[Federal Register: July 7, 2008 (Volume 73, Number 130)]
[Proposed Rules]
[Page 38343-38346]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr07jy08-10]
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Proposed Rules
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.
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[[Page 38343]]
DEPARTMENT OF AGRICULTURE
Animal and Plant Health Inspection Service
9 CFR Part 71
[Docket No. APHIS-2007-0039]
RIN 0579-AC61
Recordkeeping for Approved Livestock Facilities and Slaughtering
and Rendering Establishments
AGENCY: Animal and Plant Health Inspection Service, USDA.
ACTION: Proposed rule.
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SUMMARY: We are proposing to amend the regulations regarding the
interstate movement of livestock to require approved livestock
facilities and listed slaughtering and rendering establishments to
maintain certain records for 5 years. Currently, approved livestock
facilities are required to retain certain records for 2 years, and
there are no record retention provisions that apply to listed
slaughtering and rendering establishments. Requiring the retention of
certain records for 5 years would allow us to trace the prior movements
of diseased livestock further into the past than is currently possible,
thus providing the opportunity to locate potentially infected or
exposed livestock that might otherwise remain unidentified. We are also
proposing to require the operators of slaughtering and rendering
establishments to sign listing agreements to document their agreement
to comply with the requirements of the regulations for listed
slaughtering and rendering establishments. Such agreements are
currently required for approved livestock facilities, but not for
slaughtering and rendering facilities. The proposed change would
eliminate that inconsistency.
DATES: We will consider all comments that we receive on or before
September 5, 2008.
ADDRESSES: You may submit comments by either of the following methods:
Federal eRulemaking Portal: Go to http://
www.regulations.gov/fdmspublic/component/
main?main=DocketDetail&d=APHIS-2007-0039 to submit or view comments and
to view supporting and related materials available electronically.
Postal Mail/Commercial Delivery: Please send two copies of
your comment to Docket No. APHIS-2007-0039, Regulatory Analysis and
Development, PPD, APHIS, Station 3A-03.8, 4700 River Road Unit 118,
Riverdale, MD 20737-1238. Please state that your comment refers to
Docket No. APHIS-2007-0039.
Reading Room: You may read any comments that we receive on this
docket in our reading room. The reading room is located in room 1141 of
the USDA South Building, 14th Street and Independence Avenue, SW.,
Washington, DC. Normal reading room hours are 8 a.m. to 4:30 p.m.,
Monday through Friday, except holidays. To be sure someone is there to
help you, please call (202) 690-2817 before coming.
Other Information: Additional information about APHIS and its
programs is available on the Internet at http://www.aphis.usda.gov.
FOR FURTHER INFORMATION CONTACT: Dr. Debra C. Cox, Senior Staff
Veterinarian, Surveillance and Identification Program, National Center
for Animal Health Programs, VS, APHIS, 4700 River Road Unit 200,
Riverdale, MD 20737; 301-734-4397.
SUPPLEMENTARY INFORMATION:
Background
The regulations in subchapter C of chapter I, title 9, of the Code
of Federal Regulations contain provisions designed to prevent the
dissemination of livestock or poultry diseases in the United States and
to facilitate the control and eradication of such diseases. The
regulations in 9 CFR part 71 (referred to below as the regulations)
include general prohibitions on the interstate movement of animals that
could spread livestock or poultry diseases.
The regulations in Sec. 71.20 contain provisions under which
livestock facilities may acquire and retain status as an approved
facility. To obtain approval, facilities must enter into an agreement
with the Animal and Plant Health Inspection Service (APHIS) in which
they agree to follow certain procedures when handling livestock
entering the facility. Part of this agreement states that documents
such as weight tickets, sales slips, and records of origin,
identification, and destination that relate to livestock that are in,
or that have been in, the facility shall be maintained by the facility
for a period of 2 years. Such records would be critical in the event
that APHIS or State animal health officials needed to conduct a disease
traceback investigation.
We are proposing to amend Sec. 71.20 to extend the records
retention period from 2 to 5 years. Due to increased globalization, the
threat of an animal disease introduction has increased during the past
few years. In the case of chronic livestock diseases like bovine
tuberculosis, signs and symptoms of the disease may not appear for
years and apparently healthy animals may be found to be infected only
at slaughter. In these cases, being able to trace the animals'
movements as far in the past as possible is important to identify any
other potentially exposed or infected animals. Requiring the retention
of certain records for 5 years would allow APHIS to trace the prior
movements of diseased livestock further into the past than is currently
possible, thus providing the opportunity to locate potentially infected
or exposed livestock that might otherwise remain unidentified. We are
not proposing to make any changes to the records which must be kept,
only extending the time for which they must be kept.
