Warehouse Regulations Under the United States Warehouse Act

This form is available electronically. Form Approved – OMB No 0560-0120

WA-460-5 (See Page 8 for Privacy Act and Paperwork Reduction Act Statements.)

(11-08-11) U.S. DEPARTMENT OF AGRICULTURE

Farm Service Agency

United States Warehouse Act

ADDENDUM TO THE PROVIDER AGREEMENT

TO ELECTRONICALLY FILE AND MAINTAIN

PEANUT WAREHOUSE RECEIPTS

This Addendum between (a)	     
     

(Provider) and the Farm Service Agency (FSA) authorizes the Provider to establish and maintain a database and system, referred to as a central filing system (CFS) for the purpose of electronically filing peanut warehouse receipts issued under the United States Warehouse Act (USWA) and permits the Provider to accept the filing of electronic warehouse receipts from other than USWA licensed warehouse operators in such electronic data filing system. Such electronically filed warehouse receipts for peanuts are hereafter referred to as “Electronic Warehouse Receipts (EWRs).” All provisions and terms of the ‘FSA Provider Agreement to Electronically File and Maintain Warehouse Receipts and United States Warehouse Act Documents’(WA-460) are incorporated except as modified or excluded herein.

A peanut is defined as Runner Type, Spanish Type, Valencia Type, Virginia Type, or any other peanut type defined in the United States Standards for Peanuts or the Peanut Quality and Handling Standards, subject to the disapproval of FSA.

Notwithstanding any Federal law or United States Department of Agriculture (USDA) data security restrictions, nothing contained herein should be interpreted or construed by a Provider so as to deny cooperation with a State-licensing authority with respect to access to examination or investigation data stored in a CFS by a State-licensed warehouse.

The Provider shall not warrant nor guarantee any part of the underlining transaction or activity that involves the use of the Provider’s CFS to perfect or consummate such a transaction or activity. The underlining transaction or activity shall be administered and governed by the applicable Federal or State rule of law.

This Addendum sets forth the Provider's minimum requirements for operational management, EWR record formatting, reporting requirements and the protocols to be used in the transmission of such information.

I. Common Computing Environment and eAuthentication

The Provider will, at a minimum, make available a common computing environment to the users of their CFS that offers nondiscriminatory access and ability to logon remotely to the Provider’s CFS through an eAuthentication method recognized by the Deputy Administrator for Commodity Operations (DACO). Before accepting an EWR into their CFS as issued, the Provider will, at a minimum, authenticate the warehouse receipt signer as the person authorized by the warehouse operator to issue the EWR. Note: (Warehouse Operators will be required to submit to USDA or their applicable licensing authority a separate and individual e-signature card for each authorized EWR signer. It will be the responsibility of USDA or the applicable licensing authority, respectively, to supply each applicable Provider with a complete and current listing of these individuals).

II Transmission of Data

The Provider shall, at a minimum, make available free of charge to FSA and State operated warehouse regulatory programs an internet site and/or a computer utility program that will

download warehouse examination data, as authorized by USDA, from the Provider’s CFS.

III. EWR Information Field Requirements

FSA, in administration of the USWA, the regulations found at 7 CFR Part 735, the Provider Agreement to Electronically File and Maintain Warehouse Receipts and United States Warehouse Act Documents and this Addendum, may at any time require the Provider to furnish information beyond the minimum requirements shown in this Addendum.

A. Required Information Fields

The Provider shall, at a minimum, make available the following information fields on all EWRs that will be available to be filled in by USWA and non-USWA warehouse operators issuing EWRs in their CFS, if required for marketing assistance loans by USDA or as agreed to by the issuer of the EWR and the initial recipient. The Provider shall advise warehouse operators that it is the warehouse operator’s responsibility to supply the necessary data to complete each element, as applicable, when generating a EWR.

