \n \n2. Condition of distribution system piping . The condition of distri bution system piping, if \npoor, may aid bacterial growth and re-growth in the distribu tion system. For example, \ncorrosive water may cause tuberculation formati on on old, unlined cast iron and steel water \nmains. The tubercles provide a rough surfa ce that shelters bacteria from chlorine. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 5 Page 30 \n 3. Status of disinfection . Some purveyors use groundwater as a source of supply and do not \nchlorinate. The ability and willingness of the purv eyor to carry a chlori ne residual in the \ndistribution system directly impacts bacterial survival and growth within the distribution \nsystem. Purveyors that do no t routinely chlorinate their sy stems should be prepared (have \nthe necessary means and a plan of action) to apply emerge ncy disinfection to address \nunexpected microbiological contamination. \n \nConcerns about microbiological contamination may be somewhat different from system to system, \nsince each system is unique. \n \n5.1.2 Chemical Contaminants \n \nWith chemical contaminants, the issue of toxi c dose must be consid ered just like with \nmicrobiological contaminants. Every chemical will have some effect on th e person being exposed. \nThe severity of the health effect experienced by an individual co nsuming drinking water containing \na chemical contaminant depends on the type of ch emical, amount of chemical in the water and the \nduration of exposure. With chemical contaminants , the severity of health effects increases with \ndose, i.e., the higher the dose, the more significant the health effect s. Similarly, longer exposures \nresult in more signifi cant health effects. \n \nAcute toxic conditions from chemical contaminan ts are of most concern in cross-connection \ncontrol. Similar to microbiological contaminants, the health effect to an individual consuming a \ntoxic chemical varies by the: \n \n1. Type of chemical; \n2. Quantity ingested; and \n 3. Immune system of the person exposed. \n \nFor most people, the ingestion of drinking water with a high copper level will likely cause nausea, \ndiarrhea, abdominal pain and/or headache. However, in a small portion of th e population, i.e., those \nindividuals with an allergy to copper, the health effects can be far worse (c ausing death). \n Some chemicals may normally have low levels of toxicity to humans. However, when these \nchemicals are introduced into the water system via cross connections , they may react to form more \ntoxic chemicals. This occurs when the chemi cals introduced via back flow combine with the \nchemicals intentionally added by the purveyor to treat the water su pply. Chemical contaminants \nmay also react with the pi ping material in the plum bing or distribution system to leach toxic metals \ninto the water. Other ch emicals, such as gasoline, may damage piping materials (e.g., permeation of \npolyvinyl chloride (PVC) pipe) and lead to structural fail ure of the pipe. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 5 Page 31 \n Some chemical contaminants may adhere strongly to the distribution piping walls and/or plumbing. \nOnce a backflow incident has introd uced chemicals with th is characteristic into the water system, it \nis extremely difficult and/or virt ually impossible to completely clean/remove the contaminant from \nthe system. There have been well-documented backflow incide nts where the purveyor’s only viable \nremedy was to repla ce the water main affected by the chemical contaminant. \n \nConcerns about chemical contamination may be so mewhat different from sy stem to system, since \neach system is unique. \n5.1.3 Physical Hazards \n \nIn addition to microbiological and chemical contam inants, purveyors need to be aware that physical \ncontaminants can also be introduced into the wa ter supply via cross connections. Most physical \nhazards are also chemical hazards. Examples of \"pure\" physical hazards are compressed air, hot \nwater and steam. Hot water and/or steam, when pres ent in the potable water supply, may result in \nthe burning of the skin, ey es, etc., of consum ers served by the water system. \n \nGas is another type of phy sical hazard. The public health risks posed by a ga s, such as propane, are \nof an entirely different dimensio n and magnitude compared to the risks posed by hot water and/or \nsteam. In addition to t oxic effects, propane gas ma y cause an e xplosion. \n \nThus, when conducting hazard eval uations, purveyors need to be aware of potential physical \nhazards as well as microb iological and chemical hazards. Ju st like the other types of cross-\nconnection hazards, physical hazard s may cause injuries an d even death in cons umers served by the \nsystem. \n5.2 Multiple Barrier Concept \n \nProtection Afforded Throug h the Purveyor’s Programs \n \nPublic health protection of drinking water emphasizes prevention of contamination and disease. \nThis preventative approach is based on the multiple barrier concept to public health protection. \nWith this concept, purveyors cr eate multiple barriers or “roadblo cks” between di sease- causing \norganisms (and other contaminants) and public wate r system consumers. With the multiple barrier \nconcept, the greater the number of barriers, the greater the public h ealth protection a fforded. Most \nprograms implemented by purveyor s, including CCC programs, are barriers in the multiple barrier \nconcept to public health protection. \n \nThe major barriers established fo r public water systems include: \n \n• Protecting Sources of Supply. Source protection programs are designed to prevent \nmicrobiological, chemical, and physical contam inants from entering the water supply. \nSource protection is accomplished through im plementation of watershed control (surface \nwater sources) and/or wellhead protection programs (wells). \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 5 Page 32 \n • Providing Treatment. Treatme nt processes, such as filtration an d primary disinfection, \nremove, reduce, and/or inactivate contaminan ts (naturally-occurring and human-related) \nfrom the raw water. Treatmen t is provided to comply with the maximum contaminant level \n(MCL) and treatment technique requirements established by the drinking water regulations. \n \n• Secondary Disinfection. Secondary disinfection is used to maintain a disinfectant residual \nin the distribution system to co ntrol microbiological water qualit y (e.g., bacterial re-growth). \n \n• Storage. Storage reservoirs provide covered storage and prevent microbiological \ncontamination of the treated water through openi ngs in the reservoir (e.g., screened vents, \nhatch seals are provided). \n \n• Distribution System Design. Purveyors comply with the desi gn, installation and material \nstandards, and provide minimum operating pressu res (e.g., greater than 20 psi during fire \nflow conditions) to prevent contaminants from entering the distribution system. \n \n• Cross-Connection Control Prog rams. These programs help protect the public water \nsystem from becoming contaminated via cross connections. Purveyors require premises \nisolation with approved backflow preventers to prevent contaminants from entering the \nsystem from high hazard premises. \n \n• Water Quality Monitoring . Monitoring programs provide a means of surveillance of the \npublic water system to detect microbiological and/or chemical contaminants in the water \nsupply. \n \n• Operation by Qualif ied Personnel. Purveyors provide DOH-certified treatment plant \noperators, distribution system managers, and CCS s to ensure proper operation of the water \nsystem (all facilities under control of the purveyor). \n \n• Emergency Planning. Purveyors establish emergency procedures for correcting problems \ndetected in water quality mon itoring, caused by natural disasters, or created by backflow \nincidents. \n \nPublic Health Protection Afforded Through the Plumbing Code and Plumber Certification Law \n \nOn the customer's premises, th e Uniform Plumbing Code establishes minimum plumbing design, \ninstallation and operating requirement s. The purpose of the code is to protect the public health, \nsafety, and welfare of the occupa nts of buildings. The major elem ents in the plumbing code are: \n \n• Supply. Owners must ensure that ther e is an adequate supply of piped potable water for the \nplumbing system. \n \n• Distribution. Owners must install approved material s and follow design requirements to \nensure minimum pressure at fixtures. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 5 Page 33 \n • Cross-Connection Control. Owners must provide approved backflow preventers at \nfixtures to prevent contaminants from enteri ng the plumbing system (and drinking water). \n \nIn addition to the plumbing code, in Washingt on, there are also laws and regulations that \nrequire certified individuals to provide plumbing services within buildings. According to the \nplumber certification laws and regulations , plumbing is to be installed and repaired by certified \nplumbers (with some exceptions). \n The public health protection requirements establ ished by federal and state officials are very \nconservative. They include a high safety fact or for both system desi gn (reliability) and for \nacceptable levels of contaminants. For example, regulation of chemical contaminants may be \nbased on a possible adverse health effect from the long-term (e.g., 30 years) daily consumption \nof two liters of water containing a chemical at a level above the maximum contaminant level \n(MCL). \nMany of the federal Safe Drinking Water Act requirements address possible \nlong-term health \neffects of contaminants to consumers. However, contamination of water distribution systems \nthrough backflow often results in immediate adverse health effects (illness or death of one or \nmore persons) and/or financial losses . Although cross-connection control is only one of the \nmultiple barriers to protec t water quality, it is one of the most important barrie rs to protect the health \nof consumers served by a public water system. \n \nSome governing bodies que stion the need for purveyors to de velop and implement CCC programs. \nSome council and board members feel that CCC programs ar e a waste of time and money. \nHowever, cross-connectio n control programs are an integral barrier in the multiple barrier \nconcept to public health protection. In fact, without a CCC program, the purveyor’s distribution \nsystem may become the weak link in the multiple barrier approach to disease prevention. \n \nIt is illogical for purveyors to sp end large amounts of money on capital improvements for source \nwater treatment plants, water qua lity monitoring programs, etc., if the distribution system is \nvulnerable to contaminati on via cross connections. Also, for overall risk and liability management, \nthe benefits of implementing CCC programs are more favorable for purveyors than incurring costs \nfor incident investig ation, cleanup, and settlement of claims. \n \n \n \n \n \n \n \n \nWithout a cross-connection control program, the \npurveyor’s distribution sy stem may become the \nweak link in the multiple barrier approach to \ndisease prevention. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 5 Page 34 \n 5.3 Legal Aspects \n \nOnce contamination occurs, one or more persons may suffer a loss . The history of backflow \nincidents reveals that the loss ca n range from a minor financial loss (e.g., the cost of flushing a \nplumbing system) to the death of one or more persons and a significant financial loss. \n \nWhenever there is a backflow incident, on e must assume that litigation w ill follow . The \nlitigation may be based on a violat ion of regulations, a tort actio n, and/or a breach of contract. \n \n \n \nThe purveyor's cross-connection control program \nmust be designed to reasonably reduce the risk \nof contamination of the public water system and \nshould be designed to reduce the purveyor's \nexposure to legal liability. \n \n \n In general, the purveyor's liability may flow from the follow ing sources: \n \n• Having a statutory/regulatory obligation and failing to follow it (i.e., breach of the law); \n \n• Failing to develop a \"reasonable\" CCC pr ogram and/or failing to take follow-up \nenforcement action, once the purveyor has specific knowledge of a hazard (i.e., negligence); \n \n• Supplying a customer with contaminated water that causes the custom er to suffer a loss \n(e.g., breach of contract/product liability); \n \n• Imposing unreasonable requirements on the cust omer (e.g., requiring an RPBA on all \nservices); \n \n• Extending a CCC program beyond the purveyor's jurisd iction (e.g., insp ecting plumbing and \nenforcing the Uniform Plumbing Code); and \n \n• Misrepresenting the actions of the purveyor (i.e., making an implied contract). \n The purveyor’s liab ility may include: \n \n1. Fine or imprisonment for a breach of a statute; and/or \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 5 Page 35 \n 2. Payment of monetary damages, including: \n \na. Court costs; \n \nb. Fees of opposing lawyer; \nc. Compensatory damages; and \n d. Punitive damages. \n \nThe following is an exampl e of a statute pertaining to the purve yor's potential liability (criminal): \n \n \nSection RCW 70.54.02 0 Furnishing Impure Water - Penalty \n \n \"Every owner, agent, manager, operator or ot her person having charge of any waterworks \nfurnishing water for public use, who shall k nowingly permit any act or omit any duty or \nprecaution by reason whereof th e purity of healthfulness of th e water supplied shall become \nimpaired, shall be guilty of a gross mi sdemeanor.\" [1909 c 249 {291;RRS} 2543] \n \nOther statutes pertain to the pur veyor’s liability for payment of pe nalties for violation of laws or \nrules regulating public water systems. Unde r Section RCW 70.119A.0 30, DOH has statutory \nauthority to impose penalties for violations of laws or rules (regulating publ ic water systems) that \nare determined to be a public health emergency. Under this RCW, purveyo rs may be penalized up \nto $10,000 per day per violation. \n \nIn addition to the public health emergency pe nalty provision, Section RCW 70.119.040 grants DOH \ngeneral authority to impose penalties for violation of laws or rules re gulating public water systems. \nPurveyors may be penalized up to $5,000 per day per violat ion. Purveyors shou ld note that when \nmonetary damages are computed, every violation is co nsidered a separate offense, and in the case of \ncontinuing violations, every day’s continuance is a separa te and distinct violation. \n \nTo reduce the exposure to lia bility, the purveyor should implement a CCC program that: \n \n1. Complies with regulatory requirements set fo rth in the drinking wa ter regulations (WAC \n246-290-490); \n \n2. Follows the \"standards \" of the water industry for the app lication of backflow assemblies; \n \n3. Includes the installation of approved backflow preven tion assemblies; \n \n4. Includes the installation of backflow assemblies and devices in accordan ce with industry \nstandards; \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 5 Page 36 \n 5. Includes the testing of back flow assemblies by a method and at a frequency stipulated in \nregulations and recommended by industry standards; \n \n6. Includes the testing of backflow assemblies by certified testers (the certification establishes a \nminimum level of training of the personnel testing assemblies); and \n \n7. Includes procedures for inve stigating backflow incidents and restoring water quality after an \nincident occurs. \n \nRecognizing that contamination will occur, the pu rveyor’s exposure to liability can be reduced by \ntransferring as much responsibilit y, and hence, the liab ility, to others. Th is may be done by: \n \n• Requiring isolation of the customer's prem ises by an approved backflow assembly \ncommensurate with the degree of hazard, since the greates t exposure to liability for the \npurveyor is in the transm ission of a contaminant to its customers; and \n \n• Entering into a service contr act (written agreement) with th e customer to provide water \nservice (the agreement spells out the obligations of the purveyor and customer). \n \n \n \nA written \"service contract\" provides the \npurveyor with the best form of enforcement \nauthority, because the customer agrees to the \nstandards imposed by the purveyor, and any \nenforcement action by the purveyor may be based \non the customer's breach of contract. \n \n \n \nIn the absence of specific contract terms to limit liability, all parties invo lved in cross-connection \ncontrol will have some degree of implied responsibility. Each party is assumed to exercise \n\"reasonable\" conduct to prevent contamination of th e drinking water. If a case involving damages \nfrom contamination came before the courts, assessing liability may be reduced to a question of \nwhether the defendant: \n1. Knew (or ought to have known) about the dangerou s condition; and \n \n2. Took reasonable steps within his/her control to prevent contamination of the water system. \n \nAll purveyors have a contract with their custom ers. Contracts can be in writing (service \nagreements) or implied (nothing in writing). In either case, the purveyor agrees to provide safe, \nreliable drinking water, and the cust omer agrees to pa y for the water. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 5 Page 37 \n As stated previously, the purveyor's jurisdicti on ends at the meter. Thus, the purveyor does not \nhave a right to enter upon the customer's property , require a customer to inst all, test, or maintain a \nBPA, etc., except through the te rms and conditions established by the purveyor for providing water \nservices, i.e., in the service agreement. If the agre ement is not in writing an d/or is not signed by the \ncustomer, the purveyor and cust omer may disagree on the obligations of each party. \n \nWAC 246-290-490 establishes the obligation of the purveyor to protect the public water system \nfrom contamination via cross conn ections. However the WAC does not directly or by implication, \nestablish an obligation of the purveyor's customer to protect the public water system. For example, \nwhere mandatory premises isolation is require d under Table 9 of WAC 246-290-490, the purveyor \nis obligated to have an assembly installed on the service. The WAC does not address who must \ninstall the assembly. Thus, if the customer refuses to inst all the assembly, th e purveyor must \ninstall the assembly an d may have to bear the cost as sociated with the installation. \n \nExamples of standard written service contracts for new and existing cust omers are provided in \nAppendix D. The purveyor's attorn ey should be involved in estab lishing all forms of contracts. \n \n \nIt is less expensive for purveyors to pay attorney fees for advice on how to avoid a lawsuit than to \npay fees to defend in a lawsuit. The purveyor’s \nattorney should develop or approve all customer \nservice agreements used by the purveyor. \n \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Page 38 \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 39 \n Chapter 6. Starting a Program \n \n6.1 Overview \n \nSince 1970, the drinking water regulations in Washi ngton have included the requirement for \npurveyors to develop a CCC progra m. Yet, a 1994 DOH survey of water systems indicated that a \nmajority of small water systems had not started a program. More rece nt data for 2001 indicates that \neven some of the largest community systems in Washington: \n• Had no written CCC program plans; \n \n• Had written programs that di d not contain all of the mini mum elements required in WAC \n246-290-490(3); and/or \n \n• Were not implementing their programs. \n \nIt should be noted that the minimum elements currently liste d in the CCC regulations first became \neffective in April 1999. However, the basic elements of a cross-co nnection program, as outlined in \nwater industry reference manu als (e.g., Pacific Northwest S ection – American Water Works \nAssociation Cross-Connection Control Manual ), have not changed significantly since the early \n1970s. \n \nCurrently, four basic types of programs can be found in Wash ington. These are: \n \n1. Combination Programs \n \nThese are CCC programs in wh ich the purveyor relies upon both premises isolation \nassemblies and in-premises assemblies to protect the distribution system. \n \nThe purveyor requires premises isolation for premises of the type on the DOH mandatory \nlist (Table 9 of WAC 246-290-490) and may ch oose to supplement Table 9 of WAC 246-\n290-490 by adding other selected customer categories. For non-high hazard premises, the purveyor relies upon backflow protection at se lected points of use (high hazard fixtures) \nwithin the customer’s premises . With this type of program , the purveyor makes the risk \nassessment. Combination programs are the pr edominant type of program implemented by \nlarge community water sy stems in Washington. \n \n2. Premises Isolation Programs \n \nThese are CCC programs in which the purveyo r relies solely upon pr emises isolation. \n \nAll assemblies protecting the distribution sy stem are located at the meter (or at an \nalternate location acceptable to the purveyo r) to isolate the customer’s entire water \n(plumbing) system from the purveyor’s distribution system. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 40 \n For example, in this type of program , in addition to Table 9 of WAC 246-290-490 \npremises, all residential customers with special plumbing and all commercial customers are “isolated” at the meter with a DCVA or RPBA. \n \n3. Joint Purveyor and Local Administrative Authority Programs \n \nThese are programs that rely upon premises is olation for high-hazard premises (Table 9 of \nWAC 246-290-490 list) and in-premises assemblies and de vices at selected points of use for \nother types of premises. The risk assessment is made through a join t program between the \npurveyor and Local Administrative Authority (local building/plumbing official). \n \nThis type of program is most ofte n selected by municipal systems. \n \n4. Non-Community System Programs \n \nIn these types of programs, protection from cr oss connections is affo rded by compliance \nwith both the Uniform Plumbing Code and WAC 246-290 . \n \nThis type of program is applicable where the purveyor owns the potable water system from \nthe source of supply to the last tap. An example would be an elementary school supplied by \nits own well, storage tanks, treatment system, etc. \n \nEach type of cross-connec tion program identified above has signifi cantly different costs, risks, and \nliability implications to th e purveyor. The selectio n of the type of CCC pr ogram to implement is a \nmajor policy decision for the purveyor. Senior management, in consu ltation with th e purveyor’s \nattorney, should make the policy decision regarding program type. \n \n6.2 Program Decisions \n \nThe following list identifi es the fundamental policy decisions th e purveyor needs to make regarding \nthe development and implementati on of a CCC program. Once made , the policies may be changed \nin the future. However, some policy changes are mo re difficult to make than others, once a program \nhas been initially implemented. \nThe major policy decisions are: \n \n1. Program Type (e.g., premises isolation only); \n \n2. Extent of Coordination (with Local Administrative Authority); \n \n3. Corrective Action; \n 4. Service Agreements; \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 41 \n 5. Location & Ownership of Pr emises Isolation Assemblies; \n 6. Cross-Connection Specialist Options; \n \n7. Testing of Assembly Options; and \n8. Cost Recovery. \n \nEach of these decisions will be di scussed in detail belo w. At the end of eac h section, a table is \nprovided for the purveyor to re cord the policy decision made. \n \n6.2.1 Types of Programs \n A CCC program may be based upon either: \n \n• Premises isolation pr otection only; or \n \n• A combination of premises isolat ion and in-premises protection. \n \nPremises isolation means a method of protec ting a public water system (i.e., the purveyor's system) \nby installation of DOH-approved AGs or backflow prevention assembli es installed at or near the \nservice connection (or alternate lo cation acceptable to th e purveyor) to isolate the customer's water \nsystem from the purveyor's distribution system. For high hazard premises, premises isolation is \naccomplished by installation of an approved AG or DOH-appro ved RPBA on the service. \n \nFor all CCC program types, manda tory premises isolation is required for high health hazard \npremises (hospitals, medical clinics, etc.). Table 9 of WAC 246-29 0-490 lists a number of \ncategories of premises wher e an AG or RPBA is requi red for premises isolation. It should be noted \nthat the high-hazard premises table in the WAC is not all-inclusive, and other types of premises \nconsidered to pose a high health hazard also require mandatory isolation with an AG or RPBA. \nExamples of other high hazard premises would include: airlin e manufacturing plants, paper mills, \nand military bases. Table 2 is a copy of the hi gh-hazard premises list from the WAC. \n \nIf the customer's property use corr esponds to the risk assessment for the category (e.g., medical \nclinic), premises isola tion is mandatory. The only excep tion is where a customer's business \npractices and activities don’t matc h the category, i.e., the business name or description is \nmisleading. For example, a “medical clinic” may only include psychologists. The health hazard \nposed by an office of psychologists is not the sa me as a typical medical clinic with physicians, \nlaboratories doing blood work , cultures, providing diagnostic services such as x-rays, etc. In cases \nwhere the customer’s business pract ices aren’t consistent with the hazards normally associated with \nthat category of business, the purveyor may grant an exception to mandatory premises isolation. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 42 \n Table 2 \nHigh Health Hazard Premises \nRequiring Isolation by AG or RPBA \n \n \nAgricultural (farms and dairies) \nBeverage bottling plants \nCar washes \nChemical plants \nCommercial laundries and dry cleaners \nPremises where both reclaimed wate r and potable water are provided \nFilm processing facilities \nFood processing plants \nHospitals, medical centers, nursing homes, veterina ry, medical and dental cl inics, and blood plasma \ncenters \nPremises with separate (i.e., dedicated) irrigatio n systems that use the purv eyor's water supply and \nwith chemical addition * \nLaboratories \nMetal plating industries \nMortuaries \nPetroleum processing or storage plants \nPiers and docks \nRadioactive material processing plants or nuclear reactors + \nSurvey access denied or restricted \nWastewater lift stations and pumping stations \nWastewater treatment plants + \nPremises with an unapproved aux iliary water supply interconnected with the potabl e water supply \n \n*For example, parks, playgrounds, golf courses, cemeteries, estates, etc. \n \n+RPBAs for connections serving these premises are acceptable only when used in combination with an in-plant \napproved AG ; otherwise, the purveyor shall require an approved AG at the service connection. \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 43 \n Under WAC 246-290-49 0, the purveyor has an ob ligation to protect the pu blic water system from \ncontamination. The purveyor's customers and the Local Administrative Authority (plumbing \ninspector/ health inspect or) have the obligation to prevent contamination of the potable water \nsystem within the property lines of the customer’s premises. \n \nWhen establishing a cross-connection contro l program, the purveyor must first determine \nwhat level of overall risk and potential liab ility is acceptable. Whenever the purveyor relies on \nin-premises backflow preventers, the purveyor accepts in creased risk and liab ility over premises \nisolation due to: \n \n• The potential for the plum bing system to be ch anged by the customer without the purveyor’s \nknowledge and/or approval of the Local Administrativ e Authority; and \n \n• The potential for the customer to fail to test, mainta in, and repair the ba ckflow preventers \nthe purveyor relies on to protec t the public water system. \n \nPurveyors should consider all customers served by th e public water system to pose a health risk for \ncontamination of the water distribu tion system. The health risk incr eases with the co mplexity of the \ncustomer's plumbing system, uses of water (i.e., on-site activities, processes), etc. \n No plumbing system should be considered free of cross connections. Howe ver, for many plumbing \nsystems (e.g., residential homes) , with the normal cross-connect ion protection afforded through \ncompliance with the Uniform Plumbing Code, th e risk of contamination to the purveyor’s \ndistribution system is typically relatively low. \n \nPremises Isolation Programs \n \nFor a premises isolation program , an assessment must be made of the degree of hazard posed by \nthe customer to the public water system. Based on this asse ssment, if the degree of hazard is such \nthat the purveyor believes premises isolation is needed, an approved backfl ow prevention assembly \ncommensurate with the degree of hazard must be instal led on the service connection. \n A periodic re-evaluation of customers must be c onducted to confirm that the premises isolation \ndecision initially made is still valid. If not, the appropriate backflow assemb ly must be installed on \nthe service. This could be an installation where no assembly was previously required or an upgrade \nto an RPBA from a previously required DCVA (for a change in the customer's water use). \n \nThe minimum premises isolatio n program would consist of: \n \n1. Identifying all custom ers of the high health hazard type su ch as those categories listed in \nTable 9 of WAC 246-290-490; and \n \n2. Ensuring the inst allation of the requ ired RPBA or AG. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 44 \n The minimum premises isolation program offers th e purveyor the minimum le vel of public health \nprotection and liab ility management. For this reason, a premises isolation program normally \nincludes an expanded list of categori es requiring premises isolation. \n \nAn expanded list of premises isolation categories may be based upon a cust omer category system of \nclassification for assessing health risk. For ex ample, a DCVA may be required as the minimum \npremises isolation for all shoppi ng malls. The purveyor's risk assessment then reduces to \ndetermining if there are any categories of tenants (e.g ., dental or medical clin ic) in the shopping mall \nthat require the premises isolatio n requirement to be increased to an RPBA (e.g., the mall could \ninclude a medical clinic). \n When considering addition s to Table 9 of WAC 246- 290-490, purveyors need to be aware that the \nexpanded list does not need to be limited to shop ping malls. It could also include all commercial \ncustomers. Purveyors could define commercial customers as all cu stomers other than single family \nand duplex residential customers. Under this appr oach, all tall buildings, apartments, etc., would be \nincluded in a general risk category requiring at least a DCVA for prem ises isolation. \n \nCombination Programs (Reliance on Premises Isolation and In-Premises Assemblies) \n \nIn a combination program, the purveyor may rely on in-premi ses backflow assemblies (at the \nplumbing fixture) for all non high-hazard connec tions (i.e., where prem ises isolation is not \nmandated). The need to assess the degree of hazar d posed by the custom er on the distribution \nsystem does not change. However, the purveyor must determin e what individual plumbing hazards \n(fixtures) must be isolated with approved backflow assemblies to provide protection (equivalent to \npremises isolation) for the distribution system. \n Part of the in-premises risk assessment should in clude the potential for plumbing to be changed \nwithout the purveyor's knowledge. For example, strip malls with fr equent changes in tenants pose \nan increased risk to the public water system. For example, a cl othing retail store could be replaced \nby a camera store with a photo la b without the purveyor's knowledge. This would increase the risk \nto the purveyor's system. The purveyor would need to conduct re latively frequent re-surveys of the \nmall to ensure that new cross co nnections are detected, or add the mall to the supplemental list of \ncustomers requiring premises isolation. \n \nPart of the overall hazard assessme nt should also include an assess ment of the complexity of the \nbuilding’s plumbing. \nAs the complexity of the piping increase s, the risk of not identifying a cross \nconnection increases. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 45 \n Tall buildings or buildings built on a hill above the street (water main elevation) also increase the \nrisk of backflow into the purve yor's system from backpressure. For example, a small drop in the \npurveyor's system pressure may allow backflow to occur. For these re asons, WAC 246-290-490 \ngives purveyors the authority to require premises isolation on premises th at have characteristics \nsuch as: \n1. Complex plumbing arrangements or plumbing potentially subj ect to frequent changes that \nmake it impractical to assess whet her cross-connectio n hazards exist; \n \n2. A repeat history of cros s connections being established or reestablished; or \n \n3. Cross-connection hazards that are unavoidable or not correctable , such as, but not limited to \ntall buildings. \n It should be noted that the in-p remises protection provided by the customer in accordance with the \nUniform Plumbing Code may not be commensurate with the purveyor's asse ssed degree of hazard. \nThis is often the case with old buildings. Once the customer complies with the Uniform Plumbing \nCode in effect at the time of construction, th e customer is “vested.” The Local Administrative \nAuthority can’t require changes/up grades (e.g., ad dition of an RPBA) to the existing plumbing \nsystem, unless the building is sign ificantly remodeled. Thus, the Uniform Plumbing Code basically \n“grandfathers” the plumbing system s of existing buildings , and their owners ar e essentially exempt \nfrom requirements imposed by later versions of th e Uniform Plumbing Code. \n The purveyor can’t require the cu stomer to make plumbing chan ges, since enforcement of the \nUniform Plumbing Code falls under the jurisdic tion of the Local Administrative Authority. \nHowever, the purveyor may offer the customer the option to volunt arily make a plumbing change \n(e.g., install a b ackflow assembly at a fixture) in lieu of installi ng a larger, more expensive backflow \nassembly on the servic e. The advantages to the customer are: \n \n• Possibly lower cost of installation (two 3/4-in ch assemblies within a building may cost less \nthan a one 1-inch asse mbly located outside the premises in a vault or above ground \nenclosure); and \n \n• Greater health protection for the occupants of th e building, since the a ssembly on the service \nonly protects the neighboring customers served by the public water system and not the \noccupants of the building. \n \nThe disadvantage to the cu stomer is that the cost of testin g and maintaining multiple in-premises \nassemblies may be greater than th e cost associated with the singl e-premises isolation assembly. \nThus, the customer's long-term testing and maintenance costs for the in-premises backflow \nassemblies may outweigh the initia l savings in purcha se price and inst allation costs. \n \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 46 \n \nWAC 246-290-490 requires th e purveyor to protect the \ndistribution system from contamination via cross \nconnections. \n \nIf the customer doesn’t agree to install a premises isolation \nassembly or equivalent in -premises protection at the \nfixture, the purveyor must install a premises isolation \nassembly on the cu stomer’s service. \n \n \n \nThe above sections have discussed two major type s of cross-connection programs that purveyors \ncan implement to comply with WAC 246-290-490. Table 3 (below) summari zes the major \nadvantages and disadvantages of a premises isolation program vs. a combination program. \n \n \nTable 3 \nType of Program Options \n \nType of Program \nPremises Isolation Only Combination Program \nMajor Advantages Lowers the purveyor’s costs and \nworkload by reducing the number of assemblies to be monitored and the \ntime spent on re-surveys. Reduces customer’s costs by \neliminating an additional, possibly large, assembly on the service. \nMajor Disadvantages Increases customer’s risk. \nIncreases pressure loss in customer’s \nsystem. Increases customer’s cost. Increases the purveyor’s risk, due to \nunreported plumbing changes and \nundetected/unprotected cross connections. \nIncreases purveyor’s workload and \ncost for administration. \n \nPurveyors can use the following table to document the policy decision made regarding what type of \nCCC program to implement. \n \nDecision - Type of Program (check one) \n Premises Isolation Only \n Combination (premises isol ation and in-premises) \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 47 \n 6.2.2 Extent of Coordination \n \nWAC 246-290-490 requ ires purveyors to coordinate with the Local Administrative Authority on \nCCC matters. Similarly, the Un iform Plumbing Code (as amended for Washington) requires the \nLocal Administrative Authority to coordinate with th e purveyor on CCC matter s. The level of \ncoordination with the Local Admi nistrative Authority may vary. Coordination options include: \n \n• A simple exchange of information (minimum effort); \n \n• Interacting (cooperating) with the Local Administrative Authority; or \n \n• Operating a combined (joint) purv eyor/Local Authority program. \n Each of these will be discus sed in more detail below. \n \nExchange of Information Program \n \nFor an exchange of information level of coordination , the purveyor should: \n \n1. Notify the Local Administrativ e Authority (local building offi cial/plumbing inspector) of the \npurveyor's CCC program type (e.g., pr emises isolation) and policies; \n \n2. Request to be notified by the Local Administrative Auth ority of all permits for new \npremises and for permits for pl umbing changes to existing pr emises served by the public \nwater system; and \n3. Notify the Local Administrativ e Authority of any enforcement action in which water service \nis discontinued and of any backflow incidents known by the purveyor to have contaminated \nthe public water system or the customer’s plumbing system. \n \nNote: Purveyors that in itially select the information exchange option can always upgrade the level \nof coordination to an \ninteraction type of coordination in the future. \n \n \n \nWAC 246-290-490 does not requir e purveyors to enter into \nwritten agreements with Local Administrative Authorities. \n \nHowever, written agreements are strongly recommended \nfor purveyors who decide to implement joint programs. \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 48 \n The level of coordination must be described in the pur veyor's written CCC program plan. A sample \nprogram plan is provided in Appendix A. \nInteraction Level of Coordination \n For an\n interaction level of coordination (cooperation) with the Local Administrati ve Authority, the \npurveyor may: \n \n• Conduct joint surveys/inspections of the customer's premises; and \n \n• Share assembly location and testing information. \n \nAn interaction level of coordina tion is only feasible where the Local Administrative Authority’s: \n \n• Staff is knowledgeable about/has expertise in cross-connection control; and \n \n• Staff resources are adequate to participate. \n \nCombined/Joint Program Level of Coordination \n Purveyors that wish to implement a\n combined/joint program with the Local Administrative \nAuthority should establish: \n \n• Which agency (purveyor vs. Lo cal Administrative Authority) w ill be in overall charge (take \nthe lead) of the jo int CCC program; \n \n• With the Local Administrative Authority, a written ag reement that clear ly delineates the \nauthority and responsibility of each agency with regards to cross-connection control; and \n \n• A list of the tasks to be performed by each agency (i .e., the purveyor and Local \nAdministrative Authority). For example, the purveyor agrees to maintain the database of all \nassemblies (i.e., premis es isolation assemblies and fixture protection assemblies) and their \ntest results, etc. The Local Administra tive Authority conducts all plan reviews. \n \n \n \nCombined (joint) programs work best in \nsituations where both the purveyor and Local \nAdministrative Author ity fall under the same \ngovernmental entity (i.e., city or town). \n \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 49 \n In joint programs, it is comm on for purveyors to delegate responsibilities to the Local \nAdministrative Authority. Simila rly, in joint programs, purveyor s often accept responsibilities from \nthe Local Administrative Authority. In both cases, th ese responsibilities are of ten not within the \njurisdiction of the purveyor or the Local Administrative Authority respectively. Special care should \nbe taken to consider th e purveyor’s potential liability when the written agreement is drafted. \n \nTable 4 shows the recomm ended extent of coordination based on system size and/or situation. \n \nTable 4 \nCoordination with Local Admi nistrative Authority Options \n \nExtent of Coordination – Recommended Application \nInformation Exchange Interactio n Combined (Joint) Programs \nMost suitable for small water \nsystems. Practical only where Local \nAdministrative Authority has \nresources. Normally recommended where \nboth the Purveyor and Local \nAdministrative Authority fall under the jurisdiction of the \nsame governmental entity (i.e., \ncity or town). \n \nWritten Agreements \n Although not requir ed in the WAC, purveyors wanting to implement joint programs are encouraged \nto develop written agreemen ts with their Local Admi nistrative Authorities. \n There are a number of topics that should be co nsidered when the water purveyor and Local \nAdministrative Authority deve lop a written agreemen t to implement a jo int program. At a \nminimum, the written agreement should: \n1. Define the purpose of the joint program; \n 2. Identify the partie s to the agreement; \n \n3. Define terms used in the ag reement (e.g., health hazard); \n \n4. Cite the regulations that th e combined program is based up on (e.g., WAC 246-290, UPC); \n 5. Cite the authority (e .g., ordinance or council vote) to enter in to a written agreement and \nimplement a combined program; \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 50 \n 6. List the technical refere nces used (e.g., PNWS-AWWA Manual, USC Manual, etc.); \n 7. Describe the general policy regarding type of program to be implemented (e.g., premises \nisolation per Table 9 of WAC 246-290-490 with in-premises backflow protection for all \nother facilities); \n \n8. Delineate the respective re sponsibilities of the purvey or and Local Administrative \nAuthority; \n \n9. Identify the responsibilities that have been delegated to or by the purve yor and Local \nAdministrative Authority respectively; \n \n10. Describe administration procedures; \n 11. Designate the entity/person u ltimately responsible for overall program s upervision (i.e., who \nhas the lead, the purveyor or the Local Administrative Authority); \n 12. Provide detailed operating procedures for: \n \na. New construction plan review; \nb. Authorization for connection of new service; \n c. Conducting initial and periodic hazard assessments (surveys); and \n \nd. Communicating with customers. \n \n13. Include procedures for responding to: \n \na. General water quality complaints; \n \nb. Health-related complaints; and \nc. Backflow incident investigations. \n \n14. Describe enforcement procedures for: \n \na. Addressing Uniform Plumbing Code violations; and \nb. Ensuring complian ce with WAC 246-290-490. \n \n15. Identify certified backflow assembly tester (BAT) and CCS requirements; \n \n16. Include procedures for record-keeping and notifying customer s for testing, etc.; \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 51 \n 17. Include procedures for meeting all of DOH report ing requirements; \n 18. Contain provisions for amending and/ or canceling the written agreement; and \n \n19. Delineate responsibi lities for various program costs, cost recovery and tr ansfer of funds \nbetween the purveyor and the Lo cal Administrative Authority. \n \n \n \nThe requirements of a joint program must be \nconsistent with the cross-connection control \nrequirements of the individual purveyor and Local \nAdministrative Authorities. \n \n \n \nThe purveyor can use the following table to document the decision made regarding the extent of \ncoordination with the Local Administrative Authority. \n \n \nDecision - Extent of Coordination (check one) \n Information Exchange \n Interaction \n Combined/Joint Program \n \n \n6.2.3 Relationship to Customer \n \nAnother major policy decision for the purveyor is how to formalize the business relationship \nbetween the purveyor and the customers. This ap plies to more than th e CCC program issues. \nWhether the purveyor is a private individual, a hom eowner’s association or a level of government \n(e.g., water district), good busine ss practices should be followed. \n \nService agreements are one tool th at purveyors can use to formalize the business relationship with \ntheir customers. The purpose of a service agreement is to make clear to the customer the: \n \n• Legally binding conditions of service; and \n \n• Remedy afforded to the purveyor for th e customer's breach of contract. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 52 \n At a minimum, a service agreement should: \n \n1. Be in writing and signed by the customer or authorized agent of the customer; \n \n2. Be short, but explicit (in that the customer agrees to the service policy of the purveyor \nincluding the CCC requirements); \n \n3. Clearly state the corrective act ion the purveyor will take, when the custom er fails to comply \nwith the agreement; and \n \n4. Include by attachment the purveyor 's written service po licy and standards. \n \nEvery customer obtains wa ter service by agreement. The agreement may be verbal or written. \nInitially the agreement (contra ct) may be in the form of the customer requesti ng to purchase a water \nservice connection, his payment of the connect ion fee, and the purveyor installing the service and \nmeter. Thereafter, the ag reement may continue in the form of the customer's paym ent of the water \nbill. \nAt the time of customer's appli cation for service, the purveyor had a policy (terms) for providing \nservice. The terms may have be en limited to the customer's pa yment of a monthly bill. Any \ndetailed policy (contract conditions) may not have b een communicated to th e customer. The policy \nmay not have expressly covered cross connections. \n At the time of the applicat ion for service, or subseque ntly, the purveyor may: \n \n• Review the customer's plumbing plans and/or conduct a cross-connect ion survey to assess \nthe hazard posed to the purveyor's system; \n \n• Request, as a result of the h azard assessment from the plan review and/or survey, the \ninstallation of premises isola tion or in-premises backflow as semblies to protect the water \ndistribution system; or \n \n• Accept the protection afforded by existing backflow preventers. \n \nIf the purveyor chose not to conduct a plan review and/or hazard su rvey, by default, the purveyor \naccepted the protectio n afforded by the existi ng backflow preventers (e.g., provided under the \nUniform Plumbing Code). \n Historically, when requesting a cu stomer to install backflow pr eventer, purveyors commonly: \n \n• Notified the customer in writi ng of the results of a CCC pl an review and/or survey; \n \n• Specified the required backflow preventers; and \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 53 \n • Notified the customer of the requirement for testing upon installation and thereafter \nannually, etc. \n \nThis written request to comply with the purveyor's conditions for service was accepted by the \ncustomer through the act of instal ling the backflow preventers. \n \nThe purveyor then relied upon the cu stomer's installation, testing, main tenance, and repair of the in-\npremises or premises isolation approved backfl ow preventers and other in-premises backflow \ndevices to protect the public water system. This agreement between the pu rveyor and customer was \nreaffirmed each year with the re quest to the customer to have th e approved assemb lies tested by a \nDOH-certified BAT. \nThe customer may not have been informed of the purveyor's service policy to: \n \n1. Discontinue water service, if the customer failed to comply wi th the requiremen t for testing, \nmaintenance, etc., (unless the custom er is issued a second notice); \n \n2. Require the customer to install a backflow preventer for premises is olation on the service \npipe; or \n \n3. Install a backflow preventer for premises is olation on the customer’s service line, if the \ncustomer failed to do so when requested by the purveyors. \n If the above scenario is curren tly applicable to the system, \nit is recommended that the purveyor \nrequest that existing customers sign a written se rvice agreement. If the purveyor chooses not to \npursue this independently, the firs t opportunity to require the cust omer to sign a service agreement \nshould be taken advantage of. The opportunity may arise with: \n \n1. Request for a new or additional connection; \n \n2. Change in ownership of premises; and/or \n \n3. Change of water use on the premises (e.g ., through building ex pansion, change from \nresidential to commercial customer category, etc.). \n Unless the service agreement is r ecorded with the title to the property, the ne w owner of a building \nis normally not aware of the terms of the service agreement with the purveyor. The purveyor needs \nto reaffirm this information with the \"new customer.” \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 54 \n For existing customers without service agreements , the purveyor may in corporate the written \nservice agreement into the notice to the customer to test assemblies or submit a hazard survey. The \nletter could include the following statements: \n \n• In the past, the purveyor requested the insta llation of one or more backflow assemblies \nwithin the customer's pr emises to protect the water distribution system; \n \n• By the customer's compliance with the purveyor’s request, the purveyor agreed not to \nrequire the installation of a back flow assembly on the service; \n \n• This benefits the customer by providing protection for both th e customer's plumbing system \n(and family) and the wa ter distribution system; \n \n• To continue with this arrangement, the custom er must have the assemblies tested by a DOH-\ncertified BAT and maintained, repaired, or replaced as ne eded to assure performance; \n \n• By completing and returning the a ttached assembly test report form, the customer agrees to \ncontinue the agreement to provide in-premise s protection (rather than have the purveyor \ninstall an assembly on the customer’s wate r service and invoice the customer for the \ninstallation cost, annual maintenance cost); and \n \n• The customer may chose to install an assembly on his service pipe in lieu of the in-premises \nassemblies; however, such insta llation will not reli eve the customer of his responsibility to \ncomply with the requirements of the Unifor m Plumbing Code enforced by the Local \nAdministrative Authority. \n The letter and accompanyi ng assembly test form will likely document the initial agreement now \nforgotten by the customer , lost by the purveyor, etc. Sample written service agreements are \nincluded in Appendix D. \n \n \nAll agreements should be prepared by or \napproved as to form by the purveyor's attorney. \n \n \nTable 5 summarizes the ma jor advantages and disadvantages of having written service agreements. \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 55 \n Table 5 \nRelationship with Customers Options \n \nRelationship with Customers \nService Agreements Ordinance and Implied Contract \nMajor Advantages Reduces purveyor’s exposure to \nliability for enforcement of corrective action. Requires least administration by \npurveyor. Doesn’t raise any issues with \nexisting customers. \nMajor Disadvantages Increases purveyor’s \nadministrative costs. Increases purveyor’s exposure to \nlegal liability for enforcement \naction. \n \nPurveyors can use the following table to docume nt whether their busine ss relationship with \ncustomers will be formalized th rough written service agreements. \n \n \nDecision - Relationship with Customers \n Written service agreement/cont ract signed by customer \n Ordinance/resolution; implied se rvice agreement with customer \n \n \n6.2.4 Enforcement of Correcti ve Actions [Element 1] \n \nPer WAC 246-290-490 (3), when establishing authority to impl ement a CCC program, purveyors \nmust describe the corrective actio n used to ensure th at consumers comply with the purveyor’s CCC \nrequirements. For reliance on in -premises assemblies and/or premises isolation assemblies owned \nby the customer, the purveyor must make provisi ons for corrective action to be taken if the \ncustomer: \n \n1. Fails to test or maintain the assemblies; or \n \n2. Makes a change to the plumbing syst em that necessitates the installation of additional \nassemblies and/or different types of assemblies. \n \nPrior to April 1999, th e cross-connection regulations incl uded the following requirement: \n \n\"When an existing cross connection poses a poten tial health or system hazard, the purveyor \nshall shut off water service to the premises, until the cross conn ection had been eliminated or \ncontrolled by the installa tion of a proper backflow prevention assembly.\" \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 56 \n The current WAC (effective April, 1999) states: \n \n“The purveyor shall take appropriate corrective action within its authority if: \n \n1. A cross connection exists that is not cont rolled commensurate to the degree of hazard \nassessed by the purveyor; or \n \n2. A consumer fails to comply with th e purveyor's requirements regarding the \ninstallation, inspection, testing, maintenance, or repair of an approved backflow \npreventer required by this chapter.” \n The current WAC continue s with the following: \n \n“The purveyor's correctiv e action may include, bu t is not limited to: \n \n1. Denying or discontinuing water service to a consumer's premises until the cross-\nconnection hazard is eliminated or contro lled to the satisfactio n of the purveyor; \n \n2. Requiring the consumer to install an appr oved backflow preventer for premises isolation \ncommensurate with the degree of hazard; or \n \n3. The purveyor installing an approved backflow preventer fo r premises isolation \ncommensurate with the degree of hazard.\" \n \n \n \nWAC 246-290-490 states that a purveyor denying or \ndiscontinuing water service to a customer's premises for \n\"corrective action\" shall notify the Local Administrative \nAuthority ( not Washington State Department Of \nHealth ) prior to taking action, ex cept in the event of an \nemergency. \n \n \n The failure of a customer to comp ly with purveyor's requirement fo r inspection, tes ting, etc., may \nconstitute a \npotential health hazard, but not an actual health hazard. A backfl ow assembly that fails \nthe annual test may continue to stop backflow. However, it may do so with less of a safety factor. \n \nThe purveyor has the right to discontinue water service to a customer to protect the water \ndistribution system. However, the unreasonable ex ercise of this right ma y expose the purveyor to \nliability. The shut off of a water service may cause: \n \n1. A significant financia l loss to the customer; \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 57 \n 2. Backsiphonage conditions that may result in a backflow inci dent within the customer's \npremises; and \n \n3. A public health hazard to employees and/or residents of the premises (e.g., apartment \nbuilding) from a backflow incident; the lack of water supply for domestic use, fire sprinkler \nsystems, kidney dialysis , etc; and the lack of operating sanitary facilities (e.g., toilets). \n \nAs a corrective action, if the purve yor shuts off water service to a customer, based on an assessment \nof health risk, the purveyor has th e burden of proof that the actio ns were reasonable. There are \ncertain situations, i.e., public health emergenc ies, where the shut-off of water to a specific \nconnection is needed to protect the public water system from contamination. Examples would \ninclude unprotected cross connections to sewage and when a backflow incident is occurring or has \njust occurred. \n \nFor situations other than the public health em ergencies cited above, rather than face the \nburden of proof, the purveyor may wish to take an alternate corre ctive action, i.e., installing a \nbackflow assembly on the service . Alternatively, the purveyor may wish to establish with the \ncustomer service agreements (contracts) that pr ovide a legal protection for corrective action. \n \n \n \nThe purveyor's servic e policy should include \nprovisions for recovering all of the purveyor's costs \nassociated with the corrective action. \n \n \n \nTable 6 summarizes the advantag es and disadvantages of the tw o main corrective action options \navailable to purveyors. Many purveyors include bot h types of corrective actions in their programs, \nbut limit the use of water shut-o ff to emergency type situations. \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 58 \n Table 6 \nPrimary Enforcement Options \n \nType of Cor rective Action \nShut Off Water Service Install Premises Isolation \nAssembly* \nMajor Advantages Provides the most immediate \nprotection of purveyor’s system. \nPurveyor ensures protection of system. Least exposure to legal liability. \nAvoids public health issues \nrelating to lack of water supply. \nMajor Disadvantages Increased exposure to liability for \ndamages from shut-off of water. Additional cost of premises \nisolation assembly. \nPurveyor must bear cost or collect \nfrom customer, or must rely on customer–owned assembly for \npremises isolation. \n \n* Purveyors choosing this type of corrective action have the option to install and own the premises isolation assembly \nthemselves, or to have the customer install and own the assembly. \n \n \nPurveyors may use the following ta ble to document their decisions regarding enforcement of their \nCCC programs. As discussed above, purveyors can in clude both types of corrective actions in their \nwritten program plans and identify the one that will be the most commonly used means of enforcing \nthe program (i.e., purveyor in stalled backflow preventer). \n \nDecision - Enforcement Action \n Rely upon shut-off of water \n Rely upon purveyor-installed premis es isolation backflow preventers \n \n \n6.2.5 Initial Assessment and Periodic Re-Assessment of Hazard [Element 2] \n \nWAC 246-290-490 requires the purv eyor to ensure that a CCS: \n \n• Assesses the degree of hazard po sed by the consumer’s water system upon the purveyor’s \ndistribution system; and \n \n• Determines the appropriate meth od of backflow protection. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 59 \n Thus, after the basic foundation of the program has been accomplished, the implementation of an \non-going CCC program starts with the assessme nt of the level of hazard posed by various \nconnections served by the system . More than any other aspect of a CCC program, the training, \nexpertise and experience of a DOH-c ertified CCS is called upon to properly accomplis h this task. \n The \ninitial assessment of a service connection or premises refers to either the: \n \n1. Assessment conducted prior to service being initiated for a new service connection; or \n \n2. First time an assessment is performed for an existing service connection. \n \nAfter the initial assessment, the CCC regulations require periodic re-assessment of the service \nconnection to evaluate the appropriateness of th e existing level of cros s-connection protection. \n To comply with these regulatory requirements, the following options are ava ilable to the purveyor: \n \n1. The purveyor's certified CCS (on staff or contractor) makes the initial assessment of degree \nof hazard and periodic re-evaluations; or \n \n2. Each customer is required to hire a privat e CCS (contractor) to co nduct the hazard survey \nand submit a report to the purveyor. \n \nOption 2 offers the major advantag e to the purveyor of tr ansferring the cost of the initial evaluation \nand re-evaluation of commercial customers (and other customers with complex plumbing) from the \npurveyor to the customer. \n With Option 2, the purveyor's certified CCS shou ld review the hazard ev aluation report submitted \nby the customer's CCS. The purveyor's CCS review may be done as part of the periodic program \nreview (e.g., once per year), provided the system ’s CCC Program Manager is given general review \nguidelines on reviewing reports from customers. Table 7 summarizes the advantages and \ndisadvantages of the two hazard assessment options. \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 60 \n Table 7 \nCross-Connection Control Sp ecialist (CSS) Options for \nAssessment of Degree of Hazard \n \nInitial Assessment and Re-Assessment of Hazard \nBy Purveyor’s CCS \n(on Staff or Contractor) CCS Hired by Customer to \nSubmit Report to Purveyor \nMajor Advantages Assures the quality and \nconsistency of the hazard \nassessment process. \nEquitable assessment process for all customers. \n Places cost upon customers with \ncross-connection hazards. \nIncreases customer responsibility \nand liability. Hazard assessment may be \ncombined with a ssembly testing. \nMajor Disadvantages Cost borne by all the customer s. Doesn’t assure quality or \nconsistency of hazard assessments. \nCCS hazard assess ment may be \nsubject to customer influence. \n \n \nThe purveyor can use the following table to document the decisi on regarding whose CCS will be \nresponsible for conducting in itial hazard evaluations and periodic re-evaluations. \n \n \nDecision - Assessment & Re-Assessment of Hazard \n By purveyor's CCS (o n staff or contractor) \n By customer-employed CCS, with re port reviewed by purveyor’s CCS \n \n \n6.2.6 Location and Ownershi p of Premises Isolation Assemblies [Element 3] \n \nElement 3 of the cross-connectio n regulations requires the purv eyor to develop and implement \nprocedures for ensuring that cr oss connections are controlled by the installation of approved \nbackflow preventers commensurate with the degree of h azard. Regardless of the type of program \nimplemented (premises isolation vs. a combinatio n program), the purveyor must decide on the \nissues of ownership and installation location for all premises isolation backflow preventers. \n The general options available to the purveyor are premises isolation backflow preventer owned by \nthe: \n \n1. Purveyor and installed with the meter on th e public right-of-way (R OW) or in a utility \neasement along side the public ROW; or \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 61 \n 2. Customer and installed on the service line on the customer's side of the property line \neither: \n \na. Immediately downstream of the meter; or \n \nb. Downstream of the meter, before the se rvice line enters the building or in the \nmechanical room where the service line ju st enters the buildin g, with no connections \nbetween the meter and the backflow preventer. \n \nIllustrations 4-6 show three ownership/location co mbinations for premises isolation assemblies. \n \n \nPremises isolation is define d as ... \"the installation \nof approved AGs or approved backflow \nprevention assemblies \nat or near the service \nconnection ( or alternate location acceptable to the \npurveyor) to isolate the consumer's water system \nfrom the purveyor's distribution system.” \n \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 62 \n Illustration 4 \nPurveyor-Owned Premises Isolation Asse mbly Installed at Meter \n \n \nIllustration 5 \nCustomer-Owned Premises Isolation Assembly Installed \nImmediately Downstream of Meter \n \nPWS \nJURISDICTION \n \nDOH \nRegulations \nApply LOCAL ADMINISTRATIVE \nAUTHORITY JURISDICTION \n \nBuilding/Plumbing Codes \nApply Property Line \n Backflow Preventer\nPremises Isolation Water Meter \n PWS\nJURISDICTION\nDOH Regulations\nApplyLOCAL ADMINISTRATIVE\nAUTHORITY JURISDICTION\nBuilding/Plumbing Codes\nApplyProperty Line\nWater Meter and\nBackflow Preventer\nPremises Isolation\n \nUPC Fixture Protection\nWater \nMain UPC Fixture Protection\nWater Main \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 63 \n Illustration 6 \nCustomer-Owned Premises Isolation Assembly Installed at an \n\"Alternate Location\" Acceptable to Purveyor* \n \n* No connections between the meter and premises isolation assembly, unless the connection is specifically approved \nby the purveyor. \n \n \nPurveyors face an increased risk when they accept a customer-installed premises isolation \nassembly at a location other than immediately do wnstream of the purveyor's meter (i.e., at the \nproperty line). The risk comes from the potential for connections to be made to the customer's \nservice pipe without the purveyor's knowledge. A common \"alternate locati on\" is the mechanical \nroom of a building where the BPA is protected from freezing. This may offer a major cost savings \nfor the customer over construc tion of an insulated, heated enclosure for a BPA immediately \ndownstream of the meter. However, with this arrangement, the customer receives the benefit, \nwhile the purveyor accepts the increased risk. \n \nThe major advantage to the purveyor's ownership of premises isolation assemb lies is the increase in \nthe reliability of the assemblies that protect the public water system. The increased re liability results \nfrom the fact that the purveyor pur chases, installs, tests, maintains, and repairs the assemblies. The \nmajor advantage to the pur veyor of the customer ow ning the assembly is av oiding the responsibility \n(and cost) for purchase, installation, maintenance, repairs, or replacemen t and the accompanying \npotential liability for assembly fail ure. These advantag es and disadvantages are summarized in \nTable 8. \nPWS \nJURISDICTION \n \nDOH Regulations \nApply LOCAL ADMINISTRATIVE\nAUTHORITY JURISDICTION \n \nBuilding/Plumbing Codes \nApply Property Line \nBackflow Preventer for\nPremises Isolation Water Meter \n UPC Fixture Protection\nWater \nMain \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 64 \n Table 8 \nMandatory/Supplemental Premises Isol ation Assembly Location Options \n \nLocation of Assembly for Premises Isolation \nOn Purveyor’s Service Line \n(With Meter) On Customer’s Service Line \n(Downstream of Meter) \nMajor Advantages Reduces purveyor’s risk, since \npurveyor assures testing and \nmaintenance. Increases invested capital for \nsystems regulated by Washington \nUtilities and Transportation Commission, and thus, supports rate \nincreases. \nEliminates enforcement issues for purveyor when custom ers fail to test \nand maintain assemblies. Lowers purveyor’s capital \nimprovement costs. \nPlaces cost of protecting distribution \nsystem upon customers that are \ncreating the hazards. \nPlaces responsibility for \nperformance (and liability) upon \ncustomer. \nMajor Disadvantages Increases purveyo r’s cost for \nadministration of program \n(employing certified BAT). Increases purveyor’s operating \ncosts. \nRequires easement, if space is \nlimited in public right-of-way. Requires corrective action, if \ncustomer fails to test and maintain \nassembly. \n \n \nThe purveyor can use the following table to document the decision regarding location and \nownership of the premises isolation assemblies. \n \n \nDecision - Location & Ownership of Pr emises Isolation Assembly (check one) \n Owned by the purveyor and loca ted on purveyor's service line \n Owned by the customer and loca ted on customer's service line \n \n \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 65 \n 6.2.7 Cross-Connection Specialist Options [Element 4] \n \nWAC 246-290-490 (3) requires pers onnel, including at least one person certified as a cross-\nconnection specialist (CCS) to be provided to develop and implement the CCC program. The \noptions available to comply wi th the CCS requirement are: \n \n1. Purveyor's staff member obtains CCS certification; \n2. Purveyor contracts with another water utilit y or agency (e .g., the Local Administrative \nAuthority, satellite management agency, etc.) to use the services of their CCS; or \n \n3. Purveyor contracts with an in dependent CCS to provide services. \n RCW 70.119 governs DOH’s certif ication of CCSs and BATs. Th e involvement of a CCS to \n\"develop and implement\" a program varies with the type of program. For example, in a premises \nisolation program that follows a policy of re quiring backflow assemb lies only for customers \nincluded in Table 9 of WAC 246- 290-490 (mandatory list), the ne ed for the services of a CCS \nwould be minimal. Table 9 of this manual summarizes the advant ages and disadv antages of the \nthree CCS options availa ble to the purveyor. \n \n \nTable 9 \nCross-Connection Control Sp ecialist (CCS) Options to \nImplement Purveyor's Program \n \nPurveyor’s Program – CCS Options \nPurveyor’s Staff \nMember Certified Contract with Another \nUtility or Agency Contract with \nConsultant CCS \nMajor Advantages CCS is readily \navailable. Minimum cost. CCS will likely have \nmore experience. CCS will likely have the \nmost experience. \nMajor Disadvantages Potential staff \nturnover. \nExperience may be \nlimited. May require training. CCS may not be \nreadily available \nRequires interagency \nagreement. CCS may not be readily \navailable. \nRequires service \ncontract. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 66 \n The purveyor can use the following table to document the policy d ecision made regarding the CCS. \n \nDecision - Cross-Connection Control Specialist (CSS) Option to \nImplement the Purveyor's Program Management \n Purveyor's staff member certified \n Inter-agency agreement to use another agency's CCS \n Contract with consultant CCS \n \n \n6.2.8 Assembly Testing Options [Element 5] \n \nWAC 246-290-490(3) requires the purveyor to develop and implemen t procedures to ensure that \napproved backflow preventers are inspected and/or tested. Thus, re gardless of the type of program \nimplemented (premises isolation vs. a combination program), the purveyor must establish a policy \nfor the testing of assemblies relied upon by the purveyor to protect the distribution system. The \ngeneral options are: \n \n1. Purveyor's backflow a ssembly tester (BAT), on staff or a contractor, tests al l assemblies; or \n \n2. Purveyor requires the customer to hire a BAT. \n \n \n \nThe purveyor shall ensure that a DOH-certified \nBAT tests approved backflow prevention \nassemblies (relied upon by the purveyor) for \nproper operation. [WAC 246-290-490 (7)] \n \n \n \nHaving the purveyor's BAT (staff or contract or) perform the tests has the advantage of: \n \n1. Increased reliability (quality control over testing) and th us, decreased pot ential liability \n(backflow incident); \n \n2. Less administrative cost for the purveyor (notificat ion letters, quality a ssurance, etc.); and \n \n3. Good public relations, because the customer is not responsible for the task. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 67 \n Testing by the purveyor's staff or contractor BAT has the disadvantages of the purveyor incurring: \n \n1. Possible liability for an assembly failure; and \n \n2. Increased costs for staff. \n \nIn programs where the pur veyor requires the customer to hire a BAT, the purvey or should provide \nthe customer with a list of loca l contractor BATs (see Section 7 for details) that have met the \npurveyor’s criteria to test. Alth ough not currently ava ilable, a public listi ng of certified BATs \nshould be available fr om DOH in the future. \n Table 10 summarizes the advant ages and disadvantages of the two BAT options available to \npurveyors. \n \nTable 10 \nAssembly Testing Options \n \nTesting of Assemblies \nBy Purveyor-Employed BAT (on \nStaff or Contract) By Customer-Employed BAT (i.e., \nContractor) \nMajor Advantages Ensures quality assurance/control \nof test results for the purveyor. \nReduces the administrative costs \nfor the purveyor. \nResults in good public relations for \nutility. \nDecreases customer costs. Cost is borne by the customers with \ncross connections. \nMajor Disadvantages Increases staff/consultant costs for \nthe purveyor. Increases staff training \nrequirements for the purveyor Testing quality assurance/control is \nnot ensured. \nIncreased administrative costs for \nthe purveyor. \n \n Purveyors can use the following table to document the policy decision made regarding assembly \ntesting. \n \nDecision -- Testing of Assemblies (check one) \n By purveyor's BAT (on staff or contractor) \n By customer-employed BAT (contractor) \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 68 \n 6.2.9 Cost Recovery \n \nThe purveyor is requir ed by WAC 246-290-490 to develop and implem ent a CCC program. The \ncost of the program should be identified in th e purveyor's operating budget. To reduce and/or \nrecover the cost of the CCC program, the purveyor may: \n \n1. Assess the general administrative cost of th e cross-connection program to all customers, or \nto one class of customers (e.g., all commercial cu stomers) through use of: \n \na. Commodity or consumption charges (e.g., $/gallon); \n \nb. Meter charges (e.g., $/month), based on the size of meter; or \n \nc. A supplemental backflow assembly charge (e.g., $/month), ba sed on the size of \nassembly. \n \n2. Require each customer to dir ectly bear the costs of the haza rd surveys and costs associated \nwith the purchase, installation, testing, and maintenance of any backflow assemblies by \nrequiring each customer: \n \na. With a commercial account, to hire a CCS to conduct the initial and subsequent surveys \nto assess the health hazard; \n \nb. To purchase, install, main tain, repair, and/or replace any backflow assemblies required \nas a result of th e hazard survey; and \n \nc. With backflow assemblies to hire a BAT for assembly testing. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 69 \n The advantages and disadvantages of thes e options are summarized in Table 11. \n \n \nTable 11 \nRecovery of Program Cost Options \n \nRecovery of Program Costs \nBorne by All \nCustomers (general \nwater rates) Assessed to Specific \nClass of Customers \n(commercial meters) Each Customer \nDirectly Bears Cost \nMajor Advantages No special billing \nprocedures necessary. No special billing \nexpenses. More equitable than \ngeneral water rates. Most equitable cost \nrecovery approach. \nMajor Disadvantages Su bsidizes services \nposing cross-\nconnection hazard. Least equitable \napproach. Requires special billing \nprocedures and \nincreases billing expenses. \nNeeds rate analysis for \neach separate class of customer. Increases billing \ncomplexity and \nexpenses. \n \n \nThe purveyor can use the following table to select the desired me thod of recovering costs for \nimplementation of the CCC program. \n \nDecision - Program Cost Recovery (check one) \n Costs borne by all customers (t hrough general water rates) \n Costs assessed to a sp ecific class of customers (e.g., commercial) \n Each customer with a cross-conn ection hazard directly bears cost \n \n \nTable 12 identifies al l the major policy decisions that ne ed to be made by purveyors: \n \n• Just starting to develop their CCC programs; or \n \n• That are updating their existing programs to comply with the latest revisions to WAC 246-\n290-490. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 70 \n Purveyors can use Table 12 to document (in summary form) all thei r CCC program policy \ndecisions. Note: Tabl e 12 highlights suggested policy options for small utilities serving mostly \nsingle-family reside ntial connections. \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 71 \n Table 12 \nSummary of Purveyor’s Program Decisions \n \nCheck at least one for each program decision item. \n \nProgram Decision Item Decision \n1. Type of Program [General, WAC 246-290-490(2)(e)] \na. Premises Isolation Only * \nb. Premises Isolation and In-premises protection (Combination Program) \n2. Extent of Coordination with Local Administrative Authority [WAC 246-\n290-490(2)(d)] \na. Information Exchange * \nb. Interaction \nc. Combined/Joint Program \n3. Relationship with Customer [WAC 246-290-490(3)(b), Element 1] \na. Signed service agreement or contract * \nb. Ordinance/Resolution; implied service agreement \n4. Enforcement of Corrective Action [WAC 246-290-490(3)(b), Element 1] \na. Rely upon shut-off of water service \nb. Rely upon purveyor installed premises isolation * \n5. Hazard Assessment/ Reassessment [WAC 246-290-490(3)(c), Element 2] \na. By purveyor’s CCS on staff or equivalent * \nb. By customer-employed CCS, with report reviewed by purveyor’s CCS \n6. Premises Isolation Assembly Ownership/Location [WAC 246-290-490(3)(d), \nElement 3] \na. On purveyor’s service line * \nb. On customer’s service line \n7. CCS Program Manager Option [WAC 246-290-490(3)(e), Element 4] \na. Purveyor’s staff member certified \nb. Use another agency’s CCS by inter-agency agreement to \nc. Contract with consultant CCS * \n8. Testing of Assemblies [WAC 246-290-490(3)(f), Element 5] \na. By purveyor’s BAT (staff or contractor) * \nb. By customer-employed BAT (contractor) \n9. Cost Recovery [WAC 246-290-100(4)(h) and –105(4)(p)] \na. Borne by all customers (general water rates) * \nb. Assessed to specific class (commercial meters) \nc. Each customer directly bears cost \n \n*Suggested options for small utilities serving mostly single-family residences. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 72 \n 6.3 Programs for Non-Community Systems \n \nPer Chapter 246-290 WAC, there are two types of Group A non-community water systems. These \nare: \n1. Non-transient non-community systems; and \n 2. Transient non-community systems. \n \nThe WAC defines these type s of systems as follows: \n \n1. A \nnon-transient non-comm unity system (NTNC) is a public water system that provides \nservice opportunity to 25 or more of the same nonresidential people for one hundred \neighty or more days within a calendar year (e.g., school, motel with more than 25 \nemployees on site); and \n \n2. A transient non-community system (TNC) is a public water system that serves: \n \na. 25 or more different people each day for si xty or more days within a calendar year; \n \nb. 25 or more of the same people each day fo r sixty or more days, but less than one \nhundred eighty days, within a calendar year; or \n \nc. One thousand or more people for two or more consecutive days within a calendar \nyear (e.g., county fair). \n \nA common characteristic of many no n-community systems is that th ey occupy a single parcel of \nland under one ownership. As such, the public wa ter system includes all facilities from the source \nof supply to the tap. \n \nFor non-community systems, the jurisdictions of DOH and the Local Administrative Authority \noverlap. Thus, the owner of a non- community system must comply with the requirements of both \njurisdictions. In other words, non-community sy stems must comply with both the drinking water \nregulations (Chapter 246-290 WAC) and the Unif orm Plumbing Code. Wher e there is a conflict \nbetween requirements, the system owner must comply with the more stringent of the two \nrequirements, or comply with both requirements. \n Non-community system purveyors that are develo ping CCC programs should apply the drinking \nwater system regulations to t hose facilities that are normally operated by a community water \nsystem. In other words, the drin king water regulations should be applied to the infrastructure from \nthe source of supply to the servic e connection to the build ing(s). The primary focus of the drinking \nwater regulations is that the sour ce of supply and the distribution facilities (t ransmission mains) are \nnot contaminated via unprot ected cross connections. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 6 Page 73 \n Similarly, the Uniform Plumbing C ode should be applied to the fixtures within the building(s) and \nany irrigation systems on the premises. The prim ary focus of the Uniform Plumbing Code is to \nensure that the plumbing system (within the buildi ng or buildings) doesn’t become contaminated via \nunprotected cross connections. \n Depending on the number and type of buildings served, the CCC pol icy of a non-community system \nmay be to provide: \n \n1. Source protection, if a single building or wate r user is supplied (e.g., provide a DCVA at the \nwell house that supplies a restaurant); \n 2. Area or building isolation (particularly if a Table 9 of WAC 246-290-490 premises is \nserved); and/or \n 3. Equivalent in-building protection through inst allation of backflow preventers at hazardous \nfixtures per the Uniform Plumbing Code. \n An example of a written program plan for a non-community system is provided in Appendix B. \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Page 74 \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 75 \n Chapter 7. Implementing a C ross-Connection Control Program \n \n7.1 General Administration \n \nThe general administration tasks for a CCC program are the same for both sm all and larger public \nwater systems. The primary diff erence is in the amount of admini strative work associated with \nimplementation of the program. For small water sy stems with primarily residential customers, the \nadministration of a CCC program should only result in a small, added workload to the system’s \nexisting workload. Fo r these systems, someone other than a DOH-certified CCS may carry out \nmany of the administrative tasks asso ciated with the CC C program. . \n \n7.1.1 Overall Management \n \nWAC 246-290-490(3)(e) states that \"personnel, including at least one person certified as a cross-\nconnection specialist (CCS)...\" shall be provided to develop and implement the CCC program. The \nWAC also states in 246-290- 490(2)(c) that the purveyor may implement the CCC program directly \nor by means of a contract with another agency or party acceptable to DOH. This language was \nspecifically included to give sm all water systems that serve primarily residential customers the \noption to contract out for the serv ices of a CCS. Options for empl oying the CCS were discussed in \nSection 6.2.6. \n \nThe purveyor should designate one individual, i.e., the CCC Program Manager, to provide \nthe overall management of the CCC program. The purveyor should de legate to the Program \nManager the authority and responsibility to orga nize and implement the CCC program. For larger \nsystems, the CCC Program Manager is typically the DOH-certified CCS in responsible charge of \nthe CCC program. \n \nSmall water system CCC Program Ma nagers must ha ve a general knowledge of cross-connection \ncontrol, but they do not necessarily need to be certified as CCSs. For small systems, administration \nof the CCC program typically requires only limited, periodic work for the CCS . Thus, the services \nof a full-time CCS are not likely to be needed by a small water syst em (nor is full- time involvement \nalways practical). \n \nSmall water system CCC Program Ma nagers that are not currently certified CCSs should complete \nsome CCC training. This will he lp them to become more knowle dgeable about the public health \naspects of cross-connection contro l, the regulatory requirements for public water systems and basic \nindustry practices. This knowledge should help uncertified Pr ogram Managers with the day-to-day \nimplementation of the CCC program. \n \nSeveral third party training organizations offer CCC courses in Washington. These courses range \nfrom inexpensive one-day Basi c CCC classes for Small Water Sy stems to more expensive, \nweeklong CCS certification classes. More information is available on training in Appendix F. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 76 \n Small system CCC Program Managers interested in pursu ing CCS certificatio n should note that \nscholarships might be available. The CCC Committee of the PN WS-AWWA offers CCS \nscholarships for syst ems serving 2500 connections or less. See Appendix F for further information. \n \nFor a small water system, th e CCC Program Manager may be: \n \n• The owner of the system (private system); \n \n• An elected representative (water association or district); or \n \n• An employee, contract manager, or satellite mana gement agency. \n \nThe Cross-Connection Control Program Manage r will be responsible for the day-to-day \ncontact with customers, the ge neral public, state and local government, etc., on cross-\nconnection control matters. To ensure that th is contact person is ke pt well informed, all CCC \nProgram administration tasks should be un der their supervision. For example: \n \n• All correspondence should be routed throug h the Program Manager (the Program Manager \nshould sign the correspondence or at least receive a copy); and \n \n• All plans, plan review reports, cross-connection hazard survey reports, as sembly test reports, \netc., should be routed th rough the Program Manager. \n When technical CCC prog ram issues arise, sma ll water system CCC Prog ram Managers who are \nnot certified CCSs should defer to the recommendations and advice of the contract CCS. Program \nManagers who have concerns about or don’t agre e with the contract CC S’s recommendations can \ncontact DOH for regulatory interp retation questions and/or seek th e advice of another experienced \nCCS. \nNon-CCS Program Managers shou ld not over-ride th e recommendations of their contract \nCCSs. \n \n7.1.2 Purveyor's Poli cy Statement/Ordinance \n \nOnce developed, the CCC program po licy (policy statement, ordinance and/or resolution) should be \nincorporated into the purveyor 's system Management and Oper ations Manual. Purveyors can \ninform their customers about the CCC program policy by: \n \n• Distributing the policy to new customers with the application for water service (e.g., as an \nattachment to the service agreement); and \n \n• Including a policy summary statement in the annual Co nsumer Confidence Report. \n \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 77 \n \nThe annual Consumer Co nfidence Report can be a \ncost-effective tool for public education on the \npurveyor's conditions for service, including the \ncustomer's obligation to protect the distribution \nsystem from contamination through cross \nconnections. \n \n \n \n7.1.3 Personnel \n All water system employees (staff and/or contr act manager/operator) should have a general \nknowledge of cross-connection cont rol. The CCS involved in the development and implementation \nof the program will likely be the most knowledgeable about the principles and practices of cross-\nconnection control. However, all other water sy stem staff members, from time-to-time, may be \ninvolved in CCC issues because: \n \n• Customers may ask general questions of office and/or field staff; \n \n• Office staff will process th e paper work relate d to the CCC program (survey records, \ncorrespondence, DOH annual su mmary report forms, etc.); \n \n• Field staff may encounter backflow condition s (e.g., main break causes backsiphonage \nconditions, meter reader may noti ce meter running backwards) or may need to respond to a \nbackflow incident; and \n \n• Field staff may spot a new “uncontrolled” (i .e., no backflow preventer) cross connection \n(e.g., customer may have installed a lawn spri nkler system without noti fying the purveyor or \nobtaining a plumbing permit from the Local Administrative Authority). \n \nGeneral CCC training fo r staff may be ob tained through: \n \n1. Workshops sponsored and/or provided by DOH or technical associations, such as the Pacific \nNorthwest Section - American Water Wo rks Association (PNW S-AWWA), Spokane \nRegion Cross-Connection Control Committee (SRC4), the Western Washington Cross-\nConnection Prevention Professionals Group (The Group), and the American Backflow \nPrevention Associ ation (ABPA); and \n \n2. Operator training manuals, such as Small Water System Operation and Maintenance , \nprepared by California Stat e University, Sacramento. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 78 \n For the CCS employed by the purveyor (on sta ff or by contract), sp ecialized training is \nrecommended and current CCS certification is required . The initial specializ ed training may be \na three to five day \"specialist\" course. The CCS must hold a cu rrent Cross-Connection Specialist \ncertification issued by DOH. To be eligible to sit for the CCS exam, an applicant must have a high \nschool diploma and have six months experience (not necessarily in cross-connection control) \nworking for a public water system . The Cross-Connection Control Resource Information section in \nAppendix F provides information about training resources and CCS certification courses. \n DOH requires contract operators to be certified CCSs and Water Distribution Managers. To obtain \na list of contract operators check the DOH Office of Drinking Water website at: \nhttp://www.doh.wa.gov/ehp/dw\n \n \nCompletion of a three to five-d ay CCS course and certification by DOH ensures a minimum level of \nknowledge in cross-connec tion control. However, CCS certific ation does not provide any assurance \nof experience or expertise. When employing a CCS to develo p and/or implement the cross-\nconnection control program (eit her on staff, inter-agency agreement, or contract CCS), \npurveyors should follow procedures normally used for selecting a contra ctor or consultant. \nPurveyors should try to get proposals from at least two (preferably three) contract CCSs . \n \nWhen soliciting proposals from contract CCSs, at a minimum, purv eyors should request: \n \n• Documentation of current CCS certification, and the date of initi al CCS certification; \n \n• A resume of applicable training, certification, and work experience w ith specific emphasis \non experience in program development and im plementation to meet the most recently \npublished CCC regulations; \n \n• A list of public water systems the CCS is currently under contra ct with and/or systems they \nhave provided CCC progra m services to within the past five years and a description of the \nservices provided to each system; \n \n• The names of at least three public water systems the CCS has worked for within the \nprevious three to five years (to contact as references); \n \n• Information on the scope of serv ices the CCS is willin g to provide (the scope should include \nall tasks specified in WAC 246-290-490); and \n \n• A sample of the CCS’s written work, i.e., a sample CCC program plan, Annual Summary \nReport (ASR), other report, etc. (to evaluate the quality of their work). \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 79 \n Purveyors should ca refully check references to obtain in formation about the quality of service \nprovided by the contract cross- connection control specialist. When checking references \npurveyors should be sure to ask whether any problems were encountered during the contract and \nwhether the system would hire the CCS again. Purveyors should avoid cross-connection control \nspecialists who advocate an in -premises protection only strate gy, since this approach doesn’t \nprovide adequate public health protection and do esn’t comply with the current cross-connection \ncontrol regulations. \n \nIt is recommended that pu rveyors only hire CCSs who: \n \n• Are familiar with the intent of the most recently published CC C regulations and any \nrevisions being prop osed and who work closely w ith DOH CCC program staff; \n \n• Develop complete written program plans (i.e., that comply with all the minimum elements in \nthe regulations); \n \n• Return purveyor technical assi stance phone calls wi thin a reasonable timeframe and during \nbusiness hours; and \n \n• Ensure that original CCC records are kept by the water system. \n \nIf the feedback from references is positive, purveyors may wi sh to request a samp le contract from \nthe CCS. The contract sh ould clearly identify the specific task s to be performed by the CCS, the \ntimeframe for completion of each task and include a provision fo r the water system to seek a \nremedy for any work that is unsatisfactory to the purveyor (at no additional cost). The contract \nshould also specify that the written program plan will comply with the requirements of the most \nrecently published CCC regulations . In addition, the contract should specify that all work \nperformed by the CCS w ill be in accordance with the most recently publ ished CCC regulations. \n Small systems contracting out the development of a written program are advised to include \nlanguage in the contract that allows them to withhold final payment pending DOH’s review and \nacceptance of the written pr ogram. Final payment should not be made, un til DOH has indicated to \nthe purveyor that the written CCC prog ram meets the current regulat ory requirements and is \nconsidered acceptable. \n Taking the above steps is analogous to an insura nce policy for a small sy stem and should help \nprevent a small system from be ing taken advantage of by unscr upulous CCSs. DOH is aware of \none small system in Washington that paid $15,000 to a contract CCS for development of a written \nCCC program plan and other services. Shortly afte r the system made the final payment, DOH sent \nout notices that the new regulations had been adop ted. The program developed for the small system \ndidn’t begin to comply with the new regulations . The contract only specified that the program \nwould meet the regulations cu rrently in effect, so the sy stem had no recourse. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 80 \n In this case, the CCS under c ontract never told the purveyor that the CCC regulations were \nundergoing extensive revision. Yet, DOH had not ified all CCSs in Washin gton of the upcoming \nchanges and invited them to partic ipate in the regulation revisions process. The CCS also did not \ninform the purveyor that the ne w regulations specified the minimum elements of a written program. \n If, prior to making final payment, the small syst em purveyor had contacte d DOH and asked for an \ninformal review of the program developed by the contract CCS, th is unfortunate situation might \nhave been avoided. \n \nSmall water systems might want to consider contracting wi th a cross-connection control \nspecialist who also is a certified back flow assembly tester (i.e., BAT). Although not required, \nthe additional certificatio n would be advantageous to the system, since the BAT could test all \npurveyor-owned assemblies. \n \n \n \nFor most small systems, a cross-connection control \nspecialist (CCS) is needed for a relatively small \nnumber of hours of work . Thus, the hourly fee \nshould not be a major f actor in selecting a CCS. \nInstead, purveyors should select a CCS based \nupon training, experience, and past \nperformance. \n \n \nWAC 246-290-490 specifies a number of program tasks that must be performed by a DOH-certified \nCCS. These tasks include: \n \n1. Development and implementation of the CCC program; \n \n2. Hazard assessments and determination of the appropriate backflow protection; \n \n3. Granting of exceptions to the mandatory prem ises isolation requirements and completion of \nforms to document the reason for granting th e exception; \n \n4. Inspection of backflow preven ter installations to en sure that backflow protection provided is \ncommensurate with th e degree of hazard; \n \n5. Inspection of AG installations for compliance with the AG definition; and \n \n6. Inspection of backflow as semblies for correct instal lation and approval status. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 81 \n Although not currently required, it is recommended that the purveyo r’s CCS also complete and sign \nthe ASR forms. For sma ll water systems with a CCS under contract, if comp letion of the forms is \nnot within the scope of work provided by the CCS, at a mini mum the CCS should: \n \n• Provide the CCC Program Manager with the in formation and inventor y data needed to \ncomplete the ASR forms; \n \n• Review the forms for accuracy; and \n \n• Sign them on behalf of the water system. \n Table 13 provides an example of the typical ta sks and division of re sponsibilities between the \nProgram Manager and the CCS for a small water system. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 82 \n Table 13 \nExample of Cross-Connection Cont rol Program Task Assignments \nSmall Water System Program \n \nCross-Connection Cont rol Program Task Cross-Connection \nControl Program \nManager \n(or Other PWS Staff) Cross-\nConnection \nControl \nSpecialist \nDevelopment of policy and resolution (i.e., cross-\nconnection control wr itten program plan) √ √ \nExecution of service agreement √ \nConduct general risk asse ssment (by category of \npremises) √ \nConduct customer-speci fic risk assessment √ √+ \nDetermine appropriate backflow protection √ √ \nGrant exception to mandatory premises isolation √ \nSchedule “mandatory” prem ises isolation backflow \npreventer installations √ \nSchedule other backflow preventer installations √ \nCoordinate with Local Administrative Authority √ \nConduct general plan review (by category of premises) √ \nConduct customer-specific plan review √ √ \nMaintain cross-connection control program records √ √ \nNotify customers of need for annual backflow preventer \ntest and maintenance √ \nReview test reports √ √ \nComplete Annual Summary Reports √* \nTesting quality assurance review √ \nPublic education program √ \nHazard survey for complian ce with service agreement √ √ \nEnforcement of service agreement √ √ \nResponse to backflow incident √ √ \n \n+If the purveyor's CCS does not conduct a risk assessment, the CCS should review the general assessment made by the \nProgram Manager or the specific assessment made by th e customer-employed CCS and reported to the purveyor. \n \n*As an alternative, the CCS may provide assistance to the Program Manager for co mpletion of the forms and then review \nand sign the Annual Summary Report forms on behalf of the system. \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 83 \n 7.1.4 Water Service Agreements \n \nThe types of water service agreemen ts and their respective benefits are discussed in Section 6.2.2. \nWhatever the form of service agre ement, the Program Manager and CCS should be involved in the: \n \n• Development of the water service agreement; and \n \n• Administration of the agreement (e.g., enforcement actions). \n \nFor new customers , the Program Manager should ensure that the custom er signs an application for \nwater service (i.e., the service agreement). \n \nFor existing customers , two options are available. The Program Manager may either: \n \n1. Request that the customer sign an agreement; or \n 2. Reaffirm the terms of service by asking the cu stomer to sign an agre ement as a condition of \nretaining his existing backfl ow prevention assemblies for fi xture protection in lieu of \ninstalling premises is olation assemblies. \n \nAppendix D includes copies of standard servi ce agreements for new an d existing customers. \n \n7.1.5 Backflow Assembly Installation Standards \n Per WAC 246-290-490, a ll backflow prevention as semblies that protect th e public water system \nfrom contamination must be appr oved by DOH. In addition, the WA C requires these assemblies to \nbe installed in a manner that will facilitate their proper operation, maintenance, inspection, and in-\nline testing. Assemblies must also be installed in compliance with safety regulations and all \napplicable building and plumbing code regulations. \n \n \nThe purveyor is re sponsible for ensuring that backflow \npreventer installations comply with safety regulations, \ncodes, etc., for the back flow preventers it owns. \n \n \n \nThese requirements were established, because an improper installation decreases the assembly’s \nreliability of preventing backflow. This is due to the fact that: \n \n• An unsafe or inaccessible loca tion reduces the likelihood of an assembly being inspected, \ntested and maintained; \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 84 \n • Improper assembly orientation may prevent proper operation; \n \n• Installation in a hazardous environment may allow contaminants to enter the assembly \nthrough test cocks, relief va lve ports, or air inlets, and/or may cause corrosion damage; and \n \n• Freezing temperatures or high temperatures may damage the assembly. \n \n \n \nWhere the purveyor is also part of a Local \nAdministrative Authority (tow n or city), any installation \nproblem noted by the purveyor (i.e., water utility) is \ndeemed to be known by th e plumbing inspector, whether \nor not there is communication between the two \ndepartments. \n \n \n \nManufacturers provide recommendations for the prope r installation of their assemblies, and it is \nimportant to consult the manufact urer's instructions prior to th e installation of any assembly. \nHowever, the water purveyor or other approval authorities ma y have established installation \nrequirements that differ from the manufacturer's recommendations. In fact, the manufacturer's \nrecommendations may be in conflict with DOH and/or the purveyor's requirements. In all cases, \nthe more stringent installation requirements of DOH and the water purveyor take precedence \nover the manufacturer ’s recommendations. \n \n \n \nThe Washington State Department of Health \nBackflow Prevention Assemblie s Approved for Installation \nin Washington shows the appr oved orientation for the \ninstallation of each ap proved assembly (e .g., flow upward, \nhorizontal, vertical, or alternate orientation) by make, \nmodel, and size of assembly. \n \n \n \nSystems that need to establish installation standards for their pr ogram plans can co nsult technical \npublications, regional CCC groups and/or larger purveyors in their area for detailed assembly \ninstallation information. Recommen ded installation standards are prov ided in technical publications \nsuch as the: \n• Manual of Cross-Connection Control , published by the University of Southern California - \nFoundation for Cro ss-Connection Control & Hydraulic Research (USC-FCCCHR); and \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 85 \n • Cross-Connection Control Manual, Accepted Procedure and Practice , published by the \nPacific Northwest Section, American Water Works Association. \n \nMost water utilities in Washingt on with established progra ms reference the PNWS-AWWA \npublication. \nAnother source of installation in formation is the regi onal CCC groups within Washington. The \nWestern Washington Group has developed brochures showing the installation requirements for each \ntype of assembly used fo r premises isolation. \n \nThe purveyor of a smal l water system may adopt installa tion standards by referencing: \n \n• The above noted manuals; \n \n• The standard plans issued by a nearby (large) utility; \n \n• The standard plans issued by a re gional CCC group in Washington; or \n \n• Standard plans issued by the purveyor. \n Examples of standard installation draw ings are included in Appendix D. \n \n7.2 Implementation of Program \n \nProgram implementation starts w ith the adoption of CCC policy (ord inance, by-law, or other legal \ninstrument). This is fo llowed by development of a written program plan to carry out the policy and \nto meet the requirements of WAC 246-290-490. The written descri ption of the program must be \nincluded in the purveyor's Water System Plan or Small Water System Management Program, \nwhichever is applicable. \n \nWAC 246-290-490 (3)(b) sets fort h the required elements of th e CCC program. The minimum \nelements are summarized in sect ion 4.3 of this manu al. The major implementation elements are \ndiscussed in this section. \n \n \nThe purveyor reduces ex posure to liability by \ncomplying with the cr oss-connection control \nregulations for Group A sy stems and following the \n\"standards\" of the cross-connection control \nindustry. \n \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 86 \n 7.2.1 Schedule of In itial Risk Assessment \n \nThe purveyor must establish procedures and schedules for assessing the cross-connection \nhazard (health risk) of all new and existi ng customers. The procedure for hazard assessment \ndepends on the type of pr ogram adopted, i.e., premises isolati on versus a combination program that \nalso relies on in-premises assemblies. The disc ussion on program types was provided in Section \n6.2.1. \nNew Customers \n The hazard assessment for a ll new connections should have begun in April of 1999. This was the \neffective date of the new regula tions. According to the WAC, f\nor new customers, the hazard \nassessment must be done before service is provided . The assessment may be done by: \n \n• Category classification (medical clinic); \n \n• Customer questionnaire (fire sprinkler system); and/or \n \n• CCS plan review and field cr oss-connection hazard survey. \n \nExisting Customers \n \nFor existing customers, the purveyor must prepare a sc hedule acceptable to DOH for: \n \n• The initial hazard assessment; and \n \n• Periodic re-assessment. \n An absolute deadline has not been establishe d by DOH for completion of the initial hazard \nassessment. \n The hazard assessment \nprocedures for new and existing customers are essentially the same. \nHowever, the h azard assessment schedules for these two categories of customers will differ. The \nhazard assessment schedule for ex isting customers is a key elemen t in the purveyor's written \nprogram. \n \nThe assessment schedules directly affect the an nual administration and operation costs of the \npurveyor’s CCC program. The schedules also have a major bearing on the pu rveyor's exposure to \nthe risk of contamination an d potential liability for damage s from a backflow incident. \n \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 87 \n \nHazard assessments should be done on a priority \nbasis. A higher priority should be given to high \nhealth hazard categories of premises (e.g., \nhospitals, medical clinics, car washes, etc., of the \ntype listed on Table 9 of WAC 246-290-490). \n \n \nSetting Priorities \n All purveyors need to set prior ities for hazard assessmen ts, due to limited resources. However, \npurveyors with combination program s need to even be more careful in prio ritizing their hazard \nassessments. This is because a significantly greater effort is re quired to survey the non-high hazard \ncustomer’s premises to determ ine if backflow preventers at fixtures provide protection \ncommensurate with the degree of hazard and equivalent to premises isolation. \n For combination programs that rely on premises is olation and in-premises pr otection, priority for \nhazard assessments should be as follows (lis ted from high to low priority): \n \n1. High Priority: Customers of the type listed on Table 9 of WAC 246-290-490 as a high \nhealth hazard requiring premises isolation by an AG or RPBA (mandatory premises \nisolation); \n \n2. Medium Priority: Customers included in the purveyor's supplemental list for mandatory \npremises isolation; and \n \n3. Low Priority: The remaining customers. \n \nInitial Hazard Assessment Schedule \n \nTable 14 lays out a reasonable hazard assessment schedule fo r a small water system. The \ntimeframes listed under the schedu le column start from the initia tion of the water system’s CCC \nprogram. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 88 \n Table 14 \nHazard Assessment Schedule \n \nHazard Assessment Task Schedule from Cross-\nConnection Control \nProgram Start-Up \nEstablish policy Within 6 months \nIdentify high hazard facilities (Table 9 \nof WAC 246-290-490) for mandatory \npremises isolation Within 9 months \nIdentify supplemental facilities for \npremises isolation (e.g., all commercial customers) Within 12 months \nIdentify residential customers with \n“special plumbing or activities” on their \nproperty Within 15 months \n \n \nPurveyor may use their bi lling records, business license inform ation, and/or the telephone book \n\"Yellow Pages\" to identify potential commercial, industrial, and other non-single family residential \ncustomers. This list ca n be used to make a rough appraisal of the number of co nnections in each \nnon-residential hazard categor y. For small towns and cities, the local busine ss licensing agency is \noften a very good source of information fo r identifying non-residential customers. \n \nOnce the rough appraisal is made, the next step is to determine if a customer actually \"fits\" the \nhazard category . The purveyor’s CCS must make final hazard assessment decisions. \n \nExceptions \n As mentioned previously, some customers that initially appear to fall into a high health hazard \ncategory requiring mandatory premis es isolation may actua lly pose only a moderate or low hazard \nto the public water system. For example, a build ing described as a medical clinic may contain only \npsychologists, and thus, would not fall into a high health hazar d category requiring premises \nisolation by an RPBA. However, if a tenant changed to a ph ysician or veterina rian, the building \nwould require an RPBA for premises isolation. \nOther examples of premis es that initially appear to fall in to the high hazard category but pose a \nlower hazard are: \n• A “bottling plant” that only stores the fi nished product; and \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 89 \n • A commercial dry cleaners or laun dromat that is used only to co llect or deliver clothes (i.e., \nthe cleaning facility is located elsewhere). \n \nFor these type facilities, the purveyor has the po licy choice to either: \n \n1. Require premises isolation from the start, based on the potential for a change in tenants/use; \nor \n 2. Grant an exception to premis es isolation and frequently re -assess the hazar d to detect a \nchange in tenants/use. \n \nPurveyors don’t have to obtain DOH concur rence to grant an exception to mandatory \npremises isolation for a high-hazar d category of customer of the type listed in Table 9 of WAC \n246-290-490, where the customer's water use does not ”match” the high-hazard assessment. \nHowever, the purveyor's CCS must document the justification for waiving premises isolation by \ncompleting an Exceptions Report Form. Purveyors must submit Exception Report Forms to DOH \nwith the ASR (see Sectio n 7.6). All exceptions granted by th e purveyor to the mandatory premises \nisolation list must be reported to DOH. \n \nCustomer Notification \n Once the initial hazard asse ssment is complete, purv eyors must notify their customers of the results. \n The WAC states that the purveyor must notify th e customer, within a reas onable timeframe, to \ninform them of the assessment re sults and the requiremen ts for backflow prevention to protect the \npurveyor's system. To allow fo r purveyor flexibility, DOH has not established an absolute \ntimeframe for issuing the assess ment notification for backflow preventer installation. \n \nHowever, to better protec t public health and for risk and liability manage ment, it is prudent for \npurveyors to notify customers as soon as possible of their: \n \n• Hazard assessment results; and \n \n• Responsibility to prevent c ontaminants from entering th eir potable water systems and the \npurveyor's distribution system. \n Table 15 presents a schedule that can be used by a small water system fo r notifying customers of \nhazard assessment results. The sc hedule starts from the date of completion of the hazard \nassessment. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 90 \n Table 15 \nHazard Notification Schedule \n \nHazard Notification Ca tegory Schedule from \nCompletion of Hazard \nAssessment* \nCustomers assessed as a high health hazard \n(Table 9 of WAC 246-290-490 facilities) Within 3 months \nCustomers assessed as requiring premises \nisolation (supplemental to Table 9 of WAC 246-290-490 fac ilities) Within 6 months \n \nAll other customers wh ere purveyor chooses \nto rely upon in-premises backflow \nassemblies Within 6 months \n \n * This schedule is considered to meet th e “reasonable time frame” requirements of the WAC. \n \n \n \nUnder Washington Law, it is a gross misdemeanor \nfor any owner or operator to knowingly permit, or \nby omission allow, the co ntamination of a water \nsystem (see Section 5.3 for RCW wording). \n \n \n \n7.2.2 Schedule for P eriodic Re-Assessment \n \nPer the WAC, the purveyor must periodically re-assess the cross-connection hazard posed by all \nconnections served by the system. However, the purveyor’s rea ssessment efforts can focus on \ncustomers other than those with premises isolation AGs or RPBAs , as long as annual test \nreports are satisfactory for the premis es isolation backflow preventers. Customers with \npremises isolation AGs or RPBAs already have installed the maximu m backflow protection . \n \nHow often should hazard reassessm ents be done? The frequency of periodic hazard re-assessments \nshould be based on th e potential risk the customer poses to the purveyor's water system. \n \nDue to resource limitations, most systems will need to phase the scheduling of hazard re-\nassessments. Customers that po se the greatest risk to the wa ter system (i.e., non-residential \ncustomers) should have their hazard reassessments scheduled first. Once th e higher risk customers \nhave been addressed, assessments for lower risk (i.e., residential) customers can be scheduled. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 91 \n Priorities (listed from highest to lowest) for schedu ling re-assessments sh ould be given to: \n \n1. Non-residential customers: \n \na. Without premises isolation DCVAs, i.e., where in -premises backflow preventers protect \nthe public water system from c ontamination (e.g., industrial building that is likely to \nhave changes in the plumbing); \n \nb. With premises isolation DCVAs, where changes in tenants or plumbing could raise the \nrisk to high hazard (e.g., strip malls where a building occupa ncy could change to include \na medical clinic); and \n \n2. Residential customers (the water use questionnaire can be used for re-a ssessments). \n \nPer the WAC, a re-assessment is also required whenever there is a change in the use of the \npremises. This is because a change in use often results in a change in the ha zard posed to the water \nsystem. Hazard assessment changes may trigger: \n• A requirement for a premises isolation back flow preventer, wher e no preventer was \npreviously required or where the purveyor relied on in-premise s preventers; or \n \n• An upgrade to a more reliable preventer (i .e., DCVA to RPBA), where a less reliable \npreventer was previously required. \n \nTable 16 lays out a reasonable hazard re-assessment schedule fo r a small water system. The \nschedule starts from the date of the initial hazard assessment. \n \n \nTable 16 \nHazard Re-Assessment Schedule \n \nHazard Re-Assessment Task Schedule \nCustomers assessed as a high health hazard \n(Table 9 of WAC 246-290-490 facilities) and \nprotected by a premises isolation AG or RPBA Not required as long as \nannual test results are \nsatisfactory \nCustomers assessed as requiring premises isolation (supplemental to Table 9 of WAC \n246-290-490 fac ilities) Within 2 years if DCVA \ninstalled \nCustomers where in-premises backflow \nassemblies are relied upon by purveyor Within 2 years \nAll residential customers where purveyor relies \nupon compliance with Uniform Plumbing CodeWithin 2-3 years \n(questionnaire) \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 92 \n 7.2.3 Schedule for Back flow Prevention Assemblies Installation \n \nOnce the initial hazard asse ssment is complete and the customer has been not ified, the WAC states \nthat the purveyor shall develop and implement procedures for: \n \n• Eliminating cross connections; or \n \n• Controlling cross connections by installation of approv ed backflow preventers \ncommensurate with the degree of hazard in situations where cross connect ions cannot be \neliminated. \n \n \n \nCross connections are eliminated by removal of points of \nuse of water (e.g., plumbing fi xtures) or removing sources \nof contaminants (e.g., abandoning a private well according \nto Washington State Department of Ecology \nspecifications). \n \nIt is not possible to elim inate all cross connections on \nthe customer's premises. \n \n \n \nA hazard assessment determines if the custom er's cross connections are \"controlled\" to the \nsatisfaction of the purveyor. If contro l is not satisfactory , the purveyor must: \n \n1. Install an approved backflow preventer for premises isolation; \n \n2. Get the customer to install an approved ba ckflow preventer for premises isolation; or \n 3. Get the customer to install in-premises approv ed backflow preventers (for fixture protection \nor area isolation) that provide equivalent (to premises isolation) protection for the purveyor's \nsystem. \n \nWhichever is the case, the purvey or must establish a schedule for the installation of the backflow \npreventer(s). To gi ve flexibility to purveyors, DOH has not established an absolute de adline for the \ninstallation of backflow prevente rs once a hazard assessment for an existing customer has been \ndone. \nHowever, for public health protection and liability manage ment reasons, backflow \npreventers should be installed as soon as possible after the need for a preventer is identified. \n \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 93 \n \nFor liability management reasons, it is in the \npurveyor's best interest to have assemblies installed \nas soon as possible. \n \n \n \nThe installation of backflow preven tion assemblies may be a significant cost to the purveyor and/or \ncustomer. For new customers , the cost of a backflow prevente r for premises isolation or in-\npremises alternatives will constitu te a very small amount compared with the overall project budget \nif they are required at the time of construction. Thus, the requirement for the installation of a BPA \nbefore service is provided is not an undue burd en to the customer. \n \nFor existing customers and/or the purveyor, the cost of insta lling backflow preven ters as a retrofit \nmay be significant compared with the customer's annual operating budg et. Except where an \nimmediate high health hazard has been identified, it is reas onable to work with the customer and to \nallow them enough time to fund the installation of backflow prev ention assemblies required by the \npurveyor. \n \nTable 17 provides a schedule that lays out “a r easonable timeframe” for an existing customer of a \nsmall water system to install a backflow assembly or assemblies. The timeframes presented start \nfrom the date the custom er was notified of th e hazard assessment. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 94 \n Table 17 \nBackflow Preventer Installation Schedule for Existing Customers \n \nBackflow Preventer In stallation Category \n(Existing Customers Only ) Schedule (from Notice \nof Hazard Assessment) \nCustomers assessed as a high health hazard \n(Table 9 of WAC 246-290-490 facilities) \nwhere premises isolation is mandated by Washington State Department of Health Within 90 days but no \n longer than two years* \nCustomers assessed as requiring premises \nisolation (purveyor’s supplemental list to Table \n9 of WAC 246-290-490 fac ilities) Within 90 days but no \n longer than two years* \nCustomers where in-premises backflow \nassemblies are relied upon by purveyor Within four years \nAll residential customers with special plumbing \nor hazardous activities on their property Within 10 years \n * Schedules longer than 90 days are subject to ac ceptance by th e Purveyor. \n \nThe 90-day schedule should apply if the customer: \n \n• Applies for an additional or relocated water service; \n \n• Makes a change in the use of water (e.g., changes from a residential to commercial \nclassification); or \n \n• Makes significant modifications to his premises (e.g., major bu ilding addition, remodel, etc). \n Table 18 is an example summary task schedule that sh ould be included in the purveyor's written \nCCC program plan. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 95 \n Table 18 \nExample Summary Task Schedule to Include in \nWritten Cross-Connection Control Program Plan \n \nTask Planned \nImplementation \n(Starting from Policy \nAdoption Date) \nAssess purveyor's water sy stem facility hazards Within 30 days \nInstall backflow preventers on purveyor’s system facility \nhazards Within 6 months \nConduct hazard assessment for new customers Upon application for \nservice \nEnsure backflow preven ters are installed for new customers Before service is \nprovided \nConduct hazard assessments for existing high hazard \ncustomers Within 6 months \nNotify existing high hazard customers of hazard assessment \nresults and backflow prevente r installation requirements Within 9 months \nEnsure backflow preven ters are installed for existing high \nhazard customers Within 12 months* \nConduct hazard assessments for existing, non-high hazard , \ncommercial customers Within 12 months \nNotify existing non-high hazard commercial customers of \nhazard assessment results and ba ckflow preventer installation \nrequirements Within 18 months \nEnsure backflow preventers ar e installed on connections to \nexisting , non-high hazard, commercial customers Within 36-48 months* \nRe-assess non-high hazard commercial customers Every 2 years \nConduct hazard assessment for existing residential customers Within 12 months \nNotify residential customers of hazard assessment results and \nbackflow preventer installation requirements Within 18 months \nEnsure that backflow preventers are installed on residential \nconnections that require protection Within 36-48 months* \nRe-assess residential customers Every 2 years \n \n* Earlier BPA installation is required when a custom er's water use changes (e.g., tenant changes), and/or building \nmodifications require a plumbing permit. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 96 \n 7.2.4 Communication with Customers \n \nThe CCC Program Manager should be responsible for all initial communication with customers. \nThe initial communicat ion should include: \n \n• Notification of the water system’s policy (or ch ange in policy) to establish a CCC program; \n \n• Public education mate rials describing the need fo r cross-connection control; and \n \n• Hazard assessment information, i. e., either the distribution of water use questionnaires or the \nscheduling of a cross-co nnection hazard survey. \n \nThe purveyor's CCS may handle subsequent communication wi th customers regarding the CCC \nprogram. \n \nSample letters, public education materials, and forms are provid ed in Appendix D. Additional \nresource materials may be found in the PN WS-AWWA manuals and US C Manual listed in \nAppendix F. \n \n7.2.5 Requirements of Existing Customers \n \nUnder WAC 246-290-490, purveyors must protect the public water system from the cross-\nconnection hazards posed by its customers. Unless the purveyo r has specific knowledge to the \ncontrary, for existing customers, the purveyor must assume that: \n \n• All customers were in compliance with the plumbi ng code in effect at th e time the certificate \nof occupancy was issued for their premises; and \n \n• No significant plumbing changes have occurred (i.e., that would require a new plumbing \npermit) since the cer tificate was issued. \n \nThe Local Administrative Authority, i.e., plumbing inspect or, has jurisdiction over matters of public \nhealth and safety within the property lines of the customer’s premises. The customer's plumbing is \nconsidered to be \"reasonably\" sa fe, if it complies with the heal th-related parts of the Uniform \nPlumbing Code. However, unlike the drinking water regulations, th e customer is \"vested\" with \nrespect to the Uniform Plumbing Code. \nThus, Local Administrative Authoriti es can’t require a change in the customer’s plumbing system to \nbring the plumbing into complia nce with the most recently a dopted code, unless the Local \nAdministrative Authority has spec ific knowledge of a health or safety hazard. Also, the Local \nAdministrative Authority doesn’t have the authority to make ra ndom plumbing inspections, once \ncertificates of occupancy have been issued. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 97 \n Despite efforts by the Local Ad ministrative Authorities to ensure complianc e with the Uniform \nPlumbing Code, experience has shown that some customers make plumbing changes without the \nproper permits and thus, their plumbing doesn’t comply with the plumbing code in effect at the time \nof construction. Also, the plum bing of many other existing cu stomer premises may not comply \nwith the most recently adopted plumbing code. \n \nIf the purveyor requires a backflow preventer for premises isolation (i.e., purveyor installs or \nrequires customer to install), prior to installation: \n1. The purveyor should notify the customer: \n \na. Of the reason for the backflow prevente r installation (e.g., gene ral policy for a meter \ncheck; to isolate an existing lawn irrigation system); and \n \nb. That the backflow preventer will prevent thermal expansion from being relieved \nthrough the distribution main, and thus, the customer should ensure that his plumbing \nhas adequate safety protection (e.g., pressure temperature relief valve on the hot water \ntank, and an expansion tank). \n \n2. The purveyor should notify the Local Admi nistrative Authority (LAA) (plumbing \ninspector) of any backflow preventer and/or meter check to be installed by the purveyor, \nso that the LAA may inspect the customer's premises for thermal expansion protection. \n \n7.2.6 Cross Connections in Purveyor's System \n An essential component of the purveyor's CCC progra m is to provide protection from cross \nconnections at purveyor -owned facilities. Th ese facilities include: \n \n• Office and mainte nance buildings; \n \n• Water treatment plants; and \n \n• Water distribution mains. \n Office and maintenance facilities should be evaluated us ing the same criteria used for assessing a \ncustomer's premises. For fac ilities constructed on parcels of land owned by the purveyor, the \npurveyor must also comply with the Uniform Plumbing Code requi rements enforced by the Local \nAdministrative Authority (plumbing inspector). \n \nIf the purveyor is an agency of a city, town, or count y, municipal facilities su ch as water and sewage \ntreatment plants, parks, commun ity centers, government buildin gs, and shops must also be \nevaluated for cross-connection control. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 98 \n There are a number of common cros s connections typically found in purveyor-owned facilities. \nThese may include cr oss connections in: \n \n1. Water treatment plant including: \n \na. The discharge of filter backwash and rinse water to waste; \n \nb. Potable water connections to chemical injectors or pumps; \n \nc. Sampling lines that connect a meter to both raw and treated (finished) water; \n \nd. By-pass connections between raw and treated water storage; \n \ne. Surface washers; \n \nf. Hydraulically operated filter effluent valves; \n \ng. Chlorinators connected to bot h raw and treated water; and \n \nh. Common walls between finished and unfinished water. \n \n2. Distribution system including: \n \na. Air release and vacuum valves; \n \nb. Temporary connections for ne w water main disinfection; \n \nc. Fire hydrants, standpipes when used for: \n \ni. Filling tanker trucks; or \n \nii. Flushing water mains or sewers. \n \nThe following manuals lis t typical distribution system hazards and the recommended backflow \nprevention: \n• Cross-Connection Control Manual, Accepted Procedure and Practice , published by the \nPacific Northwest Section, American Wate r Works Association (PNWS-AWWA); and \n \n• Manual of Cross -Connection Control, published by the University of Sout hern California \nFoundation for Cross-Connection Control and Hydr aulic Research. \n \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 99 \n \n \n \nFor liability and public relations reasons, it is \nprudent for purveyors to provide cross-connection \ncontrol for all purveyor-owned facilities, before \nasking customers to spend money for backflow \npreventer installation and testing. \n \n \n \n7.2.7 Common Cross Connections Associated with Small Water Systems \n \nSmall water systems often serve ma ny premises (and wate r uses) that pose cr oss-connection hazards \nto the public water system. Some of these hazards are listed on Table 9 of WAC 246-290-490(4). \nHowever, other specific h azards encountered in the sy stem may not be listed. \n Many large water systems have developed extensiv e lists of hazardous premises they serve and \nidentify the required backflow protect ion. Tables 19 and 20 list some hazards th at may be served by \nsmall water systems and the required/recommended backflow protection for each type of hazard or \npremises. For ease of use, the tables are divided into \nresidential and commercial hazards \nrespectively. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 100 \n Table 19 \nRequired/Recommended Protectio n for Residential Hazards * \n \nDescription of Hazard or P remises Minimum Protection \nRequired/Recommended \nAuxiliary water supply, interco nnected with public water system RPBA (premises isolation, \nrequired as per Table 9) \nAuxiliary water supply , not interconnected with public water \nsystem DCVA (premises isolation) \nBoiler RPBA on boile r feed line (or for \npremises isolation) \nCommercial farms RPBA (premises isolation as per \nTable 9) \nDecorative ponds AVB at hose connection \nDialysis equipment RPBA \nHobby farms (5 - 10 acr es, non-commercial) DCVA (premises isolation) \nHome-based businesses (e.g., beauty salo n, woodworking shop) \nwhere water use is essentially the same as for normal residential \nuses AVB on hose bibbs \nHydroponics, non-commercial greenhouse RPBA (for premises isolation) \nLivestock watering trough AG or AVB \nIrrigation system (bur ied underground) DCVA \nPhoto lab, darkroom (non-commercial ) DCVA (for premises isolation) \nPrivate Boat Moorage AVB at hose connection \nSoaker hoses AVB at hose connection \nSolar heating system, heat exchangers (with chemicals) RPBA (for premises isolation) \nSolar heating system, heat exchangers (no chem icals used) DCVA (for premises isolation) \nSwimming pool, spa - filled manua lly by hose AVB at hose connection \nSwimming pool, spa - fill line with an approved AG plumbed in No additional protection \nSwimming Pool, spa - fill line plum bed in below water level (i.e., \nno AG) RPBA on fill line \nWater softeners with discharge to sewer (through AG) RPBA \nSewage Pumps, Lift Stations, Grinder Pumps AG or RPBA \n \n* Note: “Table 9” in this table refers to Table 9 of WAC 246-290-490(4). \n \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 101 \n Table 20 \nRequired/Recommended Protection for Co mmercial-Type Hazards * \n \nDescription of Hazard or P remises Minimum Protection \nRequired/Recommended \nAll Commercial Connections DCVA (premises isolation) \nminimum \nStrip malls DCVA (premises isolation) \nFarms RPBA (Table 9) \nFish farms RPBA (Table 9) \nHigh schools with laboratories (no internal RPBA for area \nisolation) RPBA (Table 9) \nHigh schools with laboratories (with internal RPBA for area \nisolation) DCVA (premises isolation) \nElementary schools DCVA (premises isolation) \nDry cleaners RPBA (Table 9) \nPhoto labs, film processors (Commercial) RPBA (Table 9) \nHydroponics, greenhouses (Com mercial) RPBA or DCVA \nHome-based businesses on co mmercial scale DCVA minimum \n \n* Note: “Table 9” in this table refers to Table 9 of WAC 246-290-490(4). \n \n \n7.3 Mandatory Premises Isolation \n \nWAC 246-290-490 lists categories of high hazard premises that requ ire mandatory isolation. Most \nCCC technical publications also list customers requ iring mandatory premises isolation. These lists \nwere developed based on assessments of severe or very high degrees of hazard. The assessments \nare often confirmed by reports of well -documented backflow incidents. \n \nBetween the various technical publications and st ate regulations, there may be different customer \ncategories listed for mandato ry premises isolation. At a minimum, the pu rveyor must comply \nwith the premises isol ation requirements of WAC 246-290-490(4). It should be noted that the \nWAC gives purveyors the option to require premises isolation for connections serving premises not \nidentified on Table 9 of WAC 2 46-290-490. These include prem ises such as tall buildings, \npremises with complex plumbing or plumbing subj ect to frequent changes, and premises with a \nhistory of cross connections being established. \n \nSome purveyors supplement Table 9 of the WAC by adding other cu stomer categories (usually non-\nresidential) to their system’s mandatory premises isolation list. Purveyors can obtain ideas for \nadditional categories in te chnical manuals, such as: \n \n• Manual of Cross-Connection Control , published by the University of Southern California - \nFoundation for Cro ss-Connection Control & Hydraulic Research (USC-FCCCHR); and \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 102 \n • Cross-Connection Control Manual, Accepted Procedure and Practice , published by the \nPacific Northwest Section - Amer ican Water Works Association. \n \n7.3.1 Washington State Requirem ents for Fire Pr otection Systems \n \nIn Washington, the Uniform Plum bing Code requires backflow pr evention for all fire protection \nsystems, except for flow-throu gh or combination systems for residential services. \n \nA flow-through fire system : \n \n• Uses a different piping system from the consumer’s potable water piping; \n \n• Is constructed of approved potable water pipi ng and materials to wh ich sprinkler heads are \nattached; and \n \n• Ends at a connection to a toilet or other plumbing fixture to prevent the water in the pipe \nfrom becoming stagnant. \n \nIn a combination fire system , the potable water piping and materi als serve both th e fire sprinkler \nsystem and the consumer’s potable water system. \n \nWAC 246-290-490 requires the purv eyor to ensure that backflow protection consistent with the \nUPC is installed. Th e UPC requires minimum protection as follows: \n \n• An RPBA or RPDA for fire protection systems with chemical addition or using an \nunapproved auxiliary water supply; and \n \n• A DCVA or DCDA for all other fire protection systems. \n \nPurveyors can easily meet this requirement for new services. Purveyors can stipulate in the service \nagreement (i.e., application for new service) th at the customer must co mply with the current \nUniform Plumbing Code before service is provided. \n \nFor existing customers, the purveyors may only request co mpliance from the cu stomer, or install a \nbackflow preventer on the service for premises isol ation. By defining \"hig h health cross-connection \nhazard\" and specifying the appropria te approved backflow preventer as an AG, RPBA or RPDA, by \ndefault, a fire protection system requiring a DCVA or DCDA is a \"low health cross-connection \nhazard.” This may undermine the purveyor's enforcement of a DCVA for public health protection \nreasons. \n For \nexisting customers, purveyors can requ ire compliance in situations where the customer has a \nchange in water use, remodels the premises, etc. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 103 \n \nThe purveyor is not an enforcement agency for the \nUniform Plumbing Code. \n \nAn existing customer may be \"vested\" w ith respect to the \nUniform Plumbing Code. If a backflow preventer is not \ncurrently in place, neither the purveyor nor the Local \nAdministrative Authority (plumbing inspector) has \nauthority to require compliance with the current UPC. \n \nHowever, if the customer do es not install the required \nbackflow prevention asse mbly, the purveyor must \ninstall an assembly on the service. \n \n \n \nTable 21 provides guidance for scheduling the insta llation of backflow preven ters on fire sprinkler \nsystems for existing customer connections. Th e schedule starts from the purveyor’s hazard \nassessment notice to the customers. \n \nTable 21 \nBackflow Prevention fo r Fire Sprinkler Systems on Existing Customer \nConnections \n \nFire System Hazard Catego ry Schedule of Backflow \nPreventer Installation \nHigh health hazard fire systems (with chemical \naddition and/or auxiliary supply) Within 2 years \nAll other fire systems Within 10 years \n \n \n \nThe purveyor should notify the Local Fire Marshal \nwhenever a backflow prev enter is installed on a \nfire service or on a combined fire and domestic \nservice, since the added pressure loss through the \nbackflow assembly may a ffect the design of the \nfire system. \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 104 \n 7.3.2 Purveyor's Additional Requirements \n \nWAC 246-290-490 estab lishes minimum requirements for CCC programs. However, under the \nWAC, water purveyors may devel op more stringent program require ments than those of the state \nand/or local levels of government (i.e., the county). \n \nWhen adding new requirements or making more stringent requi rements, it is important for \npurveyors to: \n \n• Establish justification for the added requirement (i.e., show that the decision was not \narbitrary or capricious and that the added requirement can reasonably be met by the \ncustomer); and \n \n• Maintain consistency in th eir application to custom ers served by the system. \n \nJustification for a dditional requirements may be based on: \n \n• Following good engineering and public health practice as outlin ed in technical \npublications; and \n \n• Adopting a policy to further limit the purveyor's risk and liability (e.g., by requiring \nDCVAs on all commercial customers). \n \nConsistency may require that the purveyor apply the more stringent requirements: \n \n• Equally to new and existing customers; and \n \n• To similar hazard categories. \n \n7.4 Requirements for Back flow Assembly Testing \n \nBackflow assemblies are mechanic al devices subject to fouling an d wear. History has shown that \nbackflow preventers that are not tested periodically will not be ma intained or repa ired. Backflow \npreventers that are not ma intained or repaired have a much highe r likelihood of failure. Similarly, \nAGs that are not inspected periodical ly may be by-passed or re-plumbed. \n \nTesting Frequency \n Backflow assemblies and AGs used in place of assemblies relied up on by the purveyor to protect \nthe public water system must be inspected for proper installation an d tested for prop er operation. \nWAC 246-290-490 (7)(b) requires inspections and/or testing: \n \n1. At the time of installation; \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 105 \n 2. Annually after installation (minimum frequency); \n \n3. After a backflow incident; and \n \n4. After an assembly is repa ired, reinstalled, or relocated (or an AG is re-plumbed). \n \nAtmospheric vacuum breakers on residential lawn irrigation systems, if relie d upon by the \npurveyor to protect the public water system, must also be inspected for pr oper installation per WAC \n246-290-490 (7)(c): \n \n• At the time of installation; \n \n• After a backflow incident; and \n \n• After repair, reinstallation or relocation. \n \n \n \nBecause a test procedure for the AVB has not been \nestablished, some purveyors require a PVBA or DCVA on \nall lawn irrigation systems, so that all preventers relied \nupon by the purveyor are testable. \n \nA lawn irrigation system for a residential customer poses \nno less a hazard than an irrigation system for a \ncommercial customer. \n \nThe UPC establishes backflow protection requirements \nfor irrigation systems, and as amended for Washington, \nallows an RPBA, PVBA, DCVA, or an AVB for \nbackflow protection for ir rigation system without \nchemical addition. \n \n \n \nTest Procedures \n WAC 246-290-490 requires backflow prevention assemblies (relie d upon by the pur veyor to protect \nthe public water system) to be te sted using procedures acceptable to DOH, such as th ose specified in \nthe most recently publ ished edition of the \nManual of Cross-Connection Control , published by the \nUniversity of Southern California Foundation for Cross-Connection Contro l & Hydraulic Research. \n Copies of the field te st procedures are availa ble from DOH on request. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 106 \n It should be noted that the testing requirements in the most recently published edition of the \nCross-Connection Control Manual, Accepted Procedure and Practice , published by the Pacific \nNorthwest Section, American Water Works Associ ation are more stringe nt (supplemental tests \nrequired) than the test procedures specified by USC. Therefore, it is important that the purveyor \nadopts as a policy and notifies the customer if the more stringent PNWS-AWWA test \nrequirements are to be followed. An example of the supplemental testing requirements of the \nPNWS-AWWA Manual for RPBAs is that the RPBA relief valve tests include a check to verify \nthe relief valve will continue to open and discharge water. \n \n \nMost small water systems specify the use of the \nstandard Washington Stat e Department of Health \nApproved Field Test Procedures. \n \n As discussed in Sectio n 6.2.7, purveyors have the option of testing the assembly (purveyor's \ncertified staff or purveyor-contract ed certified BAT), or requiring the customer to employ a BAT to \nperform the test and submit a test report to the purveyor. The purveyor may also elect to make the \ninitial test of an assembly, bu t require the customer to arrange for all subsequent tests. \n \nTesting Notification \n Regardless whether the purveyor or assembly owne r is responsible for te sting, the small water \nsystem purveyor should schedule the tests of all asse mblies that protect the public water system at \nthe same time of the year. This approach makes it easier for the purveyor to administer the testing \nportion of the cro ss-connection program. In addition, BATs will of ten reduce their testing fees \nwhen they can arrange to test several assemb lies in one area. \n \nIf the assembly owner is responsible for testing, purveyors should: \n \n1. Notify the customer in writing and allow at least one month from the date of notification for \nthe testing to be done and the test report to be returned; \n 2. Include, in the testing notifi cation letter, a statement affirmin g the understanding that service \nis provided based on the customer's agreemen t to test, maintain, an d repair the assemblies \nrequired by the purveyor (if a written service agreement is not in place); \n \n3. Specify the acceptable fiel d testing method (e .g., the DOH field test procedures); \n 4. Provide a list of lo cal testers (BATs); and \n \n5. Provide a test report form for ea ch assembly owned by the customer. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 107 \n A public listing of the DOH -certified BATs will be available from DOH sometime in the future. \n DOH does not currently require that one “standardi zed” test report form be used in Washington. \nThis approach gives purveyors the flexibility to design their test report forms for ease of data entry \ninto their respective CCC databases. However, all test reports should provide the same basic \ninformation needed by the purveyor. It is hoped that the minimum elements of an acceptable test \nreport form will be addressed in future CCC-related regulation revisions. \n Because the minimum elements of an acceptable test report are not currently specified in the \ndrinking water regulations, purveyors must identify test report contents as part of their testing \nquality assurance/quality control pr ogram (Element 6 of WAC 246-290-490). A sample test report \nform is included in Appendi x D. Other sample test re port forms are available: \n \n• In technical CCC guidance manuals from PNWS-AWWA and/or USC; \n \n• From national organizations such as the ABPA; and \n \n• From regional CCC groups in Washingt on, such as SRC4 and “The Group.” \n \n• To obtain test report forms from the a bove sources, see Appendix F for contact \ninformation. \n \n• It should be noted that the regional CCC groups in Washi ngton are in the process of \ndeveloping a standardized test report form for voluntary use by their members. Many \nBATs support the standardized test report form concept since it eliminates the need for \nBATs to keep track of and use different test report forms in different service areas (i.e., a \ndifferent form for each purveyor). \n \nPurveyors may choose to address the requirement fo r a periodic hazard re-a ssessment at the same \ntime they address assembly testing. For purveyo rs that conduct their ow n hazard re-assessments, a \nwater use questionnaire can be included with the te sting notice for customers. Purveyors that rely \non hazard re-assessments conducte d by customer-employed CCSs ma y include with the assembly \ntesting notice: \n \n• A notification letter for the cu stomer to employ a certified CCS to re-survey the premises \n(the CCS’s re-assessment should either c onfirm that the existi ng assemblies are \ncommensurate with the degree of hazard or recommend a dditional and/or different \nassemblies); and \n \n• A list of local CCSs providing contract services. \n A list of contract operators wh o are certified CCSs is availabl e from the DOH website. Regional \nCCC groups may also maintain lis ts of experienced CCSs who are w illing to contr act with small \nwater system customers for hazard surveys. See Appendix F for resource information. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 108 \n It should be noted that the purveyor only has a contract relati onship with the customer. In other \nwords, purveyors have no contract relations hip with the customer's BAT or CCS. Thus, all \npurveyor communication about te sting and surveys should be wi th the customer, not with the \ncustomer’s backflow assembly tester or cross-connection co ntrol specialist (third party) . \nPurveyors should send the notices for testing direct ly to their customers. Both the BAT and the \ncustomer should sign the completed test report form , and the customer should return the completed \nform to the purveyor. This appr oach accomplishes the following: \n \n• Establishes a record that the customer was made aw are of any deficiencies listed in the \nreport form by the BAT; and \n \n• Re-affirms, by signature, the customer's agreem ent to test and mainta in the assemblies as a \ncondition of service. \n Copies of sample testing notifi cation and hazard re-survey letters are included in Appendix D. \n \nThe CCC Program Manager should review test and su rvey forms as so on as possible after they are \nsubmitted. For CCC Program Ma nagers that are not certified CCSs, the purveyor's CCS should \nprovide guidance on what to look for in the initial review (e.g., the test fo rm is complete, and the \ndata shows that the assemb ly passed the test). Ba sed on the initial review: \n \n• If the test report form is incomplete, the CCC Program Manager should notify the customer \nof the deficiency (and may, as a courtesy, choose to also notif y the BAT at th e same time); \n \n• If the test report form show s that the assembly failed the field test, the CCC Program \nManager should give written notice to the custom er to repair or replac e the assembly within \na specified timeframe (e .g., one month). This is the st art of enforcement procedures. \n \nIf the CCC Program Manager has concerns about a test report, the contract CCS should be \ncontacted for technical assistance. \n \nFigure 4 shows a typical testing proc ess for a small pub lic water system. \n \n \n \nIf the purveyor’s cross-connection control program relies \nupon third party backflow assembly tester or cross-\nconnection control specialist for hazard surveys, the \npurveyor has a contract relatio nship with the owner, not \nwith the owner’s cross-conne ction control specialist or \nbackflow assembly tester. \n \nAll purveyor communication fo r surveys and tests should \nonly be with the building/assembly owner. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 109 \n Figure 4 \nAnnual Testing of Assemblies \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n CCC Program \nManager performs \npreliminary review of \nreport from \ncustomer \nReport \nform complete & \nassembly test \nsatisfactory? \nProgram Manager files report. \nCCS reviews later. CCS tabulates and reports information \nto DOH on Annual Summary \nReport\n Program Manager contacts CCS. \nCCS consulted may require report completion \nand/or assembly repair or replacement, \npossible enforcement action, and reports \ninformation to DOH on Annual Summary \nReport. Yes No Purveyor issues \nnotice for test or \nhazard survey \nCustomer hires BAT \nor CCS, and submits \nreport to purveyor \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 110 \n Purveyors should consider coordi nating their test notices with the test notices issued by the \nLocal Administrative Authority (LAA). Coordination of test notices will benefit the purveyor’s \ncustomers. The customer may have assemblies within his prem ises that are not relied upon by the \npurveyor for the protection of the distribution system . The cost for testing may be reduced, if the \ncustomer arranges to have all as semblies on the property (premises isolation and fixture protection) \ntested at one time. Also, where purveyors rely on in-premises assemblies to protect the public water \nsystem, the annual test reports required by the pu rveyor may be used to show compliance with the \nUniform Plumbing Code. \nWhen coordinating test notices with the test notices issued by the LAA, the purveyor' s testing letter \nto the customer should clearly state that the: \n• Customer is to return test reports to the purveyor only for the assemblies specified; \n \n• Other assemblies owned by the cu stomer should be tested to comply with the Uniform \nPlumbing Code; and \n \n• If applicable, test reports subm itted to the purveyor may also be used to comply with the \nUniform Plumbing Code testing requirements. \n For combined programs (see Sec tion 6.2.2), the coordination ma y include a provision for the \npurveyor to collect test report forms for all assemb lies within the property lines of the customer's \npremises. \nRegardless of the level of coordination with the LAA, the purveyor may receive completed test \nreports for assemblies not on the purveyor's list (i.e ., not relied upon by the purveyor to protect the \npublic water system. For many purv eyors it is preferable for the pur veyor just to return the reports \nto the customer, rather th an take on the responsib ility for forwarding them to the appropriate Local \nAdministrative Authority. This is especially tr ue for purveyors who coordinate with many LAAs. \nWhen returning the report forms to customers, the purveyor s hould advise the customer of the \ncorrect LAA to ma il the form to. \n Sample notification letters are provided in Appendix D. Additional samples of letter and forms may \nbe found in referenced publicat ions listed in Appendix F. \n \n7.4.1 Approved Backflow Assembly Testers \n \nA DOH-certified backflow assembly tester (BAT) mu st conduct all field test s of assemblies relied \nupon by the purveyor to protect the water system. The publ ic listing of certifie d testers should be \navailable from the DOH Office of Drinking Water website in the future. The website address is: \nhttp://www.doh.wa.gov/ehp/dw \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 111 \n Purveyors should maintain a list of local certified asse mbly testers, so th at the CCC Program \nManager: \n• Can verify the tester's certification status wh en checking completed test reports; and \n \n• May provide the list to customers along with the testing notice. \n \nIn addition to DOH BAT certificat ion, purveyors may specify additi onal conditions that must be \nmet by BATs who want to provid e testing in the purv eyor’s service area. These conditions may \nspecify that the BAT must: \n \n• Also be certified as a CCS; \n \n• Have a local business license; \n \n• Be a registered contractor (iss ued by Washington State Depart ment of Labor and Industries \n[L&I]); and \n \n• Use purveyor-approved testing eq uipment and show proof of a recent verification of test \nequipment accuracy and calibration (if needed). \n \nThe Local Administrative Author ity may also enforce minimum qu alifications for BATs. The \nUniform Plumbing Code amendmen ts in Washington require assemb lies to be tested by a DOH-\ncertified BAT (See WA C 51-46-0603.3.2). \n \nWAC 246-290-490 and the Unifor m Plumbing Code (amended fo r Washington) both require DOH \nBAT certification. However, pu rveyors need to be aware that additional certifications and/or \nregistrations may be required for persons provid ing backflow assembly in stallation, maintenance \nand/or repair services. As mentioned in Chap ter 3, RCW 18.106 (enfor ced by L&I) establishes \nminimum standards for persons in stalling, repairing, and/or replacing backflow prevention \nassemblies within buildings. \n Under this RCW, only licensed plum bers can install, maintain, repair, and/or replace backflow \nassemblies \nwithin buildings. BATs who also hold a specia lty plumber certification from L&I may \ntest and repair assemblies within buildings. In addition, RCW 18.27 establishes the requirements \nfor contractor registration, and some BATs may be required to also be registered contractors. Thus, \nmultiple statutes/regulati ons may apply to persons working on assemblies in the purveyor’s service \narea, depending on where the asse mblies are located (within building vs. outside a building), and \nwhether services in addition to testing are provided. Purveyor s must check on the certification \nstatus of BATs to comply with WAC 246-290-490. Ho wever, L&I does not expect purveyors to \n“police” or enforce contractor registration and/or plumber ce rtification requirements. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 112 \n Current DOH tester certification is limited to demons trating a minimum leve l of knowledge in \nassembly field test procedures an d installation requiremen ts. BAT certification doesn’t certify that \nan individual can properly install and/or repair an assembly. BATs who ho ld the specialty plumber \ncertification issued by L&I have su ccessfully passed a written exam on assembly repair, in addition \nto the BAT written and hands-on exam. \n7.4.2 Quality Assurance Program \n \nWAC 246-290-490 re quires purveyors to develop a testing quality assurance/quality control \nprogram. This program must: \n \n• Document that test reports are su bmitted by DOH-certified testers; \n \n• Document the type of test kit us ed, serial number, and that the test kit has been verified for \naccuracy within the last year and calibrated if necessary (s ome test kits can’t be re-\ncalibrated), \n \n• Specify the minimum content of test reports (to be acceptable to the purv eyor) and establish \nprocedures for test report review; and \n \n• Establish a timeframe for complete d test reports to be submitted to the purveyor (e.g., within \n10 working days from the date the test was performed). \n \nMost large purveyors maintain mu ch of this tester quality assu rance informatio n in their CCC \nProgram databases. Program Manage rs that have this tester inform ation readily ava ilable can more \neffectively and efficiently admini ster their CCC programs. For ex ample, some systems enter the \ncertification numbers of testers into their CCC databases, so that any test reports submitted by non-\ncertified testers will automatically be rejected. \nTo comply with the quality assu rance/quality control requirement, purveyors of small systems may \nrely upon information prov ided by another nearby u tility (i.e., larger) that ha s an established quality \nassurance program. This could incl ude proof of test kit accuracy verification and calibration and the \nlist of approved testers. \n Although small water sy stem CCC Program Managers may con duct the initial reviews of test \nreports for completeness, they may not have the traini ng to assess the details in the report. The test \nreport details may show that: \n• An assembly is wearing out and needs to be repaired or replaced; and \n \n• The BAT improperly tested the assembly or falsified the test results. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 113 \n The purveyor's CCS (either on staff or contract ) should have the trai ning and experience to \nreview test reports for quality assurance purposes. The reviews s hould be made at least annually, \nand preferably more often, if previous reviews show problems (e.g., questionable BAT \nperformance). \n \n \nThe purveyor's cross-conn ection control specialist \nshould report any questionable \nbackflow assembly tester performance \nto Washington State De partment of Health \nOperator Certification Program. \n \n \n \n7.5 Enforcement Procedures \n When the purveyor provides good public education material on cross-connection control to \ncustomers, 99 percent of the customers will volunt arily comply with the pu rveyor's requirements. \nFor the other one percent, from the very start of the CCC progra m, the purveyor should anticipate \nthe need to take some form of corrective or enforcement action agai nst non-complying customers. \n \nPurveyors should be pro-active and establish their enforcement policies before any \nenforcement action is required . The purveyor's management sta ff and lawyer should be involved \nin establishing the enfor cement policy. The policy lays out in detail the en forcement procedures to \nbe followed by the CCC Program Manager. \n \nThe purveyor’s enforcement procedur es should address the following: \n \n• The number of subsequent notices to be sent (after the initial notice), befo re the purveyor \ntakes an enforcement action; \n \n• The time interval between notices; \n \n• Use of registered mail for subsequent notices; \n \n• The wording of notices (e.g., po lite reminder for the second noti ce, and an ulti matum for the \nfinal notice); \n \n• For in-premises assemblies, when to inform the Local Administra tive Authority of the \nproblem; \n \n• When to notify the purveyor's management, and/or lawyer; \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 114 \n • An appeal process; and \n \n• Which enforcement procedure to take for the various as sessed “degrees of hazard.” \n \nFigure 5 shows an example enforcement procedure. Examples of enforcemen t notices are included \nin Appendix D. \n \nPurveyors need to be aware that th e failure of an assembly to pass the initial or annual field test \ndoesn’t establish for certain that the assembly will fa il to prevent backflow . Failure may only \nindicate that the desire d level of reliability is not present. Thus, when laying out enforcement \nprocedures, purveyors should make the enforcemen t action appropriate for the hazard posed. DOH \nhas developed guidance regarding when purveyors sh ould shut-off water and when they should use \nother enforcement tools to pr otect the public water supply. \n \n \nShutting off the supply of water to a customer may cause \na health hazard and/or a financial loss. \nPurveyors should have enforcement tools other than \nwater shut-off also available, such as installing or testing \nthe backflow preventer and billing the customer. \n \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 115 \n Figure 5 \nEnforcement Procedures \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n Purveyor sends first \nnotice to \ncustomer \nPurveyor sends \nsecond notice to \ncustomer \n(After 45 da ys)\nPurveyor sends third \nnotice to \ncustomer by \ncertified mail \n(30 days after second \nnotice) \nPurveyor sends \nnotification letters to \noccupants Purveyor sends \nnotification letters to \nother jurisdictions \nPurveyor sends \nshut-off notice to \ncustomer by \ncertified mail \n(15 days after \nthird notice) \nPurveyor discontinues \nwater service to \ncustomer (i.e., shuts of f \nwater) \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 116 \n 7.6 Record-Keeping and Reporting Requirements \n \nPurveyors should keep a ll original records (corres pondence, plans, etc.) in the water system's \nfiles. If contractors (i.e., CCSs) are used, the cont ractors should give the original reco rds to the \nwater system and retain photocopies of the records in their own files. \n \n \n \nIf a contract cross-connec tion control specialist \nor manager's employment ceases, \nthe purveyor may have di fficulty recovering files \nand records that are retained at any location other \nthan the purveyor's office files. \n \nOriginal records should always be kept in the \nwater system’s files. \n \n \n \n7.6.1 Record of Risk Assessment \n For each customer, the purveyor shall maintain a r ecord of the initial ri sk assessment and \nsubsequent re-assessments, in the form of a completed: \n \n• Water Use Questionnaire (i.e., for residential customers); and/or \n \n• Cross-Connection Survey Report. \n \nSamples of each may be found in Appendix D, Sample Forms. \n For risk management reasons, the purveyor should re tain both the initial fo rm, plus the latest re-\nassessment, because the forms: \n \n• Document that th e purveyor has complied with the DOH requirement to evaluate new and \nexisting customers to assess the degree of hazard; \n \n• Provide a historical perspective that may be needed by a new CCS, Program Manager, or \nsupervisor; \n \n• Contain a signed statement from the customer or customer's CC S about his water use, and/or \nassessed degree of hazard; and \n \n• Contain information useful for inve stigating a backflow incident. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 117 \n For each connection where the purve yor requires a backflow prevente r to protect the public water \nsystem, records should be kept indicating the assessed hazard level of the connection and the \nrequired backflow preventer. \n \n7.6.2 Inventory of Backflow Preventers \n \nIt is critical for purveyors to keep accurate record s on backflow preventers that protect the public \nwater system from contamination. These may include both purveyor-owned assemblies and \ncustomer-owned assemblies. \n WAC 246-290-490 (3)(j)(ii) lists the minimum backflow prevente r inventory information that \npurveyors must keep on file. For each customer where an approved BPA or AG is required by the \npurveyor to protect its distributio n system, and for approved back flow preventers installed at \npurveyor- owned facilities, the inventory should include {per WAC 246-290-490(3), Element 9}: \n \n• Information on the exact location of the backflow preventer or AG (adequate details to find \nthe backflow preventers); \n \n• Description of hazard isolated (either the category of premises such as a medical clinic or \nthe fixture such as a boiler); \n \n• Type, size, make, model, serial number and installatio n date of backflow assembly, or AG \ndetails including installation date; and \n \n• Size, make, model and installation date of AVBs used on irrigation systems. \n \n7.6.3 Inventory of Backflow P reventer Test/Inspection Reports \n \nFor each assembly field test or AG inspection, th e test report inventory information should include \nat a minimum: \n• The name and certification number of the BAT performing each test or inspection; \n \n• Test results (pass/fail and actual re adings) or inspec tion results; and \n \n• Repair/re-plumbing history. \n \nAppendix D contains a sample file record form that incl udes the inventory of backflow preventers \nand test reports. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 118 \n 7.6.4 Correspondence \n \nThe purveyor should maintain copies of all corresp ondence with customers for a period of at least \nfive years. The purveyor should also maintain, as a permanent record, the: \n \n• Most current service agreemen t with each cu stomer; and \n \n• Notification to the customer to install a back flow preventer(s) to pr otect the public water \nsystem from contamination. \n All correspondence with DOH and th e Local Administrative Authority should be maintained for at \nleast five years. \n \n7.6.5 Washington State Department of Health Reporting Requirements \n \nPurveyors are required to meet the reporting requirements of WAC 246-290-490. These \nrequirements include completing the CCC Annual Summary Report (ASR) fo rms and making them \navailable to DOH on request. \n \nCopies of the current fo rms (there are three) are available from DOH. However, DOH will send \npurveyors the forms and ask them to submit to DOH information on their CCC programs. These \nforms comprise the ASR forms. The forms provi de a means for purveyor s to report on the: \n \n• Status of their writte n program plans; \n \n• Progress of their implem entation activities; and \n \n• Exceptions they have granted and the justific ations for granting of the exemptions. \n \nAn example set of ASR forms for 2002 is provided in Appendix E. \n \n7.6.6 Spreadsheets and Computer Database Software \n \nFor the number of assemblie s expected in most small water system s, the records of the inventory of \nassemblies, test reports, local BATs, etc., can be kept on a spreadsheet, either manually (i.e., on \npaper), or using commercially available comput er software (such as Excel or Access). \n \nProprietary computer database software programs ar e also available. Thes e have been developed \nspecifically to aid purveyors in the management of their CCC programs. A list of some of the \ncompanies supplying computer software for managing CCC pr ograms is provided in Appendix F. \nRegardless of the type of record-keeping system used , the system must be able to provide the data to \nanswer the questions that app ear on the CCC ASR forms. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 119 \n 7.6.7 Backflow In cident Reports \n \nElement 9 of WAC 246-290-490 re quires purveyors to ma intain CCC records an d complete annual \nsummary reports and backflow incide nt reports. Backflow incidents are to be report ed on a form \nacceptable to DOH. A sample backflow incident report form developed by the PNWS-AWWA \nCCC Committee is provided in Ap pendix D. Additional supporting information, photos, laboratory \nanalyses, etc., may be attached to the report. \nThe PNWS-AWWA form is currently acceptable to DOH. In the futu re, DOH may develop a \nBackflow Incident Report Form that is design ed for computer entry and future web-based \nsubmission. \n \nIf a backflow incident occurs, check with DOH to ensure that your system has the most current form \nto report the details of the incident. \n \n7.7 Public Education \n \nPublic education is a key part of the purveyor's CCC program. Through pu blic education programs, \npurveyors inform customers of: \n \n• The public health impacts of po tential cross-connection hazards; \n \n• Their responsibility to protect the public water system from contamination; \n \n• The purveyor's re quirement to comply with the DOH regulations; and \n \n• The purveyor's policies (i.e., conditions of service). \n \n7.7.1 Type of Effort \n \nElement 8 of WAC 246-290-490 re quires purveyors to educate thei r customers on cross-connection \ncontrol. For small water sy stems, the recommended pub lic education methods are: \n \n• Water bill inserts (brochures); \n \n• Consumer Confidence Reports; \n \n• For new customers, information on service policy distributed with application for service; \nand \n \n• Reliance on general public education material s developed by regional and national technical \ngroups (PNWS-AWWA CCC Co mmittee, SRC4, The Group, and other technical \norganizations) and/or by large utilities. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 120 \n Appendix F lists organizations that have public e ducation brochures available for use by small water \nsystems. Due to limited resour ces, small water systems are en couraged to use the education \nmaterials (brochures, postcards, newsletters, etc.) already developed by othe r organizations and/or \nsystems. There is no need fo r a small water system to “re-in vent the wheel,” when so many \nexcellent public education materials on cros s-connection control ar e readily available. \n \n7.7.2 Frequency \n \nThe annual Consumer Confidence Report pr ovides an excellent means for purveyors to routinely \ninform their customers about the status of th eir CCC programs. The purveyor’s Consumer \nConfidence Report should include a brief statement about the: \n \n• Purveyor's operation of a CCC program; and \n \n• Customer's responsibility to pr otect his/her plumbi ng system and the pur veyor's distribution \nsystem from contamination via cross connections. \n \nEducation brochures should be distri buted every two to three years. \n \n7.8 Backflow Incident Response Plan \n \nA purveyor’s failure to properly resp ond to a backflow incident may: \n \n• Significantly increase the number of persons exposed to a health hazard; \n \n• Increase the purveyor's effort (cost) to c ontain a contaminant and clean the contaminant \nfrom the distribution system; and \n \n• Expose the purveyor to increased liability from a clai m for punitive damages for negligence. \n \n \nDon't wait until a backfl ow incident occurs to \ndevelop an incident response plan! \n \n \n \nAppendix C contains a sample B ackflow Incident Response Pl an for a small water system. \n Purveyors should consult with th e Local Administrative Authorities and Local Health jurisdiction \nwhen developing the re sponse plan to identify communication lines, responsibilities, etc. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 121 \n 7.9 Special Requirements fo r Reclaimed or Greywater \n \nReclaimed Water \n \nReclaimed water systems use wastewater treatment effluent that has been adequately and reliably \ntreated, so that it is suitable for a direct beneficial use or a cont rolled use that wo uld not otherwise \noccur. The utilizatio n of reclaimed water is referred to as water reuse . \n \nA dual distribution system supplies two grades of water to the same serv ice area. One of the \nsupplies is potable water (accept able for drinking), and the ot her supply is n on-potable (not \nacceptable for drinking). Reclaime d wastewater is typica lly categorized into f our classes of quality \n(A through D). The classes range from the highest qua lity (A) for use in irrigation of open access \nareas (golf courses, parks, school yard), non-restricted recreational impoundments, toile t flushing in \ncommercial and industrial buildings, and fire protec tion systems to the lowest quality (D) for use in \nirrigation of non-food crops (e.g., tree farms) and sewer flushing. \n \nAll classes of reclaimed wa ter shall be considered a high health hazard. This is because the \ndegree of treatment of reclaimed wa ter is far less than the minimum requiremen ts for the production \nof potable water. Even the Cl ass A reclaimed water criteria allow water that could contain \npathogens (disease-causing organisms). \n \nDue to the high health hazard, Department of Ecology standards prohibit direct connections \nbetween reclaimed water systems an d potable water systems. Further details can be found in the \nWater Reclamation and Reuse Sta ndards jointly published by th e Department of Ecology and \nWashington State Department of Heal th (Ecology publicat ion number 97-23). \n \nFor connections where both reclaimed wate r and potable water are provided on the \ncustomer's premises, per Table 9 of WAC 246-290-490, premises isolation at the water meter \nby an approved AG or reduced-pressu re backflow assemb ly is required. The requirement is \nbased on the asse ssment of a high health h azard of the reclaimed water, and the high probability that \na connection could be made between the potable and non-potable systems (e.g., in the event of the \ndisruption of the reclaimed wate r supply). Dual distri bution systems operated by the water utility \nshall adhere to the requirem ent for premises isolation. \n Where the customer uses potable water to suppleme nt a reclaimed water syst em, the water must be \nsupplied through an approved AG inspected by a certified BAT at least annually. \n \nGreywater \n A \ngreywater system uses the effluent from untreated house hold wastewater that hasn’t come into \ncontact with toilet waste or food processing waste. Greywate r includes wastewater from bathtubs, \nshowers, bathroom sinks, clot hes washing machines and laundr y tubs. Greywater excludes \nwastewater from kitchen sinks and dishwashers. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 7 Page 122 \n A greywater system may supply water for undergro und landscape irrigation. The system typically \ncontains one or more holding tanks, an undergro und distribution system connected to perforated \nirrigation pipe, an overflow gravity drain to the sewer or septic system, and a pump. \n \nAll greywater systems sh all be considered a hi gh health hazard. This is due to the potential for \nthe greywater to contain human pathogens, ev en if connections to toilets are excluded (e.g., bath \nwater may contain human fecal material). \n Premises isolation at the water meter by an approv ed AG or reduced-pressure backflow assembly is \nrequired. The requireme nt is based on the: \n \n• Assessment of a high health h azard of the greywater; and \n \n• Probability that a connection could be made between the potable water system and \ngreywater system to supple ment the greywater supply. \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 123 \n Chapter 8. Cross-Connection Control Regulations \n and Related Materials \n \n8.1 Acronyms and Abbreviations \n \n ABPA American Backflow Prevention Association AG air gap \n ANSI American Natio nal Standards Institute \n A S R A n n u a l S u m m a r y R e p o r t AVB atmospheric vacuum breaker \n AWWA American Water Works Association \n BAT backflow assembly tester BPA backflow prevention assembly \n CCC cross-connection control \n CCS cross-connection control specialist CV single-check valve \n DCAV dual-check with atmospheric vent \n DCDA double-check detector assembly DCV dual-check backflow preventer \n DCVA double-check valve assembly \n DOH Washington State Department of Health \n EPA U.S. Environm ental Protection Agency \n HBVB hose bib vacuum breaker \n IAPMO International Association of Plumbing and Mechanical Officials \n L&I Washington State Depart ment of Labor and Industries \n LAA Local Administrative Authority \n MCL maximum contaminant level NTNC non-transient non-community \n PNWS-AWWA Pacific Northwest Section - American Water Works Association \n psi pounds per square inch PVBA pressure vacuum breaker assembly \n PVC polyvinyl chloride \n PWS public water system QA/QC quality assurance/quality control \n RCW Revised Code of Washington \n R O W r i g h t - o f - w a y RPBA reduced-press ure backflow assembly \n RPDA reduced-pressure detector assembly \n SBCC Washington State Building Code Council SDWA Safe Drinking Water Act \n SRC4 Spokane Regional Cr oss-Connection Control Committee \n SVBA spill-resistant vacuum breaker assembly SWSMP small water system management plan \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 124 \n The Group Western Washington Cro ss-Connection Prevention Professionals \nGroup \n TNC transient non-community \n UBC Uniform Building Code \n UL Underwriters Laboratories, Inc. UPC Uniform Plumbing Code \n USC University of Southern California \n USCFCCCHR University of Southern Cali fornia - Foundation for Cross-Connection \n Control and Hydraulic Research \n WAC Washington Administrative Code \n WSP water system plan \n8.2 Washington Administrative Code 246-290-490 \n \nThis section contains Washington State Department of Health dr inking water regulations relating \nto cross-connection control, WAC 246-290-490. Section 490 has been extracted from WAC \n246-290, the Group A Drinking Water Regulations. Th ese regulations first became effective in \nApril 1999. To enhance the completeness of th e regulations, definitions, abbreviations and \nacronyms relating to cross connections which have been extracted from WAC 246-290-010 . \n \n8.2.1 Definitions Related to Cross-Connection Control \n \n\"Approved air gap\" means a physical separation between the free-flowing end of a potable \nwater supply pipeline and the overflow rim of an open or non-pressurized receiving vessel. To \nbe an air gap approved by the department , the separation must be at least: \n \n• Twice the diameter of the supply piping measur ed vertically from th e overflow rim of the \nreceiving vessel, and in no case be less than one inch, when un affected by vertical surfaces \n(sidewalls); and \n \n• Three times the diameter of the supply pi ping, if the horizontal distance between the \nsupply pipe and a vertical surface (sidewall) is less than or equal to three times the \ndiameter of the supply pipe, or if the horiz ontal distance between the supply pipe and \nintersecting vertical surf aces (sidewalls) is less than or equa l to four times the diameter of \nthe supply pipe and in no case less than one and one-half inches. \n \n\"Approved atmospheric vacuum breaker\" means an AVB of make, m odel, and size that is \napproved by the department. *AVBs that app ear on the current approved backflow prevention \nassemblies list developed by the University of Southern California Foundation for \nCross-Connection Control and Hydraulic Resear ch or that are liste d or approved by other \nnationally recognized testing agen cies (such as IAPMO, ANSI, or UL) acceptable to the local \nadministrative authority are consid ered approved by the department. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 125 \n \"Approved backflow preventer\" means an approved air gap, an approved backflow prevention \nassembly, or an approved AVB. The terms \"appr oved backflow preventer, \" \"approved air gap,\" \nor \"approved backflow prevention assembly\" refe r only to those approved backflow preventers \nrelied upon by the purveyor for the protection of the public water system. The requirements of \nWAC 246-290-490 do not apply to backflow pr eventers installed for other purposes. \n \n\"Approved backflow prevention assembly\" means an RPBA, RPDA, DCVA, DCDA, PVBA, \nor SVBA of make, model, and si ze that is approved by the depart ment. Assemblies that appear \non the current approved backflow prevention asse mblies list developed by the University of \nSouthern California Foundation fo r Cross-Connection Control and Hydraulic Research or other \nentity acceptable to the department are considered approved by the department. \n \n\"Backflow\" means the undesirable reversal of flow of water or other substances through a cross \nconnection into the public water system or consumer's potable water system. \n \n\"Backflow assembly tester\" means a person holding a valid BAT certificate issued in \naccordance with chapter 246-292 WAC. \n \n\"Backpressure\" means a pressure (caused by a pump, el evated tank or piping, boiler, or other \nmeans) on the consumer's side of the service conn ection that is greater th an the pressure provided \nby the public water system and which may cause backflow. \n \n\"Backsiphonage\" means backflow due to a reduction in system pressure in the purveyor's \ndistribution system and/or consumer's water system. \n \n\"Combination fire protection system\" means a fire sprinkler system that: \n \n• Is supplied only by the purveyor's water; \n \n• Does not have a fire department pumper connection; and \n \n• Is constructed of approved potable water pi ping and materials that serve both the fire \nsprinkler system and the consumer's potable water system. \n \n\"Consumer\" means any person receiving water from a public water system from either the \nmeter, or the point where the service line conne cts with the distribution system if no meter is \npresent. For purposes of cross-connection contro l, \"consumer\" means the owner or operator of a \nwater system connected to a public wa ter system through a service connection. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 126 \n \"Consumer's water system,\" as used in WAC 246-290-490, means any potable and/or \nindustrial water system that begins at the point of delivery from the public water system and is \nlocated on the consumer's premises. The consumer's water system includes all auxiliary sources \nof supply, storage, treatment, and distribution fa cilities, piping, plumbing, and fixtures under the \ncontrol of the consumer. \n \n\"Cross connection\" means any actual or potential physic al connection between a public water \nsystem or the consumer's water system and a ny source of nonpotable liquid, solid, or gas that \ncould contaminate the potable water supply by backflow. \n \n\"Cross-connection control program\" means the administrative and technical procedures the \npurveyor implements to protect the public water system from contamination via cross \nconnections as required in WAC 246-290-490. \n \n\"Cross-connection control specialist\" means a person holding a valid CCS certificate issued in \naccordance with chapter 246-292 WAC. \n \n\"Cross-connection control summary report\" means the annual report th at describes the status \nof the purveyor's cross-c onnection control program. \n \n\"Flow-through fire protection system\" means a fire sprinkler system that: \n \n• Is supplied only by the purveyor's water; \n \n• Does not have a fire department pumper connection; \n \n• Is constructed of approved potable water pi ping and materials to which sprinkler heads \nare attached; and \n \n• Terminates at a connection to a toilet or othe r plumbing fixture to pr event the water from \nbecoming stagnant. \n \n\"High health cross-connection hazard\" means a cross connection which could impair the \nquality of potable water and crea te an actual public health hazard through poisoning or spread of \ndisease by sewage, industri al liquids or waste. \n \n\"In-premises protection\" means a method of protecting the h ealth of consumers served by the \nconsumer's potable water system, located within the property lines of the consumer's premises by \nthe installation of an approved air gap or backfl ow prevention assembly at the point of hazard, \nwhich is generally a plumbing fixture. \n \n\"Local administrative authority\" means the local official, board, department, or agency \nauthorized to administer and enforce the provis ions of the Uniform Pl umbing Code as adopted \nunder chapter 19.27 RCW. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 127 \n \"Low health cross-connection hazard\" means a cross connection that could cause an \nimpairment of the quality of potable water to a degree that does not creat e a hazard to the public \nhealth, but does adversely and unreasonably affect the aesthetic qualities of such potable waters \nfor domestic use. \n \n“Premises Isolation” means a method of protecting a public water system by installation of \napproved air gaps or approved backflow preventi on assemblies at or near the service connection \nor alternative location acceptable to the purveyor to isolate the c onsumer’s water system from the \npurveyor’s distribution system. \n \n\"Reclaimed water\" means effluent derived in any part from sewage from a wastewater \ntreatment system that has been adequately and reliably treated, so that as a result of that \ntreatment, it is suitable for beneficial use or a controlled use that would not otherwise occur, and \nit is no longer considered wastewater. \n \n\"Unapproved auxiliary water supply\" means a water supply (other than the purveyor's water \nsupply) on or available to the consumer's prem ises that is either not approved for human \nconsumption by the health agency having jurisd iction or is not otherwise acceptable to the \npurveyor. \n \n\"Uniform Plumbing Code\" means the code adopted unde r RCW 19.27.031(4) and amended \nunder chapter 51-46 WAC. This code estab lishes statewide minimum plumbing standards \napplicable within the property lin es of the consumer's premises. \n \n\"Used water\" means water which has left the control of the purveyor. \n \nAbbreviations and Acronyms \n \n AG air gap \n \n AVB atmospheric vacuum breaker \n BAT backflow assembly tester (for WAC 246-290-490) \n \n CCS cross-connection control specialist \n DCDA double check detector assembly \n DCVA double check valve assembly \n \n IAPMO International Association of Plumbing and Mechanical Officials \n \n PVBA pressure vacuum breaker assembly \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 128 \n RPBA reduced pressure backflow assembly \n RPDA reduced pressure detector assembly \n \n SVBA spill resistant vacuum breaker assembly \n UBC Uniform Building Code \n UL Underwriters Laboratories Inc. \n \n UPC Uniform Plumbing Code \n8.2.2 WAC 246-290-490 Cross-Connection Control. \n \n(1) Applicability, purpose, and responsibility. \n \n(a) All community water systems shall co mply with the cross-connection control \nrequirements specified in this section. \n \n(b) All non-community water systems shall appl y the principles and provisions of this \nsection, including subsection (4)(b ) of this section, as applicable to protect the public \nwater system from contamination via cross connections. Non-community systems that comply with subsection (4)(b) of this sect ion and the provisions of WAC 51-46-0603 of \nthe UPC (which addresses the installation of backflow preventers at points of water use \nwithin the potable water system) shall be considered in compliance with the requirements of this section. \n \n(c) The purpose of the purveyor's cross-connecti on control program shall be to protect the \npublic water system, as defined in WAC 246-290-010, from contamination via cross \nconnections. \n \n(d) The purveyor's responsibility for cross-connec tion control shall begin at the water supply \nsource, include all the public water treatment, storage, and distribution facilities, and end \nat the point of delivery to the consumer's water system, which begins at the downstream \nend of the service connecti on or water meter located on the public right-of-way or \nutility-held easement. \n \n(e) Under the provisions of this section, purve yors are not responsible for eliminating or \ncontrolling cross connections within the cons umer's water system. Under chapter 19.27 \nRCW, the responsibility for cross-connecti on control within the consumer's water \nsystem, i.e., within the prope rty lines of the consumer's premises, falls under the \njurisdiction of the local administrative authority. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 129 \n (2) General program requirements. \n \n(a) The purveyor shall develop and implemen t a cross-connection control program that \nmeets the requirements of this section, but may establish a more stringent program \nthrough local ordinances, resolutions, codes, bylaws, or operating rules. \n \n(b) Purveyors shall ensure that good engineeri ng and public health pr otection practices are \nused in the development and implementati on of cross-connection control programs. \nDepartment publications and the most recently published editions of references, such as, \nbut not limited to, those listed below, ma y be used as guidance for cross-connection \nprogram development and implementation: \n \n(i) Manual of Cross-Connection Control published by the Foundation for \nCross-Connection Control and Hydraulic Res earch, University of Southern California \n(USC Manual); or \n \n(ii) Cross-Connection Control Manual, Accepted Procedure and Practice published by \nthe Pacific Northwest Section of th e American Water Works Association \n(PNWS-AWWA Manual). \n \n(c) The purveyor may implement the cross- connection control program, or any portion \nthereof, directly or by means of a contract w ith another agency or party acceptable to the \ndepartment. \n \n(d) The purveyor shall coordinate with the lo cal administrative aut hority in all matters \nconcerning cross-connection control. The pur veyor shall document and describe such \ncoordination, including delineation of respons ibilities, in the wr itten cross-connection \ncontrol program required in (e) of this subsection. \n \n(e) The purveyor shall include a written descri ption of the cross-conn ection control program \nin the water system plan required under WAC 246-290-100 or the small water system \nmanagement program required under WAC 246-290-105. The cross-connection control \nprogram shall include the minimum program elem ents described in subsection (3) of this \nsection. \n \n(f) The purveyor shall ensure th at cross connections between the distribution system and a \nconsumer's water system are eliminated or controlled by the insta llation of an approved \nbackflow preventer commensurate with the degree of hazard. This can be accomplished \nby implementation of a cross-conne ction program that relies on: \n \n(i) Premises isolation as defined in WAC 246-290-010; or \n(ii) Premises isolation and in-premise s protection as defined in WAC 246-290-010. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 130 \n (g) Purveyors with cross-connection control pr ograms that rely both on premises isolation \nand in-premises protection: \n \n(i) Shall comply with the premises isolati on requirements specified in subsection (4)(b) \nof this section; and \n \n(ii) May reduce premises isol ation requirements and rely on in-premises protection for \npremises other than the type not addressed in subsection (4)(b) of this section, if the \nconditions in (h) of this subsection are met. \n \n(h) Purveyors may rely on in-premises prot ection only when the following conditions are \nmet: \n \n(i) The in-premises backflow preventers provide a level of protection commensurate \nwith the purveyor's assessed degree of hazard; \n \n(ii) Backflow preventers which provide th e in-premises backflow protection meet the \ndefinition of approved backflow preven ters as describe d in WAC 246-290-010; \n \n(iii)The approved backflow preventers are in stalled, inspected, test ed (if applicable), \nmaintained, and repaired in accordance with subsections (6) and (7) of this section; \n \n(iv) Records of such backflow preventers are maintained in accordance with subsections \n(3)(j) and (8) of this section; and \n \n(v) The purveyor has reasonable access to the consumer's pr emises to conduct an initial \nhazard evaluation and periodic reevaluations to determine whether the in-premises \nprotection is adequate to protect the purveyor's distribution system. \n \n(i) The purveyor shall take appropriate co rrective action within its authority if: \n \n(i) A cross connection exists that is not c ontrolled commensurate to the degree of hazard \nassessed by the purveyor; or \n \n(ii) A consumer fails to comply with the purveyor's requirements regarding the \ninstallation, inspection, testing, maintena nce or repair of approved backflow \npreventers required by this chapter. \n \n(j) The purveyor's corrective action ma y include, but is not limited to: \n \n(i) Denying or discontinuing water service to a consumer's premises until the \ncross-connection hazard is eliminated or cont rolled to the satisfac tion of the purveyor; \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 131 \n (ii) Requiring the consumer to install an approved backflow preventer for premises \nisolation commensurate with the degree of hazard; or \n \n(iii)The purveyor installing an approved b ackflow preventer for premises isolation \ncommensurate with the degree of hazard. \n \n(k) Purveyors denying or discontinuing water serv ice to a consumer's premises for one or \nmore of the reasons listed in (i) of this subsection shall notify the local administrative \nauthority prior to taking such action except in the event of an emergency. \n \n(l) The purveyor shall prohibit the intentional retu rn of used water to the purveyor's \ndistribution system. Such water would incl ude, but is not limited to, water used for \nheating, cooling, or other purposes w ithin the consumer's water system. \n \n(3) Minimum elements of a cro ss-connection control program. \n \n(a) To be acceptable to the department, the purveyor's cross-connection control program \nshall include the minimum elements identified in this subsection. \n \n(b) Element 1: The purveyor shall adopt a loca l ordinance, resolution, code, bylaw, or other \nwritten legal instrument that: \n \n(i) Establishes the purveyor's legal authority to implement a cross-connection control \nprogram; \n \n(ii) Describes the operati ng policies and technical pr ovisions of the purveyor's \ncross-connection control program; and \n \n(iii)Describes the corrective actions used to ensure that consumers comply with the \npurveyor's cross-connection control requirements. \n \n(c) Element 2: The purveyor shall develop and implement procedures and schedules for \nevaluating new and existing service connections to assess the degree of hazard posed by \nthe consumer's premises to the purveyor 's distribution system and notifying the \nconsumer within a reasonable time frame of the hazard evaluation results. At a \nminimum, the program shall meet the following: \n \n(i) For new connections made on or after the effective date of these regulations, \nprocedures shall ensure that an initial evaluation is conducted before service is \nprovided; \n (ii) For existing connections made prior to the effective date of these regulations, \nprocedures shall ensure that an initial evaluation is conducted in accordance with a \nschedule acceptable to the department; and \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 132 \n (iii)For all service connections, once an initi al evaluation has been conducted, procedures \nshall ensure that periodic reevaluations are conducted in accordance with a schedule \nacceptable to the department and whenever there is a change in the use of the \npremises. \n \n(d) Element 3: The purveyor shall develop and implement procedures and schedules for \nensuring that: \n \n(i) Cross connections are elim inated whenever possible; \n \n(ii) When cross connections cannot be elimin ated, they are controlled by installation of \napproved backflow preventers commensura te with the degree of hazard; and \n \n(iii)Approved backflow preventers are installed in accordance with the requirements of \nsubsection (6) of this section. \n \n(e) Element 4: The purveyor shall ensure th at personnel, including at least one person \ncertified as a CCS, are provided to develop and implement the cross-connection control \nprogram. \n \n(f) Element 5: The purveyor shall develop and implement procedures to ensure that \napproved backflow preventers are inspected a nd/or tested (as applicable) in accordance \nwith subsection (7) of this section. \n \n(g) Element 6: The purveyor shall develop a nd implement a backflow prevention assembly \ntesting quality control assurance program, including, but not limited to, documentation \nof tester certification and test kit calibration, test report c ontents, and time frames for \nsubmitting completed test reports. \n(h) Element 7: The purveyor shall develop and implement (when appropriate) procedures \nfor responding to backflow incidents. \n \n(i) Element 8: The purveyor shall include in formation on cross-connection control in the \npurveyor's existing program for educating co nsumers about water system operation. \nSuch a program may include periodic b ill inserts, public service announcements, \npamphlet distribution, notification of new consumers and consumer confidence reports. \n \nElement 9: The purveyor shall develop and main tain cross-connection co ntrol records including, \nbut not limited to, the following: \n(i) A master list of service connections a nd/or consumer's premises where the purveyor \nrelies upon approved backflow preventers to protect the public water system from \ncontamination, the assessed hazard leve l of each, and the required backflow \npreventer(s); \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 133 \n (ii) Inventory information on: \n \n(A) Approved air gaps installed in lieu of approved assemblies including exact air gap \nlocation, assessed degree of hazard, inst allation date, history of inspections, \ninspection results, and pers on conducting inspections; \n \n(B) Approved backflow assemblies includi ng exact assembly location, assembly \ndescription (type, manufacturer, model, si ze, and serial number), assessed degree \nof hazard, installation date, history of insp ections, tests and repa irs, test results, \nand person performing tests; and \n \n(C) Approved AVBs used for irrigation sy stem applications including location, \ndescription (manufacturer, model, and size), installation date, history of \ninspection(s), and person performing inspection(s). \n \n(iii)Cross-connection program summary reports and backflow incident reports required \nunder subsection (8) of this section. \n \n(k) Element 10: Purveyors who di stribute and/or have facilities that receive reclaimed water \nwithin their water service area shall meet any additional cross-connection control \nrequirements imposed by the department under a permit issued in accordance with \nchapter 90.46 RCW. \n \n(4) Approved backflow preventer selection. \n \n(a) The purveyor shall ensure that a CCS: \n \n(i) Assesses the degree of hazard posed by the consumer's water system upon the \npurveyor's distribution system; and \n \n(ii) Determines the appropriate method of b ackflow protection for premises isolation in \naccordance with Table 8. \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 134 \n Table 8 of WAC 246-290-490 \nAppropriate Methods of \nBackflow Protection for Premises Isolation \n \nDegree of Hazard Application Condition Appropriate Approved \nBackflow Preventer \nHigh health \ncross-connection hazard Backsiphonage or \nbackpressure backflow AG, RPBA, or RPDA \nLow health \ncross-connection hazard Backsiphonage or \nbackpressure backflow AG, RPBA, RPDA, \nDCVA, or DCDA \n \n \n(b) Premises isolation requirements. \n \n(i) For service connections with premises posing a high health cross-connection hazard \nincluding, but not limited to, those prem ises listed in Table 9 of WAC 246-290-490, \nthe purveyor shall ensure that an approved air gap or RPBA is installed for premises \nisolation. \n(ii) If the purveyor's CCS determines that no hazard exists for a connection serving \npremises of the type listed in Table 9 of WAC 246-290-490, the requirements of \n(b)(i) of this subsection do not apply. \n \n(iii)The purveyor shall document, on a case- by-case basis, the reasons for not applying \nthe requirements of (b)(i) of this subsection to a connec tion serving premises of the \ntype listed in Table 9 of WAC 246-290-490 and include such documentation in the \ncross-connection control program summary re port required in subsection (8) of this \nsection. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 135 \n Table 9 of WAC 246-290-490 \nHigh Health Cross-Connection Hazard Premises \nRequiring Premises Isola tion by AG or RPBA \n \nAgricultural (farms and dairies) \nBeverage bottling plants \nCar washes \nChemical plants \nCommercial laundries and dry cleaners \nPremises where both reclaimed wate r and potable water are provided \nFilm processing facilities \nFood processing plants \nHospitals, medical centers, nursing homes, veterinary, medical and \ndental clinics, and blood plasma centers \nPremises with separate irrigation systems using the purveyor's water \nsupply and with chemical addition.+ \nLaboratories \nMetal plating industries \nMortuaries \nPetroleum processing or storage plants \nPiers and docks \nRadioactive material processi ng plants or nuclear reactors.* \nSurvey access denied or restricted \nWastewater lift stations and pumping stations \nWastewater treatment plants.* \nPremises with an unapproved auxiliary water supply interconnected \nwith the potable water supply \n \n + For example, parks, playgrounds, golf courses, cemeteries, estates, etc. \n * RPBAs for connections serving these premises are acceptable only when used in combination with an \nin-plant approved air gap; otherwise, the purveyor shall require an approved air gap at the service \nconnection. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 136 \n (c) Backflow protection for single-family residences. \n \n(i) For single-family residential service conn ections, the purveyor shall comply with the \nrequirements of (b) of this subsection when applicable. \n (ii) If the requirements of (b) of this subsection do not apply and the requirements \nspecified in subsection (2)(h) of this s ection are met, the purveyor may rely on \nbackflow protection provided at the poi nt of hazard in accordance with WAC \n51-46-0603 of the UPC for hazards such as, but not limited to: \n \n(A) Irrigation systems; \n(B) Swimming pools or spas; \n (C) Ponds; and \n \n(D) Boilers. \nFor example, the purveyor may accept an approved AVB on a residential irrigation \nsystem, if the AVB is properly inst alled in accordance with the UPC. \n \n(d) Backflow protection for fire protection systems. \n \n(i) Backflow protection is not required for residential flow-through or combination fire \nprotection systems constructed of pot able water piping and materials. \n (ii) For service connections with fire pr otection systems other than flow-through or \ncombination systems, the purveyor shall ensu re that backflow pr otection consistent \nwith WAC 51-46-0603 of the UPC is installed. The UPC requires minimum protection as follows: \n \n(A) An RPBA or RPDA for fire protection systems with chemical addition or using \nunapproved auxiliary water supply; and \n \n(B) A DCVA or DCDA for all ot her fire protection systems. \n \n(iii)For new connections made on or after th e effective date of these regulations, the \npurveyor shall ensure that b ackflow protection is installed before water service is \nprovided. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 137 \n (iv) For existing fire protection systems: \n \n(A) With chemical addition or using unappr oved auxiliary supplies , the purveyor shall \nensure that backflow protec tion is installed within ni nety days of the purveyor \nnotifying the consumer of the high health cross-connection hazard or in accordance with an alternate sche dule acceptable to the purveyor. \n \n(B) Without chemical addition, without on-site storage, and using only the purveyor's \nwater (i.e., no unapproved auxiliary supplies on or available to the premises), the \npurveyor shall ensure that backflow prot ection is installed in accordance with a \nschedule acceptable to the purveyor or at an earlier date if requ ired by the agency \nadministering the Uniform Building Code as adopted under chapter 19.27 RCW. \n \n(C) When establishing backflow protection re trofitting schedules for fire protection \nsystems that have the characteristics liste d in (d)(iv)(B) of th is subsection, the \npurveyor may consider factors such as, but not limited to, impacts of assembly \ninstallation on sprinkler pe rformance, costs of retr ofitting, and difficulty of \nassembly installation. \n \n(e) Purveyors may require backflow preventers commensurate with the degree of hazard \ndetermined by the purveyor to be installed fo r premises isolation for connections serving \npremises that have characteristics such as, but not limited to, the following: \n \n(i) Complex plumbing arrangements or plumbing potentially subject to frequent changes \nthat make it impracticable to assess whether cross-connection hazards exist; \n (ii) A repeated history of cross connections being established or reestablished; or \n \n(iii)Cross-connection hazards are unavoidable or not correctable, su ch as, but not limited \nto, tall buildings. \n \n(5) Approved backflow preventers. \n \n(a) The purveyor shall ensure that all back flow prevention assemblies relied upon by the \npurveyor are models included on the current list of backflow prevention assemblies \napproved for use in Washington state. The cu rrent approved assemblies list is available \nfrom the department upon request. \n \n(b) The purveyor may rely on testable backflow prevention assemblies that are not currently \napproved by the department, if the assemblies: \n \n(i) Were included on the department and/or USC list of approved backflow prevention \nassemblies at the time of installation; \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 138 \n (ii) Have been properly maintained; \n (iii)Are commensurate with the purve yor's assessed degree of hazard; and \n \n(iv) Have been inspected and tested at le ast annually and have successfully passed the \nannual tests. \n \n(c) The purveyor shall ensure that an unliste d backflow prevention assembly is replaced by \nan approved assembly commensurate with the degree of hazard, when the unlisted \nassembly: \n \n(i) Does not meet the conditions specified in (b)(i) through (iv) of this subsection; \n \n(ii) Is moved; or \n(iii)Cannot be repaired using spare parts from the original manufacturer. \n \n(d) The purveyor shall ensure that AVBs m eet the definition of approved atmospheric \nvacuum breakers as described in WAC 246-290-010. \n \n(6) Approved backflow preventer installation. \n \n(a) The purveyor shall ensure that approved backflow preventers are installed in the \norientation for which they are approved (if applicable). \n \n(b) The purveyor shall ensure that approved b ackflow preventers are installed in a manner \nthat: \n \n(i) Facilitates their proper operation, maintenance, inspecti on, and/or in-line testing (as \napplicable) using standard in stallation procedures acceptable to the department such \nas those in the USC Manual or PNWS-AWWA Manual; \n (ii) Ensures that the assembly will not become submerged due to weather-related \nconditions such as flooding; and \n (iii)Ensures compliance with all applicable safety regulations. \n(c) The purveyor shall ensure that approved b ackflow assemblies for premises isolation are \ninstalled at a location adjacen t to the meter or property line or an alternate location \nacceptable to the purveyor. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 139 \n (d) When premises isolation assemblies are inst alled at an alternate location acceptable to \nthe purveyor, the purveyor shall ensure that there are no connections between the point \nof delivery from the public water system and the approved backflow assembly, unless \nthe installation of such a connection meet s the purveyor's cross-connection control \nrequirements and is specifical ly approved by the purveyor. \n \n(e) The purveyor shall ensure that approved b ackflow preventers are installed in accordance \nwith the following time frames: \n \n(i) For new connections made on or after th e effective date of these regulations, the \nfollowing conditions shall be met before service is provided: \n \n(A) The provisions of subsection (3 )(d)(ii) of this section; and \n (B) Satisfactory completion of a test by a BAT in accordance with subsection (7) of \nthis section. \n \n(ii) For existing connections where the purve yor identifies a high h ealth cross-connection \nhazard, the provisions of (3)(d)(ii) of this section shall be met: \n \n(A) Within ninety days of the purveyor notifying the consumer of the high health \ncross-connection hazard; or \n (B) In accordance with an alternate schedule acceptable to the purveyor. \n \n(iii)For existing connections where the purve yor identifies a low health cross-connection \nhazard, the provisions of subsection (3)(d)(i i) of this secti on shall be met in \naccordance with a schedule acceptable to the purveyor. \n \n(f) The purveyor shall ensure that bypass piping installed ar ound any approved backflow \npreventer is equipped with an a pproved backflow preventer that: \n \n(i) Affords at least the same level of protect ion as the approved backflow preventer that \nis being bypassed; and \n (ii) Complies with all applicable requirements of this section. \n \n \n(7) Approved backflow preventer inspection and testing. \n \n(a) The purveyor shall ensure that: \n \n(i) A CCS inspects backflow prev enter installations to ensure that protection is provided \ncommensurate with the assessed degree of hazard; \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 140 \n (ii) Either a BAT or CCS inspects: \n \n(A) Air gaps installed in lieu of a pproved backflow prevention assemblies for \ncompliance with the approved air gap definition; and \n (B) Backflow prevention assemblies for co rrect installation a nd approval status. \n \n(iii)A BAT tests approved backflow pr evention assemblies for proper operation. \n \n(b) The purveyor shall ensure that inspecti ons and/or tests of approved air gaps and \napproved backflow assemblies are conducted: \n \n(i) At the time of installation; \n (ii) Annually after installation, or more frequently, if required by the purveyor for \nconnections serving premises or systems that pose a high health cross-connection \nhazard or for assemblies that repeatedly fail; \n \n(iii)After a backflow incident; and \n (iv) After an assembly is re paired, reinstalled, or relocated or an air gap is replumbed. \n \n(c) The purveyor shall ensure that inspections of AVBs installed on irrigation systems are \nconducted: \n \n(i) At the time of installation; \n(ii) After a backflow incident; and \n (iii)After repair, reinst allation, or relocation. \n \n(d) The purveyor shall ensure that approved backflow prevention assemblies are tested using \nprocedures acceptable to the department, such as those specified in the most recently \npublished edition of the USC Manual. When circumstances, such as, but not limited to, \nconfiguration or location of the assembly, preclude the use of USC test procedures, the \npurveyor may allow, on a case-by-case basis, the use of altern ate (non-USC) test \nprocedures acceptable to the department. \n \n(e) The purveyor shall ensure th at results of backflow preven tion assembly inspections and \ntests are documented and reported in a manner acceptable to the purveyor. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 141 \n (f) The purveyor shall ensure that an appr oved backflow prevention assembly or AVB, \nwhenever found to be improperly installed, de fective, not commensurate with the degree \nof hazard, or failing a test (if applicable) is properly reinstalled, repaired, overhauled, or \nreplaced. \n \n(g) The purveyor shall ensure that an approve d air gap, whenever found to be altered or \nimproperly installed, is properly replumbed or, if commensurate with the degree of \nhazard, is replaced by an approved RPBA. \n \n(8) Recordkeeping and reporting. \n \n(a) Purveyors shall keep cross-connection c ontrol records for the following time frames: \n \n(i) Records pertaining to the master list of service conn ections and/or consumer's \npremises required in subsection (3)(j)(i) of this section shall be kept as long as the \npremises pose a cross-connection hazard to the purveyor's distribution system; \n (ii) Records regarding inventory information required in subsection (3)(j)(ii) of this \nsection shall be kept for five years or for the life of the approved backflow preventer \nwhichever is shorter; and \n \n(iii)Records regarding backflow incident s and annual summary reports required in \nsubsection (3)(j)(iii) of this secti on shall be kept for five years. \n \n(b) Purveyors may maintain cross-connection cont rol records in original form or transfer \ndata to tabular summaries. \n \n(c) Purveyors may maintain records or data in a ny media, such as paper, film, or electronic \nformat. \n \n(d) The purveyor shall complete the cross- connection control program summary report \nannually. Report forms and guidance on comple ting the report are available from the \ndepartment. \n \n(e) The purveyor shall make a ll records and reports required in subsection (3)(j) of this \nsection available to the department or its representative upon request. \n \n(f) The purveyor shall notify the department, local administrativ e authority, and local health \njurisdiction as soon as possible, but no later than the end of the next business day, when \na backflow incident is kn own by the purveyor to have: \n \n(i) Contaminated the public water system; or \n \n(ii) Occurred within the premises of a consumer served by the purveyor. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 142 \n (g) The purveyor shall: \n \n(i) Document details of backflow incident s on a form acceptable to the department such \nas the backflow incident report form in cluded in the most recent edition of the \nPNWS-AWWA Manual; and \n \n(ii) Include all backflow in cident report(s) in the annual cross-connection program \nsummary report referenced in (d) of this subsection, unless otherw ise requested by the \ndepartment. \n \n8.3 Frequently Asked Regulatory Interpretation Questions and Answers \n \nSection 1 Applicability, Purp ose, and Responsibility \n \nQ. Do all non-community systems have to develop and implement Cross-Connection \nControl (CCC) Programs? \n \nA. Yes. The intent is to prov ide the same level of public he alth protection for non-community \nwater systems as small Group A community syst ems. Non-community systems can use this \nmanual as guidance fo r development and implementation of their CCC programs. \n \nQ. How do the minimum elem ents in Section 3 of Washi ngton Administrative Code \n(WAC) 246-290-490 a pply to non-community systems, especially single-purpose \nsystems, where the purveyor and cu stomer are essentially the same? \n \nA. The elements of Section 3 apply to all Group A systems. Ho wever, the effort needed to \ncomply may be minimal for some non-community systems. For a single-purpose system, it \nmay only be necessary to confir m in a hazard assessment that protection of the source of \nsupply is adequate. Depending on the natur e of the system, source protection could be \nachieved through installation of a backflow preven ter to directly protect the source and/or \nthrough installation of backflow preventers at the points of hazard (i.e., fixtures) per the \nUniform Plumbing Code (UPC ). A sample written CCC pr ogram for a non-community \nsystem is provided in Appendix B of this manual. The sample program contains the \nminimum elements listed in WAC 246- 290-490(3). \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 143 \n Q. Was the intent for large non-community syst ems to \"just\" comply with the Uniform \nPlumbing Code (UPC)? Woul d premises isolation ever be appropriate fo r a large non-\ncommunity system? \n \nA. No, it was not the inte nt for large non-community systems to merely comply with the UPC. \nFor most non-community system s, Washington Stat e Department of He alth (DOH) and the \nLocal Administrative Authority (LAA) have overlapping jurisd ictions. Thus, non-community \nsystems must comply with both WAC 246-290-490 and the UPC. Regarding the UPC, the \nnon-community system must comp ly with the plumbing code in effect at the time the \nplumbing permit was issued (i.e ., at time of construction). \n \nRegarding WAC 246-290-490, prem ises isolation may be appr opriate, and in some cases \nrequired, for large non-community systems, depe nding on the types of hazards posed to the \ndistribution system. The CCC requirements of WAC 246-290-490 are, in some cases, more \nstringent than the UPC, specifica lly in the area of mandatory pr emises isolation. So merely \ncomplying with the UPC would not provide the protection requ ired by the drinking water \nregulations. For a non-community system, area , building, and/or source isolation may be \nneeded to protect the distribution system and source of supply from contamination via cross-\nconnections (i.e., from being a conduit for the spread of contaminants between buildings or \nareas of concentration of population). \n \nSection 2 General Program Requirements \n \nQ. Do alternate references have to be accept able to Washington State Department of \nHealth (DOH)? What criteria does DO H use to accept alternate references? \n \nA. The purveyor’s CCC program must be acceptable to DOH. The DOH regional engineer \nreviewing a CCC program will accept the two publications listed as guidance in WAC 246-\n290-490. Alternate guida nce manuals may be acceptable, if certain criteria are met. The \ncriteria DOH uses to accept alternate referenc es are: 1) The manual reflects current \nindustry practices and standar ds; 2). The manual has been produced by a nationally \nrecognized organization with ex pertise in cross-connection co ntrol, such as American \nWater Works Association (AWWA) , University of Southern California Foundation for Cross \nConnection Control and Hydraulic Rese arch (USCFCCCHR), American Backflow \nPrevention Association (ABPA), or United St ates Environmental Pr otection Agency (EPA); \nand 3). The manual has und ergone association and/or peer review by AWWA, \nUSCFCCCHR, ABPA, federal and/or state pub lic health officials and professional \nengineers. \n Q. Will the department develo p a \"public listing\" of Washin gton State De partment of \nHealth (DOH) certified Cross- Connection Control Sp ecialists (CCSs) willing to act as \nconsultants to small water systems? What are the guidelines for hiring a CCS? \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 144 \n A. DOH has developed a contract ope rators public listing. All contract operators must be \nDOH-certified CCSs. The contra ct operators list is availabl e on the Office of Drinking \nWater’s website: http://www.doh.wa.gov/ \n \nDOH does not have a brochure developed that provid es specific guidelines for hiring a \ncontract CCS. However, th is issue is discussed in detail in Chapter 7. Before hiring a CCS \non contract, at a minimum, pu rveyors are strongly encourag ed to carefully check the \nCCS’s: \n \n• Familiarity with the most recently pu blished version of WAC 246-290-490; \n • Relevant experience with other similar water systems; \n \n• Extent of coordination with DOH headqua rters and regional office CCC staff; \n \n• Participation in the DOH CCC-related committees; \n • Participation in re gional and national CCC groups; and \n \n• Public water system (PWS) references (at least 3). \n \nSample CCC written progra ms developed by the CCS should also be ava ilable for the \npurveyor to review. It is recommended that pr oposals be obtained from at least three CCSs. \nSome contract operators may have minimal experience in the development and \nimplementation of CCC programs. Thus, in addition to the DOH Contract Operators list, \npurveyors are encouraged to network with thei r regional CCC groups for a list of more \nexperienced consultant CCSs. \n \nNote: High prices do not necessarily indicate quality work. Contra cts should specify that \nthe written CCC program pl an produced must comply with the curr ent WAC 246-290-490. \nAvailability for technica l consultation on an as-needed basi s is an item to also consider \nincluding in the contract. Anot her suggestion is to include l anguage in the contract that \nfinal payment will not be made by the purveyor, until the written program plan has been \nreviewed and a ccepted by DOH. \n \nQ. What does “coordination” with Local Administrative Auth ority (LAA) mean? \n \nA. Coordination is explained in detail in Chapter 6. Coordination may ra nge from a minimal \neffort, i.e., an exchange of in formation with the LAA, to an extensive level of coordination, \ni.e., implementation of a joint program. The advantages and disadvantages of the range of \nlevels of coordination are disc ussed in Chapter 6. Purveyors must desc ribe the level of \ncoordination in their wr itten CCC program pl ans. When a joint prog ram is selected as the \npreferred option, although not required, DOH reco mmends that a written agreement be \ndeveloped between the purveyor and the LAA. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 145 \n Note: Efforts are currently underway in Snohomish Coun ty to develop standardized \nlanguage to use when developing wr itten coordination agreements between \npurveyors and LAAs in Washington. Pur veyors are encouraged to stay informed \nabout this effort through their regional CCC groups. Once de veloped, DOH hopes \nto incorporate the sample ag reement language into a futu re update of this manual. \n \nQ. Must a Cross-Connection Control progra m be submitted to Washington State \nDepartment of Health (DOH) for review? \n \nA. Yes, per WAC246-290-490(2)(e), it was DOH’s intent for written program plans to be \nincluded in the purveyor’s Water System Pl an (WSP) or Small Wate r System Management \nProgram (SWSMP) that are subm itted to DOH for review and approval. Ho wever, not all \nGroup A systems must su bmit WSPs or SWSMPs. For exam ple, small, non-expanding water \nsystems are not required to subm it planning documents, unless specifically reque sted to do \nso by DOH due to system operational problems . DOH also intended to be able to request \nsubmission of the purveyor’s written CCC program pl an as a stand-alone document or to \nrequest that the plan be made available for revi ew as part of the sanitary survey process. \n \nQ. Can a purveyor rely so lely upon a premises isolation program or rely solely upon an \nin-premises program to protect the public water system (PWS) from contamination? \n \nA. Purveyors may rely solely upon premises isolation programs to protect their systems from \ncontamination. However, the opposite is not tr ue. Thus, purveyors can’t rely solely upon \nin-premises programs to protect the PWS from contamination. An in-premises type of \nprogram is unacceptable, because the CCC regula tions require all purveyors to ensure that \npremises isolation is provided for high health hazard categories of premises of the type \nlisted in Table 9 of WAC 246-290-490. \n Systems do have the option of implementing a co mbination program that relies on premises \nisolation for high-hazard premises and relies on in-premises protection for non-high hazard \npremises. When the purveyor chooses this co mbination program optio n, all conditions in \nWAC 246-290-490(2)( h) must be met.\n \n \nQ. Are purveyors required to shut-off or deny water service to cust omers that fail to \ncomply with the purvey or's cross-connection control requirements? \n \nA. No, water shut-off is only one of the en forcement tools available to purveyors. The \nresponsibility of the purveyor is to protect the PWS from cont amination. Wa ter shut-off may \nbe appropriate under emergency conditions (e.g., backflow incide nt occurring, cross \nconnection with sewage). Howe ver, in lieu of water shutoff, the purveyor may choose to \ninstall the necessary back flow preventer, if the cu stomer fails to comply with the request to \ninstall a backflow preventer. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 146 \n Shutting off water service may caus e a public health haz ard. In addition, shutting off water \nservice without reasonable cause or adequate le gal authority may expos e the purveyor to a \nclaim for damages. DOH is in the process of developing guidance to purveyors regarding \nwater shutoff. Once finalized , DOH plans to include the guid ance material in this manual. \n \nQ. Why is it necessary to noti fy the Local Administrative Authority (LAA), before I shut \noff a customer’s water? \n \nA. This requirement is in the regulations, because the purveyor’s actions may affect the public \nhealth and safety of occupants and/or users of the customer's premises. For example, the \nshut off of potable water service affects bu ilding occupancy, addin g a double-check valve \nassembly (DCVA) on the serv ice affects thermal expansion, and the s hutoff of a fire line \naffects public safety. For lia bility management, th e purveyor should no t take any action \nknown to affect public health or safety wi thout notifying the LAA having jurisdiction. \n \nQ. Why is it necessary to p revent the intentional return of water to the distribution \nsystem (e.g., from heat exchangers)? \n \nA. In a PWS, the normal flow of water is from the source of supply to the customer’s tap. \nThus, many contaminants introduced into the customer’s plumbing system by the \ncustomer (through backflow incidents, inadequat e disinfection of repair work, etc.) will \nlikely remain in the customer's system, until the customer’s normal use flushes the \ncontaminants from a tap. \n \nHowever, a return system circumvents this natural protection for the PWS. More importantly, the purveyor has no control over the quality of water that has left the \npurveyor's distribution system. Even when the returned water is supposedly potable, a \nchange in temperature may adversely affect the purveyor's system (e.g., increased water \ntemperature may enhance bacteria re-growth in the distribution system). Prohibiting the \nintentional return of used water to the pur veyor’s distribution system protects the quality \nof water served to consumers. \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 147 \n Section 3 Minimum Elements of a Cr oss-Connection Control (CCC) Program \n \nQ. Do the regulations specify when purveyors need to co mplete their initial hazard \nassessments? \n \nA. The regulations do not specify an absolute time frame for comp leting initial hazard \nassessments. Chapter 7 of this manual includes general schedule guidelines. \n The revised CCC regulations beca me effective in April 1999. As of the publication date of \nthis manual, all Group A systems should have at least initiated their CCC programs. At a \nminimum, DOH will revi ew the purveyor’s written progra m plan when a system submits a \nWSP or SWSMP. The written program plan must include procedures and reasonable \nschedules for ensuring completion of initia l hazard assessments for existing and new \ncustomers. \n \nFor example, a plan may indicate for existing customers that the init ial hazard evaluations \nwill be completed within one year of progra m startup. For new co nnections, the purveyor \nshould now be making initial ha zard evaluations prior to se rvice being prov ided. As a \npractical matter, the purveyor will need to first estab lish a CCC policy, reta in the services of \na CCS, etc. before assessing hazards. \n \n Purveyors will show DOH their system’s impl ementation progress th rough submi ssion of \nthe Annual Summary Report (ASR) forms, and/or through sa nitary surveys. \n \n \nQ. When must the purveyor start inst alling backflow prevention assemblies? \n \nA. The CCC regulations do not establish an absolu te time frame. Howeve r, Chapter 7 of this \nmanual includes genera l guidelines. The purveyor's writte n program plan must establish \nprocedures and schedules for ba ckflow preventer installation. The time allowed should be \nbased on the degree of hazard posed to the PWS. For example, a plan may specify that all \ncustomers of the type listed on Table 9 of WA C 246-290-490 w ill have backflow prevention \ninstalled within two years of notification and that all low-ha zard fire lines will have \nbackflow prevention installed when the building is renovate d or enlarged. \n \nQ. What is an acceptable time fram e for submission of a test report? \n \nA. A reasonable time frame for a backflow assembly tester (BAT) to provide the customer with \na test report is within ten bus iness days of performing the test . In general, for the annual \nbackflow assembly test report, most purveyors allow customers 30 to 45 days to submit the \npaperwork from the anni versary date. In rura l areas, where only a few BATs are available, \npurveyors may need to allow a longer period (e.g., 45-60 days). Purveyors need to make \nsure their customer’s receive notice for the test long before the annive rsary date. Purveyors \nshould not send out the te sting notices at the la st minute and expect their customers to rush \nto comply. \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 148 \n Note: The annual test doesn’t need to be completed on the precise anniversary date of the \nlast test. Most purveyors consider a timefram e within thirty days of the anniversary date \nreasonable for the annual test to be performed. \n \nQ. What is the purpose of the quality assurance/qualit y control (QA/QC) program? \n \nA. The purpose of the QA/QC progra m is to ensure consistency a nd reliability in the testing of \nassemblies that pr otect the PWS. Although not fail-proof, th e quality assurance program \nshould help prevent and/or reduce some of the problems purveyors have encountered in the \npast with BAT performance. These problems have included submission of incomplete or \nfalse test reports, use of incorrect test procedures, and testing errors made due to \nimproperly calibrate d test equipment. Also , the additional hands-on training ti me in BAT \ncourses and tightening of th e DOH BAT certificatio n exam process sh ould help improve \nBAT performance statewide. \n Section 4 Approved Backfl ow Preventer Selection \n \nQ. Are purveyors limited to the categories in Table 9 of Washington Administrative Code \n(WAC) 246-290-490 for mandatory prem ises isolation? \n \nA. No. Table 9 of WAC 246-290-490 is not all-incl usive, and in fact, on ly identifies typical \nhigh-hazard categories of premises served by most large PWSs in Washington. Table 9 \nof WAC 246-290-490 is essentially the minimum list of categories that require premises \nisolation. Other states and technical references may includ e additional cate gories in their \nmandatory premises isolation lists. \n \nPurveyors must ensure that all premises of the type listed on Tabl e 9 of WAC 246-290-490 \nmeet the mandatory premises isolation require ments. Although purveyors may not delete a \nmandatory isolation category fr om Table 9 of WAC 246-290-490, they may add to the Table \n9 of WAC 246-290-490 list. \n \nAdditions may be based on industry guidance and the purveyor’s polic y for risk and liability \nmanagement. For example, airl ine manufacturing plants are not specifically listed on Table \n9 of WAC 246-290-490, but must be considered as high hazard premises for the few PWSs \nin Washington that provide wate r service to them. As anothe r example, for risk and liability \nmanagement, a purveyor may choose to requ ire premises isolation DCVAs on all malls, \nbecause of the complexity of th eir piping systems and high pr obability of changes in tenants \n(i.e., water use). \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 149 \n Q. Some of the categories on Table 9 of Washington Administrative Code (WAC) 246-\n290-490 are confusing. For example, are gas stations included in the Petroleum \nStorage and Processing category? Are rest aurants included in the Food Processing \nPlant category? \n \nA. The intent of Table 9 of WAC 246-290-490 is to identify typical ca tegories of fa cilities that \npose a high health hazard to the PWS. This rating is due to on e or more of the following: \nthe complexity of their plumbing and industrial piping system s, frequency of plumbing and \npiping changes, scale of op erations (large, commercial), the presence of hazardous \nmaterials, and/or hazardous processes/activities occurring on-site. \n \nDOH intended for the category Petroleum Storage and Proces sing facilities to address bulk \nstorage facilities (i .e., tank farms) and refi neries; DOH did no t intend for this category to \ninclude neighborhood gas stations. Similarly, DOH intended for the Food Pr ocessing Plant \ncategory to address canneries, beef packing houses , potato processors, fruit processors, \netc., and in general did not intend for th e category to includ e local restaurants. \n \nQ. Which irrigation systems require premises isolation? \n \nA. The UPC establishes backflow protection requirements for irrigation systems in \nWashington. However, th e UPC does not cover dedicated irrigation systems supplied \ndirectly from the purveyor’s distribution ma in (i.e., not supplie d through customer’s \ndomestic service line). Under Table 9 of WAC 246-290-490, irrigation systems with \nchemical addition that are suppl ied through a dedicated line (i.e., separate from the \ndomestic service line) require premises is olation with a reduced-pressure backflow \nassembly (RPBA). Dedicated irrigation lines are ty pically found at parks, playgrounds, \ngolf courses, cemeteries, and estates. \n \nThe UPC requires an RPBA on other irrigatio n systems with chemical addition. For \nirrigation systems without chem ical addition, the UPC requir es a DCVA, pressure vacuum \nbreaker assembly (PVBA) or atmospheric vacuum breaker (AVB). The pu rveyor’s written \nprogram plan should ad dress irrigation systems and indicate whether: \n \n• AVBs will be accepted to protect the PWS; or \n \n• An approved assembly (e.g., a testable DCVA) will be required. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 150 \n Q. Is there a provision in the Washington Ad ministrative Code (W AC) for the purveyor \nto grant an exception to th e mandatory premises isolatio n requirements for premises \nof the type listed on Ta ble 9 of WAC 246-290-490? \n \nA. Yes, the WAC does contain such a provision. The exception prov ision is to be used in those \nrare instances where the cust omer's water use and hazard posed to the purveyor’s system \ndon’t “match” the water use and high health ha zard typically associated with the specific \ncategory of premises. For ex ample, a “beverage bottling plant” used only as a storage \nwarehouse doesn’t pose the sa me degree of hazard as a pl ant where beverage bottling \nprocesses are taking place. The purveyor's CCS must assess the degree of hazard and \ndetermine whether the granting of an exception is appropria te. CCSs can use the \"good \nengineering practices” described in the techni cal publications refere nced in WAC 246-290-\n490(2) to aid in excep tion determinations . \n \nWhen exceptions to mandatory premises isolation are granted , the CCS must document the \nreasons, i.e., provide justification for gr anting the exception. DOH has developed an \nException Form for do cumenting the justifica tion for granting an excep tion. An Exception \nForm must be completed for each exception grant ed by the purveyor. After the initial ASR \nis completed and submitted to DOH, Exception Forms must be submitted to DOH with the \nASR for the reporting year in wh ich the exception was granted. \n \nQ. As an \"alternate location acceptable to the purveyor ,” how far downstream of the \nmeter may a premises isolat ion assembly be located? \n \nA. There is no general rule in te rms of distance. How ever, for risk management reasons, it is \npreferable that the assembly be located as cl ose to the meter (propert y line) as possible and \nthat no connections are made between the meter and the RPBA. \n \nFor freeze protection, many pur veyors allow the RPBA to be installed in the mechanical \nroom of the building or at the point where the service line just enters the building. Because \nthe RPBA must isolate the customer’s plumbing from the PWS, there can be no connections \nmade between the RPBA and the meter, unles s they are specifically approved by the \npurveyor and have the appropri ate backflow protection. \n \nQ. Must backflow protection fo r all existing fire sprinkler sy stems with chemical addition \nbe upgraded to a reduced-pressure backfl ow assembly (RPBA) within 90 days of \nnotifying the customer of the high health cross-connection hazard? \n \nA. No. The WAC allows an alternate schedule acce ptable to the purveyor to be adopted. The \n90 days indicates the high health hazard assessment of fire sp rinkler systems with chemical \naddition and the need to gi ve priority to the in stallation of an RPBA. \n \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 151 \n The purveyor should work with the customer to est ablish a reasonable schedule for \ninstallation of the backflow prev enter. However, for risk ma nagement reasons, the earliest \npossible installation date provides the most benefit to the purveyor. When working with \ncustomers to establish a mutu ally agreeable schedule, pu rveyors should consider the \npractical aspects of retrofitting an existing sprinkler system with the appropriate backflow \nprotection (e.g., cost, obtaining permits, im pacts on sprinkler performance, possible \nredesign of fire system, space limitations and scheduling a contractor). In some situations, \nthe customer may need as long as two years to get the backflow preventer installed (e.g., \nhospital). \n \n Note: The RPBA requirement for high-haz ard fire sprinkler systems should be imposed \nwhen the customer remodels or expands the building. \n \nQ. How can the customer obtain water to test plumbing, before backflow preventers are \ninstalled and tested? \n \nA. Normal practice is to provide a constructio n service with a wate r meter and an RPBA \n(DCVA minimum). A construction site often po ses a greater cross-conne ction hazard to the \nPWS than the completed facility. \n \nSection 5 Approved Ba ckflow Preventers \n \nQ. Where do I obtain a cur rent list of Washington State Department of Health (DOH) \napproved assemblies? \n \nA. Purveyors may obtain hard copies of the list from DOH Office of Drinking Water upon \nrequest. The Training and Outreach Sectio n handles such requests. Purveyors without \nInternet access can request the list by e-mail or by phone (see Appendix F for DOH contact \ninformation). Purveyors with Internet access can request a list via the Drinking Water \nwebsite: http://www.doh.wa.gov/ehp/dw \n \n Due to our agreement with US C (the organization that deve lops the list), DOH is not \nallowed to post the list on th e Drinking Water website. DOH publishes the list annually (at \nthe beginning of each calendar year) and issu es at least one update during the year. DOH \nautomatically sends updates to those systems, CCSs, BATs, etc., on file with DOH as having \nrequested a list at the beginning of the calendar year. \n \nThe purveyor’s CCS sh ould have a copy of the most recently published DOH-Approved \nAssemblies List and unde rstand how to use the information on the list. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 152 \n Section 6 Approved Backflow Preventer Installation \n \nQ. What are the requirem ents for installation? \n \nA. The standard installation procedures accep table to DOH are provided in the technical \npublications such as the USC Manual or Pacific Northwes t Section – American Water \nWorks Association (PNWS-AW WA) Manual. Larg e utilities and/or th e regional cross-\nconnection groups may also have standard in stallation plan s available that meet the \ntechnical specifications in th e CCC manuals and can be used by small water systems. \n Q. Can a double-check val ve assembly (DCVA) be installed in a below- ground pit? What \nabout the requirement that the purveyor en sure that an assembly is not flooded? \n \nA. Yes, a DCVA can be installed below grade (e.g., in a meter bo x). The intent of the language \nregarding flooding was to prev ent backflow assemblies from creating cross-connection \nhazards themselves. To meet the intent of the WAC, with a below-grade type of installation, \nthe purveyor must ensure that the assembly will not create a cross connectio n with ground \nwater. This can be ac complished by requiring test cock plug s to be installed with all below- \ngrade assemblies. \n \nSection 7 Approved Backflow Pr eventer Inspection and Testing \n \nQ. Must a cross-connection control special ist (CCS) inspect an atmospheric vacuum \nbreaker (AVB) on a residential lawn sprinkler system? \n \nA. Yes. All AVBs relied upon by the purveyor must inspected by a CCS at the time of \ninstallation, after a ba ckflow incident and afte r repair, re-installation and re-inspection. \nThe purpose of the inspection is to make sure the AVB is installed correctly and is operable, \netc. The USC foundation recommends that AVBs be checked annually. \n \nQ. Annual assembly testing is a Washington State Depa rtment of Health (DOH) \nminimum requirement. When would it be ap propriate for a purveyor to require more \ntesting? \n \nA. More frequent testing is app ropriate when an assembly s hows (from the historical test \nreports) signs of impending failure, but the asse mbly has not been replac ed. For example, if \nthere is a question about the reliability of the assembly, the purvey or should require another \ntest in six months. In addition, some purvey ors require more frequent testing for premises \nisolation assemblies installed at severe and high-hazard facilities such as nuclear facilities, \nsewage treatment plants, and hospitals. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 153 \n Section 8 Recordk eeping and Reporting \n \nQ. What documentat ion must be kept? \n \nA. For each connection served , the purveyor must keep: \n \n• Information on the initial and subsequent hazard assessments (e .g., questionnaire \nand survey); and \n \n• Detailed assembly inventory information for all assemb lies relied upon by the \npurveyor to protect the PWS. Actual test report readings should be recorded and \nkept as part of the required assemb ly test report information. \n \nFor connections with both a premises isolat ion assembly and one or more in-premises \nassemblies, the purveyor is only required to track information on the premises isolation \nassembly. All assemblies othe r than the premises isolat ion assembly fall under the \njurisdiction of the Loca l Administrative Authority. \n \nQ. When should records of test reports be kept in electronic format (i.e., other than \nmanually)? \n \nA. The WAC allows records to be kept manually on paper or in elect ronic format, so the \ndecision is left to th e purveyor. Most systems find t hat manual tracking becomes too \ndifficult, when the number of assemblies that pr otect the PWS reache s 100 or more. \n \nBecause they will have so few a ssemblies to track, many sma ll water systems may be able to \nkeep adequate records manually. However, where a personal computer is used for word \nprocessing, it is a relatively easy task to es tablish a computer spre adsheet to track test \nreports. Most small system s will not need to purchase more expe nsive, proprietary \ncomputer database software specifically de signed for CCC prog ram management. \n \n________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Chapter 8 Page 154 \n Q. Must all backflow incide nts be reported to DOH? \n \nA. Yes. Purveyors must notify DOH, the local administrative authority, and the local health \njurisdiction as soon as possible and no late r than the next busine ss day of any backflow \nincident that contaminates the PWS or cust omer’s plumbing. Purv eyors can consult the \nPNWS-AWWA Backflow Incident Investigation Ma nual for information on how to proceed \nwith investigatio n and clean up. \n The purveyor must document (o n a form acceptable to DOH) the details of any incidents \nthat contaminated the PWS. However, for risk management purposes, it is prudent for \npurveyors to report all known backflow incidents to DOH, in cluding incidents where the \ncontaminant was contained within the customer ’s premises. This additional information \ncan be helpful when DOH is coordinating with the State Bu ilding Code Council on UPC \nissues and for demonstrating the effectiveness of premises isolation for protection of the \nPWS.