We recognize that our current regulations require that livestock
facilities keep records for no more than two years and that listed
slaughtering and rendering establishments are not required to retain
records for APHIS purposes. Therefore, we would not expect these
establishments to start retaining records for a longer period prior to
the adoption of a final rule establishing a longer retention period,
only that they would extend their records retention to 5 years after
such a final rule became effective.
The regulations Sec. 71.21 are designed to enhance the level of
animal disease surveillance in the United States. Specifically, these
regulations state that livestock or poultry moving interstate for
slaughter or rendering can only be moved to a slaughtering or rendering
[[Page 38344]]
establishment that has been listed by the Administrator. In order for
an establishment to be listed, the operator of the establishment must
agree to a number of provisions, such as allowing access to the
facility by APHIS and Food Safety and Inspection Service (FSIS)
personnel, or APHIS contractors, for the purpose of taking blood and
tissue samples from animals at the facility. These establishments must
allow those personnel access to the processing line to collect the
samples, and they must provide office and sample collection space,
including sufficient lighting and adequate ventilation. They must also
allow APHIS, FSIS, or APHIS contractors to record the identification of
individual animals and retain any external or internal identification
devices.
We are proposing to amend Sec. 71.21 to require that the owner or
operator of a slaughtering or rendering establishment sign a listing
agreement in which he or she agrees, in writing, to meet the
requirements of Sec. 71.21 in order for the slaughtering or rendering
establishment to be listed. Failure to sign a listing agreement would
result in the establishment not being listed, or being de-listed if it
is currently listed. APHIS already has a listing agreement that we make
available to such establishments, but the regulations do not refer to
this agreement nor do they require that the owner or operator of the
establishment sign the agreement. Such listing agreements are currently
required for approved livestock facilities but not for listed
slaughtering and rendering facilities. The proposed change would
eliminate that inconsistency.
The regulations in Sec. 71.21 currently contain no provisions
concerning the retention of records (such as sales slips) by listed
slaughtering and rendering establishments. For the same reasons as
discussed earlier in this document with respect to the records
retention provisions of Sec. 71.20, we believe it is necessary to
amend the regulations regarding listed slaughtering and rendering
establishments to require that these establishments retain certain
records for 5 years. This would allow us to verify the disposition of
herdmates or other animals exposed to the infected animal.
Specifically, we would add a new paragraph (a)(5) to Sec. 71.21
that would require that the management of the slaughtering or rendering
establishment agree to maintain, for 5 years, documents such as weight
tickets, sales slips, and records of origin, identification, and
destination that relate to livestock that are in, or that have been in,
the establishment. We would also require that APHIS, APHIS contractors,
and State animal health representatives be permitted to review and copy
or scan these documents during normal business hours.
Executive Order 12866 and Regulatory Flexibility Act
This proposed rule has been reviewed under Executive Order 12866.
The rule has been determined to be significant for the purposes of
Executive Order 12866 and, therefore, has been reviewed by the Office
of Management and Budget.
The proposed rule would extend the time period for which livestock
facilities must retain records from 2 to 5 years. The proposed rule
would also require that slaughtering facilities and rendering
facilities retain records for 5 years. This would allow APHIS to trace
the prior movements of diseased livestock for up to 5 years, thus
enabling the Agency to locate livestock that have potentially been
exposed to disease. The proposed rule would also require that operators
of slaughtering and rendering establishments agree in writing to the
listing requirements in 9 CFR 71.21.
For this proposed rule, we have prepared an economic analysis. The
analysis, which is set out below, provides a cost-benefit analysis, as
required by Executive Order 12866, as well as an initial regulatory
flexibility analysis that considers the potential economic effects of
this proposed rule on small entities, as required by the Regulatory
Flexibility Act.
