7–21–05 Thursday Vol. 70 No. 139 July 21, 2005
Pages 41935–42250
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i II Federal Register / Vol. 70, No. 139 / Thursday, July 21, 2005
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Contents Federal Register Vol. 70, No. 139
Thursday, July 21, 2005
Agricultural Marketing Service Employment Standards Administration NOTICES NOTICES Agency information collection activities; proposals, Agency information collection activities; proposals, submissions, and approvals, 42024 submissions, and approvals, 42101–42102 Field grown leaf lettuce; grade standards, 42024–42025 Energy Department Agriculture Department See Federal Energy Regulatory Commission See Agricultural Marketing Service See Forest Service Environmental Protection Agency RULES Alcohol and Tobacco Tax and Trade Bureau Air quality implementation plans; approval and NOTICES promulgation; various States: Agency information collection activities; proposals, Idaho; correction, 41963 submissions, and approvals, 42145–42147 New Mexico, 41963–41967 PROPOSED RULES Army Department Air quality implementation plans; approval and PROPOSED RULES promulgation; various States: Aid of civil authorities and public relations: New Jersey, 42019–42021 Obtaining information from financial institutions, 42012– New York, 42021–42023 42017 NOTICES Agency information collection activities; proposals, Centers for Disease Control and Prevention submissions, and approvals, 42056–42062 NOTICES Correction, 42062 Agency information collection activities; proposals, Air pollution control: submissions, and approvals, 42065–42067 State operating permits programs— Meetings: Illinois, 42062–42063 National Institute for Occupational Safety and Health— Radiation and Worker Health Advisory Board, 42067– Executive Office of the President 42068 See Presidential Documents Coast Guard Federal Aviation Administration PROPOSED RULES RULES Drawbridge operations: Airworthiness directives: New Jersey, 42017–42019 Airbus, 41946–41948 Empresa Brasileira de Aeronautica S.A. (EMBRAER) Commerce Department Correction, 42148 See Economics and Statistics Administration McDonnell Douglas, 41944–41946 See Industry and Security Bureau Class E airspace, 41948–41952 See International Trade Administration PROPOSED RULES See National Institute of Standards and Technology Airworthiness directives: NOTICES Aerospatiale, 42003–42005 Agency information collection activities; proposals, Airbus, 42005–42008 submissions, and approvals, 42025–42026 Boeing, 42008–42010 NOTICES Committee for the Implementation of Textile Agreements Airport noise compatibility program: NOTICES Noise exposure maps— Textile and apparel categories: Albany International Airport, NY, 42137–42138 Chinese imports; safeguard actions, 42040–42041 Air traffic operating and flight rules, etc.: Commercial availability actions— O’Hare International Airport, Chicago, IL; unscheduled Woven bamboo/cotton fabric, 42041 arrivals; reservation system, 42135–42137 Defense Department Federal Communications Commission See Army Department RULES Practice and procedure: Economics and Statistics Administration Regulatory fees (2005 FY); assessment and collection, NOTICES 41967–41995 Senior Executive Service: Performance Review Board; membership, 42026–42027 Federal Election Commission RULES Education Department Corporate and labor organization activity: NOTICES Trade association’s separate segregated fund; payroll Agency information collection activities; proposals, deductions by member corporations for submissions, and approvals, 42041–42042 contributions, 41939–41944
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Federal Energy Regulatory Commission Endangered and threatened species: NOTICES Incidental take permits— Electric rate and corporate regulation combined filings, Riverside County, CA; Stephen’s kangaroo rat, 42085– 42049–42051 42087 Hydroelectric applications, 42051–42052 Recovery plans— Meetings: Vermilion darter, 42087–42088 Creole Trail LNG Terminal, L.P.; technical conference, Environmental statements; availability, etc.: 42052 Incidental take permits— Meetings; Sunshine Act, 42053–42055 Hillcrest travel Plaza, Fresno County, CA; San Joaquin Off-the-record communications, 42055–42056 kit fox, 42088 Applications, hearings, determinations, etc.: National Elk Refuge and Grand Teton National Park/John Bonneville Power Administration, 42042 D. Rockefeller, Jr. Memorial Parkway, WY; bison and Crossroads Pipeline Co., 42042–42043 elk management plan, 42089–42090 Dauphin Island Gathering Partners, 42043 Duke Energy Corp. et al., 42043 Gas Research Institute, 42044 Food and Drug Administration Gas Transmission Northwest Corp., 42044–42045 RULES G-Flow Wind, LLC, et al., 42044 Animal drugs, feeds, and related products: Natural Gas Pipeline Co. of America, 42045 Roxarsone and semduramicin, 41958–41963 Northern Natural Gas Co., 42045 Freedom of Information Act; implementation, 41956–41958 Overthrust Pipeline Co., 42045–42046 Organization, functions, and authority delegations: Ozark Gas Transmission, L.L.C., 42046 Center for Food Safety and Applied Nutrition; change of PJM Interconnection, L.L.C., 42046–42047 address, 41958 Prime Power Sales I, LLC, 42047 NOTICES Questar Pipeline Co., 42047 Agency information collection activities; proposals, Tennessee Gas Pipeline Co., 42047–42048 submissions, and approvals, 42068–42072 Texas Eastern Transmission, LP, 42048 Reports and guidance documents; availability, etc.: Venice Gathering System, LLC, 42048–42049 Retail and food service establishments; operators and regulators; voluntary hazard analysis and critical Federal Highway Administration control point manuals, 42072–42075 NOTICES Environmental statements; notice of intent: Polk County, IA, 42138–42139 Forest Service NOTICES Federal Mediation and Conciliation Service Environmental statements; notice of intent: PROPOSED RULES Okanogan and Wenatchee National Forests, WA; Arbitration services: canceled, 42025 Arbitration policies, functions, and procedures; amendments General Services Administration Correction, 42011–42012 NOTICES Committees; establishment, renewal, termination, etc.: Federal Railroad Administration Governmentwide Relocation Advisory Board, 42064 RULES Railroad locomotive safety standards: Inspection and maintenance standards for steam Geological Survey locomotives, 41995–42002 NOTICES NOTICES Agency information collection activities; proposals, Exemption petitions, etc.: submissions, and approvals, 42090 Burlington Northern Santa Fe Railway Co., 42139–42140 Hillsborough Area Regional Transit, 42140 Hiwassee River Railroad Co., 42140–42141 Health and Human Services Department Illinois Railway Museum, 42141 See Centers for Disease Control and Prevention Maine Narrow Gage Railroad & Museum, 42141–42142 See Food and Drug Administration New Jersey Transit Corp., 42142–42143 See National Institutes of Health Santa Clara Valley Transportation Authority, 42143– NOTICES 42144 Reports and guidance documents; availability, etc.: Utah Transit Authority, 42144 Styrene; reproductive and developmental toxicity evaluation; expert panel report, 42064–42065 Federal Reserve System NOTICES Homeland Security Department Banks and bank holding companies: See Coast Guard Change in bank control, 42063 Formations, acquisitions, and mergers, 42063–42064 Housing and Urban Development Department Fish and Wildlife Service NOTICES NOTICES Agency information collection activities; proposals, Comprehensive conservation plans; availability, etc.: submissions, and approvals, 42083–42084 Wheeler National Wildlife Refuge Complex, AL, 42084– Grants and cooperative agreements; availability, etc.: 42085 HOPE VI Main Street Program, 42150–42232
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Indian Affairs Bureau Environmental statements; notice of intent: RULES North Steens Ecosystem Restoration Project, OR, 42091– Financial activities: 42092 Lands withdrawn for Native selection; deposit of Meetings: proceeds Resource Advisory Councils— Correction, 41963 New Mexico, 42092 Oil and gas leases: Industry and Security Bureau North Dakota, 42092 RULES Realty actions; sales, leases, etc.: Export administration regulations: Wyoming, 42092–42093 Commerce Control List— Royalty management: Nuclear grade graphite exports; licensing jurisdiction Stripper Well Royalty Reduction Program; royalty rate change, 41952–41953 reductions; benefits termination, 42093–42094 PROPOSED RULES Chemical Weapons Convention Regulations: Mine Safety and Health Administration Small business entities; economic impact, 42010–42011 NOTICES NOTICES Safety standard petitions: Committees; establishment, renewal, termination, etc.: Genwal Resources, Inc., et al., 42102–42103 Technical advisory committees, 42027 Meetings: National Aeronautics and Space Administration Materials Technical Advisory Committee, 42027 NOTICES President’s Export Council, 42027–42028 Agency information collection activities; proposals, submissions, and approvals, 42103–42107 Interior Department Patent licenses; non-exclusive, exclusive, or partially See Fish and Wildlife Service exclusive: See Geological Survey MacNaughton, Inc., 42107 See Indian Affairs Bureau Phoenix Systems International, Inc., 42107 See Land Management Bureau National Institute of Standards and Technology See National Park Service NOTICES See Reclamation Bureau Agency information collection activities; proposals, submissions, and approvals, 42039–42040 Internal Revenue Service NOTICES National Institutes of Health Agency information collection activities; proposals, NOTICES submissions, and approvals, 42147 Agency information collection activities; proposals, Meetings: submissions, and approvals, 42075–42076 Taxpayer Advocacy Panels, 42147 Meetings: National Cancer Institute, 42076–42077 International Trade Administration National Human Genome Research Institute, 42077 NOTICES National Institute of Allergy and Infectious Diseases, Antidumping: 42079 Furfuryl alcohol from— National Institute of Arthritis and Musculoskeletal and Thailand, 42029–42032 Skin Diseases, 42078 Honey from— National Institute of Dental and Craniofacial Research, China, 42032–42034 42079 Preserved mushrooms from— National Institute of Diabetes and Digestive and Kidney China, 42034–42039 Diseases, 42078 Stainless steel butt-weld pipe fittings from— National Institute of Environmental Health Sciences, Malaysia, 42039 42077 Antidumping and countervailing duties: National Institute of Neurological Disorders and Stroke, Administrative review requests, 42028–42029 42078–42079 Committees; establishment, renewal, termination, etc.: National Institute on Drug Abuse, 42077–42078 District Export Council, 42039 National Library of Medicine, 42079–42080 Scientific Review Center, 42080–42083 International Trade Commission NOTICES National Park Service Import investigations: NOTICES Polychloroprene rubber from— Environmental statements; availability, etc.: Japan, 42101 Minidoka Internment National Monument, ID; general management plan, 42094–42095 Labor Department Niobrara National Scenic River, NE; general management See Employment Standards Administration plan, 42096 See Mine Safety and Health Administration Olympic National Park, WA, 42096–42098 Environmental statements; notice of intent: Land Management Bureau Lincoln Home National Historic Site, IL; general NOTICES management plan, 42098–42099 Closure of public lands: Little River Canyon National Preserve, AL; general California, 42090–42091 management plan, 42099–42100
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Meetings: New York Stock Exchange, Inc., 42130–42134 Acadia National Park Advisory Commission, 42100 Options Clearing Corp., 42134–42135
Nuclear Regulatory Commission Small Business Administration RULES NOTICES Nuclear equipment and material; export and import: Applications, hearings, determinations, etc.: Nuclear grade graphite for non-nuclear end use; export Horizon Ventures Fund II, L.P., 42135 licensing requirements removed, 41937–41939 NOTICES Agency information collection activities; proposals, Social Security Administration submissions, and approvals, 42107–42108 RULES Environmental statements; availability, etc.: Social security benefits: FirstEnergy Nuclear Operating Co., 42112–42113 Federal old age, survivors, and disability insurance— Operating licenses, amendments; no significant hazards Divided retirement systems coverage list and technical considerations; biweekly notices; correction, 42113 coverage corrections; update, 41954–41956 Applications, hearings, determinations, etc.: J.L. Shepherd & Associates, 42108–42110 Textile Agreements Implementation Committee Probasco, Richard M., 42110–42111 See Committee for the Implementation of Textile Union Electric Co., 42111–42112 Agreements Personnel Management Office Transportation Department NOTICES See Federal Aviation Administration Agency information collection activities; proposals, See Federal Highway Administration submissions, and approvals, 42113–42114 See Federal Railroad Administration Excepted service: NOTICES Schedules A, B, and C; positions placed or revoked— Aviation proceedings: Update, 42114–42116 Hearings, etc.— Presidential Documents Executive Jet Management, Inc., 42135 ADMINISTRATIVE ORDERS GoJet Airlines, LLC, 42135 Liberia; continuation of national emergency blocking property of certain persons and prohibiting the Treasury Department importation of certain goods (Notice of July 19, 2005), See Alcohol and Tobacco Tax and Trade Bureau 41935 See Internal Revenue Service Reclamation Bureau NOTICES Separate Parts In This Issue Committees; establishment, renewal, termination, etc.: California Bay-Delta Public Advisory Committee, 42100 Part II Securities and Exchange Commission Housing and Urban Development Department, 42150–42232 RULES Securities: Part III Shell companies; Forms S-8 and 8-K use, 42234–42249 Securities and Exchange Commission, 42234–42249 NOTICES Agency information collection activities; proposals, submissions, and approvals, 42116–42117 Meetings: Reader Aids Smaller Public Companies Advisory Committee, 42117– Consult the Reader Aids section at the end of this issue for 42118 phone numbers, online resources, finding aids, reminders, Meetings; Sunshine Act, 42118 and notice of recently enacted public laws. Self-regulatory organizations; proposed rule changes: To subscribe to the Federal Register Table of Contents Chicago Board Options Exchange, Inc., 42118–42122 LISTSERV electronic mailing list, go to http:// Depository Trust Co., et al., 42122–42123 listserv.access.gpo.gov and select Online mailing list National Association of Securities Dealers, Inc., 42123– archives, FEDREGTOC-L, Join or leave the list (or change 42130 settings); then follow the instructions.
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CFR PARTS AFFECTED IN THIS ISSUE
A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.
3 CFR Proposed Rules: Executive Orders: 52 (2 documents) ...... 42019, 13348 (See Notice of 42021 July 19, 2005) ...... 41935 47 CFR Administrative Orders: 1...... 41967 Notices: 49 CFR Notice of July 19, 230...... 41995 2005 ...... 41935 10 CFR 110...... 41937 11 CFR 114...... 41939 14 CFR 39 (4 documents) ...... 41944, 41946, 41948, 42148 71 (3 documents) ...... 41948, 41949, 41950 Proposed Rules: 39 (3 documents) ...... 42003, 42005, 42008 15 CFR 774...... 41952 Proposed Rules: 710...... 42010 711...... 42010 712...... 42010 713...... 42010 714...... 42010 715...... 42010 716...... 42010 717...... 42010 718...... 42010 719...... 42010 720...... 42010 721...... 42010 722...... 42010 723...... 42010 724...... 42010 725...... 42010 726...... 42010 727...... 42010 728...... 42010 729...... 42010 17 CFR 230...... 42150 239...... 42150 240...... 42150 249...... 42150 20 CFR 404...... 41954 21 CFR 20...... 41956 101...... 41958 558...... 41958 25 CFR 124...... 41963 29 CFR Proposed Rules: 1404...... 42011 32 CFR Proposed Rules: 504...... 42012 33 CFR Proposed Rules: 117...... 42017 40 CFR 52 (2 documents) ...... 41963
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Federal Register Presidential Documents Vol. 70, No. 139
Thursday, July 21, 2005
Title 3— Notice of July 19, 2005
The President Continuation of the National Emergency Blocking Property of Certain Persons and Prohibiting the Importation of Certain Goods from Liberia
On July 22, 2004, by Executive Order 13348, I declared a national emergency and ordered related measures blocking the property of certain persons and prohibiting the importation of certain goods from Liberia, pursuant to the International Emergency Economic Powers Act (50 U.S.C. 1701–1706). I took this action to deal with the unusual and extraordinary threat to the foreign policy of the United States constituted by the actions and policies of former Liberian President Charles Taylor and other persons, in particular their unlawful depletion of Liberian resources and their removal from Liberia and secreting of Liberian funds and property, which have undermined Libe- ria’s transition to democracy and the orderly development of its political, administrative, and economic institutions and resources. I further noted that the Comprehensive Peace Agreement signed on August 18, 2003, and the related cease-fire have not yet been universally implemented throughout Liberia, and that the illicit trade in round logs and timber products is linked to the proliferation of and trafficking in illegal arms, which perpetuate the Liberian conflict and fuel and exacerbate other conflicts throughout West Africa. Because the actions and policies of these persons continue to pose an unusual and extraordinary threat to the foreign policy of the United States, the national emergency declared on July 22, 2004, and the measures adopted on that date to deal with that emergency, must continue in effect beyond July 22, 2005. Therefore, in accordance with section 202(d), I am continuing for 1 year the national emergency declared in Executive Order 13348. This notice shall be published in the Federal Register and transmitted to the Congress. W THE WHITE HOUSE, July 19, 2005. [FR Doc. 05–14555 Filed 7–20–05; 8:45 am] Billing code 3195–01–P
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Rules and Regulations Federal Register Vol. 70, No. 139
Thursday, July 21, 2005
This section of the FEDERAL REGISTER site, the public can gain entry into the because of [its] significance for nuclear contains regulatory documents having general NRC’s Agencywide Document Access explosive purposes.’’ See Section 109b. applicability and legal effect, most of which and Management System (ADAMS), of the AEA.1 The Executive Branch, are keyed to and codified in the Code of which provides text and image files of including the Departments of State, Federal Regulations, which is published under NRC’s public documents. If you do not Energy, Defense, and Commerce, 50 titles pursuant to 44 U.S.C. 1510. have access to ADAMS or if there are concurs in the NRC’s determination. The Code of Federal Regulations is sold by problems in accessing the documents The history of the use of nuclear grade the Superintendent of Documents. Prices of located in ADAMS, contact the NRC graphite exported under the new books are listed in the first FEDERAL Public Document Room (PDR) Reference Commission’s authority indicates that REGISTER issue of each week. staff at (800) 397–4209, (301) 415–4737, graphite has not been diverted for illicit or by e-mail to [email protected]. purposes to produce weapons-grade FOR FURTHER INFORMATION CONTACT: material or for use in unsafeguarded NUCLEAR REGULATORY Suzanne Schuyler-Hayes, Office of nuclear activities. To the extent that any COMMISSION International Programs, U.S. Nuclear risk of diversion may exist, exports of nuclear grade graphite for non-nuclear 10 CFR Part 110 Regulatory Commission, Washington, DC 20555–0001, telephone (301) 415– end use will continue to be controlled RIN 3150–AH51 2333, e-mail [email protected]. by the DOC. Thus, any effort to divert exported material for illicit purposes SUPPLEMENTARY INFORMATION: Export and Import of Nuclear would likely be discovered by the Equipment and Material: Nuclear Background cognizant national authority or the Grade Graphite The purpose of this rule is to update international community. Accordingly, the Commission has AGENCY: Nuclear Regulatory NRC’s regulations in 10 CFR part 110 governing the export of nuclear grade concluded, with the concurrence of the Commission. Executive Branch, that U.S. regulatory ACTION: Final rule. graphite. Neither the Atomic Energy Act (AEA) nor the Nuclear Non-proliferation and commercial interests will be best SUMMARY: The Nuclear Regulatory Act (NNPA) explicitly requires that the served by the DOC assuming export Commission (NRC) export/import export of nuclear grade graphite be control over all nuclear grade graphite for non-nuclear end use. The DOC is regulations in 10 CFR part 110 are being controlled by the NRC. The Commission publishing regulations establishing revised to remove the NRC’s export has controlled the export of nuclear licensing controls over this class of licensing requirements for nuclear grade grade graphite pursuant to Section 109b. graphite for non-nuclear end use. The material. of the AEA, due to its prior This final rule limits NRC’s purpose of this change is to remove determination that nuclear grade from NRC export licensing jurisdiction jurisdiction over exports of nuclear graphite is an ‘‘item or substance’’ that grade graphite to nuclear end use. The nuclear materials which are not of is ‘‘especially relevant from the significance from a nuclear proliferation definition of ‘‘nuclear grade graphite’’ in standpoint of export control because of 10 CFR 110.2 is being replaced with a perspective. The responsibility for the [its] significance for nuclear explosive licensing of exports of nuclear grade definition of ‘‘nuclear grade graphite for purposes.’’ As a result of technological nuclear end use.’’ Nuclear grade graphite for non-nuclear end use will be advancements in the production of transferred to the Department of graphite for nuclear end use is being graphite, virtually all graphite produced defined in § 110.2 as ‘‘graphite having a Commerce (DOC). The DOC is today can be considered ‘‘nuclear publishing elsewhere in this Federal purity level of better than (i.e., less than) grade.’’ The NRC’s licensing experience 5 parts per million boron equivalent Register a final rule that places such has been that most nuclear grade exports under its jurisdiction. * * * and intended for use in a nuclear graphite is exported only for non- reactor.’’ This definition is consistent DATES: Effective July 21, 2005. nuclear end use in the manufacture of with the definition in the Zangger ADDRESSES: Publicly available commercial and industrial items. Committee and NSG Part 1 Trigger Lists. documents related to this rulemaking Other supplier nations have export The density requirement of 1.5 grams may be viewed electronically on the controls over nuclear grade graphite but per cubic centimeter in the current public computers located at the NRC’s have limited them to cover exports ‘‘for definition of nuclear grade graphite is Public Document Room (PDR), Room use in a nuclear reactor.’’ This being removed. Graphite powder at any O1F21, One White Flint North, 11555 limitation appears in both the Nuclear density level for nuclear end use, Rockville Pike, Rockville, Maryland. Non-Proliferation Treaty Exporters including the coating of fuel spheres in The PDR reproduction contractor will Committee (Zangger Committee) and the pebble bed reactor applications, is being copy documents for a fee. Selected Nuclear Suppliers Group (NSG) captured under NRC jurisdiction. The documents can be viewed and definitions of controlled items. See, e.g., general license for the export of nuclear downloaded electronically via the International Atomic Energy Agency grade graphite for nuclear end use in NRC’s rulemaking Web site at http:// INFCIRC/209 and 254 respectively. ruleforum.llnl.gov. The NRC has determined, after 1 The NRC has not, however, made the same Publicly available documents created consultation with the Executive Branch, finding under the Section 109b. of the AEA with or received at the NRC are available that nuclear grade graphite for non- respect to exports of nuclear grade graphite for electronically at the NRC’s Electronic nuclear end use is not an ‘‘item or nuclear end use, which the NRC will continue to regulate as a material ‘‘especially relevant for export Reading Room at http://www.nrc.gov/ substance’’ that is ‘‘especially relevant control because of [its] significance for nuclear NRC/reading-rm/adams.html. From this from the standpoint of export control explosive purposes.’’
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§ 110.25 is being revoked. All exports of Paperwork Reduction Act Statement Small Business Regulatory Enforcement nuclear grade graphite for nuclear end Fairness Act This final rule eliminates the burden use will now require a specific license In accordance with the Small from the NRC, including Commission on licensees for recordkeeping and reporting requirements to obtain a Business Regulatory Enforcement and Executive Branch review (see Fairness Act of 1996, the NRC has license for the export of nuclear grade §§ 110.40 and 41), and will be noticed determined that this action is not a graphite for non-nuclear end use and in the Federal Register (see § 110.70). major rule and has verified this maintain associated records under 10 Finally, all NRC license provisions for determination with the Office of CFR part 110. The public burden for non-nuclear end use exports of nuclear Information and Regulatory Affairs of information collection and grade graphite are being removed. A OMB. note is being added which states that recordkeeping requirements to export the export of nuclear grade graphite for nuclear grade graphite for non-nuclear List of Subjects in 10 CFR Part 110 non-nuclear end use is regulated by the end use is estimated to average 3.6 Administrative practice and DOC. hours per licensee. Because the burden procedure, Classified information, This final rule eliminates the NRC for this information collection is Criminal penalties, Export, Import, licensing burden on exporters for insignificant, Office of Management and Intergovernmental relations, Nuclear nuclear grade graphite exported purely Budget (OMB) clearance is not required. materials, Nuclear power plants and for non-nuclear end use which, under Existing requirements were approved by reactors, Reporting and recordkeeping current industry trends, constitutes the OMB, approval numbers 3150–0027 and requirements, Scientific equipment. majority of nuclear grade graphite being 3150–0036. I For the reasons set out in the preamble exported. Removing exports of nuclear and under the authority of the Atomic grade graphite for non-nuclear end use Public Protection Notification Energy Act of 1954, as amended, the from 10 CFR part 110 will also reduce The NRC may not conduct or sponsor, Energy Reorganization Act of 1974, as the burden under the Paperwork and a person is not required to respond amended, and 5 U.S.C. 552 and 553, the Reduction Act for licensees exporting to, a request for information or an NRC is adopting the following nuclear grade graphite for non-nuclear information collection requirement amendments to 10 CFR part 110. end use. unless the requesting document The NRC has determined that this displays a currently valid OMB control PART 110—EXPORT AND IMPORT OF rule will pose no unreasonable risk to number. NUCLEAR EQUIPMENT AND the public health and safety or the MATERIAL common defense and security. Regulatory Analysis I 1. The authority citation for part 110 Administrative Procedure Act The NRC has sole control of the continues to read as follows: export of nuclear grade graphite for The provisions of the Administrative Authority: Secs. 51, 53, 54, 57, 63, 64, 65, Procedure Act under 5 U.S.C. 553 nuclear applications. There is no other 81, 82, 103, 104, 109, 111, 126, 127, 128, 129, requiring notice of proposed alternative to amending the regulations 161, 181, 182, 183, 187, 189, 68 Stat. 929, rulemaking, the opportunity for public at 10 CFR part 110 to reflect changing 930, 931, 932, 933, 936, 937, 948, 953, 954, participation, and a 30-day delay in circumstances. The final rule will 955, 956, as amended (42 U.S.C. 2071, 2073, effective date are inapplicable because reduce the burden on licensees and the 2074, 2077, 2092–2095, 2111, 2112, 2133, this rule involves a military and foreign cost to the public without posing an 2134, 2139, 2139a, 2141, 2154–2158, 2201, affairs function of the United States (5 unreasonable risk to the public health 2231–2233, 2237, 2239); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841; sec 5, U.S.C. 553(a)(1)). Accordingly, this final and safety or to the common defense Pub. L. 101–575, 104 Stat. 2835 (42 U.S.C. rule is effective immediately upon and security. 2243); sec. 1704, 112 Stat. 2750 (44 U.S.C. publication in the Federal Register. 3504 note). Regulatory Flexibility Certification Voluntary Consensus Standards Sections 110.1(b)(2) and 110.1(b)(3) also As required by the Regulatory issued under Pub. L. 96–92, 93 Stat. 710 (22 The National Technology Transfer Flexibility Act of 1980, 5 U.S.C. 605(b), U.S.C. 2403). Section 110.11 also issued and Advancement Act of 1995, Pub. L. the Commission certifies that this final under sec. 122, 68 Stat. 939 (42 U.S.C. 2152) 104–113, requires that Federal agencies rule does not have a significant and secs. 54c and 57d, 88 Stat. 473, 475 (42 use technical standards that are U.S.C. 2074). Section 110.27 also issued economic impact on a substantial developed or adopted by voluntary under sec. 309(a), Pub. L. 99–440. Section number of small entities. This rule consensus standards bodies unless 110.50(b)(3) also issued under sec. 123, 92 eliminates NRC license requirements for using such a standard is inconsistent Stat. 142 (42 U.S.C. 2153). Section 110.51 the export of nuclear grade graphite for also issued under sec. 184, 68 Stat. 954, as with applicable law or otherwise non-nuclear end use. The companies amended (42 U.S.C. 2234). Section 110.52 impractical. This final rule does not which export nuclear grade graphite do also issued under sec. 186, 68 Stat. 955 (42 constitute the establishment of a not fall within the scope of the U.S.C. 2236). Sections 110.80–110.113 also standard for which the use of a issued under 5 U.S.C. 552, 554. Sections definition of ‘‘small entities’’ set forth in voluntary consensus standard would be 110.130–110.135 also issued under 5 U.S.C. the Regulatory Flexibility Act (5 U.S.C. applicable. 553. Sections 110.2 and 110.42(a)(9) also 601(3)), or the Size Standards issued under sec. 903, Pub. L. 102–496 (42 Environmental Impact: Categorical established by the NRC (10 CFR 2.810). U.S.C. 2151 et seq.). Exclusion Backfit Analysis I 2. In § 110.2, the definition of ‘‘nuclear The NRC has determined that this grade graphite’’ is removed and the final rule is the type of action described The NRC has determined that a definition of ‘‘nuclear grade graphite for in categorical exclusion 10 CFR backfit analysis is not required for this nuclear end use’’ is added to read as 51.22(c)(1). Therefore, neither an final rule because these amendments do follows: environmental impact statement nor an not include any provisions that would environmental assessment has been impose backfits as defined in 10 CFR § 110.2 Definitions. prepared for the regulation. Chapter I. * * * * *
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Nuclear grade graphite for nuclear § 110.42 Export licensing criteria contributions from its solicitable class end use means graphite having a purity * * * * * employees to the SSF of the trade level better than (i.e., less than) 5 parts (b) The review of license applications association, including use of a payroll per million boron equivalent, as for the export of nuclear equipment, deduction or check-off system, upon measured according to ASTM standard other than a production or utilization written request of the trade association. C1233–98 and intended for use in a facility, and for deuterium and nuclear These final rules will also require any nuclear reactor. (Nuclear grade graphite grade graphite for nuclear end use, is member corporation that provides for non-nuclear end use is regulated by governed by the following criteria: incidental services for contributions to a the Department of Commerce.) * * * * * trade association’s SSF, as well as the * * * * * I corporation’s subsidiaries, divisions, 8. In § 110.70, paragraph (b)(3) is branches and affiliates, to provide the I 3. In § 110.9, paragraph (e) is revised revised, paragraph (b)(4) is redesignated same services for contributions to the to read as follows: as paragraph (b)(5), and a new paragraph SSF of any labor organization that (b)(4) is added to read as follows: § 110.9 List of Nuclear Material under NRC represents members working for the export licensing authority. § 110.70 Public notice of receipt of an corporation, or the corporation’s * * * * * application subsidiaries, divisions, branches or (e) Nuclear grade graphite for nuclear * * * * * affiliates, upon written request of the end use. (b) * * * labor organization and at a cost not to (3) 10,000 kilograms or more of heavy exceed actual expenses incurred. § 110.25 [Removed] water. Additional information appears in the I 4. Remove § 110.25. (4) Nuclear grade graphite for nuclear SUPPLEMENTARY INFORMATION that follows. I 5. Amend § 110.40 as follows: end use. I a. Revise paragraph (b)(3); * * * * * DATES: These rules are effective August 22, 2005. I b. Redesignate paragraphs (b)(4) Dated in Rockville, Maryland, this 12th through (b)(7) as paragraphs (b)(5) day of October, 2004. FOR FURTHER INFORMATION CONTACT: Mr. through (b)(8); For the Nuclear Regulatory Commission. Brad C. Deutsch, Assistant General I Counsel, or Ms. Amy L. Rothstein, c. In newly redesignated paragraph Luis A. Reyes, Attorney, 999 E Street, NW., (b)(7), further redesignate paragraph (iv) Executive Director for Operations. as paragraph (b)(7)(v); Washington, DC 20463, (202) 694–1650 I d. Revise redesignated paragraph Editorial note: This document was or (800) 424–9530. (b)(7)(iii); received at the Office of the Federal SUPPLEMENTARY INFORMATION: The I e. Add new paragraphs (b)(4) and Register on July 15, 2005. Commission is promulgating final rules (b)(7)(iv). [FR Doc. 05–14208 Filed 7–20–05; 8:45 am] at 11 CFR 114.2 and 114.8 as the last BILLING CODE 7590–01–P step in a rulemaking process that began § 110.40 Commission review. in 2003, when the Commission received * * * * * a petition for rulemaking (the (b) * * * FEDERAL ELECTION COMMISSION ‘‘Petition’’) from America’s Community (3) Nuclear grade graphite for nuclear Bankers and its SSF, the America’s end use. 11 CFR Part 114 Community Bankers Community (4) 1,000 kilograms or more of Campaign Committee (collectively, [Notice 2005–18] deuterium oxide (heavy water), other ‘‘Petitioners’’). Petitioners asked the than exports of heavy water to Canada. Payroll Deductions by Member Commission to change its rules to allow * * * * * Corporations for Contributions to a a corporate member of a trade (7) * * * Trade Association’s Separate association to make payroll deductions (iii) Nuclear grade graphite for nuclear Segregated Fund and check-off systems available to the end use; corporation’s restricted class employees (iv) 250 kilograms of source material AGENCY: Federal Election Commission. for their voluntary contributions to the or heavy water; or ACTION: Final rules and transmittal of trade association’s SSF. The Commission issued a Notice of * * * * * rules to Congress. Availability stating that the Petition was I 6. In § 110.41, paragraph (a)(3) is SUMMARY: The Federal Election available for public review and revised, paragraphs (a)(4) through (a)(9) Commission is amending its rules comment. See Notice of Availability, 68 are redesignated as paragraphs (a)(5) regarding contributions to the separate FR 60887 (October 24, 2003). The through (a)(10), and a new paragraph segregated fund (‘‘SSF’’) of a trade comment period closed on November (a)(4) is added to read as follows: association by employee-stockholders 24, 2003. The Commission received 30 § 110.41 Executive branch review. and executive and administrative comments in response to the Notice of personnel of corporations that are Availability. All of the comments (a) * * * members of the trade association supported the Petition. (3) Nuclear grade graphite for nuclear (collectively, ‘‘solicitable class After considering the comments on end use. employees’’). The revised rules will no the Petition, the Commission issued a (4) More than 100 curies of tritium, longer prohibit corporate members of a Notice of Proposed Rulemaking and deuterium oxide (heavy water), trade association from using a payroll (‘‘NPRM’’). See 69 FR 76628 (Dec. 22, other than exports of heavy water to deduction or check-off system for 2004). The NPRM proposed to change Canada. employee contributions to the trade the Commission’s rules at 11 CFR 114.2 * * * * * association’s SSF. Instead, these final and 114.8 to allow a corporate member I 7. In § 110.42, the introductory rules will allow a corporate member of of a trade association to provide language of paragraph (b) is revised to a trade association to provide incidental incidental services to collect and read as follows: services to collect and forward forward voluntary contributions from its
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solicitable class employees to the trade specifically approved the solicitation Commission in the NPRM, except for association’s SSF, including use of a and have not approved a solicitation by one change, discussed below. The rules: payroll deduction or check-off system, any other trade association for the same • Remove the prohibition on upon written request of the trade calendar year. See 2 U.S.C. corporate use of a payroll deduction or association. Under the proposed rules, 441b(b)(4)(D); 11 CFR 114.8(c). Once check-off system for solicitable class any corporate member of a trade these conditions are met, ‘‘[t]here is no employee contributions to the SSF of a association that provided incidental limitation on the method of soliciting trade association of which the services for contributions to the trade voluntary contributions or the method corporation is a member (11 CFR association’s SSF also would have had of facilitating the making of voluntary 114.8(e)(3)); • to provide the same services for contributions which a trade association Specifically authorize a member contributions to the SSF of any labor may use.’’ 11 CFR 114.8(e)(3). corporation to provide incidental organization that represented members Although the regulations do not limit services to collect and forward working for the corporation, upon the methods that a trade association contributions from its solicitable class written request of the labor organization may use to solicit and facilitate the employees to a trade association’s SSF, and at a cost not to exceed actual making of voluntary contributions to its including a payroll deduction or check- expenses incurred. SSF from the solicitable class employees off system, upon written request of the The Commission received 34 of consenting member corporations, trade association (new 11 CFR comments in response to the NPRM. 114.8(e)(4)); before this rulemaking the regulations • None of the comments opposed the did limit the methods that a consenting Require any corporation that proposed changes to the Commission’s member corporation may use to collect provides these incidental services, and rules, including a letter from the and forward those contributions. the corporation’s subsidiaries, divisions, Internal Revenue Service stating that it Specifically, prior to this rulemaking, 11 branches and affiliates, also to make the had ‘‘no comments at this time.’’ The CFR 114.8(e)(3) stated that a ‘‘member same services available to a labor comments are discussed further in the corporation may not use a payroll organization representing members who Explanation & Justification, below. deduction or check-off system for work for the corporation, or the The Commission held a public executive or administrative personnel corporation’s subsidiaries, divisions, hearing on May 17, 2005, on this contributing to the separate segregated branches or affiliates, for contributions 1 rulemaking. At the hearing, fund of the trade association.’’ The to the labor organization’s SSF by representatives of Petitioner and two Commission has interpreted this members of the labor organization, upon other commenters testified. For prohibition to extend to all employees written request by the labor organization purposes of this document, the terms of the corporation who may be solicited and at a cost not to exceed any actual ‘‘comment’’ and ‘‘commenter’’ apply to by the trade association (i.e., solicitable expenses incurred (new 11 CFR both written comments and oral class employees), including the member 114.8(e)(4)); and • Clarify that the provision of testimony at the public hearing. The corporation’s employee-stockholders. incidental services pursuant to new 11 written comments and the transcripts of See Advisory Opinion (‘‘AO’’) 1989–3. CFR 114.8(e)(4) is not prohibited the hearing are available at http:// In recent years, the Commission has corporate facilitation (new 11 CFR www.fec.gov/law/ recognized that corporations have some _ 114.2(f)(5)). law rulemakings.shtml. latitude in collecting and forwarding Under the Administrative Procedure contributions to a trade association’s 1. 11 CFR 114.8—Trade Associations Act, 5 U.S.C. 553(d), and the SSF, so long as the collection does not Congressional Review of Agency Generally, 11 CFR 114.8 sets out the involve employee payroll deductions. Rulemaking Act, 5 U.S.C. 801(a)(1), circumstances under which an For example, in AO 2003–22, the agencies must submit final rules to the incorporated trade association may Commission interpreted the regulations Speaker of the House of Representatives solicit contributions to its SSF. It to permit a corporate member of a trade and the President of the Senate, and defines the group of persons that may be association to collect voluntary publish them in the Federal Register at solicited, e.g., stockholders and the contributions in the form of paper least 30 calendar days before they take executive and administrative personnel checks from its executive and effect. The final rules that follow were of member corporations that give a administrative personnel, and to transmitted to Congress on July 15, yearly prior approval to the trade forward the contributions to the trade 2005. association to solicit such personnel, association’s SSF. In that advisory and the methods that may be used for Explanation and Justification opinion, the Commission also such solicitation. Section 114.8(e) more The Federal Election Campaign Act of interpreted the regulations to permit particularly addresses the timing and 1971, as amended (the ‘‘Act’’), and the corporate executives who were methods of such solicitation. collecting employee contribution checks Commission’s regulations permit any A. 11 CFR 114.8(e)(3) trade association to solicit contributions to use the member corporation’s inter- to the trade association’s SSF from the office mail system to help collect the The Commission is deleting the stockholders and executive and checks, and to provide envelopes and second sentence of former 11 CFR administrative personnel, and their postage in which contributors could 114.8(e)(3) in its entirety. This second families, of the trade association’s send their contributions to the trade sentence prohibited a corporation from member corporations, so long as these association’s SSF. See also AO 2000–4 using a payroll deduction or check-off member corporations separately and (incorporated credit union members of a system for contributions by the trade association permitted to deduct corporation’s solicitable class 1 See Notice of Public Hearing, Candidate and transfer contributions to the trade employees to the SSF of a trade Solicitation at State, District and Local Party association’s SSF from the share association of which the corporation is Fundraising Events; Definition of ‘‘Agent’’ for BCRA accounts of the credit unions’ a member. The Commission is making Regulations; Payroll Deductions By Member individual members). Corporations for Contributions to a Trade this change to conform paragraph Association’s Separate Segregated Fund, 70 FR These final rules are substantively 114.8(e)(3) with new paragraph 21,163 (April 25, 2005). identical to the rules proposed by the 114.8(e)(4), discussed below.
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B. 11 CFR 114.8(e)(4) incidental expenditures.’’ 3 See insurance premiums, flexible spending The Commission is adding a new also AO 1978–13 (‘‘Just as a corporation accounts, retirement savings plans, paragraph 114.8(e)(4) to allow, but not is not precluded from giving incidental charitable contributions, loan and require, a corporation to provide aid, which entails incidental mortgage payments, gym memberships incidental services to collect and expenditures, to solicitations made by a and club dues. Several commenters forward contributions from its trade association, a corporate member of observed that payroll deductions are solicitable class employees to the SSF of a trade association is not precluded widely available, reliable, simple to a trade association of which the from making incidental expenditures administer, convenient, and impose corporation is a member, upon written regarding administration of the trade minimal or no cost on the corporations request of the trade association. The association’s [SSF].’’) (citation omitted); that offer them. The Commission now new rule expressly provides that and AO 1979–8 (‘‘Since [the trade believes that a member corporation’s incidental services may include a association] is permitted to spend dues collection and forwarding of voluntary payroll deduction or check-off system. monies from its corporate members for contributions from solicitable class the establishment, administration, and employees to a trade association’s SSF (i) Incidental Services solicitation of contributions to the PAC, via payroll deduction under these The Commission is changing the rules it may also have the benefit of circumstances is a permissible to allow a corporate member of a trade incidental services * * * provided by ‘‘incidental service.’’ association to provide incidental executive and administrative personnel Several commenters pointed out the services to collect and forward of its member corporations who conduct important public policy objectives that voluntary contributions from solicitable those same activities.’’). will be furthered by allowing solicitable class employees to contribute class employees to the trade (ii) Payroll Deductions association’s SSF, because of the special voluntarily through payroll deductions relationship that exists between a trade Nearly all the commenters observed or check-off systems to the SSF of a association and its member that it no longer makes sense to trade association of which their corporations. This special relationship distinguish between payroll deductions corporation is a member. By permitting is firmly rooted in the Act. Although the and other forms of permissible solicitable class employees to sign up Act generally prohibits a corporation incidental services. The Commission for automatic payroll deductions, rather and its SSF from soliciting contributions agrees that technological and societal than requiring them to write a from anyone other than the changes over the past 29 years support contribution check, these employees corporation’s own stockholders, a change in the treatment of payroll may spread out their contributions over executive and administrative personnel, deductions, when used by a corporate time, thereby potentially enhancing and their families, the Act specifically member of a trade association. their participation in the political The availability and use of electronic allows a trade association, including an process. Moreover, the ability to payments in general have changed incorporated trade association and its participate in the process by considerably since 1976, when the SSF, to solicit contributions from the contributing to a trade association’s SSF Commission first prohibited corporate stockholders, executive and is particularly important for employees use of payroll deduction and check-off administrative personnel, and their of the many small companies that rely systems for employee contributions to a families, of the trade association’s exclusively on their trade associations’ trade association’s SSF. Although ‘‘it member corporations, to the extent SSFs to serve as their political voice. has taken years of investments in This position was reiterated by two of specifically approved by the member electronic infrastructure at homes and corporations. See 2 U.S.C. the commenters at the Commission’s 2 businesses to support the use of May 17, 2005 hearing. 441b(b)(4)(A)(i); 2 U.S.C. 441b(b)(4)(D). electronic payments as a convenient and The Commission has recognized this As the Supreme Court noted in relatively low-cost alternative to special relationship before. For Buckley v. Valeo, ‘‘[e]ncouraging citizen checks,’’ 4 electronic payment systems example, the Commission specifically participation in political campaigns are now widely used by Federal rejected an interpretation of the Act that while continuing to guard against the agencies, such as the Internal Revenue corrupting potential of large financial would have required a trade association Service and the Social Security contributions to candidates’ is an to reimburse its member corporations Administration, and by the private important goal of the Act. Buckley v. for incidental costs related to assistance sector. In fact, there were almost 10 Valeo, 424 U.S. 1, 36 (1976). The with fundraising by the trade billion more electronic payments in this Commission believes that permitting a association for its SSF. As the country than payments by paper check corporation’s solicitable class Commission stated, ‘‘to require a trade in 2003.5 employees to make voluntary association to reimburse the corporation Payroll deductions, in particular, are contributions to the SSF of the for incidental services, such as the increasingly prevalent in the workplace. corporation’s trade association through distribution of the association’s [SSF A large number of employees use them payroll deduction will help to achieve fundraising] material via the to pay for a variety of goods and this objective. corporation’s internal mailing system, services, such as health and life In addition, a number of commenters seemed tenuous since the trade indicated that the use of payroll association will be paying for the 3 Explanation and Justification, Federal Election deductions for voluntary contributions substantial costs of the solicitation with Regulations, House Document No. 95–44, 95th from solicitable class employees to a the membership fees from corporations. Cong., 1st Session at 114 (1977). trade association’s SSF will make it 4 Remarks by Alan Greenspan at the Federal Consequently, the Commission has not easier for the SSF to track and report required the trade association to Reserve Payments System Development Committee 2003 Conference, Oct. 29, 2003. such contributions. The disclosure reimburse the corporation for such 5 Federal Reserve Board Press Release: Federal requirements of the Act serve three Reserve Studies Confirm Electronic Payments important government interests: (1) 2 A member corporation may not approve Exceed Check payments for the First Time (Dec. 6, solicitations by more than one trade association in 2004), available at http://www.federalreserve.gov/ Providing the electorate with any calendar year. 2 U.S.C. 441b(b)(4)(D); 11 CFR boarddocs/press/other/2004/20041206/default.htm information; (2) deterring actual 114.8(c)(2). (viewed June 2, 2005). corruption and avoiding the appearance
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of corruption; and (3) gathering data report that discloses a contribution In support of the rule proposed in the necessary for enforcement of the Act. made pursuant to the authorization. See NPRM, however, the Petitioner asserted See McConnell v. Federal Election 11 CFR 104.14(b)(2), 102.9(c); AO 2000– that 2 U.S.C. 441b(b)(6) must be read Commission, 540 U.S. 93, 196 (2003). 4, n.3. together with 2 U.S.C. 441b(b)(4)(D), the The Commission believes that this final statutory provision enabling the (iii) Equal Access for Labor rule will help to further these important solicitation of executive and Organizations interests by enhancing the ability of a administrative employees of member trade association’s SSF to track and Under the rule proposed in the corporations for contributions to a trade report individual employee NPRM, any member corporation that association’s SSF. While acknowledging contributions. provided incidental services to collect that the Act and regulations strike a Removing the regulatory prohibition and forward contributions by certain careful balance between corporations on the use of payroll deduction and persons to a trade association’s SSF also and labor organizations, the Petitioner check-off systems could also help to would have had to make these argued that 2 U.S.C. 441b(b)(4)(D) reduce some perceived disadvantages in incidental services available to a labor specifically limits the scope of trade the fundraising abilities of trade organization representing members association solicitations of solicitable association SSFs. Some commenters working for the corporation, upon employees of the member corporation, indicated that the current prohibition in written request of the labor organization and does not extend the scope of 11 CFR 114.8(e)(3) disadvantages SSFs and at a cost that does not exceed any permissible solicitations to other sponsored by smaller trade associations actual expenses incurred. As stated in employees of non-member subsidiaries that try to compete in the political arena the NPRM, the Commission considers or affiliates. against SSFs sponsored by larger trade this requirement to be necessary to The Commission believes that 2 associations, because SSFs sponsored by prevent circumvention of provisions in U.S.C. 441b(b)(6) and its implementing smaller trade associations have fewer the Act and Commission regulations regulation, 11 CFR 114.5(k)(1), require resources to devote to fundraising. that seek to prevent corporate SSFs from the proposed rule to be changed as Other commenters complained that the gaining an unfair fundraising advantage requested by the commenter. Although, prohibition further disadvantages SSFs over labor organization SSFs. See 69 FR as noted by the Petitioner, a trade sponsored by trade associations that try 76631. association’s ability to seek solicitation to compete with larger corporate and One commenter asserted that the Act rights from member corporations is labor organization SSFs, because requires the Commission to change the governed by 2 U.S.C. 441b(b)(4)(D), the corporate and labor organization SSFs proposed rule by extending the equal member corporations themselves are are allowed to offer payroll deductions access requirement to a member separately subject to the broad equal for contributions to their own SSFs and corporation’s subsidiaries, divisions, access provisions of 2 U.S.C. 441b(b)(6) are not required to obtain approval branches and affiliates, in addition to and 11 CFR 114.5(k)(1). Moreover, these before soliciting restricted class or the corporation itself. The commenter equal access provisions do not member employees. Removing the argued that, if a corporate member of a distinguish between corporate methods prohibition on member corporations’ trade association uses a payroll of facilitating the making of use of payroll deductions to collect deduction or check-off system to collect contributions to a corporation’s own solicitable class employee contributions and forward employee contributions SSF and corporate methods of to a trade association’s SSF will help to from solicitable class employees to the facilitating the making of contributions reduce these perceived disadvantages. trade association’s SSF, then a labor to the SSF of a trade association of The Commission cautions, however, organization representing any members which the corporation is a member. that the provision of incidental services that work for the corporation or for any Rather, the provisions apply broadly to by a member corporation to a trade of the corporation’s subsidiaries, ‘‘[a]ny corporation * * * that utilizes a association remains subject to certain divisions, branches or affiliates would method of * * * facilitating the making requirements under the Act and be entitled to require the corporation of voluntary contributions.’’ 2 U.S.C. Commission regulations. For example, and the corporation’s subsidiaries, 441b(b)(6); 11 CFR 114.5(k). Methods of the member corporation must first divisions, branches or affiliates to facilitating the making of contributions ‘‘separately and specifically approve’’ provide a payroll deduction or check-off include payroll deduction and check-off the solicitation of its solicitable class system to collect and forward systems. See 114.1(f). employees by a trade association, and it contributions to the labor organization’s Thus, under this new rule, any cannot authorize more than one trade SSF. corporate member of a trade association association to solicit these employees in The commenter stated that this that chooses to provide incidental any calendar year. See 2 U.S.C. change to the proposed rule is mandated services to collect and forward 441b(b)(4)(D); 11 CFR 114.8(c), (d). by 2 U.S.C. 441b(b)(6). Section voluntary contributions from its Moreover, contributions made via 441b(b)(6) provides that ‘‘[a]ny solicitable class employees to the trade payroll deduction or check-off system corporation, including its subsidiaries, association’s SSF must provide the same trigger special recordkeeping obligations branches, divisions, and affiliates,’’ that services upon request to the SSF of a for the recipient SSF. Each contributor uses a method of soliciting voluntary labor organization representing any must affirmatively authorize the contributions or of facilitating the members working for the corporation or deduction in writing, in advance, and making of voluntary contributions, must the corporation’s subsidiaries, divisions, the authorization must manifest the make that method available to a labor branches, or affiliates. In addition, the contributor’s ‘‘specific and voluntary organization ‘‘representing any members subsidiaries, divisions, branches, and donative intent.’’ See Federal Election working for such corporation, its affiliates of the corporate member must Commission v. National Education subsidiaries, branches, divisions, and also provide the same incidental Association, 457 F.Supp. 1102 (D.D.C. affiliates,’’ upon written request of the services upon request to the SSF of a 1978); AOs 2001–4 and 1997–25. The labor organization and at a cost labor organization representing any SSF must maintain the authorization for sufficient only to reimburse the members working for the corporation or audit or inspection purposes for at least corporation for its expenses. 2 U.S.C. the corporation’s subsidiaries, divisions, three years after the filing date of each 441b(b)(6). branches, or affiliates.