\n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Page 155 \n APPENDICES \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Page 156 \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 157 Appendix A \nExample Cross-Connectio n Control Program and \nLegal Instrument for a Community System \n \n \nContents \n \nThis appendix contains an example written cro ss-connection control (CCC) program plan and an \nexample legal instrument for a community system. The legal instrument establishes the authority of a public water system (PWS) to adopt and implement a CCC program. \n \nThe primary type of program that these documents address is a premises isolation type of pro-\ngram. However, alternate wordi ng or passages are included for combination or joint types of \nprograms. Other commonly used alternate appr oaches and optional add itional requirements are \nalso included where appropriate. \n \nHow to Use Appendix A \n \nThe example program and legal instrument in Appendix A have been designed for use by com-\nmunity systems where the majority of the servic e connections are residences or premises owned \nor occupied by private or public en tities separate from the purveyor. \n The documents in this appendix have been arra nged and formatted for ease of review by the \nWashington State Department of Health (DOH) when it evaluates the program with respect to \nthe regulations. Therefore, DOH recommends that purveyors follow the fo rmat (i.e., use the ex-\nample program as a template) whenever possible. However, PWSs are not required to use the \nexample program and legal instrument. DOH recognizes that some PWSs may have a particular \napproach or institutional requireme nts that may dictate a different format or wording in the writ-\nten program plan. \n \n \nInstructions \n \nTo use the example program plan, water systems are encouraged to: \n \n1. Download the example program file (in Micr osoft Word format) from the web site or ob-\ntain from DOH electronically; \n2. Retain the basic formatting and text of the example program and fill in the blanks, deci-\nsion table, and check boxes where indicated to “customize” the example program; \n3. Include or delete optional and/or additional language shown in the example program to \nreflect system-specific decisions; and \n4. Insert the completed written CCC program pl an in the Small Water System Management \nProgram (SWSMP) or Water System Plan (WSP). \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 158 Cross-Connection Control Program Plan \nfor _________________ Water System \n \n \nA. Requirement for Program \n \n{Insert public water system name}, {insert public water system identification number }, \nhereinafter referred to as “the Pu rveyor”, has the respon sibility to protect th e public water system \nfrom contamination due to cr oss connections. A cross co nnection may be defined as “any actual or \npotential physical connection between a potable water line and any pipe, vessel, or machine that \ncontains or has a pr obability of containing a non-potable gas or liquid, such that it is possible for a \nnon-potable gas or liquid to enter th e potable water system by backflow.” \n \nAll public water system s are required to develop and impl ement cross-connection control (CCC) \nprograms. The CCC requirements are contained in Washington Administra tive Code (WAC) 246-\n290-490 of the Group A Drinking Water Re gulations. The minimum re quired elements of a CCC \nprogram are: \n \n1. Establishment of legal authority and program policies; \n2. Evaluation of premises for cross-connection hazards; \n3. Elimination and/or cont rol of cross connections; \n4. Provision of qualified personnel; 5. Inspection and testing of backflow preventers; \n6. Quality control of testing process; \n7. Response to backflow incidents; \n8. Public education for consumers; \n9. Record keeping for CCC program; and 10. Special requirements for reclaimed water use. \n Other CCC program requirements include: \n1. Coordination with the Local Administrative Author ity (LAA), i.e., th e local building or \nplumbing official regarding CCC activities; \n2. Prohibition of the return of used water into th e public water system (PWS) distribution \nsystem; and \n3. Inclusion of a written CCC program in a Water System Plan (W SP) or a Small Water \nSystem Management Program (SWSMP). \n Note: Throughout the example CCC program plan the term customer is used. Customer as used \nherein means the property owner and/or occupant of the premises served by the PWS (i.e., \nwhoever interfaces with the PWS regarding water service). Also, unless otherwise defined, all \nCCC-related terms used in this example program ha ve the same definitions as those contained in \nWAC 246-290-010 of the Washington St ate Drinking Water Regulations. \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 159 B. Program Objectives \n \nThe objectives of the CCC program are to: \n \n1. Reasonably reduce the risk of contaminatio n of the public water distribution system; and \n2. Reasonably reduce the Purveyor 's exposure to legal liability arising from th e backflow of \nany contaminant originating fr om the customer's plumbing system and then supplied to \nother customers; and \n3. [Add for Joint Program: “Cooperate with the LAA by joint operation of program \nadministrative tasks.” ] \n \n \nC. Summary of Program Decisions \n \nThe following table summarizes the major policy and progra m decisions adopted for the {Insert \nPWS name} water system. The items in the table represent CCC prog ram areas that have more \nthan one acceptable approach or option. (The PWS should mark th e appropriate boxes under \n“Decision” in the following table.) \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 160 CCC Program Decision Summary Table for the \n{Insert PWS name } \n \n \nDecision Item Decision \n1. Type of Program [General, WAC 246-290-490(2)(e)] \na. Premises isolation only \nb. Premises isolation and in-premises protection (combination program) \n2. Extent of Coordination with LAA [WAC 246-290-490(2)(d)] \na. Information exchange \nb. Interaction \nc. Joint program \n3. Relationship with Customer [Element 1] \na. Signed service agreement or contract \nb. Ordinance/resolution; implied service agreement \n4. Enforcement of Corrective Action [Element 1] \na. Rely upon shut-off of water service \nb. Rely upon purveyor-installed premises isolation \n5. Assessment and Re-assessment of Hazard [Element 2] \na. By purveyor’s staff or equivalent \nb. By cross-connection control specia list (CCS) employed by customer; \n report reviewed by purveyor’s CCS \n6. Location and Ownership of Premises Isolation Assembly [Element 3] \na. On purveyor’s service line \nb. On customer’s service line \n7. CCS Option – Purveyor’s Program Management [Element 4] \na. Purveyor’s staff member certified \nb. Inter-agency agreement or use other agency’s CCS \nc. Contract with consultant CCS \n8. Testing of Assemblies [Element 5] \na. By purveyor’s staff or purveyor-employed backflow assembly tester (BAT) \nb. By customer-employed (contractor) BAT \n9. Cost Recovery [WAC 246-290-100(4)(h) and –105(4)(p)] \na. Borne by all customers (general water rates) \nb. Assessed to specific class (commercial meters) \nc. Each customer directly bears cost \n \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 161 D. Required Elements of Program \n \nThe drinking water regulations for Group A public water systems in Wash ington, WAC 246-290, \nrequire CCC programs to in clude certain minimum el ements. The elements are listed in WAC 246-\n290-490(3). This section describe s how the water system intends to comply with each of the \nrequired program elements. Elements are numbe red the same as they appear in the WAC. \n \n \nElement 1: Adoption of a written legal instrume nt authorizing the establishment and \nimplementation of a CCC program. \n \nThe {Insert PWS name} water system has adopted a reso lution (Resolution No. _________), \nreproduced as Exhibit _____, whic h authorizes the Purveyor to implement a CCC program. The \nresolution also authorizes the sy stem to terminate water service to consumers who do not comply \nwith the resolution. Ho wever, the primary method for protection of the di stribution syst em will be \nthe installation of a backflow preventer by the customer, at the cu stomer’s expense. [Optional \napproach : “by the water system, and the cost thereof to be billed to the customer.” (see Decision \nTable Items 6 and 9) ] (The Purveyor can substitute appr opriate wording to reflect alternate \ndecisions made by the PWS.) \n \nThe attached service contract refe rred to in the resolutio n shall be the primary enforcement authority \nfor all new customers. For customers supplied prior to the adoption of the attached resolution, an implied service contract \nallows the Purveyor to protect the distribution system from contaminat ion through a Purveyor-\ninstalled backflow preventer on a customer's service. \nThe written and implied cont ract terms are di scussed further under Element 3. \n \n(The Purveyor should complete and include the following schedule for adoption of a legal \ninstrument, if not already adopted: \n \n \nLegal Instrument Status Schedule \nPreparation of proposed legal instrument \nIntroduction of the legal instrument to governing body \nAdoption of legal instrument \nLegal instrument becomes effective \n \nSchedules may vary depending on governing body procedures. ) \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 162 Element 2: Development and implementa tion of procedures and schedules for evaluating new \nand existing service connections to assess the degree of hazard. \n \nInitial Cross-Connect ion Hazard Surveys \n \nThe procedures for evalua ting the backflow prevention requirem ents for new and existing customers \nare as follows: \n \n1. For all new non-residential services , the Purveyor will require that the customer submit \nwith the application for water service an evalua tion (performed at cust omer’s expense) by a \nDOH-certified cross-connection control speci alist (CCS) of the hazard posed by the \nproposed plumbing system, with recommendations for the insta llation at the me ter of either \na double-check valve as sembly (DCVA) or a reduced-press ure principle backflow assembly \n(RPBA). [Combination or Joint Program Alternative: “or commensurate in-premises \nbackflow protection.” ] The Purveyor may accept the recommendati ons or submit the \nrecommendations to a CCS employed by the PWS for peer review and concurrence, before \nacceptance. \n \nAs an alternative to the above requirement fo r a survey by a CCS, th e customer may agree \nto install an approved air gap (AG) or RPBA for premises is olation as a condition of service. \n 2. For all new residential services , the Purveyor will require that the customer submit with the \napplication for water service a completed “Wat er Use Questionnaire” (copy shown on page \n{PWS insert page number here}\n). If the customer's ques tionnaire indicates special \nplumbing, such as a lawn sp rinkler system, or hazardous water use on the premises, the \ncustomer shall subm it to the Purveyor an evaluation by a DOH-certified CCS of the hazard \nposed by the proposed special plumbing system, with recomm endations for th e installation \nat the meter of either a DCVA or an RPBA. [Combination or Joint Program Alternative: \n“or commensurate in-premises protection.” ] \n \nAs an alternative to the above requirement for a survey by a DOH-certified CCS, the \nPurveyor, at his/her discretion, may specify the backflow preventer required to be installed \nas a condition of service. \n 3. For all existing non-residential services , the Purveyor will require the custom er to submit to \nthe Purveyor, within nine months of notificat ion, an evaluation by a DOH-certified CCS, of \nthe hazard posed by the plumbi ng system, with recommendations for the installation at the \nmeter of either a DCVA or an RPBA. [Combination or Joint Program Alternative: “or \ncommensurate in-premise s backflow preventers.” ] The Purveyor may accept the \nrecommendations or submit th e recommendations to a CCS em ployed by the Purveyor for \npeer review and concurrenc e, before acceptance. \n \nAs an alternative to the above requirement for a survey by a DOH-certified CCS, the \ncustomer may agree to install an AG or RPBA for premises is olation within 90 days of \nnotification by the Purveyor or an alternat e time period acceptable to the Purveyor. \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 163 4. For all existing reside ntial services , the Purveyor will require th e customer to submit to the \nPurveyor, within four months of notification, a co mpleted “Water Use Questionnaire.” If \nthe customer's reply indicates special plumbing or water use on the premises, the customer \nshall submit an evaluati on by a DOH-certified CCS of the hazard posed to the water system \nby the customer’s plumbing system, with reco mmendations for the inst allation at the meter \nof either a DCVA or an RPBA. [Combination or Joint Pr ogram Alternative: “ or \ncommensurate in-premise s backflow preventers”. ] \n \n As an alternative to the above requirement fo r a survey by a CCS, th e Purveyor may specify \nthe backflow preventer required to be installed as a condition of service. The Purveyor’s \nCCS will provide guidance on the type of backflow preventer to be installed. \n \n5. For all existing servic es, should the customer fail to supply the requ ired information for a \nhazard assessment or fail to s ubmit a completed “W ater Use Questionnaire,” the Purveyor \nmay have the assessment made by a CCS employe d by the Purveyor, re quire the installation \nof an RPBA for premises isolatio n, or take other such actions consistent with the previously \nstated policies and bill the cust omer for the associated costs. \n \nCross-Connection Hazard Su rvey Schedule for Initial Hazard Assessments \n \nThe schedule for initial hazard assessm ent is outlined in the following table. The schedule starts \nfrom the date the CCC progr am is established. \n \nInitial Assessment Task Schedule \nAssessment of all new connections At time of application for \nwater service \nIdentification and assessment of high-hazard premises \nwhich are listed on Table 9 of Washington Administrative \nCode (WAC) 246-290-490 Within nine months \nIdentification and assessmen t of hazardous premises \nsupplemental to Table 9 of WAC 246-290-490 Within 12 months \nIdentification of residential connections with special \nplumbing facilities and/or wa ter use on th e premises Within 15 months \n \n \nCross-Connection Hazard Surv ey Schedule for Subsequent Hazard Re-Assessments \n \nFor subsequent cross-connection hazard surveys, pr ocedures for evaluating the backflow prevention \nrequirements are: \n \n1. For residential services, the Purveyor will requir e the customer to subm it to the Purveyor, \nwithin two months of purveyor notification, a completed “Water Use Questionnaire.” The \nprocedure used for evaluating the hazard re-assessment and the potential change in the \nrequired backflow prevention will be the same as used for the initial hazard assessment. \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 164 2. For all non-residential services , the Purveyor will require th e customer to submit to the \nPurveyor, within two months of purveyor notification, a hazard re-assessment (at the \ncustomer’s expense) by a DOH-certified CCS. \n \nThe frequency of hazard re-assessments will be as shown in the table below: \n \n \nType of Service Frequency of \nRe-Evaluation \nAny services with reduced-pressure principle backflow \nassembly (RPBA) installed for premises isolation None required as long as the RPBA passes annual \ntests and inspections \nCommercial services with do uble-check va lve assembly \n(DCVA) installed for premises isolation Every two years and upon change in use or ownership \n[Combination or Join t Program Alternative : Commercial \nservices when purveyor relie s upon in-premises protection ] Every two years and upon change in use, ownership, \nor plumbing system \nResidential services with special plumbing where the \npurveyor relies upon complia nce with Uniform Plumbing \nCode (UPC) Every 2-3 years (questionnaire) \nResidential services with DCVA installed for premises \nisolation Every 4-5 years (questionnaire) \nResidential services with no known special plumbing or water use on the premises Every 4-5 years and upon change in use, ownership, or plumbing system \n(questionnaire) \n \n The Purveyor will info rm the customer that the Pu rveyor's survey of a cust omer's premises (whether \nby a representative of the Purveyor or through the evaluation of a questionnaire completed by the \ncustomer) is for the sole purpose of establishi ng the Purveyor's mini mum requireme nts for the \nprotection of the public water su pply system, and that the require d backflow prot ection will be \ncommensurate with the Purv eyor's assessment of th e degree of hazard. \n The Purveyor will also in form the customer or any regulator y agencies that the Purveyor's survey, \nrequirements for the installation of backflow prev ention assemblies, lack of requirements for the \ninstallation of backflow preventio n assemblies, or other actions by the purveyor’s personnel or \nagent do not constitute an approval of the custom er's plumbing system or an assurance to the \ncustomer or any regulatory agency of the absence of cross connections. \n \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 165 Element 3: Development and implementa tion of procedures and schedules for elimination \nand/or control of cross-connections. \n \nBackflow Preventer Requirements \n \nThe following service policy shall apply to all new and existing customers: \n \n1. The Purveyor w ill require that wate r service to all non-residential customers be isolated at \nthe meter by a DOH-approved DCVA or RPBA acceptable to the Purveyor. All high-\nhazard connections of th e type described in Ta ble 9 of WAC 246-290-49 0 shall be isolated \nwith an RPBA. [Recommended Option: “ All other non-residentia l customers shall be \nisolated with a DCVA.” ] \n \n[Optional Combination or Joint Program Alternative: “In lieu of isolation with a DCVA, \nother non-residential customers, with the co ncurrence of the Purvey or’s CCS, may install \nin-premises protection commensurate with the degree of hazard, as determined by the \nPurveyor’s CCS.” ] \n \n2. The Purveyor will require all residential customers with facilities of th e type described in \nTable 9 of WAC 246-290-490 to be isolated with an RPBA. All other residential customers \nwith special plumbing or water use on the premises will be isol ated with a DCVA. “Special \nplumbing” includes, but is no t limited to, th e following: \n \na. A lawn irrigation system; b. A solar heating system; c. An auxiliary source of su pply, e.g., a we ll or creek; \nd. Piping for livestock wate ring, hobby farming, etc.; \ne. Residential fire sprinkler system; and \nf. Property containing a small boat moorage. \n \n3. [Optional addition: “Additio nal premises requirin g premises isolation. The Purveyor has \nchosen to supplement Table 9 of WAC 246-290-490(4) by iden tifying additional premises or \npremises types for whic h premises isolation is mandated . Such premises will include \naircraft and automotive manufacturers, pulp and paper mills, military ba ses, tall buildings, \npremises with complex plumbing, premises wi th plumbing subject to frequent changes, \nplumbing with a repeat history of cross-conne ctions being established or reestablished, \npremises with public swimming pools, an d {Purveyor should add other premises or \npremises types}.” ] \n \n4. [Optional addition: “All remaining residential customers will be isolated at the meter by a \npurveyor-installed meter check valve (single or dual).” ] [Combination or Joint Program \nAlternative: “ Residential customers not re quired to be isolated wi th an RPBA may install \nin-premises protection in accordance with th e Uniform Plumbing Code (UPC) in lieu of \nisolation with a DCVA.” ] \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 166 5. For all customers that have a writte n service contract with the Purveyor , the required \npremises isolation DC VA or RPBA shall be: \n \n• Purchased and installed by the customer (a t the customer's expense) immediately \ndownstream of the water meter in accordanc e with the Purveyor's standards described \nhereinafter; and \n• Maintained, tested, and inspect ed in accordance with the Pu rveyor's standards described \nhereinafter. \n For new customers, the Purveyor will not turn on water (except for testing purposes) at the \nmeter until the customer complies with the above requirements. \n The failure of the customer to comply with the Purveyor’s insta llation and maintenance \nrequirements shall constitute a breach of contr act by the customer. The Purveyor may then \nproceed with corrective action provis ions stipulated in the contract. \n \n6. Customers without written contracts are considered to have an implied contract that \nrequires the customer to bear all reasonable cost s of service. The Pu rveyor will install the \nrequired DCVA or RPBA on the service, upstrea m of the meter, and charge the customer \nfor the cost of the initial inst allation, and all future maintena nce, testing, and repair, as set \nforth in the Purveyor's schedule of rates and ch arges. The failure of the customer to pay \nthese costs shall constitute a breach of contract by the customer, and the Purveyor will proceed with the established delinquency of pa yment procedures. As an alternative, the \ncustomer may sign a service contract and install the required backflow preventer \ndownstream of the meter in accordance with the Purveyor’s installation standards \ndescribed hereinafter. \n \n7. Approved Backflow Preventers and Installation \n \nAll backflow preventers relied up on by the Purveyor to protect the public water system shall \nmeet the definition of “approved backflow preventer” as c ontained in WAC 246-290-010. \nThe Purveyor will obtain and maintain a current list of assemblies a pproved for installation \nin Washington State from the DOH Office of Drinking Water. \n \nAll backflow preventers will be installed in: \n • The orientation for which they are approved; \n• A manner and location that fa cilitates their proper operation, maintenance, a nd testing or \ninspection; \n• A manner that w ill protect them from we ather-related conditions such as flooding and \nfreezing; and \n• Compliance with applicable safety regulations. \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 167 Installation standards containe d in the most recently pub lished edition of the Pacific \nNorthwest Section, American Wate r Works Association (PNWS-AWWA) CCC Manual or \nthe University of Southern California Fo undation for Cross-Co nnection Control and \nHydraulic Research (USCFCCCHR) CCC Manual shall be follow ed unless the \nmanufacturer’s requirements are more stringent. [Optional Alternative: “Installation shall \nconform to stand ard construction draw ings and specifications of the Purveyor.” ] \n \nThe Purveyor has no regulato ry responsibilit y or authority over the installation and \noperation of the customer's plumbing system. The customer is so lely responsible for \ncompliance with all applicable regulations and for prevention of contamination of his \nplumbing system from sources within his/he r premises. Any action taken by the Purveyor \nto survey plumbing, inspect or test backflow prevention assemb lies, or to require premises \nisolation (installation of DCVA or RPBA on service) is solely for the purpos es of reducing \nthe risk of contamination of th e Purveyor's distribution system. \n \nThe Purveyor will inform the customer that any action take n by the Purveyor shall not be \nconstrued by the customer as guidance on the safety or reliability of the customer’s \nplumbing system. The Purveyor will not provide advice to th e customer on the design and \ninstallation of plumbing other than through th e general public education program discussed \nin Element 8. \n \nExcept for easements containing the Purveyor's distribution system, the Purveyor will not \nundertake work on the customer's premises. \n \n8. Schedule for Installation of Backflow Preventers \n \nThe following table shows the schedule that the Purveyor will follow for installation of \nbackflow preventers when they are requi red (based on the ha zard evaluation). \n \nType of Service Schedule \nNew connections with cro ss-connection hazards Befo re service is initiated \nExisting connections with Table 9-type hazards and other high cross-connection hazards Within 90 days after notification \nExisting connections with other than Table 9 of \nWAC 246-290-490 or high cross-connection hazards Within 180 days after notification (suggested) \nExisting fire protection systems using chemicals or supplied by unapproved auxiliary water source Within 90 days after notification \nExisting fire protection syst ems not using chemicals and \nsupplied by purveyor’s water Within 1 year after notification (suggested) \n \n \nThe Purveyor may consider granting an exte nsion of time for inst allation of backflow \npreventer for an existing connection if requested by the premises owner. \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 168 Element 4: Provision of qualified personne l, including at least one pe rson certified as a CCS, to \ndevelop and implemen t the CCC program. \n \n1. Program Administration: The responsibility for administra tion of the CCC Program rests \nwith the Purveyor. General policy direction an d risk management decisions are established \nby the { insert name of governing body such as the board of directors, commissioners, \ntown council, etc. }. [Add for Joint Program: “By an inter-agency agreement, the Local \nAdministrative Authority (LAA) may undertak e certain administrative tasks, and the \nPurveyor may undert ake additional tasks to assist the LAA.” ] \n \n2. The Purveyor will empl oy or have on staff at least one person certif ied by DOH as a CCS to \ndevelop and implement the CCC program. As an alternative, or when no staff or employees \nare properly qualified, the Purveyor may retain a DOH-certified CCS on contract to provide \nthe necessary expertise and services. \n \n3. The following cross-connection related tasks will be performed by or under the direction of \nthe Purveyor’s certified CCS (o n staff or under contract): \n \n• Preparation of and reco mmendations regarding changes to the CCC program; \n• Performance of and/or review s of CCC hazard evaluations; \n• Recommendations on the ty pe of backflow preventer to be installed; \n• Recommendations on sche dules for retrofitting of backflow preventers; \n• Inspections of backflow preventers fo r proper application and installation; \n• Reviews of backflow preventer inspection and te st reports; \n• Reviews of backflow testing quality control information; \n• Recommendations and/or the granting of ex ceptions to mandatory premises isolation; \n• Participation in or cooperatio n with other water utility st aff in the investigation of \nbackflow incidents and othe r water quality problems; \n• Completion of Backflow Incident Reports; and \n• Completion of CCC Ac tivity and Pr ogram Summary Reports. \n \n4. The Purveyor may delegate other CCC program activities to other personne l who are not \ncertified CCSs, incl uding clerical support staff. These activities include: \n \n• Administration of paperwork associated with service agreements; \n• Mailing, collecting, and initial screening of hazard evaluation/water us e questionnaires; \n• Mailing of assembly testing notices; \n• Receiving and screening of assembly testing reports; \n• CCC program database administration and record keeping; \n• Dissemination of public education material; and \n• Assisting tasks associated with coordination with the LAA. \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 169 5. The following table identifi es the current CCS employed or retained on contract by the \nPurveyor to manage the Purve yor’s CCC program and/or act as the CCC techni cal resource \nfor the Purveyor: \n \n \nName of CCS \nAddress \nCity, State, Zip \nTelephone Number \nCCS Certification Number \n \nElement 5:\n Development and implementati on of procedures to ensu re that approved backflow \npreventers are inspected and /or tested (as applicable). \n \n1. Inspection and Testing of Backflow Preventers \n \nAll backflow preventers that the Purveyor relie s upon for protection of the water system will \nbe subject to inspection and, if applicable, testing. [Add for Combin ation or Joint \nProgram: “This includes backflow preventers installed for in-premises protection that the \nPurveyor relies upon for prot ection of the water systems.” ] \n \n \nInspection and testing of backflow preventers will be as follows: \n \n• The Purveyor’s DOH-c ertified CCS will inspect backfl ow preventers for proper \napplication (i.e., to ensure that the prevente r installed is commensu rate with the assessed \ndegree of hazard). \n• Either a DOH-certified CCS or backflow assembly tester (BAT) will perform \ninspections of backflow preven ters for correct installation. \n• A DOH-certified backflow asse mbly tester will test all as semblies relied upon by the \nPurveyor to protect the public water system. \n \n2. Frequency of Inspection and Testing \n \nInspection and testing of backflow preventers will be conducted: \n \n• At the time of installation; \n• Annually after installation; \n• After a backflow incident; and \n• After repair, reinstallation, relocation, or re-plumbing. \n \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 170 The Purveyor may require a backflow preven ter to be inspected and/or tested more \nfrequently than once a year, when it protect s against a high-health hazard or when it \nrepeatedly fails tests or inspections. \n \n3. Responsibility for Inspection and Testing \n \nThe Purveyor will be responsible for inspection and testing of all purveyor-owned backflow \npreventers. \n \nThe Purveyor will require the customer to be respon sible for inspection and testing of \nbackflow preventers owned by the customer. The customer shall employ, at customer \nexpense, a DOH-certified BAT [Recommended Optional Alternative: “pre-approved by the \nPurveyor” ] to conduct the inspection and test within the time period specified in the testing \nnotice sent by the Purveyor. The test report sh all be completed and si gned by the BAT, then \ncountersigned and return ed by the customer to the Purveyor, before the due date specified \nby the Purveyor. The customer ma y request an extension of the due date for returning a test \nreport by submitting a written request to th e Purveyor. The Purv eyor may grant one \nextension up to 90 days. \n \n4. Approved Test Procedures \n The Purveyor will require that all assemblies relied upon to protect the public water system \nbe tested in accordance with DOH-approved te st procedures as speci fied in WAC 246-290-\n490(7)(d). Any proposal to use alternate test procedures must be approved by the \nPurveyor’s CCS. \n[Optional: “The Purveyor will require al l assembly tests to be re ported on th e form shown \nin Appendix { PWS insert letter here\n} and returned as specified above.” ] \n \n5. Notification of In spection and/or Testing \n \nThe Purveyor will notify in wr iting all customers who own ba ckflow preventers that are \nrelied upon to protect the public water system to have th eir backflow preventer(s) inspected \nand/or tested. Notices will be sent out not le ss than 30 days before the due da te of the \ninspection and/or test. The notice will also spec ify the date (up to 30 days after the due date \nof the inspection and/or test da te) by which the insp ection/test report must be received by the \nPurveyor. \n6. Enforcement \n When a customer fails to send in the inspection/test re port within 15 days after the due date \nspecified, and the Purveyor has no t approved an extension to th e due date, the Purveyor will \ntake the following enforcement action: \n \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 171 • The Purveyor will send a second notice giving the customer an additi onal 15 days to \nsend in the inspection/test report. \n• If the customer has not sent in the inspection/test report with in 10 days of the due date \ngiven in the second notice, th e Purveyor will se nd a third notice, by certified mail, \n[Optional: “or by hand delivery,” ] giving the customer an addi tional 15 days to send in \nthe report. The notice will also inform the customer that fa ilure to satisfa ctorily respond \nto this notice will result in water service shut-off. \n• The Purveyor will send copies of the thir d notice to the owner and occupants of the \npremises (if different from th e customer) and to the LAA. \n• If the owner and/or occupants have not respo nded satisfactorily to the Purveyor within \n10 days of the due date specified in the th ird notice, the Purveyor will implem ent water \nservice shut-off procedures. \n• [Optional Procedure Prior to Shut-Off: “The Purveyor will of fer to arrange for the \ninspection and/or testing of the customer-owned backflow pr eventers by a certified BAT \nand will bill the customer the actual or typical cost of inspectio n and/or testing in the \nservice area plus reasonable administra tive costs. Collec tion and enforcement \nprocedures for such charge s will be the same as for other water utility charges.” ] \n \n \nElement 6: Development and implementation of a ba ckflow prevention assembly testing quality \nassurance/quality control program. \n \n1. [Recommended Option: “List of Pre-Approved BATs \n \nThe Purveyor will mainta in a list of local, DOH-certified BA Ts that are pre- approved by the \nPurveyor to pe rform the followi ng activities: \n \n• Backflow preventer inspection fo r proper installation; and \n• Backflow assembly testing. \n \n[Optional addition: The Purveyor will also maintain a list of local DOH -certified CCSs that \nare pre-approved by th e Purveyor to perform the follo wing activities : \n \n• Cross-connection haza rd evaluations; \n• Backflow preventer inspection fo r proper applic ation; and \n• Backflow preventer inspectio n for proper installation .] \n \nThe list(s) will be revise d annually or more fre quently if necessary.” ] \n \n2. [Recommended Option: “ Pre-Approval Qu alifications \n BATs [Optional addition: “and CCSs” ] who wish to be included on the Purveyor’s pre-\napproved list and/or provide testing in the Purveyor’s service area must apply to the \nPurveyor and furnish the following information: \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 172 • Evidence of current DOH certi fication in good standing; \n• Make and model of testing equipment (BAT listing only); \n• Evidence of test equipment ve rification of accuracy and/or calibration within the past 12 \nmonths (BAT listing only); \n• [Optional if Applicable: “Evidence showing possession of a license to operate a \nbusiness in (Insert name of jurisdiction) .”] \n \n• [Optional: “The Purveyor may consider the inclusion of the applicant on a current list \nof pre-approved CCSs or BATs issued by another public water system with more than \n1,000 connections having simila r quality assurance re quirements as su fficient evidence \nof qualification to be included on the Purveyor’s pre-approved list.” ] {If this option is \nchosen, identify the name(s) of the PWS(s) whos e list is used.} \n \n3. Quality Assurance \n \nThe Purveyor’s CCS will revi ew within 30 days of recei pt the backflow preventer \ninspection/test report forms su bmitted by the customer. [Optional if Applicable: “The \nPurveyor’s CCS may accept reports that ar e signed by a CCS or BAT not on the pre-\napproved CCS or BAT list provid ed that the same information as listed in “Pre-Approval \nQualifications” is also submitted to the Purveyor .”] \n The Purveyor’s CCS will provid e follow up on test reports th at are deficient in any way. \n \nThe Purveyor’s CCS will report incidences of fraud or gross incompetence on the part of \nany BAT or CCS to DOH Operator Certification program staff. \n Element 7:\n Development and implementation (when ap propriate) of proced ures for responding \nto backflow incidents. \n \n1. Backflow Incident Response Plan \n \nThe Purveyor's CCS will participate in developi ng a backflow incident response plan that \nwill be part of the water system’s emerge ncy response program as required by WAC 246-\n290-415(2). The incident re sponse plan will include, but will not be limited to: \n \n• Notification of affected population; \n• Notification and coordination with other agen cies, such as DOH, th e LAA, and the local \nhealth jurisdiction; \n• Identification of the so urce of contamination; \n• Isolation of the source of contam ination and the affected area(s); \n• Cleaning, flushing, and othe r measures to mitigate a nd correct the problem; and \n• Apply corrective action to preven t future backflow occurrences. \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 173 2. Technical Resources \n \nThe Purveyor will use the most recen tly published editio n of the manual, Backflow Incident \nInvestigation Procedures , published by the PNWS-AWW A as a supplement to the \nBackflow Incident Response Plan for the {Insert PWS name} . \n \n \nElement 8: Development and implementation of a cr oss-connection control public education \nprogram. \n \n1. Customer Education \n \nThe Purveyor will distribute wi th water bills or some other means, at regul ar intervals, \npublic education brochures to system customers. For residential customers, such brochures \nwill describe the cross-connection hazards in homes and the reco mmended assemblies or \ndevices that should be installe d by the homeowner to reduce the hazard to the public water \nsystem. The education program will emphasize th e responsibility of the customer in \npreventing the contamination of the public water supply. The Purveyor’s staff will produce \nthe public education brochures or the Pu rveyor will obtain brochures from: \n \n• PNWS-AWWA; \n• Spokane Regional Cross-Connect ion Control Committee (SRC4); \n• Western Washington Cross-Co nnection Prevention Professi onals Group (The Group); \n• USC FCCCHR; \n• Other national backflow prev ention associations, such as the American Backflow \nPrevention Associatio n (ABPA); and/or \n• Other water utilities. \n \nThe information distributed by th e Purveyor will include, but no t be limited to , the following \nsubjects: \n \n• Cross-connection hazards in general; \n• Irrigation system hazard s and corrective actions; \n• Fire sprinkler cross- connection hazards; \n• Importance of annual inspection and/or testing of backflow preventers; and \n• Thermal expansion in hot wate r systems when backflow pr eventers are installed for \npremises isolation. \n \nThe Purveyor will distribu te information brochure s to all customers ever y two to three years, \nand to every new customer at the time the service agreement is signed. \n \n2. [Optional: “Public Outreach \n In cooperation wi th other water u tilities, the Purveyor will par ticipate in an outreach \nprogram consisting of: \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 174 \n• Distribution of cross-connection control info rmation to hardware and plumbing stores \nserving the area; \n• Participation in fairs, exhibits, and other events; and \n• Special education sessions for irrigation contractors, fire sp rinkler contractors, local \nbackflow assembly testers, etc.” ] \n \n \nElement 9: Development and maintenance of cr oss-connection control records. \n \n1. Types of Records and Data to be Maintained \n \nThe Purveyor will mainta in records of the foll owing types of inform ation required by WAC \n246-290-490: \n \n• Service connections/customer prem ises information including: \n \no Assessed degree of hazard; and \no Required backflow preventer to protect the public water system. \n \n• Backflow preventer inventory and information including: \n \no Air gap (AG) location, installation and inspection dates, in spection results and \nperson conducting inspection; \no Backflow assembly location, assembly description (type, manufacturer, make, \nmodel, size, and serial number ), installation, in spection and test dates, test results \nand data, and person performing test; and \no Information on atmospheric vacuum br eakers used for irrigation system \napplications, including manufacturer, make , model, size, dates of installation and \ninspections, and person performing inspections. \n \nThe Purveyor will maintain records on all asse mblies that protect the public water system \nfrom contamination. At a minimum, the Purveyor will maintain records on all premises \nisolation assemblies required to protect the public water system. [Add for Combination \nProgram: “Where applicable, the above informa tion will also be maintained for \nbackflow preventers installed for in-premises protection that are relied upon by the \nPurveyor to protect the public water system.” ] \n \n[Add for Joint Pr ogram (Optional)]: “By inter-agency agreement, the Purveyor will also \nmaintain the above information for LAA required backflow preventers that are not relied \nupon by the Purveyor to prot ect the public water system.” ] \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 175 \n2. Reports to be Prepared and Submitted to DOH \n \nThe Purveyor will prep are the following report s required by WAC 246- 290-490 including: \n \n• Cross-connection control program activities report for the ca lendar year, to be sent to \nDOH when requested; \n• Cross-connection control program summary info rmation, when require d, or when there \nare significant policy changes; \n• Backflow incident reports to DOH (and voluntarily to the PNWS-AWWA CCC \nCommittee); and \n• Documentation when excep tions to mandatory premis es isolation are granted. \nAt a minimum, the Pu rveyor’s CCS will prep are and sign the ex ceptions reports. \n \n[Recommended Option 1 : “The Purveyor’s CCS will prepar e and sign all CCC-related \nreports required by WAC 246-290-490.” ] \n [Option 2 : “The Purveyor’s CCS will review all CCC-related reports for correctness.” ] \n [Optional addition: “The manager of the public water system shall sign the CCC reports \nbefore submission to DOH .”] \n \n \nElement 10:\n Additional cross-connect ion control requirements for reclaimed water. \n \nAt this time the {Insert PWS name} does not receive or distribute reclaimed water. In the event \nthat reclaimed water use is prop osed within the PWS’s service ar ea, the Purveyor will make all \ncross-connection control require ments mandated by th e Permitting Authority in accordance with \nChapter 90.46 RCW part of the written CCC program pl an and comply with such additional \nrequirements. \n \n[Alternative if PWS receives/distributes reclaimed water: “The {Insert PWS name} waters sys-\ntem receives/distributes reclaimed water within its service area. Additional CCC requirements \nare listed in the permit issued in accordance with Chapter 90.46 RCW. A copy of the CCC re-\nquirements pursuant to the permit is a ttached as part of this CCC program.”] \n \nE. Other Provisions \n \n1. Coordination with Local Administrative Authority \n \nBoth WAC 246-290-490 and the Uniform Plumbing Code amended for Washington require \ncoordination between the water purveyor and th e Local Administrative Authority (LAA) in \nall matters pertaining to cross-connection control . \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 176 The Purveyor will pr ovide a copy of this CCC program to {Insert name of LAA} via a \ncopy of the Purveyor's water sy stem plan or in a separate document. The Purveyor will \ninform the LAA of any chan ges in policy or procedure that may impact the LAA. \n \nThe Purveyor will prov ide information to th e LAA in a timely ma nner regarding any: \n \n• Requirement imposed on a residential custom er for the installati on of a DCVA or an \nRPBA on the service, with a description of the cross-connection hazard identified; \n• Upgrade of the premises isolation backflow preventer, i.e., from a DCVA to an RPBA; \n• Action taken to discontinue wa ter service to a customer; and \n• Backflow incident known by the Purveyor to have contaminated the public water \nsystem or a customer’s plumbing system. \n \n2. [Recommended Option , if no PWS/LAA written agreem ent exists: “Written Agreement \nwith Local Administrative Authority \n \nThe Purveyor will purs ue development of a wr itten agreement with th e Local Administrative \nAuthority regarding the details of the coordination on CCC issues between the tw o parties. \nThe agreement will incl ude, but not be limited to , the following items: \n \n• The purpose of the written agreement; \n• Identification of the parties an d other interested agencies; \n• Delineation of responsibilities; \n• Procedures regarding new service connections; \n• Procedures regarding existing and changes to existing services; \n• Special policies and procedures, such as for fire protection and irrigation services; \n• Procedures regarding water service shut-o ffs, backflow incidents, and other events; \n• Communications between parties; and \n• Other contingencies.” ] \n \n3. [Add for Joint Program: “This CCC program has be en developed in co operation with the \nLAA for {Insert name of jurisdiction} and has been mutu ally agreed upon by both parties.” ] \n \n4. Prohibition of Return of Used Water . The PWS must prohibit the intentional return of used \nwater to the Purveyor’s distribution system per WAC 246-290-490 (2)(l). \n \nUsed water is defined as water th at has left the control of the Purveyor. This includes water \nused for heating and cooling purposes and wate r that may flow back into the distribution \nsystem from customers with multiple connections. \n It is the policy of the {Insert PWS name}\n water system to: \n \n• Prohibit the intentional return of used water to the distribution system by any customer served by the public water system; and \n• Require that all customers w ith multiple connections, where the hydraulics permit the \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 177 potential return of used water, to inst all a backflow preventer (DCVA or RPBA) \ncommensurate with the de gree of hazard at each point of connection. \n \n(Optional Additional Provisions: Purveyors may want to consider including the following \nprovisions to address some common issues faced by PWSs.) \n \n5. [Recommended Optional Provision: “Unapproved Auxiliary Supplies. All water supplies \nother than those owned by the Purveyor are considered unapproved auxiliary supplies as \ndefined in WAC 246-2 90-010. The Purveyor will require backflow protection for customers \nwith auxiliary supplies on their premises as follows: \n \n• Per Table 9 of WAC 246-290-4 90, the Purveyor will require the installation of an \nRPBA for premises isolation at the servi ce connection to any cu stomer having an \nunapproved auxiliary supply on the premises that is interconnected with the \nPurveyor’s water system. [ Optional more stringent approach : “ whether or not \nthere is a physical connec tion between the unapproved auxiliary supply and the \nPurveyor’s water system.” ] \n• [Optional Approach for Cu stomers with Unapproved Auxiliary Water Supplies \nNOT Connected to the Purveyo r’s water system, if RPBAs are only required when \nthe auxiliary supply is interconnected with the Purveyor’s system per the \nparagraph directly above: “ The Purveyor will require th e installation of a DCVA \nfor premises isolation at the service conne ction to any customer with an unapproved \nauxiliary water supply not interconnected with the Purveyor’s water system.” ] \n \n6. [Recommended Optional Provision: “Tanker Trucks. The Purveyor may allow tanker \ntrucks to obtain water from the Purveyor’s water system under the following conditions: \n \n• The tanker truck is equipped with an approved AG or an approved RPBA with a \ncurrent satisfactory insp ection or test report.” ] \n• [Optional: The tanker truck will obtain water from purveyor-designated watering \npoints only. These watering points are eq uipped with purveyor-installed backflow \npreventers.” ] \n \n7. [Recommended Optional Provision: “Tempora ry Water Connections. The Purveyor will \nnot supply water through temp orary connections, such as those used for construction \nprojects or main disinfection, except throug h a backflow preventer arrangement approved \nby the Purveyor. The applican t for the temporary connection shall document that the \nbackflow preventer is a DOH-a pproved model and has passed an inspection and/or test \nwithin the past 12 months and/or upon relocation, wh ichever is more recent.” ] \n \n8. [Recommended Optional Pr ovision: “Interties and Wholesale Water Customers. The \nPurveyor will require that interties with othe r public water systems or wholesale customers \n(such as mobile home parks) be is olated at the point of delivery by: \n \n• A minimum of a DCVA; and \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 178 • A minimum of an RPBA if the Purveyor considers the purchasing system or \nwholesale customer to pose a high-health hazard to the Purveyor’s system.” ] \n \n [Optional: “The Purveyor may waive or reduce the level of protectio n at the intertie, if the \npurchasing public water system or wholesale customer: \n \n• Is a Group A public water system not exempt from DOH re gulation as per WAC \n246-290-020(2); \n• Has a CCC program that complies with WAC 246-290-490 an d which has been \napproved by DOH; and \n• Implements the CCC program at a le vel satisfactory to the Purveyor.” ] \n \n \nF. Relationship to Other Planning and Operations Program Requirements \n \nThe Purveyor will co nsider the requirements an d consequences of the CCC program on the utility’s \nplanning and operations requirement s. Such considerations include, but are not limited to ensuring: \n \n• And promoting adequate communication be tween CCC program personnel and other wa-\nter utility staff; \n• That adequate training is provi ded to all staff to recognize potential cross- connection con-\ntrol problems; \n• That cross-connection issues be consid ered in water quality investigations; \n• That the design of the water distribution syst em makes adequate provisions for expected \nhead losses incurred through th e installation of ex perienced by backflow assemblies; \n• That CCC program personnel be consulted in the design of water a nd wastewater treat-\nment facilities and when proposals are made to receive or distribute reclaimed water; \n• That operations under normal and abnormal cond itions do not result in excessive pressure \nlosses; and \n• That adequate financial and administrative resources are available to carry out the CCC \nprogram. \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 179 Resolution No. ________ \nCross-Connection Control Policy \n \n \nFinding of Fact \n \nWhereas it is the responsibility of a wa ter purveyor to provide water to the cu stomer at the meter \nthat meets Washington stat e water quality standards; \n Whereas\n it is the water purveyo r's responsibility to prev ent the contamination of the public water \nsystem from the source of supply (i.e., to the customer's connectio n to the service pipe or meter); \n Whereas\n it is a requiremen t of the Washington State Department of Health (DOH) for the Purveyor \nto establish a cross connection-cont rol program satisfactory to DOH; \n Whereas\n cross-connections within the customer's plumbing system po se a potential source for the \ncontamination of the publ ic water supply system; \n Now be it resolved\n that the {Insert PWS name} , hereinafter referred to as the Purveyor, establishes \nthe following service policy to protect the purv eyor-owned water system from the risk of \ncontamination. For public health and safety, this policy shall apply equally to all new and existing \ncustomers. \n \nDefinitions \n \nUnless otherwise defined, all terms used in this resolution pertaining to cross-connection control \nhave the same definitions as those contained in WAC 246-290-010 of the Washington State \nDrinking Water Regulations. \n \nPrevention of Contamination \n \nThe customer's plumbing system, starting from the termination of th e Purveyor's water service pipe, \nshall be considered a potential high-health hazard requiring the isolation of the customer's premises \nby a DOH-approved, customer-installed and mainta ined reduced-pressure principle backflow \nassembly (RPBA) or reduced-pressure detector assembly (RPDA). The RPBA or RPDA shall be \nlocated at the end of the Purveyor 's water service pipe (i.e., imme diately downstream of the meter). \nWater shall only be supplied to the customer through a DOH-approved, customer-installed and \nmaintained RPBA or RPDA. \n \nNotwithstanding the aforesaid, th e Purveyor, upon an assessment of the risk of contamination posed \nby the customer's plumbing system and use of water, may allow: \n \n• A single-family or duplex reside ntial customer to c onnect directly to th e water service pipe, \ni.e., without a purveyor-a pproved DCVA or RPBA. \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 180 • Any customer other than a single-family or duplex reside ntial customer, as a minimum, to \nbe supplied through a DOH-appr oved, customer-installed and maintained double-check \nvalve assembly (DCVA) or double-check detector assembly (DCDA). \n• [Add for Combination or Joint Program: “ Any customer, other than a single-family or \nduplex residential customer to connect directly to the water service pipe (i.e., without a \npurveyor-approved DCVA or RPBA), PROVIDED THAT the customer installs and \nmaintains backflow preventers, at the point of hazard, that are commensurate with the \ndegree of hazard assess ed by the Purveyor.” ] \n \n \nConditions for Providing Service \n \nWater service is provided based on the following term s and limitations: \n \n1. The customer agrees to take all measures necessary to pr event the contamination of the \nplumbing system within his/her premises and the Purveyor's distribution system that may \noccur from backflow through a cross connection. These measures shall include the \nprevention of backflow under any backpressu re or backsiphonage condition, including the \ndisruption of the water supply from the Purvey or's system that may occur during routine \nsystem maintenance or during emergency co nditions, such as a water main break. \n \n2. The customer agrees to install, operate, an d maintain at all times his plumbing system in \ncompliance with the current editi on of the Uniform Plumbing Co de having jurisdiction as it \npertains to the prevention of contamination an d protection from therma l expansion, due to a \nclosed system that could occur with the present or future installation of backflow preventers \non the customer's service and/ or at plumbing fixtures. \n3. For cross-connection control or other public health-related surv eys, the customer agrees to \nprovide for the Purveyor’s employees or agents free access to all parts of the premises \nduring reasonable work ing hours of the day for routine surveys and at all times during \nemergencies. \n \n Where agreement for free acces s for the Purveyor's survey is denied, the Purveyor may \nsupply water service provided that premises isolation is pr ovided through a DOH- approved \nreduced-pressure principle b ackflow assemb ly (RPBA). \n \n4. The customer agrees to inst all all backflow prevention asse mblies requested by the Purveyor \nand to maintain those assemblies in good workin g order. The assemblies shall be of a type, \nsize, and make approved by DOH and acceptable to th e Purveyor. The a ssemblies shall be \ninstalled in accordance with the recommendations given in the most recently published \nedition of the Cross Connection Contro l Manual, Accepted Procedures and Practice, \npublished by the Pacific Northwes t Section, American Water Wo rks Association, or latest \nedition thereof. [Optional Wording: “The assemblies shall be installed in accordance with \nthe Purveyor’s construction standards and specifications.” ] \n5. The customer agrees to: \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 181 \n(a) Have all assemblies (e.g., RPBAs and/or DCVAs) that the Purveyor relies upon to \nprotect the public water di stribution system tested u pon installation, annually \nthereafter and/or more frequently if request ed by the Purveyor, after repair, and after \nrelocation; \n(b) Have all testing done by a purveyor-app roved and currently DO H-certified Backflow \nAssembly Tester (BAT); \n(c) Have the RPBA or DCVA tested in acco rdance with DOH-approved test procedures; \nand \n(d) Submit to the Purveyor the results of the test(s) on Purv eyor-supplied test report forms \nwithin the time period sp ecified by the Purveyor. \n \n6. The customer agrees to bear all costs for the aforementioned insta llation, testing, repair, \nmaintenance and replacement of the RPBA, RPDA, DCVA or DCDA installed to protect \nthe Purveyor's distribution system. \n7. At the time of application for service, if required by the Purveyor, the customer agrees to \nsubmit to the Purveyor plumbing plans and/or a cross-connection control survey of the \npremises conducted by a purveyor-approved and DOH-certified Cross-Connection Con-\ntrol Specialist (CCS). \n \nThe cross-connection control surv ey shall assess the cross-connection hazards and list the \nbackflow preventers provided within the premises. The results of the survey shall be \nsubmitted prior to the Purveyor turning on wate r service to a new customer. The cost of \nthe survey shall be borne by the customer. \n \n8. For classes of customers other than single-family resi dential, when required by the \nPurveyor, the customer agrees to periodically su bmit a cross-connection control re-survey of \nthe premises by a DOH-certified CCS acceptab le to the Purveyor. The Purveyor may \nrequire the re-survey to be performed in respon se to changes in the cu stomer's plumbing or \nwater use, or performed periodically (annua lly or less frequently) where the Purveyor \nconsiders the customer's plumbing system to be complex or subject to frequent changes in \nwater use. The cost of the re-surve y shall be borne by the customer. \n \n9. Within 30 days of a request by the Purveyor, a residentia l customer shall agree to complete \nand submit to the Purveyor a \"Water Use Questionnaire\" for the purpose of surveying the \nhealth hazard posed by the cu stomer's plumbing system on the Purveyor's distribution \nsystem. Further, the residential customer agre es to provide within 30 days of a request by \nthe Purveyor a cross-connectio n control survey of the prem ises by a DOH-certified CCS \nacceptable to the Purveyor. \n \n10. The customer agrees to obtain the prior appr oval from the Purveyor fo r all changes in water \nuse, and alterations and additions to the pl umbing system, and sh all comply with any \nadditional requirements imposed by the Pu rveyor for cross-connection control. \n11. The customer agrees to immediately notify the Purveyor and the local health jurisdiction of \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 182 any backflow incident occurri ng within the customer’s pr emises (i.e., entry of any \ncontaminant/pollutant into the drinking water) an d shall cooperate fully with the Purveyor to \ndetermine the reason for the backflow incident. \n \n12. The customer acknowledges th e right of the Purveyor to disc ontinue the water supply within \n72 hours of giving notice to the customer, or a lesser period of time if required to protect \npublic health, if the customer fails to cooperate with the Purveyor in the survey of premises, \nin the installation, maintenance, repair, insp ection, or testing of backflow prevention \nassemblies or air gaps required by the Purveyor , or in the Purveyor's effort to contain a \ncontaminant or pollutant that is de tected in the cust omer's system. \n \nWithout limiting the generality of the foregoing, in lieu of di scontinuing water service, the \nPurveyor may install an RPBA on the servic e pipe to provide premises isolation, and \nrecover all costs for the instal lation and subsequent maintenan ce and repair of the assembly, \nappurtenances, and enclosure from the customer as fees and charges for water. The failure \nof the customer to pay these fe es and charges may result in termination of water service in \naccordance with the Purveyor 's water billing policies. \n \n13. [Add for Combination or Joint Program: “ The Purveyor will requir e premises is olation for \na customer that is of the high-hazard type or category requiring \"Mandatory Premises \nIsolation\" establis hed by the DOH regu lations (Table 9, WAC 246-290-490).” ] \n \n14. Where the Purveyor imposes mandatory pr emises isolation in compliance with DOH \nregulations, or agrees to the customer's volunt ary premises isolation through the installation \nof a RPBA immediately downstream of th e Purveyor's water me ter, the customer \nacknowledges his obligation to comply with the other cross- connection control regulations \nhaving jurisdiction (i.e., Uniform Plumbing Co de). Although the Purveyor's requirements \nfor installation, testing, and repair of back flow assemblies may be limited to the RPBAs \nused for premises isolation, th e customer agrees to the other terms herein as a condition of \nallowing a direct connection to the Purveyor's service pipe. \n \n15. The customer agrees to indemnify and hold harmless the Purveyor fo r all contamination of \nthe customer's plumbing system or the Purveyor's distribution system that results from an \nunprotected or inadequately protected cross connection within the cu stomer’s premises. \nThis indemnifica tion shall pertain to al l backflow conditions th at may arise from the \nPurveyor's suspension of water supply or redu ction of water pressure , recognizing that the \nair gap separation otherwise re quired would require the cust omer to provide adequate \nfacilities to collect, store, and pump water for hi s/her premises. \n \n16. The customer agrees that, in the event le gal action is required and commenced between the \nPurveyor and the custom er to enforce the terms and cond itions herein, the substantially \nprevailing party shall be entitle d to reimbursement of all incurred co sts and expenses \nincluding, but not limited to, reasonable attorney's fees as determined by the Court. \n \n17. The customer acknowledges that the Purveyor's survey of a customer's premises is for the \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 183 sole purpose of establishing the Purveyor's mi nimum requirements for the protection of the \npublic water supply syst em, commensurate with the Purveyor 's assessment of the degree of \nhazard. \n It shall not be assumed by the customer or any regulatory agency that the Purveyor's survey, \nrequirements for the installation of backflow pr evention assemblies, lack of requirements for \nthe installation of backflow prevention asse mblies, or other actions by the Purveyor’s \npersonnel constitute an approval of the customer 's plumbing system or an assurance to the \ncustomer of the absence of cross connections therein. \n \n18. The customer acknowledges the right of the Purveyor, in keeping with changes to \nWashington State regulations, industry standa rds, or the Purveyor's risk management \npolicies, to impose retroa ctive requirements for additio nal cross-connection control \nmeasures. \n The Purveyor will r ecord the customer's ag reement to the above te rms for serv ice on an \n“Application for Water Service,” “Application for Ch ange of Water Service,” or other such form \nprepared by the Purveyor an d signed by the customer. \n \n \nImplementation of the Cro ss-Connection Co ntrol Policy \n \nThe Purveyor will en gage the services of a DOH-certified CCS to develo p, implement and be in \nresponsible charge of the {Insert PWS name}\n Water System’s cross-co nnection control program. \n The Purveyor, under the direct ion of the aforemen tioned CCS, will prep are a written cross-\nconnection control program plan to implement th e requirements of this resolution. The written \nprogram shall be consistent with this resolution and shall comply with th e requirements of Chapter \n246-290 WAC (Group A Drin king Water Regulations). \n The Purveyor will us e the most recently pub lished editions of the fo llowing publications as \nreferences and technical aids: \n \n1. Cross-Connection Control Manual, Accepted Procedures and Practice, published by the \nPacific Northwest Section, Amer ican Water Works Association, or latest edition thereof. \n \n2. Manual of Cross-Connection Control, published by the Foundation for Cross-Connection \nControl and Hydraulic Res earch, University of Southern Cali fornia, or latest edition thereof. \n 3. Cross-Connection Control Guidance Manual for Small Water Systems, published by the \nDOH Office of Drinking Water. \n \n4. [Optional addition: ad d additional references here, if applicable]. \n \nThe Purveyor will incorporate the written program pl an into the Wate r System Plan [Alternative, if \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix A Page 184 WSP is not required: “Small Water System Management Program” ] and will submit the plan to \nDOH for approval when requested. \n \nThe Purveyor, in consultation with the aforemen tioned CCS, shall have the authority to make \nreasonable decisions related to cr oss connections in cases and situ ations not provided for in the \nresolution or written program. If any provision in this resolution, or in the wr itten cross-connection control program is found to \nbe less stringent than or inc onsistent with the Drinking Wate r Regulations (Chapter 246-290 \nWAC), or other Washington state stat utes or rules, the more stringe nt state statute, rule, or regu-\nlation shall apply. \n \n Resolution Passed: _______________________ \n \nEffective Date: __________________________ \nSignatures: _____________________________ \n _____________________________ \n _________________________ \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix B Page 185 Appendix B \nExample Cross-Connection Control Program \nfor a Non-Community System \n \n \nContents \n \nAppendix B contains an example written cross-co nnection control (CCC) program plan and an \nexample legal instrument for a non-community system. \nHow to Use Appendix B \n \nThe documents in Appendix B have been arra nged and formatted for ease of review by the \nWashington State Department of Health (DOH) when it evaluate s the CCC program with respect \nto the regulations. Therefore, DOH recommends th at purveyors follow the format (i.e., use as a \ntemplate) whenever possible. However, public water systems are not required to use the exam-\nple program and legal instrument. DOH recognizes that some PWSs may have a particular ap-\nproach or institutional requirements that may dictat e a different format or wording in the written \nprogram. \n \n \nDescription of Typical Non-Community Systems \n The majority of non-community wate r systems, in addition to the de finitions in the Drinking Water \nRegulations, Chapter 246-290 WAC, ha ve the following characteristics: \n \n• The water system owner (purveyor) serv es his/her own facilities; and \n• The consumers are the occupants or users (employ ees, students, patrons, visitors, etc.) of the \nfacilities. \n \n \nExamples of Non-Comm unity Water Systems \n \nNon-community water system s of this type include, but are not limited to: \n \n• Schools, colleges, day care ce nters, and simi lar institutions; \n• Clinics, hospitals, public parks, golf courses, fairgrounds, and playgrounds; \n• Hotels, motels, resorts, campgrounds , RV parks and highway rest areas; \n• Businesses such as stores, nurs eries, service stations, restau rants and laundromats; and \n• Industrial plants, food processing facilities, shellfish pro cessors, and temporary farm worker \nhousing. \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix B Page 186 Community Systems with Non-Commu nity System Characteristics \n \nSome community water systems have characteristic s similar to non-commun ity systems, i.e., the \nwater system owner (purveyor) serv es his/her own facilities, and the consumers are the occupants or \nusers of the facilities. \nExamples of such community systems are thos e that serve long-term occupants such as: \n \n• Educational institutions with dormitori es or student and staff residences; \n• Nursing homes, retir ement centers and me ntal institutions; \n• Correctional institutio ns such as prisons; \n• Mobile home parks and apartment complexes; and \n• Military bases with barracks or other personnel housing. \n \nFor CCC program purposes, communi ty systems with non- community system ch aracteristics, such \nas the examples listed above, should develop and im plement a program simila r to the ex ample CCC \nprogram for non-community water syst ems provided in this Appendix. \n \n \nNon-Community Systems with Community System Characteristics \n \nSome non-community water systems may have both non-community an d community systems \ncharacteristics. For example, some non-community systems serve developments where there is a \nmix of recreational and residential connections. In this example, the Purveyor owns the recreational \nfacilities, but the residential conn ections are privately owned. \n \nNon-community systems with characteristics of community and non-community systems should \nbase their written pr ograms primarily on Appendix B. Ho wever, the relevant elements of Appendix \nA (or the DOH Very Small Wate r System CCC Guidance) should be incorporated into the \nAppendix B program plan where ap plicable (to address CCC issu es for the non-purveyor owned \nconnections). \n \n \nInstructions \n \nTo use the example program plan, non-community water systems are encouraged to: \n \n1. Copy the example program file into Word ( download from the web- site or obtain from \nDOH electronically); \n2. Retain the basic formatting and text of the example program and fill in the blanks, deci-\nsion table and check boxes where indicated to “customize” the example program; \n3. Include or delete optional and/or additional language shown in the example program to \nreflect system-specific decisions; and \n4. Insert the completed written CCC program in the Small Water System Management Pro-\ngram (SWSMP) or Water System Plan (WSP). \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix B Page 187 Cross-Connection Control Program \nfor ________________________Water System \n \n \nA. Requirement for Program \n \nThe {Insert PWS name and ID number} hereinafter referred to as “the Purveyor”, has the \nresponsibility to protect the pub lic water systems from contamination due to cross connections. A \ncross connection may be defined as \" Any actual or poten tial physical connection between a potable \nwater line and any pipe, ve ssel, or machine that c ontains or has a probability of containing a non-\npotable gas or liquid, such that it is possible fo r a non-potable gas or li quid to enter the potable \nwater system by backflow.” \n \nAll public water system s are required to develop and impl ement cross-connection control (CCC) \nprograms. The CCC requirements are contained in WAC 246-290-490 of the Group A Drinking \nWater Regulations. The minimum required el ements of a CCC program are as follows: \n \n1. Establishment of legal authority and program policies; \n2. Evaluation of premises for cross-connection hazards; \n3. Elimination and/or cont rol of cross connections; \n4. Provision of qualified personnel; 5. Inspection and testing of backflow preventers; \n6. Quality control of testing process; \n7. Response to backflow incidents; \n8. Public education for consumers; \n9. Record keeping for CCC program; and \n10. Special requirements for reclaimed water use. \n \nOther requirements of a CCC program include: \n \n1. Coordination with the Local Administrative Author ity (LAA), i.e. th e local building or \nplumbing official, re garding CCC activities; \n2. Inclusion of a written CCC pr ogram in a WSP or SWSMP; and \n3. Prohibition of the intentio nal return of used water. \n \n \nB. Program Objectives \n The objectives of th e CCC program are to: \n \n1. Reasonably reduce the risk of contamination of the source of supply and water distribution \nsystem; and \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix B Page 188 2. Comply with the a pplicable plumbing code and other regulations pertaining to the \nconstruction and operation of the Purveyor’s facilities. \n \n \nC. Summary of Program Decisions \n The following table summarizes the major policy and progra m decisions adopted for the {Insert \nPWS name} Water System. [Since the Purveyor and the “custome r” are the same entity in a non-\ncommunity system, only a limited number of prog ram decisions are neede d. For each program \narea, the table shows some availa ble options for decisions that ar e likely to be required for a non-\ncommunity system. {The PWS should mark the option se lected by checking the appropriate \nboxes under “Decision” in the following table.}] \n \n \n \nSummary of Program Decisions for the \n{Insert PWS name} \n \n \nDecision Item Decision \n(Check one op-\ntion per item) \n1. Assessment and Re-Assessment of Cr oss-Connection Hazards (Element 2) \na. By purveyor’s certified CCS \nb. By consultant CCS on contract to water system \nc. By another agency’s CCS (via an inter-agency agreement) \n2. CCS Option - purveyor’s CCC Program Management (Element 4) \na. By purveyor’s certified CCS \nb. By another agency’s CCS (via an inter-agency agreement) \nc. By consultant CCS on contract to water system \n3. Testing of Assemblies (Element 5) \na. By purveyor’s staff or purveyor employed certified BAT \nb. By customer employed (contractor) BAT \n4. Extent of Coordination with Local Administrative Authority (Other Provi-\nsions ) [WAC 246-290-490 (2)(d) \na. Information exchange \nb. Interaction \nc. Joint program \nd. Not applicable at this time (no ne w facilities construction or remodeling) \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix B Page 189 D. Required Elements of Program \n \nThe following program element de scriptions are excerpts from th e CCC regulations found inWAC \n246-290-490. \n \n Element 1:\n Adoption of a written legal instrume nt authorizing the establishment and \nimplementation of a CCC program. \n \nAuthority - The Purveyor is the owner and operator of all facilities on the premises. By stated \npolicy [Alternate Wording if Applicable: “ resolution by the {Insert name of governing \nbody} ”], the Purveyor is authorized and manda ted to protect the water system from \ncontamination via cross connections. A copy of the stated policy or resoluti on is included as part \nof this CCC program. \n \n Element 2:\n Development and implementa tion of procedures and schedules for evaluating new \nand existing service connections to assess the degree of hazard. \n Cross-Connection Hazard Assessments \n \n1. Initial Hazard Assessment\n \n \na. Existing Facilities/Systems - The Purveyor will ensure that a DOH certified cross-\nconnection control specialis t (CCS) conducts an initial cross-co nnection hazard \nevaluation of the {Insert PWS name} Water System within six months after adoption of \nthis CCC program. \n Program Adoption Date:____________ Initial Hazard Survey Date:_____________ \n \nb. New Facilities/Systems – The Purv eyor will ensure that a DOH-certified CCS conducts \nan initial cross-connection hazard evaluation, before water service is provided to any \nnew facilities, irrigation systems et c. served by th e water system. \n \n2. Periodic Resurveys\n – The Purveyor will ensure that a DOH-certified CCS periodically \nresurveys for cross-connection hazards the {Insert PWS name} Water System. Resurveys \nwill be conducted: \n \na. Every 2 years after the ini tial hazard survey {insert altern ate frequency if appropriate}; \nand \n \nb. Upon any changes in use of the premises, plumbing or distribution facilities. \n \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix B Page 190 Element 3: Development and implementa tion of procedures and schedules for elimination \nand/or control of cross connections. \n \nPolicy - The following procedures appl y to all new and existing buildin gs or areas of water use in \nthe {Insert PWS name} Water System: \n \n1. Mandatory Premises Isol ation for High-hazard Buildi ngs, Facilities or Systems – The \nPurveyor will ensure that wate r services to all buildings, fac ilities or systems of the type \ndescribed in Table 9 of WAC 246-290-490 (i.e., high hazard) are isolated by a DOH-\napproved reduced pressure backflow assembly (RPBA). \n \n2. Compliance with Uniform Plumbing Code/Additional Premises Isolation Requirements – \nThe Purveyor will ensure that all buildings or areas of water use: \n \na. Comply with the current plumbing code (amended for Washington) adopted by the State \nBuilding Code Council; and \n \nb. [Purveyor’s Optional Additional Language “Be isolated with an approved double \ncheck valve assembly (DCVA) , where the CCS believes th e plumbing code does not \nprovide protection commensurate with the assessed degree of hazard.” ] \n \n3. Plumbing/Water System Design – The Purveyor will ensure th at the design of the plumbing \nand/or water system incorporates DOH-a pproved backflow prevention assemblies \nappropriate for the degree of hazard assessed by the Purveyor’s CCS. Initial \nplumbing/water system design and subsequent design modifi cations will be subject to \nreview by a DOH-certified CCS for cross-connection hazards. \n 4. Approved Backflow Assemblies\n - The Purveyor will ensure that DOH-approved backflow \nprevention assemblies protect th e public water system from contamination. DOH-approved \nassemblies are assemblies that app ear on DOH's pub lished list of Backflow Prevention \nAssemblies Approved for Instal lation in Washington State . The Purveyor w ill keep on file \ndocumentation regarding the approval status of all backflow assemblies installed to protect \nthe public water system. \n \n5. Installation Standards – The Purveyor w ill ensure that all approved backflow preventers are \ninstalled in: \n \n• The orientation for which they are approved; \n• A manner and location that facilitates thei r proper operation, maintenance, and testing \nor inspection, and in compliance with safety regulations; \n• A manner and location that protects th em from flooding and freezing; and \n• Accordance with the installa tion standards outlined in th e most recently published \neditions of the PNWS-AWWA Cross-Connection Control Manual , or the USC-\nFCCCHR Manual Of Cross-Connection Control, unless the manufacturer’s require-\nments are more stringent. \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix B Page 191 Element 4: Provision of qualified personne l, including at least one pe rson certified as a CCS, to \ndevelop and implement the cros s-connection cont rol program. \n \n1. Program Administration - The Purveyor or his author ized agent is responsible for \nadministration of the CCC program. \n \n2. DOH-Certified CCS – The Purveyor will employ, or have available on staff, at least one \nperson certified by DOH as a CCS to develop and implement the CCC program. When no \nstaff or employees are qualified, the Purveyor will retain a DOH-certi fied CCS on contract \nto provide the necessary expertise and services. \n \n3. CCS Duties – The Purveyor will ensu re that a DOH-certified CCS does the following: \n \n• Performs CCC hazard evaluations; \n• Determines the type of backflow preventer to be installed; \n• Inspects backflow preventers (to ensure pr otection is provided commensurate for the \ndegree of hazard, for correct installation and for approval status); \n• Reviews assembly test reports; \n• Reports and investigates backflow incidents; and \n• Completes reports (Annual Activities, Program Summar y and Exception Reports) \nrequired by WAC 246-2 90-490 and submits them upon request to DOH. \n \n4. Current CCS Information – The following table(s) shows information relate d to the CCS(s) \ncurrently responsible for development, impl ementation and oversight of the Purveyor’s \nCCC program: \n \n \nName of CCS \nAddress \nCity, State, Zip \nTelephone Number \nCCS Certification Number \n \n{Insert or attach additional tables, if the Pu rveyor has more than on e CCS that is involved \nwith CCC program implementation.