The proposed rule has the potential to benefit APHIS, other animal
health authorities, and the operators of slaughtering and rendering
facilities in the event that a traceback is required to locate the
origin of a diseased animal. The livestock, slaughtering, and rendering
industries may also benefit because the added information could
decrease the traceback time, thus reducing the time a particular area
may need to be quarantined pending the outcome of an investigation. The
proposed changes could also result in benefits from a trade perspective
when our ability to more rapidly conclude a disease traceback
investigation allows us to provide timely reporting to our trading
partners regarding the disposition of the animals associated with a
particular disease outbreak and thus facilitates our efforts to retain
market access.
Records Retention
As described previously, record documents such as weight tickets,
sales slips, and records of origin, identification, and destination
that relate to livestock that are in, or that have been in, an approved
facility are required to be maintained by the livestock facility for a
period of 2 years. Retention of such records is not currently required
for slaughtering and rendering establishments. Under the proposed rule,
approved livestock facilities and listed slaughtering and rendering
establishments would be required to retain these records for 5 years.
The proposed provisions regarding the retention of records should
not have a significant economic impact on affected entities. Any costs
of retaining these records by approved livestock facilities for an
additional 3 years are expected to be negligible. Although rendering
and slaughtering facilities are not currently required to retain these
records, most reportedly do so. APHIS therefore does not expect costs
of records retention for these businesses to differ significantly from
costs being borne at present. Records may be maintained in paper or
electronic form.
For the reasons discussed above, costs of complying with the
proposed requirements for records retention should be minimal in most
cases, and may depend on the method of record retention (paper copy or
electronic) and the size of the facility. Clearly, a large-scale
operation that maintains paper records would be faced with higher
potential recordkeeping costs than would be a smaller-scale operation
that maintains records electronically. We welcome the submission of
information from potentially affected entities or any other sources
that would help us to better estimate any additional costs that may
result from the proposed records retention provisions.
The proposed records retention provisions have the potential to
benefit APHIS, other animal health authorities, and the operators of
livestock, slaughtering, and rendering facilities in the event that a
traceback is required to locate the origin of a diseased animal.
Increasing the records retention time would extend the ability of State
and Federal animal health authorities to trace the prior movements of
diseased livestock for up to 5 years, thus enabling the Agency to
locate other livestock that may have been exposed to diseases. This
could prove particularly helpful during tracebacks connected to
diseases with longer incubation periods such as some transmissible
spongiform encephalopathies. The livestock, slaughter, and rendering
industries would also benefit because the added information has the
potential to reduce the amount of time needed to conduct a traceback
investigation, thus reducing
[[Page 38345]]
the time a particular area may need to be quarantined pending the
outcome of an investigation. As noted previously, we expect these
proposed provisions could also produce benefits in terms of helping our
efforts to retain access to international markets in the aftermath of a
disease outbreak by giving us the ability to more rapidly conclude a
disease traceback investigation and subsequently provide timely
reporting to our trading partners regarding the disposition of the
animals associated with that disease outbreak.
Listing Agreement
APHIS has a listing agreement for slaughtering and rendering
facilities; however, it is not currently required that operators agree
in writing to meet the requirements in Sec. 71.21 of the regulations
for becoming a listed establishment. Under the proposal, they would
have to agree in writing to meet the requirements in Sec. 71.21 of the
regulations to become a listed establishment.
The proposed requirement for signed listing agreements should not
have a significant economic impact on slaughtering or rendering
facilities. To the extent that these operations already follow listing
requirements, there should not be any cost associated with signing a
listing agreement. Requiring operators to agree in writing to meet the
requirement for an approved slaughtering or rendering facility will
increase accountability.
Potentially Affected Entities
The proposed rule would affect approved livestock facilities and
listed rendering and slaughtering establishments. This is because, at
the present time, none of those entities are required to retain records
for the proposed 5-year time period. The operators of listed
slaughtering and rendering establishments are not currently required to
sign a listing agreement to be listed by APHIS.
Livestock facilities include posted stockyards and bonded packers.
In 2003, the U.S. Department of Agriculture's Grain Inspection,
Packers, and Stockyards Administration (GIPSA) recorded a total of
2,658 posted stockyards and a total of 502 bonded packers.\1\ While the
employment numbers are not listed for these industries, APHIS employees
who work closely with stockyards and packers estimate the majority of
these industries employ 500 or fewer employees, and thus under the
criteria established by the Small Business Association (SBA) would
qualify as small entities.