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This result is also consistent with the (iv) Reimbursement by Labor CFR 114.8(e)(4), as revised. New 11 CFR Commission’s application of the equal Organizations 114.2(f)(5) expressly permits a access provisions of 2 U.S.C. 441b(b)(6) This final rule distinguishes between corporation to collect these to twice yearly solicitations. See 2 providing incidental services to collect contributions through a payroll U.S.C. 441b(b)(4)(B); 11 CFR 114.6. In and forward solicitable class employee deduction or check-off system. The the context of twice yearly solicitations, contributions to a trade association’s Commission did not receive any if any corporate unit within a corporate SSF on the one hand, and providing comments on this change, which was family uses a method of facilitating the incidental services to collect and proposed in the NPRM. Additionally, the Commission is making of contributions to the forward employee-member revising the second sentence of corporation’s SSF, then all units within contributions to a labor organization’s paragraph (a) of 11 CFR 114.2 to correct that family must make the method SSF on the other hand, with regard to two typographical errors. In the phrase available to a labor organization. See, the requirement for reimbursement by e.g., AO 1990–25 (a parent corporation that currently reads, ‘‘* * * form the recipient SSF. As noted above, making expenditures as defined in 11 that uses a method of facilitation for ‘‘incidental services by corporate only certain subsidiaries must FR 114.1(a) * * *,’’ the Commission is members would not require changing the word ‘‘form’’ to ‘‘from’’ nonetheless ensure that the method is reimbursement by the trade association available to a labor organization, even at and is correcting the citation to ‘‘11 CFR since, in any event, reimbursement if 114.1(a).’’ Because these corrections are subsidiaries that do not themselves use required would come from membership the method of facilitation). technical, they are not a substantive rule dues paid to the trade association by its requiring notice and comment under the In addition to being compelled by the corporate members.’’ AO 1979–8 Act, there are strong policy reasons for Administrative Procedure Act, 5 U.S.C. (citation omitted); see also AO 1978–13. 553. making this change. The Petitioners and A labor organization or its SSF that other commenters acknowledged that receives incidental services from a 3. Other Issues corporations that do not have their own corporate employer of members of the In response to the NPRM, one SSF may rely exclusively on their trade labor organization, by contrast, is commenter asked the Commission also associations’ SSFs to serve as their required to reimburse the corporation to change 11 CFR 114.7, to allow a proxy SSFs in representing their for the cost of providing those services. corporation to provide incidental corporate interests in the political arena. See AOs 1981–39 and 1979–21. The services to collect and forward In such circumstances, the Commission Commission has previously concluded contributions to a membership concludes that labor organizations that a prohibited corporate contribution organization’s SSF from employees who should have the same rights that they would result from a failure by a labor are members of the membership would enjoy if the corporations had organization to reimburse a corporation organization. The Commission has established their own SSFs. for actual expenses incurred by the determined, however, that this proposal Moreover, under the rule proposed in corporation in providing a payroll falls outside of the scope of this the NPRM, corporate families that deduction or check-off system for rulemaking. employ most of their administrative and contributions to the labor organization’s Certification of No Effect Pursuant to 5 management personnel in one SSF. Id. corporation, and most of their members U.S.C. 605(b) (Regulatory Flexibility of labor organizations in another 2. 11 CFR 114.2—Prohibitions on Act) corporation, could have effectively Contributions and Expenditures The Commission certifies that the undermined the equal access rights of The Commission is making a attached final rules would not have a labor organizations, by providing conforming change to 11 CFR 114.2(f), significant economic impact on a incidental services to collect and which prohibits a corporation from substantial number of small entities. forward solicitable class employee facilitating the making of contributions The basis for this certification is that the contributions to a trade association’s to political committees, other than to attached rules permit, but do not SSF only within the corporation the corporation’s own SSF. The term require, a corporation to provide employing executive and administrative ‘‘facilitation’’ means ‘‘using corporate or incidental services to collect and personnel and not in the corporation labor organization resources or facilities forward contributions from its employing labor organization members. to engage in fundraising activities in solicitable class employees to the This outcome would be inconsistent connection with any federal election.’’ separate segregated fund of a trade with the careful balance struck by 11 CFR 114.2(f)(1). Facilitation does not association of which the corporation is Congress and the Commission between include, however, enrollment by a a member, including the use of a payroll corporate SSFs and labor organization corporation or labor organization of deduction or check-off system. A SSFs. See, e.g., 122 Cong. Rec. 3782 members of the corporation’s or labor corporation is currently permitted to (daily ed. May 3, 1976) (Statement of organization’s restricted class in a collect and transmit contributions by Rep. Brademas, reprinted in Legislative payroll deduction plan or check-off other means to the SSF of a trade History of the Federal Election system to make contributions to the association of which the corporation is Campaign Act Amendments of 1976 at corporation’s or labor organization’s a member. The attached rules enable 1082). SSF. See 11 CFR 114.2(f)(4)(i). those corporations that wish to transmit The Commission is also mindful that The Commission is adding a new employee contributions to trade virtually all commenters indicated that paragraph (5) to 11 CFR 114.2(f), to association SSFs to do so more payroll deductions are both easy to specify that facilitation also does not efficiently and use fewer resources. administer and common, and that this include the provision of incidental List of Subjects in 11 CFR Part 114 new rule requires any labor organization services by a corporation to collect and requesting access to such a method of forward voluntary contributions from its Business and industry, Elections, facilitating contributions to reimburse solicitable class employees to the SSF of Labor. the corporation for the expenses a trade association of which the I For the reasons set out in the preamble, incurred. corporation is a member, pursuant to 11 subchapter A of chapter 1 of title 11 of
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the Code of Federal Regulations is trade association. Any corporation that The Director of the Federal Register amended as follows: provides such incidental services, and approved the incorporation by reference the corporation’s subsidiaries, branches, of certain publications listed in the AD PART 114—CORPORATE AND LABOR divisions, and affiliates, shall make as of August 25, 2005. ORGANIZATION ACTIVITY those incidental services available to a ADDRESSES: You may examine the AD I 1. The authority citation for part 114 labor organization representing any docket on the Internet at http:// continues to read as follows: members working for the corporation or dms.dot.gov or in person at the Docket the corporation’s subsidiaries, branches, Management Facility, U.S. Department Authority: 2 U.S.C. 431(8)(B), 431(9)(B), divisions, or affiliates, upon written 432, 434, 437d(a)(8), 438(a)(8), 441b. of Transportation, 400 Seventh Street, request of the labor organization and at SW., Nassif Building, Room PL–401, I 2. Section 114.2 is amended by a cost sufficient only to reimburse the Washington, DC. revising the second sentence of corporation or the corporation’s Contact Boeing Commercial paragraph (a) and by adding new subsidiaries, branches, divisions, and Airplanes, Long Beach Division, 3855 paragraph (f)(5), to read as follows: affiliates, for the expenses incurred Lakewood Boulevard, Long Beach, thereby. § 114.2 Prohibitions on contributions and California 90846, Attention: Data and expenditures. * * * * * Service Management, Dept. C1–L5A (a) * * * Dated: July 14, 2005. (D800–0024), for service information National banks and corporations Scott E. Thomas, identified in this AD. organized by authority of any law of Chairman, Federal Election Commission. FOR FURTHER INFORMATION CONTACT: Ken Congress are prohibited from making [FR Doc. 05–14318 Filed 7–20–05; 8:45 am] Sujishi, Aerospace Engineer, Cabin expenditures as defined in 11 CFR BILLING CODE 6715–01–P Safety/Mechanical and Environmental 114.1(a) for communications to those Systems Branch, ANM–150L, FAA, Los outside the restricted class expressly Angeles Aircraft Certification Office, advocating the election or defeat of one DEPARTMENT OF TRANSPORTATION 3960 Paramount Boulevard, Lakewood, or more clearly identified candidate(s) California 90712–4137; telephone (562) or the candidates of a clearly identified Federal Aviation Administration 627–5353; fax (562) 627–5210. political party, with respect to an SUPPLEMENTARY INFORMATION: election to any political office, 14 CFR Part 39 including any local, State, or Federal Examining the Docket office. [Docket No. FAA–2005–20882; Directorate Identifier 2004–NM–241–AD; Amendment You may examine the AD docket on * * * * * 39–14192; AD 2005–15–03] the Internet at http://dms.dot.gov or in (f) * * * person at the Docket Management (5) Facilitating the making of RIN 2120–AA64 contributions also does not include the Facility office between 9 a.m. and 5 provision of incidental services by a Airworthiness Directives; McDonnell p.m., Monday through Friday, except corporation to collect and forward Douglas Model DC–10–10, DC–10–10F, Federal holidays. The Docket contributions from its employee DC–10–15, DC–10–30, DC–10–30F (KC– Management Facility office (telephone stockholders and executive and 10A and KDC–10), DC–10–40, DC–10– (800) 647–5227) is located on the plaza administrative personnel to the separate 40F, MD–10–10F, MD–10–30F, MD–11, level of the Nassif Building at the street segregated fund of a trade association of and MD–11F Airplanes address stated in the ADDRESSES section. which the corporation is a member, Discussion AGENCY: Federal Aviation including collection through a payroll Administration (FAA), Department of deduction or check-off system, pursuant The FAA issued a notice of proposed Transportation (DOT). to 11 CFR 114.8(e)(4). rulemaking (NPRM) to amend 14 CFR part 39 to include an AD that would I 3. In § 114.8, paragraph (e)(3) is ACTION: Final rule. apply to McDonnell Douglas Model DC– revised, paragraph (e)(4) is redesignated SUMMARY: The FAA is adopting a new 10–10, DC–10–10F, DC–10–15, DC–10– as new paragraph (e)(5), and new airworthiness directive (AD) for certain 30, DC–10–30F (KC–10A and KDC–10), paragraph (e)(4) is added to read as McDonnell Douglas airplanes identified DC–10–40, DC–10–40F, MD–10–10F, follows: above. This AD requires repetitive MD–10–30F, MD–11, and MD–11F § 114.8 Trade associations. functional tests for noisy or improper airplanes. That NPRM was published in * * * * * operation of the exterior emergency the Federal Register on April 7, 2005 (e) * * * control handle assemblies of the mid, (70 FR 17618). That NPRM proposed to (3) There is no limitation on the overwing, and aft passenger doors, and require repetitive functional tests for method of soliciting voluntary corrective actions if necessary. This AD noisy or improper operation of the contributions or the method of also provides for optional terminating exterior emergency control handle facilitating the making of voluntary action for the repetitive tests. This AD assemblies of the mid, overwing, and aft contributions which a trade association is prompted by a report that the exterior passenger doors, and corrective actions may use. emergency control mechanism handles if necessary. That NPRM also proposed (4) A corporation may provide were inoperative on a McDonnell to provide for optional terminating incidental services to collect and Douglas Model MD–11 airplane. We are action for the repetitive tests. forward contributions from its employee issuing this AD to prevent failure of the Comments stockholders and executive and passenger doors to operate properly in administrative personnel to the separate an emergency condition, which could We provided the public the segregated fund of a trade association of delay an emergency evacuation and opportunity to participate in the which the corporation is a member, possibly result in injury to passengers development of this AD. We received no including a payroll deduction or check- and flightcrew. comments on the NPRM or on the off system, upon written request of the DATES: Effective August 25, 2005. determination of the cost to the public.
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Changes to This AD is necessary to identify which service safety and the public interest require We have changed the manufacturer bulletin affects which airplanes to adopting the AD as proposed, except as name on the service bulletin citations in eliminate any possible confusion. discussed under ‘‘Changes to this AD.’’ this AD from McDonnell Douglas to We have made certain editorial Costs of Compliance Boeing to reflect current guidelines changes to the proposed AD. These established by the Office of the Federal changes are minor in nature and do not There are about 633 airplanes of the Register for material incorporated by have any effect on the technical content affected design in the worldwide fleet. reference. or proposed cost to the public of the This AD will affect about 218 airplanes We have revised paragraph (f) of the final rule. of U.S. registry. The following table final rule to include airplane model Conclusion provides the estimated costs, at an information for each of the service average labor rate of $65 per work hour, bulletins that was inadvertently left out We have carefully reviewed the for U.S. operators to comply with this of paragraph (f) of the proposed AD. It available data and determined that air AD.
TEST AND MODIFICATION COSTS
Action Work hours Parts cost Cost per airplane Fleet cost
Functional test ...... 1 N/A $65 per test cycle ...... $14,170, per test cycle. Replace bearings ...... 6 $825 $1,215 per door, if required ...... N/A.
Authority for This Rulemaking the States, on the relationship between the FAA amends 14 CFR part 39 as Title 49 of the United States Code the national government and the States, follows: specifies the FAA’s authority to issue or on the distribution of power and PART 39—AIRWORTHINESS rules on aviation safety. Subtitle I, responsibilities among the various DIRECTIVES section 106, describes the authority of levels of government. For the reasons discussed above, I the FAA Administrator. Subtitle VII, certify that this AD: I 1. The authority citation for part 39 Aviation Programs, describes in more (1) Is not a ‘‘significant regulatory continues to read as follows: detail the scope of the Agency’s action’’ under Executive Order 12866; authority. (2) Is not a ‘‘significant rule’’ under Authority: 49 U.S.C. 106(g), 40113, 44701. We are issuing this rulemaking under DOT Regulatory Policies and Procedures § 39.13 [Amended] the authority described in subtitle VII, (44 FR 11034, February 26, 1979); and part A, subpart III, section 44701, (3) Will not have a significant I 2. The Federal Aviation ‘‘General requirements.’’ Under that economic impact, positive or negative, Administration (FAA) amends § 39.13 by section, Congress charges the FAA with on a substantial number of small entities adding the following new airworthiness promoting safe flight of civil aircraft in under the criteria of the Regulatory directive (AD): air commerce by prescribing regulations Flexibility Act. 2005–15–03 McDonnell Douglas: for practices, methods, and procedures We prepared a regulatory evaluation Amendment 39–14192. Docket No. the Administrator finds necessary for of the estimated costs to comply with FAA–2005–20882; Directorate Identifier safety in air commerce. This regulation this AD and placed it in the AD docket. 2004–NM–241–AD. is within the scope of that authority See the ADDRESSES section for a location because it addresses an unsafe condition to examine the regulatory evaluation. Effective Date that is likely to exist or develop on List of Subjects in 14 CFR Part 39 (a) This AD becomes effective August 25, products identified in this rulemaking 2005. action. Air transportation, Aircraft, Aviation safety, Incorporation by reference, Affected ADs Regulatory Findings Safety. (b) None. We have determined that this AD will Adoption of the Amendment Applicability: (c) This AD applies to the not have federalism implications under airplanes identified in Table 1 of this AD; Executive Order 13132. This AD will I Accordingly, under the authority certificated in any category. not have a substantial direct effect on delegated to me by the Administrator,
TABLE 1.—APPLICABILITY
McDonnell Douglas Airplane model— As identified in—
DC–10–10, DC–10–10F, DC–10–15, DC–10–30, DC–10–30F (KC–10A and KDC– Boeing Service Bulletin DC10–52–219, Revision 1, 10), DC–10–40, DC–10–40F, MD–10–10F, and MD–10–30F airplanes. dated September 3, 2004. MD–11 and MD–11F airplanes ...... Boeing Service Bulletin MD11–52–044, Revision 1, dated September 3, 2004.
Unsafe Condition MD–11 airplane. We are issuing this AD to Compliance: (e) You are responsible for (d) This AD was prompted by a report prevent failure of the passenger doors to having the actions required by this AD indicating that the exterior emergency operate properly in an emergency condition, performed within the compliance times control mechanism handles of the mid, which could delay an emergency evacuation specified, unless the actions have already overwing and aft passenger doors were and possibly result in injury to passengers been done. inoperative on a McDonnell Douglas Model and flightcrew.
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Service Bulletin Reference Street SW., Room PL–401, Nassif Building, Docket: The AD docket contains the (f) The term ‘‘service bulletin,’’ as used in Washington, DC; on the internet at http:// proposed AD, comments, and any final this AD, means the Accomplishment dms.dot.gov; or at the National Archives and disposition. You can examine the AD Instructions of Boeing Service Bulletin Records Administration (NARA). For docket on the Internet at http:// MD11–52–044, Revision 1 (for Model MD–11 information on the availability of this material at the NARA, call (202) 741–6030, dms.dot.gov, or in person at the Docket and MD–11F airplanes), and Service Bulletin Management Facility office between 9 DC10–52–219, Revision 1 (for Model DC–10– or go to http://www.archives.gov/ federal_register/code_of_federal_regulations/ a.m. and 5 p.m., Monday through 10, DC–10–10F, DC–10–15, DC–10–30, DC– _ 10–30F (KC–10A and KDC–10), DC–10–40, ibr locations.html. Friday, except Federal holidays. The DC–10–40F, MD–10–10F, and MD–10–30F Issued in Renton, Washington, on July 8, Docket Management Facility office airplanes); both dated September 3, 2004; as 2005. (telephone (800) 647–5227) is located on applicable. Ali Bahrami, the plaza level of the Nassif Building at the U.S. Department of Transportation, Functional Test Manager, Transport Airplane Directorate, Aircraft Certification Service. 400 Seventh Street, SW., room PL–401, (g) Within 6,000 flight hours or 18 months [FR Doc. 05–14088 Filed 7–20–05; 8:45 am] Washington, DC. This docket number is after the effective date of this AD, whichever FAA–2005–20500; the directorate occurs later, perform a functional test of the BILLING CODE 4910–13–P exterior emergency control handle assemblies identifier for this docket is 2004–NM– of the mid, overwing, and aft passenger 235–AD. doors; by doing all actions specified in the DEPARTMENT OF TRANSPORTATION FOR FURTHER INFORMATION CONTACT: Dan applicable service bulletin, except as Rodina, Aerospace Engineer, provided by paragraph (i) of this AD. Federal Aviation Administration (1) If the functional test reveals no noisy International Branch, ANM–116, FAA, Transport Airplane Directorate, 1601 operation or binding: Repeat the functional 14 CFR Part 39 test at intervals not to exceed 6,000 flight Lind Avenue, SW., Renton, Washington hours or 18 months, whichever occurs later, [Docket No. FAA–2005–20500; Directorate 98055–4056; telephone (425) 227–2125; until the terminating action of paragraph (h) Identifier 2004–NM–235–AD; Amendment fax (425) 227–1149. of this AD has been accomplished. 39–14191; AD 2005–15–02] (2) If any functional test required by this SUPPLEMENTARY INFORMATION: The FAA RIN 2120–AA64 AD reveals noisy operation or binding: Prior proposed to amend 14 CFR part 39 with an AD for Airbus Model A320 series to further flight, replace the steel bearings Airworthiness Directives; Airbus Model with bearings made from corrosion-resistant airplanes. That action, published in the A320–111 Airplanes and Model A320– material, in accordance with the applicable Federal Register on March 8, 2005 (70 200 Series Airplanes service bulletin. FR 11170), proposed to require post- Optional Terminating Action AGENCY: Federal Aviation maintenance bleeding of accumulated (h) Accomplishment of the actions Administration (FAA), Department of air from, or ground functional testing of, required by paragraph (g)(2) of this AD Transportation (DOT). the ram air turbine (RAT) system; constitutes terminating action for the ACTION: Final rule. modifying and reidentifying the repetitive tests required by paragraph (g)(1) of airborne ground check module of the this AD only for the modified doors. SUMMARY: The FAA is adopting a new RAT system; and replacing the RAT airworthiness directive (AD) that reducer assembly if applicable. Inoperable Doors applies to certain Airbus Model A320– (i) Any mid, overwing, or aft passenger 111 airplanes and Model A320–200 Comments door that has been fastened shut and series airplanes. This AD requires post- We provided the public the rendered inoperable according to an maintenance bleeding of accumulated approved airplane freighter configuration is opportunity to participate in the air from, or ground functional testing of, not subject to the requirements of this AD. development of this AD. We have the ram air turbine (RAT) system; considered the comments that have Alternative Methods of Compliance modifying and reidentifying the been submitted on the proposed AD. (AMOCs) airborne ground check module of the (j) The Manager, Los Angeles Aircraft RAT system; and replacing the RAT Support for the Proposed AD Certification Office (ACO), FAA, has the reducer assembly if applicable. This AD authority to approve AMOCs for this AD, if is prompted by reports of unsuccessful One commenter supports the requested in accordance with the procedures in-flight RAT tests during which a proposed AD. found in 14 CFR 39.19. deployed RAT failed to pressurize the Request To Revise Applicability Material Incorporated by Reference blue hydraulic circuit of the RAT (k) You must use Boeing Service Bulletin system. We are issuing this AD to One commenter requests that we DC10–52–219, Revision 1, dated September prevent failure of the RAT during an in- change a part number that was 3, 2004; or Boeing Service Bulletin MD11– flight emergency, which could lead to incorrectly referenced in the 52–044, Revision 1, dated September 3, 2004; loss of hydraulic and electrical power applicability of the proposed AD. The as applicable, to perform the actions that are and reduced controllability of the commenter states that part number required by this AD, unless the AD specifies airplane. otherwise. The Director of the Federal (P/N) 760106 is incorrect and that it Register approved the incorporation by DATES: This AD becomes effective should be changed to P/N 769106. reference of these documents in accordance August 25, 2005. We agree with this request. P/N with 5 U.S.C. 552(a) and 1 CFR part 51. The incorporation by reference of 760106 is a part number that is not Contact Boeing Commercial Airplanes, Long certain publications listed in the AD is referenced by the Airbus service Beach Division, 3855 Lakewood Boulevard, approved by the Director of the Federal bulletin; it appeared due to a Long Beach, California 90846, Attention: Register as of August 25, 2005. Data and Service Management, Dept. C1–L5A typographical error. We have corrected (D800–0024), for copies of this service ADDRESSES: For service information paragraph (c) of the final rule to read information. You may review copies at the identified in this AD, contact Airbus, 1 P/N 769106, as specified in the Airbus Docket Management Facility, U.S. Rond Point Maurice Bellonte, 31707 service bulletin and the French Department of Transportation, 400 Seventh Blagnac Cedex, France. airworthiness directive.
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Request To Revise Requirement for charge. Based on these figures, the Adoption of the Amendment Bleeding of Blue Hydraulic Circuit estimated cost of this action for U.S. I Accordingly, under the authority operators is $16,900, or $130 per The same commenter requests that we delegated to me by the Administrator, revise the wording of paragraphs (f) and airplane. The reducer replacement, for subject the FAA amends 14 CFR part 39 as (g) of the proposed AD. The commenter follows: asserts that the statement ‘‘after airplanes, will take about 1 work hour performing any maintenance on the blue per airplane, at an average labor rate of PART 39—AIRWORTHINESS hydraulic circuit’’ that appears in $65 per work hour. Required parts will DIRECTIVES be supplied at no charge. Based on these paragraphs (f) and (g) is too vague and I can be taken as requiring unnecessary figures, the estimated cost of this action 1. The authority citation for part 39 bleeding of the blue hydraulic circuit. for U.S. operators is $65 per airplane. continues to read as follows: The commenter suggests that we revise Authority for This Rulemaking Authority: 49 U.S.C. 106(g), 40113, 44701. this wording to read ‘‘after performing § 39.13 [Amended] any maintenance that would normally Title 49 of the United States Code I require bleeding of the blue hydraulic specifies the FAA’s authority to issue 2. The FAA amends § 39.13 by adding circuit (as instructed by the related rules on aviation safety. Subtitle I, the following new airworthiness AMM procedure).’’ The commenter section 106, describes the authority of directive (AD): states that such wording would the FAA Administrator. Subtitle VII, 2005–15–02 Airbus: Amendment 39–14191. eliminate any unneeded maintenance Aviation Programs, describes in more Docket No. FAA–2005–20500; introduced by the proposed AD and still detail the scope of the Agency’s Directorate Identifier 2004–NM–235–AD. ensure that, during any in-flight authority. Effective Date emergency, a RAT system failure does We are issuing this rulemaking under the authority described in subtitle VII, (a) This AD becomes effective August 25, not occur. 2005. We agree with this request. We always part A, subpart III, section 44701, seek to use unambiguous language and ‘‘General requirements.’’ Under that Affected ADs the specified statement could be taken section, Congress charges the FAA with (b) None. as requiring unnecessary bleeding of the promoting safe flight of civil aircraft in Applicability: (c) This AD applies to Airbus blue hydraulic circuit. Therefore, to air commerce by prescribing regulations Model A320–111 airplanes and Model A320– 200 series airplanes, certificated in any ensure that bleeding of the blue for practices, methods, and procedures the Administrator finds necessary for category; equipped with Hamilton hydraulic circuit must be performed Sundstrand airborne ground check module only as a necessary part of a safety in air commerce. This regulation (AGCM) having part number 769104, 769105, maintenance action, we have revised is within the scope of that authority or 769106 installed; except those airplanes paragraphs (f) and (g) of the final rule to because it addresses an unsafe condition on which Airbus Modification 27189 has reflect the commenter’s wording. that is likely to exist or develop on been done in production and on which products identified in this rulemaking Airbus Modification 28413 has not been Explanation of Change to Applicability action. done. The FAA has revised the applicability Regulatory Findings Unsafe Condition of the proposed AD to identify model (d) This AD was prompted by reports of designations as published in the most We have determined that this AD will unsuccessful in-flight ram air turbine (RAT) recent type certificate data sheet for the not have federalism implications under tests during which a deployed RAT failed to affected models. Executive Order 13132. This AD will pressurize the blue hydraulic circuit of the not have a substantial direct effect on RAT system. We are issuing this AD to Conclusion the States, on the relationship between prevent failure of the RAT system during an We have carefully reviewed the the national government and the States, in-flight emergency, which could lead to loss available data, including the comments or on the distribution of power and of hydraulic and electrical power and that have been submitted, and responsibilities among the various reduced controllability of the airplane. Compliance: (e) You are responsible for determined that air safety and the levels of government. having the actions required by this AD public interest require adopting the AD For the reasons discussed above, I performed within the compliance times with the changes described previously. certify that this AD: specified, unless the actions have already We have determined that these changes (1) Is not a ‘‘significant regulatory been done. will neither increase the economic action’’ under Executive Order 12866; RAT System Bleeding/Functional Test burden on any operator nor increase the (2) Is not a ‘‘significant rule’’ under scope of the AD. DOT Regulatory Policies and Procedures (f) For airplanes on which maintenance has (44 FR 11034, February 26, 1979); and been performed on the blue hydraulic circuit Costs of Compliance (3) Will not have a significant as of the effective date of this AD: Within 3 days or 20 flight hours after the effective date This AD will affect about 130 economic impact, positive or negative, of this AD, whichever occurs first, bleed airplanes of U.S. registry. on a substantial number of small entities accumulated air from, or perform a ground The system bleed/functional test will under the criteria of the Regulatory functional test of, the RAT system; by take about 1 work hour per airplane, at Flexibility Act. accomplishing all the actions specified in an average labor rate of $65 per work We prepared a regulatory evaluation Airbus All Operators Telex (AOT) A320– hour. Based on these figures, the of the estimated costs to comply with 29A1112, Revision 01, dated April 8, 2004. estimated cost of the required actions this AD. See the ADDRESSES section for Thereafter, bleed the blue hydraulic circuit as for U.S. operators is $8,450, or $65 per a location to examine the regulatory specified in the AOT within 3 days or 20 flight hours after performing any airplane. evaluation. The airborne ground check module maintenance that would normally require List of Subjects in 14 CFR Part 39 bleeding of the blue hydraulic circuit, (as (AGCM) replacement will take about 2 instructed by the related aircraft maintenance work hours per airplane, at an average Air transportation, Aircraft, Aviation manual (AMM) procedure). labor rate of $65 per work hour. safety, Incorporation by reference, (g) For airplanes on which maintenance Required parts will be supplied at no Safety. has not been performed on the blue hydraulic
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circuit as of the effective date of this AD: DEPARTMENT OF TRANSPORTATION SUPPLEMENTARY INFORMATION: On June Within 3 days or 20 flight hours after 15, 2005, the FAA issued AD 2005–13– performing any maintenance that would Federal Aviation Administration 22, amendment 39–14159 (70 FR 36011, normally require bleeding of the blue June 22, 2005), for all EMBRAER Model hydraulic circuit (as instructed by the related 14 CFR Part 39 EMB–135 airplanes, and all Model AMM procedure), bleed the blue hydraulic circuit by accomplishing all the actions EMB–145, –145ER, –145MR, –145LR, [Docket No. FAA–2005–21598; Directorate –145XR, –145MP, and –145EP specified in Airbus AOT A320–29A1112, Identifier 2005–NM–121–AD; Amendment Revision 01, dated April 8, 2004. 39–14159; AD 2005–13–22] airplanes. The AD requires repetitive inspections of the electrical connectors Replacement of AGCM and Reducer RIN 2120–AA64 of the electric fuel pumps to detect (h) Within 35 months after the effective discrepancies, application of anti- date of this AD, replace the AGCM with a Airworthiness Directives; Empresa corrosion spray, replacement of all fuel modified and reidentified AGCM; and Brasileira de Aeronautica S.A. pumps with improved fuel pumps, replace the reducer with a new reducer if (EMBRAER) Model EMB–135 repetitive inspections after all six fuel applicable; in accordance with the Airplanes, and Model EMB–145, pumps are replaced, and applicable Accomplishment Instructions of Airbus –145ER, –145MR, –145LR, –145XR, corrective actions. Service Bulletin A320–29–1111, dated June –145MP, and –145EP Airplanes 29, 2004. Replacing the AGCM, and the As published, the AD includes an incomplete applicability. Paragraph (c) reducer if applicable, ends the actions AGENCY: Federal Aviation of the AD omits Models EMB–145XR, required by paragraphs (f) and (g) of this AD. Administration (FAA), Department of –145MP, and –145EP airplanes, Note 1: Airbus Service Bulletin A320–29– Transportation (DOT). 1111 refers to Hamilton Sundstrand Service although those three models were ACTION: Final rule; correction. Bulletin ERPS13GCM–29–5, dated June 29, included in all other references to the 2004, as an additional source of service SUMMARY: The FAA is correcting a applicability throughout the preamble information for modifying and reidentifying typographical error in an existing and regulatory language of the AD. the AGCM. airworthiness directive (AD) that was No other part of the regulatory information has been changed; Alternative Methods of Compliance published in the Federal Register on (AMOCs) June 22, 2005 (70 FR 36011). The error therefore, the final rule is not republished in the Federal Register. (i) The Manager, International Branch, resulted in an incomplete listing of the affected airplanes. This AD applies to The effective date of this AD remains ANM–116, Transport Airplane Directorate, July 7, 2005. FAA, has the authority to approve AMOCs all EMBRAER Model EMB–135 for this AD, if requested in accordance with airplanes, and all Model EMB–145, PART 39—[AMENDED] the procedures found in 14 CFR 39.19. –145ER, –145MR, –145LR, –145XR, Related Information –145MP, and –145EP airplanes. This AD § 39.13 [Corrected] requires repetitive inspections of the I In the Federal Register of June 22, (j) French airworthiness directive F–2004– electrical connectors of the electric fuel 150, dated September 1, 2004, also addresses 2005, on page 36012, in the 3rd column, the subject of this AD. pumps to detect discrepancies, paragraph (c) of AD 2005–13–22 is application of anti-corrosion spray, corrected to read as follows: Material Incorporated by Reference replacement of all fuel pumps with * * * * * (k) You must use All Operators Telex improved fuel pumps, repetitive (Airbus) A320–29A1112, Revision 01, dated inspections after all six fuel pumps are (c) This AD applies to all EMBRAER April 8, 2004; and Airbus Service Bulletin replaced, and applicable corrective Model EMB–135BJ, –135ER, –135KE, A320–29–1111, dated June 29, 2004; as actions. –135KL, and –135LR airplanes; and applicable, to perform the actions that are Model EMB–145, –145ER, –145MR, required by this AD, unless the AD specifies DATES: Effective July 7, 2005. –145LR, –145XR, –145MP, and –145EP otherwise. The Director of the Federal ADDRESSES: The AD docket contains the airplanes. Register approves the incorporation by proposed AD, comments, and any final * * * * * reference of these documents in accordance disposition. You may examine the AD with 5 U.S.C. 552(a) and 1 CFR part 51. To Issued in Renton, Washington, on July 11, docket on the Internet at http:// 2005. get copies of the service information, contact dms.dot.gov, or in person at the Docket Ali Bahrami, Airbus, 1 Rond Point Maurice Bellonte, Management Facility office between 9 31707 Blagnac Cedex, France. To view the a.m. and 5 p.m., Monday through Manager, Transport Airplane Directorate, AD docket, go to the Docket Management Aircraft Certification Service. Friday, except Federal holidays. The Facility, U.S. Department of Transportation, [FR Doc. 05–14169 Filed 7–20–05; 8:45 am] 400 Seventh Street SW., room PL–401, Nassif Docket Management Facility office BILLING CODE 4910–13–P Building, Washington, DC. To review copies (telephone (800) 647–5227) is located on of the service information, go to the National the plaza level of the Nassif Building at Archives and Records Administration the U.S. Department of Transportation, DEPARTMENT OF TRANSPORTATION (NARA). For information on the availability 400 Seventh Street SW., Room PL–401, of this material at the NARA, call (202) 741– Washington, DC. This docket number is Federal Aviation Administration 6030, or go to http://www.archives.gov/ FAA–2005–21598; the directorate federal_register/code_of_federal_regulations/ _ identifier for this docket is 2005–NM– 14 CFR Part 71 ibr locations.html. 121–AD. Issued in Renton, Washington, on July 8, FOR FURTHER INFORMATION CONTACT: [Docket No. FAA–2005–21103; Airspace 2005. Todd Thompson, Aerospace Engineer, Docket No. 05–AEA–10] Ali Bahrami, International Branch, ANM–116, FAA, Amendment of Class E Airspace; Manager, Transport Airplane Directorate, Transport Airplane Directorate, 1601 Blairstown, NJ Aircraft Certification Service. Lind Avenue, SW., Renton, Washington [FR Doc. 05–14087 Filed 7–20–05; 8:45 am] 98055–4056; telephone (425) 227–1175; AGENCY: Federal Aviation BILLING CODE 4910–13–P fax (425) 227–1149. Administration (FAA) DOT.