} \n \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix B Page 192 Element 5: Development and implementati on of procedures to ensu re that approved backflow \npreventers are inspected and /or tested (as applicable). \n \n1. Backflow Preventer Inspection and Testing – The Purveyor will ensu re that all backflow \npreventers in the {Insert PWS name} Water System are inspected and tested in accordance \nwith WAC 246-290-490. The Purveyor will arrange to have all backflow preventers \ninspected and tested (if applicable): \n \n• At the time of installation; \n• Annually after installation (minimum frequency) or more frequently; \n• After a backflow incident; and \n• After an assembly is repaired, reinstalle d or relocated (or air gap re-plumbed). \n \n2. DOH-Approved Test Procedures - Per WAC 246-290- 490 (7)(d), the Purv eyor will ensure \nthat all assemblies protecting th e public water system from contamination are tested in \naccordance with DOH-approved field test procedures. \n \n Element 6:\n Development and implementation of a ba ckflow prevention assembly testing quality \ncontrol assurance program. \n \n1. DOH-Certified Backflow A ssembly Tester (BAT) Required - The Purveyor will ensure that \na DOH-certified BAT tests all b ackflow assemblies that prot ect the public water system \nfrom contamination. \n \n2. BAT Documentation Requirements - Prior to engaging a BAT to test assemblies within the \nwater system, the Purveyor will require the tester to document that he/she: \n \na. Is currently certif ied by DOH as a BAT; \nb. Has appropriate assembly testing equipm ent (make, model and serial number); and \nc. Has had the testing equipmen t verified for accuracy and/or calibrated within the past 12 \nmonths. \n \n3. Alternate BAT Approach - In lieu of the above documentation, the Pu rveyor will engage a \nBAT who is currently on an “A pproved” list developed by a public water system of 1000 \nconnections or more having a BA T quality assurance program a cceptable to DOH (i.e., that \nas a minimum meets the BAT docu mentation requirements stated above). {If this option is \nchosen, identify the name of the public water system whos e list is used.} \n [Optional Alterna tive Language: “The Purveyor will employ one or more DOH-certified \nBATs. The Purveyor wi ll ensure that the BA Ts are currently cer tified, maintain their \ncertifications in good standing, and that all testing equipment is of the appropriate type and \nis verified for accuracy a nd calibrated, if needed, at least once annually.”] \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix B Page 193 4. Quality Assurance – The Purveyor’s CCS will review within 30 da ys of receipt \ninspection/test report forms su bmitted by the BAT and follow-up on any reports that are \nfound to be deficient in any way. \n \n \nElement 7: Development and implementation (when ap propriate) of proced ures for responding \nto backflow incidents. \n \n1. Backflow Incident Response Plan - The Purveyor will develop a Backflow Incident \nResponse Plan in consultation with the Purveyor’s CCS. It will be included: \n \na. In the {Insert PWS name } Water System’s overall emergency plan. \nb. {Optional language : “In the CCC plan” }. \n \nThe incident response plan will include, but not be limited to: \n \n• Notification of affected users (employees, occu pants, etc.); \n• Notification and cooperation with othe r agencies, such as DOH, the Local \nAdministrative Author ity, and the local health jurisdiction; \n• Identification of the so urce of contamination; \n• Isolation of the source of contam ination and the affected area(s); \n• Provision of alternate supp lies of drinking water; \n• Cleaning, flushing and other mitigation measures; and \n• Corrective action to prev ent future occurrences. \n \n[Optional Alternative : The Purveyor has devel oped a Backflow Incident Response Pl an and it \nis included here or in the water system’s overall emergency plan {select whichever is \napplicable}. ] \n \n2. Technical Resources - The Purveyor will use {Optional Alternative : “has used” } the \nmanual, Backflow Incident Investigation Procedures , First Edition, 1996 , published by the \nPNWS-AWWA as a technical resource and/or supplement to the Backflow Incident \nResponse Plan. \n \nElement 8 :\n Development and implementation of a cr oss-connection public education program. \n \n1. Public Education Program - The Purveyor’s public educa tion program for th e Purveyor will \nconsist of distribution of CCC-re lated educational material (handouts) to (and/or holding \nspecial cross-connection classes for) staff an d other water users as appropriate. The \neducation program will emphasize the respon sibility of the water users in preventing \ncontamination of the water su pply. Information distributed will include, the following \nsubjects (as applicable): \n \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix B Page 194 a. Cross-connection h azards in general; \nb. Cross-connection hazards typica l to the Purveyor’s premises; \nc. Irrigation system haza rds and corrective actions; \nd. Fire sprinkler cro ss-connection hazards; \ne. Importance of annual inspection or testing of backflow preventers; and \nf. Thermal expansion in ho t water systems when back flow assemblies are used. \n \n2. Educational Materials - The Purveyor has adapted {Optional language: “will adapt” } \nexisting educational material s from organizations such as PNWS-AWWA, ABPA, SRC4 \nand The Western Washington Cr oss-Connection Prevention Pr ofessionals, so that the \ncontents are applicable/relevant to the Purveyor’s water system {Optional language: “will \ndevelop new educational materials” }. Samples of the Purveyor’s educational materials are \nattached. \n3. Frequency\n - The Purveyor will distribute, every two to three years, [Optional language: \n“annually” if high-haza rd facilities/ systems/ activities are on-site” ] information brochures \nto (or hold special classes for) new staff, water users, and/or occupants that could \ninadvertently create cross connections in the Purveyor’s water system. \n \n4. Public Educa tion Implementation – The Purveyor will documen t who has received public \neducation information in the following table (describe who the Purvey or has educated, by \nwhat means and when). \n \nMethod \n Target Audience \nBrochure Class Date Provided \n \n \n \n \n \nElement 9: Development and maintenance of cr oss-connection control records. \n \n1. Required CCC Records - The Purveyor will ma intain records of th e following types of \ninformation: \n \na. CCC hazard evaluation results; \nb. Backflow preventers requir ed by the CCS to protect th e public water system (may \ninclude both premises isolation and in-premises preventers); \nc. Air gap location, installation and inspection dates, inspection results , and name of person \nconducting inspections; \nd. Backflow assembly location, description (type, manufacturer, ma ke, model, size and \nserial number), installation, inspection and test dates, test results, an d person performing \ntests; and \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix B Page 195 e. Information on AVBs used fo r irrigation system applica tions, including manufacturer, \nmake, model, size, dates of installatio n and inspections, and person performing \ninspections. \n \n2. CCC Reports Required to be Prepared and Submitted - The Purveyor will prepare the \nfollowing required reports and subm it them to DOH as indicated: \n \na. CCC Program Activities Annual Summary Report: complete for each calendar year \nand send to DOH when requested. \nb. CCC Program Summary Information Report: complete and submit when requested \nby DOH or when there are significant polic y changes to th e CCC program. \nc. Backflow Incident Reports: complete and submit to DOH with the CCC Program \nActivities Annual Summary Repo rt unless otherwise requeste d by DOH. As a courtesy, \nthe Purveyor will subm it a copy to the PNWS -AWWA CCC Committee; and \nd. Exceptions to Mandatory Premises Isolation Repo rt (if applicable): complete one \nreport for each exception granted in a calendar (reporting) year and submit to DOH with \nthe CCC Program Activities Annual Summary Report. \n \n3. CCS Review - The Purveyor’s CCS will complete and/or review th e CCC reports for \naccuracy. \n \n \nElement 10: Additional cross-connect ion control requirements for reclaimed water. \n \nAt this time, the {Insert PWS name} Water System does no t receive or distribut e reclaimed water. \nIn the event that reclaimed water use is proposed within the System service area, th e Purveyor will \nincorporate into th e CCC program and comply with all cross-connection control requirements \nmandated by the Permitting Au thority in accordance with Chapter 90.46 RCW. \n \n[Alternative Option , if PWS receives/distributes reclaimed water : “The {Insert PWS name} Wa-\nter System receives/distributes reclaimed wate r within its service area. Additional CCC re-\nquirements are listed in the permit issued in accordance with C hapter 90.46 RCW. A copy of the \nCCC requirements pursuant to the permit is atta ched as part of this CCC program. The Pur-\nveyor is currently in compliance with the requirements of the permit” ]. \n \nE. Other Provisions \n \n1. Coordination With Local Administrative Authority: Both WAC 246-290-490 and the \nUniform Plumbing Code (as amended for Washington) require coordination between \npurveyors and the Local Administrative Auth ority in all matters concerning cross-\nconnection control. \n \na. Identification of Local Administrative Authority (LAA) –the LAA that enforces the \nplumbing code for th e premises served by the Purveyor is {Insert name of entity, \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix B Page 196 contact person name, address, phone, e-mail etc. here }. \n \nb. Coordination with Local Administrative Authority - A copy of this cross-connection \ncontrol program has been provided to {Insert name of Local Administrative Authority \nthat enforces the Uniform Plumbing Code } on {Insert date}. \n \nc. Description of Co ordination with LAA – The Purveyor coordina tes with the LAA as \nfollows: {Indicate whether coordination cons ists of informa tion sharing only, \ninteraction, join t program, etc. }. \n \nd. Delineation of Responsibilities – The Purveyor [ Optional language “and the LAA are ”] \nresponsible for the foll owing CCC activities in the {Insert PWS name} Water System. \nThe respective responsibililties of the two parties are delineat ed as summarized in the \nfollowing table: \n \n \ne. Notification of Local Administrative Authority - The Purveyor w ill inform the LAA \nwhen there is a: \n \n• Change in plumbi ng that requires a plumbing permit; \n• Change in the use of any part of the premises that alters the cross-connection hazard \nlevel; or \n• Backflow incident. \n CCC \nResponsibility Purveyor Local Administrative \nAuthority \nNew Construction Plan \nReviews \nNew Construction Hazard \nEvaluations/Inspections \nExisting Facilities Hazard \nEvaluations/ \nInspections \na. Initial \nb. Periodic Resurveys \nAssembly Testing \nRecord-Keeping/Data Management (hazard \nevaluations, test reports, etc.) \nBackflow Incident Response \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix B Page 197 2. Prohibition of Return of Used Water: The water system must prohi bit the intentional return \nof used water to the Purveyor’s distri bution system per WAC 246-290-490 (2)(d). \n \na. Definition - Used water is defined as water that has left the control of the Purveyor. \n \nb. Used Water Policies - Since the Purveyor owns both the water supply fa cilities and the \nplumbing systems, the water has not, technically, left th e control of the Purveyor. \nHowever, for protection of the drinking water quality and the health of the \nemployees/building occupants, the Purveyor will institute the following policies: \n \n• Plumbing design or change s will not allow water that has been used for such \npurposes as heating or cooling to be retu rned to the drinking water system; and \n \n• Buildings and facilities with two or more water serv ice connections that are \ninternally connected such as to provi de a flow–through condition will have each \nservice isolated by either an RPBA or DCVA, depending upon the level of hazard \nassessed by the Purveyor’s CCS. \n \nF. Relationship to Other Pla nning and Program Operations \n The Purveyor will consider the impacts of the CCC program upon the planning and operations \nrequirements of the {Insert PWS name\n} Water System. Such consider ations include, but are not \nlimited to, ensuring that: \n1. The design of the water distribution system (and plumbing system) provides for expected \nhead losses resulting from installation of backflow assemblies; \n2. CCC program personnel are consulted in the design of water and wastewater treatment \nfacilities and when proposals are made to receive or distribute reclaimed water; \n3. Operations under normal and abnormal conditions do not result in excessive pressure \nlosses; \n4. Cross-connection issues are considered in water quality investigations; and \n5. Adequate financial and administrative res ources are provided to carry out the CCC pro-\ngram. \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix B Page 198 Legal Instrument for a Non-community Water System CCC Program \n \nBackground \n \nWhere the Purveyor owns both the public water sy stem and the facilities served by the water sys-\ntem (i.e., the plumbing systems up to the free-flow ing tap), the Purveyor may already have the \nlegal authority to establish a CCC program. Propr ietors of restaurants or small businesses that \nhave their own water systems are examples where the legal authority already exists. In such \ncases, the Purveyor may not require a formal le gal instrument, but only a declaration of owner-\nship of the system and facilities served and th e intent to establish and implement a CCC program \nconsistent with WAC 246-290-490. In other cases, such as school districts, it ma y be necessary for the governing body (such as the \nSchool Board) to adopt a resolution or similar doc ument to establish the authority and intent to \nadopt and implement a CCC program. For this reason, a sample resolution for a non-community \nwater system is presented below. \n \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix B Page 199 Resolution No. ________ \n Cross-Connection Control Policy \n \n \nFinding of Fact: \n \nWhereas it is the responsibility of a wa ter purveyor to provide water that m eets Washington State \nwater quality standards to all consumers occu pying or visiting the Purveyor’s premises; \n Whereas\n it is the water purveyo r's responsibility to prev ent the contamination of the public water \nsystem from the source of supply (i.e., to the customer's connectio n to the service pipe or meter); \n Whereas\n the Purveyor also owns the facilities and the pl umbing systems that de liver the water to the \nconsumers; \n \nWhereas it is a requiremen t of the Washington State Department of Health for the Purveyor to \nestablish a cross-connection control program satisfactory to DOH; \n \nNow be it resolved that the {Insert PWS name }, hereinafter referred to as “the Purveyor”, \nestablishes the following policy to protect the Purv eyor-owned water system and plumbing facilities \nfrom the risk of contamin ation. For public health and safety, this policy sh all apply equally to all \nnew and existing facilities. \n \n \nA. Definitions \n \nUnless otherwise defined, all terms used in this resolution pertaining to cross-connection control \nhave the same definitions as those contained in WAC 246-290-010 of the Washington State \nDrinking Water Regulations an d Chapter 2 of the Uniform Pl umbing Code as amended for \nWashington State (Chapter 51-56 WAC). \n \nB. Administrative Provisions \n \n1. The Purveyor shall engage th e services of a Department of Health (DOH) certified cross-\nconnection control specia list (CCS), by employment or by co ntract, to develop, implement, \nand be in responsible charge of the { {Insert PWS name } Water System’s CCC program. \n \n2. The Purveyor, under the direction of the CCS as provided for in B-1, shall prepare a written \nCCC program plan to implement the requirements of th is resolution. The written CCC \nprogram plan will be consistent with this reso lution and shall comply with the requirements \nof Chapter 246-290 WA C (Group A Drinking Water Regulations) and with Chapter 51-56 \nWAC (Uniform Plumbing Code as amended for Washington). \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix B Page 200 \n3. The Purveyor will us e the most recently pub lished editions of the fo llowing publications as \nreferences and technical aids: \n \na. Manual of Cross-Connection Control, published by the Foundation for Cross-\nConnection Control and Hydraulic Research, University of Southern California, or latest \nedition thereof. \n \nb. Cross Connection Control Manual, Ac cepted Procedures and Practice, published by the \nPacific Northwest Section, Amer ican Water Works Association, or latest edition thereof. \n \nc. Cross-Connection Control Guidance Manual for Small Water Systems, published by the \nWashington State Department of H ealth, Office of Drinking Water. \n \n4. The Purveyor shall incorporate the written program plan into the Water System Plan or \nSmall Water System Management Program as ap plicable and shall su bmit the program to \nDOH for approval when requested. \n \n \nC. Technical Provisions \n \n1. The Purveyor’s CCS shall perform hazard asse ssments of all water system and water-using \nfacilities owned by the Purveyor acco rding to a reason able schedule. \n 2. The Purveyor shall eliminate all cross-connect ions that are discovered by the CCS. Where it \nis impossible or impractical to eliminate the cross-connecti ons, they shall be protected \nagainst by installation of a backflow preventer. The ty pe, location and schedule of \ninstallation of the backflow preventer shall be as recommended by the Purveyor’s CCS. \n 3. When a facility or building owned or served by the Purveyor is of a type included on Table \n9 of WAC 246-290-4 90(4), the building or facility plumbing system shall be isolated from \nthe rest of the water system by installation of a reduced pressure principle backflow \nassembly (RPBA) or air gap (AG). The prem ises isolation backflow preventer will be \ninstalled at a location recommended by the CCS. \n 4. Cross-connection hazards foun d within buildings owned by th e Purveyor will be protected \nagainst as according to the Uniform Plumbing Code (UPC) as amended for Washington. \nFor cross-connection hazards and/or specific plum bing fixtures that are not address in the \nUPC, the Purveyor will provide protection in accordance with th e fixture protection tables \nfound in the most recently pu blished edition of the PNWS-AWWA Cross Connection \nControl Manual . \n 5. All backflow preventers ow ned by the Purveyor shall be inspected and/or tested in \naccordance with WAC 246-290-490 (i.e. at the time of installation, after repair, \nreinstallation or relocation and after a backflow incident). After the in itial test, the Purveyor \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix B Page 201 will ensure that Purveyor-owned backflow preventers are tested at least once annually. The \nPurveyor will ensure that a purveyor-approve d, DOH-certified backfl ow assembly tester \n(BAT) tests all assemblies. The Pu rveyor will reinstall, repair or replace as soon as feasible \nany backflow preventers that fa il an inspection and/or a test. \n \n6. The Purveyor shall maintain records of hazard assessments, backflow preventers, and \nbackflow preventer tests and inspections. The Purveyor shall make a ll data concerning the \nCCC program available to DOH when requested. \n \n7. The Purveyor shall allocate resources as necessary to impl ement the provis ions of this \nresolution and the CCC program adopted. \n \nD. Other Provisions \n \nIf any provisions in this resolutio n, or in the written CCC progra m plan adopted by the Purveyor, \nare found to be less stringent than or inconsiste nt with the Drinking Water Regulations (Chapter \n246-290 WAC), the Uniform Plumbi ng Code (Chapter 51-56 WAC), or any other Washington State \nstatutes or rules, the more stringent st atute, rule, or regulations shall apply. \n \nResolution Passed: _______________________ \nEffective Date: __________________________ \n Signatures: ______________________________ \n \n _____________________________ \n _____________________________ \n \n_____________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Page 202 \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix C Page 203 Appendix C \nBackflow Incident Response Plan \nfor a Small Water System \n \n \nA. General \n \nThis Backflow Incident Response Plan should be considered a supplement to the Purveyor’s \nEmergency Plan. \n \nPurveyors should immediately begin a backflow incident investigation whenever the initial \nevaluation of a water quality complaint indicates that: \n \n1. A backflow incident has occu rred (i.e., drinking water supp ly has been contaminated) or \nmay have occurred; or \n \n2. The complaint can’t be explained as a \"normal\" aesthetic problem. \n \nAlso, whenever a water main break (or power outage for pumped systems) causes a widespread loss \nof water pressure in the system (creating back siphonage conditi ons), purveyors should initiate a \ncheck of distribution system wate r quality as a precurso r to the need for a backflow incident \ninvestigation. \n \nWAC 246-290-490 requires purveyor s to notify DOH, the Local Administrative Authority and local \nhealth jurisdiction as soon as possible, but no late r than the end of the ne xt business day when a \nbackflow incident contaminates the potable water supply (in the distributio n system and/or in the \ncustomer's plumbing system). Purveyors shoul d include a list of emergency contact telephone \nnumbers at the beginning of the water system’s O & M Manual, so that the information is readily \navailable when an incident occurs. A backflow incident investigation is often a team effort. The investigation should be made by or \ninitially led by the DOH-cer tified Cross-Conne ction Control Specialist em ployed by the Purveyor. \nThe investigation team may include state health (regional) staff, local health personnel and/or local \nplumbing inspectors. \n \nPurveyors can get more detailed gu idance on how to respond to a backflow incident from the \nmanual, Backflow Incident Investigation Procedures , published by the Paci fic Northwest Section, \nAmerican Water Works Association (PNWS-AW WA). Contact inform ation for the PNWS-\nAWWA is provided in Appendix F. \n \n \n \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix C Page 204 B. Short List of Tasks \n \nSmall water system purveyor s can use the following sh ort list of tasks as in itial guidance for dealing \nwith backflow incidents. Purv eyors should consult the most recently pub lished edition of the \nPNWS-AWWA Backflow Incident Investigation Procedures Manual referenced above for greater \ndetail as soon as possible after learning of a po ssible or confirmed backfl ow incident. Note: the \nwater system is referred to as th e Purveyor in the short task list. \n \n1. Customer Notification \n \na. As soon as possible, the Purveyor will no tify customers not to consume or use water. \n \nb. The Purveyor will st art the notification with the custom ers nearest in lo cation to the \nassumed source of contaminat ion (usually the customer(s ) making the water quality \ncomplaint). \n \nc. The Purveyor will inform the customer about the reason for the backflow incident \ninvestigation and the Purveyor's efforts to re store water quality as soon as possible. The \nPurveyor will let the customer know th at customers will be informed when they may use \nwater, the need to boil wate r used for consumption until a satisfactory bacteriological \ntest result is obtained from the lab, etc. \n d. Where a customer cannot be contacted immediately, the Purveyor will place a written \nnotice on the front door handle, and a follow-up visit will be made to conf irm that the \ncustomer received notice ab out the possible contaminat ion of the water supply. \n \ne. When dealing with a backflow incident, the Purveyor will let customers know that it \ncould take several days to identify the sour ce and type of contaminant(s) and to clean \nand disinfect the distribution system. \n \n2. Identification of Source of Contamination \n \na. The Purveyor will give consideration to the distributio n system as a potential source of \nthe contaminant (e.g., air valve inlet below ground). \n b. The Purveyor will not star t flushing the dist ribution system until the source of \ncontamination is iden tified (flushing may aggravate th e backflow situation, and will \nlikely remove the contaminant before a water sample can be collected to fully identify \nthe contaminant). \n \nc. The Purveyor will conduct a house-to-hou se survey to search for the source of \ncontamination and the extent that the cont aminant has spread through the distribution \nsystem. Note: a check of wa ter meters may show a return of water (meter running \nbackward) to the distribution system. \n \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix C Page 205 d. When the cross connection responsible for the system contamination is located, the \nPurveyor should discontinue water serv ice to that customer , until the customer \ncompletes the corrective actio n ordered by the Purveyor. \n \n3. Isolation of Contaminated Portion of System \n \na. The Purveyor will isolate the portions of the system that are susp ected of being \ncontaminated by closing isolat ing valves; leav e one valve open to en sure that positive \nwater pressure is maintained th roughout the isolated system. \n \nb. The Purveyor will be sure to notify all aff ected customers in the is olated area first and \nthen notify other customer s served by the system. \n \n4. Public Health Impacts \n \na. The Purveyor will se ek immediate input fr om and work wi th state and local health \nagencies to accurately comm unicate and properly mitigate potential health effects \nresulting from the backflow incident. \n b. If appropriate, the Purveyor will refe r customers that may have consumed the \ncontaminant or had their household (or commer cial) plumbing systems contaminated to \npublic health perso nnel and Local Admini strative Authorities (p lumbing inspectors). \n \n5. Cleaning/Disinfecting the Distribution System \n \na. The Purveyor will develo p and implement a pr ogram for cleaning the contaminated \ndistribution system consistent with the contaminant(s) identified. \n b. Where both chemical and b acteriological contamination has occurred, the Purveyor will \ndisinfect the system after the remo val of the chemical contaminant. \n c. Where any bacteriological co ntamination is suspected, th e Purveyor will provide field \ndisinfection. \n \nC. Additional Info rmation on Cleaning /Disinfecting the Di stribution System \n \nMost chemical or physical contaminants can be flushed from the water distribution system or \ncustomer's plumbing system with adequate flushing velocity. However, this may not be the case in \nsystems where scale and corrosion deposits (e.g., tuberculation on old cast iron mains) provide a \nrestriction to obtaining adequate flushing velocity , or where chemical deposits or bacteriological \nslimes (biofilm) are present (on which the chemical contaminant may adhere). \n \n_______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix C Page 206 To remove a chemical or physical contaminant from the distribu tion system, purveyors may need \nto: \n \n1. Physically clean the affected ar ea using foam swabs (pigs); and/or \n \n2. Alter the form of the chemical contaminant (e.g., through oxidation using chlorination or \naddition of detergents). \n When adding any chemical (including chlorine) to remove a contaminant from the distribution \nsystem, it is essential th at the Purveyor fully understand th e chemistry of th e contaminant. Adding \nthe wrong chemical could make the contamin ant more toxic to customers and/or more \ndifficult to remove from the distribution system. \n To disinfect water mains using the \"slug\" or \"continuous flow\" meth od, a field unit sh ould be used \nfor chlorine injection, such as a chemical fe ed - metering or propor tioning pump for sodium \nhypochlorite. Purveyors should contact the appropriate DOH region al office to discuss proposed \napproaches to contaminant removal and disi nfection prior to taking corrective action. \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 207 Appendix D \nProgram Administration Documents \n \n \nAppendix D contains sample forms, letters and standard installation dr awings. Purveyors may use any or \nall of these documents as they administer their cro ss-connection control programs. The content of these \nforms and letters may be adjusted where appropriate to meet system-specific needs or program require-\nments. \n \n Sample Forms \n \nThe first section of Appendix D contains the following forms: \n \n• Application for Water Serv ice (service agreement); \n• Backflow Assembly Test/AG Inspection Report; \n• Backflow Assembly Test/AG Inspection Report - File Record; \n• Backflow Assembly Testers - Pre- Approved for Submitting Test Reports; \n• Preliminary Hazard Assessment Form – Non-Residential Customers; \n• Cross-Connection Control Survey Re port – Non-Residential Customers; \n• Water Use Questionnaire - Residential Customers; and \n• Backflow Incident Report Form. \n \n \nSample Letters \n \nThe second section of Append ix D contains sample lett ers from the Purveyor to the customer relating to the \nadministration of a cross-connection c ontrol program. These letters include: \n \n• Request to Complete Water Use Questionnaire; \n• Notice of Survey of Premises; \n• Request to Install Backflow Prevention Assembly; \n• Request to Submit Test of Backflow Prevention Assembly; and \n• Second Notice to Test Ba ckflow Prevention Assembly . \n \n \nSample Standard Installation Drawings \n \nThe last section of Appendix D contains the following sample installation drawings: \n \n• Standard Details - Single Family Resi dential Service Conn ection Options; and \n• Backflow Prevention Assemblies - Recomme nded Premises Isolation Installations. \n \n \n \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 208 Application for Water Service (Service Agreement) \n \n \nOwner's Name: ______________ ___________________ __Phone: ________ _______________ \n \nMailing Address: ___________ __________________ __________________ ________________ \n \nLocation Address: ________ __________________ _________________ __________ _________ \n \nLegal Description : _____________________ _____________ _______________ _____________ \n \n \n1. The undersigned applicant hereby applies for a wa ter connection to the above-described property. \n \n2. The applicant is the owner of the described property or the authorized agent of the owner. \n3. As a condition of the { Insert PWS Name\n}, hereinafter referred to as the Purveyor, providing and continuing \nservice to the above described property, the property owner, by signing this application, agrees to comply with: \n \na. All provisions of the attached current Ordinance, Resolution and/or By-laws of the Purveyor, or latest revision \nthereof; and \n b. Other such current (attached) and future rules and regulations that govern the Purveyor's water system. \n \n4. The property owner specifically agrees: \n \na. To install and maintain at all times his plumbing system in compliance with the most current edition of the \n{PWS to insert applicable code, i.e. city, county and/or state}\n Plumbing Code as it pertains to the \nprevention of potable water system contamination and prevention of pressure surges and thermal expansion in \nhis water piping (for thermal expansion, it shall be assume d that a check valve is installed by the Purveyor on \nthe water service pipe); \n b. Within 30 days of the Purveyor's request (or alternate schedule acceptable to the Purveyor): \n \ni) To install, maintain, test and repair in accordance with the Purveyor’s cross-connection control standards \nall premises isolation backflow prevention assemblies re quired by the Purveyor to be installed to protect \nthe public water system from contamination; and \nii) To report to the Purveyor the results of all assembly tests and/or repairs to the premises isolation backflow \nprevention assemblies. \n \nc. As a condition of the Purveyor waiving the requiremen t for premises isolation by a reduced pressure backflow \nassembly on the property owner’s service pipe: \n \ni) To authorize the Purveyor to make periodic water use surveys of the premises; ii) Within 30 days of the Purveyor's request, to instal l, test, maintain, and repair in accordance with the \nPurveyor's cross connection control standards (copy received with this application) all in-premises backflow prevention assemblies that provide equivalent protection for the Purvey or's distribution system; \niii) To report to the Purveyor within 30 days of ob taining the results of all tests and repairs to the \naforementioned backflow pr evention assemblies; and \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 209 iv) To report to the Purveyor any change to the plumbing system. \n \nd. Not to make a claim against the Purveyor or its agen ts or employees for damages and/or loss of production, \nsales or service, in case of water pressure variations , or the disruption of the wa ter supply for water system \nrepair, routine maintenance, power outa ges, and other conditions normally ex pected in the operation of a water \nsystem. \n \ne. To pay his water bill within 30 days from the date of billing. \n \nAfter 30 days of the Purveyor mailing a written notice to the property owner of his breach of this agreement, the \nPurveyor may terminate water service. \n \nIn the event legal action is required a nd commenced between the parties to this agreement to enforce the terms and \nconditions herein, the substantially prevailing party shall be entitled to reimbursement of all its costs and expenses \nincluding but not limited to r easonable attorney's fees as determined by the Court. \n \nApplicant's Signature ______________________________ Date __________________ \n \nAttachments received (have customer initial): \n \n Water Rates/Charges _______________ \n Service Connection Information _____________ \nWater Service Policy _ _______________ \n \nFor Purveyor Use Only \n \n_____/______/____ Date connection fee received _____/_____/____ Date Water Use Survey questionnaire received \n \n_____/_____/____ Date risk assessment completed; by ________________ \n{Insert Name of CCS} \n _____/_____/____ Date customer notified of requirement for BPA \n_____/_____/____ Date BPA installation approved \n _____/_____/____ Date BPA test report accepted \n \n_____/_____/____ Date BPA information entered into database \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 210 Backflow Prevention Assembly Test/Air Gap Inspection Report \n \nPWS ID _______________ WATER SYSTEM NAME ______________________________________________ COUNTY ___________________ \n \nACCOUNT #_____________________ BACKFLOW PREVENTER ID __________________ TEST REPORT ID _________ \n \nNAME OF PREMISES _______________________________________________________________ Commercial † Residential † \n \nSERVICE ADDRESS CITY ZIP \n \nCONTACT PERSON PHONE ( ) FAX ( ) \n \nLOCATION OF ASSEMBLY \n \nDOWNSTREAM PROCESS DCVA † RPBA † PVBA † OTHER _________ \n \nNEW INSTALL † EXISTING † REPLACEMENT † OLD SER. # ____________ PROPER INSTALLATION? YES † NO † \n \nMAKE OF ASSEMBLY MODEL SERIAL NO . SIZE \n \nINITIAL \n TEST \n \nPASSED † \nFAILED † \n \n DCVA / RPBA \nCHECK VALVE NO.1 \n \nLEAKED † \n \n______________ PSID DCVA / RPBA \nCHECK VALVE NO.2 \n \n \nLEAKED † \n \n_________________PSID RPBA \n \nOPENED AT _____ PSID \n \n#1 CHECK _______PSID \n \nAIR GAP OK? ____ __ PVBA/SVBA \n AIR INLET \n \nOPENED AT_______PSID\n \nDID NOT OPEN † \n \n NEW \n PARTS AND REPAIRS\n \n CLEAN REPLACE PART \n \n † †_______ \n † †_______ \n † †_______ \n † †_______ CLEAN REPLACE PART \n \n † †_______ \n † †_______ \n † †_______ \n † †_______ CLEAN REPLACE PART \n \n † †_______ \n † †_______ \n † †_______ \n † †_______ CHECK VALVE \n \nHELD AT _________PSID\nLEAKED † \n ____________________ \nCLEANED † \nREPAIRED † \nTEST AFTER \nREPAIRS \nPASSED † \nFAILED † \nLEAKED † \n________________PSID LEAKED  \n† \n________________PSID \nOPENED AT _____PSID #1 CHECK_______PSID AIR INLET _______ PSID CHK VALVE ______PSID\n \nAIR GAP INSPECTION : Required minimum air gap separation provided? Yes † No† Detector Meter Reading ____________ \n \nREMARKS: ______________________________________________________________________ LINE PRESSURE ______ PSI \n \n_________________________________________________________________________________ CONFINED SPACE? ______ \n \n I certify that this report is accurate, and I have used WAC 246-290-490 approved test methods and test equipment. \n \nTESTERS SIGNATURE: ____________________________________ CERT. NO. _____________ DATE _____ /_______/_____ \n \nTESTERS NAME PRINTED: _________________________________ TESTERS PHONE # ( ) _____________________ \n \nREPAIRED BY: _____________________________________________________________________DATE ____/______/______ \n \nFINAL TEST BY: CERT. NO. DATE _____/_____/______ \n \nCALIB/VERIF DATE __ /__ /___ GAUGE # __________ MODEL___________ SERVICE RESTORED? YES † NO † \n \n(SPECIALTY) PLUMBER CERT. NO. _____________________ CONTRACTOR LICENSE NO. _______________________ \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 211 Backflow Prevention Assembly Test/Air Gap Inspection Report \nFile Record \n \nPWS Assigned Inventor y Number: ___________ \n \n \nName of Premises: \n Premises Address: \n Location of Assembly: \n Type of Hazard Isolated: \n Assembly Type: As sembly Size (inches): \n Make: Model: Serial No.: \n Date Installed: D OH-Approved? Y N \n \nDate \nTest Notice \nIssued Date of \nTest Report Name of \nCertified \nTester (BAT) BAT \nCertification \nNumber Results \nSatisfactory? \nY/N+ Repairs \nMade? \nY/N* \n \n \n \n \n \n \n+Attach all Backflow Assembly Test/AG Inspection Report forms. \n*Include retest after repair s as a separate line. \n \n \nComments/Notes (attach additional sheets if necessary): \n__________________ ______________________ _______________ _____________ _____________ \n __________________ ______________________ _______________ _____________ _____________ \n \n__________________ ______________________ _______________ _____________ _____________ \n \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 212 Backflow Assembly Testers Pre-Approved for \nSubmitting Test Reports to the {Insert PWS name} \n{Insert date here} \n \n \nThe following table lists Backflow Assembly Testers (BATs) that are pre-approved to test backflow \nassemblies in our water system’s se rvice area. We compile d the list by identifying individual testers who \nrequested to work in this area or who previously submitted properly completed test reports to our system. \n{Optional language: An asterisk (*) denotes BATs that are also DOH-certified Cross-Connection Control \nSpecialists (CCSs).} Note: listing does not constit ute an endorsement of thes e BATs by our system or a \ncertification of the quality of services they provide. \n \nTo appear on our pre-approved BAT list, the tester must: \n \n• Show proof of current BAT certification from DOH; \n• Submit documentation that his/her assembly test equipment has been verified for accuracy within the last 12 months and calibrated if needed; and \n• {Optional language: Meet other criteria establis hed by our system including____________________ { insert \nadditional requirements here su ch as business licenses, etc. } \n As an alternative to the above, pre-approved testers must document that they appear on the approved BAT list of \nanother nearby water system that has a testing QA/QC program acceptable to our system. \n WAC 246-290-490 requires a DOH-certified BA T to test all assemblies (RPBA, RP DA, DCVA, etc.) that protect the \ndistribution system. Assemblies that protect the public water system must be tested in accordance with DOH-\napproved field test procedures: \n• Upon installation, and a nnually thereafter; \n• After repair, reinstallation, or relocation; and \n• After a backflow incident. \n Note: the DOH BAT certification is a special certification separate from othe r waterworks operator certification \ncategories, plumbing licenses, contractor registration, etc. Other licenses, cert ifications and/or re gistrations may be \nrequired to install backflow prevention assemblies and/or perform maintenance work on assemblies within buildings. \nHowever, only a currently DOH-certified BAT may test the assemblies that protect the public water system \nfrom contamination. \n \n \nName of Tester \nCompany Name and Address Phone Number BAT Certificate Number \n \n \n \n \n \n \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 213 Preliminary Cross-Connection Cont rol Hazard Assessment Form \nNon-Residential Customers \n \nName of Customer or Business : __________________________________________________ \nAddress: ____________________________________________________________________ \nPhone Number: ___________________________________ \nDescription of Business: ________________________________________________________ \n \nIs your business or premises of a type included in the table below (check all that apply)? \n \nAgricultural (farm or dairy) Metal plating industry \nBeverage bottling plant Mortuary \nCar wash Petroleum processing or storage plant \nChemical plant Pier or dock \nCommercial laundry or dry- cleaners Radioactive ma terial processing plant \nor nuclear reactor \nHaving both reclaimed water and \npotable water provided Survey access denied or restricted \nFilm processing facility Wast ewater lift station or pumping \nstation \nFood processing plant Wast ewater treatment plant \nHospital, medical center, nursing home, veterinary, medical, or dental clinic, or blood plasma center Having an unapproved auxiliary water \nsupply interconnected with the potable water supply \nHaving separate irrigation system using purveyor’s water and adding \nchemicals* Other (describe) [Purveyor to add \nother types of premises considered to be high-hazard] \nLaboratory Other (describe) [See above] \n \n*e.g., parks, playgrounds, golf course s, cemeteries, estates, etc. \n \nOther potential cross-connection concerns: \n Irrigation system \n Fire sprinkler system, using not using chemicals or anti-freeze \n Swimming pool \nOther (describe): ______________________________________________________ \nNote to Customer: This form is used for preliminary assessment only. The water purveyor may \nrequire a more thorough assessment at a later date. \n \nThis form was completed by (print name): _________________________ Date: _________ Please return completed form by {insert date\n} and send to: {insert name/address }. \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 214 Cross-Connection Control Hazard Survey Report \nNon-Residential Customers \n \nSurvey date: ____________ \n \nCustomer Information \n \nPremises name: ___________________________________Telephone: ___________________ \n \nAddress: ______________________________________________________ZIP: ___________ \nContact person: _____________________________________Title: ______________________ \n Description of premises: _________________________________________________________ \n \nDescription of water use: ________________________________________________________ \n \nWater Service and Backflow Prevention Assembly (BPA) Size/Type\n \n \nService \nType Service \nSize Meter \nSize BPA \nSize BPA \nType \nDomestic \nFire \nIrrigation \nOther \n \nCross-Connection Control Sp ecialist (CCS) Information \n \nName: ______________________________________ Telephone: ____________________ \n \nCompany name: ________________________________________________________________ \nAddress: ________________________________________________________ZIP: __________ \n DOH CCS Certification #: _____________________ Year certified: _________________ \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 215 Cross Connection Control Survey Report (Continued) \nPage 2 of 3 \n \nSurvey Results \n \nNote: The CCS’s survey shall include an inspection of the premises is olation assembly to verify that it is \ninstalled correctly and is a curre ntly listed DOH-approved assembly. \n \nItem \n Location & Description \nof Cross Connection Backflow Prevention \nProvided/Required \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nAttach additional sheets if needed. \n \n \nSurveyor's Comments \n \n__________________ ______________________ _________________ _____________ ______________\n__________________ ______________________ _________________ _____________ ______________\n__________________ ______________________ _________________ _____________ ______________\n__________________ ______________________ _________________ _____________ ______________\n__________________ ______________________ _________________ _____________ ______________\n__________________ ______________________ _________________ _____________ ______________\n__________________ ______________________ _________________ _____________ ______________\n__________________ ______________________ _________________ _____________ ______________\n__________________ ______________________ _________________ _____________ ______________\n__________________ ______________________ _________________ _____________ ______________\n__________________ ______________________ _________________ _____________ ______________\n__________________ ______________________ _________________ _____________ ______________\n__________________ ______________________ _________________ _____________ ______________\n______________ \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 216 Cross-Connection Control Survey Report (Continued) \nPage 3 of 3 \n \nSurveyor's Recommendations \n \nI certify that this cross-connection h azard survey accurately reflects the ov erall risk posed by the customer's \nplumbing system to the Purveyor's distribution syst em. Based on the above survey, I certify that: \n \n1. I found the following type(s) of prem ises isolation backflow preventer(s): \n \nAir Gap ____ RPBA/RPDA ____ DCVA/DCDA _____ None ____. \n \n2. The existing backflow preventer(s) is/are properly installed. \n \nYes ____ No ____ N/A ____. \n \n3. The existing backflow preven ter(s) is/are commensurate wi th the degree of hazard:. \n \nYes ____ No ____ N/A ____. \n \n4. Since no backflow preventer was installed for premises isolation, the premises owner should install a \npremises isolation backflow preventer of the following type: \n \nAir Gap ____ RPBA/RPDA ____ DCVA/DCDA ____ N/A ____. \n \n5. The premises owner should replace the existing premises isolation backflow preventer(s) with the \nfollowing: \n \nAir Gap ____ RPBA/RPDA ____ DCVA/DCDA ____ N/A ____. \n The completed survey report shall be first signed by the CCS conducting the survey, and then counter-\nsigned by the owner of the premises or the owner’s authorized agent. \n CCS Signature: _________________________________Date: ______________ \n \n As the Owner of the Premis es (or Owner’s authorized ag ent), I certify that I have received a copy of this \ncompleted Cross-Connection Cont rol Hazard Survey Report. \n Signature : ___________ _______________ _____________ Date : ____________ \n Note: Customers and regulatory agenci es should be aware th at the Purveyor's requ irement for this cross-\nconnection hazard survey and/or for the installation of a specific backflow prevention assembly on a \nservice pipe do not constitute an approval of the custom er's plumbing system, compliance of the \ncustomer's plumbing system with th e Uniform Plumbing Code or an a ssurance of the absence of cross \nconnections in the cust omer’s plumbing system. \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 217 Water Use Questionnaire \nResidential Customers \n \n \nCustomer Account Number (optional) \nCustomer Name \nAddress Line 1 Address Line 2 \n \n Please indicate whether the speci al plumbing or acti vities listed below appl y to your premises: \n \n \nYes \n No Plumbing or Activity Present on Customer’s Premises* \n Underground sprinkler system \n Water treatment system (e.g., water softener) \n Solar heating system \n Residential fire sprinkler system \n Other water supply (whether or not connected to plumbing system) \n Sewage pumping facilitie s or grey water system \n Boat moorage with water supply \n Hobby farm \n Animal watering troughs \n Swimming pool or spa \n Greenhouse \n Decorative pond \n Photo lab or dark room \n Home-based business. If Yes, lis t type/describe (e.g. , beauty salon, \nmachine shop, etc.): ____________________ __________________ ___________________\n____________________ __________________ ___________________\n____________________ __________________ ___________________ \n \n* Based on their knowle dge of residential connect ions served, public water systems may “customize” \nthis list by adding or deleting pl umbing categories or activities \n \nCompleted by (print name): _______ ____________________ Date: __________ \n \nResident’s Signature: _______ __________________ _________________ _________________ \n \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 218 Backflow Incident Report Form \n \nMany backflow incidents occur that are no t reported. This is usually because: \n \n• The incidents are of short duration; \n• The incidents are not detected; \n• Neither the customer nor the Purveyor realizes that a contam ination was caused by a backflow \nincident; \n• The customer is not aware the incident should be reported; \n• Customers do not know who to report the incidents to; and/or \n• Liability concerns on the pa rt of either the customer or purveyor or both. \n \nDOH and the PNWS-AWWA Cross-Co nnection Control Co mmittee are making an effort to bring \nbackflow incidents to the attention of water purveyors , Local Administrative Authorities, legislators, and \nthe general public. If you have any knowledge of a backflow incide nt, please fill out a copy of the \nBackflow Incident Report Form and return it to DOH an d the PNWS-AWWA CCC committee. \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 219 Backflow Incident Report Form \n \n \nReporting Agency: ________ ____________________ ________ Report Date : _______________ \n \nReported By: _____________ ________________ ____________ Title: _____________ ________ \n Mail Address: ____________ ________________ ____________ City: __ ___________ _________ \n \nState: _______________ _ Zip Code: _______ _____________ Telep hone: ___________________ \n \nDate of Incident: _____ __________________ Time of Occurrence: ____________ ____________ \n General Location (Street, etc.): _ __________________ ____________________ _______________ \n \nBackflow Originated From: \n Name of Premises: ___________ _________________ ________________ _____________ \n Street Address: __ _______________ _______________ City: ______________ _________ \n \n Contact Person: ____ _________________ ___________ Telephone : __________________ \n \n Type of Business: _________ ________________ _________________ ________________ \n Description of Contaminants: (Attach Chemical Analysis or MSDS if available) \n ____________________ ____________________ ____________________ ___________________ \n \n____________________ ____________________ ____________________ ___________________ \n \nDistribution of Contaminants: \n \n Contained within customer's prem ises: Yes: _____ No: _____ \n \n Number of persons affected: _____________ \n \nEffect of Contamination: \n \n Illness Reported: _____________ _________________ ________________ ____________ \n \n Physical irritation reported: __________________ _________________ _______________ \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 220 Backflow Incident Report Form \nPage 2 of 3 \n \nCross-Connection Source of Contaminant (boile r, chemical pump, irrigation system, etc.): \n \n____________________ ____________________ ____________________ ___________________ \n \n \n____________________ ____________________ ____________________ ___________________ \n \nCause of Backflow (main break, fire flow, etc.): \n ____________________ ____________________ ____________________ ___________________ \n \n \n____________________ ____________________ ____________________ ___________________ \n \nCorrective Action Taken to Restore Water Qu ality (main flushing, disinfection, etc.): \n \n \n____________________ ____________________ ____________________ ___________________ \n \n \n____________________ ____________________ ____________________ ___________________ \n \nCorrective Action Ordered to Eliminate or Protect fro m Cross Connection (type of backflow preventer, \nlocation, etc.) ____________________ ____________________ ____________________ ___________________ \n ____________________ ____________________ ____________________ ___________________ \n Previous Cross-Connecti on Survey of Premises: \n \n Date: __________________ ___________ By: _______________ _____________ ____________ \n \nTypes of Backflow Preventer Isolating Premises: \n \n RPBA: _____ RPDA: _____ DCVA: _____ DCDA: ___ __ PVBA: _____ SVBA: _____ \n \n AVB: _____ Air Gap: _____ None: _____ Ot her Type: ________________ \n \nDate of Latest Test of Assembly : _____________ ____________________ _______________ \n \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 221 Backflow Incident Report Form \nPage 3 of 3 \n \nNotification of Washington State Health Department: \n Date: _________ Time : __________ Person Notif ied: _________ __________________ \n \nAttach sheets w ith additional information, sketches, and/or media in formation, and mail to: \n PNWS-AWWA CCC Committee c/o George Bratton \n 1252 S. Farragut Drive Coupeville, WA 98239 \n \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 222 Letter Requesting Customer to Co mplete Water Use Questionnaire \n \nDate \n \nCustomer Account Number (optional) Customer \nCustomer Address Line 1 \nCustomer Address Line 2 \nDear ________ Water System Customer: \n Washington State drinking water regulations, WAC 246- 290-490, require public water systems to develop and \nimplement cross-connection c ontrol programs. Cross-connection control programs help protect public health by \npreventing contamination of the drinking water as it is delivered to water system customers. The attached brochure explains what a cross connection is, describes typical household cross connections and what you can do to help \nprotect your drinking water. \n As part of our efforts to keep your drinking water safe , we are conducting a cross-connection control hazard survey \nof residential customers served by our system. The purpose of the survey is to help us determine if any of our residential customers have special plumbing or activities on their premises that could increase the risk of contamination to our water system. \n \nFor most residential customers, the cross-connection contro l hazard posed to the public water system is minimal. \nThis is because your household plumbing was installed in compliance with the Uniform Plumbing Code. The \nUniform Plumbing Code generally provides adequate protec tion of your water potable water piping and our public \nwater distribution system from cross connections. However, a few customers with special plumbing or activities on \ntheir premises may pose an increased health risk to ot her customers served by our system. These customers may \nneed to have a backflow preventer installed on their service lines or pr ovide alternate protection to prevent \ncontamination of the public water system. Please complete the attached questionnaire by checking the applicable boxes on the table; and return the completed, signed questionnaire by {insert date} \nto the address shown on the letterhead {or insert \naddress if different }. \n Thanks in advance for filling out the questionnaire. We ap preciate your cooperation in helping us to protect the \ndrinking water we deliver to our customers. If you ha ve any questions about the su rvey or how to fill out the \nquestionnaire, please contact me at { insert phone number\n}. We will review your questionnaire and determine \nwhether we need to contact your for further information. \nSincerely, \n Name \nCCC Program Manager \n Enclosures: CCC Brochure \n Water Use Questionnaire \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 223 Notice of Survey of Premises (Non-Res idential/Multi-Family Residential) \nCustomer-Employed Cross-Conne ction Control Specialist \n \nDate \n \nCustomer Account Number (optional) \nCustomer Name Customer Address Line 1 \nCustomer Address Line 2 \n Dear ________ Water System Customer: \n \nWashington State drinking water regulations, WAC 246- 290-490, require public water systems to develop and \nimplement cross-connection control programs. Cross-connection cont rol programs protect public health by \npreventing contamination of the drinking water supply. The attached brochure explains what a cross connection is \nand what you can do to help protect your drinking water. \nAs part of the cross-connection control program, our system must assess the degree of hazard posed by each of our \ncustomer's plumbing systems upon the public water system. Non-residential customers a nd multi-family residential \ncustomers pose a special concern, because of the greater scope and complexity of their plumbing systems, special uses of water on the premises (e.g., manufacturing), fire protection systems, etc. Depending on the hazard \nassessment results, you may need to have a backflow preven ter installed on your service line or provide alternate \nprotection. \nA cross-connection survey needs to be conducted for us to make the hazard assessment for your premises . \nThe drinking water regulations require a person with special training, i.e., a De partment of Health certified Cross-\nConnection Specialist (CCS), to conduct the surveys. Our system’s policy is to have surveys of all non-residential \npremises and multi-family residential premises conducted by a CCS employed by the customer . Survey results must \nbe submitted to our system for review. \n Please arrange for the attached survey form to be completed and returned to this office by {insert date}\n. A \nlist of local CCSs who provide this type of service is attached. \n \nWe appreciate your cooperation in m eeting this hazard survey requirement . If you have any questions, please \ncontact me at {insert phone number }. \n Sincerely, \nName \nCCC Program Manager \nEnclosures: CCC Brochure \n Water Use Questionnaire CCS List \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 224 Request to Install Backfl ow Prevention Assembly \n \nDate \n \nCustomer Account Number (optional) Customer Name \nCustomer Address Line 1 \nCustomer Address Line 2 \nDear ________ Water System Customer: \n Washington State drinking water regulations, WAC 246- 290-490, require public water systems to develop and \nimplement cross-connection control programs. Cross-connection cont rol programs protect public health by \npreventing contamination of the drinking water as it is delivered to people served by the water system. The \npurpose of this letter is to inform you of a requirement to install a backflow assembly. \n Our water system’s policy considers each of our customer’s plumbing systems, starting from the termination of the service pipe downstream of the water meter, to pose a pote ntial cross-connection hazard to the public water system. \nOur policy requires a backflow prevention assembly commensurate with the degree of hazard to be installed on the \nservice line. The purpose of this backflow prevention assembly is to isolate your plumbing system from the water distribution system. We’ve attached a copy of Resolution { insert number } describing our cross-connection control \npolicy. We have received the cross-connection control survey report submitted by your Cross-Connection Control \nSpecialist (CCS). The survey assessed the overall public health hazard posed by your plumbing system (and water \nuse) to the public water system. We agre e with the assessment made by the CCS. Based on the assessment, a \nDepartment of Health-approved {insert type of assembly}\n is required to be installed on your service line (at a \nlocation downstream of the water meter). \nPlease make arrangements for the assembly to be installed by { insert date } \nor when your plumbing system is \nmodified, whichever comes sooner. { Optional language : We realize that this expense was not anticipated, so if you \nare unable to comply with this deadline, please contact us to discuss an alternative date}. We’ve enclosed a copy of our standard installation drawings for this type of as sembly. Your CCS should oversee the installation of the \nassembly to ensure complian ce with these standards. \n We appreciate your cooperation in this matter. If you have any questions, please contact me at { insert phone\n \nnumber }. \n Sincerely, \n \n Name \nCCC Program Manager \n cc: {City/County Plumbing Inspector} \n \nEnclosures: Standard Installation Drawings \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 225 Request To Submit Test of Ba ckflow Prevention Assembly \n \n \nDate \n Customer Account Number (optional) \nCustomer Name \nCustomer Address Line 1 Customer Address Line 2 \n \n Dear ________ Water System Customer: \n \nWashington State drinking water regulations, WAC 246- 290-490, require public water systems to develop and \nimplement cross-connection c ontrol programs to protect the drinking water s upply from contamination. As part of \nthis program, backflow prevention assemblies have been installed on your water serv ice(s) and/or within your \nplumbing system to protect our water distribution system. Annual testing is required to ensure that the backflow \nprevention assemblies properly function. \n \nThe purpose of this letter is to requ est that you now arrange for the annual te sting of the reduced pressure principle \n(RPBA), double check valve (DCVA), and/or pressure vacuum breaker (PVBA or SVBA) assembly/assemblies \ndescribed on the attached list. A Washington State Depart ment of Health certified backflow assembly tester (BAT) \nmust conduct the testing. Testing results should be sent to the address above and submitted by {insert date}\n. \n \nFor your convenience, we are enclosing a list of backflow assembly testers pre-approved to test assemblies that \nprotect our water system. Test report forms are also enclosed. The test report forms need to be properly completed by the BAT, signed by the customer/a ssembly owner, and returned to us. \n Note: the Uniform Plumbing Code in effect in Washington also requires annual assembly testing. In addition to the \ntesting required for the assemblies that protect the public wa ter system (i.e., identified on the attached list), you may \nwish to have all of the remaining assemblies within your premises tested at this time. If you have any questions, please feel free to contact me at { insert phone number }.\n \n Sincerely, \n \nName CCC Program Manager \n \n Enclosures: Assembly List \n Pre-Approved BAT List \n Assembly Test Report Forms \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 226 Second Notice to Test Back flow Prevention Assembly \n \n \nDate \n Customer Account Number (optional) \nCustomer Name \nCustomer Address Line 1 Customer Address Line 2 \n \nSubject: Testing of Backflow Prevention Assembly - Second Notice First Notice Date: ________________ Second Notice Date: _______________ \n \n Dear ________ Water System Customer: \n \nWashington State drinking water regulations, WAC 246-290 -490, require public water sy stems to implement cross-\nconnection control programs to protect the drinking water su pply from contamination. As part of this program, \nbackflow prevention assemblies were installed on your service or within your premises to protect our water \ndistribution system from contamination. The WAC requires these assemblies to be tested annually to verify that \nthey are in good working condition. \n \nThe assembly/assemblies identified in our letter of { insert date } (copy attached) must be tested by a Department of \nHealth certified Backflow Assembly Te ster (BAT) upon installation and annually thereafter. This requirement is a \ncondition of our system continuing to su pply potable water to your premises. According to our records, as of \ntoday’s date, you have not submitted the requested Assembly Test Report(s). If you believe this is in error, \nplease contact me as soon as possible at the number below. \n \nIf you have not submitted the Assembly Test Reports as re quested, please: \n• Immediately employ a DOH-certi fied BAT to test the list ed assembly/assemblies; and \n• Submit a signed copy of the completed Assemb ly Test Report(s) to me at the address above within 15 days \nof the date of this letter . \n \nYour cooperation in this matter is essential for protecti ng your drinking water supply and the public water supply \nfrom contamination. Failure to comply with the annual assembly testing requirement will trigger an enforcement \naction by our system. Enforcement could include a shut-off of your water service. \nIf you have any questions, please contact me at { insert phone number }. \n \nSincerely, \n \nName \nCCC Program Manager \nEnclosure: First Test Notice Letter \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 227 Standard Installation Drawings \n \nThe following pages show ty pical premises isolation in stallations of backflow as semblies (Illustrations 5 \nand 6). \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 228 Illustration 5 \nStandard Details - Servi ce Connection Options \nSingle Family Residential \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n Premises Isolation \nStandard InstallationLocated 1 – 3 ft of \nProperty Line Purveyor’s water meter in meter \nbox with meter setter but with-\nout meter check\nConsumer Installed, purveyor Approved \nBackflow P\nrevente r¾” se rvice Property Line \nLocated within 5 ft \nof Property Line \nConsumer ownership responsibilities start at \ndownstream connection to meter setter inside \npurveyor’s meter box ¾” se rvice \n¾” se rvice Alternate 1: purveyor Accepts Back-\nflow Prevention by Customer Com-\npliance with UPC \nAlternate2: purveyor Accepts Back-\nflow Prevention by Customer Com-\npliance with UPC and added DCVA for Irri\ngation S ystem Purveyor’s water meter in \nmeter box with meter setter \nand meter chec k\nConsumer Installed, purveyor Approved \nBackflow P\nrevente r \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix D Page 229 Illustration 6 \nBackflow Prevention Assemblies \nRecommended Premises Isolation Installations \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nVault Installation – DCVA only \nLockable Insulated Enclosure Installation – RPBA and DCVA Drain to daylight-\n Required for \nRPBA Approved Air Gap - Required for RPBA Purveyor Approved DCVA \nwith test cocks pointed \nupwards with plastic plugs \nPurveyor Approved \nRPBA or DCVA \n3” Minimu m\nAll installations comply with manuf acturer’s recommendation and USCFCCCHR CCC \nManual and PNWS -AWWA Manual standards \n__________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Page 230 \n______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix E Page 231 Appendix E \nAnnual Summary Report Forms \n \nAppendix E contains sample cr oss-connection control (CCC) A nnual Summary Report forms. \nPer WAC 246-290-490, purveyors are required to complete these forms to report information on \nthe status of a public water system’s CCC progr am and implementation activities. When the \nDepartment of Health sends out hard copies or electronic copies of the forms, they are color-\ncoded. Purveyors often refer to the forms by colo r instead of name. The respective color of each \nform is noted below. \nThe three forms are: \n \n1. Cross-Connection Control Activities Annual Summary Report \n Purveyors use this form to report (for a calendar year) their CCC implementation \nactivities, such as status of high-hazard premises pr otection, backflow preventer \ninventory/testing information, and hazard evaluations. This is the “blue form.” \n2. Cross-Connection Control Program Summary Report \n This form is use to report the type, policie s, and provisions of a public water system’s \nCCC written program. This is the “cream form.” \n \n3. Exceptions to High Health Hazard Premises Isolation Requirements \n Purveyors use this form to document and report exceptions to mandatory premises \nisolation requirements allowed under WA C 246-290-490(4)(b)(iii). Only purveyors \ngranting exceptions need to complete and subm it this form. This is the “green form.” \n The forms provided are those used for the reporting year indicated on the forms. For copies of \nforms for later years, or for versions suitable for completion on screen using MS Word, contact \nthe DOH Office of Drinking Water (see Appendix F) \n______________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix E Page 232 Public Water System Cross-Connection Control Activities \nAnnual Summary Report for Year 2003 \n \n \nPart 1: Public Water System (PWS) and Cross- Connection Control Specialist (CCS) Information \n \nPWS ID: PWS Name: County: \nProvide name and Certification Number of CCS who develops and implements your CCC program. \nCCS Name (Last, First & MI): , CCS Phone: (___) ___-____ \nCCS Cert. No.: BAT Cert . No. (if applicable): \nCCS is (check one): PWS owner or employee On contract to PWS Volunteer or \nother \n \n \nPart 2: Status of Cross-Conn ection Control (CCC) Program \n \nPWS has: A written CCC program Y N CCC implementation activities Y N \n \n(Written program may be a separate document or part of water system plan or small water system management program.) \nPlease provide information regarding PWS’s specific CCC Program Elements. Check one box in each column. \nThis Program Element is Currently: Program \nElement \nNumber Description of Element \n[See WAC 246-290-490(3)] Included in Written \nProgram Being Implemented or \nis Completed \n1 Legal Authority Established Y N Y N \n2 Hazard Evaluation Procedures and Schedules Y N Y N \n3 CCC Procedures and Schedules Y N Y N \n4 Certified CCS Provided Y N Y N \n5 Backflow Preventer Inspection and Testing Y N Y N \n6 Testing Quality Control Assurance Program Y N Y N \n7 Backflow Incident Response Procedures Y N Y N \n8 Public Education Program Y N Y N \n9 CCC Records Y N Y N \n10 Reclaimed Water Permit Y N N/A Y N N/A \n \n \nPart 3A: System Charac teristics at End of 2003 \n \nIndicate the number of connections of each type that th e PWS serves (whether or not they are protected by \nbackflow preventers). Estimate if necessary . \nType of Service Connection Number \nResidential (as defined by PWS) \nAll Other (i nclude dedicated fire sprinkler and irrigation lines and PWS-owned facilities \nsuch as water and wastewater treatment plants and pumping stations, parks, piers and docks) \nTotal Number of Connections \n______________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix E Page 233 Part 3B: Cross-Connection Control for High-Haza rd Premises or Systems Served by the PWS \n \nIf PWS does not serve any high-hazard premises or systems, check here and go to Part 4. \n• Complete all cells. Count only premises PWS serves water to. En ter zero (0) in cells if PWS does not serve such premises. \n• Estimate number of connections served if necessary (OK to use phone book) . \n• Hazard evaluations do not need to be done to complete this table. \nNumber of Connections at end of 2003 \nType of High-Hazard Premises or Systems \n[WAC 246-290-490(4)(b)] Being \nServed \nWater by \nPWS1 With \nPremises \nIsolation \nby AG/RP2 With \nPremises \nIsolation \nAG/RP \nInspected or \nTested3 Granted \nException \nfrom \nMandatory \nPremises \nIsolation \nAgricultural (farms and dairies) \nBeverage bottling plants (including breweries) \nCar washes \nChemical plants \nCommercial laundries and dry cleaners \nBoth reclaimed water a nd potable water provided \nFilm processing facilities \nDedicated fire protection systems with chemical addition \nor using unapproved auxiliary supplies \nFood processing plants (incl uding canneries, slaughter \nhouses, rendering plants) \nHospitals, medical centers, nursing homes, veterinary, \nmedical and dental clinics, and blood plasma centers \nSeparate irrigation systems us ing purveyor’s water supply \nand chemical addition4 \nLaboratories \nMetal plating industries \nMortuaries \nPetroleum processing or storage plants \nPiers and docks \nRadioactive material processing plants or nuclear reactors \nSurvey access denied or restricted \nWastewater lift stations and pumping stations \nWastewater treatment plants \nUnapproved auxiliary water supply interconnected with \npotable water supply \nOther high-hazard premises (list)5 \n \n \n \nTotals \n1Count multiple connections or parallel installations as separate connections. \n 2 Count only those connections with AG or RP installed for premises isolation. Do not include connections with only in-\npremises protection, or those with DCVA/DCDAs installed for premises isolation. \n3 Count only those connections whose premises isolation preventers were tested or inspected during year 2003 \n4 For example, parks, playgrounds, golf courses, cemeteries, estates, etc. \n5 Premises with hazardous materials or pr ocesses (requiring isolation by AG or RP), such as: aircraft and automotive \nmanufacturers, pulp and paper mills, metal manufacturers, military bases, and wholesale customers that pose a high hazard \nto the PWS. May be grouped together in categories, e.g.: other manufacturing, or other commercial. If needed, attach \nadditional sheet giving same information as requested by table. \n_______________________________________________________________________________________________________________________________ __________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix E Page 234 Part 4A: Backflow Preventer Inventor y and Testing Data During Year 2003 \n• Complete all cells. Enter zero (0) if there ar e no backflow preventers in the category. \n• Count only the backflow preventers that the PWS relies upon for pr otection of the distribution system . If your records do not distinguish between premises isolation \nand in-premises protection preventers, enter all data in Premises Isolation section and check the box . \n• Count AVBs on irrigation systems only. If you do not track AVBs, chec k box above the “AVB” column. \n• Count multiple tests or failures for any particular backflow prev enters as one test or failure for that backflow preventer. \n• Multiple Service or Parallel Connections : count each assembly separately. \n• Assemblies on Dedicated Fire or Irrigation Lines: count as Premises Isolation Assemblies. If PWS does not track AVBs check here \n \nBackflow Preventer Category and Testing/ \nInspection Information Air Gap RPBA RPDA DCVA DCDA PVBA SVBA AVB \nPremises Isolation, including preventers isolating PWS-owned facilities. If In-Premises Protection prevente rs are also included, check here . \nRows 1 – 3 pertain ONLY to Premises Isolatio n preventers in service at beginning of 2003 \n1 In service at beginning of 2003 \n2 Inspected and/or tested in 20031 \n3 Failed Inspection or test in 2003 \nRows 4 – 6 pertain ONLY to NEW Premises Isolation preventers installed during 2003 \n4 New preventers installed in 20032 \n5 Ins pected and/or Tested in 20031 \n6 Failed inspection or test in 2003 \nPremises Isolation Total at end of 20033 \nInstalled for In-Premises Protection (Fixtu re Protection or Area Isolation), including preventers within PWS-owned facilities. \nRows 7 – 9 pertain ONLY to In-Premises Protection preventers in service at beginning of 2003 \n7 In service at beginning of 2003 \n8 Ins pected and/or Tested in 20031 \n9 Failed Inspection or Test in 2003 \nRows 10 – 12 pertain ONLY to NEW In-Premise s Protection preventers installed during 2003 \n10 New preventers installed in 20032 \n11 Ins pected and/or Tested in 20031 \n12 Failed inspection or test in 2003 \nIn-Premises Protection Total at end of 20033 \nGrand Total at end of 2003 \n1 Initial and/or routine annual inspection (for proper installation and approval status) and/or test (for testable assemblies onl y using DOH/USC test procedures). 