USWA license number, if applicable¹

Receipt number and License type, US if Federally licensed, NL if not licensed or the two letter Postal abbreviation if State licensed, will be displayed in front of the receipt number and will be an integral part of the receipt number

Issuance date (date issuance batch file is received and accepted in the Provider’s system)

Receipt status

Indicate whether the receipt is “Not Negotiable” or “Negotiable” according to the nature of the receipt

Cancellation date (date cancellation batch file is received and accepted in the Provider’s system)

Name of warehouse

Location of warehouse (City)

Location of warehouse (State)

Warehouse Operator

Location receipt issued (City)

Location receipt issued (State)

Received from

Holder

Crop Year

Net Pounds

LSK Pounds

Storage date

How stored²

Status²ª

Net tons

Lot identification, if identity preserved

Paper receipt number (if applicable)

Receiving Charges Paid or Due

Warehouse Code

Bin or Compartment where Peanuts are stored if identity preserved

Name of person authorized to sign warehouse receipt

Terms and conditions (Refer to Section IV for USWA license warehouse operators and Section V for State licensed warehouse operators and Section VI for non-licensed warehouse operators for terms and conditions that apply to each EWR that must be furnished by the warehouse operator issuing the EWRs).

Peanuts graded

Indicate: “Not graded on request of the depositor,” or “Grade determined by Federal/State Inspection Service grader,” or “Grade determined by USWA licensed grader,” or “Grade determined by State licensed grader,” or “Grade determined by Non licensed grader.” If graded, the following elements must be completed.

Type

Segregation/Grade

% ELK³

%Fancy³

%Moisture

%Foreign Material

% Cracked and Broken Shells³ª

% Discoloration of Shells³ª

Factors for All Peanuts:

A. Flavus (Yes/No)

% Freeze Damage

% RMD

% SMKRS

% Sound splits

% Total SMK

% Other kernels

% Total damage

% Total kernels

% Hulls

% Total kernels and hulls

¹Enter Federal license number, if not licensed, zero fill field

²Bulk or bag

²ªUnshelled or shelled

³For Virginia (shelled) only

³ªFor Valencia (unshelled)

B. Additional Information

The Provider shall, at a minimum, make the elements listed below available to every USWA warehouse operator, State-licensed warehouse operator and warehouse operators not subject to regulation by Federal or State Warehouse Licensing Authorities who issue EWRs in their CFS. The Provider shall advise warehouse operators that it is the warehouse operator's responsibility to supply the necessary data to complete this element. This Addendum does not restrict the number of additional fields that may be made available to State licensing authorities or warehouse operators.

(CCC) (PSA) (Y or N)

Quality factors applicable to the specific peanut type necessary for a producer to obtain a CCC marketing assistance loan

C. Required elements that can be modified without the warehouse operator being the holder

FSA will allow the warehouse operator to modify the elements, “Prepaid In Charges”, “Prepaid Out Charges”, “Total Prepaid In and Out Charges”, “Receiving Charges Paid”, “Storage Paid Through Date” without being the holder of the EWR. The Provider shall notify the current holder of the EWR of any changes.

D. Suspending an EWR to issue an Interim Paper Warehouse Receipt

When suspending a EWR to issue an interim paper warehouse receipt, the Provider shall advise the warehouse operator to first suspend the EWR, enter the interim paper warehouse receipt number into the applicable EWR data field, and print on the face of the interim paper warehouse receipt the suspended EWR number.

E. Converting a Paper Warehouse Receipt to a EWR

When converting an outstanding paper warehouse receipt to a EWR, the Provider shall advise the warehouse operator to first take possession of and cancel the paper warehouse receipt, print the replacing EWR number on the face of the paper warehouse receipt, and enter the canceled paper warehouse receipt number into the applicable EWR data field.

6. Assignment of EWR Numbers

The Provider shall ensure that warehouse operators issue EWRs consecutively within the number range(s) assigned by DACO or the applicable licensing authority, and shall ensure that warehouse receipts are issued in sequential order and no duplicate warehouse receipt numbers are issued. FSA will assign EWR ranges for warehouse operators who are not subject to regulation by Federal or State Warehouse Licensing Authorities.

G. Trailer Files and Non-Required EWR Data or Information

The Provider shall make available to the users of their CFS, as an outside attachment to an EWR’s secured data files, a trailer file that may contain non-required EWR data or information for associated business processes.

IV. Required EWR Information/Profile for USWA-Licensed Warehouse Operators

The following information must be recorded on all EWRs or within the warehouse operator’s EWR profile. Each warehouse operator shall have a posted EWR profile. FSA will be responsible for maintaining and updating this information.

The statements:

The Warehouse Operator’s business organization type (i.e. sole proprietor, incorporated, partnership, LLC, etc.) and the name of the State whose laws govern that organization (i.e. “a Texas corporation”).