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ACTION: Final rule. under Executive Order 12866; (2) is not DEPARTMENT OF TRANSPORTATION a ‘‘significant rule’’ under DOT SUMMARY: This action amends the Class Regulatory Policies and Procedures (44 Federal Aviation Administration E airspace at Blairstown, NJ. Controlled FR 11034; February 26, 1979); and (3) airspace extending upward from 700 14 CFR Part 71 feet Above Ground Level (AGL) is does not warrant preparation of a needed to contain aircraft operating into Regulatory Evaluation as the anticipated [Docket No. FAA–2005–21704; Airspace Blairstown Airport, Blairstown, NJ, impact is so minimal. Since this is a Docket No. 05–ACE–20] under Instrument Flight Rules (IFR). routine matter that will only affect air traffic procedures and air navigation, it Modification of Class E Airspace; EFFECTIVE DATE: 0901 UTC October 27, Newton City-County Airport, KS 2005. is certified that this rule will not have FOR FURTHER INFORMATION CONTACT: Mr. significant economic impact on a AGENCY: Federal Aviation Francis Jordan, Airspace Specialist, substantial number of small entities Administration (FAA), DOT. Airspace and Operations, ETSU–530, under the criteria of the Regulatory ACTION: Direct final rule; request for Eastern Terminal Service Unit, Federal Flexibility Act. comments. Aviation Administration, 1 Aviation List of Subjects in 14 CFR Part 71 Plaza, Jamaica, New York 11434–4809, SUMMARY: This action amends Title 14 telephone: (718) 553–4521. Airspace, Incorporation by reference, Code of Federal Regulations, part 71 (14 SUPPLEMENTARY INFORMATION: Navigation (air). CFR 71) by revising Class E airspace areas at Newton City-County Airport, History Adoption of Amendment KS. A modification of the Airport On May 25, 2005, a notice proposing Reference Point (AFP) necessitates the to amend Part 71 of the Federal Aviation I In consideration of the foregoing, the revision of the Class E airspace area Regulations (14 CFR part 71) by Federal Aviation Administration extending upward from 700 feet above modifying the Class E airspace area at amends 14 CFR part 71 as follows: ground level (AGL) at Newton, KS to Blairstown, NJ was published in the conform to the criteria in FAA Orders. Federal Register (70FR 30034–30035). PART 71—[AMENDED] DATES: This direct final rule is effective The proposed action would provide on 0901 UTC, October 27, 2005. I additional controlled airspace to 1. The authority citation for 14 CFR Comments for inclusion in the Rules accommodate Standard Instrument Part 71 continues to read as follows: Docket must be received on or before Approach Procedures (SIAP), based on Authority: 49 U.S.C. 106(g), 40103, 40113, August 12, 2005. area navigation (RNAV), to Blairstown 40120; EO 10854, 24 FR 9565, 3 CFR, 1959– ADDRESSES: Send comments on this Airport. Interested parties were invited 1963 Comp., p. 389. proposal to the Docket Management to participate in this rulemaking § 71.1 [Amended] System, U.S. Department of proceeding by submitting written Transportation, Room Plaza 401, 400 comments on the proposal to the FAA The incorporation by reference in 14 Seventh Street, SW., Washington, DC on or before June 24, 2005. No CFR 71.1 of Federal Aviation 20590–0001. You must identify the comments to the proposal were Administration Order 7400.9M, docket number FAA–2005–21704/ received. The rule is adopted as Airspace Designations and Reporting Airspace Docket No. 05–ACE–20, at the proposed. Points, dated August 30, 2004, and beginning of your comments. You may The coordinates for this airspace effective September 16, 2004, is also submit comments on the Internet at docket are based on North American amended as follows: http://dms.dot.gov. You may review the Datum 83. Class E airspace area public docket containing the proposal, designations for airspace extending Paragraph 6005 Class E Airspace Areas any comments received, and any final upward from the surface of the earth are extending upward from 700 feet or more disposition in person in the Dockets published in paragraph 6005 of FAA above the surface of the earth. Office between 9 a.m. and 5 p.m., Order 7400.9M, dated August 30, 2004, * * * * * Monday through Friday, except Federal and effective September 16, 2004, which holidays. The Docket Office (telephone is incorporated by reference in 14 CFR AEA NJ E5 Blairstown, NJ (Revised) 1–800–647–5527) is on the plaza level 71.1. The Class E airspace designation Blairstown Airport, NJ of the Department of Transportation listed in this document will be (Lat. 40°58′16″ N., long. 74°59′51″ W.) NASSIF Building at the above address. published in the Order. That airspace extending upward from 700 FOR FURTHER INFORMATION CONTACT: The Rule feet above the surface within a 10-mile radius Brenda Mumper, Air Traffic Division, This amendment to part 71 of the of Blairstown, Airport, excluding that Airspace Branch, ACE–520A, DOT Federal Aviation Regulations (14 CFR airspace that coincides with the New York, Regional Headquarters Building, Federal part 71) provides controlled Class E NY, and East Stroudsburg, PA, Class E Aviation Administration, 901 Locust, airspace extending upward from 700 airspace areas. Kansas City, MO 64106; telephone: feet above the surface for aircraft * * * * * (816) 329–2524. conducting IFR operations with a 10- Dated: July 12, 2005. SUPPLEMENTARY INFORMATION: This mile radius of Blairstown Airport, amendment to 14 CFR 71 modifies the John G. McCartney, Blairstown, NJ. Class E airspace area extending upward The FAA has determined that this Acting Area Director, Eastern Terminal from 700 feet AGL at Newton, KS. A regulation only involves an established Operations. modification of the Airport Reference body of technical regulations for which [FR Doc. 05–14335 Filed 7–20–05; 8:45 am] Point (ARO) necessitates the revision of frequent and routine amendments are BILLING CODE 4910–13–M the Class E airspace area extending necessary to keep them operationally upward from 700 feet above ground current. Therefore, this regulation: (1) Is level (AGL) at Newton, KS. The radius not a ‘‘significant regulatory action’’ of the Class E airspace area is expanded
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from within a 6.7-mile radius to within Commenters wishing the FAA to Authority: 49 U.S.C. 106(g), 40103, 40113, a 6.8-mile radius of the airport. The acknowledge receipt of their comments 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– extension of the Class E airspace area is on this notice must submit with those 1963 Comp., p. 389. changed from ‘‘the 6.7-mile radius to 7.4 comments a self-addressed, stamped § 71.1 [Amended] miles south of the airport’’ to ‘‘the 6.8- postcard on which the following I mile radius to 7.5 miles south of the statement is made: ‘‘Comments to 2. The incorporation by reference in 14 airport.’’ These modifications bring the Docket No. FAA–2005–21704/Airspace CFR 71.1 of Federal Aviation legal descriptions of the Newton, KS Docket No. 05+ACE–20.’’ The postcard Administration Order 7400.9M, dated Class E airspace areas into compliance will be date/time stamped and returned August 30, 2004, and effective with FAA Orders 7400.2E and to the commenter. September 16, 2004, is amended as 8260.19C. Class E airspace areas follows: extending upward form 700 feet or more Agency Findings above the surface of the earth are The regulations adopted herein will Paragraph 6005 Class E airspace areas extending upward from 700 feet or more published in Paragraph 6005 of FAA not have a substantial direct effect on above the surface of the earth. Order 7400.9M, Airspace Designations the States, on the relationship between and Reporting Points, dated August 30, the national Government and the States, * * * * * 2004, and effective September 16, 2004, or on the distribution of power and ACE KS E5 Newton, KS which is incorporated by reference in 14 responsibilities among the various Newton City-County Airport, KS CFR 71.1. The Class E airspace levels of government. Therefore, it is (Lat. 38°03′30″ N., long. 097°16′28″ W.) designations listed in this document determined that this final rule does not Newton NDB, KS would be published subsequently in the have federalism implications under (Lat. 38°03′51″ N., long. 097°16′24″ W.) Order. Executive Order 13132. That airspace extending upward from 700 feet above the surface within a 6.8-mile The Direct Final Rule Procedure The FAA has determined that this regulation is noncontroversial and radius of Newton City-County Airport and ° The FAA anticipates that this unlikely to result in adverse or negative within 2.6 miles each side of the 185 bearing regulation will not result in adverse or comments. For the reasons discussed in from the Newton NDB extending from the negative comment and, therefore, is 6.8-mile radius to 7.5 miles south of the the preamble, I certify that this airport. issuing it as a direct final rule. Previous regulation (1) is not a ‘‘significant actions of this nature have not been regulatory action’’ under Executive * * * * * controversial and have not resulted in Order 12866; (2) is not at ‘‘significant Issued in Kansas City, MO, on July 12, adverse comments or objections. Unless rule’’ under Department of 2005. a written adverse or negative comment Transportation (DOT) Regulatory Elizabeth S. Wallis, or a written notice of intent to submit Policies and Procedures (44 FR 11034, Acting Area Director, Western Flight Services an adverse or negative comment is February 26, 1979); and (3) if Operations. received within the comment period, promulgated, will not have a significant [FR Doc. 05–14337 Filed 7–20–05; 8:45 am] the regulation will become effective on economic impact, positive or negative, BILLING CODE 4910–13–M the date specified above. After the close on a substantial number of small entities of the comment period, the FAA will under the criteria of the Regulatory publish a document in the Federal Flexibility Act. DEPARTMENT OF TRANSPORTATION Register indicating that no adverse or This rulemaking is promulgated negative comments were received and under the authority described in subtitle Federal Aviation Administration confirming the date on which the final VII, part A, subpart I, section 40103. rule will become effective. If the FAA Under that section, the FAA is charged 14 CFR Part 71 does receive, within the comment with prescribing regulations to assign period, an adverse or negative comment, [Docket No. FAA–2005–21705; Airspace the use of the airspace necessary to Docket No. 05–ACE–21] or written notice of intent to submit ensure the safety of aircraft and the such a comment, a document efficient use of airspace. This regulation Modification of Legal Description of withdrawing the direct final rule will be is within the scope of that authority the Class E Airspace; Columbia published in the Federal Register, and since it contains aircraft executing Regional Airport, MO a notice of proposed rulemaking may be instrument approach procedures to AGENCY: Federal Aviation published with a new comment period. Newton City-County Airport, KS. Administration (FAA), DOT. Comments Invited List of Subjects in 14 CFR Part 71 ACTION: Direct final rule; request for Interested parties are invited to Airspace, Incorporation by reference, comments. participate in this rulemaking by Navigation (air). submitting such written data, views, or SUMMARY: An examination of controlled arguments, as they may desire. Adoption of the Amendment airspace for Columbia Regional Airport, Comments that provide the factual basis MO, has revealed a discrepancy in the I supporting the views and suggestions Accordingly, the Federal Aviation legal description of the Class E airspace presented are particularly helpful in Administration amends 14 CFR part 71 area beginning at 700 feet above the developing reasoned regulatory as follows: surface. This action corrects that decisions on the proposal. Comments PART 71—DESIGNATION OF CLASS A, discrepancy by incorporating the are specifically invited on the overall CLASS B, CLASS C, CLASS D, AND coordinates of the Columbia Regional regulatory, aeronautical, economic, CLASS E AIRSPACE AREAS; Airport ILS Localizer. Extensions to this environmental, and energy-related AIRWAYS; ROUTES; AND REPORTING Class E airspace area are described in aspects of the proposal. POINTS relation to the Columbia Regional Communications should identify both Airport ILS Localizer, therefore the docket numbers and be submitted in I 1. The authority citation for part 71 coordinates for this facility must be triplicate to the address listed above. continues to read as follows: included in the legal description to
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bring the airspace area into compliance of the comment period, the FAA will traffic procedures and air navigation, it with FAA directives. publish a document in the Federal is certified that this rule, when DATES: This direct final rule is effective Register indicating that no adverse or promulgated, will not have a significant on 0901 UTC, October 27, 2005. negative comments were received and economic impact on a substantial Comments for inclusion in the Rules confirming the date on which the final number of small entities under the Docket must be received on or before rule will become effective. If the FAA criteria of the Regulatory Flexibility Act. July 29, 2005. does receive, within the comment This rulemaking is promulgated ADDRESSES: Send comments on this period, an adverse or negative comment, under the authority described in subtitle proposal to the Docket Management or written notice of intent to submit a VII, part A, subpart I, section 40103. System, U.S. Department of comment, a document withdrawing the Under that section, the FAA is charged Transportation, Room Plaza 401, 400 direct final rule will be published in the with prescribing regulations to assign Seventh Street, SW., Washington, DC Federal Register, and a notice of the use of the airspace necessary to 20590–0001. You must identify the proposed rulemaking may be published ensure the safety of aircraft and the docket number FAA–2005–21705/ with a new comment period. efficient use of airspace. This regulaiton Airspace Docket No. 05–ACE–21, at the Comments Invited is within the scope of that authority beginning of your comments. You may Interested parties are invited to since it contains aircraft executing also submit comments on the Internet at participate in this rulemaking by instrument approach procedures to http://dms.dot.gov. You may review the submitting such written data, views, or Columbia Regional Airport. public docket containing the proposal, arguments, as they may desire. any comments received, and any final List of Subjects in 14 CFR Part 71 Comments that provide the factual basis disposition in person in the Dockets supporting the views and suggestions Airspace, Incorporation by reference, Office between 9 a.m. and 5 p.m., presented are particularly helpful in Navigation (air). Monday through Friday, except Federal developing reasoned regulatory Adoption of the Amendment holidays. The Docket Office (telephone decisions on the proposal. Comments 1–800–647–5527) is on the plaza level are specifically invited on the overall I Accordingly, the Federal Aviation of the Department of Transportation regulatory, aeronautical, economic, NASSIF Building at the above address. Administration amends 14 CFR part 71 environmental, and energy-related as follows: FOR FURTHER INFORMATION CONTACT: aspects of the proposal. Brenda Mumper, Air Traffic Division, Communications should identify both PART 71—DESIGNATION OF CLASS A, Airspace Branch, ACE–520A, DOT docket numbers and be submitted in CLASS B, CLASS C, CLASS D, AND Regional Headquarters Building, Federal triplicate to the address listed above. CLASS E AIRSPACE AREAS; Aviation Administration, 901 Locust, Commenters wishing the FAA to AIRWAYS; ROUTES; AND REPORTING Kansas City, MO 64106; telephone: acknowledge receipt of their comments POINTS (816) 329–2524. on this notice must submit with those SUPPLEMENTARY INFORMATION: This comments a self-addressed, stamped I 1. The authority citation for part 71 amendment to 14 CFR 71 modifies the postcard on which the following continues to read as follows: legal description of Class E airspace statement is made: ‘‘Comments to Authority: 49 U.S.C. 106(g), 40103, 40113, beginning at 700 feet above the surface Docket No. FAA–2005–21705/Airspace 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– at Columbia Regional Airport, MO, to Docket No. 05–ACE–21.’’ The postcard 1963 Comp., p. 389. contain Instrument Flight Rule (IFR) will be date/time stamped and returned operations in controlled airspace. The to the commenter. § 71.1 [Amended] area is depicted on appropriate Agency Findings I 2. The incorporation by reference in 14 aeronautical charts. Class E airspace CFR 71.1 of Federal Aviation areas extending upward from 700 feet or The regulations adopted herein will Administration Order 7400.9M, dated more above the surface of the earth are not have a substantial direct effect on August 30, 2004, and effective published in paragraph 6005 of FAA the States, on the relationship between September 16, 2004, is amended as Order 7400.9M, Airspace Designations the national Government and the States, follows: and Reporting Points, dated August 30, or on the distribution of power and 2004, and effective September 16, 2004, responsibilities among the various Paragraph 6005 Class E airspace areas which is incorporated by reference in 14 levels of government. Therefore, it is extending upward from 700 feet or more CFR 71.1. The Class E airspace determined that this final rule does not above the surface of the earth. designation listed in this document will have federalism implications under * * * * * be published subsequently in the Order. Executive Order 13132. The FAA has determined that this ACE MO E5 Columbia, MO The Direct Final Rule Procedure regulation only involves an established Columbia Regional Airport, MO The FAA anticipates that this body of technical regulations for which (Lat. 38°49′05″ N., long. 92°13′11″ W.) regulation will not result in adverse or frequent and routine amendments are Columbia Regional Airport ILS Localizer negative comment and, therefore, is necessary to keep them operationally (Lat. 38°49′24″ N., long 92°12′53″ W.) issuing it as a direct final rule. Previous current. Therefore, this regulation—(1) That airspace extending upward from 700 actions of this nature have not been Is not a ‘‘significant regulatory action’’ feet above the surface within a 6.8-mile radius of Columbia Regional Airport and controversial and have not resulted in under Executive Order 12866; (2) is not within 2.5 miles each side of the Columbia adverse comments or objections. Unless a ‘‘significant rule’’ under DOT Regional ILS localizer course extending from a written adverse or negative comment, Regulatory Policies and Procedures (44 the 6.8-mile radius to 7.4 miles north of the or a written notice of intent to submit FR 11034; February 26, 1979); and (3) airport and within 2.5 miles each side of the an adverse or negative comment is does not warrant preparation of a Columbia Regional ILS localizer course received within the comment period, Regulatory Evaluation as the anticipated extending from the 6.8-mile radius to 7.4 the regulation will become effective on impact is so minimal. Since this is a miles south of the airport. the date specified above. After the close routine matter that will only affect air * * * * *
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Issued in Kansas City, MO, on July 12, Background revises ECCN 0C005 to reflect the NRC 2005. To date, the Nuclear Regulatory scope of jurisdiction for graphite Elizabeth S. Wallis, Commission (NRC) has controlled all intended for use in a nuclear reactor. Acting Area Director, Western Flight Services exports of nuclear grade graphite under This final rule also adds a new ECCN Operations. 10 CFR part 110, pursuant to section 1C298 to control the export of nuclear grade graphite with a purity level of less [FR Doc. 05–14338 Filed 7–20–05; 8:45 am] 109b of the Atomic Energy Act, which than 5 parts per million ‘‘boron BILLING CODE 4910–13–M governs ‘‘items or substances’’ that are equivalent’’ and a density greater than ‘‘especially relevant from the standpoint 1.5 grams per cubic centimeter to of export control because of their countries indicated under NP column 2 significance for nuclear explosive DEPARTMENT OF COMMERCE on the Commerce Country Chart. purposes,’’ 42 U.S.C. 2139. Due to Finally, this final rule adds ‘‘related Bureau of Industry and Security improvements in technology, most U.S. controls’’ notes to ECCNs 0C005, 1C107 bulk, non-fabricated graphite is now and 1C298 to provide cross-references 15 CFR Part 774 nuclear grade—i.e., has a purity level of among all ECCNS that control any type less than 5 parts per million ‘‘boron of graphite. ECCN 1C107 controls [Docket No. 050707179–5179–01] equivalent’’ as measured according to graphite that meets certain density American Society for Testing and parameters for missile technology and Materials (ASTM) standard C–1233–98. RIN 0694–AD28 antiterrorism reasons. The NRC has determined that the In light of NRC’s discontinued Exports of Nuclear Grade Graphite: majority of nuclear grade graphite jurisdiction over graphite exports not Change in Licensing Jurisdiction. exports are intended for non-nuclear intended for nuclear end use, nuclear commercial end uses. grade graphite that is not described in AGENCY: Bureau of Industry and The widespread commercial uses of ECCNs 1C107 or 1C298 is classified as Security, Commerce. this graphite and the limited EAR99 when intended for a use other ACTION: Final rule. proliferation concerns except when it is than in a nuclear reactor. However, such destined for a nuclear reactor, led the graphite may require a license for SUMMARY: The Bureau of Industry and supplier nations to limit their export reasons specified elsewhere in the EAR, Security is publishing this final rule to controls on nuclear grade graphite only for example, the end-user/end-use make nuclear grade graphite intended when intended ‘‘for use in a nuclear restrictions described in Part 744 of the for non-nuclear end uses subject to the reactor.’’ This limitation appears in the EAR or the restrictions described in Part Export Administration Regulations’ definitions of controlled items used by 746 of the EAR. licensing jurisdiction, and imposes a the Nuclear Non-Proliferation Treaty Although the Export Administration license requirement for exports and (NPT) Exporters (Zangger) Committee Act expired on August 20, 2001, reexports to destinations of concern for and the Nuclear Suppliers Group (NSG) Executive Order 13222 (3 CFR 2001 nuclear proliferation reasons. The (International Atomic Energy Agency Comp., p. 783), as extended by Federal Nuclear Regulatory Commission (NRC) INFCIRC/209 and 254 respectively). The Register Notice of August 6, 2004 (69 FR is discontinuing such jurisdiction in a NRC has determined, in consultation 48763, August 10, 2004) continues the corresponding final rule published in with other agencies, that, consistent Regulations in effect under the this same issue of the Federal Register. with these multilateral definitions of International Emergency Economic This transfer of jurisdiction and the controlled items, exports of nuclear Powers Act. imposition of license requirements only grade graphite intended for uses other to destinations of concern for nuclear than in a nuclear reactor are not Rulemaking Requirements proliferation reasons are intended to significant from a nuclear proliferation 1. This final rule has been determined remove the licensing burden on perspective. This final rule is published to be not significant for purposes of E.O. exporters of nuclear grade graphite in conjunction with a corresponding 12866. intended for non-nuclear end uses to final rule published by NRC that revises 2. Notwithstanding any other most destinations. 10 CFR part 110 and discontinues provision of law, no person is required DATES: This rule is effective: July 21, NRClicensing jurisdiction of nuclear to respond to, nor shall any person be 2005. grade graphite intended for non-nuclear subject to a penalty for failure to comply uses. Although the NRC’s final rule with a collection of information, subject ADDRESSES: Although there is no formal removes the density parameter from its to the requirements of the Paperwork comment period, public comments on definition of nuclear grade graphite, this Reduction Act of 1995 (44 U.S.C. 3501 this regulation are welcome on a final rule retains the density parameter et seq.) (PRA), unless that collection of continuing basis. Comments should be for nuclear grade graphite for non- information displays a currently valid submitted to Jeff Lynch, Office of nuclear end use in conformance with Office of Management and Budget Exporter Services, Bureau of Export the NSG’s definition of ‘‘nuclear grade (OMB) Control Number. This rule Administration, Department of graphite’’ set forth in INFCIRC/254/Rev. involves collections of information Commerce, P.O. Box 273, Washington, 6/Part 1 of May 2003. subject to the PRA. These collections D.C. 20044. Specifically, this final rule revises have been approved by the Office of FOR FURTHER INFORMATION CONTACT: Export Control Classification Number Management and Budget (OMB) under Jeffery Lynch in the Regulatory Policy (ECCN) 0C005 on the Commerce Control control number 0694–0088, ‘‘Multi- Division at (202) 482–2440 regarding List, which describes graphite that is Purpose Application,’’ which carries a questions of a general nature; or Steven subject to NRC jurisdiction, by removing burden hour estimate of 58 minutes to Clagett in the Nuclear and Missile the density parameter for nuclear grade prepare and submit. This rule is Technology Controls Division at (202) graphite, so that nuclear grade graphite anticipated to increase the number of 482–1641 regarding questions of a is defined only on the basis of its purity, licenses required but not to increase the technical nature. consistent with the NRC definition in its range of total burden hours associated SUPPLEMENTARY INFORMATION: corresponding rule. This final rule also with this control number. Send
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comments regarding these burden License Requirements c. Ceramic composite materials (dielectric estimates or any other aspect of these Reason for Control: constant is less than 6 at any frequency from collections of information, including Control(s): Items described in 0C005 are 100 MHz to 100 GHz), for use in ‘‘missile’’ suggestions for reducing the burden, to subject to the export licensing authority of radomes; and David Rostker, OMB Desk Officer, by e- the Nuclear Regulatory Commission (see 10 d. Bulk machinable silicon-carbide mail at [email protected] or CFR part 110). reinforced unfired ceramic, usable for nose by fax to (202) 395–7285; and to the License Exceptions tips. Regulatory Policy Division, Bureau of LVS: N/A I Industry and Security, Department of GBS: N/A 4. In Supplement No. 1 to part 774, Commerce, P.O. Box 273, Washington, CIV: N/A Category 1, Materials, Chemicals, ‘‘Microorganisms,’’ and Toxins, is DC 20044. List of Items Controlled 3. This rule does not contain policies amended by adding ECCN 1C298 Unit: N/A. immediately following ECCN 1C240. with Federalism implications as that Related Controls: Graphite intended for a use term is defined under E.O. 13132. other than in a nuclear reactor, and that 1C298 Graphite with a boron content of 4. The provisions of the meets certain density parameters, is less than 5 parts per million and a Administrative Procedure Act (5 U.S.C. classified under ECCN 1C107.High-purity density greater than 1.5 grams per cubic 553) requiring notice of proposed graphite with a boron content of less than centimeter that is intended for use other 5 parts per million and a density greater rulemaking, the opportunity for public than in a nuclear reactor. participation, and a delay in effective than 1.5 grams per cubic centimeter, is date, are inapplicable because this classified under ECCN 1C298. License Requirements Related Definitions: N/A regulation involves a military and Items: The list of items controlled is Reason for Control: NP. foreign affairs function of the United contained in the ECCN heading. States (5 U.S.C. 553(a)(1)). Further, no I 3. In Supplement No. 1 to part 774, Control(s) Country chart other law requires that a notice of Category 1, Materials, Chemicals, proposed rulemaking and an NP applies to entire NP Column 2 ‘‘Microorganisms,’’ and Toxins, ECCN entry. opportunity for public comment be 1C107 is revised to read as follows: given for this final rule. Because a License Requirement Note: This entry does notice of proposed rulemaking and an IC107 Graphite and ceramic materials, not control graphite intended for use in a other than those controlled by 1C007, as nuclear reactor. Such graphite is subject to opportunity for public comment are not follows (see List of Items Controlled). required to be given for this rule under the export licensing authority of the the Administrative Procedure Act or by License Requirements Nuclear Regulatory Commission (see ECCN any other law, the analytical Reason for Control: MT, AT 0C005 and 10 CFR part 110). requirements of the Regulatory License Exceptions Flexibility Act (5 U.S.C. 601 et seq.) are Control(s) Country chart not applicable. Therefore, this LVS: N/A MT applies to entire MT Column 1 regulation is issued in final form. GBS: N/A entry. CIV: N/A List of Subjects in 15 CFR Part 774 AT applies to entire AT Column 1 entry. List of Items Controlled Exports, Reporting and recordkeeping Unit: N/A. requirements. License Exceptions Related Controls: See also 1C107 and I Accordingly, part 774 of the Export LVS: N/A GBS: N/A 0C005. Administration Regulations (15 CFR CIV: N/A Related Definitions: For the purpose of this parts 730–799) are amended as follows: entry, graphite with a purity level better than List of Items Controlled 5 parts per million boron equivalent is PART 774—[AMENDED] Unit: Kilograms. determined according to ASTM standard Related Controls: (1) See also 0C005, 1C004, I C1233–98. In applying ASTM standard 1. The authority citation for 15 CFR and 1C298. (2) For commodities that meet part 774 continues to read as follows: C1233–98, the boron equivalence of the the definition of defense articles under 22 element carbon is not included in the boron CFR 120.3 of the ITAR, see 22 CFR 121.16, Authority: 50 U.S.C. app. 2401 et seq.; 50 equivalence calculation, since carbon is not Item 8-Category II of the International U.S.C. 1701 et seq.; 10 U.S.C. 7420; 10 U.S.C. considered an impurity. 7430(e); 18 U.S.C. 2510 et seq.; 22 U.S.C. Traffic in Arms Regulations (ITAR), which Items: The list of items controlled is 287c, 22 U.S.C. 3201 et seq., 22 U.S.C. 6004; describes similar commodities under the contained in the ECCN heading. 30 U.S.C. 185(s), 185(u); 42 U.S.C. 2139a; 42 jurisdiction of the Department of State, U.S.C. 6212; 43 U.S.C. 1354; 46 U.S.C. app. Directorate of Defense Trade Controls. Dated: July 14, 2005. Related Definitions: N/A. 466c; 50 U.S.C. app. 5; Sec. 901–911, Pub. L. Matthew S. Borman, 106–387; Sec. 221, Pub. L. 107–56; E.O. Items: a. Fine grain recrystallized bulk graphites with a bulk density of 1.72 g/cm3 Deputy Assistant Secretary for Export 13026, 61 FR 58767, 3 CFR, 1996 Comp., p. ° 228; E.O. 13222, 66 FR 44025, 3 CFR, 2001 or greater, measured at 288 K (15 C), and Administration. Comp., p. 783; Notice of August 6, 2004, 69 having a particle size of 100 micrometers [FR Doc. 05–14412 Filed 7–20–05; 8:45 am] FR 48763, August 10, 2004. or less, usable for rocket nozzles and reentry vehicle nose tips as follows: BILLING CODE 3510–33–P I 2. In Supplement No. 1 to part 774, a.1. Cylinders having a diameter of 120 mm Category 0, Nuclear Materials, Facilities or greater and a length of 50 mm orgreater; and Equipment (And Misc. Items), ECCN a.2. Tubes having an inner diameter of 65 0C005 is revised to read as follows: mm or greater and a wall thickness of 25 mm or greater and a length of 50 mm or greater; 0C005 Graphite, having a purity level of a.3. Blocks having a size of 120 mm × 120 less than 5 parts per million ‘‘boron mm × 50 mm or greater. equivalent’’ as measured according to b. Pyrolytic or fibrous reinforced graphites, ASTM standard C–1233–98 and usable for rocket nozzles and reentry vehicle intended for use in a nuclear reactor. nose tips;
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SOCIAL SECURITY ADMINISTRATION of these agreements may extend profit is not included within the coverage, on the basis of referendums definition of agricultural labor under 20 CFR Part 404 provided for in that section, to services those statutory sections. [Regulations No. 4] by employees participating in Section 425 of the SSPA, also retirement systems (i.e., State or local effective upon enactment, clarifies that, RIN 0960–AG18 pension, annuity, retirement, and for purposes of the definitions of net similar funds or systems), or to services earnings from self-employment under Update to Divided State Retirement by a subgroup of employees in such a section 211(a)(5)(A) of the Act and Systems Coverage Group List and system. See also 42 U.S.C. 418(a), (b)(4) section 1402(a)(5)(A) of the IRC, non- Technical Coverage Corrections and (b)(5); 20 CFR 404.1202, 404.1206 partnership income from a trade or Required by the Social Security and 404.1214. business which is community income Protection Act of 2004 The SSPA, Public Law 108–203, was under the laws of a community property AGENCY: Social Security Administration enacted on March 2, 2004. Section 416 State is treated as the gross income and (SSA). of the law, effective January 1, 2003, deductions of the spouse carrying on the amends section 218(d)(6)(C) of the Act ACTION: Final rules. relevant trade or business. If the spouses by adding Louisiana and Kentucky to a operate the trade or business jointly, SUMMARY: We are issuing these final list of States that are permitted to divide such self-employment income is treated rules to reflect in our regulations four their public employee retirement as the gross income and deductions of self-implementing provisions in the systems based on the employees’ desire each spouse on the basis of his or her Social Security Protection Act of 2004 for coverage. In the 23 ‘‘divided respective share of the gross income and (SSPA). One provision adds two States retirement system’’ States, the State has deductions. We are revising our (Kentucky and Louisiana) to a list of the option to extend Social Security regulations as explained below to States that are permitted to divide and/or Medicare coverage by conform to the statutory changes. public employee retirement systems referendum to the affected services of Explanation of Changes based on whether the State and/or local only those employees, in a particular employees in positions under the voting group of employees, who vote to §§ 404.1055 and 404.1056 systems want Social Security and/or be covered, with services of all future employees who join the group being We are revising § 404.1055, per SSPA Medicare coverage or not. The other section 423, by deleting the last three provisions make technical covered automatically. Employees under a retirement system who sentence of paragraph (a) which refers to corrections to the Social Security Act domestic services performed on a farm. (the Act) and the Internal Revenue Code participate in such a group referendum and do not wish their services to be We are revising § 404.1056 by deleting (IRC) regarding various Social Security all references to domestic employment coverage issues. covered under Social Security could vote to be (and are) excluded. (In other in paragraph (a)(6). We are also fixing a DATES: These regulations are effective States, a majority vote in favor of Social typographical error in paragraph (a)(11) July 21, 2005. Security coverage by a group of by correcting the spelling of FOR FURTHER INFORMATION CONTACT: employees in a retirement system ‘‘commercial’’. Cynthia Johnson, Social Insurance results in coverage of the affected § 404.1086 Specialist, Office of Income Security services of all employees in the voting Programs, Social Security group.) We are revising § 404.1086, per SSPA Administration, 6401 Security Section 422 of the SSPA, applicable to section 425, by revising existing Boulevard, Baltimore, MD 21235–6401, years beginning before, on or after paragraph (a)(1) and removing (410) 965–7959 or TTY (410) 966–5609. December 31, 1994, conforms section paragraphs (a)(2) and (b). The For information on eligibility, claiming 211(a)(7) of the Act, 42 U.S.C. 411(a)(7), paragraphs being removed discuss the benefits, or coverage of earnings, call to a corresponding provision of IRC, 26 meaning of ‘‘management and control’’ our national toll-free number, 1–800– U.S.C. 1402(a)(8), by excluding certain for a business (other than a partnership) 772–1213 or TTY 1–800–325–0778. retirement income and benefits, operated by a husband and wife in a SUPPLEMENTARY INFORMATION: received after retirement by duly community property State and the ordained, commissioned, or licensed treatment of partnership income derived Electronic Version ministers or members of religious in a community property State by a The electronic file of this document is orders, from the definition of net husband or wife who is a partner in a available on the date of publication in earnings from self-employment. partnership or a husband and wife who the Federal Register on the Internet site Section 423 of the SSPA is effective are both partners in the same for the Government Printing Office, upon enactment and clarifies that, for partnership, which are no longer http://www.gpoaccess.gov/fr/ purposes of the definitions of wages in applicable policies. The new language index.html. It is also available on the sections 209(a) of the Act and 3121(a) of provides that the gross income and Internet site for SSA (i.e., Social the IRC, cash remuneration for domestic deductions derived from a trade or Security Online) at http:// employment performed in a private business in a community property State policy.ssa.gov/pnpublic.nsf/LawsRegs. home of the employer on a farm will be taxed and credited to the spouse operated for profit is considered wages who is carrying on the trade or business Background when it exceeds an applicable dollar or to each spouse based on his or her Under section 218 of the Act, 42 threshold in section 3121(x) of the IRC, distributive share of the gross income U.S.C. 418, the Commissioner of Social 26 U.S.C. 3121(x). See 42 U.S.C. and deductions if the trade or business Security has an agreement with each 409(a)(6)(B); 42 U.S.C. 3121(a)(7)(B). is jointly operated. State allowing for the extension of Section 423 also amends section Social Security coverage to services 210(f)(5) of the Act and section § 404.1091 performed by individuals as State and 3121(g)(5) of the IRC to clarify that We are revising § 404.1091, per SSPA local employees. Under section 218(d) domestic service in the private home of section 422, to provide that ministers of the Act, 42 U.S.C. 418(d), provisions an employer on a farm operated for and members of religious orders should
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exclude any parsonage or housing public interest to make these rules § 404.1056 Explanation of agricultural allowances included in retirement pay effective upon publication. labor. after the minister retires or any other Executive Order 12866 (a) * * * retirement benefit received after retirement pursuant to a church plan as We have consulted with the Office of (6) If you do nonbusiness work, it is defined in section 414(e) of the IRC, Management and Budget (OMB) and agricultural labor if you do the work on when computing net earnings from self- determined that these final rules meet a farm operated for a profit. A farm is employment. This provision is effective the criteria for a significant regulatory not operated for profit if the employer for years beginning before, on or after action under Executive Order 12866, as primarily uses it as a residence or for December 31, 1994. This technical amended by Executive Order 13258. personal or family recreation or correction in the SSPA conforms Thus, they were subject to OMB review. pleasure. (See § 404.1058(a) for an provisions in the Act to an IRC change We have also determined that these explanation of nonbusiness work.) made via section 1456(a) of Public Law rules meet the plain language * * * * * 104–188. We are also fixing a requirement of Executive Order 12866, (11) Work connected with the typographical error in existing as amended by Executive Order 13258. commercial canning or freezing of a paragraph (c), which is being Regulatory Flexibility Act commodity is not agricultural labor nor redesignated as paragraph (d), by is work done after the delivery of the removing the word ‘‘one’’ from the first We certify that these final regulations commodity to a terminal market for sentence. will not have a significant economic distribution for consumption. impact on a substantial number of small § 404.1207 entities. Therefore, a regulatory * * * * * We are revising § 404.1207(a), per flexibility analysis as provided in the I 4. Section 404.1086 is revised to read SSPA section 416, to include the States Regulatory Flexibility Act, as amended, as follows: of Kentucky and Louisiana in the list of is not required. States that are permitted to divide § 404.1086 Community income. Paperwork Reduction Act public employee retirement systems If community property laws apply to based on whether the employees in These final rules impose no income that an individual derives from positions under the systems want Social additional reporting or recordkeeping a trade or business (other than a trade Security and/or Medicare coverage or requirements subject to OMB clearance. or business carried on by a partnership), not. (Catalog of Federal Domestic Assistance the gross income and deductions Program Nos. 96.001, Social Security- Regulatory Procedures attributable to such trade or business Disability Insurance; 96.002, Social Security- shall be treated as the gross income and Pursuant to section 702(a)(5) of the Retirement Insurance; 96.004, Social deductions of the spouse carrying on Security-Survivors Insurance) Social Security Act, 42 U.S.C. 902(a)(5), such trade or business or, if such trade SSA follows the Administrative List of Subjects in 20 CFR Part 404 or business is jointly operated, treated Procedure Act (APA) rulemaking Administrative practice and as the gross income and deductions of procedures specified in 5 U.S.C. 553 in each spouse on the basis of his or her the development of its regulations. The procedure, Blind, Disability benefits, Old-age, survivors and disability respective distributive share of the gross APA provides exceptions to its prior income and deductions. notice and public comment procedures insurance, Reporting and recordkeeping when an agency finds there is good requirements, Social Security. I 5. Section 404.1091 is amended by cause for dispensing with such Dated: April 15, 2005. redesignating existing paragraph (c) as procedures on the basis that they are Jo Anne B. Barnhart, paragraph (d), adding a new paragraph impracticable, unnecessary, or contrary Commissioner of Social Security. (c) and removing the word ‘‘one’’ from to the public interest. I For the reasons set out in the preamble, the first sentence of the redesignated In the case of these final rules, we we are amending subparts K and M of paragraph (d) to read as follows: have determined that, under 5 U.S.C. part 404 of chapter III of title 20 of the § 404.1091 Figuring net earnings for 553(b)(B), good cause exists for Code of Federal Regulations as set forth ministers and members of religious orders. dispensing with the notice and public below: comment procedures on these rules * * * * * because such procedures are PART 404—FEDERAL OLD-AGE, (c) Housing allowance when included unnecessary. Good cause exists because SURVIVORS AND DISABILITY in retirement pay. You must exclude these regulations merely reflect the self- INSURANCE (1950—) any parsonage or housing allowance implementing provisions in sections included in your retirement pay or any 416, 422, 423 and 425 of Public Law Subpart K—[Amended] other retirement benefit received after 108–203 that we have been following retirement pursuant to a church plan as I 1. The authority citation for subpart K operationally since enactment. defined in section 414(e) of the Internal of part 404 is revised to read as follows: Therefore, opportunity for prior Revenue Code when computing your comment is unnecessary, and we are Authority: Secs. 202(v), 205(a), 209, 210, net earnings from self-employment. For issuing these regulations as final rules. 211, 229(a), 230, 231, and 702(a)(5) of the example, if a minister retires from In addition, we find good cause for Social Security Act (42 U.S.C. 402(v), 405(a), Church A and the rental value of a 409, 410, 411, 429(a), 430, 431, and 902(a)(5)) dispensing with the 30-day delay in the and 48 U.S.C.1801. parsonage or any other allowance is effective date of a substantive rule, included in his/her retirement pay, the provided for by 5 U.S.C. 553(d). These I 2. Section 404.1055 is amended by parsonage allowance must be excluded revisions reflect the provisions enacted removing the last sentence of paragraph when determining net earnings from in the SSPA. However, without these (a). self-employment. However, if this same changes, our rules will conflict with I 3. Section 404.1056 is amended by retired minister goes to work for Church current law and may mislead the public. revising paragraphs (a)(6) and (a)(11) to B and is paid a parsonage allowance by Therefore, we find that it is in the read as follows: Church B, this new income must be
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included when computing net earnings Information (HFI–35), Food and Drug direct final rule. We applied the from self-employment. Administration, 5600 Fishers Lane, comments regarding the withdrawn * * * * * Rockville, MD 20857, 301–827–6567. direct final rule to the companion SUPPLEMENTARY INFORMATION: proposed rule and considered them in Subpart M—[Amended] developing this final rule. I. Background In addition to the changes in the I 6. The authority citation for subpart M FDA is amending its public proposed rule, this document also of part 404 continues to read as follows: information regulations to incorporate clarifies and updates § 20.82(b)(3). Authority: Secs. 205, 210, 218, and exemptions one, two, and three of the While this regulation had previously 702(a)(5) of the Social Security Act (42 U.S.C. FOIA (5 U.S.C. 552). The FOIA provides listed specific statutory provisions that 405, 410, 418, and 902(a)(5)); sec. 12110, Pub. that all Federal agency records shall be prohibit public disclosure, this list was L. 99–272, 100 Stat. 287 (42 U.S.C. 418 note); incomplete (e.g., it did not reference the sec. 9002, Pub. L. 99–509, 100 Stat. 1970. made available to the public upon request, except to the extent those Ethics in Government Act (5 U.S.C. app. I 7. Section 404.1207 is amended by records are protected from public 107(a)(2))) and was out-of-date (e.g, it revising the second sentence of disclosure by one of nine exemptions (5 listed 42 U.S.C. 263i, which is now paragraph (a) to read as follows: U.S.C. 552(b)) or one of three special codified at 21 U.S.C. 360nn). The law enforcement record exclusions (5 amendment replaces this list of § 404.1207 Divided retirement system statutory provisions with a statement coverage groups. U.S.C. 552(c)). FDA originally issued its public information regulations that FDA will not make available for (a) General. * * * The States having implementing the FOIA in 1974 (39 FR public disclosure information that is this authority are Alaska, California, 44602, December 24, 1974). As noted at prohibited from public disclosure under Connecticut, Florida, Georgia, Hawaii, the time, FDA’s 1974 regulations statute. Illinois, Kentucky, Louisiana, explicitly addressed four of the nine II. Comments on the Proposed Rule Massachusetts, Minnesota, Nevada, New FOIA exemptions— those that were Jersey, New Mexico, New York, North then perceived to be of particular This section discusses the two Dakota, Pennsylvania, Rhode Island, importance to the agency and those comments we received. Tennessee, Texas, Vermont, relating to trade secrets, internal Issue 1: One comment suggested Washington, and Wisconsin. memoranda, personal privacy, and adding a statement that a request for * * * * * investigatory files (39 FR 44602). FDA records should not be denied without [FR Doc. 05–14385 Filed 7–20–05; 8:45 am] now finds it necessary to address good cause. BILLING CODE 4191–02–P exemption one (5 U.S.C. 552(b)(1)), Our Response: FDA is not adopting given the President’s designation of the this comment because it is not Secretary of Health and Human Services necessary. Under the FOIA, an agency DEPARTMENT OF HEALTH AND to classify information under Executive may not withhold a record or a portion HUMAN SERVICES Order 12958 (66 FR 64347, December of a record unless it falls within an 12, 2001). Because exemption two (5 FOIA exemption or exclusion. These Food and Drug Administration U.S.C. 552(b)(2)) applies to, among other exemptions and exclusions, including types of records, internal matters whose the three exemptions in the proposed 21 CFR Part 20 disclosure would risk circumvention of rule, reflect the balance under the FOIA between providing the public with [Docket No. 2004N–0214] a legal requirement, this exemption is of fundamental importance to homeland access to Government documents and Public Information Regulations security in light of recent terrorism the need of the Government to keep events and heightened security information in confidence. See, for AGENCY: Food and Drug Administration, awareness. In addition, FDA now finds example, John Doe Agency v. John Doe HHS. that exemption three (5 U.S.C. Corp., 493 U.S. 146, 152–53 (1989)). ACTION: Final rule. 552(b)(3)), which incorporates the Thus, if a record or portion of a record various nondisclosure provisions that falls within an FOIA exemption, this in SUMMARY: The Food and Drug and of itself indicates that the Administration (FDA) is amending its are contained in other Federal statutes, is becoming increasingly relevant to the Government has good cause for public information regulations to withholding it. Even when an implement more comprehensively the agency. In the Federal Register of September exemption applies, however, FDA’s exemptions contained in the Freedom of 2, 2004, we published a direct final rule regulations state that the agency will Information Act (FOIA). This action (69 FR 53615) to revise subpart D of nonetheless make the fullest possible incorporates exemptions one, two, and FDA’s public information regulations in disclosure of records to the public, three of the FOIA into FDA’s public part 20 (21 CFR part 20) to incorporate consistent with the rights of individuals information regulations. Exemption one these three exemptions. In the same to privacy, the interests of persons in applies to information that is classified issue of the Federal Register, we trade secrets and confidential in the interest of national defense or published a companion proposed rule commercial or financial information, foreign policy. Exemption two applies (69 FR 53662) to provide a procedural and the need for the agency to promote to records that are related solely to an framework in which the rule could be frank internal policy deliberations and agency’s internal personnel rules and finalized in the event we received any to pursue its regulatory activities practices. Exemption three incorporates significant adverse comments regarding without disruption (§§ 20.20(a) and the various nondisclosure provisions the direct final rule. We withdrew the 20.82(a)). that are contained in other Federal direct final rule. Issue 2: The second comment stated statutes. We received significant adverse that the proposed amendments to FDA’s DATES: The rule is effective August 22, comment on the direct final rule. public information regulations were 2005. Accordingly, we published a document unnecessarily restrictive. It went on to FOR FURTHER INFORMATION CONTACT: in the Federal Register of January 18, suggest several changes to them. Betty B. Dorsey, Division of Freedom of 2005 (70 FR 2799), withdrawing the Regarding proposed § 20.65 (the
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exemption relating to national defense person requesting the record or the nor an environmental impact statement and foreign policy materials), the nature of the person’s interest in the is required. comment suggested that the scope of record. See, for example, United States IV. Federalism FDA’s implementing regulation not Dep’t of Justice v. Reporters Comm. for include material relating to foreign Freedom of the Press, 489 U.S. 749, 771 FDA has analyzed this final rule in policy, on the basis that public health (1989). Former employees, therefore, accordance with the principles set forth issues should trump any foreign policy have the same access to information in Executive Order 13132. FDA has concerns. It also recommended adding under the FOIA as any other member of determined that the rule does not the following several qualifications to the public. contain policies that have substantial the proposed regulation: (1) Any FDA does not agree that it should direct effects on the States, on the withholding must not directly conflict delete the statement about withholding relationship between the National with any statute or judicial mandate, (2) material that would help some persons Government and the States, or on the the Executive order under which the circumvent the law. This statement is distribution of power and records are classified must be consistent with exemption two of the responsibilities among the various constitutionally valid, and (3) the FOIA. For example, in describing this levels of government. Accordingly, the Executive order must specifically exemption, the D.C. Court of Appeals agency has concluded that the rule does address activities of the Department of stated that ‘‘predominantly internal not contain policies that have Health and Human Services (HHS). documents the disclosure of which federalism implications as defined in Our Response: FDA is not adopting would risk circumvention of agency the Executive order and, consequently, these comments. FDA’s implementation statutes and regulations are protected by a federalism summary impact statement of this exemption is consistent with the so-called ‘high 2’ exemption.’’ is not required. exemption one of the FOIA, essentially (Schiller v. NLRB, 964 F.2d 1205, 1207 V. Analysis of Impacts tracking that language verbatim. It is (D.C. Cir. 1992)). The statement is also FDA has examined the impacts of the likewise consistent with HHS’ consistent with the HHS’ exemption two exemption one regulation (45 CFR 5.62) final rule under Executive Order 12866 regulation (45 CFR 5.63). For these and the Regulatory Flexibility Act (5 and the exemption one regulations reasons, FDA is not adopting these issued by other agencies. FDA does not U.S.C. 601–612), and the Unfunded comments. Mandates Reform Act of 1995 (Public believe there is a valid need for its Issue 4: Proposed § 20.67 stated that: implementation of exemption one of the Law 104–4). Executive Order 12866 Records or information may be FOIA to be substantially different from directs agencies to assess all costs and withheld from public disclosure if a exemption one of the FOIA or for its benefits of available regulatory statute specifically allows the Food and implementation to be substantially alternatives and, when regulation is Drug Administration (FDA) to withhold different from other agencies’ necessary, to select regulatory them. FDA may use another statute to implementation of the exemption. approaches that maximize net benefits Therefore, FDA does not agree that the justify withholding records and (including potential economic, suggested changes are warranted. information only if it absolutely environmental, public health and safety, Issue 3: Regarding proposed § 20.66 prohibits disclosure, sets forth criteria to and other advantages; distributive (the exemption for internal personnel guide our decision on releasing impacts; and equity). The agency rules and practices), the second material, or identifies particular types of believes that this final rule is consistent comment suggested not withholding matters to be withheld. with the regulatory philosophy and such materials from a person who is or The second comment suggested principles identified in the Executive was subject to such personnel rules and having this exemption apply only if the order. In addition, the final rule is not practices. The comment also suggested statute specifically requires FDA to a significant regulatory action as defined deleting the statement in the proposed withhold the records and only if the by the Executive order and so is not regulation that the agency may withhold statute absolutely prohibits disclosure. subject to review under the Executive internal records whose release would Our Response: FDA is not adopting order. help some persons circumvent the law, this comment. FDA believes it is The Regulatory Flexibility Act asserting that this language is so vague appropriate to consider withholding requires agencies to analyze regulatory it would apply to all FDA information. material from public release when a options that would minimize any Our Response: As with all of the statute identifies particular types of significant impact of a rule on small exemptions in FDA’s public information information to be withheld and when a entities. Because this final rule simply regulations, this exemption would not statute sets forth criteria to guide FDA’s incorporates three existing FOIA apply to sharing information with decision on releasing and withholding exemptions, the agency certifies that the current FDA employees. Therefore, a material, regardless of whether the final rule will not have a significant statement about employee access to statute specifically requires FDA to economic impact on a substantial FDA’s internal personnel rules and withhold the material. FDA’s number of small entities. Therefore, practices would be unnecessary. FDA implementation of this exemption is under the Regulatory Flexibility Act, no has routinely distributed this type of consistent with FOIA exemption three, further analysis is required. information to its employees through a HHS’ exemption three regulation (45 Section 202(a) of the Unfunded variety of mechanisms and will CFR 5.64), and other agencies’ Mandates Reform Act of 1995 requires continue to do so. Likewise, adding exemption three regulations. that agencies prepare a written such a statement to the exemption might statement, which includes an III. Environmental Impact be confusing because it could imply that assessment of anticipated costs and the exemptions listed in part 20 apply The agency has determined under 21 benefits, before proposing ‘‘any rule that to sharing information with FDA CFR 25.30(h) and (i) that this action is includes any Federal mandate that may employees. Regarding former of a type that does not individually or result in the expenditure by State, local, employees, whether or not a particular cumulatively have a significant effect on and tribal governments, in the aggregate, FOIA exemption applies to a record the human environment. Therefore, or by the private sector, of $100,000,000 does not depend on the identity of the neither an environmental assessment or more (adjusted annually for inflation)
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in any one year.’’ The current threshold § 20.67 Records exempted by other (5 U.S.C. 553). Notice and public after adjustment for inflation is $115 statutes. procedure are unnecessary because FDA million, using the most current (2003) Records or information may be is merely correcting nonsubstantive Implicit Price Deflator for the Gross withheld from public disclosure if a errors. Domestic Product. FDA does not expect statute specifically allows the Food and List of Subjects in 21 CFR Part 101 this final rule to result in any 1-year Drug Administration (FDA) to withhold expenditure that would meet or exceed them. FDA may use another statute to Food labeling, Nutrition, Reporting this amount. justify withholding records and and recordkeeping requirements. information only if it absolutely I Therefore, under the Federal Food, VI. Paperwork Reduction Act of 1995 prohibits disclosure, sets forth criteria to Drug, and Cosmetic Act and under The final rule contains no collections guide our decision on releasing authority delegated to the Commissioner of information. Therefore, clearance by material, or identifies particular types of of Food and Drugs, 21 CFR part 101 is the Office of Management and Budget matters to be withheld. amended as follows: under the Paperwork Reduction Act of I 5. Section 20.82 is amended by 1995 is not required. revising paragraph (b)(3) to read as PART 101—FOOD LABELING follows: List of Subjects in 21 CFR Part 20 I 1. The authority citation for 21 CFR Confidential business information, § 20.82 Discretionary disclosure by the part 101 continues to read as follows: Courts, Freedom of information, Commissioner. Authority: 15 U.S.C. 1453, 1454, 1455; 21 Government employees. * * * * * U.S.C. 321, 331, 342, 343, 348, 371; 42 U.S.C. I Therefore, under the Federal Food, (b) * * * 243, 264, 271. (3) Prohibited from public disclosure Drug, and Cosmetic Act and under § 101.83 [Amended] authority delegated to the Commissioner under statute. of Food and Drugs, 21 CFR part 20 is * * * * * I 2. Section 101.83 is amended in amended as follows: paragraph (c)(2)(ii)(A)(2) by removing Dated: July 13, 2005. ‘‘200 C St. SW., rm. 2831, Washington, PART 20—PUBLIC INFORMATION Jeffrey Shuren, DC 20204’’ and by adding in its place Assistant Commissioner for Policy. ‘‘5100 Paint Branch Pkwy., College Park, I 1. The authority citation for part 20 [FR Doc. 05–14320 Filed 7–20–05; 8:45 am] MD 20740’’ and in paragraph continues to read as follows: BILLING CODE 4160–01–S (c)(2)(ii)(B)(2)by removing ‘‘200 C St., Authority: 5 U.S.C. 552; 18 U.S.C. 1905; 19 SW., rm. 2831, Washington, DC 20204’’ U.S.C. 2531–2582; 21 U.S.C. 321–393, 1401– and ‘‘200 C St., SW., Washington DC’’ 1403; 42 U.S.C. 241, 242, 242a, 242l, 242n, DEPARTMENT OF HEALTH AND and by adding in their place ‘‘5100 Paint 243, 262, 263, 263b–263n, 264, 265, 300u– HUMAN SERVICES Branch Pkwy., College Park, MD 20740’’. 300u–5, 300aa–1. Dated: July 14, 2005. I 2. Section 20.65 is added to read as Food and Drug Administration Jeffrey Shuren, follows: 21 CFR Part 101 Assistant Commissioner for Policy. § 20.65 National defense and foreign [FR Doc. 05–14328 Filed 7–20–05; 8:45 am] policy. Change of Address; Technical BILLING CODE 4160–01–S (a) Records or information may be Amendment withheld from public disclosure if they AGENCY: Food and Drug Administration, DEPARTMENT OF HEALTH AND are: HHS. (1) Specifically authorized under HUMAN SERVICES criteria established by an Executive ACTION: Final rule; technical order to be kept secret in the interest of amendment. Food and Drug Administration national defense or foreign policy; and SUMMARY: The Food and Drug 21 CFR Part 558 (2) In fact properly classified under Administration (FDA) is amending its such Executive order. regulations to correct an incorrect (b) [Reserved] New Animal Drugs for Use in Animal address for the Center for Food Safety Feeds; Roxarsone; Semduramycin I 3. Section 20.66 is added to read as and Applied Nutrition (CFSAN). This follows: action is editorial in nature and is AGENCY: Food and Drug Administration, HHS. § 20.66 Internal personnel rules and intended to improve the accuracy of the practices. agency’s regulations. ACTION: Final rule; technical amendment. Records or information may be DATES: This rule is effective July 21, 2005. withheld from public disclosure if they SUMMARY: The Food and Drug are related solely to the internal FOR FURTHER INFORMATION CONTACT: Administration (FDA) is correcting the personnel rules and practices of the Joyce Strong, Office of Policy and single-ingredient roxarsone Type A Food and Drug Administration (FDA). Planning (HF–27), Food and Drug medicated article that may be used to Under this exemption, FDA may Administration, 5600 Fishers Lane, formulate three-way, combination drug withhold records or information about Rockville, MD 20857, 301–827–7010. Type C medicated broiler chicken feeds routine internal agency practices and SUPPLEMENTARY INFORMATION: FDA is containing semduramicin, procedures. Under this exemption, the amending its regulations in § 101.83 (21 virginiamycin, and roxarsone under a agency may also withhold internal CFR 101.83) to reflect the correct new animal drug application (NADA) records whose release would help some address for CFSAN. recently approved for Phibro Animal persons circumvent the law. Publication of this document Health. FDA is also amending the I 4. Section 20.67 is added to read as constitutes final action on these changes animal drug regulations to reflect two follows: under the Administrative Procedure Act roxarsone Type A medicated articles
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approved under separate new animal (21 CFR parts 500 to 599) of Title 21 of List of Subjects in 21 CFR 558 drug applications (NADAs) for different the Code of Federal Regulations (CFR) Animal drugs, Animal feeds. conditions of use. This action is being does not accurately reflect the approved I Therefore, under the Federal Food, taken to improve the accuracy of the conditions of use for roxarsone Type A Drug, and Cosmetic Act and under agency’s regulations. medicated articles. Roxarsone is authority delegated to the Commissioner DATES: This rule is effective July 21, approved as single-ingredient Type A of Food and Drugs and redelegated to the 2005. medicated articles under two separate Center for Veterinary Medicine, 21 CFR FOR FURTHER INFORMATION CONTACT: applications, NADA 7–891 for 3–NITRO part 558 is amended as follows: George K. Haibel, Center for Veterinary and NADA 92–953 for ROXARSONE, Medicine (HFV–6), Food and Drug held by Alpharma, Inc. In error, PART 558—NEW ANIMAL DRUGS FOR Administration, 7519 Standish Pl., portions of the regulation describing USE IN ANIMAL FEEDS Rockville, MD 20855, 301–827–4567, e- approvals had been consolidated in July mail: [email protected]. 2000 (65 FR 45711, July 25, 2000). At I 1. The authority citation for 21 CFR part 558 continues to read as follows: SUPPLEMENTARY INFORMATION: FDA has this time, FDA is amending the found that the list of approved, single- regulations in § 558.530 to reflect two Authority: 21 U.S.C. 360b, 371. ingredient Type A medicated articles separate approvals for roxarsone Type A I 2. Section 558.530 is amended by used to formulate three-way, medicated articles with different revising paragraphs (a) through (d)(3); combination drug Type C medicated approved conditions of use and a removing paragraph (d)(4); and by broiler chicken feeds containing current tabular format. redesignating paragraph (d)(5) as semduramicin, virginiamycin, and Also, FDA has found that the paragraph (d)(4) to read as follows: roxarsone under NADA 141–226 is in approved conditions of use codified for § 558.530 Roxarsone. error. The Federal Register document NADA 92–953 prior to the July 2000 that described approval of that change were in error. A specific (a) Specifications. Type A medicated application for Phibro Animal Health on technical amendment to remove turkeys articles containing 10, 20, 50, or 80 percent roxarsone. February 23, 2004 (69 FR 13221, March as an approved species (49 FR 30927, (b) Approvals. See sponsors in 22, 2004), listed 3–NITRO (roxarsone) August 2, 1984) was reversed in a § 510.600(c) of this chapter for use as in Type A Medicated article as the source subsequent change that implemented paragraph (d) of this section. of roxarsone; however, the correct revised terminology for feed premixes source for this combination feed is (1) No. 046573 for use of 10, 20, and (51 FR 7400, March 3, 1986). At this ROXARSONE (roxarsone) Type A 50 percent Type A medicated articles as time, FDA is amending the regulations Medicated article, approved under in paragraph (d)(1)(i) of this section. in § 558.530 to reflect approval of NADA 92–953. At this time, FDA is (2) No. 046573 for use of 10, 20, 50, NADA 92–953 for chickens only. amending the regulations in 21 CFR and 80 percent Type A medicated 558.555 to reflect the roxarsone Type A This rule does not meet the definition articles as in paragraphs (d)(1) through medicated article approved for this of ‘‘rule’’ in 5 U.S.C. 804(3)(A) because (d)(3) of this section. combination and a current tabular it is a rule of ‘‘particular applicability.’’ (c) Related tolerances. See § 556.60 of format. Therefore, it is not subject to the this chapter. In addition, FDA has found that the congressional review requirements in 5 (d) Conditions of use—(1) Chickens. It April 1, 2004, edition of parts 500 to 599 U.S.C. 801–808. is used in chicken feed as follows:
Combinations in Roxarsone in grams per ton grams per ton Indications for use Limitations Sponsor
(i) 22.7 to 45.4 Growing chickens: For increased Feed continuously throughout growing 046573 rate of weight gain, improved period; do not feed to chickens pro- feed efficiency, and improved ducing eggs for human consump- pigmentation. tion; withdraw 5 days before slaugh- ter; as sole source of organic ar- senic; drug overdose or lack of water may result in leg weakness.