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\1\ USDA, GIPSA, Packers and Stockyards Statistical Report, 2002
Reporting Year. (Table 43, page 67, ``Bonded packers and Posted
stockyards.'')
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The animal (except poultry) slaughtering industry (North American
Industry Classification System [NAICS] 311611) is composed of 1,869
establishments, of which 96 percent can be classified as small
entities. According to the SBA, establishments in NAICS 311611 that
employ 500 or fewer employees are classified as small.
The rendering and meat byproduct processing industry (NAICS 311613)
is composed of 231 establishments of which 100 percent can be
classified as small entities. According to the SBA, establishments in
NAICS 311613 that employ 500 or fewer employees are classified as small
entities.
This proposed rule would require approved livestock facilities and
listed slaughtering and rendering establishments to maintain certain
records for 5 years, and would require the operators of slaughtering
and rendering establishments to sign listing agreements to document
their agreement to comply with the requirements of the regulations for
listed slaughtering and rendering establishments. As noted previously,
APHIS already has a listing agreement that we make available to such
establishments, but the regulations do not refer to this agreement nor
do they require that the owner or operator of the establishment sign
the agreement. Such listing agreements are currently required for
approved livestock facilities but not for listed slaughtering and
rendering facilities. However, because having a listing agreement in
place can facilitate the prompt resolution of APHIS disease
investigations, thus allowing the resumption of normal business
activities, many of these establishments have signed listing
agreements.
Alternatives
Alternatives to the proposed rule would be to either leave the
regulations unchanged, or require a different set of criteria than
currently proposed. Leaving requirements for the retention of records
unchanged would be unsatisfactory because it would not provide APHIS
with information to expedite an animal disease traceback. It is also
necessary that the operators of slaughtering and rendering facilities
formally acknowledge accountability by agreeing in writing to meet the
requirements for a listed facility.
APHIS considers the proposed set of criteria to be the minimum
necessary to accomplish the proposed rule's objectives. Due to the
threat of animal disease introductions and the realization that for
certain diseases, such as tuberculosis, an infected animal may not show
signs of illness for a number of years, it is essential that livestock
records be retained for a longer period of time than is currently
required.
For reasons discussed above, we expect that operating costs to
comply with the proposed requirements for the signing of listing
agreements should be negligible. However, we welcome public comment on
this proposed rule, particularly any comments from potentially affected
entities that would allow us to better estimate the costs associated
with its implementation and suggestions for how the proposed rule could
be modified to reduce expected costs for these small entities
consistent with its objectives.
Estimates of the expected reporting and recordkeeping burden
associated with the proposed changes are discussed below under the
heading ``Paperwork Reduction Act.''
Executive Order 12372
This program/activity is listed in the Catalog of Federal Domestic
Assistance under No. 10.025 and is subject to Executive Order 12372,
which requires intergovernmental consultation with State and local
officials. (See 7 CFR part 3015, subpart V.)
Executive Order 12988
This proposed rule has been reviewed under Executive Order 12988,
Civil Justice Reform. If this proposed rule is adopted: (1) All State
and local laws and regulations that are in conflict with this rule will
be preempted; (2) no retroactive effect will be given to this rule; and
(3) administrative proceedings will not be required before parties may
file suit in court challenging this rule.
Paperwork Reduction Act
In accordance with section 3507(d) of the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.), the information collection or
recordkeeping requirements included in this proposed rule have been
submitted for approval to the Office of Management and Budget (OMB).
Please send written comments to the Office of Information and
Regulatory Affairs, OMB, Attention: Desk Officer for APHIS, Washington,
DC 20503. Please state that your comments refer to Docket No. APHIS-
2007-0039. Please send a copy of your comments to: (1) Docket No.
APHIS-2007-0039, Regulatory Analysis and Development, PPD, APHIS,
Station 3A-03.8, 4700 River Road, Unit 118, Riverdale, MD 20737-1238,
and (2) Clearance Officer, OCIO, USDA, room 404-W, 14th Street
[[Page 38346]]
and Independence Avenue, SW., Washington, DC 20250. A comment to OMB is
best assured of having its full effect if OMB receives it within 30
days of publication of this proposed rule.