Insured, to what extent, by the warehouse operator against loss by fire, lightning and other risks.

The maximum amount of bond or financial assurance underwriting the warehouse receipt.

Weight was determined by a weigher licensed under the USWA.

Grade was determined by

a “Federal/State Inspection Service grader”,

a “Grader Licensed under the USWA”, or

“Not Graded on Request of Depositor.”

The grade, class, subclass or other special grade stated in this warehouse receipt is in accordance with the Official Nut Grading Standards of the United States. If the grade of peanut is that for which no official nut standards of the United States are in effect, the grade or other class shall be stated in accordance with the standards, if any, adopted by the local board of trade, chamber of commerce, or by the peanut trade generally in the locality in which the warehouse is located, subject to the authorization of the FSA, or in the absence of these standards, in accordance with any standards authorized for the purpose by the FSA.

The applicable charges claimed by the warehouse operator for storage and other services:

Handling and other accrued charges are according to the warehouse operator’s effective public tariff. The warehouse operator will furnish depositors and warehouse receipt holders the full amount of charges upon request.

In the event the relationship existing between the warehouse operator and any depositor is not that of strictly disinterested custodianship, a statement setting forth the actual relationship.

V. Required EWR Information/Profile for State-Licensed Warehouse Operators

The following information must be recorded on all EWRs or within the warehouse operator’s EWR profile. Each warehouse operator shall have a posted EWR profile. To the extent required under applicable State law, each State licensing authority will be responsible for maintaining and updating the EWR profile information on their licensed warehouse operators with respect to warehouse receipts and public disclosures.

The statements:

The Warehouse Operator’s business organization type (i.e. sole proprietor, incorporated, partnership, LLC, etc.) and the name of the State whose laws govern that organization (i.e. “a Texas corporation”).

Insured, to what extent, by the warehouse operator against loss by fire, lightning and other risks.

The authority under which the warehouse operator issues warehouse receipts (e.g., State warehouse code for State-licensed warehouses or Uniform Commercial Code).

The maximum amount of bond or financial assurance underwriting the warehouse receipt.

Weight was determined by

a State of

     

Licensed Weigher,” or

“Unofficial Weight by Warehouse Operator” or

“Not Weighed on Request of Depositor”.

Grade was determined by

a “Grader licensed under the State of

     

“,

or a “Federal/State Inspection Service Grader”, or

“Unofficially Graded by Warehouse Operator” or

“Not Graded on Request of Depositor.”

The grade, class, subclass or other special grade stated in this warehouse receipt is in accordance with the Official Nut Grading Standards of the United States. If the grade of peanut is that for which no official nut standards of the United States are in effect, the grade or other class shall be stated in accordance with the standards, if any, adopted by the local board of trade, chamber of commerce, or by the peanut trade generally in the locality in which the warehouse is located, subject to the authorization of the FSA, or in the absence of these standards, in accordance with any standards authorized for the purpose by the FSA.

The applicable charges claimed by the warehouse operator for storage and other services:

Handling and other accrued charges are according to the warehouse operator’s effective public tariff. The warehouse operator will furnish depositors and warehouse receipt holders the full amount of charges upon request.

In the event the relationship existing between the warehouse operator and any depositor is not that of strictly disinterested custodianship, a statement setting forth the actual relationship.

Any other terms and conditions as required by the warehouse operator’s licensing authority.

VI. Required EWR Information/Profile Warehouse Operators Not Regulated by Federal or State Warehouse Licensing Authorities

The following information must be recorded on all EWRs or within the warehouse operator’s EWR profile. Each warehouse operator shall have a posted EWR profile. FSA will be responsible for maintaining and updating this information regarding their EWR profile.

It shall be the responsibility of each applicable warehouse operator not regulated by Federal or State Warehouse Licensing Authorities to provide FSA with timely and current information for each of the following items:

The Warehouse Operator’s business organization type (i.e. sole proprietor, incorporated, partnership, LLC, etc.) and the name of the State whose laws govern that organization (i.e. “a Texas corporation”).

Insured, to what extent, by the warehouse operator against loss by fire, lightning and other risks.

The authority under which the warehouse operator issues warehouse receipts (e.g., State statute or Uniform Commercial Code).