(ii) 22.7 to 45.4 Chlortetracycline Growing chickens: As in para- As in paragraph (d)(1)(i) of this sec- 10 to 50 graph (d)(1)(i) of this section. tion. Chlortetracycline as provided by No. 046573 in § 510.600(c) of this chapter.
(iii) 22.7 to 45.4 Chlortetracycline Growing chickens: As in para- As in paragraph (d)(1)(i) of this sec- 100 to 200 graph (d)(1)(i) of this section; tion except feed continuously for 7 and for control of infectious to 14 days. Chlortetracycline as pro- synovitis caused by Myco- vided by No. 046573 in § 510.600(c) plasma synoviae susceptible to of this chapter. chlortetracycline.
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Combinations in Roxarsone in grams per ton grams per ton Indications for use Limitations Sponsor
(iv) 22.7 to 45.4 Chlortetracycline Growing chickens: As in para- As in paragraph (d)(1)(i) of this sec- 200 to 400 graph (d)(1)(i) of this section; tion except feed continuously for 7 and for control of chronic res- to 14 days. Chlortetracycline as pro- piratory disease (CRD) and air vided by No. 046573 in § 510.600(c) sac infection caused by M. of this chapter. gallisepticum and Escherichia coli susceptible to chlortetra- cycline.
(v) 22.7 to 45.4 Chlortetracycline Growing chickens: As in para- As in paragraph (d)(1)(i) of this sec- 500 graph (d)(1)(i) of this section; tion except feed continuously for 5 and for reduction of mortality days. Chlortetracycline as provided due to E. coli infections sus- by No. 046573 in § 510.600(c) of ceptible to chlortetracycline. this chapter.
(2) Turkeys. It is used in turkey feed as follows:
Roxarsone in grams per ton Combinations in Indications for use Limitations Sponsor grams per ton
(i) 22.7 to 45.4 Growing turkeys: For increased Feed continuously throughout growing 046573 rate of weight gain, improved period; do not feed to turkeys pro- feed efficiency, and improved ducing eggs for human consump- pigmentation. tion; withdraw 5 days before slaugh- ter; as sole source of organic ar- senic; drug overdose or lack of water may result in leg weakness.
(ii) 22.7 to 45.4 Chlortetracycline Growing turkeys: As in paragraph As in paragraph (d)(2)(i) of this sec- 10 to 50 (d)(2)(i) of this section. tion. Chlortetracycline as provided by No. 046573 in § 510.600(c) of this chapter.
(iii) 22.7 to 45.4 Chlortetracycline Growing turkeys: As in paragraph As in paragraph (d)(2)(i) of this sec- 200 (d)(2)(i) of this section; and for tion except feed continuously for 7 control of infectious synovitis to 14 days. Chlortetracycline as pro- caused by Mycoplasma vided by No. 046573 in § 510.600(c) synoviae susceptible to chlor- of this chapter. tetracycline.
(iv) 22.7 to 45.4 Chlortetracycline 1. Growing turkeys: As in para- As in paragraph (d)(2)(i) of this sec- 400 graph (d)(2)(i) of this section; tion except feed continuously for 7 and for control of hexamitiasis to 14 days. Chlortetracycline as pro- caused by Hexamita vided by No. 046573 in § 510.600(c) meleagrides susceptible to of this chapter. chlortetracycline. 2. Turkey poults not over 4 weeks of age: Reduction of mortality due to paratyphoid caused by Salmonella typhimurium susceptible to chlortetracycline.
(v) 22.7 to 45.4 Chlortetracycline Growing turkeys: As in paragraph As in paragraph (d)(2)(i) of this sec- 25 mg/lb body (d)(2)(i) of this section; and for tion except feed continuously for 7 weight daily control of complicating bacterial to 14 days. Chlortetracycline as pro- organisms associated with vided by No. 046573 in § 510.600(c) bluecomb (transmissible enter- of this chapter. itis, coronaviral enteritis) sus- ceptible to chlortetracycline.
(3) Swine. It is used in swine feed as follows:
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Combinations in Roxarsone in grams per ton grams per ton Indications for use Limitations Sponsor
(i) 22.7 to 34.1 Growing and finishing swine: For Feed continuously throughout growing 046573 increased rate of weight gain period; withdraw 5 days before and improved feed efficiency. slaughter; as sole source of organic arsenic.
(ii) 22.7 to 34.1 Chlortetracycline Growing and finishing swine: As Feed for not more than 14 days; with- 400 (to ad- in paragraph (d)(3)(i) of this draw 5 days before slaughter; as minister 10 section; and for treatment of sole source of organic arsenic. mg/lb body bacterial enteritis caused by E. weight) coli and S. choleraesuis and bacterial pneumonia caused by Pasteurella multocida suscep- tible to chlortetracycline.
(iii) 181.5 Growing and finishing swine: For Feed for not more than 6 consecutive 046573 the treatment of swine dys- days; if improvement is not ob- entery. served, consult a veterinarian; with- draw 5 days before slaughter; as a sole source of organic arsenic; ani- mals must consume enough medi- cated feed to provide a therapeutic dose.
(iv) 181.5 Chlortetracycline Growing and finishing swine: As Feed for not more than 6 consecutive 10 to 50 in paragraph (d)(3)(i) of this days; if improvement is not ob- section; and for treatment of served, consult a veterinarian; with- swine dysentery. draw 5 days before slaughter; as a sole source of organic arsenic; ani- mals must consume enough medi- cated feed to provide a therapeutic dose.
(v) 181.5 Chlortetracycline Growing and finishing swine: As Feed for not more than 6 consecutive 400 (to ad- in paragraph (d)(3)(iii) of this days; if improvement is not ob- minister 10 section; and for treatment of served, consult a veterinarian; with- mg/lb body bacterial enteritis caused by E. draw 5 days before slaughter; as a weight) coli and S. choleraesuis and sole source of organic arsenic; ani- bacterial pneumonia caused by mals must consume enough medi- P. multocida susceptible to cated feed to provide a therapeutic chlortetracycline. dose.
* * * * * § 558.555 Semduramicin. (d) Conditions of use in chickens. It is I 3. Section 558.555 is amended by * * * * * used in chicken feed as follows: revising paragraph (d) to read as follows:
Combinations in Semduramicin in grams per ton grams per ton Indications for use Limitations Sponsor
(1) 22.7 (25 ppm) Broiler chickens: For the pre- Do not feed to laying hens. 066104 vention of coccidiosis caused by Eimeria acervulina, E. brunetti, E. maxima, E. mivati/ E. mitis, E. necatrix, and E. tenella.
(2) 22.7 Bacitracin meth- Broiler chickens: As in para- Feed continuously as sole ration. Do 066104 ylene disalicy- graph (d)(1) of this section; not feed to laying hens. Bacitracin late 10 to 50 for improved feed efficiency. methylene disalicylate as provided by No. 046573 in § 510.600(c) of this chapter.
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Combinations in Semduramicin in grams per ton grams per ton Indications for use Limitations Sponsor
(3) 22.7 Bacitracin meth- Broiler chickens: As in para- Feed continuously as sole ration. 066104 ylene disalicy- graph (d)(4) of this section; Use feed within 2 weeks of pro- late 10 to 50 for improved feed efficiency. duction. Do not feed to laying plus roxarsone hens. Use as sole source of or- 45.4 ganic arsenic. Poultry should have access to drinking water at all times. Drug overdosage or lack of water intake may result in leg weakness or paralysis. Withdraw 5 days before slaughter. Baci- tracin methylene disalicylate and roxarsone as provided by No. 046573 in § 510.600(c) of this chapter.
(4) 22.7 Roxarsone 45.4 Broiler chickens: For the pre- Feed continuously as sole ration. 066104 vention of coccidiosis caused For broiler chickens only. Do not by Eimeria acervulina, E. feed to laying hens. Use as sole brunetti, E. maxima, E. mivati/ source of organic arsenic. With- E. mitis, E. necatrix, and E. draw 5 days before slaughter. tenella, including some field Roxarsone as provided by No. strains of E. tenella that are 046573 in § 510.600(c) of this more susceptible to chapter. semduramicin combined with roxarsone than semduramicin alone.
(5) 22.7 Virginiamycin 5 Broiler chickens: As in para- Feed continuously as sole ration. Do 066104 graph (d)(1) of this section; not feed to laying hens. for increased rate of weight Virginiamycin as provided by No. gain and improved feed effi- 066104 in § 510.600(c) of this ciency. chapter.
(6) 22.7 Virginiamycin 5 to Broiler chickens: As in para- Feed continuously as sole ration. Do 066104 15 graph (d)(1) of this section; not feed to laying hens. for increased rate of weight Virginiamycin as provided by No. gain. 066104 in § 510.600(c) of this chapter.
(7) 22.7 Virginiamycin 20 Broiler chickens: As in para- Feed continuously as sole ration. Do 066104 graph (d)(1) of this section; not feed to laying hens. for prevention of necrotic en- Virginiamycin as provided by No. teritis caused by Clostridium 066104 in § 510.600(c) of this perfringens susceptible to chapter. virginiamycin.
(8) 22.7 Virginiamycin 20 Broiler chickens: As in para- Feed continuously as sole ration 066104 plus roxarsone graph (d)(1) of this section; throughout growing period. Do not 22.7 to 45.4 for prevention of necrotic en- feed to laying hens. Use as sole teritis caused by Clostridium source of organic arsenic. Poultry perfringens susceptible to should have access to drinking virginiamycin; for increased water at all times. Drug overdose rate of weight gain and im- or lack of water may result in leg proved feed efficiency; and weakness. Roxarsone as in for improved pigmentation. § 558.530(b)(1) of this chapter provided by No. 046573 in § 510.600(c) of this chapter; semduramicin and virginiamycin as provided by No. 066104.
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Dated: April 25, 2005. subject of FR Doc. 05–13891, is ENVIRONMENTAL PROTECTION Steven D. Vaughn, corrected as follows: AGENCY Director, Office of New Animal Drug On page 40660, in the second column, 40 CFR Part 52 Evaluation. immediately following the name and [FR Doc. 05–14329 Filed 7–20–05; 8:45 am] title of the document’s signer, in the [R06–OAR–2005–NM–0001; FRL–7942–5] BILLING CODE 4160–01–S words of issuance, the word ‘‘amended’’ is corrected read ‘‘revised.’’ Approval and Promulgation of Air Quality Implementation Plans; New Dated: July 15, 2005. DEPARTMENT OF THE INTERIOR Mexico; Albuquerque/Bernalillo James E. Cason, County Bureau of Indian Affairs Associate Deputy Secretary of the Interior. [FR Doc. 05–14437 Filed 7–20–05; 8:45 am] AGENCY: Environmental Protection Agency (EPA). 25 CFR Part 124 BILLING CODE 4310–2W–P ACTION: RIN 1076–AE74 Final rule. SUMMARY: This action finalizes our Deposit of Proceeds From Lands approval of the State Implementation Withdrawn for Native Selection; ENVIRONMENTAL PROTECTION Plan (SIP) revisions submitted by the Correction AGENCY Governor of New Mexico on September AGENCY: Bureau of Indian Affairs, 40 CFR Part 52 7, 2004. The submittal revises the Interior. second ten-year carbon monoxide (CO) maintenance plan for the Albuquerque/ ACTION: Final rule; correction. [Docket # ID–03–003; FRL–7941–7] Bernalillo County, New Mexico area. SUMMARY: This document contains a Approval and Promulgation of Air The submittal also revises the relevant correction to a final rule that was Quality Implementation Plan; Idaho; parts of the New Mexico Administrative published Thursday, July 14, 2005 (70 Correction Code (NMAC) including revisions to the FR 40660). The regulation relates to General Provisions, Inspection and Deposit of Proceeds from Lands AGENCY: Environmental Protection Maintenance (I&M) Program, and the Withdrawn for Native Selection. Agency (EPA). contingency measures. We are finalizing EFFECTIVE DATE: July 14, 2005. approval of these revisions in ACTION: Final rule; correction. FOR FURTHER INFORMATION CONTACT: accordance with the requirements of the Assistant Director, Office of Trust Federal Clean Air Act (the Act). SUMMARY: Regulations, Policies and Procedures, by This document corrects the DATES: This rule is effective on August telephone at (505) 816–1086, or by preamble to a final rule published in the 22, 2005. Federal Register of July 11, 2005 (70 FR facsimile transmission at (505) 816– ADDRESSES: The EPA has established a 39658) regarding revisions to the open 1377. docket for this action under Regional burning regulations in Idaho’s State Material in EDocket (RME) Docket ID SUPPLEMENTARY INFORMATION: This rule Implementation Plan. This notice No. R06–OAR–2005–NM–0001. All is published by the authority of the clarifies that, under section 307(b)(1) of documents in the docket are listed in Secretary, granted under 43 U.S.C. 1601 the Clean Air Act, any petition for the RME index at http://docket.epa.gov/ et seq. and 25 U.S.C. 4001 et seq., and judicial review of this action must be rmepub/, once in the system, select delegated to the Assistant Secretary— filed in the United States Court of ‘‘quick search,’’ then key in the Indian Affairs 209 DM 8.1. Appeals for the appropriate circuit appropriate RME Docket identification within 60 days from the date notice of Background number. Although listed in the index, approval appeared in the Federal some information is not publicly The final rule provides contact Register, and not 30 days, as available, i.e., CBI or other information information to be used by all erroneously stated in July 11, 2005 whose disclosure is restricted by statute. Departments and Agencies, the State of action. Alaska, and any other interested parties Certain other material, such as for deposit of proceeds from lands FOR FURTHER INFORMATION CONTACT: copyrighted material, is not placed on withdrawn for native selection. This Donna Deneen, (206) 553–6706. the Internet and will be publicly rule was published by the Assistant available only in hard copy form. SUPPLEMENTARY INFORMATION: Secretary—Indian Affairs in Publicly available docket materials are consultation with the Special Trustee Correction available either electronically in RME or for American Indians under the in hard copy at the Air Planning Section provisions of the American Indian Trust In the final rule, beginning on page (6PD–L), Environmental Protection Fund Management Reform Act of 1994. 39658 in the issue of July 11, 2005, Agency, 1445 Ross Avenue, Suite 700, make the following correction, in the Dallas, Texas 75202–2733. The file will Need for Correction SUPPLEMENTARY INFORMATION section. On be made available by appointment for As published, the final rule was page 39661 in the 3rd column, remove public inspection in the Region 6 FOIA introduced by words of issuance that do ‘‘August 10, 2005’’ in the first paragraph Review Room between the hours of 8:30 not satisfy Office of the Federal Register and replace it with ’’September 9, a.m. and 4:30 p.m. weekdays except for standards. The language must be 2005’’. legal holidays. Contact the person listed FOR FURTHER INFORMATION corrected to allow for correct Dated: July 14, 2005. in the codification of the revised regulation. CONTACT paragraph below to make an Michelle Pirzadeh, appointment. If possible, please make Correction of Publication Acting Regional Administrator, Region 10. the appointment at least two working Accordingly, the publication on July [FR Doc. 05–14399 Filed 7–20–05; 8:45 am] days in advance of your visit. There will 14, 2005, of the final rule that was the BILLING CODE 6560–50–M be a 15 cent per page fee for making
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photocopies of documents. On the day FR 33363), we cited two references as maintenance of the NAAQS, and meets of the visit, please check in at the EPA ‘‘71 FR 19723’’ and ‘‘71 FR 19702’’ by all other applicable statutory Region 6 reception area at 1445 Ross mistake. The correct citations for those requirements. See Union Electric v. Avenue, Suite 700, Dallas, Texas. two references should have read ‘‘70 FR EPA, 427 U.S. 246 (1976); Train v. The State submittal is also available 19723’’ and ‘‘70 FR 19702’’ instead. NRDC 421 U.S 60 (1975). The EPA’s role for public inspection at the State Air Today, we are correcting that error. in reviewing SIP submittals is to Agency listed below during official Today, we are also summarizing and approve state choices, provided that business hours by appointment: responding to written comments they meet the criteria of the Act. Federal Environmental Protection Agency, received and taking final rulemaking inquiry into the reasonableness of state Region 6, Air Planning Section (6PD–L), action on the April 14, 2005 (70 FR action is not allowed under the Act (see, 1445 Ross Avenue, Dallas, Texas 75202– 19723) proposal pertaining to the Union Electric Co. v. EPA, 427 U.S. 246, 2733. Albuquerque/Bernalillo County, New 255–266 (1976); 42 U.S.C. 7410(a)(2)). The City of Albuquerque, Mexico SIP revision. See sections 2 and Under section 116 of the Act, with 3 of this document for more Environmental Health Department, One certain exceptions not relevant here, a information. Civic Plaza, Albuquerque, NM 87102. State retains the right to adopt and FOR FURTHER INFORMATION CONTACT: Mr. 2. Who Submitted Comments to Us? enforce any requirement respecting Alan Shar of the Air Planning Section We received written comments on the control or abatement of air pollution, (6PD–L), EPA Region 6, 1445 Ross including more stringent emissions Avenue, Dallas, Texas 75202–2733 at April 14, 2005 (70 FR 19723), proposed New Mexico SIP revision. The standards and limitations. The State has (214) 665–6691, [email protected]. comments were submitted by Chevron submitted information indicating that SUPPLEMENTARY INFORMATION: and ConocoPhilips (the Commenters) the administrative requirements of New Table of Contents during the public comment period. Mexico law have been met. We can I. Background Information agree with the Commenters’ statement 3. What Is Our Response to the that all CO emissions in the 1. What actions are we taking in this Submitted Written Comments? document? Albuquerque/Bernalillo County are not 2. Who submitted comments to us? Our responses to the written from mobile sources. However, the CO 3. What is our response to the submitted comments concerning the April 14, emissions inventory Table I of the April written comments? 2005 (70 FR 19723) proposal, New 14, 2005 (70 FR 19702) direct final rule 4. What areas in New Mexico will these Mexico SIP revision are as follows: indicates that more than 84% (398.14/ rule revisions affect? Comment #1: Chevron and 473.34) of the CO emissions in the area II. Final Action ConocoPhillips (the Commenters) III. Statutory and Executive Order Reviews are mobile source related. We can agree expressed their opposition to with the Commenters that the overall In this document ‘‘we,’’ ‘‘us,’’ and ‘‘our’’ maintaining the 2.7 percent oxygenated refer to EPA. trend as shown in the chart, provided by fuel content requirement, for the period the Commenters, indicates a downward I. Background Information from November 1st through the end of trend for the calculated CO February (Winter season) as a part of the concentrations in the Albuquerque/ 1. What Actions Are We Taking in This second ten-year CO limited Document? Bernalillo County area for recent years. maintenance plan, within the However, we consider this downward On April 14, 2005 (70 FR 19723) we Albuquerque/Bernalillo County, New trend to be attributable to the success of proposed approval of revisions to the Mexico area. Chevron submitted a chart control measures and implementation of New Mexico SIP pertaining to the indicating the downward trend of enforceable air quality plans adopted by second ten-year CO maintenance plan calculated CO concentrations in the area Albuquerque/Bernalillo County. Thus, for the Albuquerque/Bernalillo County, for the recent years to substantiate its removing the oxygenated fuel content New Mexico area and its relevant parts position. requirement as requested by the Response to Comment #1: The Act of the NMAC including revisions to the Commenters (even if EPA had such assigns to the states initial and primary General Provisions, I&M Program, the authority which, as explained responsibility for formulating a plan to Oxygenated Fuels Program, and the previously, it does not) could contingency measures. In the April 14, achieve the NAAQS. It is up to the state potentially cause CO concentrations in 2005 Federal Register (70 FR 19723), we to prepare state implementation plans the area to increase. We believe that the stated that written comment must be which contain specific pollution control measures adopted by the Albuquerque/ received by May 16, 2005. We received measures. An examination of this SIP Bernalillo County are adequate, and written adverse comments during the submittal reveals no record of the reflect a coherent way air planning and public comment period. Commenters having provided input or transportation have come together to On June 8, 2005 (70 FR 33363) we submitted comments to the State or the published the withdrawal of the direct Albuquerque Environmental Health address air quality issues in the area. final rule 70 FR 19702 due to the Department (AEHD) during their For all of these stated reasons, we adverse comments received. A detailed rulemaking process. The EPA’s disagree with the Commenters’s rationale for our action is set forth in the responsibilities under the Act are opposition to the existing program. direct final rule. See 70 FR 19702, and qualitatively different from those of the Comment #2: Chevron states that on the Technical Support Document for state agency. The EPA is charged with multiple occasions this past season the further information. In the June 8, 2005, reviewing and approving or railroad was unable to deliver ethanol Federal Register (70 FR 33363) as well disapproving the enforceable tank cars into their terminal when they as the April 14, 2005 direct final rule we implementation plans prepared by were needed. Chevron also stated they stated that we will summarize and states and other political subdivisions experienced similar problems in their respond to written comments received, identified in the statute. It is not EPA’s Phoenix and Las Vegas terminals, as and take final rulemaking action on the role to disapprove the State’s choice of well. In those instances, Chevron claims requested New Mexico SIP revision. In control strategies if that strategy will that they had to arrange to purchase and the June 8, 2005, Federal Register (70 result in attainment or continued truck ethanol into their terminals to
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ensure a continuous and reliable supply Office of Management and Budget. For the Clean Air Act. Thus, the to the customers. this reason, this action is also not requirements of section 12(d) of the Response to Comment #2: This subject to Executive Order 13211, National Technology Transfer and comment is not relevant to today’s ‘‘Actions Concerning Regulations That Advancement Act of 1995 (15 U.S.C. rulemaking action. Various forms of the Significantly Affect Energy Supply, 272 note) do not apply. This rule does Oxygenated Fuels Program have been in Distribution, or Use’’ (66 FR 28355, May not impose an information collection place since 1988 in the area, and EPA 22, 2001). This action merely approves burden under the provisions of the approved the Program utilizing ethanol state law as meeting Federal Paperwork Reduction Act of 1995 (44 in 1993. Today’s rulemaking only requirements and imposes no additional U.S.C. 3501 et seq.). approves minor grammatical and requirements beyond those imposed by The Congressional Review Act, 5 typographical changes to the existing state law. Accordingly, the U.S.C. 801 et seq., as added by the Small program; it does not change the Administrator certifies that this rule Business Regulatory Enforcement substance of the program EPA approved will not have a significant economic Fairness Act of 1996, generally provides in 1993. Chevron’s concern about impact on a substantial number of small that before a rule may take effect, the ethanol supply to meet the existing entities under the Regulatory Flexibility agency promulgating the rule must program, therefore, is not relevant to Act (5 U.S.C. 601 et seq.). Because this submit a rule report, which includes a today’s action. rule approves pre-existing requirements copy of the rule, to each House of the As noted previously, the State has the under state law and does not impose Congress and to the Comptroller General authority to include these measures any additional enforceable duty beyond of the United States. EPA will submit a under section 116 of the Act in its SIP. that required by state law, it does not report containing this rule and other Again, comments concerning ethanol contain any unfunded mandate or required information to the U.S. Senate, supply issues should have also been significantly or uniquely affect small the U.S. House of Representatives, and directed to the State. Therefore, we can governments, as described in the the Comptroller General of the United not delete these measures from the SIP, Unfunded Mandates Reform Act of 1995 States prior to publication of the rule in if the State has adopted or wants to (Pub. L. 104–4). the Federal Register. A major rule include them in its SIP. This rule also does not have tribal cannot take effect until 60 days after it As far as Chevron’s Albuquerque implications because it will not have a is published in the Federal Register. terminal operation is concerned, we substantial direct effect on one or more This action is not a ‘‘major rule’’ as believe that the delivery and on-time Indian tribes, on the relationship defined by 5 U.S.C. 804(2). availability of ethanol scenarios between the Federal Government and Under section 307(b)(1) of the Clean described above are largely business Indian tribes, or on the distribution of Air Act, petitions for judicial review of strategy related matters rather than a CO power and responsibilities between the this action must be filed in the United maintenance issue. Such matters are Federal Government and Indian tribes, States Court of Appeals for the best addressed through merchandise as specified by Executive Order 13175 appropriate circuit by September 19, inventory preparations, factoring storage (65 FR 67249, November 9, 2000). This 2005. Filing a petition for tank design/capacity estimates, advance action also does not have Federalism reconsideration by the Administrator of scheduling/planning, and forecasting implications because it does not have this final rule does not affect the finality considerations. substantial direct effects on the States, of this rule for the purposes of judicial This concludes our responses to the on the relationship between the national review nor does it extend the time written comments we received during government and the States, or on the within which a petition for judicial public comment period concerning the distribution of power and review may be filed, and shall not April 14, 2005 (70 FR 19723), New responsibilities among the various postpone the effectiveness of such rule Mexico proposed SIP revision. levels of government, as specified in or action. This action may not be Executive Order 13132 (64 FR 43255, challenged later in proceedings to 4. What Areas in New Mexico Will August 10, 1999). This action merely enforce its requirements. (See section These Rule Revisions Affect? approves a state rule implementing a 307(b)(2).) These rule revisions affect all sources Federal standard, and does not alter the of air emissions operating within the relationship or the distribution of power List of Subjects in 40 CFR Part 52 Albuquerque/Bernalillo County, New and responsibilities established in the Environmental protection, Air Mexico area. Clean Air Act. This rule also is not pollution control, Carbon monoxide, subject to Executive Order 13045 Intergovernmental relations, Reporting II. Final Action ‘‘Protection of Children from and recordkeeping requirements. Today, we are finalizing approval of Environmental Health Risks and Safety Dated: July 14, 2005. the CO limited maintenance plan and its Risks’’ (62 FR 19885, April 23, 1997), Richard E. Greene, relevant parts of the NMAC including because it is not economically revisions to the General Provisions significant. Regional Administrator, Region 6. (‘‘Resolutions,’’ ‘‘Definitions,’’ and In reviewing SIP submissions, EPA’s I 40 CFR part 52 is amended as follows: ‘‘Interpretation’’), I&M Program, the role is to approve state choices, Oxygenated Fuels Program, and the provided that they meet the criteria of PART 52—[AMENDED] contingency measures. We published the Clean Air Act. In this context, in the I 1. The authority citation for part 52 the proposal for this approval on April absence of a prior existing requirement continues to read as follows: 14, 2005 (70 FR 19723). for the State to use voluntary consensus standards (VCS), EPA has no authority Authority: 42 U.S.C. 7401 et seq. III. Statutory and Executive Order to disapprove a SIP submission for Subpart GG—New Mexico Reviews failure to use VCS. It would thus be Under Executive Order 12866 (58 FR inconsistent with applicable law for I 2. Section 52.1620 is amended as 51735, October 4, 1993), this action is EPA, when it reviews a SIP submission, follows: not a ‘‘significant regulatory action’’ and to use VCS in place of a SIP submission I a. In paragraph (c), in the second table therefore is not subject to review by the that otherwise satisfies the provisions of entitled ‘‘EPA Approved Albuquerque/
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Bernalillo County, NM Regulations,’’ by Provisions and Quasi-Regulatory § 52.1620 Identification of plan. revising the entries for parts 1, 100, and Measures in the New Mexico SIP’’ by * * * * * 102. adding one new entry to the end of the (c) * * * I b. In paragraph (e), in the second table table. The revisions read as follows: entitled ‘‘EPA Approved Nonregulatory
EPA APPROVED ALBUQUERQUE/BERNALILLO COUNTY, NM REGULATIONS
State ap- State citation Title/subject proval/effec- EPA ap- Explanation tive date proval date
Albuquerque/Bernalillo County, Air Quality Control Regulations
******* New Mexico Administrative Code (NMAC) Title 20—Environment Protection, Chapter 11—Albuquerque/Bernalillo County Air Quality Control Board
Part 1 (20.11.1 NMAC) ...... General Provisions ...... 09/07/04 7/21/05 [Insert FR page where document begins]
******* Part 100 (20.11.100 NMAC) ...... Motor Vehicle Inspection—Decentralized .... 09/07/04 7/21/05 [Insert FR page where document begins] Part 102 (20.11.102 NMAC) ...... Oxygenated Fuels ...... 09/07/04 7/21/05 [Insert FR page where document begins]
*******
* * * * * (e) ** *
EPA APPROVED NONREGULATORY PROVISIONS AND QUASI-REGULATORY MEASURES IN THE NEW MEXICO SIP
State sub- Applicable geographic or nonattainment mittal date/ EPA ap- Name of SIP provision area effective proval date Explanation date
******* Second 10-year maintenance plan (limited Bernalillo County ...... 09/07/04 7/21/05 maintenance plan) for Albuquerque/ [Insert FR Bernalillo County. page where document begins]
*******
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I 3. Section 52.1627 is amended by FEDERAL COMMUNICATIONS associated with the Commission’s designating the existing text as paragraph COMMISSION enforcement, policy and rulemaking, (a) and by adding paragraph (b) to read user information, and international as follows: 47 CFR Part 1 activities. We also deny the petition for [MD Docket Nos. 05–59 and 04–73; FCC reconsideration filed by Cingular § 52.1627 Control strategy and 05–137] Wireless LLC of the Commission’s FY regulations: Carbon monoxide. 2004 Report and Order. * * * * * Assessment and Collection of DATES: Effective August 22, 2005. (b) Approval—The Albuquerque/ Regulatory Fees for Fiscal Year 2005; FOR FURTHER INFORMATION CONTACT: Bernalillo County carbon monoxide Assessment and Collection of Roland Helvajian, Office of Managing limited maintenance plan revision dated Regulatory Fees for Fiscal Year 2004 Director at (202) 418–0444 or Rob September 7, 2004, meets the AGENCY: Federal Communications Fream, Office of Managing Director at requirements of section 172 of the Clean Commission. (202) 418–0408. Air Act, and is therefore approved. ACTION: Final rule. SUPPLEMENTARY INFORMATION: [FR Doc. 05–14388 Filed 7–20–05; 8:45 am] Adopted: July 1, 2005. SUMMARY: In this document, we Released: July 7, 2005. BILLING CODE 6560–50–P conclude a proceeding to collect By the Commission: Commissioner $280,098,000 in regulatory fees for Copps concurring and issuing a Fiscal Year (FY) 2005. These fees are statement; Commissioner Adelstein mandated by Congress and are collected approving in part, concurring in part, to recover the regulatory costs and issuing a statement.
TABLE OF CONTENTS
Paragraph Heading No.
I. Introduction ...... 1 II. Discussion ...... 2 A. Development of FY 2005 Fees ...... 2 1. Calculation of Revenue and Fee Requirements ...... 2 2. Additional Adjustments to Payment Units ...... 3 3. Commercial Mobile Radio Service (CMRS) Messaging Service ...... 5 4. Local Multipoint Distribution Service (LMDS) ...... 6 5. International Bearer Circuits ...... 8 6. Regulatory Fees for Direct Broadcast Service (DBS) Providers and Cable Television Operators ...... 10 7. Multichannel Video Distribution and Data Service (MVDDS) ...... 12 8. Broadband Radio Service (BRS) / Educational Broadband Service (EBS), (formerly MDS/MMDS and ITFS) ...... 13 9. Regulatory Fees for AM and FM Construction Permits ...... 14 10. Clarification of Policies and Procedures ...... 16 a. Ad Hoc Issues Concerning Our Regulatory Fee Exemption Policies ...... 16 b. Regulatory Fee Obligations for Digital Broadcasters ...... 23 c. Regulatory Fee Obligations for AM Expanded Band Broadcasters ...... 24 d. Effective Date of Payment of Multi-Year Wireless Fees ...... 26 11. Notification, Assessment and Collection of Regulatory Fees ...... 27 a. Interstate Telecommunications Service Providers (ITSPs) ...... 29 b. Satellite Space Station Licensees ...... 31 c. Media Services Licensees ...... 34 d. Cable Television Subscribers ...... 36 B. FY 2005 Fee Determination and FY 2004 Reconsideration ...... 38 12. Commercial Mobile Radio Service (CMRS) Providers ...... 38 III. Procedural Matters ...... 45 A. Payment of Regulatory Fees ...... 45 1. De Minimis Fee Payment Liability ...... 45 2. Standard Fee Calculations and Payment Dates for Annual Regulatory Fees ...... 46 3. Limitations on Credit Card Transactions ...... 48 B. Enforcement ...... 49 C. Congressional Review Act Analysis ...... 51 IV. Ordering Clauses ...... 52 Attachments: Attachment A Final Regulatory Flexibility Analysis Attachment B Sources of Payment Unit Estimates for FY2005 Attachment C Calculation of Revenue Requirements and Pro-Rata Fees Attachment D FY 2005 Schedule of Regulatory Fees Attachment E Factors, Measurements, and Calculations that Determine Station Contours and Population Coverages Attachment F List of Commenters Attachment G FY 2004 Schedule of Regulatory Fees
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I. Introduction as licenses that are renewed for a population served, determine the 1. In this Order, we conclude a multiyear term, the resulting unit fee regulatory fee amount to be paid. was also divided by the term of the proceeding to collect $280,098,000 in 3. Commercial Mobile Radio Service license. These unit fees were then regulatory fees for Fiscal Year (FY) (CMRS) Messaging Service 2005. These fees are mandated by rounded to the nearest $5 or $25 in accordance with 47 U.S.C. 159(b)(2). 5. In the FY 2005 NPRM, the Congress and are collected to recover Commission proposed to continue its the regulatory costs associated with the 2. Additional Adjustments to Payment policy of maintaining the CMRS Commission’s enforcement, policy and Units Messaging Service regulatory fee at the rulemaking, user information, and rate calculated in FY 2003 and FY 2004 international activities.2 We also deny 3. In calculating the FY 2005 regulatory fees in Attachment D, we to avoid further contributing to the the petition for reconsideration filed by financial hardships associated with a Cingular Wireless LLC of the further adjusted the FY 2004 list of payment units (Attachment B) based declining subscriber base.8 We received Commission’s FY 2004 Report and no comments or reply comments on this Order.3 upon licensee databases and industry and trade group projections. Whenever matter. Consequently, we will maintain II. Discussion possible, we verified these estimates the CMRS Messaging Service regulatory fee at $0.08 per subscriber. A. Development of FY 2005 Fees from multiple sources to ensure the accuracy of these estimates. In some 4. Local Multipoint Distribution Service 1. Calculation of Revenue and Fee instances, Commission licensee (LMDS) Requirements databases were used, while in other 6. In the FY 2004 proceeding, the 2. As explained below, we adjust our instances, actual prior year payment records and/or industry and trade Commission identified a difference in section 9 regulatory fees to reflect the treatment between LMDS Block A and association projections were used in requirement to collect $280,098,000 in Block B licensees for the purposes of determining the payment unit counts.7 regulatory fees during FY 2005. As assessing section 9 regulatory fees. This 4 Where appropriate, we adjusted and/or described in the FY 2005 NPRM, this difference resulted in a rounded our final estimates to take into adjusted amount is $7,140,000, or disproportionately higher fee obligation consideration variables that may impact approximately 2.6 percent greater than on LMDS Block B licenses when the number of payment units, such as the $272,958,000 we were required to compared on a per-megahertz (MHz) waivers and/or exemptions that may be collect during the previous fiscal year. basis.9 As a result, in the FY 2005 filed in FY 2005, and fluctuations in the Each fiscal year, the Commission NPRM, we proposed to amend the fee number of licensees or station operators proportionally allocates the total schedule and assess LMDS regulatory amount that must be collected via due to economic, technical or other fees on a flat MHz basis.10 We received regulatory fees. The results of this reasons. Therefore, when we note that two comments on this proposal. These calculation are contained in Attachment our estimated FY 2005 payment units commenters oppose the proposal to C.5 For FY 2005, this allocation was are based on FY 2004 actual payment collect LMDS regulatory fees on a per- done using FY 2004 revenues as a base. units, we may have rounded the number MHz basis, arguing that the Commission From this base, a revenue amount for for FY 2005 or adjusted it slightly to cannot use a per-MHz regulatory fee for each fee category was calculated. Each account for these variables. LMDS without using the same fee fee category was then adjusted upward 4. We consider additional factors to methodology for the 24 GHz and 39 GHz by 2.6 percent to reflect the increase in determine regulatory fees for AM and services.11 We decline to adopt a per- regulatory fees from FY 2004 to FY FM radio stations. These factors are MHz fee methodology for LMDS at this 2005. These FY 2005 amounts were then facility attributes (class of service and divided by the number of payment units type (AM or FM) of service), as well as 8 See FY 2005 NPRM, 70 FR at 9576, para. 5. in each fee category to determine the the population served by the radio 9 FY 2004 Report and Order, 19 FCC Rcd 11,662, unit fee.6 In instances of small fees, such station. Calculating the population 11,669, para. 16. Block A licenses are authorized for served for each radio station is 1150 MHz of spectrum, while Block B licenses are authorized for 150 MHz of spectrum. Using the 2 47 U.S.C. 159(a). determined by coupling current U.S. authorized bandwidth for each license as the basis 3 Assessment and Collection of Regulatory Fees Census Bureau data with technical and for comparison, the Commission noted that the for Fiscal Year 2004, Report and Order, 19 FCC Rcd engineering data, as detailed in regulatory fee for Block B licenses in FY 2004 was 11,662 (2004) (FY 2004 Report and Order); see infra Attachment E. Consequently, the class significantly higher on a per-MHz basis than the fee paras. 38–41. for Block A licenses. On a per-MHz basis, Block B 4 See Assessment and Collection of Regulatory and type of service, as well as the licensees, which are authorized for 150 MHz in the Fees for Fiscal Year 2005, Notice of Proposed 31,000–31,075/31,225–31,300 MHz bands, paid Rulemaking, 70 FR at 9575, 9576, para. 5, (2005) International Bearer Circuits), or a fee factor per regulatory fees equivalent to $1.80 per MHz ($270 (FY 2005 NPRM). revenue dollar (Interstate Telecommunications divided by 150 MHz) in FY 2004, while Block A 5 It is important to note that the required increase Service Provider fee). The payment unit is the licensees, which are authorized for 1150 MHz of in regulatory fee payments of approximately 2.6 measure upon which the fee is based, such as a spectrum, paid the equivalent $0.24 per MHz ($270 percent in FY 2005 is reflected in the revenue that licensee, regulatee, subscriber, etc. divided by 1150 MHz). is expected to be collected from each service 7 The databases we consulted include, but are not 10 FY 2005 NPRM, 70 FR at 9577, para. 7. The category. Because this expected revenue is adjusted limited to, the Commission’s Universal Licensing Commission proposed to set a per-MHz per unit fee each year by the number of estimated payment System (ULS), International Bureau Filing System of $0.44 for LMDS licensees, and then multiply the units in a service category, the actual fee itself is (IBFS), and Consolidated Database System (CDBS). unit fee by the amount of bandwidth authorized for sometimes increased by a number other than 2.6 We also consulted industry sources including but Block A and Block B licenses. As proposed, in FY percent. For example, in industries where the not limited to Television & Cable Factbook by 2005 the regulatory fee amount for Block A number of units is declining and the expected Warren Publishing, Inc. and the Broadcasting and licensees would have been $0.44 multiplied times revenue is increasing, the impact of the fee increase Cable Yearbook by Reed Elsevier, Inc., as well as 1150 MHz = $506, rounded to $505; while the may be greater. reports generated within the Commission such as amount for Block B licensees would have been 6 In most instances, the fee amount is a flat fee the Wireline Competition Bureau’s Trends in $0.44 multiplied times 150 MHz = $66, rounded to per licensee or regulatee. However, in some Telephone Service and the Wireless $65. instances the fee amount represents a unit Telecommunications Bureau’s Numbering Resource 11 Comments of XO Communications (XO), at 2– subscriber fee (such as for Cable, Commercial Utilization Forecast and Annual CMRS Competition 7; Comments of the Law Firm of Blooston, Mobile Radio Service (CMRS) Cellular/Mobile and Report. For additional information on source Mordkofsky, Dickens, Duffy & Prendergast CMRS Messaging), a per unit fee (such as for material, see Attachment B. (BMDDP), at 2–4.