2 Includes preventers installed on connections where backflow prevention was not previously required and any preventers that re placed preventers those in service at beginning \nof 2003. Replacement preventers may be of a different type than the original. \n3 Total installed at end of 2003 can’t be more than preventers in service at beginning of 2003 plus those installed during 200 3. May be less due to changes in preventer type and \npreventers taken out of service during 2003. \n______________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix E Page 235 Part 4B: Other Implementa tion Activities in 2003 \n \nComplete all cells. Enter zero (0) if not applicable. \nActivity or Condition Number \nNew services connections evaluated for cro ss-connection hazards to PWS in 2003. \nNew services connections requiring backflow protection to protect PWS.1 \nExisting services connections evaluated for cro ss-connection hazards to PWS in 2003. \nExisting services connections requiring backflow protection to protect PWS.1, 2 \nExceptions granted to high-hazard prem ises per WAC 246-290-490(4)(b) in 2003.3 \nCCC Corrective enforcement actions taken by PWS during 2003.4 \n1 Include services where either prem ises isolation or in-premises preventers were required to protect the PWS. \n2 Include existing services that need new, additional or higher level backflow prevention. \n3 A DOH Exception to Hazard Premises Form must be attached for each exception granted during the year. \n4 “Enforcement actions” mean actions taken by the PWS (such as water shut-off, PWS installati on of backflow preventer) when \nthe customer fails to comply with PWS’s CCC requirements. \n \nPart 5: Backflow Incidents, Risk Factors and Indicators during 2003 \n \nBackflow Incidents, Risk Factors and Indicators during 2003 \n Number \n(Enter 0 \nif none) Check if \nData Not \nAvailable \nBackflow Incidents during 2003 \n1 Backflow incidents that contaminated the PWS.5 \n2 Backflow incidents that contaminated the customer’s drinking water system \nonly.5 \nRisk Factors for Backflow during 2003 \n3 Distribution main breaks per 100 miles of pipe. \n4 Low pressure events (<20 psi in PWS distribution system). \n5 Water outage events. \nIndicators of Possible Backflow during 2003 \n6 Total health-related complaints received by PWS.6 \n7 Received during BWA or PN events.7 \n8 Received during low pressure or water outage events. \n9 Total aesthetic complaints (color, taste, odor, air in lines, etc.). \n10 Received during BWA or PN events.7 \n11 Received during low pressure or water outage events. \n5 Complete and submit a Backflow Incident Report form for each known backflow incident. \n6 Such as stomach ache, headache, vo miting, diarrhea, skin rashes, etc. \n7 “BWA ” means Boil Water Advisory and “PN” means Public Notification for water quality reasons. \n______________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix E Page 236 .Part 6: Comments and Clarifications \n \nEnter comments or clarifications to any of the information included in this report. \nNote for on-screen completion: Comments will not “wordwrap” from one line to the next. Press <Enter> to con-\ntinue on new line. Maximum length of each comment is 255 characters, including spaces. \nPart No. Comment \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \nPart 7: Report Completion Information \n \nEnter dates in MM/DD/YYYY format. \nI certify that the information provided in this CCC Activ ities Report is complete and accurate to the best of my \nknowledge. \nCCC Program Mgr. Name (Print)1: Title: \nSignature: D a t e : \nPhone: (___) ___-____ E-mail: ________________@_ ______________ __________ \nI have reviewed this report and certify that the informati on provided is complete and accurate to the best of my \nknowledge. \nPWS Mgr./Owner Name (Print)2: Title: \nSignature: Op. Cert. No.: D a t e : \n1 CCC Program Manager is generally the CCS who is responsible for development and implementation of the PWS’s CCC \nProgram . \n2 The person that the CCC Program Manager reports to or other manager having direct responsibility and or oversight of the \nCCC program. \n______________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix E Page 237 Cross-Connection Control Program Summary \nFor 2003 \n \nDescribe the characteristics of the PWS’s CCC Pr ogram at the end of the 2003 reporting year. \n \nPart 1: Public Water System (PWS) Identification \n \nPWS ID: PWS Name: County: \n Part 2: Cross-Connection Control (CCC) Program Characteristics \n \nA. Type of Program Currently Implemented \n \nType of Program Check One \nPremises isolation only. \nCombination program: reliance on both premises isolation and in-premises protection. \nIn transition from a combination program to a premises isolation only program. \n \nB. Coordination with Local Administrative Au thority (LAA) on Cross-Connection Issues \nIndicate the status of coordination with LAAs in your service area. The LAA is the entity that enforces the \nUniform Plumbing Code. Check one box in each of last 3 column s for each LAA in your service area . \nPWS currently: LAA \nNo. \nName of LAA1 \n( e.g., the City or County Building Depart-\nment) \n Coordinates \nwith LAA Has Written \nAgreement \nwith LAA If not \ncoordinating, did \nLAA Decline to \nCoordinate? \n1 Y N Y N Y N \n2 Y N Y N Y N \n3 Y N Y N Y N \n4 Y N Y N Y N \n5 Y N Y N Y N \n1 If more than 5 LAAs, attach separate sheet giving the above information. \n \nC. Corrective or Enforcement Acti ons Available to the Purveyor \n \nType of Corrective Action Indicate Whether \nAvailable Most Often Used \n(Check one) \nDenial or discontinuance of water service. Y N \npurveyor installs backflow preventer and bills customer. Y N \nAssessment of fines (in addition to elimination or control of \ncross-connection). Y N \nOther corrective actions (describe below): \n Y N \n \n______________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix E Page 238 D. CCC Program Typical Responsibilities \nTypical responsibilities do not include enforcement action related procedures or circumstances . \nResponsible Party \n(Check one per row) CCC Program Activity \nCustomer Purveyor \nHazard Evaluation by DOH-certified CCS. \nBackflow preventer (BP) ownership. \nBP installation. \nBP initial inspection (for proper installation – all BPs). \nBP initial test (for testable assemblies). \nBP annual inspection (Air Gaps and AVBs). \nBP annual test (for testable assemblies). \nBP maintenance and repair. \n \nE. Backflow Protection for Fire Protection Systems \n \nPlease remember to enter number of days allowed if you require retrofitting. \nPWS coordinates with LAA on CCC issues for fire protection systems (FPS). Y N N/A \nPWS coordinates with local Fire Marshal on CCC issues for FPS. Y N N/A \nPWS ensures backflow prevention is installed before serving new connections with FPS. Y N \nPWS requires retrofits to high -hazard FPS. Y (No. of days allowed: _____) N N/A \nPWS requires retrofits to low-hazard FPS. Y (No. of days allowed: _____) N N/A \n \nF. Backflow Protection for Irrigation Systems \n \nMinimum level of backflow prevention required on irrigation \nsystems without chemical addition. Not Addressed AVB \nPV/SVBA DCVA RPBA \nPWS currently inspects AVBs upon initial installation. Y N N/A \nPWS currently inspects AVBs upon repair, reinstallation or relocation. Y N N/A \n \nG. Used Water \n \nPWS prohibits, by ordinance, rules, policy or agreement, the intentional return of used \nwater (e.g., for heating or cooling ) into the distribution system. Y N \nIf not prohibited at present, date plan to prohibit. Date (mm/dd/yyyy): N/A \nCurrent number of service connections returning used water to distribution system. \n \nH. Backflow Protection for Unapproved Auxiliary Water Supplies1 NOT Interconnected with PWS \n \nIndicate the minimum backflow preventer and type of protection required for service connections having unapproved auxiliary \nwater supplies when they are NOT intercon nected to the PWS. Check only one per row. \nExisting service connections. None DCVA RPBA AG \nType of protection required. None In-premises protection Premises isolation \nNew service connections. None DCVA RPBA AG \nType of protection required. None In-premises protection Premises isolation \n1 An auxiliary water supply is any water supply on or available to the customer’s premises in addition to the Purveyor’s pota-\nble water supply. \n______________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix E Page 239 I. Backflow Protection for Tanker Tr ucks and Temporary Water Connections \n \nMinimum level of backflow protection (installed \non or associated with the truck) required for tanker \ntrucks taking water from PWS. AG DCVA RPBA \n \nNot specified Tanker trucks not allowed \nPWS requires tanker trucks to obtain water at des-\nignated filling sites each equipped with perma-\nnently installed backflow preventer(s). Y (Min. site protection: DCVA RPBA ) \n \nN N/A No sites provided \nPWS currently accepts tanker trucks approved by other PWSs without further inspection or testing. Y \n N N/A \nMinimum level of backflow protection required for \ntemporary water connections (e.g., for construction sites). AG\n DCVA RPBA \n \nNot specified Temp. connections not allowed \nPWS requires testing each time the temporary con-nection backflow preventer is relocated. Y \n N N/A (Temp. connections not allowed) \nPWS provides approved backflow preventer for \ntemporary connections. Y N N/A (Temp. connections not allowed) \n \n \nJ. Backflow Protection for Non-Residential Connections \n \nFor each category shown, indicate whether PWS has non -residential connections of that type and the \nminimum level of premises isolation backflow protection required (whether or not PWS currently has that type of \ncustomer). \nType of Connection PWS has Customers \nof this Type Minimum Premises Isolation \nBackflow Protection Required \nCommercial Y N Not required DCVA RPBA \nIndustrial Y N Not required DCVA RPBA \nInstitutional Y N Not required DCVA RPBA \nOther (specify): __________ Y N Not required DCVA RPBA \nOther (specify): __________ Y N Not required DCVA RPBA \n \n \nK. Backflow Protection for Wholesale Customers \n \nIndicate whether the PWS requires backflow protection at interties with wholesale customers (other PWSs). \nType of \nIntertie PWS has (plans to have) \nCustomers of this Type Backflow Protection Required \n(If protection is required, indicate minimum level) \nExisting Y N Not specified/Not required Always required \nRequired only if purchaser’s CCC pr ogram is inadequate \nMinimum required (if applicable): DCVA RPBA \nNew Y N Not specified/Not required Always required \nRequired only if purchaser’s CCC pr ogram is inadequate \nMinimum required (if applicable): DCVA RPBA \n \n______________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix E Page 240 Part 3: CCC Program Record-Keeping and Inventory \n \nIndicate the type or name of computer so ftware used by the PWS to track CCC records. \nBMI BPMS Engsoft Tokay Other commercial CCC software (specify) : ____________ \nCustom developed for or by PWS1 Other non-CCC software (e.g., Excel) None Used \n1 Do not include commercial CCC software custom ized for PWS. Indicate these on line above. \n \n \nPart 4: Comments and Clarifications \n \nEnter comments or clarifications to any of the information included in this report. \nNote for on-screen completion : Comments will not “wordwrap” from one line to the next. Press <Enter> to con-\ntinue on new line. Maximum length of each comment is 255 characters, including spaces. \nPart No. Comment \n \n \n \n \n \n \n \n \n \n \n \n \nPart 5: CCC Program Summary Completion Information \n \nEnter dates in MM/DD/YYYY format. \nI certify that the information provided in this CCC Progr am Summary is complete and accurate to the best of \nmy knowledge. \nCCC Program Mgr Name (Print)2: Title: \nSignature: Date: \nPhone: (___) ___-____ E-mail: ____________@_____ ________________ \nI certify that the information provided in this report accurately represents the status and description of this \nwater system’s CCC Program. \nPWS Mgr Name (Print)3: Title: \nSignature: Op. Cert No: Date: \n2 The CCC Program Manager is generally the CCS who is r esponsible for development and implementation of the \nCCC program. \n3 The person that the CCC Program Manager reports to or other manager having direct responsibility and/or oversight of CCC \nprogram. \n______________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix E Page 241 Exceptions to High Health Hazard Premises Isolation Requirements \nFor 2003 Annual Summary Report \n \nExceptions forms must be completed and submitted to the Department of Health (DOH) with the \nAnnual Summary Report per WAC 246-290-490(4)(b)(iii). \n \nComplete one form for each exception that was granted: \n• During 2003; or \n• Prior to 2003, if you didn’t submit an Exceptions form to DOH previously (i.e., don’t duplicate \npreviously submitted Exception forms). \n \nIf your system didn’t grant any exceptions in 2003, and you have already submitted forms for exceptions \ngranted prior to 2003, don’t complete any Exception forms for 2003. \n \nPart 1: Public Water Sy stem (PWS) Information \n \nPWS ID : PWS Name: County: \n \n \nPart 2: Premises Information \n \nName of Premises \n \nService Address \n \nPremises Type or Category – Refer to Table 9 \nof WAC 246-290-490(4)(b) \nAdditional Information or Description of Premises to help explain why exception is appropriate:\n \n \n \n \n \n \nPart 3: Information Regarding Ex ception to Premises Isolation \n \nEnter dates in MM/DD/YYYY format. \nDate of Hazard Evaluation \nDate Exception Granted \nExpiration Date of Exception (if any) \nDate of Next Hazard Evaluation Name of Premises: ______________________________________________________ \n______________________________________________________________________________________________________ \nCross-Connection Control for Small Water Systems March 2004 Appendix E Page 242 Part 4: Justification for not Requiring P remises Isolation Using AG, RPBA or RPDA \n \n• The reasons for not requiring mandatory premises isol ation shown in the table are typical examples. purveyors \nare not required to follow or apply any of these reasons. \n• purveyors may provide other reasons consistent with WA C 246-290-490(4)(b)(ii), i.e., no hazard exists for this \nparticular service. \nReason that the Premises Do Not Pose a High Health Hazard to \nPWS Check if Applicable\nMedical/Health Services Facility no t having laboratory or similar \nfacilities, e.g., Psychiatri c or Counseling Office. \nDental Office having independent wate r supplies for dental work (no \ninterconnection with purveyor’s water system). \n“Bottling Plant” without bottli ng processes, e.g., Warehousing only. \nLaundry or Dry Cleaners without cl eaning processes on premises, e.g., \ncustomer drop-off and/or pick-up only. \nMarina/Dock for small boat moorage only (no water/sewage facilities \non board). \nAgricultural Premises with “hobby farm” (non-commercial) activities \nonly. \nOther (please describe):_________________________ \n \n \n \n \n \nPart 5: Form Completion Information \n \nEnter dates in MM/DD/YYYY format. \nI am the Cross-Connection Control Specialist (CCS) who granted this exception to mandatory premises \nisolation and certify that the inform ation provided is complete and accura te to the best of my knowledge.\nName (Print) : CCS Cert. No: \nSignature: D a t e : \nPhone: (___) ___-____ E-mail: _______________@___ _______________ ______ \nI am the Manager* of the PWS and I concur with the granting of this exception to mandatory premises \nisolation and certify that the inform ation provided is complete and accura te to the best of my knowledge.\nName (Print) : Title: \nSignature : Op. Cert. No: D a t e : \n* The person that the CCS reports to or other manager having direct responsibility for and/or oversight of the CCC program. It i s not required that this person \nbe in charge of the entire water system. \n_______________________________________________________________________________________________________________________________ ___ \nCross-Connection Control for Small Wate r Systems March 2004 Appendix F Page 243 Appendix F \nCross-Connection Control Resource Information \n \n \nGuide to Cross-Connection Control Publications \n \nTitle Publisher Contact Information \nCross Connection Control Manual, Accepted Procedure And Practice \n \n6\nth Edition, 1995 (\"Yellow Manual\") Pacific Northwest Section, American \nWater Works Association PO Box 2050 Clackamas, OR 97015-2050 \n(877) 767-2992 (toll-free) \nSummary of Backflow Incidents \n \n4th Edition, 1995 Pacific Northwest Section, American \nWater Works Association \n PO Box 2050 \nClackamas, OR 97015-2050 \n (877) 767-2992 (toll-free) \nBackflow Incident Investigation Procedures \n1\nst Edition, 1996 Pacific Northwest Section, American \nWater Works Association \n PO Box 2050 \nClackamas, OR 97015-2050 \n \n(877) 767-2992 (toll-free) \nNote: the above three manuals along with two additional manuals are availabl e on one CD-ROM (pdf format ). The cost of the CD i s \nmuch lower than the co st to purchase the three manuals separately in printed form. \nManual of Cross-Connection Control \n \n9th Edition, 1993 \n University of Southern California, Foundation for Cro ss-Connection Control \n& Hydraulic Research KAP-200 University Park MC-2531 Los Angeles, CA 98089-2531 \n(213) 740-2032 \n \n_______________________________________________________________________________________________________________________________ ___ \nCross-Connection Control for Small Wate r Systems March 2004 Appendix F Page 244 Local, Regional and National Cro ss-Connection Control Organizations \n \nOrganization Information Description Resources Available \n(Publications in Italics) \nWithin Washington \nWashington State Department of \nHealth \n \nOffice of Drinking Water \nP. O. Box 47822 Olympia, WA 98504-7822 \n1-800-521-0323 (toll-free) \nwww.doh.wa.gov/ehp/dw\n Administers the State Drinking Water Regula-\ntions (Chapter 246-290 WAC), including Cross-\nConnection Control (CCC) Requirements for Public Water Systems (WAC 246-290-490). • Regulation interpretation and general technical \nassistance on starting and implementing a CCC program \n• Cross-Connection Control Guidance Manual \nfor Small Water Systems \n• Backflow Assemblies Approved for Installa-\ntion in Washington State (available from \nTraining and Outreach Section) \nWestern Washington Cross-\nConnection Prevention Professionals \nGroup (“The Group”) \nP. O. Box 94551 \nSeattle, WA 98124 \n www.backflowgroup.org\n An organization of CCC professionals (including \nCross-Connection Specialists [CCSs], Backflow \nAssembly Testers [BATs], and others interested \nin CCC) in Western Washington who meet monthly to discuss CCC-related topics and ex-\nchange information on program development \nand implementation. Annual dues are $10.00. • Brochures on assembly installation \nrequirements \n• Annual seminar in October each year \n• BAT forum in the spring \n• Special CCC seminars \n• Internet access to USC List of Approved \nAssemblies \nSpokane Regional Cross-Connection \nControl Committee (SRC4) \n \nP. O. Box 13086 Spokane, WA 99213 \n \nwww.src4.org\n An organization of CCC professionals (CCSs, \nBATs, and others) in Eastern Washington who \nmeet monthly to discuss CCC-related topics and exchange information on program development \nand implementation. Annual dues are $20.00. • Brochures for consumers on common CCC \nsubjects \n• Annual seminar in February each year \n• Special CCC seminars and exam review \nsessions \n• Comprehensive CCC Newsletter periodically \n• Internet access to USC List of Approved As-\nsemblies \n_______________________________________________________________________________________________________________________________ ___ \nCross-Connection Control for Small Wate r Systems March 2004 Appendix F Page 245 Organization Information Description Resources Available \n(Publications in Italics) \nWashington Environmental Training \nand Resource Center (WETRC) \n \n2401 SE 320th Street, M/S WW \nAuburn, WA 98029 \n1-800-562-0858 (toll-free) www.ivygreen.ctc.edu/wetrc\n Part of Green River Community College, \nWETRC is the principal training center in Wash-\nington for drinking water related subjects, in-cluding CCC. WETRC offers various CCC \ncourses including those designed to prepare in-\ndividuals for the CCS and BAT certification ex-ams. WETRC also currently administers the \nBAT program for DOH. • Backflow Assembly Field Test Procedures Ap-\nproved for Use in Washington State (DOH \npublication provided as part of BAT classes) \n• General CCC classes \n• CCS classes \n• BAT classes and exams \nEvergreen Rural Water of Washing-\nton (ERWOW) \n P. O. Box 2300 Shelton, WA 98584 \n \n1-800-272-5981 (toll-free) \nwww.erwow.org\n An organization that represents small public wa-\nter systems in Washington. It provides training \nin various subjects of interest to small systems, including CCC program development and im-\nplementation. • CCC program review course \n• CCS exam review course \nRegional \nBritish Columbia Institute of \nTechnology (Piping Department) \n \n3700 Willingdon Ave Burnaby, British Columbia \nCanada V5G 3H2 \n (604) 434-5734\n \n www.bcit.ca\n \n An educational institution, founded by the Brit-ish Columbia Provincial government, that spe-cializes in technical and technology subjects. \nThe Institute grants Bachelor degrees in several \nareas. \nCross-Connection Management and Backflow \nAssembly Tester certificates are offered through \nthe British Columbia Water and Wastewater As-sociation (BCWWA). • CCC Program Management (CCS) \n• Backflow Assembly Testing (BAT) \n \n_______________________________________________________________________________________________________________________________ ___ \nCross-Connection Control for Small Wate r Systems March 2004 Appendix F Page 246 Organization Information Description Resources Available \n(Publications in Italics) \nCCC Committee \nPacific Northwest Section \nAmerican Water Works Association \n(PNWS-AWWA) \n \nP. O. Box 2050 Clackamas, OR 97015-2050 \n \n1-877-767-2992 (toll-free) www.pnws-awwa.org\n An official committee of the PNWS-AWWA \nthat has a well-defined membership representing \nthe Pacific Northwest states. The Committee publishes numerous CCC-related manuals, pro-\nvides CCC training and offers CCS scholarships \nfor systems with <\n 2500 connections. The \nCommittee holds quarterly meetings that are \nopen to all interested parties. • Cross-Connection Control Manual, Accepted Procedure and Practice – 6\nth Edition \n• Summary of Backflow Incidents – 4th Edition \n• Backflow Incident Investigation Procedures* \n• Numerous CCC public education brochures \n \n*First 3 publications available on CD-ROM for \n$25. \nClackamas Community College \n \n19600 South Molalla Ave Oregon City OR 97045 \n \n(503) 675-6958 www.clackamas.cc.or.us\n Clackamas Community College is one of the \nprincipal training centers in Oregon for drinking \nwater related subjects, including CCC. The Water and Environmental Technology Program \noffers Certificate and Associate of Applied \nScience Degree Programs. \n \n Clackamas offers various CCC courses including \nthose designed to prepare individuals for the CCS \nand BAT certification exams, such as: \n• General CCC classes \n• Inspector (CCS) classes \n• BAT classes and exams \n \nNational \nAmerican Backflow Prevention Asso-ciation (ABPA) \n P. O. Box 3051 \nBryan, TX 77805-3051 \n \n(979) 846-7606 www.abpa.org\n An international organization whose members \nare from all aspects of the backflow prevention \nindustry including, building officials, standards \norganizations, CCC professionals, assembly test-ers, plumbers, public health officials and back-\nflow preventer manufacturers. Annual dues are \n$30.00. • ABPA News (bimonthly publication with news \nand technical articles on the CCC industry) \n• The Dangers of Cross-Connections (video for \npublic water systems on the need for CCC pro-grams and how to develop them) \n• Website has a forum for discussion of CCC \ntopics \n_______________________________________________________________________________________________________________________________ ___ \nCross-Connection Control for Small Wate r Systems March 2004 Appendix F Page 247 Organization Information Description Resources Available \n(Publications in Italics) \nUniversity of Southern California \nFoundation for Cross-Connection \nControl and Hydraulic Research \n \nKaprielian Hall - 200 \nLos Angeles, CA 90089-2531 \n(213) 740-2032 \n \nwww.usc.edu/dept/fccchr The Foundation, associated with the University \nof Southern California, conducts research and \nhas products and services (technical assistance) to help public water systems and others with \ntheir CCC programs. The Foundation has a \ncomprehensive backflow assembly evaluation program, publishes a list of approved backflow \nprevention assemblies, and publishes a CCC \nmanual. Annual membership costs vary depend-ing on system size and/or type of organization. • Manual of Cross-Connection Control, 9\nth Edi-\ntion (10th Edition currently under development) \n• List of Approved Backflow Prevention Assem-\nblies (for Foundation members only) \n• Website has useful introduction to CCC and \nprevention of backflow \nDrinking Water and Backflow Pre-\nvention S.F.A. Enterprises, Inc. \nP.O. Box 33209 \nNorthglenn, CO 80233-9951 \n1-888-367-3927 (toll-free) www.dwbp-online.com\n A private company whose emphasis is to provide \ninformation and assist in the awareness of the \npotential hazards associated with the quality of drinking water supply. • Drinking Water and Backflow Prevention. (a \nmonthly magazine with news and technical ar-ticles about CCC and backflow prevention in-dustry) \n \n_______________________________________________________________________________________________________________________________ ___ \nCross-Connection Control for Small Wate r Systems March 2004 Appendix F Page 248 Cross-Connection Control Software \n \nThe following list iden tifies some of the compan ies that supply PC software database ma nagement programs for cross-connection c ontrol. \nThe average price is in excess of $1,000. However, prices often depend upon the maxi mum number of assemblies being tracked. M any \ncompanies have free de mo CDs available. Note: appearance on this list does not constitute an endo rsement by DOH. \n \nSoftware Program Title Company Name and Address Contact Information \nBPMS BPMS Software \n \n4060 Irmin St \nBurnaby, British Columbia \nCanada V5J 1X4 www.bpms.net \n \n1-877-250-2698 (toll-free) \nEmail: bpms@bpms.net \n \nC4-Complete Cross Connection Control \nSoftware Hydro Designs, Inc. \n2222 Franklin Road, #200 \nBloomfield Hills, MI 48302 www.hydrodesignsinc.com \n \n(248) 335-3122 Email: Jhudak@hydrodesignsinc.com\n \n \nCHS MMIS7 for Water CHS Software & Consulting, Inc. \n \n12507 Bel-Red Rd., Ste 101 \nBellevue, WA 98005 www.chssoftware.com \n \n(425) 637-3693 \nEmail: chs@seanet.com \n \nCross-Track BMI \n \n17752 NE San Rafael St \nPortland, OR 97230 www.bmi-backflow.com \n \n1-800-841-7689 (toll-free) \nEmail: support@bmi-backflow.com \n \n_______________________________________________________________________________________________________________________________ ___ \nCross-Connection Control for Small Wate r Systems March 2004 Appendix F Page 249 Software Program Title Company Name and Address Contact Information \nSmart Water Systems Smart Water Systems \n \nP O Box 481 \nManchester, WA 98353-0481 (No website at present) \n \n(360) 871-4987 \nEmail: gherbison@netscape.net \n \nSpecialized Systems Software Specialized Systems Software \n356 NE Kingwood Place \nCollege Place, WA 99324 www.specsys.us \n \n(509) 629-0877 \nEmail: info@specsys.us\n \n \nTokay Backflow Prevention Management Software Tokay Software \nP O Box 2439 \nFramingham, MA 01703 www.tokay.com \n \n1-800-865-2965 (Toll-free) \nEmail: tokay@tokay.com\n \n \nXC2 Engsoft Solutions \n \n9 Mono Avenue \nFairfax, CA 94930 www.engsoft.com \n \n1-800-761-4999 (Toll-free) \nEmail: XC2@engsoft.com \n \n \n " }

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{ "pdf_file": "CJ32H5HOWQQX3XKCOKS7HVZ4Z4RO33YK.pdf", "text": "215Federal Railroad Administration, DOT §219.300\n(h) Except as provided in §219.201\n(with respect to non-qualifying events),each specimen (including each splitspecimen) provided under this subpartis retained for not less than threemonths following the date of the acci-dent or incident (two years from thedate of the accident or incident in thecase of a specimen testing positive foralcohol or a controlled substance).Post-mortem specimens may be madeavailable to the National Transpor-tation Safety Board (on request).\n(i) An employee (donor) may, within\n60 days of the date of the toxicology re-port, request that his or her split speci-men be tested by the designated lab-oratory or by another laboratory cer-tified by Health and Human Servicesunder that Department ’s Guidelines for\nFederal Workplace Drug Testing Pro-grams that has available an appro-priate, validated assay for the fluid andcompound declared positive. Sincesome analytes may deteriorate duringstorage, detected levels of the com-pound shall, as technically appropriate,be reported and considered corrobora-tive of the original test result. Any re-quest for a retest shall be in writing,specify the railroad, accident date andlocation, be signed by the employee/donor, be addressed to the AssociateAdministrator for Safety, Federal Rail-road Administration, Washington, DC20590, and be designated ‘‘ADMINIS-\nTRATIVELY CONFIDENTIAL: AT-TENTION ALCOHOL/DRUG PROGRAMMANAGER. ’’ The expense of any em-\nployee-requested split specimen test ata laboratory other than the laboratorydesignated under this subpart shall beborne by the employee.\n§219.213 Unlawful refusals; con-\nsequences.\n(a) Disqualification . An employee who\nrefuses to cooperate in providingbreath, blood or urine specimens fol-lowing an accident or incident speci-fied in this subpart must be withdrawnfrom covered service and must bedeemed disqualified for covered servicefor a period of nine (9) months in ac-cordance with the conditions specifiedin §219.107.\n(b) Procedures . Prior to or upon with-\ndrawing the employee from coveredservice under this section, the railroadmust provide notice of the reason for\nthis action and an opportunity forhearing before a presiding officer otherthan the charging official. The em-ployee is entitled to the proceduralprotection set out in §219.104(d).\n(c) Subject of hearing . The hearing re-\nquired by this section must determinewhether the employee refused to sub-mit to testing, having been requestedto submit, under authority of this sub-part, by a representative of the rail-road. In determining whether a dis-qualification is required, the hearingofficial shall, as appropriate, also con-sider the following:\n(1) Whether the railroad made a good\nfaith determination, based on reason-able inquiry, that the accident or inci-dent was within the mandatory testingrequirements of this subpart; and\n(2) In a case where a blood test was\nrefused on the ground it would be in-consistent with the employee ’s health,\nwhether such refusal was made in goodfaith and based on medical advice.\nSubpart D —Testing for Cause\n§219.300 Mandatory reasonable sus-\npicion testing.\n(a) Requirements . (1) A railroad must\nrequire a covered employee to submitto an alcohol test when the railroadhas reasonable suspicion to believethat the employee has violated anyprohibition of subpart B of this partconcerning use of alcohol. The rail-road’s determination that reasonable\nsuspicion exists to require the coveredemployee to undergo an alcohol testmust be based on specific, contempora-neous, articulable observations con-cerning the appearance, behavior,speech or body odors of the employee.\n(2) A railroad must require a covered\nemployee to submit to a drug testwhen the railroad has reasonable sus-picion to believe that the employee hasviolated the prohibitions of subpart Bof this part concerning use of con-trolled substances. The railroad ’s de-\ntermination that reasonable suspicionexists to require the covered employeeto undergo a drug test must be basedon specific, contemporaneous,articulable observations concerningthe appearance, behavior, speech or\nVerDate 11<MAY>2000 09:16 Nov 28, 2001 Jkt 194203 PO 00000 Frm 00215 Fmt 8010 Sfmt 8010 Y:\\SGML\\194203T.XXX pfrm01 PsN: 194203T" }

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{ "pdf_file": "DG45DWPFVSPLLJLFUHTJUGTYNSX7WEMF.pdf", "text": "M7054.MAP (Color Comp)" }

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{ "pdf_file": "GVQFFTBHO2WYEON7YRSWGOKKT4BFLY3P.pdf", "text": "FREE COMPUTER \nCLASSES!\nPotsdam Public Library Computer Center is hosting the\nfollowing classes taught by North Country Library System!\nThis ad is paid for with funds from the \nAPRA/BTOP Grant\nTo Register, call Potsdam Computer Center at the \nPotsdam Public Library at 265-7230 and ask for Ren é or Bob\nCheck out our website linked to the Potsdam Library website:\nwww.potsdamlibrary.orgFRIDAY  S EPTEMBER 9\n10AM - N OON\nDownloading\nE-Books & Audio \nBooks from a Library\n1PM - 3PM\nSocial Networking\nHow & Why to Use \nFacebook, LinkedIn, Twitter\nMONDAY  S EPT. 12  9 AM-11AM\nComputer 101 \nFiles, Folders  Shortcuts  Backup & more\nTUESDAY , SEPT. 13 - T UESDAY , OCT. 18\nQuickbooks Series\nEvery Tuesday 9am - 10:30am\nTUESDAY  S EPT. 13  6:00 - 7:30 PM\nMicrosoft Excel\nIntermediate Level\n7-week course  Tues. & Thurs. evenings FREE COMPUTER \nCLASSES!\nPotsdam Public Library Computer Center is hosting the\nfollowing classes taught by North Country Library System!\nThis ad is paid for with funds from the \nAPRA/BTOP Grant\nTo Register, call Potsdam Computer Center at the \nPotsdam Public Library at 265-7230 and ask for Ren é or Bob\nCheck out our website linked to the Potsdam Library website:\nwww.potsdamlibrary.orgFRIDAY  S EPTEMBER 9\n10AM - N OON\nDownloading\nE-Books & Audio \nBooks from a Library\n1PM - 3PM\nSocial Networking\nHow & Why to Use \nFacebook, LinkedIn, Twitter\nMONDAY  S EPT. 12  9 AM-11AM\nBasic Computer \nFiles, Folders  Shortcuts  Backup & more\nTUESDAY , SEPT. 13 - T UESDAY , OCT. 18\nQuickbooks Series\nEvery Tuesday 9am - 10:30am\nTUESDAY  S EPT. 13  6:00 - 7:30 PM\nMicrosoft Excel\nIntermediate Level\n7-week course  Tues. & Thurs. evenings FREE COMPUTER \nCLASSES!\nPotsdam Public Library Computer Center is hosting the\nfollowing classes taught by North Country Library System!\nThis ad is paid for with funds from the \nAPRA/BTOP Grant\nTo Register, call Public Computer Center (PCC) at the \nPotsdam Public Library at 265-7230 and ask for Ren é or Bob\nCheck out our website linked to the Potsdam Library website:\nwww.potsdamlibrary.orgMONDAY\nSEPTEMBER 19\n9AM - 11 AM\nMicrosoft Word \n2010\n ~ Basic Word ~\nTHURSDAY  S EPT. 22  1 PM - 3PM\nCreating a Website: One-on-One \nAnd be able to manage it yourself\nFRIDAY  S EPT. 23  10 AM - N OON\nCreating a Website: One-on-One\nFRIDAY  S EPT. 23  1 PM - 3PM\nGoogle Earth & Google MapsTHURSDAY  S EPT. 22\n10AM - N OON\nMicrosoft Excel \n2010\nNew 2010 Version \nvs 2007 & 2003\n" }

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{ "pdf_file": "BYKJN2BUL5GMFA37AT54WTXVMPB5CXQL.pdf", "text": "54051 Federal Register / Vol. 68, No. 178 / Monday, September 15, 2003 / Notices \nDEPARTMENT OF THE TREASURY\nInternal Revenue Service Proposed Collection; Comment \nRequest for Form 8854\nAGENCY: Internal Revenue Service (IRS), \nTreasury.\nACTION: Notice and request for \ncomments. \nSUMMARY: The Department of the \nTreasury, as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other Federal agencies to take this opportunity to comment on proposed and/or continuing information collections, as required by the Paperwork Reduction Act of 1995, Public Law 104 –13 (44 U.S.C. \n3506(c)(2)(A)). Currently, the IRS is soliciting comments concerning Form 8854, Expatriation Initial Information Statement.\nDATES: Written comments should be \nreceived on or before November 14, 2003 to be assured of consideration.\nADDRESSES : Direct all written comments \nto Glenn P. Kirkland, Internal Revenue Service, room 6411, 1111 Constitution Avenue NW., Washington, DC 20224.\nFOR FURTHER INFORMATION CONTACT : \nRequests for additional information or copies of the form and instructions should be directed to Carol Savage at Internal Revenue Service, room 6407, 1111 Constitution Avenue NW., Washington, DC 20224, or at (202) 622 –\n3945, or through the internet at CAROL.A.SAVAGE@irs.gov.\nSUPPLEMENTARY INFORMATION : Title: \nExpatriation Initial Information Statement. \nOMB Number: 1545 –1567. \nForm Number: 8854. \nAbstract: Internal Revenue Code \nSection 6039G requires persons who lose U.S. citizenship to provide information concerning citizenship, income tax liability, net worth, and net assets. Form 8854 is used to report this information. \nCurrent Actions: There are no changes \nbeing made to the form at this time. \nType of Review: Extension of a \ncurrently approved collection. \nAffected Public: Individuals or \nhouseholds. \nEstimated Number of Respondents —\nPart I: 10,000. \nEstimated Number of Respondents —\nParts I and II: 1,000. \nEstimated Time Per Respondent —Part \nI: 1 hour, 46 minutes. \nEstimated Time Per Respondent —\nParts I and II: 7 hours, 8 minutes. Estimated Total Annual Burden \nHours: 23,060. \nThe following paragraph applies to all \nof the collections of information covered by this notice: \nAn agency may not conduct or \nsponsor, and a person is not required to respond to, a collection of information unless the collection of information displays a valid OMB control number. Books or records relating to a collection of information must be retained as long as their contents may become material in the administration of any internal revenue law. Generally, tax returns and tax return information are confidential, as required by 26 U.S.C. 6103. \nRequest for Comments: Comments \nsubmitted in response to this notice will be summarized and/or included in the request for OMB approval. All comments will become a matter of public record. Comments are invited on: (a) Whether the collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility; (b) the accuracy of the agency ’s estimate \nof the burden of the collection of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology; and (e) estimates of capital or start-up costs and costs of operation, maintenance, and purchase of services to provide information.\nApproved: September 8, 2003. \nGlenn P. Kirkland, IRS Reports Clearance Officer.[FR Doc. 03 –23466 Filed 9 –12–03; 8:45 am] \nBILLING CODE 4830 –01–P\nDEPARTMENT OF THE TREASURY\nInternal Revenue Service Proposed Collection; Comment \nRequest for Form 706-GS(T)\nAGENCY: Internal Revenue Service (IRS), \nTreasury.\nACTION: Notice and request for \ncomments. \nSUMMARY: The Department of the \nTreasury, as part of its continuing effort to reduce paperwork and respondent burden, invites the general public and other Federal agencies to take this opportunity to comment on proposed and/or continuing information collections, as required by the Paperwork Reduction Act of 1995, Public Law 104 –13 (44 U.S.C. \n3506(c)(2)(A)). Currently, the IRS is soliciting comments concerning Form 706–GS(T), Generation-Skipping \nTransfer Tax Return For Terminations.\nDATES: Written comments should be \nreceived on or before November 14, 2003 to be assured of consideration.\nADDRESSES : Direct all written comments \nto Glenn P. Kirkland, Internal Revenue Service, room 6411, 1111 Constitution Avenue NW., Washington, DC 20224.\nFOR FURTHER INFORMATION CONTACT : \nRequests for additional information or copies of the form and instructions should be directed to Carol Savage at Internal Revenue Service, room 6407, 1111 Constitution Avenue NW., Washington, DC 20224, or at (202) 622 –\n3945, or through the internet at CAROL.A.SAVAGE@irs.gov.\nSUPPLEMENTARY INFORMATION : Title: \nGeneration-Skipping Transfer Tax Return For Terminations. \nOMB Number: 1545 –1145. \nForm Number: 706–GS(T). \nAbstract: Form 706 –GS(T) is used by \ntrustees to compute and report the tax due on generation-skipping transfers that result from the termination of interests in a trust. The IRS uses the information to verify that the tax has been properly computed. \nCurrent Actions: There are no changes \nbeing made to the form at this time. \nType of Review: Extension of a \ncurrently approved collection. \nAffected Public: Individuals or \nhouseholds. \nEstimated Number of Respondents: \n100. \nEstimated Time Per Respondent: 7 \nhours, 1 minute. \nEstimated Total Annual Burden \nHours: 702. \nThe following paragraph applies to all \nof the collections of information covered by this notice: \nAn agency may not conduct or \nsponsor, and a person is not required to respond to, a collection of information unless the collection of information displays a valid OMB control number. Books or records relating to a collection of information must be retained as long as their contents may become material in the administration of any internal revenue law. Generally, tax returns and tax return information are confidential, as required by 26 U.S.C. 6103. \nRequest for Comments: Comments \nsubmitted in response to this notice will be summarized and/or included in the request for OMB approval. All comments will become a matter of public record. Comments are invited on: (a) Whether the collection of information is necessary for the proper \nVerDate jul<14>2003 16:02 Sep 12, 2003 Jkt 200001 PO 00000 Frm 00096 Fmt 4703 Sfmt 4703 E:\\FR\\FM\\15SEN1.SGM 15SEN1" }

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{ "pdf_file": "SQLC3S4MW5EPXOWILIWFDKDOYRHJ5CK2.pdf", "text": "United States Depament of Agriculhlre \nAnimal and Plat Heanh lmpedion Service WSEY \n4042 cust-id \n260223 insp-id \n1451 site-id \nSHARON GRAVES Customer 10: 4042 \nROCK CREEK KENNEL Certificate: 7sA-0568 \nSite: 001 \nSHARON GRAVES \nInspection \nType: ROUTINE INSPECTION \nDate: NOV-16-2005 \n2.40 ( a 1 1 ) \nATTENDING VETERINARIAN AND ADEQUATE VETERINARY CARE (DEALERS AND EXHIBITORS). \n(1) Each dealer and exhibitor shall employ an attending veterinanan under formal arrangements. In the case of a part-time \nattending veterinarian or consultant arrangements, the formal arrangements shall include a writlen program of velerina~ \ncare and regularly scheduled visits to the premises of the dealer or exhibitor, and \nThe attending velerinaw to make a on site visit to the facility once a year \nCorrection date 11-30-2005 \nPrepared By: \nAnimal Care Date: \nTitle: - ---- - 020 NOV-16-2005 \nReceived By: \nDate: \nTitle: ------------ NOV-16-2005 \nPage 1 of 1 (b)(6) & (b)(7)(C)" }

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{ "pdf_file": "XRB6BJ4SUI4BCJFSCPSBSJZGJQGAWI2A.pdf", "text": "eProposal Jan -2009\nCALL NO. 420\nCONTRACT ID. 123225\nCHRISTIAN COUNTY\nFED/STATE PROJECT NUMBER 024GR12R052 -CB06\nDESCRIPTION VARIOUS ROUTES IN CHRISTIAN COUNTY\nWORK TYPE ASPHALT RESURFACING\nPRIMARY COMPLETION DATE 11/30/2012\nLETTING DATE: June 15, 2012\nSealed Bids will be rece ived electroni cally through the Bid Express bidding service until \n10:00 AM EASTERN DAYLIGHT TIME June 15, 2012 . Bids will be publicly announced\nat 10:00 AM EASTERN DAYLIGHT TIME .\nREQUIRED BID PROPOSAL GUARANTY: Not less than 5% of the total bid.\n TABLE OF CONTENTS\nPART I SCOPE OF WORK\n•PROJECT(S), COMPLETION DATE(S), & LIQUIDATED DAMAGES\n•CONTRACT NOTES\n•STATE CONTRACT NOTES\n•ASPHALT MIXTURE\n•AGGREGATE FOR MAILBOX TURNOUTS\n•INCIDENTAL SURFACING\n•FUEL AND ASPHALT PAY ADJUSTMENT\n•COMPACTION OPTION B\n•EDGE KEY\n•ASPHALT MILLING AND TEXTURING\n•TYPICAL SECTION DIMENSIONS\n•TRAFFIC CONTROL PLAN\n•SKETCH MAP(S)\n•MATERIAL SUMMARY\n•SUMMARY SHEET(S)\n•TYPICAL SECTION(S)\n•BRIDGE DETAIL FOR PAVING PROJECT\nPART II SPECIFICATIONS AND STANDARD DRAWINGS\n•SPECIFICATIONS REFERENCE\n•STANDARD DRAWINGS THAT APPLY\nPART III EMPLOYMENT, WAGE AND RECORD REQUIREMENTS\n•LABOR AND WAGE REQUIREMENTS\n•EXECUTIVE BRANCH CODE OF ETH ICS\n•KENTUCKY EQUAL EMPLOYMENT OPPORTUNITY ACT OF 1978\n•PROJECT WAGE RATES\nPART IV INSURANCE\nPART V BID ITEMSCHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 2 of 57 \n \nPART I \n \nSCOPE OF WORK \n CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 3 of 57 CONTRACT ID - 123225 ADMINISTRATIVE DISTRICT - 02\nPROJECT(S) IDENTIFICATION AND DESCRIPTION:\nCOUNTY - CHRISTIAN\n024GR12R052-CB06 VARIOUS ROUTES IN CHRISTIAN COUNTY\nCOUNTY - CHRISTIAN PES - 0202401071201\nCB06 024 0107 034-037\nGREENVILLE ROAD (KY 107) FROM KY 800 (MP 34.148) EXTENDING EAST TO TODD COUNTY LINE (MP\n36.151), A DISTANCE OF 2.00 MILES. ASPHALT RESURFACING.\nGEOGRAPHIC COORDINATES LATITUDE 37^00'52\" LONGITUDE 87^17'15\"\nAVERAGE DAILY TRAFFIC - 530 AVERAGE MAINLINE WIDTH - 19.0 FEET\nCOUNTY - CHRISTIAN PES - 0202403451202\nCB06 024 0345 004-008\nPALMYRA ROAD (KY 345) FROM KY 117 (MP 4.050) EXTENDING NORTH TO KY 107 (MP 7.275), A\nDISTANCE OF 3.23 MILES. ASPHALT RESURFACING.\nGEOGRAPHIC COORDINATES LATITUDE 36^43'53\" LONGITUDE 87^31'46\"\nAVERAGE DAILY TRAFFIC - 553 AVERAGE MAINLINE WIDTH - 19.0 FEET\nCOUNTY - CHRISTIAN PES - 0202403451204\nCB06 024 0345 009-011\nHUFFMAN MILL ROAD (KY 345) FROM BREKEIS LANE (CR 1269) (MP 9.572) EXTENDING NORTH TO KY\n695 (MP 10.662), A DISTANCE OF 1.09 MILES. ASPHALT RESURFACING.\nGEOGRAPHIC COORDINATES LATITUDE 36^56'05\" LONGITUDE 87^36'42\"\nAVERAGE DAILY TRAFFIC - 202 AVERAGE MAINLINE WIDTH - 17.0 FEET\nCOUNTY - CHRISTIAN PES - 0202406951203\nCB06 024 0695 007-011\nCOX MILL ROAD (KY 695) FROM KY 345 (MP 7.264) EXTENDING NORTH TO US 68B (MP 10.066), A\nDISTANCE OF 2.80 MILES. ASPHALT RESURFACING.\nGEOGRAPHIC COORDINATES LATITUDE 36^49'22\" LONGITUDE 87^32'58\"\nAVERAGE DAILY TRAFFIC - 429 AVERAGE MAINLINE WIDTH - 20.0 FEET\nCOMPLETION DATE(S):\nCOMPLETION DATE - November 30, 2012\nAPPLIES TO ENTIRE CONTRACTCHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 4 of 57 CONTRACT NOTES \n PROPOSAL ADDENDA\n \nAll addenda to this proposal must be applie d when calculating bid and certified in the bid \npacket submitted to the Kentucky Department of Highways. Failure to use the correct and most recent addenda may result in the bid being rejected. \nBID SUBMITTAL\n \nBidder must use the Department’s Expedite Bidding Program available on the Internet \nweb site of the Department of Highways, Division of Construction Procurement. \n(www.transportation.ky.gov/contract ) \n The Bidder must download the bid file located on the Bi d Express website \n(www.bidx.com) to prepare a bid packet for submission to the Department. The bidder must submit electronically using Bid Express. \nJOINT VENTURE BIDDING\n \nJoint venture bidding is permissible. A ll companies in the joint venture must be \nprequalified in one of the work types in the Qualifications for Bidders for the project. The bidders must get a vendor ID for the join t venture from the Division of Construction \nProcurement and register the joint venture as a bidder on the project. Also, the joint \nventure must obtain a digital ID from Bid E xpress to submit a bid. A joint bid bond of \n5% may be submitted for both companies or each company may submit a separate bond \nof 5%. \n \nUNDERGROUND FACILITY DAMAGE PROTECTION\n \nThe contractor is advised that the Underg round Facility Damage Protection Act of 1994, \nbecame law January 1, 1995. It is the contracto r’s responsibility to determine the impact \nof the act regarding this projec t, and take all steps necessary to be in compliance with the \nprovision of the act. \n \nSPECIAL NOTE FOR PIPE INSPECTION\n \nContrary to Section 701.03.08 of the 2012 Standa rd Specifications for Road and Bridge \nConstruction and Kentucky Method 64-114, certification by th e Kentucky Transportation \nCenter for prequalified Contr actors to perform laser/video inspection is not required on \nthis contract. It will continue to be a re quirement for the Contractor performing any \nlaser/video pipe inspection to be prequalified for this specialized item with the Kentucky \nTransportation Cabinet-Division of Construction Procurement. \n CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 5 of 57 REGISTRATION WITH THE SECRET ARY OF STATE BY A FOREIGN \nENTITY \nPursuant to KRS 176.085(1)(b), an agency, depa rtment, office, or poli tical subdivision of \nthe Commonwealth of Kentucky shall not award a state contract to a person that is a \nforeign entity required by KRS 14A.9-010 to obtain a certificate of authority to transact \nbusiness in the Commonwealth (“certificat e”) from the Secretary of State under KRS \n14A.9-030 unless the person produces the certificate within fourteen (14) days of the bid \nor proposal opening. If the foreign entity is not required to obtain a certificate as \nprovided in KRS 14A.9-010 , the foreign entity should identify the applicable exception. \nForeign entity is defined within KRS 14A.1-070 . \n \nFor all foreign entities required to obtain a certificate of authority to transact \nbusiness in the Commonwealth, if a copy of the certificate is not received by the \ncontracting agency within th e time frame identified ab ove, the foreign entity’s \nsolicitation response shall be deemed non-responsive or the awarded contract shall \nbe cancelled. \n \nBusinesses can register with the Secretary of State at https://secure.kentucky.gov/sos/ftbr/welcome.aspx\n . \n \n \n \nSPECIAL NOTE FOR PROJECT QUES TIONS DURING ADVERTISEMENT \n \nQuestions about projects during the advertis ement should be submitted in writing to the \nDivision of Construction Procurement. This may be done by fax (502) 564-7299 or \nemail to kytc.projectquestions@ky.gov . The Department will attempt to answer all \nsubmitted questions. The Department reserves the right not to answer if the question is \nnot pertinent or does not aid in clarifying the project intent. \nThe deadline for posting answers will be 3:00 pm Eastern Daylight Time, the day \npreceding the Letting. Questions may be submitted until this deadline with the understanding that the later a question is subm itted, the less likely an answer will be able \nto be provided. \nThe questions and answers will be posted for each Letting under th e heading “Questions \n& Answers” on the Construction Procurement website (www.transportation.ky.gov/contract\n). The answers provided shall be considered part of \nthis Special Note and, in case of a di screpancy, will govern over all other bidding \ndocuments. \nACCESS TO RECORDS \nThe contractor, as defined in KRS 45A.030 (9) agrees that the contracting agency, the \nFinance and Administration Cabinet, the Audito r of Public Accounts, and the Legislative \nResearch Commission, or their duly authorized representatives, sh all have access to any \nbooks, documents, papers, records, or other evid ence, which are directly pertinent to this CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 6 of 57 contract for the purpose of financial audi t or program review. Records and other \nprequalification information confidentially disc losed as part of the bid process shall not \nbe deemed as directly pertinen t to the contract and shall be exempt from disclosure as \nprovided in KRS 61.878(1)(c). The contractor also recognizes that any books, documents, \npapers, records, or other evidence, received during a financial audit or program review \nshall be subject to the Kentucky Open Records Act, KRS 61.870 to 61.884. \nIn the event of a dispute between the contra ctor and the contrac ting agency, Attorney \nGeneral, or the Auditor of Public Acc ounts over documents that are eligible for \nproduction and review, the Fina nce and Administration Cabine t shall review the dispute \nand issue a determination, in accordance with Secretary's Order 11-004. (See attachment) \n \n 10/18/2011 CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 7 of 57 SPECIAL NOTE FOR RECI PROCAL PREFERENCE \n \nReciprocal preference to be given by public agenc ies to resident bidders \nBy reference, KRS 45A.490 to 45A.494 are incorporated herein and in compliance \nregarding the bidders residency. Bidders who want to claim resident bidder status \nshould complete the Affidavit for Claiming Resident Bidder Status along with their \nbid in the Expedite Bidding Program. Subm ittal of the Affidavit should be done \nalong with the bid in Bid Express. \n \n \n \n \n \n \n \n \n \n \n \n03/01/2011 \n CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 8 of 57 \nASPHALT MIXTURE\nUnless otherwise noted, the Department estimates the rate of application for all asphalt mixtures to be 110 lbs/sy per inch of depth.\n \nAGGREGATE FOR MAILBOX TURNOUTS\nFurnish Aggregate for Mailbox Turnouts according to Section 805.14. Construct Aggregate for Mailbox Turnouts according to\nSection 209.03.02 and Standard Drawing RPM-110-06. Compact the aggregate as directed by the Engineer.\nThe Department will not measure necessary grading, shaping, and compacting of existing shoulders and mailbox turnouts prior to\nplacing of Aggregate for Mailbox Turnouts for separate payment, but shall be incidental to the Contract unit price per ton for\nAggregate for Mailbox Turnouts. The Department will not measure grading, shaping, and compacting of the Aggregate for Mailbox\nTurnouts for separate payment, but shall be incidental to the Contract Unit Price per ton for Aggregate for Mailbox Turnouts.\nAccept payment at the Contract unit price per ton as full compensation for all labor, materials, equipment, and incidentals for grading,\nshaping, and compacting of existing shoulders and mailbox turnouts and furnishing, grading, shaping, and compacting Aggregate for\nMailbox Turnouts.\n \nINCIDENTAL SURFACING\nThe Department has included in the quantities of asphalt mixtures established in the proposal estimated quantities required for\nresurfacing or surfacing mailbox turnouts, farm field entrances, residential and commercial entrances, curve widening, ramp gores and\ntapers, and road and street approaches, as applicable. Pave these areas to the limits as shown on Standard Drawing RPM-110-06 or as\ndirected by the Engineer. In the event signal detectors are present in the intersecting streets or roads, pave the crossroads to the right\nof way limit or back of the signal detector, whichever is the farthest back of the mainline. Surface or resurface these areas as directed\nby the Engineer. The Department will not measure placing and compacting for separate payment but shall be incidental to the\nContract unit price for the asphalt mixtures.\n \nFUEL AND ASPHALT PAY ADJUSTMENT\nThe Department has included the Contract items Asphalt Adjustment and Fuel Adjustment for possible future payments at an\nestablished Contract unit price of $1.00. The Department will calculate actual adjustment quantities after work is completed. If\nexisting Contract amount is insufficient to pay all items on the contract with the adjustments, the Department will establish additional\nmonies with a change order.\n \nOPTION B\nBe advised that the Department will control and accept compaction of asphalt mixtures furnished on this project under OPTION B in\naccordance with Sections 402 and 403.CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 9 of 57 SPECIAL NOTE FOR EDGE KEY\nConstruct Edge Key s at the beginning of project, end of project, at railroad crossings, and at \nramps, as applicable. Unless specified in the Contract or directed by the Engineer, d o not \nconstruct edge key s at i ntersecting stree ts, roads, al leys, or entrances. Cut out the exi sting \nasphalt surface to the required depth and width shown on the drawing and h eel the new surface \ninto the existing surface. The Department will make payment for this work at the Contract uni t \nprice per t on for Asphalt Pavement Milling and Texturing, which shall be full compensation for all \nlabor, materials, equipment, and incidentals for removal and disposal of the existing asphalt \nsurface required to construct the edge key.\nThickness = 1 Inch\nL = 100 LF\nL= Length of Edge Key\n1-3309 Edge key by Ton\n01/02//2012\nCHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 10 of 57 SPECIAL NOTE FOR\nASPHALT MILLING AND TEXTURING\nBegin paving operations within 48 hours ofcommencement of the milling operation. Continue \npaving operations continuously until completed. If paving operations are not begun within this \ntime period, the De partm ent will assess liquidated damages at the rate prescribed by Section \n108.09 until such time as paving operations are begun.\nContrary to Secti on 408, the Department will retain possession of the material obtained from the \nmilling o perati ons. Deliver this mat erial to the State Maintenance facility in _Christian ______\nCounty .\nNOTICE TO CONTRACTOR: The Department considers t ransfer of millings to the state \nmaintenance facility to be a part of the construction project, therefore truck operators are \nsubject to receiving prevailing wages.\n1-3530 48 hours State keeps millings\n01/2/2012CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 11 of 57 SPECIAL NOTE FOR TYPICAL SECTION DIMENSIONS\nConsider t he dimensions shown on the typical sections for pavement and shoulder widths and \nthickness’ to be nominal or typical dimensions. The Engineer may direct or approve varying the \nactual dimensions to be constructed to fit existing conditions. Do not widen e xisting pavement or \nshoulders unless specified elsewhere in this proposal or directed by the engineer.\n1-3725 Typical Section Dimensions\n01/02/2012CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 12 of 57 TRAFFIC CONTROL PLAN \n \n \nTRAFFIC CONTROL GENERAL \nExcept as provided herein, traffic shall be maintain ed in accordance with the current editions of the \nStandard Specifications and Sta ndard Drawings. Except for the roadway and traffic control bid \nitems listed, all items of work necessary to maintain and control traffic will be paid at the lump sum \nbid price to \"Maintain and Control Traffic\". Contrary to Section 106.01, traffic control devices used on this project may be new, or used in like \nnew condition, at the beginning of the work and maintained in like new condition until completion of the work. PROJECT PHASING & CONSTRUCTION PROCEDURES \nAt the discretion of the Engineer, days and hours ma y be specified when lane closures will not be \nallowed. The Contractor may maintain alternating one way traffic during construction if the surface width is \n16 feet or greater. The clear lane width shall be a minimum of 8 feet. If traffic should be stopped due \nto construction operations, and a school bus on an o fficial run arrives on the scene, the Contractor \nshall make provisions for the passage of the bus as quickly as possible. LANE CLOSURES \nLane closures shall not be left in place during non-working hours. PAVEMENT EDGE DROP-OFFS A pavement edge between opposing directions of traffic or lanes that traffic is expected to cross in a \nlane change situation shall not have an elev ation difference greater than 1½”. Warning signs \n(MUTCD W8-11 or W8-9A) shall be placed in a dvance of and at 1500 feet intervals throughout the \ndrop-off area. Dual posting on both sides of the traveled way shall be required. All transverse \ntransitions between resurfaced and unresurfaced areas which traffic may cross shall be wedged with \nasphalt mixture for leveling and wedging. The wedges shall be removed prior to placement of the \nfinal surface course. Pavement edges that traffic is not expected to cross, except accidentally, shall be treated as follows: \n• Less than 2” - No protection required. \n• 2” to 4” - Place plastic drums, vertical panels, or barricades every 50 feet. Cones \nmay be used in place of plastic drums, panels, and barricades during daylight working hours. Wedge with asphalt mixtur e for leveling and wedging with a 1:1 \nor flatter slope in daylight hours, or 3:1 or flatter slope during nighttime hours, \nwhen work is not active in the drop-off area. \n SN 2lane TCP \n01/01/2009 CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 13 of 57 CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 14 of 57 CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 15 of 57 CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 16 of 57 CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 17 of 57 MATERIAL SUMMARY CONTRACT ID: 123225\nCB06 024 0107 034-037 PES NO: 0202401071201\nGREENVILLE ROAD (KY 107) FROM KY 800 (MP 34.148) EXTENDING EAST TO TODD COUNTY LINE\n(MP 36.151), A DISTANCE OF 2.000000 MILES.\nLINE NO BID CODE DESCRIPTION QUANTITY UNIT\n0050 00077 AGGREGATE FOR MAILBOX TURNOUTS 50.00 TON\n0040 00190 LEVELING & WEDGING PG64-22 313.00 TON\n0030 00301 CL2 ASPH SURF 0.38D PG64-22 1,650.00 TON\n0010 02562 SIGNS 190.00 SQFT\n0020 02650 MAINTAIN & CONTROL TRAFFIC 1.00 LS\nKY 107\n0100 02676 MOBILIZATION FOR MILL & TEXT 1.00 LS\nKY 107\n0090 02677 ASPHALT PAVE MILLING & TEXTURING 39.00 TON\n0070 06510 PAVE STRIPING-TEMP PAINT-4 IN 8,170.00 LF\n0060 06514 PAVE STRIPING-PERM PAINT-4 IN 16,339.00 LF\n0120 10020NS FUEL ADJUSTMENT 2,684.00 DOLL\n0110 10030NS ASPHALT ADJUSTMENT 4,784.00 DOLL\n0130 02569 DEMOBILIZATION 1.00 LS\n____________________________________________________________________________________\nCB06 024 0345 004-008 PES NO: 0202403451202\nPALMYRA ROAD (KY 345) FROM KY 117 (MP 4.050) EXTENDING NORTH TO KY 107 (MP 7.275),\nA DISTANCE OF 3.230000 MILES.\nLINE NO BID CODE DESCRIPTION QUANTITY UNIT\n0050 00077 AGGREGATE FOR MAILBOX TURNOUTS 50.00 TON\n0040 00190 LEVELING & WEDGING PG64-22 436.00 TON\n0030 00301 CL2 ASPH SURF 0.38D PG64-22 2,330.00 TON\n0010 02562 SIGNS 210.00 SQFT\n0020 02650 MAINTAIN & CONTROL TRAFFIC 1.00 LS\nKY 345 004-008\n0095 02676 MOBILIZATION FOR MILL & TEXT 1.00 LS\nKY 345 004-008\n0090 02677 ASPHALT PAVE MILLING & TEXTURING 29.00 TON\n0070 06510 PAVE STRIPING-TEMP PAINT-4 IN 8,332.00 LF\n0060 06514 PAVE STRIPING-PERM PAINT-4 IN 16,663.00 LF\n0110 10020NS FUEL ADJUSTMENT 3,781.00 DOLL\n0100 10030NS ASPHALT ADJUSTMENT 6,664.00 DOLL\n0130 02569 DEMOBILIZATION 1.00 LS\n____________________________________________________________________________________CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 18 of 57 MATERIAL SUMMARY CONTRACT ID: 123225\nCB06 024 0345 009-011 PES NO: 0202403451204\nHUFFMAN MILL ROAD (KY 345) FROM BREKEIS LANE (CR 1269) (MP 9.572) EXTENDING NORTH TO\nKY 695 (MP 10.662), A DISTANCE OF 1.090000 MILES.\nLINE NO BID CODE DESCRIPTION QUANTITY UNIT\n0050 00077 AGGREGATE FOR MAILBOX TURNOUTS 50.00 TON\n0040 00190 LEVELING & WEDGING PG64-22 134.00 TON\n0030 00301 CL2 ASPH SURF 0.38D PG64-22 725.00 TON\n0010 02562 SIGNS 150.00 SQFT\n0020 02650 MAINTAIN & CONTROL TRAFFIC 1.00 LS\nKY 345\n0100 02676 MOBILIZATION FOR MILL & TEXT 1.00 LS\nKY 345\n0090 02677 ASPHALT PAVE MILLING & TEXTURING 13.00 TON\n0070 06510 PAVE STRIPING-TEMP PAINT-4 IN 5,013.00 LF\n0060 06514 PAVE STRIPING-PERM PAINT-4 IN 10,026.00 LF\n0120 10020NS FUEL ADJUSTMENT 1,174.00 DOLL\n0110 10030NS ASPHALT ADJUSTMENT 2,069.00 DOLL\n0130 02569 DEMOBILIZATION 1.00 LS\n____________________________________________________________________________________\nCB06 024 0695 007-011 PES NO: 0202406951203\nCOX MILL ROAD (KY 695) FROM KY 345 (MP 7.264) EXTENDING NORTH TO US 68B (MP 10.066),\nA DISTANCE OF 2.800000 MILES.\nLINE NO BID CODE DESCRIPTION QUANTITY UNIT\n0050 00077 AGGREGATE FOR MAILBOX TURNOUTS 50.00 TON\n0040 00190 LEVELING & WEDGING PG64-22 416.00 TON\n0030 00301 CL2 ASPH SURF 0.38D PG64-22 2,210.00 TON\n0010 02562 SIGNS 210.00 SQFT\n0020 02650 MAINTAIN & CONTROL TRAFFIC 1.00 LS\nKY 695\n0100 02676 MOBILIZATION FOR MILL & TEXT 1.00 LS\nKY 695\n0090 02677 ASPHALT PAVE MILLING & TEXTURING 38.00 TON\n0070 06510 PAVE STRIPING-TEMP PAINT-4 IN 13,415.00 LF\n0060 06514 PAVE STRIPING-PERM PAINT-4 IN 26,830.00 LF\n0150 06546 PAVE STRIPING-THERMO-12 IN W 362.00 LF\n0140 06574 PAVE MARKING-THERMO CURV ARROW 2.00 EACH\n0120 10020NS FUEL ADJUSTMENT 3,590.00 DOLL\n0110 10030NS ASPHALT ADJUSTMENT 6,326.00 DOLL\n0130 02569 DEMOBILIZATION 1.00 LS\n____________________________________________________________________________________CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 19 of 57 Milling Calculations (KY 107) \nEdge Key at KY 800 MP 34.148\n24 ft x 100 ft = 2400 sqft \n[( 2400 sqft / 9 ) x 110 / 2000] /2 = 8 tons \nBridge # 024B00017N @ MP 34.189\nMill Bridge Ends\n24 ft x 100 ft = 2400 sqft \n[( 2400 sqft / 9 ) x 110 / 2000] = 15 tons \nEdge Key at Todd/Christian Co. Line MP 36.151\n19 ft x 100 ft = 1900 sqft \n[( 1900 sqft / 9 ) x 110 / 2000] /2 = 6 tons \nSide Roads\n5 tons per side road x 2 side roads = 10 tons \nTotal = 39 tons CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 20 of 57 Milling Calculations (KY 345) \nEdge Key at KY 117 MP 4.050\n21 ft x 100 ft = 2100 sqft \n[( 2100 sqft / 9 ) x 110 / 2000] /2 = 7 tons \nEdge Key at KY 107 MP 7.275\n22 ft x 100 ft = 2200 sqft \n[( 2200 sqft / 9 ) x 110 / 2000] /2 = 7 tons \nSide Roads\n5 tons per side road x 3 side roads = 15 tons \nTotal = 29 tons CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 21 of 57 Milling Calculations (KY 345) \nEdge Key at KY 117 MP 9.572\n18 ft x 100 ft = 1800 sqft \n[( 1800 sqft / 9 ) x 110 / 2000] /2 = 6 tons \nEdge Key at KY 107 MP 10.662\n21 ft x 100 ft = 2100 sqft \n[( 2100 sqft / 9 ) x 110 / 2000] /2 = 7 tons \nTotal = 13 tons CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 22 of 57 Milling Calculations (KY 695) \nEdge Key at KY 345 MP 7.264\n22 ft x 100 ft = 2200 sqft \n[( 2200 sqft / 9 ) x 110 / 2000] /2 = 7 tons \nEdge Key at US 68B – Eagle Way Bypass MP 10.066\n51 ft x 100 ft = 5100 sqft \n[( 5100 sqft / 9 ) x 110 / 2000] /2 = 16 tons \nSide Roads\n5 tons per side road x 3 side roads = 15 tons \nTotal = 38 tons CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 23 of 57 CHRISTIAN COUNTY\nCB06 024 0107 034-037\nTYPICAL SECTION\nMILEPOINTS 34.148-36.151\n8.5-11 Ft 85-11 Ft17 - 22 Ft\n8.511 Ft\n1 ft 1 ft\nC1 in - CL 2 ASP SURF 0.38D, PG 64-22\n1i n* 1 in.*\nLEVELING & WEDGING, as directed by the \nProject Engineer\nAsphalt Shoulder \nCL 2 ASP SURF 0 38D PG 64 22\nAverage Depth = 1.0 in.Max. Width = 1 ft.Asphalt Shoulder CL 2 ASP SURF 0.38D, PG 64-22 \nAverage Depth = 1.0 in.Max. Width = 1 ft.CL 2 ASP SURF 0 .38D,PG 64 -22\n*Where Existing Site Conditions Permit\nNOTE: STRIPING AS DIRECTED BY ENGINEER.\nPage 1 TSPAVESURFACEshld\nTS1 107 MP 34.148-36.151CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 24 of 57 CHRISTIAN COUNTY\nCB06- 024 0345 004-008\nTYPICAL SECTION\nMILEPOINTS 4.050-7.275\n9-10 Ft 9-10 Ft18-20 Ft\n9-10 Ft 910 Ft\n1 ft 1 ft\nC1 in - CL 2 ASP SURF 0.38D, PG 64-22\n1i n* 1 in.*\nLEVELING & WEDGING, as directed by the \nProject Engineer\nAsphalt Shoulder \nCL 2 ASP SURF 0 38D PG 64 22\nAverage Depth = 1.0 in.Max. Width = 1 ft.Asphalt Shoulder CL 2 ASP SURF 0.38D, PG 64-22 \nAverage Depth = 1.0 in.Max. Width = 1 ft.CL 2 ASP SURF 0 .38D,PG 64 -22\n*Where Existing Site Conditions Permit\nNOTE: STRIPING AS DIRECTED BY ENGINEER.\nPage 1 TSPAVESURFACEshld\nTS1 345 MP 4.050-7.275CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 25 of 57 CHRISTIAN COUNTY\nCB06- 024 0695 007-011\nTYPICAL SECTION\nMILEPOINTS 7.264-9.894\n95-10 Ft 9.5-10 Ft19-20 Ft\n9.5-10 Ft\n1 ft 1 ft\nC1 in - CL 2 ASP SURF 0.38D, PG 64-22\n1i n* 1 in.*\nLEVELING & WEDGING, as directed by the \nProject Engineer\nAsphalt Shoulder \nCL 2 ASP SURF 0 38D PG 64 22\nAverage Depth = 1.0 in.Max. Width = 1 ft.Asphalt Shoulder CL 2 ASP SURF 0.38D, PG 64-22 \nAverage Depth = 1.0 in.Max. Width = 1 ft.CL 2 ASP SURF 0 .38D,PG 64 -22\n*Where Existing Site Conditions Permit\nNOTE: STRIPING AND PAVEMENT MARKINGS AS DIRECTED BY ENGINEER.\nPage 1 TSPAVESURFACEshld\nTS1 695 MP 7.264-9.894CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 26 of 57 36 Ft\n4 Ft\n7 FT\n*Where Existing Site Conditions Permit\n Note: Striping and Pavement Markings as directed by Engineer.C 1 in CL 2 ASP SUR 0.38D, PG64-22\nLEVELING & WEDGING AS DIRECTED BY THE PROJECT ENGINEER\nCL2 ASPH SURF 0.38D PG64-22\nAVERAGE DEPTH = 1 INCH\nMAX. WIDTH = 4 FT.CL2 ASPH SURF 0.38D PG64-22\nAVERAGE DEPTH - 1 INCH\nMAX. WIDTH = 7 FT.1\" 1\"12 Ft 12 Ft12 FtCHRISTIAN COUNTY\nCB06-024 695 007-011TYPICAL SECTION (3 LANE SECTION)\nMP 9.894 TO MP 10.066 \nAWedgShldrTypicalSection1 Page 1CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 27 of 57 CHRISTIAN COUNTY\nCB06- 024 0345 009-011\nTYPICAL SECTION\nMILEPOINTS 9.572-10.662\n8-95F t 8-95F t16-19 Ft\n89.5F t 89.5F t\n1 ft 1 ft\nC1 in - CL 2 ASP SURF 0.38D, PG 64-22\n1i n* 1 in.*\nLEVELING & WEDGING, as directed by the \nProject Engineer\nAsphalt Shoulder \nCL 2 ASP SURF 0 38D PG 64 22\nAverage Depth = 1.0 in.Max. Width = 1 ft.Asphalt Shoulder CL 2 ASP SURF 0.38D, PG 64-22 \nAverage Depth = 1.0 in.Max. Width = 1 ft.CL 2 ASP SURF 0 .38D,PG 64 -22\n*Where Existing Site Conditions Permit\nNOTE: STRIPING AS DIRECTED BY ENGINEER.\nPage 1 TSPAVESURFACEshld\nTS1 345 MP 9.572-10.662CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 28 of 57 BRIDGE DETAIL FOR PAVING PROJECT\nW = bridge width curb to curb\nT = thickness of existing asphalt overlay\nL = length of bridge\nL1& L 2 = length of approach pavement to be removed\nTR= thickness to be removed and replaced on bridge\nPR= thickness to be removed and replaced on pavement\nNote: L 1 & L 2lengths shall be determined by using a transition rate of 100 ft/in of thickness\nRoute Bridge \nNo.MP W (ft) T (in) L1(ft) L2(ft) TR\n(in)L (ft) PR(in)\nKY 107 B00017N 34.169 24.00 1.00 100.00 100.00 1.00 212.00 1.00\n01/01/2009\nCHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 29 of 57 \n \nPART II \n \nSPECIFICATIONS AND STANDARD DRAWINGS \n CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 30 of 57 SPECIFICATIONS REFERENCE \n \nAny reference in the plans or proposal to previous editions of the Standard Specifications \nfor Road and Bridge Construction and Standard Drawings are superseded by Standard \nSpecifications for Road and Bridge Construction, Edition of 2012 and Standard \nDrawings, Edition of 2012 with the 2012 Revision. \n \n CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 31 of 57 STANDARD DRAWINGS THAT APPLY\nROADWAY\n~GENERAL~\nMISCELLANEOUS STANDARDS\nMISCELLANEOUS STANDARDS PART 1……………………………………………………………………RGX -001-05\n~PAVEMENT~\nMEDIANS, CURBS, APPROACHES, ENTRANCES, ETC.\nAPPROACHES, ENTRANCES, AND MAIL BOX TURNOUT………………………………………….R PM-110-06\nTRAFFIC\n~TEMPORARY~\nTRAFFIC CONTROL\nLANE CLOSURE TWO -LANE HIGHWAY ……….. …………………………………………………………TTC -100-02\nLANE CLOSURE TWO -LANE HIGHWAY CASE II………………………………………………………..TTC -105-02\nDEVICES\nPOST SPLICING DETAIL…………………………………………………………………………………………..TTD -110-01CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 32 of 57 \n \nPART III \n \nEMPLOYMENT, WAGE AND RECORD REQUIREMENTS CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 33 of 57 TRANSPORTATION CABINET\nDEPARTMENT OF HIGHWAYS\nLABOR AND WAGE REQUIREMENTS\nAPPLICABLE TO OTHER THAN FEDERAL-AID SYSTEM PROJECTS\nI. Application\nII. Nondiscrimination of Employees (KRS 344)\nIII. Payment of Predetermined Minimum Wages\nIV. Statements and Payrolls\nI. APP LICATION\n1. These contract provisions shall apply to all work\nperformed on the contract by the contractor with his own\norganization and with the assistance of workmen under his\nimmediate superintendence and to all work performed on the\ncontract by piecework, station work or by subcontract. The\ncontractor's organization shall be construed to include only\nworkmen employed and paid directly by the contractor and\nequipment owned or rented by him, with or without operators.\n2. The contractor shall insert i n each of his\nsubcontracts all of the stipulations contained in these Required\nProvisions and such other stipulations as may be required.\n3. A breach of any of the stipulations contained in\nthese Required Provisions may be grounds for termination of\nthe contract.\nII. NONDISCRIMINATION OF EMPLOYEES\nAN ACT OF THE KENTUCKY\nGENERAL ASSEMBLY TO PREVENT\nDISCRIMINATION IN EMPLOYMENT\nKRS CHAPTER 344\nEFFECTIVE JUNE 16, 1972\nThe contract on this project, in accordance with KRS\nChapter 344, provides that during the performance of this\ncontract, the contractor agrees as follows:\n1. The contractor shall not fail or refuse to hire, or\nshall not discharge any individual, or otherwise discriminate\nagainst an individual with respect to his compensation, terms,\nconditions, or privileges of employment, because of such\nindividual's race, color, religion, national origin, sex, disability\nor age (between forty and seventy); or limit, segregate, or\nclassify his employees in any way which would deprive or\ntend to deprive an individual of employment opportunities or\notherwise adversely affect his status as an employee, because\nof such individual's race, color, religion, national origin, sex,\ndisability or age (between forty and seventy). The contractor\nagrees to post in conspicuous places, available to employees\nand applicants for employment, notices to be provided setting\nforth the provisions of this nondiscrimination clause.\n2. The contractor shall not print or publish or cause\nto be printed or published a notice or advertisement relating to\nemployment by such an employer or membership in or any\nclassification or referral for employment by the employment\nagency, indicating any preference, limitation, specification, or\ndiscrimination, based on race, color, religion, national origin,\nsex, disability or age (between forty and seventy), except that\nsuch notice or advertisement may indicate a preference,\nlimitation, or specification based on religion, or national origin\nwhen religion, or national origin is a bona fide occupational\nqualification for employment.\n3. If the contractor is in control of apprenticeship or\nother training or retraining, including on-the-job training\nprograms, he shall not discriminate against an individualbecause of his race, color, religion, national origin, sex,\ndisability or age (between forty and seventy), in admission to,\nor employment in any program established to provide\napprenticeship or other training.\n4. The contractor will send to each labor union or\nrepresentative of workers with which he has a collective\nbargaining agreement or other contract or understanding, a\nnotice to be provided advising the said labor union or workers'\nrepresentative of the contractor's commitments under this\nsection, and shall post copies of the notice in conspicuous\nplaces available to employees and applicants for employment.\nThe contractor will take such action with respect to any\nsubcontract or purchase order as the administrating agency\nmay direct as a means of enforcing such provisions, including\nsanctions for non-compliance.\nIII. PAYMENT OF PREDETERMINED MINIMUM\nWAGES\n1. These special provisions are supplemented\nelsewhere in the contract by special provisions which set forth\ncertain predetermined minimum wage rates. The contractor\nshall pay not less than those rates.\n2. The minimum wage determination schedule shall\nbe posted by the contractor, in a manner prescribed by the\nDepartment of Highways, at the site of the work in prominent\nplaces where it can be easily seen by the workers.\nIV. STATEMENTS AND P AYROLLS\n1. All contractors and subcontractors affected by the\nterms of KRS 337.505 to 337.550 shall keep full and accurate\npayroll records covering all disbursements of wages to their\nemployees to whom they are required to pay not less than the\nprevailing rate of wages. Payrolls and basic records relating\nthereto will be maintained during the course of the work and\npreserved for a period of one (1) year from the date of\ncompletion of this contract.\n2. The payroll records shall contain the name,\naddress and social security number of each employee, his\ncorrect classification, rate of pay, daily and weekly number of\nhours worked, itemized deductions made and actual wages\npaid.\n3. The contractor shall make his daily records\navailable at the project site for inspection by the State\nDepartment of Highways contracting office or his authorized\nrepresentative.\nPeriodic investigations shall be conducted as required\nto assure compliance with the labor provisions of the contract.\nInterrogation of employees and officials of the contractor shall\nbe permitted during working hours.\nAggrieved workers, Highway Managers, Assistant\nDistrict Engineers, Resident Engineers and Project Engineers\nshall report all complaints and violations to the Division of\nContract Procurement.\nThe contractor shall be notified in writing of apparent\nviolations. The contractor may correct the reported violations\nand notify the Department of Highways of the action taken or\nmay request an informal hearing. The request for hearing\nshall be in writing within ten (10) days after receipt of the\nnotice of the reported violation. The contractor may submitCHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 34 of 57 records and information which will aid in determining the true\nfacts relating to the reported violations.\nAny person or organization aggrieved by the action\ntaken or the findings established as a result of an informal\nhearing by the Division of Contract Procurement may request\na formal hearing.\n4. The wages of labor shall be paid in legal tender of\nthe United States, except that this condition will be considered\nsatisfied if payment is made by a negotiable check, on a\nsolvent bank, which may be cashed readily by the employee in\nthe local community for the full amount, without discount or\ncollection charges of any kind. Where checks are used for\npayments, the contractor shall make all necessary\narrangements for them to be cashed and shall give information\nregarding such arrangements.\n5. No fee of any kind shall be asked or accepted by\nthe contractor or any of his agents from any person as a\ncondition of employment on the project.\n6. No laborers shall be charged for any tools used in\nperforming their respective duties except for reasonably\navoidable loss or damage thereto.\n7. Every employee on the work covered by this\ncontract shall be permitted to lodge, board, and trade where\nand with whom he elects and neither the contractor nor his\nagents, nor his employees shall directly or indirectly require as\na condition of employment that an employee shall lodge,\nboard or trade at a particular place or with a particular person.\n8. Every employee on the project covered by this\ncontract shall be an employee of either the prime contractor or\nan approved subcontractor.\n9. No charge shall be made for any transportation\nfurnished by the contractor or his agents to any person\nemployed on the work.\n10. No individual shall be employed as a laborer or\nmechanic on this contract except on a wage basis, but this\nshall not be construed to prohibit the rental of teams, trucks or\nother equipment from individuals.\nNo Covered employee may be employed on the work\nexcept in accordance with the classification set forth in the\nschedule mentioned above; provided, however, that in the\nevent additional classifications are required, application shall\nbe made by the contractor to the Department of Highways and\n(1) the Department shall request appropriate classifications\nand rates from the proper agency, or (2) if there is urgent need\nfor additional classification to avoid undue delay in the work,\nthe contractor may employ such workmen at rates deemed\ncomparable to rates established for similar classifications\nprovided he has made written application through the\nDepartment of Highways, addressed to the proper agency, for\nthe supplemental rates. The contractor shall retroactively\nadjust, upon receipt of the supplemental rates schedule, the\nwages of any employee paid less than the established rate and\nmay adjust the wages of any employee overpaid.\n11. No contractor or subcontractor contracting for any\npart of the contract work which may require or involve the\nemployment of laborers or mechanics shall require or permit\nany laborer or mechanic in any work-week in which he is\nemployed on such work, to work in excess of eight hours in\nany calendar day or in excess of forty hours in such work-\nweek unless such laborer or mechanic receives compensation\nat a rate not less than one and one half times his basic rate of\npay for all hours worked in excess of eight hours in any\ncalendar day or in excess of forty hours in such work-week. A\nlaborer, workman or mechanic and an employer may enter\ninto a written agreement or a collective bargaining agreement\nto work more than eight (8) hours a calendar day but not more\nthan ten (10) hours a calendar day for the straight time hourly\nrate. This agreement shall be in writing and shall be executed\nprior to the employee working in excess of eight (8) hours, but\nnot more than ten (10) hours, in any one (1) calendar day.\n12. Payments to the contractor may be suspended or\nwithheld due to failure of the contractor to pay any laborer ormechanic employed or working on the site of the work, all or\npart of the wages required under the terms of the contract.\nThe Department may suspend or withhold payments only after\nthe contractor has been given written notice of the alleged\nviolation and the contractor has failed to comply with the\nwage determination of the Department of Highways.\n13. Contractors and subcontractors shall comply\nwith the sections of Kentucky Revised Statutes, Chapter 337\nrelating to contracts for Public Works.\nRevised 2-16-95CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 35 of 57 EXECUTIVE BRANCH CODE OF ETHICS\nIn the 1992 regular legislative session, the General Assembly passed and Governor Brereton Jones signed\nSenate Bill 63 (codified as KRS 11A), the Executive Branch Code of Ethics, which states, in part:\nKRS 11A.040 (6) p rovides:\nNo present or former public servant shall, within six (6) months of following termination of his office or\nemployment, accept employment, compensation or other economic benefit from any person or business\nthat contracts or does business with the state in matters in which he was directly involved during his\ntenure. This provision shall not prohibit an individual from returning to the same business, firm,\noccupation, or profession in which he was involved prior to taking office or beginning his term of\nemployment, provided that, for a period of six (6) months, he personally refrains from working on any\nmatter in which he was directly involved in state government. This subsection shall not prohibit the\nperformance of ministerial functions, including, but not limited to, filing tax returns, filing applications\nfor permits or licenses, or filing incorporation papers.\nKRS 11A.040 (8) states:\nA former public servant shall not represent a person in a matter before a state agency in which the\nformer public servant was directly involved, for a period of one (1) year after the latter of:\na) The date of leaving office or termination of employment; or\nb) The date the term of office expires to which the public servant was elected.\nThis law is intended to promote public confidence in the integrity of state government and to declare as public\npolicy the idea that state employees should view their work as a public trust and not as a way to obtain private\nbenefits.\nIf you have worked for the executive branch of state government within the past six months, you may be subject\nto the law's prohibitions. The law's applicability may be different if you hold elected office or are\ncontemplating representation of another before a state agency.\nAlso, if you are affiliated with a firm which does business with the state and which employs former state\nexecutive-branch employees, you should be aware that the law may apply to them.\nIn case of doubt, the law permits you to request an advisory opinion from the Executive Branch Ethics\nCommission, Room 136, Capitol Building, 700 Capitol Avenue, Frankfort, Kentucky 40601; telephone (502)\n564-7954.CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 36 of 57 Kentucky Equal Employmen t Opportunity Act of 1978 \n \nThe requirements of the Kentucky Equal Em ployment Opportunity Act of 1978 (KRS 45.560-\n45.640) shall apply to this Contract. The appare nt low Bidder will be required to submit EEO \nforms to the Division of Construction Procurement, which will then forward to the Finance and Administration Cabinet for review and approval. No award will become effective until all forms are submitted and EEO/CC has certified compliance. The required EEO forms are as follows: \n• EEO-1: Employer Information Report \n• Affidavit of Intent to Comply \n• Employee Data Sheet \n• Subcontractor Report \n These forms are available on the Finan ce and Administration’s web page under Vendor \nInformation, Standard Attachments and General Terms at the following address: \nhttps://www.eProcurement.ky.gov\n. \n Bidders currently certified as being in complia nce by the Finance and Administration Cabinet \nmay submit a copy of their approval letter in lieu of the referenced EEO forms. For questions or assistance pleas e contact the Finance and Administration Cabinet by email at \nfinance.contractcompliance@ky.gov\n or by phone at 502-564-2874. CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 37 of 57 General Decision Number: KY120127 06/01/2012 KY127\nSuperseded General Decision Number: KY20100214\nState: Kentucky\nConstruction Type: Highway\nCounties: Allen, Ballard, Butler, Caldwell, Calloway, \nCarlisle, Christian, Crittenden, Daviess, Edmonson, Fulton, \nGraves, Hancock, Henderson, Hickman, Hopkins, Livingston, \nLogan, Lyon, Marshall, McCracken, McLean, Muhlenberg, Ohio, \nSimpson, Todd, Trigg, Union, Warren and Webster Counties in \nKentucky.\nHIGHWAY CONSTRUCTION PROJECTS (excluding tunnels, building \nstructures in rest area projects & railroad construction;\nbascule, suspension & spandrel arch bridges designed for \ncommercial navigation, bridges involving marine construction; \nand other major bridges).\nModification Number Publication Date\n0 01/06/2012\n1 01/13/2012\n2 02/10/2012\n3 05/18/2012\n4 05/25/2012\n5 06/01/2012\nBRIN0004 -002 06/01/2011\nBALLARD, BUTLER, CALDWELL, CARLISLE, CRITTENDEN, DAVIESS,\nEDMONSON, FULTON, GRAVES, HANCOCK, HENDERSON, HICKMAN,\nHOPKINS, LIVINGSTON, LYON, MARSHALL, MCCRACKEN, MCLEAN,\nMUHLENBERG, OHIO, UNION, and WEBSTER COUNTIES\nRates Fringes\nBRICKLAYER \nBallard, Caldwell, \nCarlisle, Crittenden, \nFulton, Graves, Hickman, \nLivingston, Lyon, \nMarshall, and McCracken \nCounties....................