The maximum amount of bond or financial assurance underwriting the warehouse receipt. Special Note: For warehouse operators not regulated by Federal or State Warehouse Licensing Authorities, FSA will post the maximum bond or financial-assurance underwriting amount as $00.00 (zero) until FSA is provided irrevocable and sustainable proof of the actual coverage.

Weight was determined by

a State of

     

Licensed Weigher,” or

“Unofficial Weight by Warehouse Operator” or

“Not Weighed on Request of Depositor”.

Grade was determined by

a “Grader licensed under the State of

     

“, or

a “Federal/State Inspection Service Grader”, or

“Unofficially Graded by Warehouse Operator” or

“Not Graded on Request of Depositor.”

The grade, class, subclass or other special grade stated in this warehouse receipt is in accordance with the Official Nut Grading Standards of the United States. If the grade of peanut is that for which no official nut standards of the United States are in effect, the grade or other class shall be stated in accordance with the standards, if any, adopted by the local board of trade, chamber of commerce, or by the peanut trade generally in the locality in which the warehouse is located, subject to the authorization of the FSA, or in the absence of these standards, in accordance with any standards authorized for the purpose by the FSA.

The applicable charges claimed by the warehouse operator for storage and other services:

Handling and other accrued charges are according to the warehouse operator’s effective public tariff. The warehouse operator will furnish depositors and warehouse receipt holders the full amount of charges upon request.

In the event the relationship existing between the warehouse operator and any depositor is not that of strictly disinterested custodianship, a statement setting forth the actual relationship.

Any other terms and conditions as required by the Uniform Commercial Code of the State in which the warehouse is located.

VII. Contact

Chief, Licensing Branch

Warehouse License and Examination Division

Kansas City Commodity Office

P. O. Box 419205 - Stop 9148

Kansas City, MO 64141-6205

Phone: 816-926-6474

Fax: 816-926-1774

	     
	(a) Name of Provider
	(b) Signature of Provider      
	(c) Title of Provider      
	(d) Date
	(e) Signature of Deputy Administrator for Commodity Operations      
	(f) Date
NOTE:		The following statement is made in accordance with the Privacy Act of 1974 (5 USC 552a - as amended).  The authority for requesting the information identified on this form is 7 CFR Part 735, the United States Warehouse Act (Pub. L. 106-472), and the Commodity Credit Corporation Charter Act (15 U.S.C. 714 et seq.). The information will be used to establish and maintain a database and central filing system for electronically filing peanut warehouse receipts and electronic documents issued under the United States Warehouse Act. The information collected on this form may be disclosed to other Federal, State, Local government agencies, Tribal agencies, and nongovernmental entities that have been authorized access to the information by statute or regulation and/or as described in applicable Routine Uses identified in the System of Records Notice for USDA/FSA-2, Farm Records File (Automated) and USDA/FSA-3, Consultants File.  Providing the requested information is voluntary.  However, failure to furnish the requested information will result in a determination of ineligibility to obtain new licensing or retain existing licensing under the United States Warehouse Act. According to the Paperwork Reduction Act of 1995, an agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a valid OMB control number. The valid OMB control number for this information collection is 0560-0120. The time required to complete this information collection is estimated to average 30 minutes per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. The provisions of appropriate criminal and civil fraud, privacy, and other statutes may be applicable to the information provided. RETURN THIS COMPLETED FORM TO THE KANSAS CITY COMMODITY OFFICE, WAREHOUSE LICENSE AND EXAMINATION DIVISION, STOP 9148, P.O. BOX 419205, KANSAS CITY, MO 64141-6205.

The U.S. Department of Agriculture (USDA) prohibits discrimination in all of its programs and activities on the basis of race, color, national origin, age, disability, and where applicable, sex, marital status, familial status, parental status, religion, sexual orientation, political beliefs, genetic information, reprisal, or because all or part of an individual’s income is derived from any public assistance program.  (Not all prohibited bases apply to all programs.)  Persons with disabilities who require alternative means for 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 discrimination, write to USDA, Assistant Secretary for Civil Rights, Office of the Assistant Secretary for Civil Rights, 1400 Independence Avenue, S.W., Stop 9410, Washington, DC  20250-9410, or call toll-free at (866) 632-9992 (English) or (800) 877-8339 (TDD) or (866) 377-8642 (English Federal-relay) or (800) 845-6136 (Spanish Federal-relay).  USDA is an equal opportunity provider and employer.