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time, and we will therefore retain our 9. We are not persuaded by these assessment for international carriers for existing methodology for assessing commenters that a significant change to FY 2005. We note that in the FY 2005 LMDS fees for FY 2005.12 our section 9 regulatory fee assessment NPRM, we stated that we would not 7. The commenters also argued that methodology for international bearer implement any changes to the bearer LMDS should be reclassified for fee circuits is warranted at this time, or that circuit fee assessment methodology for assessment purposes as a microwave the benefits of changing our assessment this FY 2005 collection cycle.21 service.13 The Commission determined methodology outweigh the costs of in its FY 2003 fee proceeding that LMDS modifying our systems and processes at 6. Regulatory Fees for Direct Broadcast was developing on a separate track from this time. We decline to adopt the Tyco Service (DBS) Providers and Cable microwave services and that it should proposal to create a new, separate fee Television Operators be moved into a separate fee category.14 category for non-common carrier cable The Commission subsequently rejected landing licensees at this time.19 As a 10. We decline to modify the FY 2005 arguments to place LMDS in the practical matter, we note that we have regulatory fee assessment methodology microwave fee category in the FY 2004 at present no acceptable methodology for DBS providers in response to the Report and Order.15 XO and BMDDP for allocating fee requirement between comments of the National Cable and have presented no new evidence or categories of payers.20 Even if we had an Telecommunications Association arguments that would cause us to acceptable methodology, we would not (NCTA) and American Cable reconsider that decision. We find no be able to undertake the required Association (ACA). NCTA argues that compelling reason to reclassify LMDS as analysis in time for FY 2005 fee cable operators pay a disproportionately a microwave service, which would payments and still comply with the larger amount of the Commission’s reduce the LMDS annual fee by more section 9(b)(3) notification requirement. regulatory fees as compared to DBS than 80 percent, and thereby impose a Moreover, because creating a new providers, despite the fact that they are disproportionate financial burden on fee section 9 regulatory fee category would similarly situated competitors.22 NCTA payers in other service categories. We impact other international carriers, we proposes that the Commission adopt the therefore will maintain the existing would want to address the issue of same per-subscriber assessment for DBS regulatory fee classification for LMDS regulatory fee payments by international operators that applies to cable television for FY 2005. carriers as a whole and not make operators. DirecTV, Inc. and Echostar discrete changes for one category of 5. International Bearer Circuits Satellite L.L.C. (DirecTV & Echostar), in payers at this time. In addition, we joint reply comments, argue that the 8. We decline to change or modify the conclude that Tyco’s main concern is cable operators have failed to make the methodology for assessing regulatory addressed by modifying the section 9 required showing to satisfy the legal fees for international carriers at this regulatory fee for international bearer standard in section 9 of the Act for circuits rather than creating an entirely time. In the FY 2005 NPRM, we sought changes to the Commission’s regulatory comment on possible changes to the new category of section 9 regulatory fee structure.23 DirecTV and Echostar regulatory fees assessed on international fees. To that end, we note that these fees further argue that the costs to the carriers.16 Only three parties filed have declined substantially, due to increased capacity in the active circuit Commission of regulating cable exceed comments and/or reply comments on 24 this matter.17 The Commission currently market: The FY 2005 section 9 fee those associated with DBS. assesses regulatory fees on international assessment of $1.37 per 64 kbps circuit 11. We agree that the cable carriers based on the number of active is just over half the $2.52 per 64 kbps commenters have not made a international bearer circuits the carrier circuit fee adopted for FY 2004, and is compelling argument, consistent with had the previous year.18 32% below the $2.01 per 64 kbps circuit the standard set forth in section 9(b)(3) proposed in the FY 2005 NPRM. For for ‘‘permitted amendments’’, to justify 12 However, we may revisit the per-MHz and these reasons, we find that it would not a change to the section 9 regulatory fees other fee methodologies in the future. be appropriate to change the fee for DBS operators. Moreover, the 13 XO Comments at 2–5; BMDDP Comments at 4– 5. Commission has not provided notice for customer, including themselves or their affiliates, 14 a change to the fee methodology for DBS Assessment and Collection of Regulatory Fees other than an international common carrier for Fiscal Year 2003, Report and Order, 18 FCC Rcd authorized by the Commission to provide U.S. operators. However, the Commission 15,985, 15,989, at para. 9 (2003) (FY 2003 Report international common carrier services. Non- may seek further information on this and Order). common carrier submarine cable operators are also issue during FY 2006 in order to fully 15 FY 2004 Report and Order, 19 FCC Rcd at to pay fees for any and all international bearer 11,669, para. 16. circuits sold on an indefeasible right of use (IRU) explore whether there is a legal basis for 16 FY 2005 NPRM, 70 FR at 9577, 9578, paras. 11– basis or leased to any customer, including such a change and to analyze the impact 17. themselves or their affiliates, other than an of any change in the methodology used 17 Tyco filed comments and reply comments, SIA international common carrier authorized by the to assess fees both for DBS providers filed comments and Level 3 filed reply comments Commission to provide U.S. international common that addressed the international bearer circuit issue. carrier services. See Assessment and Collection of and cable television operators. The parties generally argued that the current Regulatory Fees for Fiscal Year 2001, MD Docket Therefore, for FY 2005, we will methodology for assessing regulatory fees on the No. 01–76, Report and Order, 16 FCC Rcd 13525, continue to use our current number of active circuits favors older, lower 13593 (2001); Regulatory Fees Fact Sheet: What You capacity systems, and a fee system based on cable Owe—International and Satellite Services Licensees methodology for assessing regulatory landing licenses and international section 214 for FY 2004 at 3 (rel. July 2004) (the fact sheet is fees for cable television operators and authorizations would be administratively simpler available on the FCC Web site at: http:// DBS operators. and provide an incentive for carriers to initiate new hraunfoss.fcc.gov/edocs_public/attachmatch/DOC- services. 249904A4.pdf). 21 18 Regulatory fees for International Bearer Circuits 19 Tyco Comments at 7–8. We may revisit this FY 2005 NPRM, 70 FR at 9578, para. 16. are to be paid by facilities-based common carriers determination in the regulatory fee proceeding for 22 Comments of NCTA at 4–8. See also ACA that have active international bearer circuits in any FY 2006. Comments at 2–3 (arguing that the difference in transmission facility for the provision of service to 20 Tyco proposes that the Commission use either regulatory fee treatment increases the burden on an end user or resale carrier, which includes active employee or employee-hour equivalents to establish cable operators in small markets). circuits to themselves or to their affiliates. In the regulatory fee requirements for non-common 23 Reply Comments of DirectTV and Echostar at addition, non-common carrier satellite operators carrier cable landing licensees. Tyco Comments at 3. must pay a fee for each circuit sold or leased to any 23–25. 24 Id. at 5.
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7. Multichannel Video Distribution and assessing the per-unit regulatory fee, it 19. Facility Changes During the Year: Data Service (MVDDS) may be necessary to make revenue There is no prorating of regulatory fees. 12. We decline to establish a MVDDS adjustments each fiscal year to keep the For example, if a facility is in regulatory fee category at this time. In per unit regulatory fee for construction construction permit status as of the our FY 2005 NPRM, we proposed that, permits at the level of the lowest close of business October 1, but a since MVDDS licenses were first licensed fee for AM, FM, VHF, and UHF license is granted on or after October 2, awarded in 2004 and equipment is still stations. We did not receive any that facility is considered to be in under development, we would not comments or reply comments on this construction permit status for the entire establish MVDDS as a new regulatory matter. Therefore, beginning in FY 2005, year. Other facility changes during the fee category in FY 2005.25 We received we will hold fee amounts for course of the year, such as technical no comments or reply comments on this construction permits in each respective changes, are treated in the same manner. matter. We therefore adopt our proposal fee category (e.g., AM, FM, VHF and 20. Establishment of Exempt Status: and will not establish a MVDDS UHF stations) to levels no higher than State, local, and Federal government regulatory fee category for FY 2005. the lowest fee amounts for licensed agencies and IRS-certified not-for-profit facilities in each respective fee category, entities are generally exempt from 8. Broadband Radio Service (BRS)/ and if necessary, will make adjustments payment of regulatory fees. The Educational Broadband Service (EBS) across only a narrow group of media fee Commission requires that each exempt (Formerly MDS/MMDS and ITFS) categories, such as AM, FM, VHF and entity have on file a valid IRS 13. We note that the BRS/EBS UHF stations, to keep the level of the Determination Letter or certification proceeding is currently pending.26 As lowest respective licensed fee. from a government authority we stated in the FY 2005 NPRM, we are 10. Clarification of Policies and documenting its exempt status. In exploring regulatory fee assessment Procedures instances where there is a question issues for BRS/EBS in that proceeding.27 regarding the exempt status of an entity, To the extent we adopt any changes to a. Ad Hoc Issues Concerning Our the FCC may request, at any time, for our regulatory fee rules in that Regulatory Fee Exemption Policies the entity to submit an IRS proceeding, such changes will not be 16. Pursuant to 47 CFR 1.1162, the Determination Letter or certification effective in time for the FY 2005 Commission does not establish from a government authority that regulatory fee assessments. We expect to regulatory fees for applicants, documents its exempt status. make any appropriate adjustments in permittees, and licensees who qualify as 21. Subsidiaries of Exempt Entities: the FY 2006 regulatory fee cycle or later. government entities or non-profit The licensee of a facility may be distinct from the ultimate owner. Exempt 9. Regulatory Fees for AM and FM entities. Despite the language of 47 CFR entities may hold one or more licenses Construction Permits 1.1162, we still frequently encounter uncertainty and comments from parties for media facilities directly and/or 14. At the inception of our regulatory with respect to our fee exemption through subsidiaries. Facilities licensed fee program in FY 1994, the regulatory policies. In our FY 2005 NPRM, we directly to an exempt entity and its fee amount for construction permits was proposed certain clarifications to our exempt subsidiaries are excused from set at an amount that, when compared exemption policies.28 We received no the regulatory fee obligation. However, to licensed stations, was commensurate comments or reply comments regarding licensees that are for-profit subsidiaries to the limited nature of station our fee exemption policies. Therefore, of exempt entities are subject to operations under the terms of a we will be incorporating these regulatory fees regardless of the exempt construction permit. However, since clarifications into the text of the status of the ultimate owner. 1994, the amount of fees that we have regulatory fee public notices that are Examples been directed to collect each year has generated each year prior to the steadily increased, while the number of collection of regulatory fees. A University owns a commercial estimated payment units for these 17. Terminology: In the ensuing facility whose profits are used to construction permits has steadily discussion, ‘‘facility’’ includes ‘‘station’’ support the University and/or its decreased. This combination of and ‘‘licensee’’ includes ‘‘permittee.’’ programs. If the facility is licensed to increasing expected revenue and ‘‘October 1’’ means the close of business the University directly, or to an exempt decreasing payment units for these on October 1, the first day of the subsidiary of the University, it is construction permits has resulted in a government fiscal year. ‘‘Fee Due Date’’ exempt from regulatory fees. If, regulatory unit fee that is higher than means the close of business on the day however, the license is held by a for- that of some licensed stations. determined to be the final date by which profit subsidiary, regulatory fees are 15. To rectify this situation, we regulatory fees must be paid. The Fee owed, even though the University is an proposed to set the AM, FM, VHF, and Due Date usually occurs in August or exempt entity. UHF construction permit fee to be no September. An ‘‘Exempt Entity’’ is a A state pension fund is the majority higher than the regulatory fee associated legal entity that is relieved of the burden owner of a for-profit commercial with the lowest licensed station for that of paying annual regulatory fees. broadcasting firm. The facilities fee category, noting that because there 18. Determination of Fee Code for a licensed to the for-profit broadcasting are unit and revenue variables in Facility: The fee code is determined by firm would be subject to regulatory fees, the operational status of the facility as even though it is owned by an exempt 25 FY 2005 NPRM, 70 FR at 9579, para. 21. agency. 26 See Amendment of Parts 1, 21, 73, 74 and 101 of October 1 of each year. This involves of the Commission’s Rules to Facilitate the factors such as whether the facility is in 22. Responsible Party, and the Effects Provision of Fixed and Mobile Broadband Access, a Construction Permit (CP) or Licensed of Transfers of Control: The entity Educational and Other Advanced Services in the status and a variety of other factors. holding the license for a facility as of 2150–2162 and 2500–2690 MHz Bands et al., the Fee Due Date is responsible for the Report & Order and Further Notice of Proposed Every facility has a fee code. Rulemaking, 19 FCC Rcd 14165, 14293–97 (2004) regulatory fee for that facility. Eligibility (R&O and FNPRM). 28 FY 2005 NPRM, 70 FR at 9579, 9580, paras. 26– for a regulatory fee exemption is 27 FY 2005 NPRM, 70 FR at 9579, paras. 22–23. 30. determined by the status of the licensee
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as of the Fee Due Date, regardless of the group of stations to regulatory fees. event that regulatees do not have access status of any previous licensee(s). However, at some future point when the to the Internet, we will mail public migration of standard band broadcasters notices and other relevant materials b. Regulatory Fee Obligations for Digital to the Expanded Band has advanced, we upon request. Regulatees and the Broadcasters may consider establishing § 9 regulatory general public may request such 23. In our FY 2005 NPRM, we noted fee requirements for AM Expanded information by contacting the FCC that our current schedule of regulatory Band stations. CORES HelpDesk at (877) 480–3201, fees does not include service categories Option 4. for digital broadcasters.29 Licensees in d. Effective Date of Payment of Multi- 28. In addition to making the above the broadcast industry pay regulatory Year Wireless Fees information available on-line for all of fees based on their analog facilities. For 26. The first eleven fee categories in our regulatees, we proposed in our FY licensees that broadcast in both the our Attachment D, Schedule of 2005 NPRM to send specific regulatory analog and digital formats, the only Regulatory Fees, constitute a general fee fee assessments or bills by surface mail regulatory fee obligation at the present category known as multi-year wireless to regulatees in a select group of fee time is for their analog facility. fees. Regulatory fees for this category are categories.33 We are pursuing our billing Moreover, a licensee that has fully generally paid in advance, and for the initiatives as part of our effort to transitioned to digital broadcasting and amount of the entire 5-year or 10-year modernize our financial practices. has surrendered its analog spectrum term of the license. Because regulatory Eventually, we may expand our billing would have no regulatory fee obligation fees are paid at the time of license initiatives to include all regulatory fee under the current fee regime. We sought renewal (or at the time of a new service categories. For now, based on comment on whether to establish a application), these fees can be paid at the results of our assessment and billing regulatory fee category for digital any time during the fiscal year. As a initiatives from last year, and the broadcasters, but received no comments result, there has been some confusion as resources currently available to us, we or reply comments on this matter.30 At to the regulatory fee rate that should will proceed with our various FY 2005 this time, we will maintain the apply at the time of license renewal. initiatives as described below. Current fiscal year regulatory fees regulatory fee obligation that applies a. Interstate Telecommunications only for the analog facility. generally become effective 30 or 60 days after publication of the fees Order in the Service Providers (ITSPs) c. Regulatory Fee Obligations for AM Federal Register, or in some instances, 29. In FY 2001, we began sending pre- Expanded Band Broadcasters 90 days after delivery of the Order to completed FCC Form 159–W 24. We do not require AM Expanded Congress. Current procedures regarding assessments to carriers in an effort to Band radio stations to pay section 9 the renewal of multi-year wireless fees assist them in paying the Interstate regulatory fees for their expanded band stipulate that licensees may submit their Telecommunications Service Provider AM station at this time. In the FY 2005 fee payments no more than 90 calendar (ITSP) regulatory fee.34 The fee amount NPRM, we proposed to clarify this point days prior to the expiration of their on FCC Form 159–W was calculated and to explain that licensees that licenses. The regulatory fee rate that from the FCC Form 499–A report, which operate a standard band AM station applies at the time of renewal (or at the carriers are required to submit by April (540–1600 kHz) that is linked to an AM time of an application for a new license) 1st of each year. Throughout FY 2002 Expanded Band station are subject to depends on the date that payment is and FY 2003, we refined the FCC Form regulatory fees for their standard band physically received within the 90 day 159–W to simplify the regulatory fee station only.31 We recognized period, and how this date relates to the payment process.35 In FY 2004, we uncertainty about the regulatory fee ‘‘effective date’’ of the current fiscal year generated and mailed the same pre- status in the industry that resulted from regulatory fees. Generally, the ‘‘effective completed FCC Form 159–W’s to the fact that AM Expanded Band radio date’’ of the current fiscal year carriers under the same dissemination service is not among the Commission’s regulatory fees is published in our fee procedures, but we informed them that categories of general exemptions from public notices soon after the Order is we will be treating the amount due on regulatory fees specified in the released. If the renewal payment (or Form 159–W as a bill, rather than as an Commission’s rules.32 We received no application of a new license) is 33 comments or reply comments on this physically received before the ‘‘effective FY 2005 NPRM, 70 FR at 9575, paras. 38–61. date,’’ the prior fiscal year regulatory fee We clarify the distinction between an assessment matter. and a bill. An ‘‘assessment’’ is a proposed statement 25. We will continue to refrain from rate applies. If the renewal payment (or of the amount of regulatory fees owed by an entity requiring AM Expanded Band radio application of a new license) is to the Commission (or proposed subscriber count to stations to pay section 9 regulatory fees physically received on or after the be ascribed for purposes of setting the entity’s regulatory fee). An assessment is not entered into for their stations. However, we note that ‘‘effective date’’, the current fiscal year the Commission’s accounts receivable system as a our decision not to require section 9 regulatory fee rate applies. current debt. A ‘‘bill’’ is automatically entered into regulatory fee payments for AM our financial records as a debt owed to the 11. Notification, Assessment and Commission. Bills reflect the amount owed and Expanded Band stations is not a Collection of Regulatory Fees have a due date of the last day of the fee payment permanent exemption from regulatory window. Consequently, if a bill is not paid by the fees for AM Expanded Band Radio 27. Each year, we generate public due date, it becomes delinquent and is subject to Service. Because the movement to the notices and fact sheets that notify our debt collection procedures. See also 47 CFR expanded band is voluntary and helps regulatees of the fee payment due date 1.1161(c), 1.1164(f)(5), 1.1910. and provide additional information 34 See Assessment and Collection of Regulatory to reduce interference in the standard Fees for Fiscal Year 2001, Report and Order, 16 FCC bandwidth, we will continue our policy regarding regulatory fee payment Rcd 13525, at 13590, para. 67 (2001) (FY 2001 of not subjecting this relatively small procedures. Accordingly, in FY 2005, as Report and Order). See also FCC Public Notice— in prior years, we will make available to Common Carrier Regulatory Fees (August 3, 2001) at 4. 29 all regulatees these public notices, fact Id. at 9580, para. 31. 35 Beginning in FY 2002, the Form 159–W 30 sheets and other relevant fee payment Id., para. 33. included a payment section that allowed carriers 31 Id., para. 34–36. information on our Web site at http:// the opportunity to send in Form 159–W in lieu of 32 47 CFR 1.1162. www.fcc.gov/fees/regfees.html. In the completing Form 159 Remittance Advice Form.
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assessment. Other than the manner in 33. We have modified our Fee Filer fee-exempt status if need be.42 The which Form 159–W payments were online payment system so that it will postcards will also provide the entered into our financial system, address most of SIA’s suggested telephone number of our FCC CORES carriers experienced no procedural corrective measures.40 We will address Help Desk at (877) 480–3201, Option 4, changes regarding the use of the FCC SIA’s other suggestions by generating in the event that parties need additional Form 159–W when submitting payment and mailing the bills at the earliest assistance. of their FY 2004 ITSP regulatory fees. In allowable date after this FY 2005 Order 35. We emphasize that parties must our FY 2005 NPRM, we sought comment becomes effective. We will also ensure still submit a completed Form 159 with on this billing initiative and on ways to that we will have knowledgeable staff their fee payment, despite having improve it. available to assist licensees with their received an assessment postcard. The postcards are not to be used as a 30. We received no comments or reply billing questions and to resolve any bill substitute for completing a Form 159. comments on our ITSP billing initiative disputes. for FY 2005. We will continue our ITSP, We cannot guarantee that a party’s Form 159–W, billing initiative in FY c. Media Services Licensees regulatory fees will be posted accurately 2005. against its account if a completed Form 34. In our FY 2005 NPRM, we 159 is not returned with the fee b. Satellite Space Station Licensees proposed that we would continue to payment. We also emphasize that the 31. In FY 2004, for the first time, we generate regulatory fee assessment facility ID is the most important data mailed regulatory fee bills through postcards for media services following element that parties need to include on surface mail to all licensees in our two the same procedures we used in FY their completed Form 159. The facility satellite space station service categories. 2004. We noted that we mail the ID is a unique identifier that never Specifically, geostationary orbit space postcards on a per-facility basis and that changes over the course of a facility’s station (‘‘GSO’’) licensees received bills they serve to provide parties with the existence (unlike its call sign). We for their operational satellites; 36 and fee payment due date and the assessed prominently display each facility’s non-geostationary orbit space station fee amount for the facility (as well as the facility ID on its assessment postcard, (‘‘NGSO’’) licensees received bills for data attributes that were used to and our Form 159 filing instructions their systems.37 In our FY 2005 NPRM, determine the amount).41 We received require that each facility’s facility ID we proposed to continue our billing no comments or reply comments on our (and call sign) needs to be provided. initiative for our GSO and NGSO proposal. We will continue our However, each year we typically receive satellite space station categories. We assessment initiative for media services many incomplete Form 159s that do not sought comment on this proposal and entities as we originally proposed. provide the facility ID of the facility whose fee is being paid. received comments from the Satellite Specifically, we will mail a single round Industry Association (‘‘SIA’’). of postcards to licensees and their other d. Cable Television Subscribers 32. SIA states that its members known points of contact in our 36. We adopt our proposal to generate experienced a wide range of problems Consolidated Database System (CDBS) fee assessment letters for cable operators with our billing system in FY 2004. For and Commission Registration System who are on file as having paid FY 2004 example, in some cases licensees did (CORES)—our two official databases for regulatory fees for their basic cable not receive a pre-printed bill for all of media services. By doing so, licensees subscribers.43 We received no their space stations.38 Several satellite and their points of contact will all be operators report that they received bills comments or reply comments on this furnished with the same fee information that substantially undercounted the issue. Under our proposal, our for the facility in question. The number of space stations for which they assessment letter to each operator would owed fees. However, the bills that were postcards will direct parties to a announce the due date for payment of issued in FY 2004 lacked call sign Commission-authorized Web site to FY 2005 regulatory fees; reflect the information, making it impossible for update or correct fee information subscriber count for which the operator most operators to determine which regarding the facility, or to certify their paid FY 2004 regulatory fees; and satellites were missing from their bills. request that the operator access a SIA offered suggestions for improving available to assist licensees by answering questions Commission-authorized Web site to and resolving problems. provide its aggregate count of basic the process.39 40 Although the process of mailing one bill per cable subscribers as of December 31, space station will continue unchanged, Fee Filer 2004—the date that cable operators are 36 ‘‘Satellites’’ are in operation on the first day of will automatically find and consolidate all the fiscal year and not co-located with and regulatory fees which have been billed, based upon to use as the basis for determining their technically identical to another operational satellite FCC Registration Number (FRN) and password regulatory fee obligations for basic cable (i.e., not functioning as a spare satellite) on the first entered. Information that describes each individual subscribers. If the number of subscribers day of the fiscal year. fee will include FRN, call sign, and the fee amount. as of December 31, 2004 differs from the 37 ‘‘Systems’’ are licensed by the Commission and This information will be subject to review by the operational on the first day of the fiscal year. Fee Filer user, who can then make modifications, number paid for FY 2004, operators 38 SIA Comments at 11. deletions or additions online. After the user would be required to provide a brief 39 Id. Specifically, SIA suggests: (1) Licensees confirms the details of each fee, he/she may print explanation for the differing subscriber should be issued a single bill that lists all the space a one-page Remittance Voucher which is to counts and indicate when the difference stations for which the Commission believes the accompany the payment. The one-page Remittance occurred. Cable operators who do not licensee owes fees; (2) call signs should be included Voucher will reflect the total payment and the on bills so that licensees can verify the accuracy of detail applicable to that summary payment. have access to the Internet would be the billing information; (3) procedures should be in 41 Fee assessments were issued for AM and FM able to contact the FCC CORES Help place to permit a bill to be modified or Radio Stations, AM and FM Construction Permits, Desk at (877) 480–3201, Option 4, to supplemented if it is incorrect; (4) bills should be FM Translators/Boosters, VHF and UHF Television provide their subscriber count as of mailed well in advance of the payment deadline so Stations, VHF and UHF Television Construction that licensees have a reasonable period to review Permits, Satellite Television Stations, Low Power the bill, seek additional information, if needed, and Television (LPTV) Stations, and LPTV Translators/ 42 The Commission-authorized Web site will be correct any errors prior to the payment due date; Boosters. Fee assessments were not issued for available on-line throughout this summer. The site’s and (5) the Commission staff members who are broadcast auxiliary stations, nor will they be issued Web address is http://www.fccfees.com. knowledgeable about satellite licensing should be for them in FY 2005. 43 FY 2005 NPRM, 70 FR at 9583, para. 57.
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December 31, 2004. Payment procedures Numbering Resource Utilization available for use by another for FY 2005 regulatory fees are the same Forecast (NRUF) reports.47 NRUF data is telecommunications carrier or non- as they were in previous years. For collected by the North American carrier entity) unduly complicates the example, cable operators are to Numbering Plan Administrator correction process and makes the NRUF complete the FCC Form 159 Remittance (NANPA) to monitor the utilization of data unreliable.51 The Commission’s fee Advice when making their payment, telephone numbers by carriers. For assessment is based only on the number and are to certify their December 31, purposes of assessing regulatory fees, of ‘‘assigned’’ TN’s stated in the NRUF 2004 subscriber count in Block 30 of the the Commission uses the count of report. Thus, to the extent that a carrier Form 159. ‘‘assigned’’ telephone numbers (TN’s) 48 categorizes TN’s as ‘‘intermediate,’’ it 37. We also sought comment on a stated by carriers in their NRUF reports has no need to make a correction. proposal to require the cable television (adjusted for porting).49 For carriers not 42. These facts suggest that using operators to annually report their basic required to file NRUF reports, the self- NRUF data has not led to inaccurate or subscriber counts to the Commission computation method still applies.50 unfair assessments for CMRS providers. prior to paying regulatory fees for the 40. We disagree with the arguments of They also demonstrate that the fiscal year in question.44 The Cingular, CTIA, and others that the Commission has a method to address Commission proposed to use the NRUF data are not sufficiently accurate and correct for potential anomalies that reported subscriber counts to audit for the purpose of assessing regulatory the NRUF data may implicate. We regulatory fee payments that are fees for the three classes of Commercial therefore disagree with Cingular and collected later in the fiscal year. NCTA Mobile Radio Service (CMRS) others that using NRUF data, combined was the only commenter on this providers—the Cellular Radiotelephone with the reconciliation process, may proposal. NCTA agreed that a June 1st Service, the Personal Communications result in overpayment of regulatory reporting requirement could be met Service (PCS), and the Specialized fees.52 In fact, using NRUF data, which with accurate subscriber information Mobile Radio (SMR) Service. Evidence is subject to verification, will likely from the previous year and would not of the accuracy and reliability of the produce more accurate assessments than be unduly burdensome for operators to NRUF data can be found in the fact that the self-assessment method the file.45 We do not adopt a subscriber while the initial FY 2004 assessment Commission previously used. Our reporting requirement at this time. We letters calculated regulatory fees based experience in FY 2004 indicates that— will continue to assess our need for on approximately 162.36 million far from being overly burdensome—this information to manage the regulatory fee numbers, the reconciliation process, process offers CMRS providers an assessment program and may revisit this based on provider responses, revised the opportunity to correct potential errors in issue in the future. regulatory fee assessment by only 1.4 their data for section 9 regulatory fee 53 B. FY 2005 Fee Determination and FY percent (to 160.02 million numbers). assessment purposes. 2004 Reconsideration Further evidence of the reliability of the 43. We also reject the arguments of NRUF data is that in FY 2004, we issued Cingular and others that the two-step 12. Commercial Mobile Radio Service 127 initial assessment letters to CMRS process that we established in the FY (CMRS) Providers providers. Only 3.2 percent of the 2004 Report and Order—sending an 38. In this section, we address the respondents had adjustments of greater initial assessment letter, which a CMRS arguments presented by Cingular and than 5,000 subscribers but less than provider may correct, followed by a CTIA in their comments to the FY 2005 20,000; and only 5.5 percent had final assessment letter—is unduly NPRM. In addition, we address adjustments of greater than 20,000 burdensome.54 Cingular maintains that Cingular’s petition for reconsideration subscribers. This experience indicates the correction process contemplates a of the Commission’s FY 2004 Report that NRUF data is sufficiently reliable burdensome number-by-number and Order and the comments filed in and accurate for the purposes of reconciliation of the NRUF data and a response to Cingular’s petition.46 assessing section 9 regulatory fees. We carrier’s actual subscriber count. We 39. Prior to FY 2004, the Commission therefore reject Cingular’s request to clarify that carriers are not required to relied on Cellular, PCS, and SMR reconsider the use of NRUF data in perform number-by-number providers to compute and submit the calculating FY 2004 fees for these three reconciliations when making regulatory fee applicable to them based classes of CMRS carriers. We will also corrections. Carriers may make on the number of their subscribers. continue to rely on the NRUF data for corrections on an aggregate basis. We Beginning in fiscal year 2004, the the FY 2005 regulatory fee assessments will review the letters, and decide Commission decided to take an for these carriers. whether to accept the revised totals. alternative approach and adopted a 41. Further, we find no basis for the Based upon this feedback, we will send system of mailing assessments to assertion in Cingular’s petition that a out a second assessment letter that will Cellular, PCS, and SMR providers based lack of clarity in the NRUF definition of coincide with the payment period of on subscriber data contained in their ‘‘intermediate’’ TN’s (number made regulatory fees. This second assessment letter with aggregate totals will 44 Id., paras. 60–61. 47 FY 2004 Report and Order, 19 FCC Rcd at constitute the basis upon which FY 45 NCTA Comments at 2. 11,675–76 para. 45. 2005 regulatory fees will be paid. If we 46 See Cingular Wireless LLC Petition for 48 ‘‘Assigned’’ numbers are ‘‘numbers working in receive no response to our initial the Public Switched Telephone Network under an Reconsideration, MD Docket No. 04–73, filed Aug. assessment letter within 21 days, we 6, 2004 (Cingular Petition). We received comments agreement such as a contract or tariff at the request in support of the Cingular Petition from CTIA—The of specific end users or customers for their use, or will assume that no corrections are Wireless AssociationTM (CTIA) and joint comments numbers not yet working but having a customer required and the final assessment letter, from seven wireless carriers (American Cellular service order pending.’’ Instructions for Utilization which is mailed approximately 30 days Corporation, AT&T Wireless Services, Inc., Dobson and Forecast Forms, FCC Form 502 (Jun. 2003). Cellular Systems, Inc., Nextel Communications, 49 The porting information is developed from the 51 Inc., Sprint Corporation, T-Mobile USA, Inc., and telephone number porting database managed by the Cingular Petition at 4–5. Western Wireless Corporation) (Wireless Carriers). Local Number Portability Administrator, NeuStar, 52 Cingular Petition at 3, 5–6. We also received reply comments in support of the Inc. 53 Cingular Petition at 5–6. See also CTIA petition from the Rural Telecommunications Group, 50 FY 2004 Report and Order, 19 FCC Rcd at Comments at 3. Inc. (RTG). 11,677 para. 49. 54 Cingular Petition at 5–6.
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after the initial letter, will base the fee 2. Standard Fee Calculations and payment rests with the holder of the payment due on the number of Payment Dates for Annual Regulatory license or permit at the time payment is subscribers listed on the initial Fees due. assessment. In response to Cingular’s 46. The responsibility for payment of (e) International Services: For earth questions as to whether the Commission annual regulatory fees by service stations and geostationary orbit space intends to allow carriers to correct so- category is as follows: 58 stations, payment is calculated on a per called ‘‘contaminated numbers’’ (a) Media Services: The responsibility operational station basis. For non- (numbers used by a thousands-block for the payment of regulatory fees rests geostationary orbit satellite systems, payment is calculated on a per carrier before donating the remainder of with the holder of the permit or license operational system basis. The the block to the pool),55 we clarify that as of October 1, 2004. However, in responsibility for the payment of carriers are permitted to address instances where a license or permit is transferred or assigned after October 1, regulatory fees rests with the holder of ‘‘contaminated numbers.’’ Paragraph 46 the permit or license on October 1, of the FY 2004 Report and Order 2004, responsibility for payment rests with the holder of the license or permit 2004. However, in instances where a specifically links the correction process license or permit is transferred or with the problem of ‘‘contaminated at the time payment is due. (b) Wireline (Common Carrier) assigned after October 1, 2004, numbers.’’ To the extent that paragraph Services: Fees must be paid for any responsibility for payment rests with the 46 of the FY 2004 Report and Order authorization issued on or before holder of the license or permit at the does not unequivocally provide that October 1, 2004. However, where a time payment is due. For international carriers may correct the initial license or permit is transferred or bearer circuits, payment is calculated on assessment letter to account for assigned after October 1, 2004, a per active circuit basis as of December ‘‘contaminated numbers,’’ we hereby responsibility for payment rests with the 31, 2004. 47. We strongly recommend that clarify that they may do so. holder of the license or permit at the entities who will be submitting more 44. We will continue to use the two- time payment is due. than twenty-five (25) Form 159–C’s use step process for assessing section 9 (c) Wireless Services: Commercial Mobile Radio Service (CMRS) cellular, the electronic Fee Filer program when regulatory fees on CMRS providers as sending their regulatory fee payment. proposed in the FY 2005 NPRM.56 mobile, and messaging services (fees based upon a subscriber, unit or circuit We will, for the convenience of payers, Specifically, we will continue to mail an accept fee payments made in advance of initial regulatory fee assessment to count): Fees must be paid for any authorization issued on or before the normal formal window for the CMRS providers based on information payment of regulatory fees. they submit on their NRUF forms. The October 1, 2004. The number of subscribers, units or circuits on initial assessment letter will include a 3. Limitations on Credit Card December 31, 2004 will be used as the list of the carriers’ Operating Company Transactions basis from which to calculate the fee Numbers (OCNs), and an aggregate total 48. The U.S. Treasury has advised the payment. Commission that it may begin rejecting of assigned numbers (adjusted for (d) Multichannel Video Programming Credit Card transactions greater than porting) upon which the assessment is Distributor Services (basic cable 57 $99,999.99 from a single credit card in based. If the number of subscribers on television subscribers and CARS a single day. The U.S. Treasury has the initial assessment letter differs from licenses): The number of subscribers on published Bulletin No. 2005–03 in the data included on their NRUF forms, December 31, 2004 will be used as the which Federal Agencies are directed to CMRS providers may amend their initial basis from which to calculate the fee limit credit card collections per these assessment letter to identify their payment.59 For CARS licensees, fees rules. The Commission will institute subscriber count as of December 31, must be paid for any authorization policies to conform to the U.S. Treasury 2004. issued on or before October 1, 2004. The policy. Entities needing to remit responsibility for the payment of III. Procedural Matters amounts of $100,000.00 or greater regulatory fees for CARS licenses rests should use check, ACH or Fed Wire A. Payment of Regulatory Fees with the holder of the permit or license payment methods. Additional on October 1, 2004. However, in 1. De Minimis Fee Payment Liability information can be found at http:// instances where a CARS license or www.fcc.gov/fees. 45. As in the past, regulatees whose permit is transferred or assigned after B. Enforcement total FY 2005 regulatory fee liability, October 1, 2004, responsibility for including all categories of fees for which 49. As a reminder to all licensees, 58 Note that regulatees in the service categories section 159(c) of the Communications payment is due, amounts to less than that are shaded in grey in Attachment D do not pay $10 will be exempted from payment of annual regulatory fees. We collect regulatory fees Act requires us to impose an additional FY 2005 regulatory fees. from these entities in advance to cover the term of charge as a penalty for late payment of license. Fee payments from these entities are any regulatory fee. As in years past, submitted along with their initial authorization or Failure to pay regulatory fees and/or any 55 Cingular Petition at 3. renewal application when that application is filed. 56 See FY 2005 NPRM, 70 FR at 9579, para. 51– 59 Cable television system operators should late payment penalty will subject 52. compute their basic subscribers as follows: Number regulatees to sanctions, including the 57 Additionally, paragraph 48 of the FY 2004 of single family dwellings + number of individual provisions set forth in the Debt Report and Order indicates that ‘‘[i]f some households in multiple dwelling unit (apartments, Collection Improvement Act of 1996 subscribers are no longer customers, but have been condominiums, mobile home parks, etc.) paying at assigned to another company, please indicate the the basic subscriber rate + bulk rate customers + (‘‘DCIA’’). We also assess administrative company which has acquired these subscribers.’’ courtesy and free service customers. Note: Bulk- processing charges on delinquent debts Cingular suggests that it is unnecessary to report Rate Customers = Total annual bulk-rate charge to recover additional costs incurred in numbers because the Commission already takes divided by basic annual subscription rate for processing and handling the related ported numbers into account using the LNP individual households. Operators may base their database. Cingular Petition at 3. We agree with count on ‘‘a typical day in the last full week’’ of debt pursuant to the DCIA and section Cingular that it is generally unnecessary to correct December 2004, rather than on a count as of 1.1940(d) of the Commission’s rules. ported numbers. December 31, 2004. These administrative processing charges
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will be assessed on any delinquent Regulatory Flexibility Analysis, to the Business Act.64 A ‘‘small business regulatory fee, in addition to the 25 Chief Counsel for Advocacy of the U.S. concern’’ is one which: (1) Is percent late charge penalty. Partial Small Business Administration. independently owned and operated; (2) underpayments of regulatory fees are 56. It is further ordered that this is not dominant in its field of operation; treated in the following manner. The proceeding is terminated. and (3) satisfies any additional criteria licensee will be given credit for the Federal Communications Commission. established by the SBA.65 amount paid, but if it is later Marlene H. Dortch, 61. Small Businesses. Nationwide, determined that the fee paid is incorrect Secretary. there are a total of 22.4 million small or was submitted after the deadline businesses, according to SBA data.66 date, the 25 percent late charge penalty Attachment A—Final Regulatory 62. Small Organizations. Nationwide, will be assessed on the portion that is Flexibility Analysis there are approximately 1.6 million submitted after the filing window. 57. As required by the Regulatory small organizations.67 50. Furthermore, we amended our Flexibility Act (RFA),60 the Commission 63. Small Governmental Jurisdictions. regulatory fee rules effective November prepared an Initial Regulatory The term ‘‘small governmental 1, 2004, to provide that we will Flexibility Analysis (IRFA) of the jurisdiction’’ is defined as ‘‘governments withhold action on any applications or possible significant economic impact on of cities, towns, townships, villages, other requests for benefits filed by small entities by the policies and rules school districts, or special districts, with anyone who is delinquent in any non- in its Notice of Proposed Rulemaking, In a population of less than fifty 68 tax debts owed to the Commission the Matter of Assessment and Collection thousand.’’ As of 1997, there were (including regulatory fees) and will of Regulatory Fees for Fiscal Year 2005. approximately 87,453 governmental 69 ultimately dismiss those applications or Written public comments were sought jurisdictions in the United States. This other requests if payment of the on the FY 2005 fees proposal, including number includes 39,044 county delinquent debt or other satisfactory comments on the IRFA. This present governments, municipalities, and arrangement for payment is not made. Final Regulatory Flexibility Analysis townships, of which 37,546 See 47 CFR 1.1161(c), 1.1164(f)(5), and (FRFA) conforms to the RFA.61 (approximately 96.2%) have 1.1910. Failure to pay regulatory fees populations of fewer than 50,000, and of can also result in the initiation of a I. Need for, and Objectives of, the which 1,498 have populations of 50,000 proceeding to revoke any and all Proposed Rules or more. Thus, we estimate the number authorizations held by the delinquent 58. This rulemaking proceeding is of small governmental jurisdictions payer. initiated to amend the Schedule of overall to be 84,098 or fewer. 64. We have included small C. Congressional Review Act Analysis Regulatory Fees in the amount of $280,098,000, the amount that Congress incumbent local exchange carriers in 51. The Commission will send a copy has required the Commission to recover. this present RFA analysis. As noted of this Order in MD Docket No. 05–59 The Commission seeks to collect the above, a ‘‘small business’’ under the and Order on Reconsideration in MD necessary amount through its revised RFA is one that, inter alia, meets the Docket No. 04–73 in a report to be sent Schedule of Regulatory Fees in the most pertinent small business size standard to Congress and the General Accounting efficient manner possible and without (e.g., a telephone communications Office pursuant to the Congressional undue public burden. business having 1,500 or fewer Review Act, see 5 U.S.C. 801(a)(1)(A). employees), and ‘‘is not dominant in its II. Summary of Significant Issues 70 IV. Ordering Clauses field of operation.’’ The SBA’s Office Raised by Public Comments in of Advocacy contends that, for RFA 52. Accordingly, it is ordered Response to the IRFA purposes, small incumbent local pursuant to sections 4(i) and (j), 9, and 59. None. exchange carriers are not dominant in 303(r) of the Communications Act of III. Description and Estimate of the their field of operation because any such 1934, as amended, 47 U.S.C. 154(i), dominance is not ‘‘national’’ in scope.71 154(j), 159, and 303(r) that the FY 2005 Number of Small Entities to Which the Proposed Rules Will Apply 9 regulatory fee assessment 64 5 U.S.C. 601(3) (incorporating by reference the requirements are adopted as specified 60. The RFA directs agencies to definition of ‘‘small-business concern’’ in the Small herein. provide a description of, and where Business Act, 15 U.S.C. 632). Pursuant to 5 U.S.C. 53. It is further ordered, pursuant to 601(3), the statutory definition of a small business feasible, an estimate of the number of applies ‘‘unless an agency, after consultation with sections 4(i) and (j), 9, 303(r), and 405 small entities that may be affected by the Office of Advocacy of the Small Business of the Communications Act of 1934, 47 the proposed rules and policies, if Administration and after opportunity for public U.S.C. 154(i), 154(j), 159, 303(r), and adopted.62 The RFA generally defines comment, establishes one or more definitions of 405, 47 U.S.C. 405 and 47 CFR 1.106 such term which are appropriate to the activities of the term ‘‘small entity’’ as having the the agency and publishes such definition(s) in the that the Petition for Reconsideration, same meaning as the terms ‘‘small Federal Register.’’ filed August 6, 2004, by Cingular business,’’ ‘‘small organization,’’ and 65 15 U.S.C. 632. Wireless LLC is denied. ‘‘small governmental jurisdiction.’’ 63 In 66 See SBA, Programs and Services, SBA 54. It is further ordered that part 1 of addition, the term ‘‘small business’’ has Pamphlet No. CO–0028, at page 40 (July 2002). the Commission’s rules are amended as the same meaning as the term ‘‘small 67 Independent Sector, The New Nonprofit set forth in Attachment G, and that these Almanac & Desk Reference (2002). business concern’’ under the Small 68 rules shall become effective August 22, 5 U.S.C. 601(5). 69 U.S. Census Bureau, Statistical Abstract of the 2005. 60 5 U.S.C. 603. The RFA, 5 U.S.C. 601–612 has United States: 2000, Section 9, pages 299–300, 55. It is further ordered that the been amended by the Contract With America Tables 490 and 492. Commission’s Consumer and Advancement Act of 1996, Public Law 104–121, 70 15 U.S.C. 632. Governmental Affairs Bureau, Reference 110 Stat. 847 (1996) (CWAAA). Title II of the 71 Letter from Jere W. Glover, Chief Counsel for CWAAA is the Small Business Regulatory Information Center, shall send a copy of Advocacy, SBA, to William E. Kennard, Chairman, Enforcement Fairness Act of 1996 (SBREFA). FCC (May 27, 1999). The Small Business Act this Order in MD Docket No. 05–59 and 61 5 U.S.C. 604 contains a definition of ‘‘small-business concern,’’ Order on Reconsideration in MD Docket 62 5 U.S.C. 603(b)(3). which the RFA incorporates into its own definition No. 04–73, including the Final 63 5 U.S.C. 601(6). Continued
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We have therefore included small fewer employees. In addition, 35 than 1,500 employees. Consequently, incumbent local exchange carriers in carriers have reported that they are the Commission estimates that the this RFA analysis, although we ‘‘Other Local Service Providers.’’ Of the majority of payphone service providers emphasize that this RFA action has no 35, an estimated 34 have 1,500 or fewer are small entities that may be affected effect on Commission analyses and employees and one has more than 1,500 by these rules. determinations in other, non-RFA employees. Consequently, the 70. Interexchange Carriers (IXCs). contexts. Commission estimates that most Neither the Commission nor the SBA 65. Incumbent Local Exchange providers of competitive local exchange has developed a small business size Carriers (LECs). Neither the Commission service, competitive access providers, standard specifically for providers of nor the SBA has developed a small ‘‘Shared-Tenant Service Providers,’’ and interexchange services. The appropriate business size standard specifically for ‘‘Other Local Service Providers’’ are size standard under SBA rules is for the incumbent local exchange services. The small entities that may be affected by category Wired Telecommunications appropriate size standard under SBA these rules. Carriers. Under that size standard, such rules is for the category Wired 67. Local Resellers. The SBA has a business is small if it has 1,500 or Telecommunications Carriers. Under developed a small business size fewer employees.82 According to that size standard, such a business is standard for the category of Commission data,83 261 carriers have small if it has 1,500 or fewer Telecommunications Resellers. Under reported that they are engaged in the employees.72 According to Commission that size standard, such a business is provision of interexchange service. Of data,73 1,337 carriers have reported that small if it has 1,500 or fewer these, an estimated 223 have 1,500 or they are engaged in the provision of employees.76 According to Commission fewer employees and 38 have more than incumbent local exchange services. Of data,77 133 carriers have reported that 1,500 employees. Consequently, the these 1,337 carriers, an estimated 1,032 they are engaged in the provision of Commission estimates that the majority have 1,500 or fewer employees and 305 local resale services. Of these, an of IXCs are small entities that may be have more than 1,500 employees. estimated 127 have 1,500 or fewer affected by these rules. Consequently, the Commission employees and six have more than 1,500 71. Operator Service Providers estimates that most providers of employees. Consequently, the (OSPs). Neither the Commission nor the incumbent local exchange service are Commission estimates that the majority SBA has developed a small business small businesses that may be affected by of local resellers are small entities that size standard specifically for operator these rules. may be affected by these rules. service providers. The appropriate size 66. Competitive Local Exchange 68. Toll Resellers. The SBA has standard under SBA rules is for the Carriers (CLECs), Competitive Access developed a small business size category Wired Telecommunications Providers (CAPs), ‘‘Shared-Tenant standard for the category of Carriers. Under that size standard, such Service Providers,’’ and ‘‘Other Local Telecommunications Resellers. Under a business is small if it has 1,500 or Service Providers.’’ Neither the that size standard, such a business is fewer employees.84 According to Commission nor the SBA has developed small if it has 1,500 or fewer Commission data,85 23 carriers have a small business size standard employees.78 According to Commission reported that they are engaged in the specifically for these service providers. data,79 625 carriers have reported that provision of operator services. Of these, The appropriate size standard under they are engaged in the provision of toll an estimated 22 have 1,500 or fewer SBA rules is for the category Wired resale services. Of these, an estimated employees and one has more than 1,500 Telecommunications Carriers. Under 590 have 1,500 or fewer employees and employees. Consequently, the that size standard, such a business is 35 have more than 1,500 employees. Commission estimates that the majority small if it has 1,500 or fewer Consequently, the Commission of OSPs are small entities that may be employees.74 According to Commission estimates that the majority of toll affected by these rules. data,75 609 carriers have reported that resellers are small entities that may be 72. Prepaid Calling Card Providers. they are engaged in the provision of affected by these rules. Neither the Commission nor the SBA either competitive access provider 69. Payphone Service Providers has developed a small business size services or competitive local exchange (PSPs). Neither the Commission nor the standard specifically for prepaid calling carrier services. Of these 609 carriers, an SBA has developed a small business card providers. The appropriate size estimated 458 have 1,500 or fewer size standard specifically for payphone standard under SBA rules is for the employees and 151 have more than services providers. The appropriate size category Telecommunications Resellers. 1,500 employees. In addition, 16 standard under SBA rules is for the Under that size standard, such a carriers have reported that they are category Wired Telecommunications business is small if it has 1,500 or fewer ‘‘Shared-Tenant Service Providers,’’ and Carriers. Under that size standard, such employees.86 According to Commission all 16 are estimated to have 1,500 or a business is small if it has 1,500 or data,87 37 carriers have reported that fewer employees.80 According to they are engaged in the provision of of ‘‘small business.’’ See 15 U.S.C. 632(a) (Small Commission data,81 761 carriers have prepaid calling cards. Of these, an Business Act); 5 U.S.C. 601(3) (RFA). SBA reported that they are engaged in the estimated 36 have 1,500 or fewer regulations interpret ‘‘small business concern’’ to include the concept of dominance on a national provision of payphone services. Of employees and one has more than 1,500 basis. See 13 CFR 121.102(b). these, an estimated 757 have 1,500 or employees. Consequently, the 72 13 CFR 121.201, North American Industry fewer employees and four have more Commission estimates that the majority Classification System (NAICS) code 517110 (changed from 13310 in October 2002). 76 13 CFR 121.201, NAICS code 517310 (changed 82 13 CFR 121.201, NAICS code 517110 (changed 73 FCC, Wireline Competition Bureau, Industry from 513330 in October 2002). from 513310 in October 2002). Analysis and Technology Division, ‘‘Trends in 77 83 Telephone Service’’ at Table 5.3, Page 5–5 (Aug. ‘‘Trends in Telephone Service’’ at Table 5.3. ‘‘Trends in Telephone Service’’ at Table 5.3. 2003) (hereinafter ‘‘Trends in Telephone Service’’). 78 13 CFR 121.201, NAICS code 517310 (changed 84 13 CFR 121.201, NAICS code 517110 (changed This source uses data that are current as of to 513330 in October 2002). from 513310 in October 2002). December 31, 2001. 79 ‘‘Trends in Telephone Service’’ at Table 5.3. 85 ‘‘Trends in Telephone Service’’ at Table 5.3. 74 13 CFR 121.201, NAICS code 517110 (changed 80 13 CFR 121.201, NAICS code 517110 (changed 86 13 CFR 121.201, NAICS code 517310 (changed from 513310 in October 2002). from 513310 in October 2002). from 513330 in October 2002). 75 ‘‘Trends in Telephone Service’’ at Table 5.3. 81 ‘‘Trends in Telephone Service’’ at Table 5.3. 87 ‘‘Trends in Telephone Service’’ at Table 5.3.