$ 24.11 10.30\nButler, Edmonson, Hopkins, \nMuhlenberg, and Ohio \nCounties....................$ 24.61 10.22\nDaviess, Hancock, \nHenderson, McLean, Union, \nand Webster Counties........$ 28.47 12.78\n----------------------------------------------------------------\nBRTN0004 -005 05/01/2009\nALLEN, CALLOWAY, CHRISTIAN, LOGAN, SIMPSON, TODD, TRIGG, and\nWARREN COUNTIESPage 1of 14\n6/1/2012 http://www.wdol.gov/wdol/scafiles/davisbacon/KY127.dvbCHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 38 of 57 Rates Fringes\nBRICKLAYER.......................$ 24.52 1.83\n----------------------------------------------------------------\nCARP0357 -002 07/01/2011\nRates Fringes\nCARPENTER........................$ 25.95 13.22\nDiver............................$ 39.30 13.22\nPILEDRIVERMAN....................$ 26.20 13.22\n----------------------------------------------------------------\n* ELEC0369 -006 05/30/2012\nBUTLER, EDMONSON, LOGAN, TODD & WARREN COUNTIES:\nRates Fringes\nELECTRICIAN......................$ 29.32 13.78\n----------------------------------------------------------------\nELEC0429 -001 02/01/2010\nALLEN & SIMPSON COUNTIES:\nRates Fringes\nELECTRICIAN......................$ 21.85 10.35\n----------------------------------------------------------------\nELEC0816 -002 06/01/2011\nBALLARD, CALDWELL, CALLOWAY, CARLISLE, CHRISTIAN, CRITTENDEN,\nFULTON (Except a 5 mile radius of City Hall in Fulton), GRAVES,\nHICKMAN, LIVINGSTON, LYON, MARSHALL, MCCRACKEN & TRIGG COUNTIES:\nRates Fringes\nELECTRICIAN......................$ 29.47 25.5%+5.35\nCable spicers receive $.25 per hour additional.\n----------------------------------------------------------------\n* ELEC1701 -003 06/01/2012\nDAVIESS, HANCOCK, HENDERSON, HOPKINS, MCLEAN, MUHLENBERG, OHIO,\nUNION & WEBSTER COUNTIES:\nRates Fringes\nELECTRICIAN......................$ 29.52 13.66\nCable spicers receive $.25 per hour additional.\n----------------------------------------------------------------\nELEC1925 -002 01/01/2012\nFULTON COUNTY (Up to a 5 mile radius of City Hall in Fulton):\nRates FringesPage 2of 14\n6/1/2012 http://www.wdol.gov/wdol/scafiles/davisbacon/KY127.dvbCHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 39 of 57 CABLE SPLICER....................$ 25.00 10.27\nELECTRICIAN......................$ 25.00 10.43\n----------------------------------------------------------------\nENGI0181 -017 07/01/2011\n Rates Fringes\nOperating Engineer: \nGROUP 1.....................$ 26.50 13.00\nGROUP 2.....................$ 24.08 13.00\nGROUP 3.....................$ 24.46 13.00\nGROUP 4.....................$ 23.82 13.00\nOPERATING ENGINEER CLASSIFICATIONS \nGROUP 1 -A-Frame Winch Truck; Auto Patrol; Backfiller;\nBatcher Plant; Bituminous Paver; Bituminous Transfer\nMachine; Boom Cat; Bulldozer; Mechanic; Cableway; Carry -All\nScoop; Carry Deck Crane; Central Compressor Plant; Cherry\nPicker; Clamshell; Concrete Mixer (21 cu. ft. or Over);\nConcrete Paver; Truck -Mounted Concrete Pump; Core Drill;\nCrane; Crusher Plant; Derrick; Derrick Boat; Ditching &\nTrenching Machine; Dragline; Dredge Operator; Dredge\nEngineer; Elevating Grader & Loaders; Grade -All; Gurries;\nHeavy Equipment Robotics Operator/Mechanic; High Lift;\nHoe-Type Machine; Hoist (Two or More Drums); Hoisting\nEngine (Two or More Drums); Horizontal Directional Drill\nOperator; Hydrocrane; Hyster; KeCal Loader; LeTourneau;\nLocomotive; Mechanic; Mechanically Operated Laser Screed;\nMechanic Welder; Mucking Machine; Motor Scraper; Orangepeel\nBucket; Overhead Crane; Piledriver; Power Blade; Pumpcrete;\nPush Dozer; Rock Spreader, attached to equipment; Rotary\nDrill; Roller (Bituminous); Rough Terrain Crane; Scarifier;\nScoopmobile; Shovel; Side Boom; Subgrader; Tailboom;\nTelescoping Type Forklift; Tow or Push Boat; Tower Crane\n(French, German & other types); Tractor Shovel; Truck\nCrane; Tunnel Mining Machines, including Moles, Shields or\nsimilar types of Tunnel Mining Equipment\nGROUP 2 -Air Compressor (Over 900 cu. ft. per min.);\nBituminous Mixer; Boom Type Tamping Machine; Bull Float;\nConcrete Mixer (Under 21 cu. ft.); Dredge Engineer;\nElectric Vibrator; Compactor/Self -Propelled Compactor;\nElevator (One Drum or Buck Hoist); Elevator (When used to\nHoist Building Material); Finish Machine; Firemen & Hoist\n(One Drum); Flexplane; Forklift (Regardless of Lift\nHeight); Form Grader; Joint Sealing Machine; Outboard Motor\nBoat; Power Sweeper (Riding Type); Roller (Rock); Ross\nCarrier; Skid Mounted or Trailer Mounted Conrete Pump; Skid\nSteer Machine with all Attachments; Switchman or Brakeman;\nThrottle Valve Person; Tractair & Road Widening Trencher;\nTractor (50 H.P. or Over); Truck Crane Oiler; Tugger;\nWelding Machine; Well Points;& Whirley Oiler\nGROUP 3 -All Off Road Material Handling Equipment; Greaser\non Grease Facilities servicing Heavy Equipment\nGROUP 4 -Bituminous Distributor; Burlap & Curing Machine;\nCement Gun; Concrete Saw; Conveyor; Deckhand Oiler; Grout\nPump; Hydraulic Post Driver; Hydro Seeder; Mud Jack; Oiler;Page 3of 14\n6/1/2012 http://www.wdol.gov/wdol/scafiles/davisbacon/KY127.dvbCHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 40 of 57 Paving Joint Machine; Power Form Handling Equipment; Pump;\nRoller (Earth); Steerman; Tamping Machine; Tractor (Under\n50 H.P.); & Vibrator\nCRANES -with booms 150 ft. & Over (Including JIB), and where\nthe length of the boom in combination with the length of\nthe piling equals or exceeds 150 ft. -$1.00 above Group 1\nrate\nEMPLOYEES ASSIGNED TO WORK BELOW GROUND LEVEL ARE TO BE PAID\n10% ABOVE BASIC WAGE RATE. THIS DOES NOT APPLY TO OPEN CUT\nWORK.\n----------------------------------------------------------------\n* IRON0070 -005 06/01/2012\nBUTLER COUNTY (Eastern eighth, including the Townships of\nDecker, Lee & Tilford);\nEDMONSON COUNTY (Northern three -fourths, including the\nTownships of Asphalt, Bee Spring, Brownsville, Grassland, Huff,\nKyrock, Lindseyville, Mammoth Cave, Ollie, Prosperity, Rhoda,\nSunfish & Sweden)\nRates Fringes\nIronworkers: \nStructural; Ornamental; \nReinforcing; Precast \nConcrete Erectors...........$ 26.34 18.58\n----------------------------------------------------------------\nIRON0103 -004 04/01/2011\nDAVIESS, HANCOCK, HENDERSON, HOPKINS, MCLEAN, OHIO, UNION &\nWEBSTER COUNTIES\nBUTLER COUNTY (Townships of Aberdeen, Bancock, Casey,\nDexterville, Dunbar, Elfie, Gilstrap, Huntsville, Logansport,\nMonford, Morgantown, Provo, Rochester, South Hill & Welchs\nCreek);\nCALDWELL COUNTY (Northeastern third, including the Township of\nCreswell);\nCHRISTIAN COUNTY (Northern third, including the Townships of\nApex, Crofton, Kelly, Mannington & Wynns);\nCRITTENDEN COUNTY (Northeastern half, including the Townships\nof Grove, Mattoon, Repton, Shady Grove & Tribune);\nMUHLENBERG COUNTY (Townships of Bavier, Beech Creek Junction,\nBenton, Brennen, Browder, Central City, Cleaton, Depoy,\nDrakesboro, Eunis, Graham, Hillside, Luzerne, Lynn City,\nMartwick, McNary, Millport, Moorman, Nelson, Paradise,\nPowderly, South Carrollton, Tarina & Weir)\nRates Fringes\nIronworkers:.....................$ 28.25 14.475\n----------------------------------------------------------------\nIRON0492 -003 05/01/2009\nALLEN, LOGAN, SIMPSON, TODD & WARREN COUNTIES\nBUTLER COUNTY (Southern third, including the Townships of\nBoston, Berrys Lick, Dimple, Jetson, Quality, Sharer, SugarPage 4of 14\n6/1/2012 http://www.wdol.gov/wdol/scafiles/davisbacon/KY127.dvbCHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 41 of 57 Grove & Woodbury);\nCHRISTIAN COUNTY (Eastern two -thirds, including the Townships\nof Bennettstown, Casky, Herndon, Hopkinsville, Howell,\nMasonville, Pembroke & Thompsonville);\nEDMONSON COUNTY (Southern fourth, including the Townships of\nChalybeate & Rocky Hill);\nMUHLENBERG COUNTY (Southern eighth, including the Townships of\nDunnior, Penrod & Rosewood)\nRates Fringes\nIronworkers:.....................$ 22.50 9.60\n----------------------------------------------------------------\nIRON0782 -006 05/01/2011\nBALLARD, CALLOWAY, CARLISLE, FULTON, GRAVES, HICKMAN,\nLIVINGSTON, LYON, MARSHALL, MCCRACKEN & TRIGG COUNTIES\nCALDWELL COUNTY (Southwestern two -thirds, including the\nTownships of Cedar Bluff, Cider, Claxton, Cobb, Crowtown,\nDulaney, Farmersville, Fredonia, McGowan, Otter Pond &\nPrinceton);\nCHRISTIAN COUNTY (Western third, Excluding the Townships of\nApex, Crofton, Kelly, Mannington, Wynns, Bennettstown, Casky,\nHerndon, Hopkinsville, Howell, Masonville, Pembroke &\nThompsonville);\nCRITTENDEN COUNTY (Southwestern half, including the Townships\nof Crayne, Dycusburg, Frances, Marion, Mexico, Midway,\nSheridan & Told)\nRates Fringes\nIronworkers: \nProjects with a total \ncontract cost of \n$20,000,000.00 or above.....$ 26.00 17.42\nAll Other Work..............$ 24.66 16.29\n----------------------------------------------------------------\nLABO0189 -005 07/01/2011\nBALLARD, CALLOWAY, CARLISLE, FULTON, GRAVES, HICKMAN,\nLIVINGSTON, LYON, MARSHALL & MCCRACKEN COUNTIES\nRates Fringes\nLaborers: \nGROUP 1.....................$ 20.38 11.28\nGROUP 2.....................$ 20.63 11.28\nGROUP 3.....................$ 20.68 11.28\nGROUP 4.....................$ 21.28 11.28\nLABORER CLASSIFICATIONS \nGROUP 1 -Aging & Curing of Concrete; Asbestos Abatement\nWorker; Asphalt Plant; Asphalt; Batch Truck Dump; Carpenter\nTender; Cement Mason Tender; Cleaning of Machines;\nConcrete; Demolition; Dredging; Environmental -Nuclear,\nRadiation, Toxic & Hazardous Waste -Level D; Flagperson;Page 5of 14\n6/1/2012 http://www.wdol.gov/wdol/scafiles/davisbacon/KY127.dvbCHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 42 of 57 Grade Checker; Hand Digging & Hand Back Filling; Highway\nMarker Placer; Landscaping, Mesh Handler & Placer; Puddler;\nRailroad; Rip -rap & Grouter; Right -of-Way; Sign, Guard Rail\n& Fence Installer; Signal Person; Sound Barrier Installer;\nStorm & Sanitary Sewer; Swamper; Truck Spotter & Dumper;\nWrecking of Concrete Forms; General Cleanup\nGROUP 2 -Batter Board Man (Sanitary & Storm Sewer);\nBrickmason Tender; Mortar Mixer Operator; Scaffold Builder;\nBurner & Welder; Bushammer; Chain Saw Operator; Concrete\nSaw Operator; Deckhand Scow Man; Dry Cement Handler;\nEnvironmental -Nuclear, Radiation, Toxic & Hazardous Waste\n -Level C; Forklift Operator for Masonary; Form Setter;\nGreen Concrete Cutting; Hand Operated Grouter & Grinder\nMachine Operator; Jackhammer; Pavement Breaker; Paving\nJoint Machine; Pipelayer; Plastic Pipe Fusion; Power Driven\nGeorgia Buggy & Wheel Barrow; Power Post Hole Digger;\nPrecast Manhole Setter; Walk -Behind Tamper; Walk -Behind\nTrencher; Sand Blaster; Concrete Chipper; Surface\nGrinder; Vibrator Operator; Wagon Driller\nGROUP 3 -Asphalt Luteman & Raker; Gunnite Nozzleman; Gunnite\nOperator & Mixer; Grout Pump Operator; Blaster; Side Rail\nSetter; Rail Paved Ditches; Screw Operator; Tunnel (Free\nAir); Water Blaster\nGROUP 4 -Caisson Worker (Free Air); Cement Finisher;\nEnvironmental -Nuclear, Radiation, Toxic & Hazardous Waste\n -Levels A & B; Miner & Driller (Free Air); Tunnel Blaster;\n& Tunnel Mucker (Free Air); Directional & Horizontal\nBoring; Air Track Drillers (All Types); Powdermen &\nBlasters; Troxler & Concrete Tester if Laborer is Utilized\n----------------------------------------------------------------\nLABO0189 -006 07/01/2011\nALLEN, BUTLER, CALDWELL, CHRISTIAN, DAVIESS, EDMONSON, HANCOCK,\nHOPKINS, LOGAN, MCLEAN, MUHLENBERG, OHIO, SIMPSON, TODD, TRIGG\n& WARREN COUNTIES\nRates Fringes\nLaborers: \nGROUP 1.....................$ 21.51 10.15\nGROUP 2.....................$ 21.76 10.15\nGROUP 3.....................$ 21.81 10.15\nGROUP 4.....................$ 22.41 10.15\nLABORER CLASSIFICATIONS \nGROUP 1 -Aging & Curing of Concrete; Asbestos Abatement\nWorker; Asphalt Plant; Asphalt; Batch Truck Dump; Carpenter\nTender; Cement Mason Tender; Cleaning of Machines;\nConcrete; Demolition; Dredging; Environmental -Nuclear,\nRadiation, Toxic & Hazardous Waste -Level D; Flagperson;\nGrade Checker; Hand Digging & Hand Back Filling; Highway\nMarker Placer; Landscaping, Mesh Handler & Placer; Puddler;\nRailroad; Rip -rap & Grouter; Right -of-Way; Sign, Guard Rail\n& Fence Installer; Signal Person; Sound Barrier Installer;\nStorm & Sanitary Sewer; Swamper; Truck Spotter & Dumper;Page 6of 14\n6/1/2012 http://www.wdol.gov/wdol/scafiles/davisbacon/KY127.dvbCHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 43 of 57 Wrecking of Concrete Forms; General Cleanup\nGROUP 2 -Batter Board Man (Sanitary & Storm Sewer);\nBrickmason Tender; Mortar Mixer Operator; Scaffold Builder;\nBurner & Welder; Bushammer; Chain Saw Operator; Concrete\nSaw Operator; Deckhand Scow Man; Dry Cement Handler;\nEnvironmental -Nuclear, Radiation, Toxic & Hazardous Waste\n -Level C; Forklift Operator for Masonary; Form Setter;\nGreen Concrete Cutting; Hand Operated Grouter & Grinder\nMachine Operator; Jackhammer; Pavement Breaker; Paving\nJoint Machine; Pipelayer; Plastic Pipe Fusion; Power Driven\nGeorgia Buggy & Wheel Barrow; Power Post Hole Digger;\nPrecast Manhole Setter; Walk -Behind Tamper; Walk -Behind\nTrencher; Sand Blaster; Concrete Chipper; Surface\nGrinder; Vibrator Operator; Wagon Driller\nGROUP 3 -Asphalt Luteman & Raker; Gunnite Nozzleman; Gunnite\nOperator & Mixer; Grout Pump Operator; Blaster; Side Rail\nSetter; Rail Paved Ditches; Screw Operator; Tunnel (Free\nAir); Water Blaster\nGROUP 4 -Caisson Worker (Free Air); Cement Finisher;\nEnvironmental -Nuclear, Radiation, Toxic & Hazardous Waste\n -Levels A & B; Miner & Driller (Free Air); Tunnel Blaster;\n& Tunnel Mucker (Free Air); Directional & Horizontal\nBoring; Air Track Drillers (All Types); Powdermen &\nBlasters; Troxler & Concrete Tester if Laborer is Utilized\n----------------------------------------------------------------\nLABO0561 -001 07/01/2011\nCRITTENDEN, HENDERSON, UNION & WEBSTER COUNTIES\nRates Fringes\nLaborers: \nGROUP 1.....................$ 20.61 11.05\nGROUP 2.....................$ 20.86 11.05\nGROUP 3.....................$ 20.91 11.05\nGROUP 4.....................$ 21.51 11.05\nLABORER CLASSIFICATIONS \nGROUP 1 -Aging & Curing of Concrete; Asbestos Abatement\nWorker; Asphalt Plant; Asphalt; Batch Truck Dump; Carpenter\nTender; Cement Mason Tender; Cleaning of Machines;\nConcrete; Demolition; Dredging; Environmental -Nuclear,\nRadiation, Toxic & Hazardous Waste -Level D; Flagperson;\nGrade Checker; Hand Digging & Hand Back Filling; Highway\nMarker Placer; Landscaping, Mesh Handler & Placer; Puddler;\nRailroad; Rip -rap & Grouter; Right -of-Way; Sign, Guard Rail\n& Fence Installer; Signal Person; Sound Barrier Installer;\nStorm & Sanitary Sewer; Swamper; Truck Spotter & Dumper;\nWrecking of Concrete Forms; General Cleanup\nGROUP 2 -Batter Board Man (Sanitary & Storm Sewer);\nBrickmason Tender; Mortar Mixer Operator; Scaffold Builder;\nBurner & Welder; Bushammer; Chain Saw Operator; Concrete\nSaw Operator; Deckhand Scow Man; Dry Cement Handler;\nEnvironmental -Nuclear, Radiation, Toxic & Hazardous Waste\n -Level C; Forklift Operator for Masonary; Form Setter;Page 7of 14\n6/1/2012 http://www.wdol.gov/wdol/scafiles/davisbacon/KY127.dvbCHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 44 of 57 Green Concrete Cutting; Hand Operated Grouter & Grinder\nMachine Operator; Jackhammer; Pavement Breaker; Paving\nJoint Machine; Pipelayer; Plastic Pipe Fusion; Power Driven\nGeorgia Buggy & Wheel Barrow; Power Post Hole Digger;\nPrecast Manhole Setter; Walk -Behind Tamper; Walk -Behind\nTrencher; Sand Blaster; Concrete Chipper; Surface\nGrinder; Vibrator Operator; Wagon Driller\nGROUP 3 -Asphalt Luteman & Raker; Gunnite Nozzleman; Gunnite\nOperator & Mixer; Grout Pump Operator; Blaster; Side Rail\nSetter; Rail Paved Ditches; Screw Operator; Tunnel (Free\nAir); Water Blaster\nGROUP 4 -Caisson Worker (Free Air); Cement Finisher;\nEnvironmental -Nuclear, Radiation, Toxic & Hazardous Waste\n -Levels A & B; Miner & Driller (Free Air); Tunnel Blaster;\n& Tunnel Mucker (Free Air); Directional & Horizontal\nBoring; Air Track Drillers (All Types); Powdermen &\nBlasters; Troxler & Concrete Tester if Laborer is Utilized\n----------------------------------------------------------------\nPAIN0032 -002 05/01/2012\nBALLARD COUNTY\nRates Fringes\nPainters: \nBridges.....................$ 30.56 14.20\nAll Other Work..............$ 28.26 14.20\nSpray, Blast, Steam, High & Hazardous (Including Lead\nAbatement) and All Epoxy -$1.00 Premium\n----------------------------------------------------------------\nPAIN0118 -003 05/01/2010\nEDMONSON COUNTY:\nRates Fringes\nPainters: \nBrush & Roller..............$ 18.50 10.30\nSpray, Sandblast, Power \nTools, Waterblast & Steam \nCleaning....................$ 19.50 10.30\n----------------------------------------------------------------\nPAIN0156 -006 04/01/2010\nDAVIESS, HANCOCK, HENDERSON, MCLEAN, OHIO, UNION & WEBSTER\nCOUNTIES\nRates Fringes\nPainters: \nBRIDGES\nGROUP 1....................$ 25.60 10.05\nGROUP 2....................$ 25.85 10.05\nGROUP 3....................$ 26.60 10.05\nGROUP 4....................$ 27.60 10.05\nALL OTHER WORK:Page 8of 14\n6/1/2012 http://www.wdol.gov/wdol/scafiles/davisbacon/KY127.dvbCHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 45 of 57 GROUP 1....................$ 25.60 11.30\nGROUP 2....................$ 25.85 11.30\nGROUP 3....................$ 26.60 11.30\nGROUP 4....................$ 27.60 11.30\nPAINTER CLASSIFICATIONS \nGROUP 1 -Brush & Roller \nGROUP 2 -Plasterers \nGROUP 3 -Spray; Sandblast; Power Tools; Waterblast;\nSteamcleaning; Brush & Roller of Mastics, Creosotes, Kwinch\nKoate & Coal Tar Epoxy\nGROUP 4 -Spray of Mastics, Creosotes, Kwinch Koate & Coal\nTar Epoxy\n----------------------------------------------------------------\nPAIN0456 -003 07/01/2011\nALLEN, BUTLER, LOGAN, MUHLENBERG, SIMPSON, TODD & WARREN\nCOUNTIES:\nRates Fringes\nPainters: \nBRIDGES\nBrush & Roller.............$ 22.55 9.65\nSpray; Sandblast; Power \nTools; Waterblast & Steam \nCleaning...................$ 23.55 9.65\nALL OTHER WORK\nBrush & Roller.............$ 17.55 9.65\nSpray; Sandblast; Power \nTools; Waterblast & Steam \nCleaning...................$ 18.55 9.65\nALL OTHER WORK -HIGH TIME PAY\nOver 35 feet (up to 100 feet) -$1.00 above base wage\n100 feet and over -$2.00 above base wage\nDURING SPRAY PAINTING AND SANDBLASTING OPERATIONS, POT\nTENDERS SHALL RECEIVE THE SAME WAGE RATES AS THE SPRAY\nPAINTER OR NOZZLE OPERATOR\n----------------------------------------------------------------\nPAIN0500 -002 07/01/2011\nCALDWELL, CALLOWAY, CARLISLE, CHRISTIAN, CRITTENDEN, FULTON,\nGRAVES, HICKMAN, HOPKINS, LIVINGSTON, LYON, MARSHALL, MCCRACKEN\n& TRIGG COUNTIES:\nRates Fringes\nPainters: \nBridges.....................$ 25.25 11.55\nAll Other Work..............$ 19.00 11.55\nWaterblasting units with 3500 PSI and above -$.50 premiumPage 9of 14\n6/1/2012 http://www.wdol.gov/wdol/scafiles/davisbacon/KY127.dvbCHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 46 of 57 Spraypainting and all abrasive blasting -$1.00 premium\nWork 40 ft. and above ground level -$1.00 premium\n----------------------------------------------------------------\nPLUM0184 -002 07/01/2011\nBALLARD, CALDWELL, CALLOWAY, CARLISLE, CHRISTIAN, CRITTENDEN,\nFULTON, GRAVES, HICKMAN, LIVINGSTON, LYON, MARSHALL, MCCRACKEN\nand TRIGG COUNTIES\nRates Fringes\nPlumber; Steamfitter.............$ 31.45 13.99\n----------------------------------------------------------------\nPLUM0502 -004 08/01/2011\nALLEN, BUTLER, EDMONSON, SIMPSON & WARREN\nRates Fringes\nPlumber; Steamfitter.............$ 31.00 16.13\n----------------------------------------------------------------\nPLUM0633 -002 07/01/2011\nDAVIESS, HANCOCK, HENDERSON, HOPKINS, LOGAN, MCLEAN,\nMUHLENBERG, OHIO, TODD, UNION & WEBSTER COUNTIES:\nRates Fringes\nPLUMBER/PIPEFITTER...............$ 29.22 12.65\n----------------------------------------------------------------\nTEAM0089 -003 03/27/2011\nZone 1: ALLEN, BUTLER, EDMONSON, LOGAN, SIMPSON, & WARREN\nCOUNTIES\nZone 2: BALLARD, CALLOWAY, CALDWELL, CARLISLE, CHRISTIAN,\nCRITTENDEN, FULTON, GRAVES, HICKMAN, LIVINGSTON, LYON,\nMARSHALL, MCCRACKEN, TODD, & TRIGG COUNTIES\nZone 3: DAVIESS, HANCOCK, HENDERSON, HOPKINS, MCLEAN,\nMUHLENBERG, OHIO, & WEBSTER COUNTIES\nRates Fringes\nTruck drivers: \nALLEN, BUTLER, EDMONSON, \nLOGAN, SIMPSON & WARREN \nCOUNTIES:\nGroup 1....................$ 19.04 12.02\nGroup 2....................$ 19.37 12.02\nGroup 3....................$ 19.44 12.02\nGroup 4....................$ 19.45 12.02\nGroup 5....................$ 19.50 12.02\nZone 1:\nGroup 1....................$ 19.38 7.30+A\nGroup 2....................$ 19.56 7.30+A\nGroup 3....................$ 19.64 7.30+A\nGroup 4....................$ 19.66 7.30+A\nZone 2:Page 10of 14\n6/1/2012 http://www.wdol.gov/wdol/scafiles/davisbacon/KY127.dvbCHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 47 of 57 Group 1....................$ 26.09 A\nGroup 2....................$ 27.32 A\nGroup 3....................$ 26.89 A\nGroup 4....................$ 27.40 A\nGroup 5....................$ 27.39 A\nZone 3:\nGroup 1....................$ 20.93 7.30+A\nGroup 2....................$ 21.16 7.30+A\nGroup 3....................$ 21.23 7.30+A\nGroup 4....................$ 21.24 7.30+A\nA -$246.70 per week\nTRUCK DRIVER CLASSIFICATIONS FOR ZONE 1: \nGROUP 1 -Greaser; Tire Changer \nGROUP 2 -Truck Mechanic; Single Axle Dump; Flat Bed; All\nTerrain Vehicles when used to haul materials; Semi Trailer\nor Pole Trailer when used to pull building materials and\nequipment; Tandem Axle Dump; Driver of Distributors\nGROUP 3 -Mixer All Types \nGROUP 4 -Winch and A -Frame when used in transporting\nmaterials; Ross Carrier; Fork Lift when used to transport\nbuilding materials; Driver on Pavement Breaker; Euclid and\nOther Heavy Earth Moving Equipment; Low Boy; Articulator\nCat; Five Axle Vehicle\nTRUCK DRIVER CLASSIFICATIONS FOR ZONE 2: \nGROUP 1 -Greaser; Tire Changer \nGROUP 2 -Truck Mechanic \nGROUP 3 -Single Axle Dump; Flat Bed; all Terrain Vehicles\nwhen used to haul materials; Semi Trailer or Pole Trailer\nwhen used to pull building materials and equipment; Tandem\nAxle Dump; Driver of Distributors\nGROUP 4 -Euclid and Other Heavy Earth Moving Equipment; Low\nBoy; Articulator Cat; Five Axle Vehicle; Winch and A -Frame\nwhen used in transporting materials; Ross Carrier\nGROUP 5 -Mixer All Types\nTRUCK DRIVER CLASSIFICATIONS FOR ZONE 3:\nGROUP 1 -Greaser, Tire Changer \nGROUP 2 -Truck Mechanic \nGROUP 3 -Single Axle Dump; Flat Bed; all Terrain Vehicle\nwhen used to haul materials; Semi Trailer or Pole Trailer\nwhen used to pull building materials and equipment; Tandem\nAxle Dump; Driver of Distributors; Mixer All TypesPage 11of 14\n6/1/2012 http://www.wdol.gov/wdol/scafiles/davisbacon/KY127.dvbCHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 48 of 57 GROUP 4 -Euclid and Other Heavy Earth moving Equipment;\nLowboy; Articulator Cat; 5 Axle Vehicle; Winch and A -Frame\nwhen used in transporting materials; Ross Carrier; Fork\nLift when used to transport building materials; Driver on\nPavement Breaker\n----------------------------------------------------------------\nWELDERS -Receive rate prescribed for craft performing\noperation to which welding is incidental.\n================================================================\nUnlisted classifications needed for work not included within\nthe scope of the classifications listed may be added after\naward only as provided in the labor standards contract clauses\n(29CFR 5.5 (a) (1) (ii)).\n----------------------------------------------------------------\nThe body of each wage determination lists the classification\nand wage rates that have been found to be prevailing for the\ncited type(s) of construction in the area covered by the wage\ndetermination. The classifications are listed in alphabetical\norder of \"identifiers\" that indicate whether the particular\nrate is union or non -union.\nUnion Identifiers\nAn identifier enclosed in dotted lines beginning with\ncharacters other than \"SU\" denotes that the union\nclassification and rate have found to be prevailing for that\nclassification. Example: PLUM0198 -005 07/01/2011. The\nfirst four letters , PLUM, indicate the international union and\nthe four -digit number, 0198, that follows indicates the local\nunion number or district council number where applicable ,\ni.e., Plumbers Local 0198. The next number, 005 in the\nexample, is an internal number used in processing the wage\ndetermination. The date, 07/01/2011, following these\ncharacters is the effective date of the most current\nnegotiated rate/collective bargaining agreement which would be\nJuly 1, 2011 in the above example.\nUnion prevailing wage rates will be updated to reflect any\nchanges in the collective bargaining agreements governing the\nrate.\nNon-Union Identifiers\nClassifications listed under an \"SU\" identifier were derived\nfrom survey data by computing average rates and are not union\nrates; however, the data used in computing these rates may\ninclude both union and non -union data. Example: SULA2004 -007\n5/13/2010. SU indicates the rates are not union rates, LA\nindicates the State of Louisiana; 2004 is the year of the\nsurvey; and 007 is an internal number used in producing the\nwage determination. A 1993 or later date, 5/13/2010, indicates\nthe classifications and rates under that identifier were issuedPage 12of 14\n6/1/2012 http://www.wdol.gov/wdol/scafiles/davisbacon/KY127.dvbCHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 49 of 57 as a General Wage Determination on that date.\nSurvey wage rates will remain in effect and will not change\nuntil a new survey is conducted.\n----------------------------------------------------------------\nWAGE DETERMINATION APPEALS PROCESS\n1.) Has there been an initial decision in the matter? This can\nbe:\n* an existing published wage determination\n* a survey underlying a wage determination\n* a Wage and Hour Division letter setting forth a position on\na wage determination matter\n* a conformance (additional classification and rate) ruling\nOn survey related matters, initial contact, including requests\nfor summaries of surveys, should be with the Wage and Hour\nRegional Office for the area in which the survey was conducted\nbecause those Regional Offices have responsibility for the\nDavis-Bacon survey program. If the response from this initial\ncontact is not satisfactory, then the process described in 2.)\nand 3.) should be followed.\nWith regard to any other matter not yet ripe for the formal\nprocess described here, initial contact should be with the\nBranch of Construction Wage Determinations. Write to:\nBranch of Construction Wage Determinations\nWage and Hour Division\nU.S. Department of Labor\n200 Constitution Avenue, N.W.\nWashington, DC 20210\n2.) If the answer to the question in 1.) is yes, then an\ninterested party (those affected by the action) can request\nreview and reconsideration from the Wage and Hour Administrator\n(See 29 CFR Part 1.8 and 29 CFR Part 7). Write to:\nWage and Hour Administrator\nU.S. Department of Labor\n200 Constitution Avenue, N.W.\nWashington, DC 20210\nThe request should be accompanied by a full statement of the\ninterested party's position and by any information (wage\npayment data, project description, area practice material,\netc.) that the requestor considers relevant to the issue.\n3.) If the decision of the Administrator is not favorable, an\ninterested party may appeal directly to the Administrative\nReview Board (formerly the Wage Appeals Board). Write to:\nAdministrative Review Board\nU.S. Department of Labor\n200 Constitution Avenue, N.W.\nWashington, DC 20210Page 13of 14\n6/1/2012 http://www.wdol.gov/wdol/scafiles/davisbacon/KY127.dvbCHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 50 of 57 4.) All decisions by the Administrative Review Board are final.\n================================================================\nEND OF GENERAL DECISIONPage 14of 14\n6/1/2012 http://www.wdol.gov/wdol/scafiles/davisbacon/KY127.dvbCHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 51 of 57 Fringe benefit amounts are applicable for all hours worked except when otherwise noted. \n \nThese rates are listed pursuant to the Kent ucky Determination No. CR-11-I-HWY dated August \n04, 2011. \nNo laborer, workman or mechanic shall be paid at a rate less than that of a Journeyman except \nthose classified as bona fide apprentices. \n \nApprentices or trainees shall be permitted to work as such subject to Administrative Regulations \nadopted by the Commissioner of Workplace Standa rds. Copies of thes e regulations will be \nfurnished upon request from any interested person. Before using apprentices on the j ob the contractor shall present to the Contracting Officer written \nevidence of registration of such employees in a program of a State apprenticeship and training \nagency approved and recognized by the U. S. Bureau of Appren ticeship and Training. In the \nabsence of such a State agency, the contractor shall submit evidence of approval and registration \nby the U. S. Bureau of Apprenticeship and Training. The contractor shall submit to the Contractin g Officer, written evidence of the established \napprenticeship-journeyman ratios and wage rates in the project area, which will be the basis for establishing such ratios and rates for the proj ect under the applicable contract provisions. \n \nTO: EMPLOYERS/EMPLOYEES PREVAILING WAGE SCHEDULE:\n \n \nThe wages indicated on this wage schedule a re the least permitted to be paid for the \noccupations indicated. When an employee works in more than one classification, the \nemployer must record the number of hours worked in each classification at the prescribed \nhourly base rate. OVERTIME:\n \n \nOvertime is to be paid after an employee works eight (8) hour s a day or forty (40) hours a \nweek, whichever gives the employee the greater w ages. At least time and one-half the base \nrate is required for all overtime. A laborer, workman or mechanic and an employer may \nenter into a written agreement or a collectiv e bargaining agreement to work more than \neight (8) hours a calendar day but not more than ten (10) hours a calendar day for the \nstraight time hourly rate. Wage violations or questions should be directed to the \ndesignated Engineer or the undersigned. \n \n Ryan Griffith, Director Division of Construction Procurement Frankfort, Kentucky 40622 CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 52 of 57 \n \n \nPART IV \n \nINSURANCECHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 53 of 57 INSURANCE \n \n The Contractor shall procure and maintain the following insurance in addition to the insurance required by law: \n \n1) Commercial General Liability -Occurrence form – not less th an $2,000,000 General aggregate, \n$2,000,000 Products & Completed Aggregate, $1,000,000 Personal & Advertising, $1,000,000 each \noccurrence. \n \n2) Automobile Liability- $1,000,000 per accident \n \n3) Employers Liability: \n a) $100,000 Each Accident Bodily Injury \nb) $500,000 Policy limit Bodily Injury by Disease \nc) $100,000 Each Employee Bodily Injury by Disease \n \n4) The insurance required above must be evidenced by a Certificate of Insurance and this Certificate of \nInsurance must contain one of the following statements: a) \"policy contains no de ductible clauses.\" \nb) \"policy contains _________________ (amount) deductible property damage cl ause but company \nwill pay claim and collect the deductible from the insured.\" \n \n5) KENTUCKY WORKMEN'S COMPENSATION INSURANCE. The contractor shall furnish evidence \nof coverage of all his employees or give eviden ce of self-insurance by submitting a copy of a certificate \nissued by the Workmen's Compensation Board. \n \nThe cost of insurance is incidental to all contract items. All subcont ractors must meet the same minimum \ninsurance requirements. \n CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 54 of 57 \n \nPART V \n \nBID ITEMS \n CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 55 of 57 KENTUCKY TRANSPORTATION CABINET\nDEPARTMENT OF HIGHWAYS\nFRANKFORT, KY 40622\nCONTRACT ID: 123225 PAGE: 1\nCOUNTY: CHRISTIAN LETTING: 06/15/12\nPROPOSAL: 024GR12R052-CB06 CALL NO: 420\n----------------------------------------------------------------------------------------------------------\nLINE |ITEM DESCRIPTION | APPROXIMATE UNIT | UNIT | AMOUNT\nNO | | QUANTITY | PRICE |\n----------------------------------------------------------------------------------------------------------\nSECTION 0001 ROADWAY\n----------------------------------------------------------------------------------------------------------\n0010 |00077 AGGREGATE FOR MAILBOX TURNOUTS | 200.000 TON | |\n| | | |\n----------------------------------------------------------------------------------------------------------\n0020 |00190 LEVELING & WEDGING PG64-22 | 1,299.000 TON | |\n| | | |\n----------------------------------------------------------------------------------------------------------\n0030 |00301 CL2 ASPH SURF 0.38D PG64-22 | 6,915.000 TON | |\n| | | |\n----------------------------------------------------------------------------------------------------------\n0040 |02562 SIGNS | 760.000 SQFT| |\n| | | |\n----------------------------------------------------------------------------------------------------------\n0050 |02650 MAINTAIN & CONTROL TRAFFIC | ( 1.00) LS | |\n| KY 107 | | |\n----------------------------------------------------------------------------------------------------------\n0060 |02650 MAINTAIN & CONTROL TRAFFIC | ( 1.00) LS | |\n| KY 345 | | |\n----------------------------------------------------------------------------------------------------------\n0070 |02650 MAINTAIN & CONTROL TRAFFIC | ( 1.00) LS | |\n| KY 345 004-008 | | |\n----------------------------------------------------------------------------------------------------------\n0080 |02650 MAINTAIN & CONTROL TRAFFIC | ( 1.00) LS | |\n| KY 695 | | |\n----------------------------------------------------------------------------------------------------------\n0090 |02676 MOBILIZATION FOR MILL & TEXT | ( 1.00) LS | |\n| KY 107 | | |\n----------------------------------------------------------------------------------------------------------\n0100 |02676 MOBILIZATION FOR MILL & TEXT | ( 1.00) LS | |\n| KY 345 | | |\n----------------------------------------------------------------------------------------------------------\n0110 |02676 MOBILIZATION FOR MILL & TEXT | ( 1.00) LS | |\n| KY 345 004-008 | | |\n----------------------------------------------------------------------------------------------------------\n0120 |02676 MOBILIZATION FOR MILL & TEXT | ( 1.00) LS | |\n| KY 695 | | |\n----------------------------------------------------------------------------------------------------------\n0130 |02677 ASPHALT PAVE MILLING & TEXTURING | 119.000 TON | |\n| | | |\n----------------------------------------------------------------------------------------------------------\n0140 |06510 PAVE STRIPING-TEMP PAINT-4 IN | 34,930.000 LF | |\n| | | |\n----------------------------------------------------------------------------------------------------------\n0150 |06514 PAVE STRIPING-PERM PAINT-4 IN | 69,858.000 LF | |\n| | | |\n----------------------------------------------------------------------------------------------------------\n0160 |06546 PAVE STRIPING-THERMO-12 IN W | 362.000 LF | |\n| | | |\n----------------------------------------------------------------------------------------------------------\n0170 |06574 PAVE MARKING-THERMO CURV ARROW | 2.000 EACH| |\n| | | |\n----------------------------------------------------------------------------------------------------------\n0180 |10020NS FUEL ADJUSTMENT | 11,229.000 DOLL| |\n| | | 1.00| 11,229.00\n----------------------------------------------------------------------------------------------------------\n0190 |10030NS ASPHALT ADJUSTMENT | 19,843.000 DOLL| |\n| | | 1.00| 19,843.00\n----------------------------------------------------------------------------------------------------------\nSECTION 0002 DEMOBILIZATION\n----------------------------------------------------------------------------------------------------------CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 56 of 57 KENTUCKY TRANSPORTATION CABINET\nDEPARTMENT OF HIGHWAYS\nFRANKFORT, KY 40622\nCONTRACT ID: 123225 PAGE: 2\nCOUNTY: CHRISTIAN LETTING: 06/15/12\nPROPOSAL: 024GR12R052-CB06 CALL NO: 420\n----------------------------------------------------------------------------------------------------------\nLINE |ITEM DESCRIPTION | APPROXIMATE UNIT | UNIT | AMOUNT\nNO | | QUANTITY | PRICE |\n----------------------------------------------------------------------------------------------------------\n0200 |02569 DEMOBILIZATION (AT LEAST 1.5%) | LUMP | |\n| | | |\n----------------------------------------------------------------------------------------------------------\n| |\n| TOTAL BID |\n----------------------------------------------------------------------------------------------------------CHRISTIAN COUNTY\n024GR12R052-CB06Contract ID: 123225\nPage 57 of 57" }

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{ "pdf_file": "2REYVBYLIEUNFBZ5FULJCPTJCZHNOENV.pdf", "text": "EXXON COMPANY, U.S.A.\nIBLA 88-181 Decided February 21, 1990\nAppeal from a decision of the Deputy Director, Mine rals Management Service, affirming an order\nassessing charges for erroneous reporting. MMS 87-0222-O&G.\nAffirmed in part, reversed in part, and remanded.1. Administrative Practice--Administrative Procedure: Decisions\nWhen issuing a formal decision one must do more than ensure that the\ndecision is supported by a rational basis. The basis for that decisionmust be stated in the written decision and demonstrated in the administrative recordaccompanying the decision. The recipient of the decision deserves areasoned and factual explanation of the rationale for the decision, andmust be given some basis fo r understanding it a nd accep ting it or,\nalternatively, for appealing and disputing it.\n2. Administrative Procedure: Generally--Federal Oil and Gas Royalty\nManagement Act of 1982: Generally--Federal Oil and Gas RoyaltyManagement Act of 1982: Assessments--Oil and Gas Leases: Royalties:Generally--Regulations: Genera lly--Regulations: Applicability--\nRegulations: Interpretation\nA regulation should be sufficiently clear that there is no basis for an oil\nand gas lessee's noncompliance with the regulation before that regulationis interpreted to the detriment of a lessee. If a regulation is ambiguous,any doubt as to its meaning should be resolved favorably to the lessee.The need for clarity is even more imperative when MMS attempts tobase a significant monetary assessment on a lessee's failure to properlyapply provisions of its Oil and Gas Payor Handbook, because thatHandbook lacks the force and effect of law enjoyed by a statute or regulation. \nAPPEARANCES: Salvatore J. Casamassima, Esq., Houst on, Texas, for appel- lant; Peter J. Schaumberg,\nEsq., Geoffrey Heath, Esq., and Howard W. Chalker, Esq., Office of the Solicitor, U.S. Department of the\nInterior, Washington, D.C., for the Minerals Management Service.\n113 IBLA 199 IBLA 88-181\nOPINION BY ADMINISTRATIVE JUDGE MULLEN\nExxon Company, U.S.A. (Exxon), has appealed from a decision of the Deputy Director, Minerals\nManagement Service (MMS), dated October 5, 1987, affirming a $10,000 assessment for erroneous reporting\non Exxon's June 1986 Form MMS-2014, Report of Sales and Royalty Remittance.\nAt the outset of this decision we must note that the record submitted by MMS on appeal is not the\ncomplete, official file in this dispute. MMS has not submitted Exxon's J une 1986 Form MMS-2014, or a\ncomplete copy of Royalty Rejected Line Detail Report No. ATL 152R, documents central to the dispute nowbefore us. The MMS field report and MMS' Answer do shed some light upon what transpired, but, in the\nabsence of the complete file, some details of the disputed transaction are left to speculation. 1\n/ \nOil and gas lessees are required to file monthl y production reports with MMS. The reports filed\nare on forms prepared by MMS, and require a listing of various transactions as line item entries, using\nvarious numeric codes, called \"transaction codes\" (TCs). MMS also requires the use of the report form for\nentries intended to correct entries on previous reports, a nd a numeric code is also used to describe the nature\nof any line item entry that makes adjustments. These entries are called \"adjustment rea- \nson codes\" (ARCs) Use of these codes presumably facilitates computerized processing of production data.\nThe dispute now before us arose from the manner in which Exxon completed Form MMS-2014\nin June 1986 when it made line item entries to adjust previously reported transportation allowances(allowable deductions). Evidently, MMS had previously approved a tentative transportation allowance, with\nthe understanding that necessary adjustments would be made when actual costs were determined.\nApparently, Exxon assembled transportation cost data , and, in the June 1986 report, it \"reversed\" the\npreviously reported tentative allowance (presumably by adding an amount equal to the tentative allowance\npreviously deducted) and replaced it with a corrected transportation allowance based on actual costs. 2\n/ This\nadjustment was evidently noted with the correct TC and ARC, as MMS has had no problem with the mannerin which Exxon reported this adjustment.\n \n1/ MMS is reminded of its obligation to submit the complete, original administrative record to this Board\nwhen an appeal is filed, and that failure to comp ly may result in our vacating its decision as unsupported \nby the evidence. Dugan Production Corp. , 103 IBLA 362, 364 (1988), and cases cited therein. We note that\ndespite the difficulty experienced when attempting to determine what actually transpired in this case, it is unnecessary for us to take further\nsteps to overcome MMS' failure to submit a complete record. The MMS decision must be reversed on othergrounds.2\n/ It is not clear whether Exxon revised an earlier re port for June 1986, or made entries in a June 1986 report\nto adjust entries on previous report(s). It appears that the latter procedure was used. \n113 IBLA 200 IBLA 88-181\nThe problem arose because the June 1986 report also contained line item entries in which Exxon\nhad evidently reversed its previously reported gross royalty and royalty-in-kind figures for the same time\nperiods and replaced them with identical figures. Exxon listed these entries using TC 01 (royalty due) and\nTC 06 (royalty-in-kind) to describe the trans- actions and ARC 34 (adjustments for allowances) on the report\nto explain the adjustment.\nMMS' computer balked at accepting the MMS-2014 report form sub- \nmitted by Exxon because of Exxon's use of the ARC 34 en tries, and generated Royalty Rejected Line Detail\nReport No. ATL 152R. The report identified 1,365 line ite m entries as being erroneous. By demand letter\nand bill for collection, Invoice No. 75760111, both dated December 11, 1986, MMS assessed Exxon $10,000 for\n1,365 erroneous reports on Exxon's Form MMS-2014 fo r the June 1986 reporting period. MMS enclosed\nthe Royalty Rejected Line Detail Report, upon which MMS circled each line which contained at least one\nreporting error. The following errors were cited by MMS: \"1. [t]he use of adjustment reason codes that\nwere incompatible with the transaction codes used (e.g.\n, using adjustment reason code 34 with transaction\ncodes 01 and 06); and 2. [r]eporting unnecessary lines with no quantities and values.\" Although theregulations then in effect provided for the assessm ent of $10 per line for each line containing one or more\npayor errors (in this case $13,650), MMS charged Exxon $10,000, the maximum erroneous reportingassessment permitted.\nExxon appealed this assessment to the Director, MMS. In its appeal \nto the Director, Exxon explained that the alleged erro rs resulted from adjustments it made to its tentative\ntransportation allowance figures following MMS' approval of its actual transportation costs for its California\nHondo lease. Exxon argued that it had selected ARC 34 by following the 1982 MMS Oil and Gas Payor Handbook (Handbook). The Handbook instructions stated that ARC 34should be used to adjust royalties as a result of a retroactive allowance determination made by MMS, and that ARC 38, the code MMS determined to be appropriate, should be used to adjust line entries previously reported with\ncoding or typographical errors. Exxon further asserted that it had never been notified that ARC 34 was\nincompatible with TC 01 and TC 06.\nBy decision dated October 5, 1987, the Deputy Director, MMS, denied Exxon's appeal. He first\nnoted that a completed Form MMS-2014 must accompany all royalty payments to MMS. He also indicated\nthat 30 CFR 218.40(b) (1986) provides for an assessment of $10 for each report which is completedincorrectly, and that 30 CFR 218.40(c) (1986) defi nes a report as each line on a Form MMS-2014. He\nfurther found that Exxon's adjustments using ARC 34 in conjunction with TC 01 and TC 06 had beenrejected by the MMS exception processing system b ecause ARC 34, as an adjustment to allowances, \nis \"incompatible\" with TC 01 and TC 06, which are used for royalty transactions and not allowancetransactions.\n113 IBLA 201 IBLA 88-181\nThe Deputy Director continued:\nThe Appellant states that the MMS Payor Handbook does not explain this\nincompatibility and that Exxon has never been notified that the use of ARC 34 for thiskind of reporting is incorrect.\nThe MMS Fiscal Accounting Division, in the field report on this appeal\nprepared pursuant to 30 CFR 290.3(b) (1986), states that Exxon's errors wereavoidable because the adjustments made by Exxon (the reversals of TC 01 and 06)\nwere unwarranted and unnecessary. The Fiscal Accounting Division further states thatExxon was notified in November 1984 that this type of reporting was inappropriate.\nThe record supports the finding that Exxon had been notified of the\nincompatibility of TC 01 and ARC 34.\nBased on the record before me, I conclude the Fiscal Accounting Division acted\ncorrectly with respect to the subject assessment. The Appellant has offered noarguments which would justify the waiver of these charges. Accordingly, the subject\nappeal is denied.\n(Decision at 2).\nIn its statement of reasons (SOR), Exxon initially asks the Board to disregard the Deputy\nDirector's conclusion that the record supports the finding that Exxon had been notified of the incompatibilityof ARC 34 and TC 01 and TC 06. This request derive s from MMS' failure to provide a copy of the Fiscal\nAccounting Division field report to Exxon or refer to any document of record supporting the MMSnotification claim.\nExxon also repeats the arguments it presented in its appeal to the Director. Exxon notes that its\nroyalty reporting consists of two components--valuati on and transportation allowances--and that the asserted\nerrors stem from its retroactive adjustment of the transportation allowance for its Hondo lease. Exxon then explains that when it made the transportation allowance adjustments on FormMMS-2014, it attempted to set out the transportation adjustments in a straightforward manner, using ARC34 with the basic valuation lines TC 01 and TC 06. Exxon asserts that there are no regulations, guidelines,\ndirectives, or notices of any kind supporting the MMS position that ARC 34 cannot be used onnon-transportation lines, and that Exxon should have used ARC 38.\nExxon argues that the only written guidance for proper ARC designation was the 1982 Handbook\nand that the instructions in the Handbook support its use of ARC 34. Exxon elaborates:\n113 IBLA 202 IBLA 88-181\nAs stated in Appendix B.3 [3 /] of the Handbook * * *, the MMS instructs that [ARC]\n\"34\" is to be used \"to adjust royalties as a result of a retroactive allowancedetermination by [MMS].\" Nowhere does it state that the MMS prohibits the use ofthe code to adjustments made to valuation lines. In fact, code \"34\" appears to be inaccordance with the instructions and is the most suitable code for retroactivetransportation adjustments of the type made. In contrast, [ARC] \"38\" is ill-suited forthat type of adjustment. The instructions for code \"38\" state that it is to be used \"toadjust line entries that were previously reported with coding or typographical\n errors\nwhen the adjustment does not result in the payment of additional royalties.\"(Emphasis supplied.) Coding or typographical errors were clearly not the genesis ofthe transportation allowance adjustments and it would be inappropriate, if notincorrect, to use code \"38\" for such adjustments. Code \"34\" best reflects that type ofadjustment, not code \"38\".\nThus, the only written guidance on the subject contradicts the position of the\nMMS taken in this appeal. Even if the MMS had revised its position on the propermethod of making the adjustment, there is nothing in the record that would indicate thePayor Handbook\n was not providing the proper guidance. The only rebuttal the MMS\noffers is that it allegedly gave Exxon verbal notice of its error more than two years\nprior to the incorrect adjustment. Even if such a verbal contact had been made, it doesnot pass muster under the Administrative Procedure Act as adequate notice of policy,the violation of which carried a potential $10,000 penalty. At the very least the MMSshould have sent a letter to Exxon in 1984 clarifying its interpretation\n of the appropriate adjustment reason code. [Emphasis in original.]\n(SOR at 2-3).\nExxon concludes that the assessments for reporting errors based on \nthe use of the incorrect ARC should be rescinded, and that the assessments, at most, should be confined tothose lines containing no reported values or quantities. Exxon further asserts that the $10,000 assessmentis grossly excessive in relation to the administra tive inconvenience the errors caused MMS. Exxon requests\nthat the Deputy Director's decision be reversed and the $10,000 tendered in payment of the assessment berefunded.\nIn its answer, MMS describes its practice after a payor requests a transportation allowance:The MMS grants a tentative allowance which the payor uses on a monthly basis until\nactual cost data are available. Actual cost data subsequently are used by the payor and\nMMS to compute an actual transportation allowance. Once an actual allowance is\n \n3/ The descriptions of the adjustment reason codes are actually found \nin Appendix B.4 of the 1982 Handbook.\n113 IBLA 203 IBLA 88-181\ngranted, the payor reverses its previously reported transportation allowance entries,\nwhich were based on the tentative allowan ce, and enters the approved transportation\nallowance.\n(Answer at 2). \nMMS states that Exxon's report correctly set out the adjustments to its transportation allowance\nby setting out the transportation allowance based on act ual costs and reversing the tentative transportation\nallowance, but was in error because Exxon had also reversed its royalty lines (TC 01 and TC 06) and\nreentered those lines exactly as it had reversed them . MMS contends that the whole assessment could have\nbeen avoided because there was no reason to reverse a nd reenter those royalty lines, because the gross royalty\nvalue was not changed by the transportation allowan ce adjustments. MMS explains that the erroneous\nreporting assessment was made because Exxon used ARC 34, an incorrect code, to justify the adjustments\nwhen it unnecessarily adjusted its royalty lines (TC 01 and TC 06). MMS states that it rejected Exxon'scontention that it used the correct code because TC 01 and TC 06 are royalty transactions which are incompatible with a code for allowance transactions. MMSexplains the inconvenience resulting from the improper use of ARC numbers by noting that the royalty lineswere rejected by MMS' computer and MMS had to change the ARC numbers on each lines to 38 before\nreentering the data. MMS states that by correcting those line items itself, rather than returning the report toExxon, it prevented Exxon's being assessed late reporting or interest charges. \nMMS asserts that Exxon had actual notice that ARC 34 should not be used with TC 01 and TC\n06 because MMS had corrected this same mistake on Exxon's October 1984 Form MMS-2014. MMS contends th at it made the necessary corrections and sent\nthe original and one copy of the Royalty Rejected Li ne Detail Report to Exxon, with instructions to retain\nthe copy for its records and to sign, date, and return the original to MMS with the statement: \"I haveexamined the changes and agree they are accurate and co mplete.\" MMS states that the original was signed\nby Ms. Susan Handley on November 28, 1984, and returned to MMS, and indicates that a copy of the signed report is in the official file. MMS contends that this signed acknowledgement demonstratesExxon's knowledge of the incompatibility of ARC 34 and TC 01 and TC 06.\nMMS further contends that the 1982 Payor Handbook clearly identified ARC 34 as a code to be\nused only when adjusting allowances, while TC 01 and TC 06 are equally clearly identified as involving royalty transactions. Therefore MMS concludes that\nit gave Exxon sufficient notice that the use of ARC 34 with TC 01 and TC 06 was incorrect.\nIn sum, MMS argues that the lines on Form MMS-2014 were incorrectly completed; 30 CFR\n218.40(b) and (c) (1986) 4\n/ authorized it to assess \n \n4/ MMS recognizes that 30 CFR 218.40 was revised in 1987 but states that Exxon would have been assessed\nthe $10,000 maximum under the revised regulation as we ll as under the 1986 regulation (Answer at 3 n.1).\n113 IBLA 204 IBLA 88-181\nExxon $10,000 for the erroneous reporting; and, therefore, the Deputy Director's decision must be affirmed.\n[1] As an initial matter, we are troubled by MMS' failure to give Exxon a sufficient explanation\nof the basis for its conclusion that Exxon had notice of the incompatibility of ARC 34 and TC 01 and TC 06prior to addressing that issue in its answer to Exxon's statement of reasons in this appeal. It is not enough\nthat MMS ensures that its decision is supported by a rati onal basis. The basis for that decision must be stated\nin the written decision and demonstrated in the admi nistrative record accompanying the decision. Eddleman\nCommunity Property Trust , 106 IBLA 376, 377 (1989); Roger K. Ogden , 77 IBLA 4, 7, 90 I.D 481, 483\n(1983). The recipient of a decision deserves a reasone d and factual explanation of the rationale for the\ndecision, and must be given some basis for understanding it and accepting it or, alternatively, for appealingand disputing it. Eddleman Community Property Trust\n, supra ; Southern Union Exploration Co. , 51 IBLA\n89, 92 (1980) (and cases cited therein). \nIt is readily apparent from Exxon's submissions on appeal that Exxon did not know that the\nOctober 1984 Form MMS-2014 corrections were the basis for the MMS holding that Exxon had prior notice.The Deputy Director's sole explanation for his finding that \"[t]he record supports the finding that Exxon hadbeen notified of the incompatibility of TC 01 and ARC 34\" is his statement that \"[t]he Fiscal Accounting Division further states that Exxon was notified in November 1984 that this type of reporting was inappropriate\" (Decision at 2).\nThis statement gives no clue regarding how Exxon was given notice, what constituted that notice, or how that doc ument placed Exxon on notice,\nand does not provide an adequate explanation for his determination.\nOur concern goes further than noting that the Deputy Director's decision fails to sufficiently\napprise Exxon of the basis for the notice conclusion. The Fiscal Accounting Division field report which was\nthe principal source for the MMS determination that Exxon had notice of the incompatibility of ARC 34 andTC 01 and TC 06 was never made available to Exxon. Exxon was prejudiced by MMS' failure to provi de necessary information concerning the basis for\nits decision. See\n Southern Union Exploration Co. , supra at 93. However, as will be seen, our resolution \nof this appeal moots the question of how to remedy this prejudice.\n[2] The regulations in effect when Exxon filed its Form MMS-2014 authorized MMS to assess\n$10 per day \"for each report received by the designated due date but which is incorrectly completed.\"\n30 CFR 218.40(b) (1986). Th e regulations further defined a report \"as each line item on a Form\nMMS-2014.\" 30 CFR 218.40(c) (1986). Thus MMS clearly has the authority to assess Exxon for reporting\nerrors, and Exxon does not challenge that general author ity. Rather, Exxon contends that it did not err when\nusing ARC 34 with TC 01 and TC 06 because, based on the information it had, its use of that ARC numberwas reasonable and appropriate.\nAppendix B.4 of the 1982 Handbook provides the following descriptions for the relevant\nadjustment reason codes:\n113 IBLA 205 IBLA 88-181\nCode 34 Adjustments for Allowances - To adjust royalties as a result of a retroactive\nallowance determination by Minerals Management Service (MMS).\n* * * * * * *Code 38 Other Adjustments\n - To adjust line entries that were previously reported with\ncoding or typographical errors when \nthe adjustment does not result in the payment of additional royalties. [Emphasissupplied.]\n(1982 Oil and Gas Payor Handbook at B.4.2). Exxon notes that its adjustments were not made because of\nprevious typographical or coding errors but were the result of retroactive transportation allowance\nadjustments approved by MMS, and contends that MMS' descriptions of ARC 34 and ARC 38 supportExxon's initial determination that ARC 34 was the appropr iate code to use. On the other hand, MMS argues\nthat the code for adjustments for allowances cannot be used for royalty value lines. \nOften appellants will argue that a regulation is vague . In many of those cases we have stated that\na regulation should be sufficiently clear that there is no basis for an oil and gas lessee's noncompliance withthe regulation before that regulation is inte rpreted to the detriment of a lessee. See\n, e.g. , Dennis W. Belnap ,\n112 IBLA 243 (1989); Beard Oil Co. , 97 IBLA 66 (1987); James M. Chudnow , 82 IBLA 262 (1984); Charles\nJ. Rydzewski , 55 IBLA 373, 88 I.D. 627 (1981); Wallace S. Bingham , 21 IBLA 266, 82 I.D. 337 (1975);\nMary I. Arata , 4 IBLA 201, 78 I.D. 397 (1971); \nA. M. Shaffer , 73 I.D. 293 (1966). If a regulation is ambiguous, any \ndoubt as to its meaning should be resolved favorably to the lessee. Wallace S. Bingham , supra ; Mary I.\nArata , supra ; A. M. Shaffer , supra .\nThe need for clarity is even more imperative wh en MMS attempts to base a significant monetary\nassessment on a lessee's failure to properly apply provisions of the Oil and Gas Payor Handbook because thatHandbook lacks the force and effect of law enjoyed by a statute or regulation. See\n Mesa Petroleum Co. ,\n107 IBLA 184, 192 (1989); Chevron U.S.A. Inc. , 105 IBLA 21, 26 n.5 (1988). \nAn examination of the descriptions of ARC 34 and ARC 38, as found \nin the 1982 Handbook leaves little doubt that those descriptions do not unambiguously inform a payor thatARC 34 cannot be used with TC 01 and TC 06. In f act, those descriptions actually support Exxon's choice\nof ARC 34 instead of ARC 38. As can be seen, MMS' description of ARC 38 clearly states that ARC 38 is\nto be used to adjust line entries that were previously reported with coding or typographical errors. Exxon was attempting to report adjustments\nto its transportation allowance figures following MMS a pproval of its actual transportation costs, an entry\nmuch closer to \"a result of a retroactive allowance determination by Minerals Management Service (MMS)\"\nthan an adjustment for \"line entries that were previously reported with coding or typographical errors.\" Asearch of the Handbook for a proper code for the entry reported by Exxon could logically\n113 IBLA 206 IBLA 88-181\nlead to the selection of ARC 34. In addition we find nothing which can be construed as explicitly instructing\na payor that it is inappropriate to use ARC 34 with TC 01 and TC 06. Accordingly, we find that, althoughExxon may have erroneously used ARC 34 with TC 01 and TC 06, the MMS Handbook is ambiguous, and the doubtas to the proper use of ARC 34 should be resolved in Exxon's favor. \nWe deem it unnecessary to consider whether the Handbook ambiguity would relieve Exxon of the\nresponsibility for using the proper ARC number if it had actual prior notice that it was improper to use ARC\n34 for the transactions reported. After review of the evidence before us, we are not persuaded by MMS'argument that Exxon had actual notice that its use of ARC 34 was wrong. The only evidence in the recordsupporting this argument consists of three sample page s of the Royalty Rejected Line Detail Report prepared\nin response to Exxon's October 1984 Form MMS-2014, and attached as an exhibit to the Fiscal AccountingDivision field report. Although one of those pages does contain a signed acknowledgement that the changes are accurate and complete, the report its elf merely states \"INCORRECT REASON CODE FOR\nTHIS TRANSACTION,\" and provides no explanation whatsoever for this conclusion. We also note that,when preparing this report, MMS changed some of the ARC's from 34 to 00 and others to 38. There is no explanation whatsoever for this conclusion, and no statement that ARC 34 is incompatible withTC 01 and TC 06. We therefore reverse the assessments based on line item entries found to be incorrect forthat reason only.\nWe note that the ambiguities in the 1982 Oil and Gas Payor Handbook leading to this appeal no\nlonger exist. MMS substantially revised th e Handbook in September 1986, and the current Handbook\ndiscusses the usage of the various transaction codes and lists the adjustment reason codes that may be used with each transaction\ncode. ARC 34 is not listed for use with either TC 01 or TC 06. (Volume II 1986 Oil and Gas PayorHandbook at 3-27 and 3-103). The Handbook also contains revised descriptions of ARC 34 and ARC 38:ARC 34 is to be used \"[t]o adjust an allowance as a result of a retroactive allowance determination by MMS,\"while ARC 38 is to be used \"[t]o make adjustments that are MMS-mandated but do not fall within one of the categories above and are not audit related\" (Volume II 1986 Oil and Gas Payor Handbook at 4-14 and A3-4). Thus th e requisite clarity of instruction now exists.\nExxon has not challenged the assessment for re porting unnecessary lines with no quantities and\nvalues. We affirm the assessments for those reporting errors. We note that 30 CFR 218.40(b) was revised in 1987 to permit assessments of an amount not to exceed\n $10 for each incorrect report. The current regulations\nalso authorize MMS to periodically establish th e assessment amount for each reporting error based \non its experience with costs and improper reporting, and provide for the publication of notice of the\nassessment amounts in the Federal Register . 30 CFR 218.40(e). On July 22, 1987, MMS published a notice\nestablishing the following assessment schedule for erroneous royalty reporting: $5 per line for 1-100erroneous lines; $8 per line for 101-500 erroneous lines; \n113 IBLA 207 IBLA 88-181\nand $10 per line for over 500 erroneous lines. 52 FR 27593 (July 22, 1987). MMS should apply the revised\nregulation and assessment schedule in its determination of the proper amount of charges for the incorrect lines. See\n Conoco, Inc. , 102 IBLA 230\n(1988).\nAccordingly, pursuant to the authority delegated to the Board of Land Appeals by the Secretary\nof the Interior, 43 CFR 4.1, the decision appealed from is affirmed in part, reversed in part, and remanded\nfor further action consistent with this decision. \n \nR. W. Mullen\nAdministrative Judge\nI concur:\n \nDavid L. Hughes\nAdministrative Judge\n113 IBLA 208" }

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{ "pdf_file": "53MPVZWCXMT55PDT4CQCJ2MN5JAKIAGV.pdf", "text": " \n 3G - WATER RIGHTS ADJUDICATION \n \n Adjudication of water rights through the state courts should be completed to fully define \nand quantify all state, tribal and federal water rights. \n \n \nDiscussion: \nThe purpose of a general stream adjudication is to provide certainty and predictability in the \nadministration and distribution of water diverting from hydraulically connected water sources. The need for a general adjudication of water rights in the Snake River Basin became apparent as the spring flows in the Thousand Springs reach began to decline and disputes arose over the availability of water supplies on the Snake River Plain. As part of the 1984 Swan Falls Agreement, the State agreed to commence the Snake River Basin Adjudication, the largest legal proceedin g in the history \nof the state. The SRBA is the cornerstone for the long -term management of the Snake River Basin \nwithin Idaho. At the conclusion of the SRBA, the state will have a listing of all water rights within the basin, which is the predicate for es tablishing water districts to administer all water rights in \naccordance with the prior appropriation doctrine, as established by law. \n \nPursuant to Idaho Code § 42- 1734(3), the IWRB is authorized to represent the state, when requested \nto do so by the Governor, in proceedings, negotiations, and hearings involving the federal government. In the SRBA, the IWRB coordinat ed state participation in the negotiation of federal \nreserved water rights, including tribal claims. The IWRB successfully negotiated agreements \nresolving federal reserved right claims including those filed by the Shoshone -Bannock, Nez Perce, \nand Shoshone -Paiute tribes as well as the claims of numerous federal agencies. The final settlement \nof the Nez Perce Tribe’s claims reflected the tribe’s an d the state’s shared interest in addressing \nenvironmental concerns and addressed the conflicting demands for consumptive and nonconsumptive uses. Consistent with state law, \nTthe IWRB should serve as the lead agency for coordinating state \nparticipation in all general stream adjudications. \n On November 12, 2008, the district court ordered the commencement of an adjudication in the Coeur d’Alene Spokane River water system. Like the SRBA, the determination of all existing water rights from the water basins in Northern Idaho will provide the basis for administration of water rights in accordance with the prior appropriation doctrine, as established by law. \n " }

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{ "pdf_file": "KV5Z5OWVEYBYAPKWADO2QJVXEMZKZTJR.pdf", "text": " \n \n United States Government Accountabilit y Office\nReport to Congressional Requesters GAO \nSeptember 2004 \n PREKINDERGARTEN\nFour Selected States \nExpanded Access by Relying on Schools and Existing Providers of Early Education and Care to Provide Services \n \n \nGAO-04-852 \n \nwww.gao.gov/cgi-bin/getrpt?GAO-04-852 . \n To view the full product, including the scope and methodology, click on the link above. For more information, contact Mamie Shaul at \n(202) 512-7215 or shaulm@gao.gov. Highlights of GAO-04-852 , a report to \ncongressional requesters September 2004\nPREKINDERGARTEN\nFour Selected States Expanded Access \nby Relying on Schools and Existing Providers of Early Education and Care to \nProvide Services \nFor nearly 40 years, the federal \ngovernment has played a role in \nproviding early childhood \ndevelopment programs for children of low-income families through \nHead Start and other programs. \nSince 1980, the number of states with preschool programs has also \nsignificantly increased. While most \nof these programs have targeted children at risk of school failure, \nmore recently, interest has grown \nin expanding these limited programs because of the growing \nconcern about children’s readiness \nfor school and subsequent achievement. It has also been \nfueled by new research on early \nbrain development that suggests the importance of early education \nand by the high rate of mothers in \nthe workforce and their need for early childhood services. In this \ncontext, questions have arisen \nabout how the various programs are coordinated and what lessons \nhave been learned from broad-\nbased state preschool efforts. \nThis work focused on four states \nthat have expanded their preschool programs to serve more children. \nIn these states, GAO addressed (1) \nhow prekindergarten programs were designed and funded, (2) the \npotential implications of these \nprogram features for children’s participation and other programs \nthat serve four year-olds, and (3) \nthe outcome data that have been collected on participating children \nand families. To gather this \ninformation, GAO conducted site visits in four states—Georgia, New \nJersey, New York, and Oklahoma. The expanded prekindergarten programs in Georgia, Oklahoma, New York, \nand New Jersey had some similarities in their design features. For instance, programs were offered at no direct co st to parents, regardless of family \nincome, and each state incorporated some level of collaboration with \ncommunity-based providers such as Head Start and large child care facilities. Some key differences in their design features also existed. For example, Georgia and Oklahoma had statewide programs providing prekindergarten services to over half of their four-year olds, while New York’s and New \nJersey’s programs were more geographically targeted. States and school \ndistricts also varied in offering full- or half-day prekindergarten programs. States also varied in teacher qualifications, the percentage of prekindergarten children served by community-based providers, funding methods, and in the amount of funding per child. \n \nState Per Child Funding for Prekindergarten Programs and Kindergarten through Grade 12 \nFull or half dayFull dayK - 12New Jersey\n Full or half dayK - 12New York\n Full dayK - 12Georgia\n0 2,000 4,000 6,000 8,000 10,000 12,000\nHalf dayFull dayK - 12Oklahoma\nSources: Data on per child funding for kindergarten through grade 12 were obtained from the U.S. Department of Education,\nNational Center for Education Statistics; data on per child funding for state prekindergarten programs were obtained from the G eorgia\nDepartment of Early Care and Learning, and the state departments of education in New Jersey, New Y ork, and Oklahoma.Kindergarten\nthrough 12Full-day pre-KMixture of full-and half-day Half-daypre-KDollars\n \nSome program features had potential im plications for the participation of \nchildren and for early childhood programs. For example, none of the four states required providers to transport all children to and from prekindergarten, and many children were enrolled in half-day programs, which officials believed might have limited the participation of children from low-income and working families. Collaborations between programs and community-based organizations generally permitted rapid program expansion and were viewed as beneficial to early childhood programs. Finally, we found few data to determine the impact of state prekindergarten expansion on the availability or prices of child care. While some data were available on outcomes for children who participated in prekindergarten programs, less was known about their impacts on families. For example, a study in Oklahoma showed that children who participated made significant gains on several school readiness measures relative to a comparison group of unenrolled children. However, none of the \nfour states had measured effects on families, such as parents’ work effort. \n \nPage i GAO-04-852 State Prekindergarten Programs Letter 1 \nResults In Brief 3 \nBackground 4 \nFour Selected States Varied In the Design and Funding of their \nExpanded Prekindergarten Programs 10 \nSome Program Features Had Potential Implications for Children’s \nParticipation and Other Early Childhood Programs 22 \nSome Data Have Been Collected on Outcomes for Participating \nChildren 28 \nConcluding Observations 31 \nAgency Comments 32 \nAppendix I Scope and Methodology 33 \n \nAppendix II GAO Contacts and Staff Acknowledgments 36 \nGAO Contacts 36 Staff Acknowledgments 36 \nRelated GAO Products 37 \n \nTables \nTable 1: State Prekindergarten Program Characteristics, \nBenchmarks, and Number of State Programs Meeting the Benchmarks 8 \nTable 2: Number of School Distri cts Statewide, Number of School \nDistricts with State Prekindergarten Programs, and Percentage of Age-Eligible Children Participating in Five \nState Prekindergarten Programs during the 2003-04 School \nYear 13 \nTable 3: Variation in Selected Features of Five State \nPrekindergarten Programs 16 \nTable 4: Primary Method of Program Funding, Estimated Number \nof Children Participating, and Estimated State Spending \nfor Prekindergarten Programs during the 2002-03 School \nYear 17 \n Contents \n \nPage ii GAO-04-852 State Prekindergarten Programs Figures \nFigure 1: Enrollment of Four-Y ear-Olds in State-Sponsored \nPrekindergarten Programs 7 \nFigure 2: Estimated Number of Age-Eligible Children, \nPrekindergarten Enrollments, and Head Start Enrollments \nin the Four States 12 \nFigure 3: State Per Child Funding for Prekindergarten Programs \nand Kindergarten through Grade 12 19 \n \n \nAbbreviations \nCBO community-based organization \nCCDF Child Care and Development Fund ECPA early childhood program aid \nHHS U.S. Department of Health and Human Services \nLEA local education agencies NIEER National Institute for Early Education Research \nSEA state education agencies \nTANF Temporary Assistance for Needy Families TPK targeted prekindergarten \nUPK universal prekindergarten \nThis is a work of the U.S. government and is not subject to copyright protection in the \nUnited States. It may be reproduced and distributed in its entirety without further \npermission from GAO. However, because this work may contain copyrighted images or \nother material, permission from the copyright holder may be necessary if you wish to \nreproduce this material separately. \nPage 1 GAO-04-852 State Prekindergarten Programs September 9, 2004 \nThe Honorable Edward M. Kennedy \nRanking Minority Member \nCommittee on Health, Education, Labor, and Pensions \nUnited States Senate \nThe Honorable Christopher J. Dodd \nRanking Minority Member \nSubcommittee on Children and Families Committee on Health, Education, Labor, \n and Pensions \nUnited States Senate \nThe Honorable Jack Reed \nUnited States Senate \nFor nearly 40 years, the federal government has played a role in providing \nearly childhood development programs for children of low-income families through Head Start and other programs. Prior to 1970, only a few \nstates had prekindergarten programs, and these were mostly available to a \nsmall number of children and targeted specific populations such as disadvantaged children, those at risk of school failure, or those with \nspecial needs. More recently, there has been interest in expanding these \nlimited prekindergarten programs because of the growing concern about children’s readiness for school and subsequent achievement. This interest \nhas also been fueled by advances in early brain development research that \nsuggest the importance of early education and by the high rate of mothers in the workforce and their need for early childhood services. During the \n2001-02 school year, about 40 states enrolled approximately 700,000 of the \nnation’s 7.8 million three- and four-year-olds in prekindergarten programs, and spent over $2.4 billion to finance these programs. A few of these states \nhave invested significant resources to expand enrollments of \nprekindergarten programs beyond targeted populations. They have also used federal funds such as Title I of the Elementary and Secondary \nEducation Act, as amended by the No Child Left Behind Act of 2001, and \nIndividuals with Disabilities Educat ion Act to support prekindergarten \nprograms, and have implemented these programs in a variety of settings \nsuch as child care centers and Head Start agencies, as well as public \nschools. \nUnited States Government Accountability Office\nWashington, DC 20548 \n \nPage 2 GAO-04-852 State Prekindergarten Programs Given the level of investment and the variety of preschool programs \ncurrently receiving federal and state support, there is concern about \nwhether these programs are well coordinated and that lessons from \nimplementing broadly based state programs are documented. Accordingly, you asked that we review programs in selected states that expanded their \nprekindergarten efforts. This report presents information on (1) how state \nprekindergarten programs were designed and funded in these states, (2) the potential implications of these program features for children’s \nparticipation and for other programs that serve four-year-olds, and (3) the \noutcome data that have been collected on participating children and families. \nTo determine how prekindergarten programs were designed, we reviewed \nprogram information and interviewed state officials, local education \nprogram officials, as well as numerous Head Start grantees and directors \nof large child care facilities, during site visits to four states (Georgia, New Jersey, New York, and Oklahoma). These states were selected, in part, \nbecause they were among a small subset of states that had expanded their \nprekindergarten programs and aimed to serve all four-year-olds whose parents wanted them to attend, rega rdless of family income. We also \nconsidered states that had well-established prekindergarten programs. \nBecause New Jersey had two major preschool programs, including the court-ordered Abbott program that was implemented in New Jersey’s 30 \nhighest-poverty school districts, we report on a total of five \nprekindergarten programs in four states. \nTo identify potential implications of the design of state prekindergarten \nprograms, we interviewed (1) state and local education agency officials; (2) providers of prekindergarten services at community-based \norganizations; and (3) federal, state, and local Head Start program staff. \nWe also reviewed selected data on child care availability in these states and the nation. We assessed the data for reliability and reasonableness and \nfound them to be sufficiently reliable for the purposes of this report. To \ndetermine what outcome data have been collected on participating children and families, we interviewed state and local education agency \nofficials in each of the four states we visited, contacted researchers, and \nreviewed two studies—a study of a sc hool district in Oklahoma and one \nstatewide study in Georgia. We assess ed the methodologies used in these \nstudies and determined that the methodologies were of sufficient quality \nfor use in discussion of most study findings, and we limited our discussion to these findings. (App. I contains a more detailed discussion of our scope \nand methodology.) We conducted our work between October 2003 and \n \nPage 3 GAO-04-852 State Prekindergarten Programs August 2004 in accordance with generally accepted government auditing \nstandards. \nThe four states we visited had developed expanded prekindergarten \nprograms that varied in design fe atures and funding. The four states’ \nprogram features were similar in that each offered services at no direct \ncosts to parents and emphasized preparing children for school and preventing failure in early grades. They also afforded the option of \ncollaboration with community-based providers. We found significant \ndifferences in other aspects of the programs, such as geographic coverage, \nrequirements for teachers, and extent of reliance on community-based \nproviders of early childhood education. For example, Georgia had a \nstatewide program that was implemented in all of its school districts, while New Jersey targeted its two prekindergarten programs in high-\npoverty areas—covering about 24 percen t of its school districts. Teacher \nqualifications also varied among the four states. Requirements for lead teachers ranged from an associate’s degree to a bachelor’s degree with \ncertification in early childhood education. In providing their \nprekindergarten programs, states and school districts also differed in the degree and type of collaborations they established with community-based \nproviders such as Head Start and private child care centers. In terms of \nfunding, the four states relied primarily on state resources but differed in funding methods and amounts per child. For example, New York financed \nits program using general revenues, while Georgia relied on proceeds from \na state lottery. With regard to funding levels, New Jersey had the highest funding per child for its Abbott prekindergarten—over $9,500 compared \nwith less than $4,200 for each of the other programs during the 2002-03 \nschool year. All four states generally used relatively small amounts of federal funds, such as those from Title I or the Individuals with Disabilities \nEducation Act, to support their prekindergarten programs. \nSome design features of state prekindergarten programs had potential \nimplications for children and early childhood programs in the four states \nwe visited. For example, both local officials and providers told us that the lack of transportation and half-day programs may have affected \nparticipation in prekindergarten programs for children of low-income and \nworking families. None of the four states we visited required prekindergarten providers to tran sport all participating children. \nRegarding the implications of state prekindergarten programs for other \nearly childhood program providers, three of the five programs served most prekindergarten children through community-based organizations such as \nHead Start and child care centers. Stat e and local officials and community-\nbased providers told us that collab orations were beneficial to their Results in Brief \n \nPage 4 GAO-04-852 State Prekindergarten Programs programs, but they also identified so me challenges. In terms of benefits, \nsome states used collaborations to quickly expand their prekindergarten \nprograms by using existing age-appropriate facilities. In addition, \ncollaborations increased access to school district resources for some community-based organizations. Some Head Start grantees received state \nfunds to provide prekindergarten services, while other grantees told us \nthey had begun serving more three-year-olds to offset the loss of four-year-olds who participated in state prekindergarten programs elsewhere, which \npotentially increased the number of poor children with 2 years of \npreschool education. At the same ti me, challenges remained for some \nstates and school districts—including the lack of expertise in arranging \nformal contracts and maintaining effective collaborations with \ncommunity-based providers. Little empirical data were available to \ndetermine the degree to which these broad-based state prekindergarten \nprograms affected the availability of and prices for child care, and the \nanecdotal evidence we collected was mixed. \nSome data have been collected on outcomes for participating children, but \nlittle is known about outcomes for their families. In the school districts we visited, we found that assessments of children’s development were \nincorporated in the curriculum and used to provide information to parents. \nWe also found two studies that provided information about the educational outcomes of state prekindergarten programs in Oklahoma and \nGeorgia. A study conducted by Georgetown University collected data on \nprekindergarten children in the Tulsa, Oklahoma, school district and found that children who participated in the Tulsa program had significantly \nhigher scores on several school readiness measures than similar children \nin the comparison group, who did not participate in the Tulsa prekindergarten program. A second study, conducted by Georgia State \nUniversity on Georgia’s prekindergarten program, reported that children \nwho participated in the state program made significant gains on several school readiness measures, including language and problem solving, as did \nchildren in Head Start and those enrolled in private prekindergarten \nprograms. None of the four states we visited reported collecting information regarding the impact of their programs on families with \nrespect to issues such as workforce participation. \n \nThe growth in state prekindergarten programs has occurred for various \nreasons, but three frequently cite d reasons are (1) evidence of the \nimportance of early childhood to later development, (2) the high rate of \nlabor force participation by mothers of young children, and (3) increased \nconcern over school readiness and subsequent achievement. Much has \nBackground \n \nPage 5 GAO-04-852 State Prekindergarten Programs been discovered about children’s abil ity to learn more at an earlier age \nthan previously believed. The early childhood years are commonly \nportrayed as formative. Between the first day of life and the first day of \nkindergarten, development proceeds at a pace exceeding that of any subsequent stage of life. Children from birth to age five engage in making \nsense of the world on many levels: language, human interactions, counting \nand quantification, spatial reasoning, physical causality, problem solving, \nand categorization.