Disease surveillance plays an important role in APHIS' mission of
protecting the health of livestock populations in the United States,
and testing animals for disease is an important surveillance tool. To
enhance APHIS' surveillance capabilities, we are proposing to amend the
regulations regarding the movement of livestock to require approved
livestock facilities and listed slaughtering and rendering
establishments to maintain certain records for 5 years. Currently,
approved livestock facilities are required to retain certain records
for 2 years, and there are no record retention provisions that apply to
listed slaughtering and rendering establishments.
Requiring the retention of certain records for 5 years would allow
APHIS to trace the prior movements of diseased livestock further into
the past than is currently possible, thereby providing the opportunity
to locate potentially infected or exposed livestock that might
otherwise remain unidentified. We are also proposing to require the
operators of slaughtering and rendering establishments to sign listing
agreements to document their agreement to comply with the requirements
of the regulations for listed slaughtering and rendering
establishments. Such listing agreements are currently required for
approved livestock facilities, but not for slaughtering or rendering
facilities. The proposed change would eliminate that inconsistency.
We are soliciting comments from the public (as well as affected
agencies) concerning our proposed information collection and
recordkeeping requirements. These comments will help us:
(1) Evaluate whether the proposed information collection is
necessary for the proper performance of our agency's functions,
including whether the information will have practical utility;
(2) Evaluate the accuracy of our estimate of the burden of the
proposed information collection, including the validity of the
methodology and assumptions used;
(3) Enhance the quality, utility, and clarity of the information to
be collected; and
(4) Minimize the burden of the information collection on those who
are to respond (such as through the use of appropriate automated,
electronic, mechanical, or other technological collection techniques or
other forms of information technology; e.g., permitting electronic
submission of responses).
Estimate of burden: Public reporting burden for this collection of
information is estimated to average 0.0830985 hours per response.
Respondents: Livestock auction market, slaughtering, and rendering
plant personnel.
Estimated annual number of respondents: 710.
Estimated annual number of responses per respondent: 1.
Estimated annual number of responses: 710.
Estimated total annual burden on respondents: 59 hours. (Due to
averaging, the total annual burden hours may not equal the product of
the annual number of responses multiplied by the reporting burden per
response.)
Copies of this information collection can be obtained from Mrs.
Celeste Sickles, APHIS' Information Collection Coordinator, at (301)
851-2908.
E-Government Act Compliance
The Animal and Plant Health Inspection Service is committed to
compliance with the E-Government Act to promote the use of the Internet
and other information technologies, to provide increased opportunities
for citizen access to Government information and services, and for
other purposes. For information pertinent to E-Government Act
compliance related to this proposed rule, please contact Mrs. Celeste
Sickles, APHIS' Information Collection Coordinator, at (301) 851-2908.
List of Subjects in 9 CFR Part 71
Animal diseases, Livestock, Poultry and poultry products,
Quarantine, Reporting and recordkeeping requirements, Transportation.
Accordingly, we propose to amend 9 CFR part 71 as follows:
PART 71--GENERAL PROVISIONS
1. The authority citation for part 71 continues to read as follows:
Authority: 7 U.S.C. 8301-8317; 7 CFR 2.22, 2.80, and 371.4.
Sec. 71.20 [Amended]
2. In Sec. 71.20, paragraph (a)(7), the number ``2'' is removed
and the number ``5'' is added in its place.
Sec. 71.21 [Amended]
3. In Sec. 71.21, paragraph (a) is amended as follows:
a. Paragraphs (a)(l), (a)(2), and (a)(3) are redesignated as
paragraphs (a)(2), (a)(3), and (a)(4), respectively, and a new
paragraph (a)(l) is added to read as set forth below.
b. A new paragraph (a)(5) is added to read as set forth below.
Sec. 71.21 Tissue and blood testing at slaughter.
(a) * * *
(1) The owner or operator of the establishment must agree, in
writing, to meet the requirements for a listed facility under this
section by signing a listing agreement.
* * * * *
(5) The management of the slaughtering or rendering establishment
agrees that weight tickets, sales slips, and records of origin,
identification, and destination that relate to livestock that are in,
or have been in, the establishment will be maintained by the
establishment for 5 years. APHIS, APHIS contractors, and State animal
health representatives will be permitted to review and copy or scan
these documents during normal business hours.
* * * * *
Done in Washington, DC, this 30th day of June 2008.
Bruce Knight,
Under Secretary for Marketing and Regulatory Programs.
[FR Doc. E8-15289 Filed 7-3-08; 8:45 am]
BILLING CODE 3410-34-P