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of prepaid calling card providers are firms had receipts of $10 million to firms in this category, total, that small entities that may be affected by $24,999,999. Thus, the majority of operated for the entire year.99 Of this these rules. Satellite Telecommunications firms can total, 965 firms had employment of 999 73. 800 and 800-Like Service be considered small. or fewer employees, and an additional Subscribers.88 Neither the Commission 75. The second category—Other 12 firms had employment of 1,000 nor the SBA has developed a small Telecommunications—includes employees or more.100 Thus, under this business size standard specifically for ‘‘establishments primarily engaged in second category and size standard, the 800 and 800-like service (‘‘toll free’’) * * * providing satellite terminal great majority of firms can, again, be subscribers. The appropriate size stations and associated facilities considered small. standard under SBA rules is for the operationally connected with one or category Telecommunications Resellers. more terrestrial communications 77. Internet Service Providers. The Under that size standard, such a systems and capable of transmitting SBA has developed a small business business is small if it has 1,500 or fewer telecommunications to or receiving size standard for Internet Service employees.89 The most reliable source telecommunications from satellite Providers. This category comprises of information regarding the number of systems.’’ 93 According to Census establishments ‘‘primarily engaged in these service subscribers appears to be Bureau data for 1997, there were 439 providing direct access through data the Commission collects on the firms in this category that operated for telecommunications networks to 800, 888, and 877 numbers in use.90 the entire year.94 Of this total, 424 firms computer-held information compiled or According to our data, at the end of had annual receipts of $5 million to published by others.’’ 101 Under the SBA January, 1999, the number of 800 $9,999,999 and an additional six firms size standard, such a business is small numbers assigned was 7,692,955; the had annual receipts of $10 million to if it has average annual receipts of $21 number of 888 numbers assigned was $24,999,990. Thus, under this second million or less.102 According to Census 7,706,393; and the number of 877 size standard, the majority of firms can Bureau data for 1997, there were 2,751 numbers assigned was 1,946,538. We do be considered small. firms in this category that operated for not have data specifying the number of 76. Wireless Service Providers. The the entire year.103 Of these, 2,659 firms these subscribers that are not SBA has developed a small business had annual receipts of under $10 independently owned and operated or size standard for wireless firms within million, and an additional 67 firms had have more than 1,500 employees, and the two broad economic census receipts of between $10 million and thus are unable at this time to estimate categories of ‘‘Paging’’ 95 and ‘‘Cellular $24,999,999.104 Thus, under this size with greater precision the number of toll and Other Wireless standard, the great majority of firms can free subscribers that would qualify as Telecommunications.’’ 96 Under both be considered small entities. small businesses under the SBA size SBA categories, a wireless business is 78. Cellular Licensees. The SBA has standard. Consequently, we estimate small if it has 1,500 or fewer employees. developed a small business size that there are 7,692,955 or fewer small For the census category of Paging, standard for wireless firms within the entity 800 subscribers; 7,706,393 or Census Bureau data for 1997 show that broad economic census category fewer small entity 888 subscribers; and there were 1,320 firms in this category, 97 ‘‘Cellular and Other Wireless 1,946,538 or fewer small entity 877 total, that operated for the entire year. Telecommunications.’’ 105 Under this subscribers. Of this total, 1,303 firms had SBA category, a wireless business is 74. International Service Providers. employment of 999 or fewer employees, small if it has 1,500 or fewer employees. The Commission has not developed a and an additional 17 firms had For the census category Cellular and small business size standard specifically employment of 1,000 employees or 98 Other Wireless Telecommunications for providers of international service. more. Thus, under this category and firms, Census Bureau data for 1997 associated small business size standard, The appropriate size standards under show that there were 977 firms in this the great majority of firms can be SBA rules are for the two broad category, total, that operated for the categories of Satellite considered small. For the census Telecommunications and Other category Cellular and Other Wireless 99 U.S. Census Bureau, 1997 Economic Census, Telecommunications. Under both Telecommunications, Census Bureau Subject Series: ‘‘Information,’’ Table 5, Employment categories, such a business is small if it data for 1997 show that there were 977 Size of Firms Subject to Federal Income Tax: 1997, has $12.5 million or less in average NAICS code 513322 (issued October 2000). annual receipts.91 For the first category 93 Office of Management and Budget, North 100 U.S. Census Bureau, 1997 Economic Census, of Satellite Telecommunications, American Industry Classification System, page 513 Subject Series: ‘‘Information,’’ Table 5, Employment (1997) (NAICS code 513390, changed to 517910 in Size of Firms Subject to Federal Income Tax: 1997, Census Bureau data for 1997 show that October 2002). NAICS code 513322 (issued October 2000). The there were a total of 324 firms that 94 U.S. Census Bureau, 1997 Economic Census, census data do not provide a more precise estimate operated for the entire year.92 Of this Subject Series: Information, ‘‘Establishment and of the number of firms that have employment of total, 273 firms had annual receipts of Firm Size (Including Legal Form of Organization),’’ 1,500 or fewer employees; the largest category provided is ‘‘Firms with 1000 employees or more.’’ under $10 million, and an additional 24 Table 4, NAICS code 513390 (issued October 2000). 95 13 CFR 121.201, NAICS code 513321 (changed 101 Office of Management and Budget, North to 517211 in October 2002). American Industry Classification System, page 515 88 We include all toll-free number subscribers in 96 13 CFR 121.201, NAICS code 513322 (changed (1997). NAICS code 514191, ‘‘On-Line Information this category, including those for 888 numbers. to 517212 in October 2002). Services’’ (changed to current name and to code 89 13 CFR 121.201, NAICS code 517310 (changed 97 U.S. Census Bureau, 1997 Economic Census, 518111 in October 2002). from 513330 in October 2002). Subject Series: ‘‘Information,’’ Table 5, Employment 102 13 CFR 121.201, NAICS code 518111. 90 FCC, Common Carrier Bureau, Industry Size of Firms Subject to Federal Income Tax: 1997, 103 U.S. Census Bureau, 1997 Economic Census, Analysis Division, Study on Telephone Trends, NAICS code 513321 (issued October 2000). Subject Series: ‘‘Information,’’ Table 4, Receipts Tables 21.2, 21.3, and 21.4 (Feb. 19, 1999). 98 U.S. Census Bureau, 1997 Economic Census, Size of Firms Subject to Federal Income Tax: 1997, 91 13 CFR 121.201, NAICS codes 517410 and Subject Series: ‘‘Information,’’ Table 5, Employment NAICS code 514191 (issued October 2000). 517910 (changed from 513340 and 513390 in Size of Firms Subject to Federal Income Tax: 1997, 104 U.S. Census Bureau, 1997 Economic Census, October 2002). NAICS code 513321 (issued October 2000). The Subject Series: ‘‘Information,’’ Table 4, Receipts 92 U.S. Census Bureau, 1997 Economic Census, census data do not provide a more precise estimate Size of Firms Subject to Federal Income Tax: 1997, Subject Series: Information, ‘‘Establishment and of the number of firms that have employment of NAICS code 514191 (issued October 2000). Firm Size (Including Legal Form of Organization),’’ 1,500 or fewer employees; the largest category 105 13 CFR 121.201, NAICS code 513322 (changed Table 4, NAICS code 513340 (issued October 2000). provided is ‘‘Firms with 1000 employees or more.’’ to 517212 in October 2002).
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entire year.106 Of this total, 965 firms 80. In the Paging Second Report and under the SBA-approved small business had employment of 999 or fewer Order, the Commission adopted a size size standard.121 We estimate that the employees, and an additional 12 firms standard for ‘‘small businesses’’ for majority of common carrier paging had employment of 1,000 employees or purposes of determining their eligibility providers would qualify as small more.107 Thus, under this category and for special provisions such as bidding entities under the SBA definition. size standard, the great majority of firms credits and installment payments.113 A 81. Wireless Communications can be considered small. According to small business is an entity that, together Services. This service can be used for the most recent Trends in Telephone with its affiliates and controlling fixed, mobile, radiolocation, and digital Service data, 719 carriers reported that principals, has average gross revenues audio broadcasting satellite uses. The they were engaged in the provision of not exceeding $15 million for the Commission defined ‘‘small business’’ cellular service, personal preceding three years.114 The SBA has for the wireless communications communications service, or specialized approved this definition.115 An auction services (WCS) auction as an entity with mobile radio telephony services, which of Metropolitan Economic Area (MEA) average gross revenues of $40 million are placed together in the data.108 We licenses commenced on February 24, for each of the three preceding years, have estimated that 294 of these are 2000, and closed on March 2, 2000. Of and a ‘‘very small business’’ as an entity small, under the SBA small business the 2,499 licenses auctioned, 985 were with average gross revenues of $15 116 size standard.109 sold. Fifty-seven companies claiming million for each of the three preceding small business status won 440 years.122 The SBA has approved these 79. Common Carrier Paging. The SBA licenses.117 An auction of MEA and definitions.123 The Commission has developed a small business size Economic Area (EA) licenses auctioned geographic area licenses in standard for wireless firms within the commenced on October 30, 2001, and the WCS service. In the auction, which broad economic census categories of closed on December 5, 2001. Of the commenced on April 15, 1997 and ‘‘Cellular and Other Wireless 15,514 licenses auctioned, 5,323 were closed on April 25, 1997, there were Telecommunications.’’ 110 Under this sold.118 One hundred thirty-two seven bidders that won 31 licenses that SBA category, a wireless business is companies claiming small business qualified as very small business entities, small if it has 1,500 or fewer employees. status purchased 3,724 licenses. A third and one bidder that won one license For the census category of Paging, auction, consisting of 8,874 licenses in that qualified as a small business entity. Census Bureau data for 1997 show that each of 175 EAs and 1,328 licenses in An auction for one license in the 1670– there were 1,320 firms in this category, all but three of the 51 MEAs 1674 MHz band commenced on April total, that operated for the entire year.111 commenced on May 13, 2003, and 30, 2003 and closed the same day. One Of this total, 1,303 firms had closed on May 28, 2003. Seventy-seven license was awarded. The winning employment of 999 or fewer employees, bidders claiming small or very small bidder was not a small entity. and an additional 17 firms had business status won 2,093 licenses.119 82. Wireless Telephony. Wireless employment of 1,000 employees or Currently, there are approximately telephony includes cellular, personal more.112 Thus, under this category and 74,000 Common Carrier Paging licenses. communications services, and associated small business size standard, According to the most recent Trends in specialized mobile radio telephony the great majority of firms can be Telephone Service, 608 private and carriers. The SBA has developed a small considered small. common carriers reported that they business size standard for ‘‘Cellular and were engaged in the provision of either Other Wireless Telecommunications’’ 106 U.S. Census Bureau, 1997 Economic Census, paging or ‘‘other mobile’’ services.120 Of services.124 Under the SBA small Subject Series: ‘‘Information,’’ Table 5, Employment these, we estimate that 589 are small, business size standard, a business is Size of Firms Subject to Federal Income Tax: 1997, NAICS code 513322 (issued October 2000). small if it has 1,500 or fewer 113 Revision of Part 22 and Part 90 of the 125 107 U.S. Census Bureau, 1997 Economic Census, employees. According to the most Commission’s Rules to Facilitate Future Subject Series: ‘‘Information,’’ Table 5, Employment recent Trends in Telephone Service Development of Paging Systems, Second Report and Size of Firms Subject to Federal Income Tax: 1997, Order, 12 FCC Rcd 2732, 2811–2812, paras. 178– data, 719 carriers reported that they NAICS code 513322 (issued October 2000). The 181 (Paging Second Report and Order); see also were engaged in wireless telephony.126 census data do not provide a more precise estimate Revision of Part 22 and Part 90 of the Commission’s We have estimated that 294 of these are of the number of firms that have employment of Rules to Facilitate Future Development of Paging 1,500 or fewer employees; the largest category Systems, Memorandum Opinion and Order on small under the SBA small business size provided is ‘‘Firms with 1000 employees or more.’’ Reconsideration, 14 FCC Rcd 10030, 10085–10088, standard. 108 FCC, Wireline Competition Bureau, Industry paras. 98–107 (1999). 83. Broadband Personal Analysis and Technology Division, ‘‘Trends in 114 Paging Second Report and Order, 12 FCC Rcd Communications Service. The Telephone Service’’ at Table 5.3, page 5–5 (August at 2811, para. 179. 2003). This source uses data that are current as of 115 See Letter to Amy Zoslov, Chief, Auctions and 121 13 CFR 121.201, NAICS code 517211. December 31, 2001. Industry Analysis Division, Wireless 122 109 FCC, Wireline Competition Bureau, Industry Telecommunications Bureau, from Aida Alvarez, Amendment of the Commission’s Rules to Analysis and Technology Division, ‘‘Trends in Administrator, Small Business Administration, Establish Part 27, the Wireless Communications Telephone Service’’ at Table 5.3, page 5–5 (August dated December 2, 1998. Service (WCS), Report and Order, 12 FCC Rcd 2003). This source uses data that are current as of 116 See ‘‘929 and 931 MHz Paging Auction 10785, 10879, para. 194 (1997). December 31, 2001. Closes,’’ Public Notice, 15 FCC Rcd 4858 (WTB 123 See Letter to Amy Zoslov, Chief, Auctions and 110 13 CFR 121.201, NAICS code 513322 (changed 2000). Industry Analysis Division, Wireless to 517212 in October 2002). 117 See ‘‘929 and 931 MHz Paging Auction Telecommunications Bureau, Federal 111 U.S. Census Bureau, 1997 Economic Census, Closes,’’ Public Notice, 15 FCC Rcd 4858 (WTB Communications Commission, from Aida Alvarez, Subject Series: ‘‘Information,’’ Table 5, Employment 2000). Administrator, Small Business Administration, Size of Firms Subject to Federal Income Tax: 1997, 118 See ‘‘Lower and Upper Paging Band Auction dated December 2, 1998. NAICS code 513321 (issued October 2000). Closes,’’ Public Notice, 16 FCC Rcd 21821 (WTB 124 13 CFR 121.201, NAICS code 513322 (changed 112 U.S. Census Bureau, 1997 Economic Census, 2002). to 517212 in October 2002). Subject Series: ‘‘Information,’’ Table 5, Employment 119 See ‘‘Lower and Upper Paging Bands Auction 125 13 CFR 121.201, NAICS code 513322 (changed Size of Firms Subject to Federal Income Tax: 1997, Closes,’’ Public Notice, 18 FCC Rcd 11154 (WTB to 517212 in October 2002). NAICS code 513321 (issued October 2000). The 2003). 126 FCC, Wireline Competition Bureau, Industry census data do not provide a more precise estimate 120 See Trends in Telephone Service, Industry Analysis and Technology Division, ‘‘Trends in of the number of firms that have employment of Analysis Division, Wireline Competition Bureau, Telephone Service’’ at Table 5.3, page 5–5 (August 1,500 or fewer employees; the largest category Table 5.3 (Number of Telecommunications Service 2003). This source uses data that are current as of provided is ‘‘Firms with 1000 employees or more.’’ Providers that are Small Businesses) (May 2002). December 31, 2001.
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broadband personal communications Commission held an auction for or very small entity and won 311 services (PCS) spectrum is divided into Narrowband PCS licenses that licenses. six frequency blocks designated A commenced on July 25, 1994, and 86. Lower 700 MHz Band Licenses. through F, and the Commission has held closed on July 29, 1994. A second We adopted criteria for defining three auctions for each block. The auction commenced on October 26, groups of small businesses for purposes Commission has created a small 1994 and closed on November 8, 1994. of determining their eligibility for business size standard for Blocks C and For purposes of the first two special provisions such as bidding F as an entity that has average gross Narrowband PCS auctions, ‘‘small credits.140 We have defined a ‘‘small revenues of less than $40 million in the businesses’’ were entities with average business’’ as an entity that, together three previous calendar years.127 For gross revenues for the prior three with its affiliates and controlling Block F, an additional small business calendar years of $40 million or less.133 principals, has average gross revenues size standard for ‘‘very small business’’ not exceeding $40 million for the Through these auctions, the 141 was added and is defined as an entity Commission awarded a total of 41 preceding three years. A ‘‘very small business’’ is defined as an entity that, that, together with its affiliates, has licenses, 11 of which were obtained by together with its affiliates and average gross revenues of not more than four small businesses.134 To ensure controlling principals, has average gross $15 million for the preceding three meaningful participation by small 128 revenues that are not more than $15 calendar years. These small business business entities in future auctions, the size standards, in the context of million for the preceding three years.142 Commission adopted a two-tiered small Additionally, the lower 700 MHz broadband PCS auctions, have been business size standard in the approved by the SBA.129 No small Service has a third category of small Narrowband PCS Second Report and business status that may be claimed for businesses within the SBA-approved Order.135 A ‘‘small business’’ is an small business size standards bid Metropolitan/Rural Service Area (MSA/ entity that, together with affiliates and RSA) licenses. The third category is successfully for licenses in Blocks A controlling interests, has average gross and B. There were 90 winning bidders ‘‘entrepreneur,’’ which is defined as an revenues for the three preceding years of that qualified as small entities in the entity that, together with its affiliates not more than $40 million.136 A ‘‘very Block C auctions. A total of 93 ‘‘small’’ and controlling principals, has average small business’’ is an entity that, and ‘‘very small’’ business bidders won gross revenues that are not more than $3 together with affiliates and controlling 143 approximately 40 percent of the 1,479 million for the preceding three years. interests, has average gross revenues for licenses for Blocks D, E, and F.130 On The SBA has approved these small size the three preceding years of not more 144 March 23, 1999, the Commission standards. An auction of 740 licenses than $15 million.137 The SBA has reauctioned 155 C, D, E, and F Block (one license in each of the 734 MSAs/ approved these small business size licenses; there were 113 small business RSAs and one license in each of the six standards.138 A third auction winning bidders.131 Economic Area Groupings (EAGs)) 84. On January 26, 2001, the commenced on October 3, 2001 and commenced on August 27, 2002, and Commission completed the auction of closed on October 16, 2001. Here, five closed on September 18, 2002. Of the 422 C and F Broadband PCS licenses in bidders won 317 (Metropolitan Trading 740 licenses available for auction, 484 139 Auction No. 35. Of the 35 winning Areas and nationwide) licenses. licenses were sold to 102 winning bidders in this auction, 29 qualified as Three of these claimed status as a small bidders. Seventy-two of the winning ‘‘small’’ or ‘‘very small’’ businesses.132 bidders claimed small business, very Subsequent events, concerning Auction 133 Implementation of Section 309(j) of the small business or entrepreneur status 35, including judicial and agency Communications Act—Competitive Bidding and won a total of 329 licenses.145 A Narrowband PCS, Third Memorandum Opinion and second auction commenced on May 28, determinations, resulted in a total of 163 Order and Further Notice of Proposed Rulemaking, C and F Block licenses being available 10 FCC Rcd 175, 196, para. 46 (1994). 2003, and closed on June 13, 2003, and for grant. 134 See ‘‘Announcing the High Bidders in the included 256 licenses: 5 EAG licenses 85. Narrowband Personal Auction of ten Nationwide Narrowband PCS and 476 Cellular Market Area Licenses, Winning Bids Total $617,006,674,’’ Public licenses.146 Seventeen winning bidders Communications Services. The Notice, PNWL 94–004 (released Aug. 2, 1994); ‘‘Announcing the High Bidders in the Auction of 30 127 See Amendment of Parts 20 and 24 of the Regional Narrowband PCS Licenses; Winning Bids 140 See Reallocation and Service Rules for the Commission’s Rules—Broadband PCS Competitive Total $490,901,787,’’ Public Notice, PNWL 94–27 698–746 MHz Spectrum Band (Television Channels Bidding and the Commercial Mobile Radio Service (released Nov. 9, 1994). 52–59), Report and Order, 17 FCC Rcd 1022 (2002). Spectrum Cap, Report and Order, 11 FCC Rcd 7824, 135 Amendment of the Commission’s Rules to 141 See Reallocation and Service Rules for the 7850–7852, paras. 57–60 (1996); see also 47 CFR Establish New Personal Communications Services, 698–746 MHz Spectrum Band (Television Channels 24.720(b). Narrowband PCS, Second Report and Order and 52–59), Report and Order, 17 FCC Rcd 1022, 1087– 128 See Amendment of Parts 20 and 24 of the Second Further Notice of Proposed Rule Making, 15 88, para. 172 (2002). Commission’s Rules—Broadband PCS Competitive FCC Rcd 10456, 10476, para. 40 (2000). 142 See Reallocation and Service Rules for the Bidding and the Commercial Mobile Radio Service 136 Amendment of the Commission’s Rules to 698–746 MHz Spectrum Band (Television Channels Spectrum Cap, Report and Order, 11 FCC Rcd 7824, Establish New Personal Communications Services, 52–59), Report and Order, 17 FCC Rcd 1022, 1087– 7852, para. 60. Narrowband PCS, Second Report and Order and 88, para. 172 (2002). 129 See Letter to Amy Zoslov, Chief, Auctions and Second Further Notice of Proposed Rule Making, 15 143 See Reallocation and Service Rules for the Industry Analysis Division, Wireless FCC Rcd 10456, 10476, para. 40 (2000). 698–746 MHz Spectrum Band (Television Channels Telecommunications Bureau, Federal 137 Amendment of the Commission’s Rules to 52–59), Report and Order, 17 FCC Rcd 1022, 1088, Communications Commission, from Aida Alvarez, Establish New Personal Communications Services, para. 173 (2002). Administrator, Small Business Administration, Narrowband PCS, Second Report and Order and 144 See Letter to Thomas Sugrue, Chief, Wireless dated December 2, 1998. Second Further Notice of Proposed Rule Making, 15 Telecommunications Bureau, Federal 130 FCC News, ‘‘Broadband PCS, D, E and F Block FCC Rcd 10456, 10476, para. 40 (2000). Communications Commission, from Aida Alvarez, Auction Closes,’’ No. 71744 (released January 14, 138 See Letter to Amy Zoslov, Chief, Auctions and Administrator, Small Business Administration, 1997). Industry Analysis Division, Wireless dated August 10, 1999. 131 See ‘‘C, D, E, and F Block Broadband PCS Telecommunications Bureau, Federal 145 See ‘‘Lower 700 MHz Band Auction Closes,’’ Auction Closes,’’ Public Notice, 14 FCC Rcd 6688 Communications Commission, from Aida Alvarez, Public Notice, 17 FCC Rcd 17272 (WTB 2002). (WTB 1999). Administrator, Small Business Administration, 146 See ‘‘Lower 700 MHz Band Auction Closes,’’ 132 See ‘‘C and F Block Broadband PCS Auction dated December 2, 1998. Public Notice, 18 FCC Rcd 11873 (WTB 2003). Closes; Winning Bidders Announced,’’ Public 139 See ‘‘Narrowband PCS Auction Closes,’’ 147 See ‘‘Lower 700 MHz Band Auction Closes,’’ Notice, 16 FCC Rcd 2339 (2001). Public Notice, 16 FCC Rcd 18663 (WTB 2001). Public Notice, 18 FCC Rcd 11873 (WTB 2003).
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claimed small or very small business of the licenses auctioned were sold to December 5, 2000, a total of 2,800 status and won 60 licenses, and nine three bidders. One of these bidders was Economic Area licenses in the lower 80 winning bidders claimed entrepreneur a small business that won a total of two channels of the 800 MHz SMR service status and won 154 licenses.147 licenses.155 were sold.162 Of the 22 winning bidders, 87. Upper 700 MHz Band Licenses. 89. Specialized Mobile Radio. The 19 claimed small business status and The Commission released a Report and Commission awards ‘‘small entity’’ won 129 licenses. Thus, combining all Order, authorizing service in the upper bidding credits in auctions for three auctions, 40 winning bidders for 700 MHz band.148 This auction, Specialized Mobile Radio (SMR) geographic licenses in the 800 MHz previously scheduled for January 13, geographic area licenses in the 800 MHz SMR band claimed status as small 2003, has been postponed.149 and 900 MHz bands to firms that had business. 88. 700 MHz Guard Band Licenses. In revenues of no more than $15 million in 91. In addition, there are numerous the 700 MHz Guard Band Order, we each of the three previous calendar incumbent site-by-site SMR licensees adopted size standards for ‘‘small years.156 The Commission awards ‘‘very and licensees with extended businesses’’ and ‘‘very small small entity’’ bidding credits to firms implementation authorizations in the businesses’’ for purposes of determining that had revenues of no more than $3 800 and 900 MHz bands. We do not their eligibility for special provisions million in each of the three previous know how many firms provide 800 MHz such as bidding credits and installment calendar years.157 The SBA has or 900 MHz geographic area SMR payments.150 A small business in this approved these small business size pursuant to extended implementation service is an entity that, together with standards for the 900 MHz Service.158 authorizations, nor how many of these its affiliates and controlling principals, The Commission has held auctions for providers have annual revenues of no has average gross revenues not geographic area licenses in the 800 MHz more than $15 million. One firm has exceeding $40 million for the preceding and 900 MHz bands. The 900 MHz SMR over $15 million in revenues. We three years.151 Additionally, a very auction began on December 5, 1995, and assume, for purposes of this analysis, small business is an entity that, together closed on April 15, 1996. Sixty bidders that all of the remaining existing with its affiliates and controlling claiming that they qualified as small extended implementation principals, has average gross revenues businesses under the $15 million size authorizations are held by small that are not more than $15 million for standard won 263 geographic area entities, as that small business size the preceding three years.152 SBA licenses in the 900 MHz SMR band. The standard is approved by the SBA. approval of these definitions is not 800 MHz SMR auction for the upper 200 92. 220 MHz Radio Service—Phase I required.153 An auction of 52 Major channels began on October 28, 1997, Licensees. The 220 MHz service has Economic Area (MEA) licenses and was completed on December 8, both Phase I and Phase II licenses. Phase commenced on September 6, 2000, and 1997. Ten bidders claiming that they I licensing was conducted by lotteries in 1992 and 1993. There are approximately closed on September 21, 2000.154 Of the qualified as small businesses under the 1,515 such non-nationwide licensees 104 licenses auctioned, 96 licenses were $15 million size standard won 38 and four nationwide licensees currently sold to nine bidders. Five of these geographic area licenses for the upper authorized to operate in the 220 MHz bidders were small businesses that won 200 channels in the 800 MHz SMR 159 band. The Commission has not a total of 26 licenses. A second auction band. A second auction for the 800 developed a definition of small entities of 700 MHz Guard Band licenses MHz band was held on January 10, 2002 specifically applicable to such commenced on February 13, 2001, and and closed on January 17, 2002 and included 23 BEA licenses. One bidder incumbent 220 MHz Phase I licensees. closed on February 21, 2001. All eight claiming small business status won five To estimate the number of such 160 licensees that are small businesses, we 148 Service Rules for the 746–764 and 776–794 licenses. MHz Bands, and Revisions to Part 27 of the 90. The auction of the 1,053 800 MHz apply the small business size standard Commission’s Rules, Second Memorandum SMR geographic area licenses for the under the SBA rules applicable to Opinion and Order, 16 FCC Rcd 1239 (2001). General Category channels began on ‘‘Cellular and Other Wireless 149 See ‘‘Auction of Licenses for 747–762 and August 16, 2000, and was completed on Telecommunications’’ companies. This 777–792 MHz Bands (Auction No. 31) Is Rescheduled,’’ Public Notice, 16 FCC Rcd 13079 September 1, 2000. Eleven bidders won category provides that a small business (WTB 2003). 108 geographic area licenses for the is a wireless company employing no 150 See Service Rules for the 746–764 MHz Bands, General Category channels in the 800 more than 1,500 persons.163 According and Revisions to Part 27 of the Commission’s Rules, MHz SMR band qualified as small to the Census Bureau data for 1997, only Second Report and Order, 15 FCC Rcd 5299 (2000). businesses under the $15 million size twelve firms out of a total of 1,238 such 151 See Service Rules for the 746–764 MHz Bands, 161 firms that operated for the entire year in and Revisions to Part 27 of the Commission’s Rules, standard. In an auction completed on 164 Second Report and Order, 15 FCC Rcd 5299, 5343, 1997, had 1,000 or more employees. para. 108 (2000). 156 47 CFR 90.814(b)(1). If this general ratio continues in the 152 See Service Rules for the 746–764 MHz Bands, 157 47 CFR 90.814(b)(1). context of Phase I 220 MHz licensees, and Revisions to Part 27 of the Commission’s Rules, 158 See Letter to Thomas Sugrue, Chief, Wireless the Commission estimates that nearly all Second Report and Order, 15 FCC Rcd 5299, 5343, Telecommunications Bureau, Federal para. 108 (2000). Communications Commission, from Aida Alvarez, such licensees are small businesses 153 See Service Rules for the 746–764 MHz Bands, Administrator, Small Business Administration, and Revisions to Part 27 of the Commission’s Rules, dated August 10, 1999. We note that, although a Upper Band (861–865 MHz) Auction Closes; Second Report and Order, 15 FCC Rcd 5299, 5343, request was also sent to the SBA requesting Winning Bidders Announced,’’ Public Notice, 15 para. 108 n.246 (for the 746–764 MHz and 776–794 approval for the small business size standard for FCC Rcd 17162 (2000). MHz bands, the Commission is exempt from 15 800 MHz, approval is still pending. 162 See, ‘‘800 MHz SMR Service Lower 80 U.S.C. 632, which requires Federal agencies to 159 See ‘‘Correction to Public Notice DA 96–586 Channels Auction Closes; Winning Bidders obtain SBA approval before adopting small business ‘FCC Announces Winning Bidders in the Auction Announced,’’ Public Notice, 16 FCC Rcd 1736 size standards). of 1020 Licenses to Provide 900 MHz SMR in Major (2000). 154 See ‘‘700 MHz Guard Bands Auction Closes: Trading Areas,’’’ Public Notice, 18 FCC Rcd 18367 163 13 CFR 121.201, NAICS code 513322 (changed Winning Bidders Announced,’’ Public Notice, 15 (WTB 1996). to 517212 in October 2002). FCC Rcd 18026 (2000). 160 See ‘‘Multi-Radio Service Auction Closes,’’ 164 U.S. Census Bureau, 1997 Economic Census, 155 See ‘‘700 MHz Guard Bands Auction Closes: Public Notice, 17 FCC Rcd 1446 (WTB 2002). Subject Series: Information, ‘‘Establishment and Winning Bidders Announced,’’ Public Notice, 16 161 See, ‘‘800 MHz Specialized Mobile Radio Firm Size (Including Legal Form of Organization),’’ FCC Rcd 4590 (WTB 2001). (SMR) Service General Category (851–854 MHz) and Table 5, NAICS code 513322 (October 2000).
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under the SBA’s small business 94. Private Land Mobile Radio services.178 At present, there are standard. (PLMR). PLMR systems serve an approximately 22,015 common carrier 93. 220 MHz Radio Service—Phase II essential role in a range of industrial, fixed licensees and 61,670 private Licensees. The 220 MHz service has business, land transportation, and operational-fixed licensees and both Phase I and Phase II licenses. The public safety activities. These radios are broadcast auxiliary radio licensees in Phase II 220 MHz service is a new used by companies of all sizes operating the microwave services. The service, and is subject to spectrum in all U.S. business categories, and are Commission has not created a size auctions. In the 220 MHz Third Report often used in support of the licensee’s standard for a small business and Order, we adopted a small business primary (non-telecommunications) specifically with respect to fixed size standard for defining ‘‘small’’ and business operations. For the purpose of microwave services. For purposes of ‘‘very small’’ businesses for purposes of determining whether a licensee of a this analysis, the Commission uses the determining their eligibility for special PLMR system is a small business as SBA small business size standard for the provisions such as bidding credits and defined by the SBA, we could use the category ‘‘Cellular and Other installment payments.165 This small definition for ‘‘Cellular and Other Telecommunications,’’ which is 1,500 business standard indicates that a Wireless Telecommunications.’’ This or fewer employees.179 The Commission ‘‘small business’’ is an entity that, definition provides that a small entity is does not have data specifying the together with its affiliates and any such entity employing no more than number of these licensees that have controlling principals, has average gross 1,500 persons.173 The Commission does more than 1,500 employees, and thus revenues not exceeding $15 million for not require PLMR licensees to disclose are unable at this time to estimate with the preceding three years.166 A ‘‘very information about number of greater precision the number of fixed small business’’ is defined as an entity employees, so the Commission does not microwave service licensees that would that, together with its affiliates and have information that could be used to qualify as small business concerns controlling principals, has average gross determine how many PLMR licensees under the SBA’s small business size revenues that do not exceed $3 million constitute small entities under this standard. Consequently, the for the preceding three years.167 The definition. Moreover, because PMLR Commission estimates that there are up SBA has approved these small size licensees generally are not in the to 22,015 common carrier fixed standards.168 Auctions of Phase II business of providing cellular or other licensees and up to 61,670 private licenses commenced on September 15, wireless telecommunications services operational-fixed licensees and 1998, and closed on October 22, but instead use the licensed facilities in broadcast auxiliary radio licensees in 1998.169 In the first auction, 908 support of other business activities, we the microwave services that may be licenses were auctioned in three are not certain that the Cellular and small and may be affected by the rules different-sized geographic areas: Three Other Wireless Telecommunications and policies proposed herein. We noted, nationwide licenses, 30 Regional category is appropriate for determining however, that the common carrier Economic Area Group (EAG) Licenses, how many PLMR licensees are small microwave fixed licensee category and 875 Economic Area (EA) Licenses. entities for this analysis. Rather, it may includes some large entities. Of the 908 licenses auctioned, 693 were be more appropriate to assess PLMR 97. 39 GHz Service. The Commission sold.170 Thirty-nine small businesses licensees under the standards applied to created a special small business size won 373 licenses in the first 220 MHz the particular industry subsector to standard for 39 GHz licenses—an entity 174 auction. A second auction included 225 which the licensee belongs. that has average gross revenues of $40 95. The Commission’s 1994 Annual million or less in the three previous licenses: 216 EA licenses and 9 EAG Report on PLMRs 175 indicates that at calendar years.180 An additional size licenses. Fourteen companies claiming the end of fiscal year 1994, there were standard for ‘‘very small business’’ is: small business status won 158 1,087,267 licensees operating An entity that, together with affiliates, licenses.171 A third auction included 12,481,989 transmitters in the PLMR has average gross revenues of not more four licenses: 2 BEA licenses and 2 EAG bands below 512 MHz. Because any than $15 million for the preceding three licenses in the 220 MHz Service. No entity engaged in a commercial activity calendar years.181 The SBA has small or very small business won any of is eligible to hold a PLMR license, the approved these small business size these licenses.172 revised rules in this context could standards.182 The auction of the 2,173 potentially impact every small business 165 Amendment of Part 90 of the Commission’s in the United States. 178 Auxiliary Microwave Service is governed by Rules to Provide For the Use of the 220–222 MHz 96. Fixed Microwave Services. Fixed part 74 of Title 47 of the Commission’s rules. See Band by the Private Land Mobile Radio Service, 47 CFR part 74. This service is available to licensees Third Report and Order, 12 FCC Rcd 10943, 11068– microwave services include common 176 177 of broadcast stations and to broadcast and cable 70, paras. 291–295 (1997). carrier, private operational-fixed, network entities. Broadcast auxiliary microwave 166 Id. at 11068, paras. 291. and broadcast auxiliary radio stations are used for relaying broadcast television 167 Id. signals from the studio to the transmitter, or 168 See Letter to Daniel Phythyon, Chief, Wireless 173 See 13 CFR 121.201, NAICS code 517212. between two points such as a main studio and an Telecommunications Bureau, Federal auxiliary studio. The service also includes mobile 174 See generally 13 CFR 121.201. Communications Commission, from Aida Alvarez, television pickups, which relay signals from a 175 Federal Communications Commission, 60th Administrator, Small Business Administration, remote location back to the studio. Annual Report, Fiscal Year 1994, at para. 116. dated January 6, 1998. 179 13 CFR 121.201, NAICS code 513322 (changed 176 See 47 CFR 101 et seq. (formerly, part 21 of 169 See generally ‘‘220 MHz Service Auction to 517212 in October 2002). the Commission’s rules) for common carrier fixed Closes,’’ Public Notice, 14 FCC Rcd 605 (WTB 180 microwave services (except Multipoint Distribution See Amendment of the Commission’s Rules 1998). Service). Regarding the 37.0–38.6 GHz and 38.6–40.0 GHz 170 See ‘‘FCC Announces It is Prepared to Grant 177 Persons eligible under parts 80 and 90 of the Bands, ET Docket No. 95–183, Report and Order, 654 Phase II 220 MHz Licenses After Final Payment Commission’s rules can use Private Operational- 12 FCC Rcd 18600 (1997), 63 FR 6079 (Feb. 6, is Made,’’ Public Notice, 14 FCC Rcd 1085 (WTB Fixed Microwave services. See 47 CFR parts 80 and 1998). 1999). 90. Stations in this service are called operational- 182 Id. 171 See ‘‘Phase II 220 MHz Service Spectrum fixed to distinguish them from common carrier and 182 See Letter to Kathleen O’Brien Ham, Chief, Auction Closes,’’ Public Notice, 14 FCC Rcd 11218 public fixed stations. Only the licensee may use the Auctions and Industry Analysis Division, Wireless (WTB 1999). operational-fixed station, and only for Telecommunications Bureau, FCC, from Aida 172 See ‘‘Multi-Radio Service Auction Closes,’’ communications related to the licensee’s Alvarez, Administrator, SBA (Feb. 4, 1998) (VoIP); Public Notice, 17 FCC Rcd 1446 (WTB 2002). commercial, industrial, or safety operations. Continued
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39 GHz licenses began on April 12, 2000 small and very small business winning ‘‘small business’’ as an entity that, and closed on May 8, 2000. The 18 that won 119 licenses. together with controlling interests and bidders who claimed small business 99. 218–219 MHz Service. The first affiliates, has average annual gross status won 849 licenses. Consequently, auction of 218–219 MHz (previously revenues for the preceding three years the Commission estimates that 18 or referred to as the Interactive and Video not exceeding $15 million.192 A ‘‘very fewer 39 GHz licensees are small Data Service or IVDS) spectrum resulted small business’’ is defined as an entity entities that may be affected by the rules in 178 entities winning licenses for 594 that, together with controlling interests and polices herein. Metropolitan Statistical Areas and affiliates, has average annual gross 98. Local Multipoint Distribution (MSAs).187 Of the 594 licenses, 567 revenues for the preceding three years Service. Local Multipoint Distribution were won by 167 entities qualifying as not exceeding $3 million.193 These Service (LMDS) is a fixed broadband a small business. For that auction, we definitions have been approved by the point-to-multipoint microwave service defined a small business as an entity SBA.194 An auction for LMS licenses that provides for two-way video that, together with its affiliates, has no commenced on February 23, 1999, and telecommunications.183 The auction of more than a $6 million net worth and, closed on March 5, 1999. Of the 528 the 986 Local Multipoint Distribution after federal income taxes (excluding licenses auctioned, 289 licenses were Service (LMDS) licenses began on any carry over losses), has no more than sold to four small businesses. We cannot February 18, 1998 and closed on March $2 million in annual profits each year accurately predict the number of 25, 1998. The Commission established a for the previous two years.188 In the remaining licenses that could be small business size standard for LMDS 218–219 MHz Report and Order and awarded to small entities in future LMS licenses as an entity that has average Memorandum Opinion and Order, we auctions. gross revenues of less than $40 million defined a small business as an entity 101. Rural Radiotelephone Service. in the three previous calendar years.184 that, together with its affiliates and The Commission has not adopted a size An additional small business size persons or entities that hold interests in standard for small businesses specific to standard for ‘‘very small business’’ was such an entity and their affiliates, has the Rural Radiotelephone Service.195 A added as an entity that, together with its average annual gross revenues not significant subset of the Rural affiliates, has average gross revenues of exceeding $15 million for the preceding Radiotelephone Service is the Basic not more than $15 million for the three years.189 A very small business is Exchange Telephone Radio System preceding three calendar years.185 The defined as an entity that, together with (BETRS).196 The Commission uses the SBA has approved these small business its affiliates and persons or entities that SBA’s small business size standard size standards in the context of LMDS hold interests in such an entity and its applicable to ‘‘Cellular and Other auctions.186 There were 93 winning affiliates, has average annual gross Wireless Telecommunications,’’ i.e., an bidders that qualified as small entities revenues not exceeding $3 million for entity employing no more than 1,500 in the LMDS auctions. A total of 93 the preceding three years.190 The SBA persons.197 There are approximately small and very small business bidders has approved of these definitions.191 At 1,000 licensees in the Rural won approximately 277 A Block this time, we cannot estimate the Radiotelephone Service, and the licenses and 387 B Block licenses. On number of licenses that will be won by Commission estimates that there are March 27, 1999, the Commission re- entities qualifying as small or very small 1,000 or fewer small entity licensees in auctioned 161 licenses; there were 32 businesses under our rules in future the Rural Radiotelephone Service that auctions of 218–219 MHz spectrum. may be affected by the rules and See Letter to Margaret Wiener, Chief, Auctions and Given the success of small businesses in policies proposed herein. Industry Analysis Division, Wireless previous auction, and the prevalence of 102. Air-Ground Radiotelephone Telecommunications Bureau, Federal small businesses in the subscription Service. The Commission has not Communications Commission, from Hector Barreto, television services and message adopted a small business size standard Administrator, Small Business Administration, dated January 18, 2002 (WTB). communications industries, we assume specific to the Air-Ground 198 183 See Rulemaking to Amend Parts 1, 2, 21, 25, for purposes of this analysis that in Radiotelephone Service. We will use of the Commission’s Rules to Redesignate the 27.5– future auctions, many, and perhaps all, SBA’s small business size standard 29.5 GHz Frequency Band, Reallocate the 29.5–30.5 of the licenses may be awarded to small applicable to ‘‘Cellular and Other Frequency Band, to Establish Rules and Policies for businesses. Wireless Telecommunications,’’ i.e., an Local Multipoint Distribution Service and for Fixed Satellite Services, Second Report and Order, Order 100. Location and Monitoring Service on Reconsideration, and Fifth Notice of Proposed (LMS). Multilateration LMS systems use 192 Amendment of Part 90 of the Commission’s Rule Making, 12 FCC Rcd 12545, 12689–90, para. non-voice radio techniques to determine Rules to Adopt Regulations for Automatic Vehicle 348 (1997). Monitoring Systems, Second Report and Order, 13 the location and status of mobile radio FCC Rcd 15182, 15192 para. 20 (1998); see also 47 184 See Rulemaking to Amend Parts 1, 2, 21, 25, units. For purposes of auctioning LMS of the Commission’s Rules to Redesignate the 27.5– CFR 90.1103. 29.5 GHz Frequency Band, Reallocate the 29.5–30.5 licenses, the Commission has defined 193 Amendment of Part 90 of the Commission’s Frequency Band, to Establish Rules and Policies for Rules to Adopt Regulations for Automatic Vehicle Local Multipoint Distribution Service and for Fixed 187 See ‘‘Interactive Video and Data Service Monitoring Systems, Second Report and Order, 13 Satellite Services, Second Report and Order, Order (IVDS) Applications Accepted for Filing,’’ Public FCC Rcd at 15192, para. 20; see also 47 CFR on Reconsideration, and Fifth Notice of Proposed Notice, 9 FCC Rcd 6227 (1994). 90.1103. 194 Rule Making, 12 FCC Rcd 12545, 12689–90, para. 188 Implementation of Section 309(j) of the See Letter to Thomas Sugrue, Chief, Wireless 348 (1997). Communications Act—Competitive Bidding, Fourth Telecommunications Bureau, Federal 185 See Rulemaking to Amend Parts 1, 2, 21, 25, Report and Order, 9 FCC Rcd 2330 (1994). Communications Commission, from Aida Alvarez, Administrator, Small Business Administration, of the Commission’s Rules to Redesignate the 27.5– 189 Amendment of Part 95 of the Commission’s 29.5 GHz Frequency Band, Reallocate the 29.5–30.5 Rules to Provide Regulatory Flexibility in the 218– dated February 22, 1999. Frequency Band, to Establish Rules and Policies for 219 MHz Service, Report and Order and 195 The service is defined in section 22.99 of the Local Multipoint Distribution Service and for Fixed Memorandum Opinion and Order, 15 FCC Rcd 1497 Commission’s Rules, 47 CFR 22.99. Satellite Services, Second Report and Order, Order (1999). 196 BETRS is defined in sections 22.757 and on Reconsideration, and Fifth Notice of Proposed 190 Id. 22.759 of the Commission’s Rules, 47 CFR 22.757 Rule Making, 12 FCC Rcd 12545, 12689–90, para. 191 See Letter to Daniel Phythyon, Chief, Wireless and 22.759. 348 (1997). Telecommunications Bureau, Federal 197 13 CFR 121.201, NAICS code 513322 (changed 186 See Letter to Dan Phythyon, Chief, Wireless Communications Commission, from Aida Alvarez, to 517212 in October 2002). Telecommunications Bureau, FCC, from Aida Administrator, Small Business Administration, 198 The service is defined in section 22.99 of the Alvarez, Administrator, SBA (Jan. 6, 1998). dated January 6, 1998. Commission’s Rules, 47 CFR 22.99.