\n1 \nSince the 1960s, the percentage of wome n in the labor force has increased \ndramatically. In 1960, about 36 percent of women participated in the labor \nforce, and by 2000 this figure had in creased to 58 percent. Moreover, in \n2003, about 69 percent of women with children aged three to five (but none younger) were in the labor force. This high rate of participation of \nwomen in the labor force has resulted in more children enrolled in \npreschool programs of varying quality and pressure being placed on schools to provide before- and after-school programs. \nTo improve educational achievement fo r all children and reduce failure in \nlower grades, many states and school districts are placing a greater \nemphasis on the school readiness of younger children. For nearly a quarter \ncentury, many states have developed or expanded their investment in prekindergarten programs to increase the likelihood of children’s success \nin school. Prior to 1970 only 7 states funded preschool programs, and by \n1988, 28 states had programs and total spending was $190 million;\n2 such \nprograms generally targeted economically and educationally \ndisadvantaged children. While most state-sponsored prekindergarten \nprograms continue to serve such child ren, a few states are in the process \nof expanding their programs to include all four-year-olds, regardless of \nfamily income. According to the Nati onal Institute for Early Education \nResearch (NIEER), 40 states (and Washington, D.C.) had some form of state-sponsored prekindergarten program in the 2001-02 school year and \n \n \n1National Research Council and Institute of Medicine. 2000. From Neurons to \nNeighborhoods: The Science of Early Childhood Development , Committee on Integrating \nthe Science of Early Childhood Development. Jack P. Shonkoff and Deborah A. Phillips, \neds. Board on Children, Youth, and Families, Commission on Behavioral and Social \nSciences and Education. Washington, D.C.: National Academy Press. \n2Mitchell, Anne W. 2001. “Education for All Young Children: The Role of States and the \nFederal Government in Promoting Prekindergarten and Kindergarten.” Working paper \nseries, Early Childhood Policy Research. The Foundation for Child Development. New \nYork, New York. \n \nPage 6 GAO-04-852 State Prekindergarten Programs enrolled over 700,000 children, mostly four-year-olds.3 While states spent \nmore than $2.4 billion for prekindergarten during the 2001-02 school year, \n10 states accounted for over 80 percent of this amount. \nGenerally, prekindergarten programs aimed to serve four-year-olds, but \naccording to NIEER estimates, most states served less than one-fifth of all \ntheir four-year-olds (see fig. 1). NIEER estimated that about 80 percent of children served by state prekindergarten programs were four-year-olds.\n4 \nDuring the 2001-02 school year, only two states (Georgia and Oklahoma) \nenrolled more than 50 percent of their four-year-olds in a state-sponsored prekindergarten program. Ten states (Alaska, Idaho, Indiana, Mississippi, \nMontana, New Hampshire, North Da kota, South Dakota, Utah, and \nWyoming) had not initiated prekindergarten programs. \n \n \n3NIEER, a unit of Rutgers University, suppor ts early childhood education policy through \nresearch. In the recent NIEER report The State of Preschoo l: 2003 State Preschool \nYearbook , enrollment and spending data were based on 38 states providing information. \n4NIEER estimated enrollment by age categories when states did not provide data separately \nfor three- and four-year-olds. \n \nPage 7 GAO-04-852 State Prekindergarten Programs Figure 1: Enrollment of Four-Year-Olds in State-Sponsored Prekindergarten Programs \nNote: NIEER estimated enrollments by age categories when states did not provide data separately for \nthree- and four-year-olds. NIEER did not report enrollments of state prekindergarten programs in Florida, Minnesota, and Rhode Island. No program\n1-19 percent20-49 percentOver 50 percentNot applicable\nSource: NIEER, The State of Preschool, 2003 State Preschool Y earbook. Alaska\nHawaiiPa.Ore.\nNev.IdahoMont.\nWyo.\nUtah\nAriz.\nN.Mex.Colo.N.Dak.\nS.Dak.\nNebr.\nTex.Kans.\nOkla.Minn.Minn.\nIowa\nMo.\nArk.\nLa.Ill.\nMiss.Ind.\nKy.\nTenn.\nAla.\nFla.Fla.Ga.S.C.N.C.Va.OhioN.H.\nMass.Mich.\nCalif.Wash.\nWis. N.Y .Vt.Maine\nR.I.\nConn.\nN.J.\nDel.\nMd.\nD.C.\nW.Va.Minn.\nFla. \n \nPage 8 GAO-04-852 State Prekindergarten Programs The NIEER study also reported on characteristics describing the quality of \nstates’ prekindergarten programs. Table 1 provides information on \nNIEER’s findings related to certain program characteristics, benchmarks, \nand the number of state programs meeting the benchmarks that NIEER associated with quality prekindergarten programs. \nTable 1: State Prekindergarten Program Characteristics, Benchmarks, and Number of State Programs Meeting the \nBenchmarks \nProgram characteristicsa Benchmarksa Number of \nstate programsb\nClass size 20 children or fewer 32\nFamily support services At least one family sup port service including parent conferences or adult \neducation, referral to social services for families, or information relating \nto nutrition. 32\nStaff-child ratio 1:10 or better 31\nTeacher qualifications Bachelor’s degree for lead teachers 22\nComprehensive curriculum standards Developed specific ally for prekindergarten and cover the domains of \nlanguage/literacy, mathematics, science, social/emotional skills, \ncognitive development, health and physical development, and social studies. 12\nSource: NIEER, The State of Preschool, 2003 State Preschool Yearbook. \na NIEER identified 10 program characteristics and developed benchmarks for each of the \ncharacteristics. The other program characteristics were teacher specialized training requirements, assistant teacher degree requirements, teacher in-service requirements, screening/referral requirements, and meal requirements. \nb Based on NIEER’s summary of quality standards for a total of 44 programs, including some states \nwith more than one prekindergarten program, and Washington, D.C. \n \nAmong the 10 largest state prekindergarten programs, most met the \nbenchmarks for class size, family support services, staff-child ratio, and \nteacher qualifications, and they were equally divided with respect to \ncomprehensive curriculum standards. \nState-sponsored prekindergarten programs are expanding alongside \nexisting programs for young children, including Head Start, Title I, and \nprivate child care programs. Head Star t is a targeted program that mostly \nserves children from low-income families.5 Head Start, administered at the \n \n5Created in 1965, Head Start is the largest federal program that supports early childhood \neducation and was designed to help break the cycle of poverty by providing comprehensive \neducational, social, health, nutritional, and psychological services to low-income children. \n \nPage 9 GAO-04-852 State Prekindergarten Programs federal level by the Department of Health and Human Services (HHS), is \nimplemented in local communities through grantees. These grantees \ninclude community action agencies, school systems, for-profit and \nnonprofit organizations, other government agencies, and tribal governments or associations. The Department of Health and Human \nServices reported that Head Start served just over 900,000 children \nnationwide during the 2003 fiscal year, and most were aged three and four; Head Start was funded at about $6.7 billion, or about $7,366 per child. \nIn addition to administering Head Start, the federal government also \nprovides some limited support for early education programs through Title \nI. Administered by the Department of Education (Education), Title I is the \nsingle largest federal investment for elementary and secondary education.\n6 \nIts primary purpose is to help local education agencies and schools \nimprove the teaching and learning of ch ildren who are failing, or are most \nat risk of failing, to meet challenging academic standards. In support of that goal, Education reported that Ti tle I was funded at about $11.7 billion \nduring the 2003 fiscal year. Nearly 15 million students were supported by \nTitle I funds, and of these, about 2 percent (an estimated 313,000) were enrolled in prekindergarten programs during the 1999-2000 school year.\n7 \nThe Child Care and Development Fund (CCDF) is the principal federal \nprogram that supports child care for low-income families. CCDF is \nadministered by HHS, and each state rece ives an annual allocation that is \nused to subsidize the child care expenses of low-income families with children generally under age 13. CCDF subsidies can be used to obtain \nchild care from various types of providers, including child care centers \n \n \n6Education also funds two other smaller early childhood education-related initiatives. The \nEven Start program was designed to improve family literacy and educational opportunities. \nThe program is generally targeted to parents who are not enrolled in school and their \nchildren through age seven, who lack a high school diploma or its equivalent; the basic skills necessary to function in society; or are unable to speak, read, or write English. In \nprogram year 2000, Even Start served about 31,600 families and 41,600 children; in 2002, \nEven Start was funded at $250 million. Early Reading Firs t is a competitive grant program \nto support local efforts to enhance the early language, literacy, and prereading \ndevelopment of preschool age children, particularly those from low-income families, \nthrough strategies and professional development that are based on scientifically based reading research. In fiscal year 2003, nearly $75 million was awarded to 30 grantees. \n7GAO , Title I Preschool Education: More Children Served, but Gauging Effect on School \nReadiness Difficult, GAO/HEHS-00-171 (Washington, D.C.: September 20, 2000) provides \nthe most recent survey data available we identified. \n \nPage 10 GAO-04-852 State Prekindergarten Programs and family homes.8 In fiscal year 2002, CCDF was appropriated nearly $5 \nbillion, and HHS reported that about 1.8 million children received \nsubsidies in an average month. As a condition of recei ving CCDF funds, \nstates must conduct biennial survey s of child care providers, which are \nconsidered by states when establishing reimbursement rates for providers \nserving subsidized children. In additi on to information regarding the fees \ncharged by providers for child care services, such surveys may provide \nstates with information about the type of child care they provide, \nqualifications of the staff, the age groups of the children they serve, and \nwhere they are located. \n \nThe four states we visited varied in the design features and funding of their prekindergarten programs. Programs shared similar features such as \nvoluntary enrollment of children at no direct cost to their parents, but \ndiffered in others. In addition, all five state programs permitted collaboration with community-based providers. States varied in features \nsuch as the teacher requirements for their prekindergarten programs. \nStates and school districts also di ffered in the degree and type of \ncollaborations they established with community-based agencies. Finally, \nwhile states relied primarily on state resources, they reported some \ndifferences in funding mechanisms and per child funding levels. \n \nIn the four states visited—Georgia, New Jersey, New York, and Oklahoma—we found some similarities in prekindergarten programs.\n9 \nOver the last few years, all four states had expanded their state-sponsored \nprekindergarten programs and, as reported by NIEER in February 2004, were among only nine states and Washington, D.C., that provided \nprekindergarten services to more than 20 percent of their four-year-olds. \nAll four states’ prekindergarten programs were provided at no direct cost to parents—regardless of family income—and were offered on a voluntary \nbasis; children’s enrollment was not mandatory. In addition, each program \nemphasized preparation for school and incorporated the delivery of \n \n \n8Child care centers typically provide for 12 or more children in a nonresidential facility; \nfamily homes generally provide child care for a small group of children in a provider’s \nhome. \n9New York has two prekindergarten programs: the targeted prekindergarten (TPK) and the \nuniversal prekindergarten (UPK). During the 2002-03 school year, the TPK program served \nabout 5 percent of the state’s four-year-olds. This report focuses only on the state’s UPK \ninitiative that served about 23 percent of the state’s four-year-olds. Four Selected States \nVaried In the Design \nand Funding of their Expanded Prekindergarten Programs \nSelected States Designed \nExpanded Prek indergarten \nPrograms to Enroll Children Voluntarily at No Direct Cost to Parents, but Differed in Geographic Breadth and Other Key Features \n \nPage 11 GAO-04-852 State Prekindergarten Programs prekindergarten services by community-based organizations as well as \nschools. None of the states required that all providers offer transportation \nservices, although some providers did, and one state offered \nreimbursement for some children when this occurred.10 Figure 2 shows the \nestimated number of age-eligible children in the state, and the number of \nage-eligible children participating in prekindergarten and Head Start \nprograms in the four states we visited.11 \n \n10As a result of a state supreme court decision, the Abbott school districts were required to \nprovide transportation to children, if needed. \n11The numbers of children who participated in state-sponsored prekindergarten and Head \nStart are not mutually exclusive, that is, an unknown number of children participated in \nboth programs. Participation data for Head Start refer to funded enrollment levels. \n \nPage 12 GAO-04-852 State Prekindergarten Programs Figure 2: Estimated Number of Age-Eligible Children, Prekindergarten Enrollments, \nand Head Start Enrollments in the Four States \nNote: With the exception of New Jersey, this analysis is based on four-year-olds. In New Jersey, \nthree- and four-year-olds were eligible in some districts. Also, New York’s prekindergarten program \nenrollment does not include children participating in the targeted prekindergarten program. \n \nThe states we visited differed in the extent of geographic coverage and \nparticipation in prekindergarten programs. Three of the four states—\nGeorgia, New York, and Oklahoma—aimed to provide prekindergarten programs to all four-year-olds in the state whose parents wanted them to \nattend. While none of these states provided prekindergarten to all four-\nyear-olds, Oklahoma and Georgia had the most widespread programs. During the 2003-04 school year, Oklahoma provided prekindergarten in \n509 of its 541 school districts to about 63 percent of its four-year-olds; \nGeorgia provided prekindergarten in all of its 181 school districts and to about 55 percent of its four-year-olds. New York initially implemented \nmuch of its universal prekindergarten program in school districts located 050,000100,000150,000200,000250,000300,000\nHead Start enrollments (2003 fiscal year)Approximate number of pre-kindergarten enrollments (2002-03 school year)Estimated number of age-eligible children (2003-04 school year)Oklahoma New York New Jersey Georgia\nSources: Estimates on numbers of age-eligible children statewide and prekindergarten enrollments obtained from the Georgia\nDepartment of Early Care and Learning, the state Departments of Education in New Jersey, New Y ork, and Oklahoma; Head Startdata from the U.S. Department of Health and Human Services, Head Start Bureau, Washington, D.C., and refer to funded enrollment ;\nactual enrollment may differ.States122,861\n10,69865,900230,650\n43,700\n13,340250,000\n58,300\n26,39047,533\n28,060\n7,190Number of age-eligible children \n \nPage 13 GAO-04-852 State Prekindergarten Programs in the five largest cities in the state—Buffalo, New York City, Rochester, \nSyracuse, and Yonkers. During the 2003-04 school year, about 80 percent \nof the participating children attended prekindergarten in one of these five \ncities. Overall, New York’s prekindergarten program was offered in 190 of its 680 school districts. In New Je rsey’s Abbott program, the state was \ncourt ordered to provide prekindergarten to all three- and four-year-olds \nwho resided in the state’s 30 highest-po verty school districts. In addition, \n102 non-Abbott early childhood program aid (ECPA) school districts in \nhigh-poverty areas received funds for prekindergarten programs. \nCombined, these two programs provided prekindergarten in 132 of 539 (24 percent) school districts in New Jersey. Table 2 provides information on \nthe extent of geographic coverage and percentage of age-eligible children \nparticipating in prekindergarten progra ms in the four states we visited. \nTable 2: Number of School Districts Stat ewide, Number of School Districts with \nState Prekindergarten Programs, and Percentage of Age-Eligible Children \nParticipating in Five State Prekindergarten Programs during the 2003-04 School \nYear \nState Number of \nschool districts \nstatewideNumber of school \ndistricts with state \nprekindergarten \nprograms Percentage of age-\neligible children \nparticipating in \nprekindergartena\nGeorgia 181 181 55\nNew Jersey \n(Abbott districts) 539 30 73\nNew Jersey (non-Abbott ECPA) 539 102 57\nNew Yorkb 680 190 28\nOklahoma 541 509 63\nSource: Information was obtained from the Georgia Department of Early Care and Learning and the state departments of education in \nNew Jersey, New York, and Oklahoma. \naPercentage of age-eligible children participating in prekindergarten was calculated by dividing the \nnumber of children in prekindergarten by the number of children residing in eligible school districts. In Georgia and Oklahoma, all school districts were eligible for the state prekindergarten program. In New York, 224 of the state’s 680 school districts were eligible for UPK funds. In New Jersey, 30 school districts were eligible for the Abbott program. In addition, 102 non-Abbott high-poverty school districts in New Jersey were eligible for non-Abbott ECPA prekindergarten programs. \nbThis table does not include four-year-olds served in New York’s targeted prekindergarten program, \nwhich served about 5 percent of the state’s four-year-olds. \n \n \nPage 14 GAO-04-852 State Prekindergarten Programs The state-sponsored prekindergarten programs also differed in some of \ntheir key design features. For example, the length of the program, in terms \nof hours per day, ranged from 2.5 hours to 6.5 hours per day among the \nfour states. Full-day prekindergarten was provided in Georgia and New Jersey’s Abbott prekindergarten programs.\n12 The other three \nprekindergarten programs—New Jersey’s non-Abbott ECPA, New York, \nand Oklahoma—allowed school districts to determine whether to offer full-day or half-day programs. \nThe states also varied in their requirements for lead teachers, and two of \nthe five state programs (New Jersey’s Abbott and Oklahoma) required \nteachers to be certified in early childhood education.\n13 In New Jersey’s \nnon-Abbott ECPA program, prekindergarten teachers could also hold certification in elementary education. Beginning with the 2004-05 school \nyear, New York’s state program required that all prekindergarten teachers \nbe certified, but certification could be in an area other than early childhood education. In Georgia, lead teachers were required to hold at \nleast a technical diploma or degree , associate’s degree, or Montessori \ndiploma. However, most lead teacher s had at least a four-year-college \ndegree. As of May 2004, the Georgia Department of Early Care and \nLearning reported that about 58 per cent of its prekindergarten teachers \nwere certified in early childhood or elementary education and 21 percent \n \n \n12The Georgia Department of Early Care and Learning also offered a resource coordination \ngrant program that was available to eligible prekindergarten providers on a competitive \nbasis so that they could provide supportive services to children and their families in addition to educational services. The key focus of the resource coordinator was to involve \nparents in their child’s educational development process by, among other things, helping \nparents obtain needed health services for their child and attending informational and child development seminars. Resource coordinators may also help parents obtain community \nresources such as information regarding the General Educational Development (GED) test, \nemployment counseling, and access to literacy classes. These grants were made available to grantees to provide services to at-risk (category one) children and families. Category one \nis defined as those children who participated in one of the following programs: food \nstamps, Supplemental Security Income (SSI), Medicaid, Temporary Assistance for Needy Families (TANF), PeachCare for Kids, as well as those that were eligible for free and \nreduced-price lunch. For the 2003-04 school year, over $18 million in resource coordination \ngrants was awarded, as of January 8, 2004. \n13Certification in New Jersey’s Abbott program, for example, requires that teachers possess \na preschool through grade 3 (P-3) endorsement. To qualify for a P-3 endorsement, \ncandidates must possess, at a minimum, a bachelor’s degree, a 2.5 grade point average, \npass a state test when identified, and complete a state-approved preparation program at one of the state’s colleges or universities. As of June 2004, New Jersey officials estimated \nthat about 93 percent of the teachers in the Abbott school districts have met the \ncertification requirement. \n \nPage 15 GAO-04-852 State Prekindergarten Programs held four-year education-related or other degrees with some additional \ntraining in early childhood education or development. Combined, about 79 \npercent of the lead teachers in Georgia had at least a four-year education- \nrelated college degree.14 \nStates and school districts established collaborations with community-\nbased organizations differently and often relied on them extensively to provide prekindergarten services to children. For example, Georgia had a \ncentralized program and the state’s Department of Early Care and \nLearning was directly responsible for establishing collaborations with community-based organizations such as child care centers and U.S. \nmilitary bases. In contrast, in the othe r three states we visited, local school \ndistricts had responsibility for establishing collaborations. In New York, the state required that school distri cts use at least 10 percent of their \nuniversal prekindergarten grant funds to serve children in community-\nbased organizations, but statewide over 60 percent of four-year-olds were participating in community-based prekindergarten programs during the \n2002-03 school year. The extent of collaborations varied between the two \nprekindergarten programs in New Jersey during the 2003-04 school year. In the Abbott school districts, the state was ordered by the New Jersey \nSupreme Court to provide full-day prekindergarten for all three- and four-\nyear-olds; over 70 percent of these children were served by community-based providers.\n15 In contrast, in New Jersey’s non-Abbott ECPA school \ndistricts, only about 11 percent of th e children received prekindergarten \nfrom community-based providers. While state officials in Oklahoma were supportive of collaborations, local school district officials determined the \nrole of community-based providers in their prekindergarten programs. In \nOklahoma, most children were enrolled in prekindergarten programs in \n \n \n14Of the remaining lead teachers in Georgia, about 21 percent held technical or other \ndegrees. \n15In May 1998 the New Jersey Supreme Court mandated that children aged three and four \nliving in the 30 highest-poverty school districts in the state receive a high-quality preschool \neducation. The New Jersey Department of Education funds a 6-hour, 180-day \nprekindergarten program, and the New Jersey Department of Human Services funds a wraparound program that provides daily before- and after-care and a summer program. In \ntotal, the full-day, full-year program is availabl e to eligible children for 10 hours per day, \n245 days per year. The New Jersey Department of Education reported that during the 2002-03 school year, the Abbott program enrolled nearly 36,500 children at a cost of about $347 \nmillion for prekindergarten. An official of th e New Jersey Department of Human Services \nalso reported that about $103 million was spent for the wraparound services during the 2003 fiscal year. In addition, school districts can opt to have a 3-hour-per-day program for \n20 days over the summer break. This program would also be funded by the state \nDepartment of Education. \n \nPage 16 GAO-04-852 State Prekindergarten Programs public school buildings; the state did not know how many local school \ndistricts collaborated with community-based organizations or the number \nof children participating in them. Th ese and other key differences in the \ndesign and implementation of state prekindergarten programs are identified in table 3. \nTable 3: Variation in Selected Features of Five State Prekindergarten Programs \nProgram feature Georgia New Jersey \n(Abbott) New Jersey \n(non-Abbott ECPA) New York Oklahoma \nRole of school \ndistricts and \ncommunity-based \norganizations (CBOs) School districts and \nCBOs enter into \ncontract with the \nGeorgia Department of Early Care and \nLearning to provide \nprekindergarten School districts must \nprovide \nprekindergarten and \ncontract with CBOs wherever feasible \nusing a state model \ncontract School districts \nmust provide some \nlevel of \nprekindergarten services and have \noption of \nestablishing contracts with CBOsParticipating school \ndistricts must use \n10% of UPK grant \nfunds to serve children in CBOs Participating school \ndistricts have option \nto contract with \nCBOs \nMaximum class size 20 15 No required \nmaximum 20 20 \nHours per day 6.5 hours 6 hours Minimum of 2.75 \nhours or 6 hours at \nschool district optionMinimum of 2.5 \nhours or 5 hours at \nschool district option Minimum of 2.5 \nhours or 6 hours at \nschool district option\nPercentage of children in half-day \nprograms 0 0 88 83 56 \nCurriculum Sites used state-\napproved curricula Determined locally Determined locally Determined locally Determined locally \nbased on state \nguidelines \nContent standards Statewide standards Statewide standards St atewide standards Statewide standards Determined locally \nbased on state \nguidelines \nLead teacher qualifications Early childhood-\nrelated certification \nor credential\na Certification in early \nchildhood educationbCertification in early childhood or \nelementary education\nc Teacher \ncertificationd Certification in early \nchildhood educatione\nEstimate for percentage of \nprekindergarten children served in \nCBOs 57 percent 71 percent 11 percent 63 percent Largely school-\nbased; percentage \nin CBOs unknown \nSource: Information on program features was obtained from the Georgia Department of Early Care and Learning and the state \ndepartments of education in New Jersey, New York, and Oklahoma. \naGeorgia provides a variety of ways to meet the certification or credentialing requirements, such as \ncertification in early childhood or elementary education; four-year-college degree in certain education \nfields or four-year degree in psychology or social work with additional studies in early childhood education or care; a technical institute diploma/degree in early childhood education or care; associate degree in early childhood education; or a Montessori diploma. \n \nPage 17 GAO-04-852 State Prekindergarten Programs bBy September 2004, a bachelor’s degree plus a state-approved preparation program. \ncBachelor’s degree plus certification in early childhood or elementary education. \ndBeginning in the 2004-05 school year, a bachelor’s degree plus must pass two state teacher \nexaminations (liberal arts and sciences test and assessment of teaching skills). \ne Bachelor’s degree plus must pass general education, professional teaching, and early childhood \ntests. \n \nAll four states relied primarily on state resources but differed in other \naspects of funding such as amounts per child, funding methods, and the \nextent to which these methods and amounts provided for financially stable programs. During the 2002-03 school y ear, enrollments and state spending \nfor prekindergarten services varied widely among the five state programs. \nBased on data we collected from the states, spending ranged from approximately $347 million for prekindergarten services in the 30 Abbott \nschool districts in New Jersey to about $30 million for the 102 non-Abbott \nECPA school districts in New Jersey. Ta ble 4 provides information on the \nprimary methods of program funding, estimated number of participating \nchildren, and estimated state spending among the five programs during the \n2002-03 school year. \nTable 4: Primary Method of Program Funding, Estimated Number of Children \nParticipating, and Estimated State Spe nding for Prekindergarten Programs during \nthe 2002-03 School Year \nState programs Primary method of \nprogram funding Estimated \nnumber of \nchildren \nparticipating Estimated state \nspending for \nprekindergarten \nprograms (dollars in \nmillions)\nNew Jersey – Abbott General revenues: \nschool funding \nformula\na 36,500 $347\nGeorgia Lottery proceeds 65,900 $252 \nNew York General revenues: \nannual appropriation 58,300 $195.4\nOklahoma General revenues: \nschool funding \nformula 28,060 $66.4\nNew Jersey–non-Abbott ECPA General revenues: \nschool funding \nformula 7,200 $30\nSource: Information was obtained from the Georgia Department of Early Care and Learning and the state departments of education in \nNew Jersey, New York, and Oklahoma. \naIn addition to receiving formula-driven funding, Abbott school districts also receive preschool \nexpansion aid. This aid is derived from the state’s general revenues and is provided to the Abbott districts to support the required full-day program for three- and four-year-olds. State Funding Structure, \nLevels, and Stability Varied, and States Used Little Fede ral Funding \n \nPage 18 GAO-04-852 State Prekindergarten Programs Per child expenditures for full-day and half-day prekindergarten varied \nacross the four states we visited and we re consistently less than the state’s \nper pupil expenditures for kindergarten through grade 12. New Jersey’s \nAbbott districts had the highest funding per child for full-day prekindergarten, relative to ki ndergarten through grade 12 funding.\n16 In the \nremaining states, funding for full-day prekindergarten was much less than \nthe level of funding per child in kind ergarten through grade 12. See figure \n3 for comparisons of per child expenditures for prekindergarten and \nkindergarten through grade 12 in the four states we visited. \n \n16While New Jersey’s Abbott prekindergarten program per child funding was more than \ndouble the other state programs, certain aspects of the program contributed to the \nincreased costs. For example, one feature (maximum class size) increased program cost by roughly 25 percent by limiting enrollment to 15 children. The New Jersey Department of \nEducation also initiated a number of activitie s to improve program quality. For example, \nduring the 2002-03 school year, the state provided a year-long training program for 105 master teachers who, in turn, mentored and coached over 4,000 classroom teachers and \nassistant teachers in the Abbott school districts. The New Jersey Department of Education \nalso recommended that the Abbott school districts employ one family worker for every 45 students. Family workers are to meet regula rly with teachers and families to identify \nspecific concerns or needs, assist in locating resources in the community, and support \nfamilies in utilizing these resources. \n \nPage 19 GAO-04-852 State Prekindergarten Programs Figure 3: State Per Child Funding for Prek indergarten Programs and Kindergarten \nthrough Grade 12 \nNote: State per child funding for prekindergarten programs was for the 2002-03 school year, and \nkindergarten through grade 12 expenditures were for the 2000-01 school year. \n \nApart from New Jersey’s Abbott and Georgia’s prekindergarten programs, \nthe other state programs we examined were largely half-day. New Jersey’s \nnon-Abbott ECPA program, New York, and Oklahoma permitted local school districts to operate half-day prekindergarten. However, these states \ndiffered in how they funded their half- and full-day programs. School \ndistricts in New Jersey’s non-Abbott ECPA program and New York received the same amount per child whet her they operated half-day or full-\nday programs, and about 80 percent of the children attended half-day \nprekindergarten in each of the two programs. In Oklahoma, local school districts received about $1,743 per child (54 percent of the full-day rate), \nand over half of the four-year-o lds participating in the state’s \nprekindergarten program were enrolled in half-day programs during the 2002-03 school year. Full or half day\nFull dayK - 12New Jersey\n \nFull or half dayK - 12New York\n \nFull dayK - 12Georgia\n0 2,000 4,000 6,000 8,000 10,000 12,000\nHalf day\nFull dayK - 12Oklahoma$11,248\n$4,167$9,507\n$10,716\n$3,352\n$6,929\n$3,824\n$6,019\n$3,238\n$1,743\nKindergarten through grade 12\nFull-day prekindergartenMixture of full- and half-dayHalf-day prekindergartenDollars\nSources: Data on per child funding for kindergarten through grade 12 were obtained from the U.S. Department of Education,\nNational Center for Education Statistics; data on per child funding for state prekindergarten programs were obtained from the G eorgia\nDepartment of Early Care and Learning, and the state departments of education in New Jersey, New Y ork, and Oklahoma. \n \nPage 20 GAO-04-852 State Prekindergarten Programs The four states varied in how they funded their state-sponsored \nprekindergarten programs, and officials in two states told us that the \nfinancial outlook of their programs was stable. According to two \nNew Jersey state officials, because of the state supreme court decision and \nsubsequent court order, New Jersey was committed to providing a quality \nprekindergarten program to all three- and four-year-olds who lived in the \nAbbott school districts. In addition, funding for both New Jersey’s Abbott and non-Abbott ECPA prekindergarten programs was part of the school \nfunding formula. Oklahoma supported prekindergarten through the \nfunding formula, as it did for other school grades, and state officials told us they believed that funding for the program was stable. \nHowever, funding for prekindergarten in the other two states may be more \nuncertain. For example, funding levels for New York’s state-sponsored \nprekindergarten had increased somewhat for the past 3 years but were \ninsufficient to allow the state to implement a universal prekindergarten \nprogram available to all four-year-olds by the 2001-02 school year as \nplanned. During the same period, New York financed its program from \ngeneral revenue funds as a line item in the budget, and in 2003, the program was targeted for elimination because of state fiscal shortfalls. \nWhile avoiding elimination, limited incr eases in funding have restricted the \nstate’s ability to expand the program over the past several years. Most eligible districts participated in the program. However, about two-thirds of \nthe school districts were not eligible for the state-sponsored \nprekindergarten program during the 2002-03 school year. \nGeorgia has historically relied on the state lottery to fund its \nprekindergarten program. When the lottery was initially created, its \nproceeds were set aside for three programs, including state-sponsored \nprekindergarten. Currently, lottery funds are used to support \nprekindergarten and a program to provide academic scholarships for eligible high school graduates. However, over time, a greater percentage of \nthe lottery funds has been designated for the college scholarship program \nthan for prekindergarten. Additiona lly, lotteries recently began in two \nneighboring states, and officials we interviewed were concerned that \nGeorgia’s lottery proceeds may level off. State officials told us that lottery \nfunds may be insufficient to entirely support the prekindergarten program by 2007, and the state has begun to look at stop gap measures to protect \nlottery funding if needed in the future. \nThe four states reported using small amounts of federal funds to support \ntheir prekindergarten programs; these amounts were generally small \nrelative to state funding levels. For example, two states—Georgia and \n \nPage 21 GAO-04-852 State Prekindergarten Programs Oklahoma—used some prekindergarten monies to meet their CCDF \nmatching or maintenance-of-effort requirements.17 In fiscal year 2002, \nGeorgia used about $2.4 million in lottery funds for CCDF state matching \nand maintenance-of-effort, which represented about 1 percent of the state funding for prekindergarten. These funds were used for extended day \n(before- and after-school) for Temporary Assistance for Needy Families \n(TANF) eligible children participating in prekindergarten. Oklahoma used about $2.1 million of its prekindergarten funds to meet CCDF \nmaintenance-of-effort requirements, which represented about 3 percent of \nthe state funding for prekindergarten. In fiscal year 2002, New York transferred $61.3 million from the TANF program to the state \nprekindergarten program, but this was done for only one year.\n18 None of \nthe other states used TANF funds to support the expansion of their prekindergarten programs. While state officials told us that Title I, \nIndividuals with Disabilities Education Act, and Head Start program funds \nwere also used at the local level to support prekindergarten, they did not know the exact amounts from these other federal sources. \n \n \n \n \n17States receive CCDF funds from potentially four funding streams. Each state’s annual \nfederal allocation consists of separate discretionary, mandatory, and matching funds. A state does not have to obligate or spend any state funds to receive the discretionary and \nmandatory funds. However, to receive federal matching funds—and thus its full CCDF \nallocation—a state must maintain its program spending at a specified level, referred to as a state’s maintenance of effort, and spend additional state funds above that level. \n18TANF, a block grant to states, provides temporary assistance to needy families. In \ngeneral, able-bodied TANF recipients, who receive cash assistance, must participate in \nwork or work-related activities after receiving assistance for a maximum of 24 months, and there is a 5-year lifetime limit on federal assistance. Beyond work, work-related activities \ninclude education and training; job search; and participation in community service. States \nmay also use a portion of TANF funds for child care services. \n \nPage 22 GAO-04-852 State Prekindergarten Programs Some prekindergarten desi gn features had implications for children’s \nparticipation and early childhood programs in the four states we visited. \nFor example, both local officials and pr oviders told us that transportation \nand program hours may have affected access to prekindergarten programs for children of low-income and working families. State and local officials, \nalong with community-based providers and Head Start grantees, told us \nthat collaborations were beneficial to their programs and had allowed rapid expansion of state prekinder garten. However, some challenges \nremained, such as the efforts needed to establish and maintain effective \ncollaborations. Finally, few empirical data were available to quantify the effect of expanding state prekindergarten programs on the availability and \nprices for child care, and the anecdotal evidence we collected was mixed. \n \nProgram features, which varied across states and school districts, may \nhave affected participation, particular ly for children of low-income and \nworking families. None of the four states required prekindergarten \nproviders to transport all participating children. Officials in some school \ndistricts told us that the lack of transportation may have decreased the \nparticipation of children from low-income and working families, and 10 of \nthe 12 school districts we visited did not provide transportation to and \nfrom prekindergarten for all participating children. Some school district officials primarily cited insufficient funding as a reason for not providing \ntransportation services. For example, in one Oklahoma school district, \nchildren did not necessarily attend prekindergarten classes at their neighborhood school; consequently, the district would have incurred \nadditional costs to transport children to their designated school. One \nofficial in a rural school district we visited in New York told us that more children from low-income and working families would have participated in \nprekindergarten if transportati on were provided. However, costs \nprohibited the district from offering such services. However, officials in the urban school district we visited in New York did not view the lack of \ntransportation as a barrier to participation, as the prekindergarten \nprograms were generally available in proximity to children’s homes or parents’ jobs. In Georgia, the Department of Early Care and Learning \noffered additional funding to providers who opted to transport eligible \nchildren to and from the prekindergarten program.\n19 In May 2004, the \nGeorgia Department of Early Care and Learning paid for the \n \n19Transportation reimbursements were available for category one children. Some Program \nFeatures Had \nPotential Implications for Children’s Participation and Other Early Childhood Programs \nTransportation and \nProgram Hours May Have Implications for Participation \n \nPage 23 GAO-04-852 State Prekindergarten Programs transportation of 13,152 children. In New Jersey, the Abbott school \ndistricts were required to provide transportation when needed. \nIn Oklahoma, where the majority of the participating children attended \nhalf-day prekindergarten programs, school district officials told us that the \nlength of the school day affected participation. In all three school districts \nwe visited, local officials told us that shortened program hours may have hindered the participation of children of low-income and working families. \nOfficials from one Oklahoma school district told us that the combination \nof a half-day program coupled with the lack of transportation to and from the prekindergarten program reduced the participation of children from \nlow-income and working families. In that district, approximately 45 \npercent of the district’s elementary school population was eligible for free and reduced price lunch during the 2003-04 school year, but only 29 \npercent of the children enrolled in prekindergarten were eligible for free \nand reduced price lunch, indicating lower participation of children from low-income families. Similarly, in another Oklahoma school district, while \nabout 84 percent of the district’s student population was eligible for free \nand reduced price lunch, 60 percent of children who participated in prekindergarten were eligible for free and reduced price lunch. However, \nofficials in two Oklahoma school districts told us that certain factors \ndiscouraged them from offering full-day programs; for example, they were able to serve twice as many children with half-day programs, rather than \nfull-day programs, using the same resources (classrooms and teachers). \nAdditionally, one of these officials told us that it would be difficult to \nimplement full-day prekindergarten while the school district only offered a \nhalf-day kindergarten program. \nFinally, some school district officials told us that the location of the \nprogram could also affect the participation of children of working families. \nIn particular, half-day programs without transportation could be more appealing to low-income and working families if they were offered in a \nchild care center where the child could receive care for the duration of the \nwork day. One urban school district we visited primarily offered half-day prekindergarten classes. However, the sc hool district officials told us that \nthe prekindergarten classes were sometimes offered in conjunction with \nother programs at the same location. A district official and child care providers in this school district told us that this arrangement met the \nneeds of low-income and working famili es as children would receive a full \nday of care. Officials and child care providers in this school district told us that in order to offer a full day of care, some child care providers \nsupplemented the state-sponsored prekindergarten program with other \n \nPage 24 GAO-04-852 State Prekindergarten Programs monies, including Head Start fund ing, CCDF subsidies, and parent \npayments. \n \nAlthough state and local officials, as well as staff of community-based \norganizations, told us that collaborati ons were beneficial, some challenges \nremained. Officials in all four stat es we visited told us that such \ncollaborations allowed them to serve more children, and three of the five \nprograms served most prekindergarten children in community-based \norganizations such as Head Start a nd child care centers. In Georgia, New \nJersey, and New York, officials reported that they made extensive use of \ncollaborations because they wanted to implement the prekindergarten \nprograms quickly and schools were often at capacity. In New Jersey, the state supreme court ordered the state to provide full-day kindergarten as \nwell as full-day preschool for three- and four-year-olds in the 30 Abbott \nschool districts. To implement the court order, the districts turned to community-based organizations to accommodate the influx of children. In \nNew York, school districts were only required to use at least 10 percent of \ntheir universal prekindergarten gr ant funds to serve children in \ncommunity-based organizations. Two school districts we visited in New \nYork served the majority of partic ipating children in community-based \norganizations (66 and 100 percent). However, in Oklahoma, where school districts had been experiencing decl ining enrollment, collaborations with \ncommunity-based organizations were less prevalent, as districts were able \nto accommodate prekindergarten children in public schools. Officials from most of the school districts we visited that did use collaborations told us \nthat the collaborations allowed them to take advantage of the existing \nearly child care and education infrastructure, such as buildings, equipment, and assistant teachers to increase program capacity and \nreduce program costs. \nChild care providers who partnered with state prekindergarten programs \ngenerally had favorable experiences with collaborations as well. \nSpecifically, providers mentioned incr eased enrollment, improved quality \nof programs, and increased access to school district resources as benefits \nof their partnerships. Some provider s who collaborated with the state \nprekindergarten programs in Georgia, New Jersey, and New York told us that they expanded their centers to se rve more children of all ages—as \nsome parents enrolled the younger siblings of their prekindergarten \nchildren in the same child care center. In addition, child care providers in \nall four states told us that the overall quality of care had improved as a \nresult of collaborating with the state prekindergarten program. Some \nproviders attributed the improved qual ity to various factors, including a State and Local Officials \nand Community-Based \nProviders Said Collaborations Were Beneficial to Their Programs, but They Also Identified Some Challenges \n \nPage 25 GAO-04-852 State Prekindergarten Programs greater focus on learning, the presence of credentialed teachers, and \nhigher standards for the children. Fi nally, some child care providers who \ncollaborated with state-sponsored prekindergarten programs told us that \nthe partnership allowed them increased access to school district resources such as professional development a nd materials such as new computers \nfor the classrooms. \nHead Start grantees also told us that collaborations were beneficial to \ntheir programs. For example, in Georgia and New York, some Head Start \ngrantees who provided prekindergarte n services stated they were better \nable to serve children by leveraging state prekindergarten and Head Start \nfunds. These grantees told us they were able to expand program hours and \nenrich the learning environment while still providing Head Start’s services, \nincluding establishing family partnerships.\n20 In Georgia, Head Start \ngrantees served 3,654 children, or just over 5 percent of the children \nenrolled in the program during the 2004 fiscal year. In New York, Head \nStart provided about 345 classrooms of prekindergarten—representing \nabout 9 percent of the total number of prekindergarten classrooms. Two \nHead Start grantees told us that since the state prekindergarten program served four-year-olds they began serving more three-year-olds. As a result, \nchildren from low-income families could participate in 2 full years of \npreschool. \nWhile collaborations generally benefited early childhood programs, some \nchallenges existed in establishing and maintaining partnerships between \nstate-sponsored prekindergarten programs and community-based \norganizations. State and school district officials told us that establishing \nand maintaining collaborations took effort, required expertise, and involved increased monitoring a nd technical assistance, including \nfinancial guidance. For example, while one school district we visited had a \nstaff person responsible for establishing and maintaining collaborations, another school district did not have such an expert and was unsure about \nhow to develop partnerships or arrange the formal contracts needed to \ncollaborate. \n \n \n20The Head Start program performance standards on family partnerships provide minimum \nrequirements for grantees in areas such as family goal setting; accessing community services and resources; parent involvement in child development and education; parent \ninvolvement in health, nutrition, and mental health education; and parent involvement in \nshared decision making and community advocacy. \n \nPage 26 GAO-04-852 State Prekindergarten Programs Child care providers also mentioned cert ain challenges such as insufficient \nor uncertain funding. For example, in New York and Georgia, where per \nchild funding to community-based organizations had remained fairly level \nfor at least the past 3 years, some child care providers told us that the per child funding was insufficient and they had to use other funding sources to \nsupport the collaboration. In addition, we found that challenges existed in \nestablishing the collaborations with Head Start in all four states. In both Oklahoma and New York, there was no formal mechanism, such as a \nstatewide contract to facilitate collaboration between school districts and \nHead Start grantees, and the two pr ograms sometimes coexisted in the \nsame community without the benefit of shared resources. Two of the three \nschool districts we visited in Oklahoma did not collaborate with Head \nStart; the third served about 9 percent of its prekindergarten children through collaborations with Head Start grantees. Challenges in \nestablishing collaborations with Head Start also remained in New Jersey.\n21 \nIn 2003, New Jersey’s Department of Education and Department of Human Services developed plans for including Head Start grantees as partners in \nproviding prekindergarten in the Abbott districts over the following 3 \nyears. However, many challenges remained to achieving this goal including agreement on appropriate per child funding levels, as well as challenges in \naligning curricula and other coordination issues. \n \nWhile some community-based providers were initially apprehensive about \nthe potential impact of the widespread availability of states’ prekindergarten programs on the market for child care, we found few data \nto support this concern. In the states we visited, neither state officials nor \nthe child care provider community had data regarding the effects of expanded prekindergarten programs on the availability and prices of child \ncare. The available data were limited to child care market rate surveys, \nwhich were conducted by states to obtain information needed to set reimbursement rates for child care, and data collected every 5 years by the \nCensus of Service Industries on the number of tax filings by child day care \n \n \n21In 2000, the New Jersey supreme court approved the use of community providers such as \nHead Start as part of the Abbott preschool program whenever practical. Abbott v. Burke , \n748 A.2d 82 (N.J. 2000). Two years later, the court discussed the problems encountered in coordinating the two programs, including differi ng teacher qualifications, differing program \nstandards, and the costs associated with bringing Head Start up to state standards. The \ncourt concluded that “districts should utilize Head Start providers unless they are not able and willing to comply with Abbott preschool standards or unless the cost of doing so is \ndemonstrably more expensive than other high-q uality alternatives.” Abbott Ex. El. Abbott v. \nBurke , 790 A.2d 842 at 853 (N.J. 2002). Few Data Available to \nDetermine the Impact of State Prekindergarten Programs on Availability and Prices of Child Care \n \nPage 27 GAO-04-852 State Prekindergarten Programs providers. Market rate surveys provided relatively recent data on prices, \nbut generally did not include sufficient data to isolate any effects of \nprekindergarten and were not always co llected in a comparable or reliable \nform before and after prekindergarten expansion. In contrast, the state level data currently available from th e Census of Service Industries were \ncollected in a consistent fashion o ver time and across states, but were \navailable only for the period through 1997, just 2 years after significant growth in the prekindergarten progra m in Georgia, the oldest expanded \nprogram of the five we studied.\n22 The data indicate that the number of \nsmall child care providers per 1,000 preschoolers in Georgia and the nation as a whole followed similar growth trends from 1987 to 1997, the \nyears of available data. Further, in the same time period, the number of \nchild care centers per 1,000 preschoolers and the number of employees paid by these centers increased in both Georgia and the nation (where \nprekindergarten services were general ly less available than in Georgia). \nHowever, this does not prove that the expansion of prekindergarten \nprograms had no effect on the number of child care providers. For \nexample, perhaps the number of providers would have increased even \nmore had prekindergarten programs not been expanded. \nThe anecdotal evidence regarding the effects of prekindergarten programs \non the market for child care was mixed. For example, representatives of the child care community mentioned some positive effects on the market \nfor child care, including the increased availability and accessibility of high-\nquality child care and early education for children from low-income families. However, some child care providers in Georgia, New Jersey, and \nOklahoma told us that state programs had adverse effects on the business \nof child care, but they were unable to provide us with supporting documentation. According to child care providers, the care of three- and \nfour-year-olds was less costly than the care of infants and toddlers, and the \nrevenue generated from caring for the older children subsidized the care of younger children and made up a significant portion of their revenues. \nChild care providers also said that the enrollment of four-year-olds in state \nprekindergarten programs could result in child care centers raising prices to compensate for the loss of such revenues or even going out of business. \nIn addition, some child care providers in Georgia told us that because state \nprogram funding did not cover the costs of operating prekindergarten, \n \n \n22Georgia’s program was initially a targeted program. It expanded in the early years (1992-\n1995) but remained targeted. In the 1995-96 school year, the program became available to \nchildren regardless of family income. At this time, the program went from enrolling 15,000 \nchildren to enrolling 44,000 children. Th e program has grown steadily since. \n \nPage 28 GAO-04-852 State Prekindergarten Programs some centers had raised the rates for other services such as extended day \ncare. \nHowever, any potential effects of prekindergarten on the price and \navailability of child care may have been mitigated by certain design \naspects of the programs in the states we visited. For example, while the \nmajority of prekindergarten children in Oklahoma were served in public school settings, the potential effects on the child care market may have \nbeen mitigated because most children were in half-day prekindergarten \nprograms and some needed child care before and after the program. In Oklahoma, the state Department of Human Services also provided a full-\nday reimbursement for CCDF-eligible children who used child care for \nmore than 4 hours a day. As a result, the state’s half-day program appeared \nto have minimal impact on child car e providers. In New Jersey’s Abbott \ndistricts and Georgia, which had full-day prekindergarten, the classes were \noften situated in community-base d organizations. Consequently, many \nfour-year-olds who attended these programs remained in community-\nbased settings, and child care providers maintained their enrollment of \nfour-year-olds. Furthermore, in the Abbott districts, the New Jersey Department of Human Services provided additional funds to cover 4 hours \nof child care, beyond the 6 hour educational program. As a result, some \nchild care centers were reimbursed for providing services for up to 10 \nhours per day. \n \nSome data have been collected on outcomes for participating children, but \nlittle is known about outcomes for their families. In all the school districts \nwe visited, prekindergarten teachers routinely assessed children and provided parents with information ab out their child’s progress during the \nschool year. However, the states did not collect and analyze these \nassessment data. We found two studies that provided information about the educational outcomes of state prekindergarten programs on children \nin Oklahoma and Georgia.\n23 One study focused on the Tulsa School District \nand found that children who participated in the Tulsa prekindergarten program had significantly higher scores on several school readiness \nmeasures than children who did not participate in the program. A second \n \n \n23William T. Gormley, Jr., and Ted Gayer, Promoting School Readiness in Oklahoma: An \nEvaluation of Tulsa’s Pre-k Program , Public Policy Institute, Georgetown University, \nWashington, D.C., 2003; Gary T. Henry and others, Report of the Findings from the Early \nChildhood Study: 2001-02 , Andrew Young School of Policy Studies, Georgia State \nUniversity, August 2003. Some Data Have Been \nCollected on \nOutcomes for Participating Children \n \nPage 29 GAO-04-852 State Prekindergarten Programs study analyzed statewide data regarding Georgia’s prekindergarten \nprogram and reported that children who participated in one of three \nprograms studied (Georgia’s prekindergarten program, Head Start, and \nprivate preschools) generally made significant gains on developmental skills during the prekindergarten year. None of the four states we visited \nreported collecting information regarding the impact of their programs on \nfamilies. State officials told us that prekindergarten programs increased choices for families, but none reported knowing whether the \nprekindergarten program had any effect on parents’ work efforts. \n \nIn general, teachers assessed the progre ss of the children’s development in \nthe course of teaching prekindergarten using developmentally appropriate assessments. We found that the types of assessments varied across \nprekindergarten providers, and some providers used multiple types of \nassessments. For example, assessments included checklists that rated the \nchild’s progress on various developmental objectives, observational \nrecords, as well as portfolio assessments, which consisted of a collection \nof the child’s work and projects that showed the child’s progress throughout the school year. In general, such assessments were used to \ninform the teacher and provide inform ation to parents during the school \nyear. None of the states required a particular assessment of children’s outcomes.\n24 \nState officials acknowledged the importance of collecting and analyzing \nstudent outcome data. However, such an alysis had not been systematically \nconducted on a statewide basis in any of the four states we visited. The \noutcome data that the teachers had were not necessarily in a form \nconducive to collection and analysis by the states. Officials offered various \nreasons for not collecting outcome data. In New York, officials told us that \nthere was no funding for large-scale data collection efforts and they were awaiting the results of this year’s fourth grade state test to analyze the \npotential long-term effects of their prekindergarten program, since some \nof these fourth graders had participated in the prekindergarten program as four-year-olds. In New Jersey, state officials told us that they planned to \nperform a program evaluation including children’s outcomes after the \nprogram had matured. In Oklahoma, state officials told us that they did not \n \n \n24Officials in Georgia reported that the Department of Early Care and Learning was in the \nprocess of developing and piloting a standard assessment process for all prekindergarten \nchildren. Teachers Regularly \nAssessed Children’s Progress, although States Did Not Systematically Collect These Data \n \nPage 30 GAO-04-852 State Prekindergarten Programs collect outcome data for all children in the state, but limited information \nregarding program outcomes was available in two school districts. For \nexample, we found that one school district we visited in Oklahoma had \ncollected and analyzed data on the outcomes of 22 children over a 1-year period, 11 of whom participated in the district’s prekindergarten program. \n \nTwo recent studies provided some information on outcomes for children \nin two state prekindergarten programs. A study conducted by researchers \nat Georgetown University analyzed the short-term effects of prekindergarten on children in the Tulsa public schools and found positive \neffects of the Tulsa program. In particular, the study found that children \nwho participated in the Tulsa prekindergarten program had higher scores on both cognitive knowledge and langu age measures, and on measures of \nmotor skills, than did similar children who did not participate. \nAdditionally, the Tulsa study found that impacts tended to be larger for African American and Hisp anic children, and that there was little impact \nfor white children, although the auth ors discussed certain ceiling effects \nthat may have made it difficult to detect any impacts for white children as a whole.\n25 The study also found that children who qualified for the full free \nlunch program showed greater benefits than the population as a whole, \nand benefits were larger for children from low-income families who participated in full-day programs than those participating in half-day \nprograms. \nThe second study, sponsored in part by the Georgia Department of Early \nCare and Learning and conducted by Georgia State University, also found \nprogress among children who participated in the Georgia prekindergarten program during the 2001-02 school year. The study compared the progress \nof children in three early education settings: private preschool, Georgia’s \nstate prekindergarten program, and Head Start.\n26 Children participating in \nthe three programs performed at different levels upon entering the \nprograms. The study reported that at the beginning of prekindergarten, \nchildren enrolled in Head Start demonstrated less mastery of certain skills than did children in the Georgia prek indergarten program, who, in turn, \n \n \n25Ceiling effects can occur when children pretest at or near the highes t possible score on a \ngiven assessment. In such cases, if the same assessment is used as a post-test, it is difficult \nto measure any gains children have made. \n26The study did not include a comparison group of children who did not attend any \npreschool program. Two Studies Provided \nSome Information about \nthe Outcomes for Children Who Participated in State Prekindergarte n Programs \n \nPage 31 GAO-04-852 State Prekindergarten Programs scored lower than children in private preschools. The study found that \nchildren in all three programs made significant gains over the course of 1 \nyear, though in general, the gains made by the prekindergarten children \nwere not significantly different from the gains made by the other two groups of children. By the end of prekindergarten, or at the beginning of \nthe kindergarten year, the relative rankings of the children from the \ndifferent programs had not changed. The researchers also matched children with similar backgrounds to compare the effectiveness of Head \nStart and Georgia’s state prekindergarten program. When comparing the \nlanguage, communication, problem-solvi ng, and basic mastery skill scores \nfor the matched samples of children , researchers noted one case—basic \nskill mastery—in which the gap between scores of the state \nprekindergarten children and the Head Start children widened to a statistically significant level at the end of the prekindergarten year. \n \nCiting benefits of prekindergarten, many states have made an investment \nin the early education of young children, especially four-year-olds. \nGeorgia, New Jersey, New York, and Oklahoma have taken steps to expand early educational opportunities for preschoolers. These four states \noffer different approaches for consideration by other states that are \nconsidering whether to expand the scope of their prekindergarten programs. Given that states have limited resources, an opportunity exists \nto engage community-based providers such as Head Start grantees and \nother early education and care providers in the coordinated delivery of additional prekindergarten services. Collaborations between school \ndistricts and community-based organizations facilitate the coordination of \nchild care and early learning for preschoolers and can provide additional classroom capacity. At the same time , these partnerships can help allay \nfears among child care providers that prekindergarten programs would \nsupplant the need for community-based services. \nIt is also important to acknowledge the trade-offs of certain program \nfeatures. For example, while programs with limited hours may accommodate a higher number of children within the same facility and \nmay be less likely to affect existing child care providers, they may create \nbarriers to participation for children of working families and show smaller \neffects in school readiness of children. Also, prekindergarten programs \nmay benefit by collaborating with existing programs to maximize the \nefficient use of limited state and fe deral education resources. However, \nsuch arrangements may make it necessary for states and school districts \nto invest resources to facilitate such coordination. Perhaps the biggest \ntrade-off that states face is whether the benefits of an expanded Concluding \nObservations \n \nPage 32 GAO-04-852 State Prekindergarten Programs prekindergarten program outweigh those of one that is more targeted. \nTargeted programs have the advantage of giving more intensive services to \neligible children who may benefit most from prekindergarten, but such \nprograms exclude some children who might also benefit. Additional information on outcomes for childre n in the most intensive programs, \nparticularly relative to children who do not receive comparable services, \nmay be helpful to other states consid ering varied types of prekindergarten \nservices, as would data on the benefits of half-day programs relative to \nfull-day programs. \n \nThe Departments of Health and Human Services and Education were \nprovided a draft of this report for review and comment. The Department of Health and Human Services commented that given the discussions \nsurrounding the “state option” proposals being held during Head Start \nreauthorization, our report is informative. Education’s Executive Secretariat stated that the department appreciated the opportunity to \nreview the draft but was not going to provide agency comments. Both \nagencies provided technical commen ts, which we incorporated as \nappropriate. \n \nWe are sending copies of this report to the Secretary of Health and Human \nServices, the Secretary of Educati on, relevant congressional committees, \nand other interested parties. Please contact me on (202) 512-7215 if you or your staff have any questions about this report. In addition, the report will \nbe available at no charge on GAO’s Web site at http://www.gao.gov. Other \nGAO contacts and staff acknowledgments are listed in appendix III. \nMarnie S. Shaul, Director \nEducation, Workforce, \n and Income Security Issues Agency Comments \n \n \nAppendix I: Scope and Methodology \nPage 33 GAO-04-852 State Prekindergarten Programs In conducting our review, we obtained and analyzed information from the \nfederal Departments of Education and Health and Human Services, state \nagencies,1 and local education agencies (L EA). We visited four states, and \nin each state we interviewed staff from state agencies and LEAs, and generally included one urban, one suburban, and one rural school district \nin each state—for a total of 12 school districts. We also interviewed early \nchildhood education and child care policy experts and reviewed selected current literature on state-sponsored prekindergarten programs. \nFor our fieldwork, we considered states that (1) had expanded programs \nand aimed to serve all children whose families wanted them to attend, (2) \nserved large numbers of children in their prekindergarten programs, and \n(3) had well-established programs. We attempted to include varied \nprogram models and gave some priority to states that had studied their \nefforts. \nTo determine how states designed their prekindergarten programs, we \ninterviewed state and local education officials and officials of 13 \ncommunity-based organizations who were direct providers of state prekindergarten services. We also reviewed documents related to states’ \nprekindergarten programs, including state laws, general program \ninformation, state data on program participation and costs, curriculum guides, content standards, and contracts governing collaborations with \ncommunity-based organizations. We obtained information to describe the \nstate-sponsored prekindergarten programs and reviewed the data for reasonableness. We assessed reliability of specific information, including \nestimates of age-eligible children and program expenditures, by \ninterviewing state officials in all four states about their data reliability assessment processes. On the basis of this information, we concluded that \nthe data were sufficiently reliable for the purposes of this report. In \naddition, we performed a detailed review of the methodology of a National Institute for Early Education Research report and found it to be sufficient \nfor descriptive purposes. The data that were used for background \npurposes were not independently verified. \nTo determine the potential implications of prekindergarten on other \nprograms that serve four-year-olds, we interviewed state child care \n \n \n1In New Jersey, New York, and Oklahoma, we collected information and interviewed \nofficials from the state education agencies (SEA); in Georgia, we collected information and \ninterviewed officials from the Department of Early Care and Learning, which administered \nthe prekindergarten program. Appendix I: Scope and Methodology \nAppendix I: Scope and Methodology \nPage 34 GAO-04-852 State Prekindergarten Programs administrators, state and local He ad Start association directors, \ncoordinators and program staff, as well as staff of local child care centers. \nWe also met with national and state representatives of the National Child \nCare Association (an association of managers and owners of child care \ncenters) and related organizations, as well as state and local staff of child \ncare resource and referral offices. We also reviewed selected national and \nstate data on child care availability and prices. Finally, we interviewed state officials regarding federal funds, including Title I of the Elementary \nand Secondary Education Act, Temporary Assistance for Needy Families, \nIndividuals with Disabilities Education Act, and the Child Care and Development Block Grant. We did not review the expenses of providers of \nstate prekindergarten services to ascertain the extent, if any, to which \nfederal funds or other revenues may have subsidized provision of prekindergarten. \nTo determine what is known about the impacts of prekindergarten \nprograms on children and families in the states visited, we interviewed \nstate and local education officials and local policy experts. We also \nidentified two studies on children’s outcomes that met our selection criteria: studies that (1) analyzed student achievement and (2) compared \nprekindergarten children with a control or comparison group of children \nwho did not attend the state-sponsored prekindergarten programs.\n2 To \ncollect information systematically, we developed a data collection \ninstrument and examined each stud y to assess the adequacy of the \nsamples and measures employed, the reasonableness and rigor of the statistical techniques used to analyz e them, and the validity of the results \nand conclusions that were drawn from the analyses. A social scientist read \nand coded the documentation for each study. A second social scientist reviewed each completed data collection instrument and the relevant \ndocumentation to verify the accuracy of every coded item. We found these \ntwo studies to be sufficiently reliable and rigorous to include in our report. \n \n \n2We identified a third study, the Rochester Early Childhood Assessment Partnership 2002-\n2003 Annual Report, but did not review the study because it did not include comparison \ngroups and thus could not isolate the poten tial effects of New York’s universal \nprekindergarten program on the children who attended. \nAppendix I: Scope and Methodology \nPage 35 GAO-04-852 State Prekindergarten Programs We did not identify any studies that assessed the impact of these \nprekindergarten programs on working families such as workforce \nparticipation. \nWe conducted our work between October 2003 and August 2004 in \naccordance with generally accepted government auditing standards. \nAppendix II: GAO Contacts and Staff Acknowledgments \nPage 36 GAO-04-852 State Prekindergarten Programs Betty Ward-Zukerman, (202) 512-2732, WardZukermanB@gao.gov, or \nTim Hall, (202) 512-7192, hallt@gao.gov \n \nThe following people also made important contributions to this report: \nNagla’a El-Hodiri, Shana Wall ace, Alison Martin, Jean McSween, \nBarbara Hills, Susan Bernstein, Amy Buck, and Daniel Schwimer. Appendix II: GAO Contacts and Staff \nAcknowledgments \nGAO Contacts \nStaff \nAcknowledgments \nRelated GAO Products \nPage 37 GAO-04-852 State Prekindergarten Programs Head Start: Better Data and Processes Needed to Monitor \nUnderenrollment. GAO-04-17 . Washington, D.C.: December 4, 2003. \nChild Care: States Exercise Flexibility in Setting Reimbursement Rates \nand Providing Access for Low-Income Children. GAO-02-894 . \nWashington, D.C.: September 18, 2003. \nEarly Childhood Programs: The Use of Impact Evaluations to Assess \nProgram Effects . GAO-01-542 . Washington, D.C.: April 16, 2001. \nTitle I Preschool Education: More Children Served, but Gauging Effect \non School Readiness Difficult . GAO-00-171 . Washington, D.C.: September \n20, 2000. \nEarly Education and Care: Overlap Indicates Need to Assess \nCrosscutting Programs . GAO/HEHS-00-78 . Washington, D.C.: April 28, \n2000. \nPreschool Education: Federal Investment for Low-Income Children \nSignificant but Effectiveness Unclear . GAO/T-HEHS-00-83 . Washington, \nD.C.: April 11, 2000. \nEarly Childhood Programs: Characteristics Affect the Availability of \nSchool Readiness Information. GAO/HEHS-00-38 . Washington, D.C.: \nFebruary 28, 2000. \nEducation and Care: Early Childhood Programs and Services for Low-\nIncome Families. GAO/HEHS-00-11 . Washington, D.C.: November 15, \n1999. Related GAO Products \n(130320) \n \n \n \n \nThe Government Accountability Office, the audit, evaluation, and \ninvestigative arm of Congress, exists to support Congress in meeting its constitutional responsibilities and to help improve the performance and \naccountability of the federal government for the American people. 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