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entity employing no more than 1,500 broadcast channels that are not used for use, or seek to use, MAS spectrum to persons.199 There are approximately 100 television broadcasting in the coastal accommodate internal communications licensees in the Air-Ground areas of states bordering the Gulf of needs, we note that MAS serves an Radiotelephone Service, and we Mexico.202 There are presently essential role in a range of industrial, estimate that almost all of them qualify approximately 55 licensees in this safety, business, and land transportation as small under the SBA small business service. We are unable to estimate at activities. MAS radios are used by size standard. this time the number of licensees that companies of all sizes, operating in 103. Aviation and Marine Radio would qualify as small under the SBA’s virtually all U.S. business categories, Services. Small businesses in the small business size standard for and by all types of public safety entities. aviation and marine radio services use ‘‘Cellular and Other Wireless For the majority of private internal a very high frequency (VHF) marine or Telecommunications’’ services.203 users, the definitions developed by the aircraft radio and, as appropriate, an Under that SBA small business size SBA would be more appropriate. The emergency position-indicating radio standard, a business is small if it has applicable definition of small entity in beacon (and/or radar) or an emergency 1,500 or fewer employees.204 this instance appears to be the ‘‘Cellular locator transmitter. The Commission has 105. Multiple Address Systems and Other Wireless not developed a small business size (MAS). Entities using MAS spectrum, in Telecommunications’’ definition under standard specifically applicable to these general, fall into two categories: (1) the SBA rules. This definition provides small businesses. For purposes of this Those using the spectrum for profit- that a small entity is any entity analysis, the Commission uses the SBA based uses, and (2) those using the employing no more than 1,500 small business size standard for the spectrum for private internal uses. With persons.209 The Commission’s licensing category ‘‘Cellular and Other respect to the first category, the database indicates that, as of January 20, Telecommunications,’’ which is 1,500 Commission defines ‘‘small entity’’ for 1999, of the 8,670 total MAS station or fewer employees.200 Most applicants MAS licenses as an entity that has authorizations, 8,410 authorizations for recreational licenses are individuals. average gross revenues of less than $15 were for private radio service, and of Approximately 581,000 ship station million in the three previous calendar these, 1,433 were for private land licensees and 131,000 aircraft station years.205 ‘‘Very small business’’ is mobile radio service. licensees operate domestically and are defined as an entity that, together with 107. Incumbent 24 GHz Licensees. not subject to the radio carriage its affiliates, has average gross revenues This analysis may affect incumbent requirements of any statute or treaty. of not more than $3 million for the licensees who were relocated to the 24 For purposes of our evaluations in this preceding three calendar years.206 The GHz band from the 18 GHz band, and analysis, we estimate that there are up SBA has approved of these applicants who wish to provide services to approximately 712,000 licensees that definitions.207 The majority of these in the 24 GHz band. The applicable SBA are small businesses (or individuals) entities will most likely be licensed in small business size standard is that of under the SBA standard. In addition, bands where the Commission has ‘‘Cellular and Other Wireless between December 3, 1998 and implemented a geographic area Telecommunications’’ companies. This December 14, 1998, the Commission licensing approach that would require category provides that such a company held an auction of 42 VHF Public Coast the use of competitive bidding is small if it employs no more than licenses in the 157.1875–157.4500 MHz procedures to resolve mutually 1,500 persons.210 According to Census (ship transmit) and 161.775–162.0125 exclusive applications. The Bureau data for 1997, there were 977 MHz (coast transmit) bands. For Commission’s licensing database firms in this category, total, that purposes of the auction, the indicates that, as of January 20, 1999, operated for the entire year.211 Of this Commission defined a ‘‘small’’ business there were a total of 8,670 MAS station total, 965 firms had employment of 999 as an entity that, together with authorizations. Of these, 260 or fewer employees, and an additional controlling interests and affiliates, has authorizations were associated with 12 firms had employment of 1,000 average gross revenues for the preceding common carrier service. In addition, an employees or more.212 Thus, under this three years not to exceed $15 million auction for 5,104 MAS licenses in 176 size standard, the great majority of firms dollars. In addition, a ‘‘very small’’ EAs began November 14, 2001, and can be considered small. These broader 208 business is one that, together with closed on November 27, 2001. Seven census data notwithstanding, we believe controlling interests and affiliates, has winning bidders claimed status as small that there are only two licensees in the average gross revenues for the preceding or very small businesses and won 611 24 GHz band that were relocated from three years not to exceed $3 million licenses. the 18 GHz band, Teligent 213 and TRW, 106. With respect to the second dollars.201 There are approximately Inc. It is our understanding that Teligent category, which consists of entities that 10,672 licensees in the Marine Coast and its related companies have less than Service, and the Commission estimates 1,500 employees, though this may 202 This service is governed by Subpart I of Part that almost all of them qualify as 22 of the Commission’s Rules. See 47 CFR 22.1001– ‘‘small’’ businesses under the above 22.1037. 209 See 13 CFR 121.201, NAICS code 517212. special small business size standards. 203 13 CFR 121.201, NAICS code 513322 (changed 210 13 CFR 121.201, NAICS code 513322 (changed 104. Offshore Radiotelephone Service. to 517212 in October 2002). to 517212 in October 2002). This service operates on several ultra 204 Id. 211 U.S. Census Bureau, 1997 Economic Census, 205 See Amendment of the Commission’s Rules Subject Series: Information, ‘‘Employment Size of high frequencies (UHF) television Regarding Multiple Address Systems, Report and Firms Subject to Federal Income Tax: 1997,’’ Table Order, 15 FCC Rcd 11956, 12008, para. 123 (2000). 5, NAICS code 513322 (issued October 2000). 199 13 CFR 121.201, NAICS codes 513322 206 Id. 212 Id. The census data do not provide a more (changed to 517212 in October 2002). 207 See Letter to Thomas Sugrue, Chief, Wireless precise estimate of the number of firms that have 200 13 CFR 121.201, NAICS code 513322 (changed Telecommunications Bureau, Federal employment of 1,500 or fewer employees; the to 517212 in October 2002). Communications Commission, from Aida Alvarez, largest category provided is ‘‘Firms with 1,000 201 Amendment of the Commission’s Rules Administrator, Small Business Administration, employees or more.’’ Concerning Maritime Communications, PR Docket dated June 4, 1999. 213 Teligent acquired the DEMS licenses of No. 92–257, Third Report and Order and 208 See ‘‘Multiple Address Systems Spectrum FirstMark, the only licensee other than TRW in the Memorandum Opinion and Order, 13 FCC Rcd Auction Closes,’’ Public Notice, 16 FCC Rcd 21011 24 GHz band whose license has been modified to 19853 (1998). (2001). require relocation to the 24 GHz band.
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change in the future. TRW is not a small Areas (BTAs).220 Of the 67 auction receipts as a small business.227 Business entity. Thus, only one incumbent winners, 61 claimed status as a small concerns included in this industry are licensee in the 24 GHz band is a small business. At this time, we estimate that those ‘‘primarily engaged in business entity. of the 61 small business MDS auction broadcasting images together with 108. Future 24 GHz Licensees. With winners, 48 remain small business sound.’’ 228 According to Commission respect to new applicants in the 24 GHz licensees. In addition to the 48 small staff review of the BIA Publications, Inc. band, we have defined ‘‘small business’’ businesses that hold BTA Master Access Television Analyzer as an entity that, together with authorizations, there are approximately Database as of May 16, 2003, about 814 controlling interests and affiliates, has 392 incumbent MDS licensees that have of the 1,220 commercial television average annual gross revenues for the gross revenues that are not more than stations in the United States have three preceding years not exceeding $15 $40 million and are thus considered revenues of $12 million or less. We million.214 ‘‘Very small business’’ in the small entities.221 note, however, that, in assessing 24 GHz band is defined as an entity that, 110. In addition, the SBA has whether a business concern qualifies as together with controlling interests and developed a small business size small under the above definition, affiliates, has average gross revenues not standard for Cable and Other Program business (control) affiliations 229 must exceeding $3 million for the preceding Distribution,222 which includes all such be included. Our estimate, therefore, three years.215 The SBA has approved companies generating $12.5 million or likely overstates the number of small these definitions.216 The Commission less in annual receipts.223 According to entities that might be affected by our will not know how many licensees will Census Bureau data for 1997, there were action, because the revenue figure on be small or very small businesses until a total of 1,311 firms in this category, which it is based does not include or the auction, if required, is held. total, that had operated for the entire aggregate revenues from affiliated 109. Multipoint Distribution Service, year.224 Of this total, 1,180 firms had companies. There are also 2,053 low Multichannel Multipoint Distribution annual receipts of under $10 million, power television stations (LPTV).230 Service, and Instructional Television and an additional 52 firms had receipts Given the nature of this service, we will Fixed Service. Multichannel Multipoint of $10 million or more but less than $25 presume that all LPTV licensees qualify 225 Distribution Service (MMDS) systems, million. Consequently, we estimate as small entities under the SBA often referred to as ‘‘wireless cable,’’ that the majority of providers in this definition. transmit video programming to service category are small businesses 113. In addition, an element of the subscribers using the microwave that may be affected by the proposed definition of ‘‘small business’’ is that the frequencies of the Multipoint rules and policies. entity not be dominant in its field of Distribution Service (MDS) and 111. Finally, while SBA approval for operation. We are unable at this time to Instructional Television Fixed Service a Commission-defined small business define or quantify the criteria that 217 size standard applicable to ITFS is (ITFS). In connection with the 1996 would establish whether a specific pending, educational institutions are MDS auction, the Commission television station is dominant in its field included in this analysis as small defined—small business’’ as an entity of operation. Accordingly, the estimate entities.226 There are currently 2,032 that, together with its affiliates, has of small businesses to which rules may ITFS licensees, and all but 100 of these average gross annual revenues that are apply do not exclude any television licenses are held by educational not more than $40 million for the station from the definition of a small 218 institutions. Thus, we tentatively preceding three calendar years. The business on this basis and are therefore 219 conclude that at least 1,932 ITFS SBA has approved of this standard. over-inclusive to that extent. Also as The MDS auction resulted in 67 licensees are small businesses. 112. Television Broadcasting. The noted, an additional element of the successful bidders obtaining licensing definition of ‘‘small business’’ is that the opportunities for 493 Basic Trading Small Business Administration defines a television broadcasting station that has 227 See OMB, North American Industry 214 Amendments to Parts 1, 2, 87 and 101 of the no more than $12 million in annual Classification System: United States, 1997 at 509 Commission’s Rules To License Fixed Services at (1997) (NAICS code 513120, which was changed to 24 GHz, Report and Order, 15 FCC Rcd 16934, 220 Basic Trading Areas (BTAs) were designed by code 515120 in October 2002). 16967, para. 77 (2000) (24 GHz Report and Order); Rand McNally and are the geographic areas by 228 OMB, North American Industry Classification see also 47 CFR 101.538(a)(2). which MDS was auctioned and authorized. See System: United States, 1997, at 509 (1997) (NAICS 215 24 GHz Report and Order, 15 FCC Rcd at MDS Auction R&O, 10 FCC Rcd at 9608, paragraph code 513120, which was changed to code 51520 in 16967, para. 77; see also 47 CFR 101.538(a)(1). 34. October 2002). This category description continues, 216 See Letter to Margaret W. Wiener, Deputy 221 47 U.S.C. 309(j). Hundreds of stations were ‘‘These establishments operate television Chief, Auctions and Industry Analysis Division, licensed to incumbent MDS licensees prior to broadcasting studios and facilities for the Wireless Telecommunications Bureau, Federal implementation of Section 309(j) of the programming and transmission of programs to the Communications Commission, from Gary M. Communications Act of 1934, 47 U.S.C. 309(j). For public. These establishments also produce or Jackson, Assistant Administrator, Small Business these pre-auction licenses, the applicable standard transmit visual programming to affiliated broadcast Administration, dated July 28, 2000. is SBA’s small business size standard for ‘‘other television stations, which in turn broadcast the 217 Amendment of Parts 21 and 74 of the telecommunications’’ (annual receipts of $12.5 programs to the public on a predetermined Commission’s Rules with Regard to Filing million or less). See 13 CFR 121.201, NAICS code schedule. Programming may originate in their own Procedures in the Multipoint Distribution Service 517910. studios, from an affiliated network, or from external and in the Instructional Television Fixed Service 222 13 CFR 121.201, NAICS code 517510. sources.’’ Separate census categories pertain to and Implementation of Section 309(j) of the 223 Id. businesses primarily engaged in producing Communications Act—Competitive Bidding, Report 224 U.S. Census Bureau, 1997 Economic Census, programming. See id. at 502–05, NAICS code and Order, 10 FCC Rcd 9589, 9593, para. 7 (1995) Subject Series: Information, ‘‘Establishment and 51210. Motion Picture and Video Production: code (MDS Auction R&O). Firm Size (Including Legal Form of Organization),’’ 512120, Motion Picture and Video Distribution, 218 47 CFR 21.961(b)(1). Table 4 (issued October 2000). code 512191, Teleproduction and Other Post- 219 See Letter to Margaret Wiener, Chief, Auctions 225 Id. Production Services, and code 512199, Other and Industry Analysis Division, Wireless 226 In addition, the term ‘‘small entity’’ under Motion Picture and Video Industries. Telecommunications Bureau, Federal SBREFA applies to small organizations (nonprofits) 229 ‘‘Concerns are affiliates of each other when Communications Bureau, from Gary Jackson, and to small governmental jurisdictions (cities, one concern controls or has the power to control Assistant Administrator for Size Standards, Small counties, towns, townships, villages, school the other or a third party or parties controls or has Business Administration, dated March 20, 2003 districts, and special districts with populations of to power to control both.’’ 13 CFR 121.103(a)(1). (noting approval of $40 million size standard for less than 50,000). 5 U.S.C. 601(4)–(6). We do not 230 FCC News Release, ‘‘Broadcast Station Totals MDS auction). collect annual revenue data on ITFS licensees. as of September 30, 2004.’’
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entity must be independently owned not collect financial information on operators at the end of 1995.241 Since and operated. We note that it is difficult these auxiliary broadcast facilities. We then, some of those companies may at times to assess these criteria in the believe that most, if not all, of these have grown to serve over 400,000 context of media entities and our auxiliary facilities could be classified as subscribers, and others may have been estimates of small businesses to which small businesses by themselves. We also involved in transactions that caused they apply may be over-inclusive to this recognize that most commercial them to be combined with other cable extent. translators and boosters are owned by a operators. Consequently, the 114. Radio Broadcasting. The SBA parent station which, in some cases, Commission estimates that there are defines a radio broadcast entity that has would be covered by the revenue now fewer than 1,439 small entity cable $6 million or less in annual receipts as definition of small business entity system operators that may be affected by a small business.231 Business concerns discussed above. These stations would the rules and policies herein. included in this industry are those likely have annual revenues that exceed 119. Cable System Operators ‘‘primarily engaged in broadcasting the SBA maximum to be designated as (Telecom Act Standard). The aural programs by radio to the public.232 a small business ($5 million for a radio Communications Act of 1934, as According to Commission staff review station or $10.5 million for a TV amended, also contains a size standard of the BIA Publications, Inc., Master station). Furthermore, they do not meet for small cable system operators, which Access Radio Analyzer Database, as of the Small Business Act’s definition of a is ‘‘a cable operator that, directly or May 16, 2003, about 10,427 of the ‘‘small business concern’’ because they through an affiliate, serves in the 10,945 commercial radio stations in the are not independently owned and aggregate fewer than 1 percent of all United States have revenue of $6 operated.237 subscribers in the United States and is million or less. We note, however, that 117. Cable and Other Program not affiliated with any entity or entities many radio stations are affiliated with Distribution. This category includes whose gross annual revenues in the much larger corporations with much cable systems operators, closed circuit aggregate exceed $250,000,000.’’ 242 The higher revenue, and that in assessing television services, direct broadcast Commission has determined that there whether a business concern qualifies as satellite services, multipoint are 65,000,000 subscribers in the United small under the above definition, such distribution systems, satellite master States.243 Therefore, an operator serving 233 business (control) affiliations are antenna systems, and subscription fewer than 650,000 subscribers shall be 234 included. Our estimate, therefore television services. The SBA has deemed a small operator, if its annual likely overstates the number of small developed small business size standard revenues, when combined with the total businesses that might be affected by our for this census category, which includes annual revenues of all its affiliates, do action. all such companies generating $12.5 not exceed $250 million in the 115. Auxiliary, Special Broadcast and 238 million or less in revenue annually. aggregate.244 Based on available data, Other Program Distribution Services. According to Census Bureau data for the Commission estimates that the This service involves a variety of 1997, there were a total of 1,311 firms number of cable operators serving transmitters, generally used to relay in this category, total, that had operated 650,000 subscribers or fewer, totals broadcast programming to the public for the entire year.239 Of this total, 1,180 1,450.245 The Commission neither (through translator and booster stations) firms had annual receipts of under $10 requests nor collects information on or within the program distribution chain million and an additional 52 firms had whether cable system operators are (from a remote news gathering unit back receipts of $10 million or more but less affiliated with entities whose gross to the station). The Commission has not than $25 million. Consequently, the annual revenues exceed $250 developed a definition of small entities Commission estimates that the majority million,246 and therefore are unable, at applicable to broadcast auxiliary of providers in this service category are licensees. The applicable definitions of this time, to estimate more accurately small businesses that may be affected by the number of cable system operators small entities are those, noted the rules and policies herein. previously, under the SBA rules that would qualify as small cable 118. Cable System Operators (Rate operators under the size standard applicable to radio broadcasting stations Regulation Standard). The Commission 235 contained in the Communications Act of and television broadcasting stations. has developed its own small business 116. The Commission estimates that 1934. size standard for cable system operators, 120. Open Video Services. Open there are approximately 3,868 FM for purposes of rate regulation. Under translators and boosters.236 The Video Service (OVS) systems provide the Commission’s rules, a ‘‘small cable 247 Commission does not collect financial subscription services. The SBA has company’’ is one serving fewer than information on any broadcast facility, created a small business size standard 400,000 subscribers nationwide.240 The and the Department of Commerce does for Cable and Other Program most recent estimates indicate that there were 1,439 cable operators who 241 231 See OMB, North American Industry Paul Kagan Associates, Inc., Cable TV Classification System: United States, 1997, at 509 qualified as small cable system Investor, February 29, 1996 (based on figures for (1997) (Radio Stations) (NAICS code 513111, which December 30, 1995). was changed to code 515112 in October 2002). 237 15 U.S.C. 632. 242 47 U.S.C. 543(m)(2). 232 Id. 238 13 CFR 121.201, NAICS code 513220 (changed 243 See FCC Announces New Subscriber Count for 233 ‘‘Concerns are affiliates of each other when to 517510 in October 2002). the Definition of Small Cable Operator, Public one concern controls or has the power to control 239 U.S. Census Bureau, 1997 Economic Census, Notice, DA 01–158 (January 24, 2001). the other, or a third party or parties controls or has Subject Series: Information, ‘‘Establishment and 244 47 CFR 76.901(f). the power to control both.’’ 13 CFR 121.103(a)(1). Firm Size (Including Legal Form of Organization)’’, 245 See FCC Announces New Subscriber Count for 234 ‘‘SBA counts the receipts or employees of the Table 4, NAICS code 513220 (issued October 2000). the Definition of Small Cable Operators, Public concern whose size is at issue and those of all its 240 47 CFR 76.901(e). The Commission developed Notice, DA–01–0158 (released January 24, 2001). domestic and foreign affiliates, regardless of this definition based on its determination that a 246 The Commission does receive such whether the affiliates are organized for profit, in small cable system operator is one with annual information on a case-by-case basis if a cable determining the concern’s size.’’ 13 CFR 121(a)(4). revenues of $100 million or less. Implementation of operator appeals a local franchise authority’s 235 13 CFR 121.201, NAICS codes 513111 and Sections of the 1992 Cable Act: Rate Regulation, finding that the operator does not qualify as a small 513112. Sixth Report and Order and Eleventh Order on cable operator pursuant to section 76.901(f) of the 236 FCC News Release, ‘‘Broadcast Station Totals Reconsideration, 10 FCC Rcd 7393 (1995), 60 FR Commission’s rules. See 47 CFR 76.909(b). as of September 30, 2004.’’ 10534 (February 27, 1995). 247 See 47 U.S.C. 573.
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Distribution.248 This standard provides 123. Amateur Radio Service. These Service (CB), General Mobile Radio that a small entity is one with $12.5 licensees are believed to be individuals, Service (GMRS), Radio Control Radio million or less in annual receipts. The and therefore are not small entities. Service (R/C), Family Radio Service Commission has certified approximately 124. Aviation and Marine Services. (FRS), Wireless Medical Telemetry 25 OVS operators to serve 75 areas, and Small businesses in the aviation and Service (WMTS), Medical Implant some of these are currently providing marine radio services use a very high Communications Service (MICS), Low service.249 Affiliates of Residential frequency (VHF) marine or aircraft radio Power Radio Service (LPRS), and Multi- Communications Network, Inc. (RCN) and, as appropriate, an emergency Use Radio Service (MURS).257 There are received approval to operate OVS position-indicating radio beacon (and/or a variety of methods used to license the systems in New York City, Boston, radar) or an emergency locator spectrum in these rule parts, from Washington, DC, and other areas. RCN transmitter. The Commission has not licensing by rule, to conditioning has sufficient revenues to assure that developed a small business size operation on successful completion of a they do not qualify as a small business standard specifically applicable to these required test, to site-based licensing, to entity. Little financial information is small businesses. For purposes of this geographic area licensing. Under the available for the other entities that are analysis, the Commission uses the SBA RFA, the Commission is required to authorized to provide OVS and are not small business size standard for the make a determination of which small yet operational. Given that some entities category ‘‘Cellular and Other entities are directly affected by these Telecommunications,’’ which is 1,500 authorized to provide OVS service have rules. Since all such entities are or fewer employees.254 Most applicants not yet begun to generate revenues, the wireless, we apply the definition of for recreational licenses are individuals. Commission concludes that up to 24 cellular and other wireless Approximately 581,000 ship station OVS operators (those remaining) might telecommunications, pursuant to which licensees and 131,000 aircraft station a small entity is defined as employing qualify as small businesses that may be licensees operate domestically and are 1,500 or fewer persons.258 Many of the affected by the rules and policies herein. not subject to the radio carriage licensees in these services are 121. Cable Television Relay Service. requirements of any statute or treaty. individuals, and thus are not small This service includes transmitters For purposes of our evaluations in this entities. In addition, due to the mostly generally used to relay cable analysis, we estimate that there are up unlicensed and shared nature of the programming within cable television to approximately 712,000 licensees that spectrum utilized in many of these system distribution systems. The SBA are small businesses (or individuals) services, the Commission lacks direct has defined a small business size under the SBA standard. In addition, information upon which to base an standard for Cable and other Program between December 3, 1998 and estimation of the number of small Distribution, consisting of all such December 14, 1998, the Commission entities under an SBA definition that companies having annual receipts of no held an auction of 42 VHF Public Coast might be directly affected by these rules. more than $12.5 million.250 According licenses in the 157.1875–157.4500 MHz 126. Public Safety Radio Services. to Census Bureau data for 1997, there (ship transmit) and 161.775–162.0125 Public Safety radio services include were 1,311 firms in the industry MHz (coast transmit) bands. For police, fire, local government, forestry category Cable and Other Program purposes of the auction, the conservation, highway maintenance, Distribution, total, that operated for the Commission defined a ‘‘small’’ business and emergency medical services.259 entire year.251 Of this total, 1,180 firms as an entity that, together with had annual receipts of $10 million or controlling interests and affiliates, has 257 The Citizens Band Radio Service, General average gross revenues for the preceding Mobile Radio Service, Radio Control Radio Service, less, and an additional 52 firms had Family Radio Service, Wireless Medical Telemetry receipts of $10 million or more but less three years not to exceed $15 million Service, Medical Implant Communications Service, than $25 million.252 Thus, under this dollars. In addition, a ‘‘very small’’ Low Power Radio Service, and Multi-Use Radio standard, we estimate that the majority business is one that, together with Service are governed by Subpart D, Subpart A, controlling interests and affiliates, has Subpart C, Subpart B, Subpart H, Subpart I, Subpart of providers in this service category are G, and Subpart J, respectively, of Part 95 of the small businesses that may be affected by average gross revenues for the preceding Commission’s rules. See generally 47 CFR part 95. the rules and policies herein. three years not to exceed $3 million 258 13 CFR 121.201, NAICS Code 517212. dollars.255 There are approximately 259 With the exception of the special emergency 122. Multichannel Video Distribution 10,672 licensees in the Marine Coast service, these services are governed by Subpart B and Data Service. MVDDS is a terrestrial Service, and the Commission estimates of part 90 of the Commission’s Rules, 47 CFR fixed microwave service operating in 90.15–90.27. The police service includes that almost all of them qualify as approximately 27,000 licensees that serve state, the 12.2–12.7 GHz band. No auction has ‘‘small’’ businesses under the above county, and municipal enforcement through yet been held in this service, although special small business size standards. telephony (voice), telegraphy (code) and teletype an action has been scheduled for 125. Personal Radio Services. and facsimile (printed material). The fire radio January 14, 2004.253 Accordingly, there service includes approximately 23,000 licensees Personal radio services provide short- comprised of private volunteer or professional fire are no licensees in this service. range, low power radio for personal companies as well as units under governmental communications, radio signaling, and control. The local government service that is 248 13 CFR 121.201, NAICS code 513220 (changed business communications not provided presently comprised of approximately 41,000 to 517510 in October 2002). for in other services. The Personal Radio licensees that are state, county, or municipal 249 See http://www.fcc.gov/csb/ovs/csovscer.html entities that use the radio for official purposes not Services include spectrum licensed covered by other public safety services. There are (current as of March 2002). 256 250 under Part 95 of our rules. These approximately 7,000 licensees within the forestry 13 CFR 121.201, NAICS code 517510. service which is comprised of licensees from state 251 services include Citizen Band Radio U.S. Census Bureau, 1997 Economic Census, departments of conservation and private forest Subject Series: Information, ‘‘Establishment and organizations who set up communications networks Firm Size (Including Legal Form of Organization),’’ 254 13 CFR 121.201, NAICS code 513322 (changed among fire lookout towers and ground crews. The Table 4 (issued October 2000). to 517212 in October 2002). approximately 9,000 state and local governments 252 Id. 255 Amendment of the Commission’s Rules are licensed to highway maintenance service 253 ‘‘Auctions of Licenses in the Multichannel Concerning Maritime Communications, Third provide emergency and routine communications to Video Distribution and Data Service Rescheduled Report and Order and Memorandum Opinion and aid other public safety services to keep main roads for January 14, 2004,’’ Public Notice, DA 03–2354 Order, 13 FCC Rcd 19853 (1998). safe for vehicular traffic. The approximately 1,000 (August 28, 2003). 256 47 CFR part 90. licensees in the Emergency Medical Radio Service
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There are a total of approximately Compliance with the fee schedule will fee must accompany requests for 127,540 licensees in these services. require some licensees to tabulate the waivers or reductions. This will avoid Governmental entities 260 as well as number of units (e.g., cellular any late payment penalty if the request private businesses comprise the telephones, pagers, cable TV is denied. The fee will be refunded if licensees for these services. All subscribers) they have in service, and the request is granted. In exceptional governmental entities with populations complete and submit an FCC Form 159. and compelling instances (where of less than 50,000 fall within the Licensees ordinarily will keep a list of payment of the regulatory fee along with definition of a small entity.261 the number of units they have in service the waiver or reduction request could as part of their normal business result in reduction of service to a IV. Description of Projected Reporting, practices. No additional outside community or other financial hardship Recordkeeping and Other Compliance professional skills are required to to the licensee), the Commission will Requirements complete the FCC Form 159, and it can defer payment in response to a request 127. With certain exceptions, the be completed by the employees filed with the appropriate supporting Commission’s Schedule of Regulatory responsible for an entity’s business documentation. Fees applies to all Commission records. V. Steps Taken to Minimize Significant licensees and regulatees. Most licensees 128. Each licensee must submit the Economic Impact on Small Entities, and will be required to count the number of FCC Form 159 to the Commission’s Significant Alternatives Considered licenses or call signs authorized, lockbox bank after computing the complete and submit an FCC Form 159 number of units subject to the fee. 131. The RFA requires an agency to (‘‘FCC Remittance Advice’’), and pay a Licensees may also file electronically to describe any significant alternatives that regulatory fee based on the number of minimize the burden of submitting it has considered in reaching its licenses or call signs.262 Interstate multiple copies of the FCC Form 159. proposed approach, which may include telephone service providers must Applicants who pay small fees in the following four alternatives: (1) The compute their annual regulatory fee advance and provide fee information as establishment of differing compliance or based on their interstate and part of their application must use FCC reporting requirements or timetables international end-user revenue using Form 159. that take into account the resources information they already supply to the 129. Licensees and regulatees are available to small entities; (2) the Commission in compliance with the advised that failure to submit the clarification, consolidation, or Form 499–A, Telecommunications required regulatory fee in a timely simplification of compliance or Reporting Worksheet, and they must manner will subject the licensee or reporting requirements under the rule complete and submit the FCC Form 159. regulatee to a late payment penalty of 25 for small entities; (3) the use of percent in addition to the required performance, rather than design, (EMRS) use the 39 channels allocated to this service fee.263 If payment is not received, new standards; and (4) an exemption from for emergency medical service communications coverage of the rule, or any part thereof, related to the delivery of emergency medical or pending applications may be treatment. 47 CFR 90.15–90.27. The approximately dismissed, and existing authorizations for small entities. As described in 20,000 licensees in the special emergency service may be subject to rescission.264 Further, Section III of this FRFA, supra, we have include medical services, rescue organizations, in accordance with the Debt Collection created procedures in which all fee- veterinarians, handicapped persons, disaster relief filing licensees and regulatees use a organizations, school buses, beach patrols, Improvement Act of 1996, federal establishments in isolated areas, communications agencies may bar a person or entity from single form, FCC Form 159, and have standby facilities, and emergency repair of public obtaining a Federal loan or loan described in plain language the general communications facilities. 47 CFR 90.33–90.55. insurance guarantee if that person or filing requirements. We have sought 260 47 CFR 1.1162. comment on other alternatives that 261 5 U.S.C. 601(5). entity fails to pay a delinquent debt 265 might simplify our fee procedures or 262 The following categories are exempt from the owed to any federal agency. Commission’s Schedule of Regulatory Fees: Nonpayment of regulatory fees is a debt otherwise benefit small entities, while Amateur radio licensees (except applicants for owed the United States pursuant to 31 remaining consistent with our statutory vanity call signs) and operators in other non- U.S.C. 3711 et seq., and the Debt responsibilities in this proceeding. licensed services (e.g., Personal Radio, part 15, ship 132. The Omnibus Appropriations Act and aircraft). Governments and non-profit (exempt Collection Improvement Act of 1996, under section 501(c) of the Internal Revenue Code) Public Law 194–134. Appropriate for FY 2005, Public Law 108–447, entities are exempt from payment of regulatory fees enforcement measures as well as requires the Commission to revise its and need not submit payment. Non-commercial administrative and judicial remedies, Schedule of Regulatory Fees in order to educational broadcast licensees are exempt from recover the amount of regulatory fees regulatory fees as are licensees of auxiliary may be exercised by the Commission. broadcast services such as low power auxiliary Debts owed to the Commission may that Congress, pursuant to section 9(a) stations, television auxiliary service stations, result in a person or entity being denied of the Communications Act, as remote pickup stations and aural broadcast a federal loan or loan guarantee pending amended, has required the Commission auxiliary stations where such licenses are used in to collect for Fiscal Year (FY) 2005.268 conjunction with commonly owned non- before another federal agency until such commercial educational stations. Emergency Alert obligations are paid.266 As noted, we sought comment on the System licenses for auxiliary service facilities are 130. The Commission’s rules proposed methodology for also exempt as are instructional television fixed implementing these statutory service licensees. Regulatory fees are automatically currently provide for relief in waived for the licensee of any translator station exceptional circumstances. Persons or requirements and any other potential that: (1) Is not licensed to, in whole or in part, and entities may request a waiver, reduction impact of these proposals on small does not have common ownership with, the or deferment of payment of the entities. licensee of a commercial broadcast station; (2) does regulatory fee.267 However, timely 133. We have previously used cost not derive income from advertising; and (3) is accounting data for computation of dependent on subscriptions or contributions from submission of the required regulatory members of the community served for support. regulatory fees, but found that some fees Receive only earth station permittees are exempt 263 47 CFR 1.1164. which were very small in previous years from payment of regulatory fees. A regulatee will 264 would have increased dramatically and be relieved of its fee payment requirement if its 47 CFR 1.1164(c). total fee due, including all categories of fees for 265 Public Law 104–134, 110 Stat. 1321 (1996). would have a disproportionate impact which payment is due by the entity, amounts to less 266 31 U.S.C. 7701(c)(2)(B). than $10. 267 47 CFR 1.1166. 268 47 U.S.C. 159(a).
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on smaller entities. The methodology Attachment B—Sources of Payment We tried to obtain verification for we are using in this Report and Order Unit Estimates for FY 2005 these estimates from multiple sources minimizes this impact by limiting the In order to calculate individual and, in all cases, we compared FY 2005 amount of increase and shifting costs to service fees for FY 2005, we adjusted FY estimates with actual FY 2004 payment other services which, for the most part, 2004 payment units for each service to units to ensure that our revised are larger entities. more accurately reflect expected FY estimates were reasonable. Where 134. Several categories of licensees 2005 payment liabilities. We obtained appropriate, we adjusted and/or and regulatees are exempt from payment our updated estimates through a variety rounded our final estimates to take into of regulatory fees. See, e.g., footnote of means. For example, we used consideration the fact that certain 261, supra. Commission licensee data bases, actual variables that impact on the number of prior year payment records and industry payment units cannot yet be estimated 135. Report to Small Business and trade association projections when exactly. These include an unknown Administration: The Commission will available. The databases we consulted number of waivers and/or exemptions send a copy of this Report and Order, include the Commission’s Universal that may occur in FY 2005 and the fact including a copy of the FRFA to the Licensing System (ULS), International that, in many services, the number of Chief Counsel for Advocacy of the Small Bureau Filing System (IBFS), and actual licensees or station operators Business Administration. The Report Consolidated Database System (CDBS). fluctuates from time to time due to and Order and FRFA (or summaries The industry sources we consulted economic, technical or other reasons. thereof) will also be published in the include, but are not limited to, Therefore, when we note, for example, Federal Register. Television & Cable Factbook by Warren Publishing, Inc. and the Broadcasting that our estimated FY 2005 payment 136. Report to Congress: The and Cable Yearbook by Reed Elsevier, units are based on FY 2004 actual Commission will send a copy of this Inc, as well as reports generated within payment units, it does not necessarily Final Regulatory Flexibility Analysis the Commission such as the Wireline mean that our FY 2005 projection is (FRFA), along with this Report and Competition Bureau’s Trends in exactly the same number as FY 2004. It Order, in a report to Congress pursuant Telephone Service and the Wireless means that we have either rounded the to the Congressional Review Act, 5 Telecommunications Bureau’s FY 2005 number or adjusted it slightly U.S.C. 801(a)(1)(A). Numbering Resource Utilization to account for these variables. Forecast.
Fee category Sources of payment unit estimates
Land Mobile (All), Microwave, 218–219 MHz, Based on Wireless Telecommunications Bureau (WTB) projections of new applications and re- Marine (Ship & Coast), Aviation (Aircraft & newals taking into consideration existing Commission licensee data bases. Aviation (Aircraft) Ground), GMRS, Amateur Vanity Call Signs, and Marine (Ship) estimates have been adjusted to take into consideration the licensing of Domestic Public Fixed. portions of these services on a voluntary basis. CMRS Cellular/Mobile Services ...... Based on Wireless Telecommunications Bureau estimates. CMRS Messaging Services ...... Based on Wireless Telecommunications Bureau Competition Report estimates. AM/FM Radio Stations ...... Based on estimates from Media Services Bureau estimates, adjusted for exemptions, and ac- tual FY 2004 payment units. UHF/VHF Television Stations ...... Based on Media Services Bureau estimates and actual FY 2004 payment units. AM/FM/TV Construction Permits ...... Based on Media Services Bureau estimates and actual FY 2004 payment units. LPTV, Translators and Boosters ...... Based on actual FY 2004 payment units. Broadcast Auxiliaries ...... Based on actual FY 2004 payment units. BRS (formerly MDS/MMDS) ...... Based on Wireless Telecommunications Bureau estimates and actual FY 2004 payment units. Cable Television Relay Service (CARS) Sta- Based on actual FY 2004 payment units. tions. Cable Television System Subscribers ...... Based on Media Services Bureau industry estimates of subscribership, and actual FY 2004 payment units. Interstate Telecommunication Service Providers Based on actual FY 2004 interstate revenues reported on Telecommunications Reporting Worksheet, adjusted for FY 2005 revenue growth/decline for industry, and projections by the Wireline Competition Bureau. Earth Stations ...... Based on actual FY 2004 payment estimates and projected FY 2005 units. Space Stations (GSOs & NGSOs) ...... Based on International Bureau licensee data base estimates. International Bearer Circuits ...... Based on FY 2004 actual paid units, and adjusted for growth. International HF Broadcast Stations, Inter- Based on International Bureau estimates. national Public Fixed Radio Service.
ATTACHMENT C.—CALCULATION OF FY 2005 REVENUE REQUIREMENTS AND PRO-RATA FEES [Regulatory fees for the categories shaded in gray are collected by the Commission in advance to cover the term of the license and are submitted along with the application at the time the application is filed.]
Computed Rounded FY 2005 FY 2004 Pro-rated FY new FY new FY Expected FY Fee category payment units Years revenue esti- 2005 revenue 2005 regu- 2005 regu- 2005 revenue mate requirement * latory fee latory fee
PLMRS (Exclusive use) ...... 3,700 10 340,000 349,068 9 10 370,000 PLMRS (Shared use) ...... 46,000 10 2,300,000 2,361,342 5 5 2,300,000 Microwave ...... 2,600 10 1,500,000 1,540,006 59 60 1,560,000 218–219 MHz (Formerly IVDS) ...... 3 10 1,500 1,540 51 50 1,500 Marine (Ship) ...... 7,000 10 585,000 600,602 9 10 700,000
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ATTACHMENT C.—CALCULATION OF FY 2005 REVENUE REQUIREMENTS AND PRO-RATA FEES—Continued [Regulatory fees for the categories shaded in gray are collected by the Commission in advance to cover the term of the license and are submitted along with the application at the time the application is filed.]
Computed Rounded FY 2005 FY 2004 Pro-rated FY new FY new FY Expected FY Fee category payment units Years revenue esti- 2005 revenue 2005 regu- 2005 regu- 2005 revenue mate requirement * latory fee latory fee
GMRS ...... 21,000 5 375,000 385,001 4 5 525,000 Aviation (Aircraft) ...... 7,400 10 155,000 159,134 2 5 370,000 Marine (Coast) ...... 1,000 10 96,200 98,766 10 10 100,000 Aviation (Ground) ...... 1,600 5 120,000 123,200 15 15 120,000 Amateur Vanity Call Signs ...... 7,600 10 162,119 166,443 2.19 2.19 166,443 AM Class A ...... 66 1 198,375 203,666 3,086 3,075 202,950 AM Class B ...... 1,592 1 2,421,075 2,485,646 1,561 1,550 2,467,600 AM Class C ...... 956 1 841,500 863,943 904 900 860,400 AM Class D ...... 1,769 1 2,784,800 2,859,072 1,616 1,625 2,874,625 FM Classes A, B1 & C3 ...... 3,045 1 5,715,500 5,980,390 1,964 1,975 6,013,875 FM Classes B, C, C0, C1 & C2 ...... 2,963 1 7,026,150 7,321,585 2,471 2,475 7,333,425 AM Construction Permits ...... 113 1 33,945 34,850 308 310 35,030 FM Construction Permits 1 ...... 98 1 267,300 53,929 550 550 53,900 Satellite TV ...... 123 1 128,100 131,516 1,069 1,075 132,225 Satellite TV Construction Permit ...... 3 1 1,560 1,602 534 535 1,605 VHF Markets 1–10 ...... 43 1 2,596,125 2,665,365 61,985 61,975 2,664,925 VHF Markets 11–25 ...... 61 1 2,654,400 2,725,194 44,675 44,675 2,725,175 VHF Markets 26–50 ...... 72 1 2,246,475 2,306,389 32,033 32,025 2,305,800 VHF Markets 51–100 ...... 118 1 2,161,725 2,219,379 18,808 18,800 2,218,400 VHF Remaining Markets ...... 211 1 951,750 977,134 4,631 4,625 975,875 UHF Construction Permits ...... 9 1 27,900 28,644 3,183 3,175 28,575 UHF Markets 1–10 ...... 84 1 1,599,750 1,682,187 20,026 20,025 1,682,100 UHF Markets 11–25 ...... 79 1 1,310,175 1,384,889 17,530 17,525 1,384,475 UHF Markets 26–50 ...... 115 1 1,088,100 1,156,891 10,060 10,050 1,155,750 UHF Markets 51–100 ...... 162 1 943,500 993,971 6,136 6,125 992,250 UHF Remaining Markets ...... 181 1 301,950 310,003 1,713 1,725 312,225 UHF Construction Permits 1 ...... 31 1 192,950 53,475 1,725 1,725 53,475 Broadcast Auxiliaries ...... 25,000 1 250,000 256,668 10 10 250,000 LPTV/Translators/Boosters ...... 2,900 1 1,116,500 1,146,277 395 395 1,145,500 CARS Stations ...... 900 1 135,000 138,001 154 154 139,500 Cable TV Systems ...... 65,000,000 1 45,500,000 46,713,502 0.719 0.72 46,800,000 Interstate Telecommunication Service Providers ...... 54,000,000,000 1 127,530,000 130,931,273 0.002425 0.00243 131,220,000 CMRS Mobile Services (Cellular/Public Mobile) ...... 179,000,000 1 38,250,000 39,565,080 0.221 0.22 39,380,000 CMRS Messaging Services ...... 11,200,000 1 1,160,000 896,000 0.08 0.08 896,000 BRS 2 ...... 1,800 1 432,000 455,400 253 255 459,000 LMDS 3 ...... 330 1 91,800 83,490 253 255 84,150 International Bearer Circuits ...... 5,300,000 1 7,056,000 7,244,186 1.37 1.37 7,261,000 International Public Fixed ...... 1 1 1,750 1,797 1,797 1,800 1,800 Earth Stations ...... 3,400 1 680,000 698,136 205 205 697,000 International HF Broadcast ...... 5 1 3,725 3,824 765 765 3,825 Space Stations (Geostationary) ...... 81 1 8,829,975 9,065,474 111,919 111,925 9,065,925 Space Stations (Non-Geostationary ...... 6 1 657,000 674,522 112,420 112,425 674,550
Total Estimated Revenue to be Col- lected ...... 272,821,674 280,099,050 ...... 280,765,853
Total Revenue Requirement ...... 272,958,000 280,098,000 ...... 280,098,000
Difference ...... (136,326) 1,050 ...... 667,853 *1,02615787 factor applied based on the amount Congress designated for recovery through regulatory fees (Public Law 108–7 and 47 U.S.C. 159(a)(2)). 1 The FM Construction Permit and UHF Construction Permit revenues were adjusted so that the construction permit fee is no higher than the level of the lowest licensed fee for that class of service. 2 MDS/MMDS category was renamed Broadband Radio Service (BRS). See Amendment of Parts 1, 21, 73, 74 and 101 of the Commission’s Rules to Facilitate the Provision of Fixed and Mobile Broadband Access, Educational and Other Advanced Services in the 2150–2162 and 2500– 2690 MHz Bands et al., Report & Order and Further Notice of Proposed Rulemaking, 19 FCC Rcd 14165 (2004). 3 Although we are tracking BRS (formerly MDS/MMDS) and LMDS separately in terms of payment units, the FY 2005 regulatory fee for BRS and LMDS is calculated by combining the units and the ‘‘Pro-Rated Revenue Requirements’’ of both BRS and LMDS.
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ATTACHMENT D.—FY 2005 SCHEDULE OF REGULATORY FEES [Regulatory fees for the categories shaded in gray are collected by the Commission in advance to cover the term of the license and are submitted along with the application at the time the application is filed]
Annual Fee category regulatory fee (U.S. $’s)
PLMRS (per license) (Exclusive Use) (47 CFR part 90) ...... 10 Microwave (per license) (47 CFR part 101) ...... 60 218–219 MHz (Formerly Interactive Video Data Service) (per license) (47 CFR part 95) ...... 50 Marine (Ship) (per station) (47 CFR part 80) ...... 10 Marine (Coast) (per license) (47 CFR part 80) ...... 10 General Mobile Radio Service (per license) (47 CFR part 95) ...... 5 Rural Radio (47 CFR part 22) (previously listed under the Land Mobile category) ...... 5 PLMRS (Shared Use) (per license) (47 CFR part 90) ...... 5 Aviation (Aircraft) (per station) (47 CFR part 87) ...... 5 Aviation (Ground) (per license) (47 CFR part 87) ...... 15 Amateur Vanity Call Signs (per call sign) (47 CFR part 97) ...... 2.19 CMRS Mobile/Cellular Services (per unit) (47 CFR parts 20, 22, 24, 27, 80 and 90) ...... 22 CMRS Messaging Services (per unit) (47 CFR parts 20, 22, 24 and 90) ...... 08 Broadband Radio Service (formerly MMDS/ MDS) (per license) (47 CFR part 21) ...... 255 Local Multipoint Distribution Service (47 CFR, part 101) ...... 255 AM Radio Construction Permits ...... 310 FM Radio Construction Permits ...... 550 TV (47 CFR part 73) VHF Commercial: Markets 1–10 ...... 61,975 Markets 11–25 ...... 44,675 Markets 26–50 ...... 32,025 Markets 51–100 ...... 18,800 Remaining Markets ...... 4,625 Construction Permits ...... 3,175 TV (47 CFR part 73) UHF Commercial: Markets 1–10 ...... 20,025 Markets 11–25 ...... 17,525 Markets 26–50 ...... 10,050 Markets 51–100 ...... 6,125 Remaining Markets ...... 1,725 Construction Permits ...... 1,725 Satellite Television Stations (All Markets) ...... 1,075 Construction Permits—Satellite Television Stations ...... 535 Low Power TV, TV/FM Translators & Boosters (47 CFR part 74) ...... 395 Broadcast Auxiliaries (47 CFR part 74) ...... 10 CARS (47 CFR part 78) ...... 155 Cable Television Systems (per subscriber) (47 CFR part 76) ...... 72 Interstate Telecommunication Service Providers (per revenue dollar) ...... 00243 Earth Stations (47 CFR part 25) ...... 205 Space Stations (per operational station in geostationary orbit) (47 CFR part 25) also includes DBS Service (per operational station) (47 CFR part 100) ...... 111,925 Space Stations (per operational system in non-geostationary orbit) (47 CFR part 25) ...... 112,425 International Bearer Circuits (per active 64KB circuit) ...... 1.37 International Public Fixed (per call sign) (47 CFR part 23) ...... 1,800 International (HF) Broadcast (47 CFR part 73) ...... 765
FY 2005 SCHEDULE OF REGULATORY FEES (CONTINUED)
FY 2005 radio station regulatory fees FM FM classes B, Population served AM class A AM class B AM class C AM class D classes A, C, C0, C1 B1 and C3 and C2
<=25,000 ...... 625 475 375 450 550 725 25,001–75,000 ...... 1,225 925 550 675 1,125 1,250 75,001–150,000 ...... 1,825 1,150 750 1,125 1,550 2,300 150,001–500,000 ...... 2,750 1,950 1,125 1,350 2,375 3,000 500,001–1,200,000 ...... 3,950 2,975 1,875 2,250 3,750 4,400 1,200,001–3,000,00 ...... 6,075 4,575 2,825 3,600 6,100 7,025 >3,000,000 ...... 7,275 5,475 3,575 4,500 7,750 9,125
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Attachment E—Factors, Measurements determining which 2000 block centroids the total population for the predicted and Calculations That Go Into were contained in the polygon. (A block city grade coverage area. Determining Station Signal Contours centroid is the center point of a small Attachment F and Associated Population Coverages area containing population as computed by the U.S. Census Bureau.) The sum of Parties Filing Comments on the Notice AM Stations the population figures for all enclosed of Proposed Rulemaking For stations with nondirectional blocks represents the total population Blooston, Mordkofsky, Dickens, Duffy daytime antennas, the theoretical for the predicted city grade coverage & Prendergast (‘‘BMDDP’’). radiation was used at all azimuths. For area. stations with directional daytime Cingular Wireless LLC (‘‘Cingular’’). antennas, specific information on each FM Stations National Cable & Telecommunications day tower, including field ratio, The greater of the horizontal or Association (‘‘NCTA’’). phasing, spacing and orientation was vertical effective radiated power (ERP) Satellite Industry Association (‘‘SIA’’). retrieved, as well as the theoretical (kW) and respective height above Tyco Communications (US) Inc. pattern root-mean-square of the average terrain (HAAT) (m) combination (‘‘Tyco’’). radiation in all directions in the was used. Where the antenna height XO Communications, Inc. (‘‘XO’’). horizontal plane (RMS) figure milliVolt above mean sea level (HAMSL) was Parties Filing Reply Comments per meter (mV/m) @ 1 km) for the available, it was used in lieu of the antenna system. The standard, or average HAAT figure to calculate American Cable Association (‘‘ACA’’). modified standard if pertinent, specific HAAT figures for each of 360 Cellular Telecommunications and horizontal plane radiation pattern was radials under study. Any available Internet Association (‘‘CTIA’’). calculated using techniques and directional pattern information was DIRECTV, Inc. and EchoStar Satellite methods specified in sections 73.150 applied as well, to produce a radial- (‘‘DirecTV & Echostar’’). and 73.152 of the Commission’s specific ERP figure. The HAAT and ERP Level 3 Communications (‘‘Level 3’’). rules.269 Radiation values were figures were used in conjunction with Tyco Communications (US) Inc. calculated for each of 360 radials the Field Strength (50–50) propagation (‘‘Tyco’’). around the transmitter site. Next, curves specified in 47 CFR section Parties Filing a Notice of Oral Ex Parte estimated soil conductivity data was 73.313 of the Commission’s rules to Presentation retrieved from a database representing predict the distance to the city grade (70 the information in FCC Figure R3 270. dBu (decibel above 1 microVolt per Tyco Telecommunications (‘‘Tyco Using the calculated horizontal meter) or 3.17 mV/m) contour for each Telecom’’), filed by Harris, Wiltshire & radiation values, and the retrieved soil of the 360 radials.271 The resulting Grannis, LLP. conductivity data, the distance to the distance to city grade contours were Satellite company representatives city grade (5 mV/m) contour was used to form a geographical polygon. from Intelsat, PanAmSat, and SES predicted for each of the 360 radials. Population counting was accomplished Americom, Filed by Hogan & Hartson, The resulting distance to city grade by determining which 2000 block LLP. contours were used to form a centroids were contained in the XO Communications (‘‘XO’’), Filed by geographical polygon. Population polygon. The sum of the population Mintz, Levin, Cohn, Ferris, Glovsky, and counting was accomplished by figures for all enclosed blocks represents Popeo, PC.
ATTACHMENT G.—FY 2004 SCHEDULE OF REGULATORY FEES
Annual regu- Fee category latory fee (U.S. $’s)
PLMRS (per license) (Exclusive Use) (47 CFR part 90) ...... 10 Microwave (per license) (47 CFR part 101) ...... 50 218–219 MHz (Formerly Interactive Video Data Service) (per license) (47 CFR part 95) ...... 50 Marine (Ship) (per station) (47 CFR part 80) ...... 15 Marine (Coast) (per license) (47 CFR part 80) ...... 10 General Mobile Radio Service (per license) (47 CFR part 95) ...... 5 Rural Radio (47 CFR part 22) (previously listed under the Land Mobile category) ...... 5 PLMRS (Shared Use) (per license) (47 CFR part 90) ...... 5 Aviation (Aircraft) (per station) (47 CFR part 87) ...... 5 Aviation (Ground) (per license) (47 CFR part 87) ...... 15 Amateur Vanity Call Signs (per call sign) (47 CFR part 97) ...... 2.08 CMRS Mobile/Cellular Services (per unit) (47 CFR parts 20, 22, 24, 27, 80 and 90) ...... 25 CMRS Messaging Services (per unit) (47 CFR parts 20, 22, 24 and 90) ...... 08 Multipoint Distribution Services (MMDS/ MDS) (per call sign) (47 CFR part 21) ...... 270 Local Multipoint Distribution Service (per call sign) (47 CFR, part 101) ...... 270 AM Radio Construction Permits ...... 465 FM Radio Construction Permits ...... 1,650 TV (47 CFR part 73) VHF Commercial: Markets 1–10 ...... 60,375 Markets 11–25 ...... 41,475 Markets 26–50 ...... 29,175 Markets 51–100 ...... 17,575
271 47 CFR 73.313. 269 47 CFR 73.150 and 73.152. 270 See Map of Estimated Effective Ground Conductivity in the United States, 47 CFR 73.190 Figure R3.
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ATTACHMENT G.—FY 2004 SCHEDULE OF REGULATORY FEES—Continued
Annual regu- Fee category latory fee (U.S. $’s)
Remaining Markets ...... 4,050 Construction Permits 4,650 TV (47 CFR part 73) UHF Commercial: Markets 1–10 ...... 17,775 Markets 11–25 ...... 16,175 Markets 26–50 ...... 9,300 Markets 51–100 ...... 5,550 Remaining Markets ...... 1,650 Construction Permits ...... 5,675 Satellite Television Stations (All Markets) ...... 1,050 Construction Permits—Satellite Television Stations ...... 520 Low Power TV, TV/FM Translators & Boosters (47 CFR part 74) ...... 385 Broadcast Auxiliary (47 CFR part 74) ...... 10 CARS (47 CFR part 78) ...... 135 Cable Television Systems (per subscriber) (47 CFR part 76) ...... 70 Interstate Telecommunication Service Providers (per revenue dollar) ...... 00218 Earth Stations (47 CFR part 25) ...... 200 Space Stations (per operational station in geostationary orbit) (47 CFR part 25) also includes Direct Broadcast Satellite Serv- ice (per operational station) (47 CFR part 100) ...... 114,675 Space Stations (per operational system in non-geostationary orbit) (47 CFR part 25) ...... 131,400 International Bearer Circuits (per active 64KB circuit) ...... 2.52 International Public Fixed (per call sign) (47 CFR part 23) ...... 1,750 International (HF) Broadcast (47 CFR part 73) ...... 745
FY 2004 SCHEDULE OF REGULATORY FEES (CONTINUED)
FY 2004 Radio station regulatory fees FM classes Population served AM class A AM class B AM class C AM class D FM classes B, C, C0, C1 A, B1 & C3 & C2
<–25,000 ...... 600 450 350 425 525 675 25,001–75,000 ...... 1,200 900 525 625 1,050 1,175 75,001–150,000 ...... 1,800 1,125 700 1,075 1,450 2,200 150,001–500,000 ...... 2,700 1,925 1,050 1,275 2,225 2,875 500,001–1,200,000 ...... 3,900 2,925 1,750 2,125 3,550 4,225 1,200,001–3,000,00 ...... 6,000 4,500 2,625 3,400 5,775 6,750 >3,000,000 ...... 7,200 5,400 3,325 4,250 7,350 8,775
Statement of Commissioner Michael Statement of Commissioner Jonathan I For the reasons discussed in the Copps, Concurring; Re: Assessment and Adelstein Approving in Part, preamble, the Federal Communications Collection of Regulatory Fees for Fiscal Concurring in Part; Re: Assessment and Commission amends 47 CFR part 1 as Year 2005 Collection of Regulatory Fees for Fiscal follows: Year 2005; MD Docket No. 05–59 As in past years, I concur to As in years past, I must concur to PART 1—PRACTICE AND emphasize that the Commission should portions of our Regulatory Fee Order PROCEDURE consider initiating a proceeding to because I remain troubled with the address when or how it would adjust Commission’s inability to consider I 1. The authority citation for part 1 the regulatory fees pursuant to section changes that undoubtedly occur from continues to read as follows: 9(b)(3) of the Act. As technology time to time in the costs of regulatory Authority: 47 U.S.C. 151, 154(i), 154(j), advances and our regulatory activities fees for individual services. I encourage 155, 225, 303, 309. change, we must continue to look for the Commission to continue to improve ways to improve our regulatory fee its regulatory fee assessment processes I 2. Section 1.1152 is revised to read as methodology to ensure that we continue so that in the future we are more able follows: to make these adjustments as to comply fully with the Act’s § 1.1152 Schedule of annual regulatory requirements. appropriate. fees and filing locations for wireless radio List of Subjects in 47 CFR Part 1 services. Administrative practice and procedure.
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Exclusive use services (per license) Fee amount 1 Address
1. Land Mobile (Above 470 MHz and 220 MHz Local, Base Station & SMRS) (47 CFR part 90): (a) New, Renew/Mod (FCC 601 & 159) ...... $10.00 FCC, P.O. Box 358130, Pittsburgh, PA 15251–5130. (b) New, Renew/Mod (Electronic Filing) (FCC 601 & 159) .. 10.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. (c) Renewal Only (FCC 601 & 159) ...... 10.00 FCC, P.O. Box 358245, Pittsburgh, PA 15251–5245. (d) Renewal Only (Electronic Filing) (FCC 601 & 159) ...... 10.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. 220 MHz Nationwide: (a) New, Renew/Mod (FCC 601 & 159) ...... 10.00 FCC, P.O. Box 358130, Pittsburgh, PA 15251–5130. (b) New, Renew/Mod (Electronic Filing) (FCC 601 & 159) .. 10.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. (c) Renewal Only (FCC 601 & 159) ...... 10.00 FCC, P.O. Box 358245, Pittsburgh, PA 15251–5245. (d) Renewal Only (Electronic Filing) (FCC 601 & 159) ...... 10.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. 2. Microwave (47 CFR 101) (Private): (a) New, Renew/Mod (FCC 601 & 159) ...... 60.00 FCC, P.O. Box 358130, Pittsburgh, PA 15251–5130. (b) New, Renew/Mod (Electronic Filing) (FCC 601 & 159) .. 60.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. (c) Renewal Only (FCC 601 & 159) ...... 60.00 FCC, P.O. Box 358245, Pittsburgh, PA 15251–5245. (d) Renewal Only (Electronic Filing) (FCC 601 & 159) ...... 60.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. 3. 218–219 MHz Service: (a) New, Renew/Mod (FCC 601 & 159) ...... 50.00 FCC, P.O. Box 358130, Pittsburgh, PA 15251–5130. (b) New, Renew/Mod (Electronic Filing) (FCC 601 & 159) .. 50.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. (c) Renewal Only (FCC 601 & 159) ...... 50.00 FCC, P.O. Box 358245, Pittsburgh, PA 15251–5245. (d) Renewal Only (Electronic Filing) (FCC 601 & 159) ...... 50.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. 4. Shared Use Services, Land Mobile (Frequencies Below 470 MHz—except 220 MHz): (a) New, Renew/Mod (FCC 601 & 159) ...... 5.00 FCC, P.O. Box 358130, Pittsburgh, PA 15251–5130. (b) New, Renew/Mod (Electronic Filing) (FCC 601 & 159) .. 5.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. (c) Renewal Only (FCC 601 & 159) ...... 5.00 FCC, P.O. Box 358245, Pittsburgh, PA 15251–5245. (d) Renewal Only (Electronic Filing) (FCC 601 & 159) ...... 5.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. General Mobile Radio Service: (a) New, Renew/Mod (FCC 605 & 159) ...... 5.00 FCC, P.O. Box 358130, Pittsburgh, PA 15251–5130. (b) New, Renew/Mod (Electronic Filing) (FCC 605 & 159) .. 5.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. (c) Renewal Only (FCC 605 & 159) ...... 5.00 FCC, P.O. Box 358245, Pittsburgh, PA 15251–5245. (d) Renewal Only (Electronic Filing) (FCC 605 & 159) ...... 5.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. Rural Radio (Part 22): (a) New, Additional Facility, Major Renew/Mod (Electronic 5.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. Filing) (FCC 601 & 159). (b) Renewal, Minor Renew/Mod (Electronic Filing) (FCC 5.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. 601 & 159). Marine Coast: (a) New Renewal/Mod (FCC 601 & 159) ...... 10.00 FCC, P.O. Box 358130, Pittsburgh, PA 15251–5130. (b) Renewal Only (FCC 601 & 159) ...... 10.00 FCC, P.O. Box 358245, Pittsburgh, PA 15251–5245. (c) Renewal Only (Electronic Filing) (FCC 601 & 159) ...... 10.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. Aviation Ground: (a) New, Renewal/Mod (FCC 601 & 159) ...... 15.00 FCC, P.O. Box 358130, Pittsburgh, PA 15251–5130. (b) Renewal Only (FCC 601 & 159) ...... 15.00 FCC, P.O. Box 358245, Pittsburgh, PA 15251–5245. (c) Renewal Only (Electronic Filing) (FCC 601 & 159) ...... 15.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. Marine Ship: (a) New, Renewal/Mod (FCC 605 & 159) ...... 10.00 FCC, P.O. Box 358130, Pittsburgh, PA 15251–5130. (b) New, Renewal/Mod (Electronic Filing) (FCC 605 & 159) 10.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. (c) Renewal Only (FCC 605 & 159) ...... 10.00 FCC, P.O. Box 358245, Pittsburgh, PA 15251–5245. (d) Renewal Only (Electronic Filing) (FCC 605 & 159) ...... 10.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. Aviation Aircraft: (a) New, Renew/Mod (FCC 605 & 159) ...... 5.00 FCC, P.O. Box 358130, Pittsburgh, PA 15251–5130. (b) New, Renew/Mod (Electronic Filing) (FCC 605 & 159) .. 5.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. (c) Renewal Only (FCC 605 & 159) ...... 5.00 FCC, P.O. Box 358245, Pittsburgh, PA 15251–5245. (d) Renewal Only (Electronic Filing) (FCC 605 & 159) ...... 5.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. 5. Amateur Vanity Call Signs (a) Initial or Renew (FCC 605 & 159) ...... 2.19 FCC, P.O. Box 358130, Pittsburgh, PA 15251–5130. (b) Initial or Renew (Electronic Filing) (FCC 605 & 159) ..... 2.19 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. 6. CMRS Mobile Services (per unit) (FCC 159) ...... 2 .22 & FCC, P.O. Box 358835, Pittsburgh, PA 15251–5835. 7. CMRS Messaging Services (per unit) (FCC 159) ...... 3 .08 FCC, P.O. Box 358835, Pittsburgh, PA 15251–5835. 8. Multipoint Distribution (Includes MMDS and MDS) ...... 255 FCC, Multipoint, P.O. Box 358835, Pittsburgh, PA 15251– 5835. 9. Local Multipoint Distribution Service ...... 255 FCC, Multipoint, P.O. Box 358835, Pittsburgh, PA 15251– 5835. 1 Note that ‘‘small fees’’ are collected in advance for the entire license term. Therefore, the annual fee amount shown in this table that is a small fee (categories 1 through 5) must be multiplied by the 5- or 10-year license term, as appropriate, to arrive at the total amount of regulatory fees owed. It should be further noted that application fees may also apply as detailed in § 1.1102. 2 These are standard fees that are to be paid in accordance with § 1.1157(b). 3 These are standard fees that are to be paid in accordance with § 1.1157(b).
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I 3. Section 1.1153 is revised to read as § 1.1153 Schedule of annual regulatory follows: fees and filing locations for mass media services.
Radio [AM and FM] (47 CFR part 73) Fee amount Address
1. AM Class A <=25,000 population ...... $625 FCC, Radio, P.O. Box 358835, Pittsburgh, PA 15251–5835. 25,001–75,000 population ...... 1,225 75,001–150,000 population ...... 1,825 150,001–500,000 population ...... 2,750 500,001–1,200,000 population ...... 3,950 1,200,001–3,000,000 population ...... 6,075 >3,000,000 population ...... 7,275 2. AM Class B <=25,000 population ...... 475 25,001–75,000 population ...... 925 75,001–150,000 population ...... 1,150 150,001–500,000 population ...... 1,950 500,001–1,200,000 population ...... 2,975 1,200,001–3,000,000 population ...... 4,575 >3,000,000 population ...... 5,475 3. AM Class C >25,000 population ...... 375 25,001–75,000 population ...... 550 75,001–150,000 population ...... 750 150,001–500,000 population ...... 1,125 500,001–1,200,000 population ...... 1,875 1,200,001–3,000,000 population ...... 2,825 >3,000,000 population ...... 3,575 4. AM Class D <=25,000 population ...... 450 25,001–75,000 population ...... 675 75,001–150,000 population ...... 1,125 150,001–500,000 population ...... 1,350 500,001–1,200,000 population ...... 2,250 1,200,001–3,000,000 population ...... 3,600 >3,000,000 population ...... 4,500 5. AM Construction Permit ...... 310 6. FM Classes A, B1 and C3 <=25,000 population ...... 550 25,001–75,000 population ...... 1,125 75,001–150,000 population ...... 1,550 150,001–500,000 population ...... 2,375 500,001–1,200,000 population ...... 3,750 1,200,001–3,000,000 population ...... 6,100 >3,000,000 population ...... 7,750 7. FM Classes B, C, C0, C1 and C2 <=25,000 population ...... 725 25,001–75,000 population ...... 1,250 75,001–150,000 population ...... 2,300 150,001–500,000 population ...... 3,000 500,001–1,200,000 population ...... 4,400 1,200,001–3,000,000 population ...... 7,025 >3,000,000 population ...... 9,125 8. FM Construction Permits ...... 550 TV (47 CFR part 73), VHF Commercial: 1. Markets 1 thru 10 ...... 61,975 FCC, TV Branch, P.O. Box 358835, Pittsburgh, PA 15251– 5835. 2. Markets 11 thru 25 ...... 44,675 3. Markets 26 thru 50 ...... 32,025 4. Markets 51 thru 100 ...... 18,800 5. Remaining Markets ...... 4,625 6. Construction Permits ...... 3,175 UHF Commercial: 1. Markets 1 thru 10 ...... 20,025 FCC, UHFCommercial, P.O. Box 358835, Pittsburgh, PA 15251–5835. 2. Markets 11 thru 25 ...... 17,525 3. Markets 26 thru 50 ...... 10,050 4. Markets 51 thru 100 ...... 6,125 5. Remaining Markets ...... 1,725 6. Construction Permits ...... 1,725 Satellite UHF/VHF Commercial: 1. All Markets ...... 1,075 FCC Satellite TV, P.O. Box 358835, Pittsburgh, PA 15251– 5835. 2. Construction Permits ...... 535
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Radio [AM and FM] (47 CFR part 73) Fee amount Address
Low Power TV, TV/FM Translator, & TV/FM Booster (47 CFR 395 FCC, Low Power, P.O. Box 358835, Pittsbugh, PA 15251– part 74) 5835. Broadcast Auxiliary ...... 10 FCC, Auxiliary, P.O. Box 358835, Pittsburgh, PA 15251–5835.
I 4. Section 1.1154 is revised to read as § 1.1154 Schedule of annual regulatory follows: charges and filing locations for common carrier services.
Fee amount Address
Radio facilities: 1. Microwave (Domestic Public Fixed) (Electronic Filing) $60.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994. (FCC Form 601 & 159). Carriers: 1. Interstate Telephone Service Providers (per interstate .00243 FCC, Carriers, P.O. Box 358835, Pittsburgh, PA 15251–5835. and international end-user revenues (see FCC Form 499–A).
I 5. Section 1.1155 is revised to read as § 1.1155 Schedule of regulatory fees and follows: filing locations for cable television services.
Fee amount Address
1. Cable Television Relay Service ...... $155 FCC, Cable, P.O. Box 358835, Pittsburgh, PA 15251–5835. 2. Cable TV System (per subscriber) ...... 72
I 6. Section 1.1156 is revised to read as § 1.1156 Schedule of regulatory fees and follows: filing locations for international services.
Fee amount Address
Radio Facilities: 1. International (HF) Broadcast ...... $765 FCC, International, P.O. Box 358835, Pittsburgh, PA 15251– 5835. 2. International Public Fixed ...... 1,800 FCC, International, P.O. Box 358835, Pittsburgh, PA 15251– 5835. Space Stations (Geostationary Orbit)...... 111,925 FCC, Space Stations, P.O. Box 358835, Pittsburgh, PA 15251–5835. Space Stations (Non-Geostationary Orbit)...... 112,425 FCC, Space Stations, P.O. Box 358835, Pittsburgh, PA 15251–5835. Earth Stations, Transmit/Receive & Transmit Only (per author- 205 FCC, Space Stations, P.O. Box 358835, Pittsburgh, PA ization or registration). 15251–5835. Carriers, International Bearer Circuits (per active 64KB circuit 1.37 FCC, Space Stations, P.O. Box 358835, Pittsburgh, PA or equivalent. 15251–5835.
[FR Doc. 05–14267 Filed 7–20–05; 8:45 am] ACTION: Final rule. Equipment Safety Specialist, 1120 BILLING CODE 6712–01–P Vermont Avenue, NW., Mail Stop 25, SUMMARY: On April 19, 2005, FRA Washington, DC 20590, (202) 493–6249, published a notice of proposed [email protected]; or Melissa L. DEPARTMENT OF TRANSPORTATION rulemaking (NPRM) proposing to correct Porter, Trial Attorney, 1120 Vermont an inadvertent, small omission from Avenue, NW., Mail Stop 10, Federal Railroad Administration FRA Form 4 (Boiler Specification Card) Washington, DC 20590, (202) 493–6034, in the Steam Locomotive Inspection and [email protected]. 49 CFR Part 230 Maintenance Standards. The form is used to record information about SUPPLEMENTARY INFORMATION: On [Docket No. FRA 2005–20044, Notice No. inspections of steam locomotive boilers. November 17, 1999, FRA published a 2] FRA received two comments supporting final rule revising the agency’s inspection and maintenance standards RIN 2130–AB64 the adoption of the proposed rule. Therefore, FRA adopts the proposed for steam locomotives (49 CFR part 230) Inspection and Maintenance Standards rule as a final rule. (64 FR 62828). Appendix C to part 230 for Steam Locomotives contains forms that railroads subject to DATES: Effective Date: This rule is the rule are required to complete. On AGENCY: Federal Railroad effective August 22, 2005. FRA Form 4 entitled ‘‘Boiler Administration (FRA), Department of FOR FURTHER INFORMATION CONTACT: Specification Card,’’ FRA inadvertently Transportation (DOT). George Scerbo, Motive Power and omitted three lines in the
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‘‘Calculations’’ section that should have regard, railroads are not required to D. Paperwork Reduction Act been included to record the shearing update or revise current Form 4’s that There are no new information stress on rivets. Because the purpose of were prepared prior to the effective date collection requirements in this final Form 4 is to document for FRA the of this final rule until such time as a rule. current condition of the boiler and to new or updated Form 4 is otherwise keep up-to-date documentation of all required by the rule. Form 4’s that are E. Compliance With the Unfunded repairs that have been made to the prepared after the effective date of this Mandates Reform Act of 1995 boiler, the omitted language is necessary final rule must contain the ‘‘shearing The final rule issued today will not on the form so that the current stress on rivets’’ information. result in the expenditure, in the condition of the boiler can be aggregate, of $120,700,000 or more in documented accurately. The omitted Regulatory Impact any one year by State, local, or Indian language is as follows: A. Executive Order 12866 and DOT tribal governments, or the private sector, ‘‘Shearing stress on rivets: Regulatory Policies and Procedures Greatest shear stress on rivets in and thus preparation of a statement was longitudinal seamlllpsi Location This final rule has been evaluated in not required. (course #)lll; Seam Efficiency___’’ accordance with existing policies and F. Environmental Assessment On April, 19, 2005, FRA published an procedures. It is not considered a There will be no significant NPRM proposing to add the omitted significant regulatory action under environmental impacts associated with language to Form 4. (70 FR 20337). section 3(f) of Executive Order 12866 this final rule. Comments were due on May 19, 2005. and, therefore, was not reviewed by the FRA received two comments supporting Office of Management and Budget. This G. Energy Impact the addition of the language to Form 4, final rule is not significant under the According to definitions set forth in but requesting clarification about Regulatory Policies and Procedures of Executive Order 13211, there will be no whether the rule will only apply the Department of Transportation. The significant energy action as a result of prospectively. economic impact of the final rule is the issuance of this final rule. Because FRA did not receive any minimal to the extent that preparation adverse, substantive comments, FRA is of a regulatory evaluation is not List of Subjects in 49 CFR Part 230 correcting this oversight by adding the warranted. language to Form 4 as proposed in the Steam locomotives, Railroad safety, notice of proposed rulemaking. B. Regulatory Flexibility Determination Penalties, Reporting and recordkeeping requirements. Analysis of Comments The Regulatory Flexibility Act of 1980 The Final Rule FRA asked for comment on the (5 U.S.C. 601 et seq.) requires a review proposed changes to Form 4 and of rules to assess their impact on small I In consideration of the foregoing, FRA received comments from Union Pacific entities. This rule corrects a minor is amending chapter II, subtitle B of title Railroad Company (UP) and the omission from the final rule. Therefore, 49, Code of Federal Regulations as Association of Railway Museums FRA certifies that this final rule does follows: (ARM). Both commenters support not have a significant economic impact adoption of the proposed rule provided on a substantial number of small PART 230—[AMENDED] entities. that the changes to Form 4 apply I 1. The authority citation for part 230 prospectively from the effective date of C. Federalism continues to read as follows: this final rule. UP and ARM maintain that the rule should not require This final rule will not have a Authority: 49 U.S.C. 20103, 20701, 20702; railroads to revise or update existing substantial effect on the States, on the 28 U.S.C. 2461, note; and 49 CFR 1.49. Form 4’s to include the ‘‘shearing stress relationship between the national I 2. Appendix C to part 230 is amended on rivets’’ information until such time government and the States, or the by revising ‘‘FRA Form 4’’ to read as as 49 CFR part 230 requires railroads to distribution of power and follows: prepare a new or updated Form 4 (e.g., responsibilities among the various Appendix C to Part 230–FRA Inspection in connection with a 1472 service day levels of government. Thus, in Forms inspection under section 230.17). accordance with Executive Order 13132, FRA agrees that the change to Form 4 preparation of a Federalism assessment * * * * * should apply prospectively. In this as not warranted. BILLING CODE 4910–06–P
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* * * * * Issued in Washington, DC on July 11, 2005. Joseph H. Boardman, Administrator, Federal Railroad Administration. [FR Doc. 05–14334 Filed 7–20–05; 8:45 am] BILLING CODE 4910–06–C
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Proposed Rules Federal Register Vol. 70, No. 139
Thursday, July 21, 2005
This section of the FEDERAL REGISTER • Government-wide rulemaking Web comments in any of our dockets, contains notices to the public of the proposed site: Go to http://www.regulations.gov including the name of the individual issuance of rules and regulations. The and follow the instructions for sending who sent the comment (or signed the purpose of these notices is to give interested your comments electronically. comment on behalf of an association, persons an opportunity to participate in the • Mail: Docket Management Facility, business, labor union, etc.). You can rule making prior to the adoption of the final rules. U.S. Department of Transportation, 400 review the DOT’s complete Privacy Act Seventh Street SW., Nassif Building, Statement in the Federal Register room PL–401, Washington, DC 20590. published on April 11, 2000 (65 FR • DEPARTMENT OF TRANSPORTATION By fax: (202) 493–2251. 19477–78), or you can visit http:// • Hand Delivery: Room PL–401 on dms.dot.gov. the plaza level of the Nassif Building, Federal Aviation Administration Examining the Docket 400 Seventh Street SW., Washington, 14 CFR Part 39 DC, between 9 a.m. and 5 p.m., Monday You can examine the AD docket on through Friday, except Federal holidays. the Internet at http://dms.dot.gov, or in [Docket No. FAA–2005–21909; Directorate person at the Docket Management Identifier 2005–NM–059–AD] For service information identified in this proposed AD, contact Aerospatiale, Facility office between 9 a.m. and 5 RIN 2120–AA64 316 Route de Bayonne, 31060 Toulouse, p.m., Monday through Friday, except Cedex 03, France. Federal holidays. The Docket Airworthiness Directives; Aerospatiale You can examine the contents of this Management Facility office (telephone Model ATR72 Airplanes AD docket on the Internet at http:// (800) 647–5227) is located on the plaza level of the Nassif Building at the DOT AGENCY: Federal Aviation dms.dot.gov, or in person at the Docket street address stated in the ADDRESSES Administration (FAA), Department of Management Facility, U.S. Department section. Comments will be available in Transportation (DOT). of Transportation, 400 Seventh Street SW., room PL–401, on the plaza level of the AD docket shortly after the Docket ACTION: Notice of proposed rulemaking Management System (DMS) receives (NPRM). the Nassif Building, Washington, DC. This docket number is FAA–2005– them. SUMMARY: The FAA proposes to adopt a 21909; the directorate identifier for this Discussion new airworthiness directive (AD) for docket is 2005–NM–059–AD. The Direction Ge´ne´rale de l’Aviation certain Aerospatiale Model ATR72 FOR FURTHER INFORMATION CONTACT: Tom Civile (DGAC), which is the airplanes. This proposed AD would Rodriguez, Aerospace Engineer, airworthiness authority for France, require a one-time general visual International Branch, ANM–116, FAA, notified us that an unsafe condition may inspection for contamination of the Transport Airplane Directorate, 1601 exist on certain Aerospatiale Model surface of the upper arms of the main Lind Avenue, SW., Renton, Washington ATR72 airplanes. The DGAC advises landing gear (MLG) secondary side 98055–4056; telephone (425) 227–1137; that there were two reports of rupture of brace assemblies; and repetitive eddy fax (425) 227–1149. the upper arm of the main landing gear current inspections for cracking of the SUPPLEMENTARY INFORMATION: (MLG) secondary side brace assembly. upper arms, and related specified and Comments Invited Fatigue cracking has been determined to corrective actions if necessary. This be the cause of the ruptures. This proposed AD also would mandate We invite you to submit any relevant cracking, if not corrected, could result eventual replacement of aluminum written data, views, or arguments in collapse of the MLG during takeoff or upper arms with steel upper arms, regarding this proposed AD. Send your landing, damage to the airplane, and which would end the repetitive comments to an address listed under possible injury to the flightcrew and inspections. This proposed AD is ADDRESSES. Include ‘‘Docket No. FAA– passengers. prompted by two reports of rupture of 2005–21909; Directorate Identifier the upper arm of the MLG secondary 2005–NM–059–AD’’ at the beginning of Relevant Service Information side brace due to fatigue cracking. We your comments. We specifically invite Messier-Dowty has issued Special are proposing this AD to prevent comments on the overall regulatory, Inspection Service Bulletin 631–32–178, cracking of the upper arms of the economic, environmental, and energy Revision 1, dated September 30, 2004. secondary side brace assemblies of the aspects of the proposed AD. We will The service bulletin describes MLG, which could result in collapse of consider all comments submitted by the procedures for, among other things, a the MLG during takeoff or landing, closing date and may amend the one-time general visual inspection for damage to the airplane, and possible proposed AD in light of those contamination of the surface of the injury to the flightcrew and passengers. comments. upper arms of the MLG secondary side DATES: We must receive comments on We will post all comments we brace assemblies, and an eddy current this proposed AD by August 22, 2005. receive, without change, to http:// inspection for cracking of the upper ADDRESSES: Use one of the following dms.dot.gov, including any personal arms. The service bulletin also addresses to submit comments on this information you provide. We will also recommends sending an inspection proposed AD. post a report summarizing each report to Messier-Dowty. • DOT Docket Web site: Go to substantive verbal contact with FAA Aerospatiale has issued Avions de http://dms.dot.gov and follow the personnel concerning this proposed AD. Transport Regional Service Bulletin instructions for sending your comments Using the search function of our docket ATR72–32–1046, Revision 1, dated electronically. Web site, anyone can find and read the October 7, 2004. The service bulletin
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contains no Accomplishment require, for replacement of aluminum cost of the proposed replacement for Instructions, but describes procedures upper arms, an eddy current inspection U.S. operators is $93,744, or $5,208 per for replacing the upper arms of the MLG and investigative or corrective actions. airplane. secondary side brace assemblies. The Replacement with steel arms would end Authority for This Rulemaking service bulletin refers to Messier-Dowty the repetitive inspections, and Service Bulletin 631–32–183, dated replacement with aluminum arms Title 49 of the United States Code October 6, 2004, as the source of service would require repeating the eddy specifies the FAA’s authority to issue information for accomplishing the current inspections. rules on aviation safety. Subtitle I, replacement. Service Bulletin 631–32– Differences Among Proposed AD, section 106, describes the authority of 183 describes procedures for replacing French Airworthiness Directive, and the FAA Administrator. Subtitle VII, aluminum upper arms of the MLG Messier-Dowty Service Information Aviation Programs, describes in more secondary side brace assemblies with detail the scope of the Agency’s steel upper arms, and engraving a new Although the French airworthiness authority. directive requires replacing any suffix on the identification plate on the We are issuing this rulemaking under defective upper arm of the MLG assembly. the authority described in subtitle VII, secondary side brace assemblies with a Accomplishing the actions specified part A, subpart III, section 44701, new or serviceable aluminum arm, or a in the service information is intended to ‘‘General requirements.’’ Under that adequately address the unsafe new steel arm, there are no procedures section, Congress charges the FAA with condition. The DGAC mandated the specified in Service Bulletin 631–32– promoting safe flight of civil aircraft in service information and issued French 183 for replacing the defective arm with air commerce by prescribing regulations airworthiness directive F–2004–164, an aluminum arm. The service bulletin for practices, methods, and procedures dated October 13, 2004, to ensure the does reference the ATR Component the Administrator finds necessary for continued airworthiness of these Maintenance Manual (CMM), Chapter safety in air commerce. This regulation airplanes in France. 32–18–41, Revision 3, dated September is within the scope of that authority The French airworthiness directive 30, 2002, for procedures for replacing because it addresses an unsafe condition refers to Messier-Bugatti Service the affected arm with a new steel arm. that is likely to exist or develop on Bulletin 631–32–085, dated August 21, Therefore, this proposed AD will products identified in this rulemaking 1992, as the source of service reference the CMM for procedures for action. information for replacing the press- replacement of any defective aluminum fitted ball cages of the lower and upper upper arm with a new or serviceable Regulatory Findings arms of the MLG secondary side brace aluminum upper arm. Chapter 32–18– assemblies with ball cages that are 41 provides procedures for replacement We have determined that this shrink-fitted and bonded with adhesive. of affected upper arms with either steel proposed AD would not have federalism For airplanes on which this replacement or aluminum upper arms. This implications under Executive Order has been accomplished, the compliance difference has been coordinated with 13132. This proposed AD would not time for the replacement of the the DGAC. have a substantial direct effect on the aluminum upper arms is extended. Special Inspection Service Bulletin States, on the relationship between the 631–32–178, Revision 1, recommends national Government and the States, or FAA’s Determination and Requirements on the distribution of power and of the Proposed AD sending an inspection report to Messier- Dowty, but this proposed AD does not responsibilities among the various This airplane model is manufactured contain that requirement. levels of government. in France and is type certificated for Special Inspection Service Bulletin For the reasons discussed above, I operation in the United States under the 631–32–178, Revision 1, refers only to a certify that the proposed regulation: provisions of section 21.29 of the ‘‘visual inspection’’ for contamination of 1. Is not a ‘‘significant regulatory Federal Aviation Regulations (14 CFR the surface. We have determined that action’’ under Executive Order 12866; 21.29) and the applicable bilateral the procedures in the service bulletin 2. Is not a ‘‘significant rule’’ under the airworthiness agreement. Pursuant to should be described as a ‘‘general visual DOT Regulatory Policies and Procedures this bilateral airworthiness agreement, inspection.’’ A note has been included (44 FR 11034, February 26, 1979); and the DGAC has kept the FAA informed in this AD to define this type of 3. Will not have a significant of the situation described above. We inspection. have examined the DGAC’s findings, economic impact, positive or negative, evaluated all pertinent information, and Costs of Compliance on a substantial number of small entities determined that we need to issue an AD This proposed AD would affect about under the criteria of the Regulatory for products of this type design that are 18 airplanes of U.S. registry. Flexibility Act. certificated for operation in the United The proposed initial and repetitive We prepared a regulatory evaluation States. inspections would take about 1 work of the estimated costs to comply with Therefore, we are proposing this AD, hour per airplane, at an average labor this proposed AD. See the ADDRESSES which would require accomplishing the rate of $65 per work hour. Based on section for a location to examine the actions specified in Avions de Transport these figures, the estimated cost of the regulatory evaluation. Regional Service Bulletin ATR72–32– proposed inspections for U.S. operators List of Subjects in 14 CFR Part 39 1046, Revision 1; Messier-Dowty is $1,170, or $65 per airplane, per Special Inspection Service Bulletin 631– inspection cycle. Air transportation, Aircraft, Aviation 32–178, Revision 1; and Messier-Dowty The proposed replacement would take safety, Safety. Service Bulletin 631–32–183; described about 4 work hours per airplane (2 work The Proposed Amendment previously; except as discussed under hours per upper arm), at an average ‘‘Differences Between the Proposed AD labor rate of $65 per work hour. Accordingly, under the authority and Messier-Dowty Special Inspection Required parts would cost about $4,948 delegated to me by the Administrator, Service Bulletin 631–32–178.’’ In per airplane ($2,474 per upper arm). the FAA proposes to amend 14 CFR part addition, this proposed AD would Based on these figures, the estimated 39 as follows:
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PART 39—AIRWORTHINESS distance unless otherwise specified. A mirror cycles or 96 months, whichever is first, since DIRECTIVES may be necessary to enhance visual access to overhaul on the affected upper arm. all exposed surfaces in the inspection area. (3) For airplanes on which any upper arm 1. The authority citation for part 39 This level of inspection is made under has not been overhauled and on which continues to read as follows: normally available lighting conditions such Messier-Bugatti Service Bulletin 631–32–085, as daylight, hangar lighting, flashlight, or dated August 21, 1992, has not been Authority: 49 U.S.C. 106(g), 40113, 44701. droplight and may require removal or accomplished, as of the effective date of this AD: Before the accumulation of 15,000 total § 39.13 [Amended] opening of access panels or doors. Stands, ladders, or platforms may be required to gain flight cycles on an upper arm since new, or 2. The FAA amends § 39.13 by adding proximity to the area being checked.’’ within 96 months on an upper arm since the following new airworthiness new, whichever is first. directive (AD): Related Specified and Corrective Actions (4) For airplanes on which any upper arm has not been overhauled and on which Aerospatiale: Docket No. FAA–2005–21909; (g) If any cracking is found during any Messier-Bugatti Service Bulletin 631–32–085, Directorate Identifier 2005–NM–059–AD. inspection required by paragraph (f) of this AD: Before further flight, replace the affected dated August 21, 1992, has been Comments Due Date upper arm of the MLG secondary side brace accomplished, as of the effective date of this AD: Before the accumulation of 18,000 total (a) The Federal Aviation Administration assembly as specified in paragraph (g)(1) or flight cycles on an upper arm since new, or must receive comments on this AD action by (g)(2) of this AD. within 96 months on an upper arm since August 22, 2005. (1) Replace the aluminum upper arm of the MLG secondary side brace assembly with a new, whichever is first. Affected ADs steel upper arm by doing the applicable No Report Required actions specified in the Accomplishment (b) None. (i) Messier-Dowty Special Inspection Instructions of Messier-Dowty Service Service Bulletin 631–32–178, Revision 1, Applicability Bulletin 631–32–183, dated October 6, 2004. dated September 30, 2004, recommends (c) This AD applies to Aerospatiale Model This replacement ends the repetitive sending an inspection report to Messier- ATR72–101, –102, –201, –202, –211, –212, inspections required by paragraph (f) of this Dowty, but this AD does not contain that and –212A airplanes, certificated in any AD for that side brace only. requirement. category; except airplanes that have received (2) Replace the aluminum upper arm of the ATR Modification 5522 in production. MLG secondary side brace assembly with a Parts Installation new or serviceable aluminum upper arm in Unsafe Condition (j) As of the effective date of this AD, no accordance with a method approved by person may install, on any airplane, an (d) This AD was prompted by two reports either the Manager, International Branch, aluminum upper arm of the MLG secondary of rupture of the upper arm of the main ANM–116, Transport Airplane Directorate, side brace assembly, unless the applicable landing gear (MLG) secondary side brace FAA; or the Direction Ge´ne´rale de l’Aviation requirements specified in paragraphs (f) and assembly due to fatigue cracking. We are Civile (or its delegated agent). ATR (g) of this AD have been accomplished. issuing this AD to prevent cracking of the Component Maintenance Manual, Chapter upper arms of the secondary side brace 32–18–41, Revision 3, dated September 30, Alternative Methods of Compliance assemblies of the MLG, which could result in 2002, is one approved method. Accomplish (AMOCs) collapse of the MLG during takeoff or a general visual inspection for contamination (k) The Manager, ANM–116, Transport landing, damage to the airplane, and possible of the surface of the upper arm before the Airplane Directorate, FAA, has the authority injury to the flightcrew and passengers. accumulation of 4,000 total flight cycles on to approve AMOCs for this AD, if requested the upper arm, and if cracks are found, before Compliance in accordance with the procedures found in further flight, replace the upper arm with a 14 CFR 39.19. (e) You are responsible for having the steel upper arm as required by paragraph actions required by this AD performed within (g)(1) of this AD. If no cracks are found, Related Information the compliance times specified, unless the repeat the eddy current inspection thereafter (l) French airworthiness directive F–2004– actions have already been done. at intervals not to exceed 800 flight cycles 164, dated October 13, 2004, also addresses Inspections until accomplishment of paragraph (h) of this the subject of this AD. AD. (f) At the latest of the times specified in Issued in Renton, Washington, on July 14, paragraphs (f)(1), (f)(2), and (f)(3) of this AD: Terminating Action 2005. Accomplish a general visual inspection for (h) Replace all aluminum upper arms of Ali Bahrami, contamination of the surface of the upper the MLG secondary side brace assembly with Manager, Transport Airplane Directorate, arms of the MLG secondary side brace steel upper arms by doing all the applicable Aircraft Certification Service. assemblies, and an eddy current inspection actions in accordance with the [FR Doc. 05–14393 Filed 7–20–05; 8:45 am] for cracking of the upper arms by doing all Accomplishment Instructions of Messier- BILLING CODE 4910–13–P the actions specified in Parts A and B of the Dowty Service Bulletin 631–32–183, dated Accomplishment Instructions of Messier- October 6, 2004; at the applicable time Dowty Special Inspection Service Bulletin specified in paragraph (h)(1), (h)(2), (h)(3), or DEPARTMENT OF TRANSPORTATION 631–32–178, Revision 1, dated September 30, (h)(4) of this AD. Accomplishing this 2004. Repeat the eddy current inspection at replacement ends the repetitive inspections Federal Aviation Administration intervals not to exceed 800 flight cycles until required by paragraph (f) of this AD. accomplishment of paragraph (h) of this AD. (1) For airplanes on which any upper arm (1) Before the accumulation of 4,000 total has been overhauled before the effective date 14 CFR Part 39 flight cycles on the secondary side brace. of this AD and on which Messier-Bugatti [Docket No. FAA–2004–19863; Directorate (2) Before the accumulation of 800 flight Service Bulletin 631–32–085, dated August Identifier 2003–NM–29–AD] cycles on the secondary side brace since 21, 1992, has not been accomplished, as of overhauled. the effective date of this AD: Within 15,000 RIN 2120–AA64 (3) Within 200 flight cycles after the flight cycles or 96 months, whichever is first, effective date of this AD. since overhaul on the affected upper arm. Airworthiness Directives; Airbus Model Note 1: For the purposes of this AD, a (2) For airplanes on which any upper arm A319–100, A320–200, and A321–100 general visual inspection is: ‘‘A visual has been overhauled before the effective date and –200 Series Airplanes examination of an interior or exterior area, of this AD and on which Messier-Bugatti installation, or assembly to detect obvious Service Bulletin 631–32–085, dated August AGENCY: Federal Aviation damage, failure, or irregularity. This level of 21, 1992, has been accomplished, as of the Administration (FAA), Department of inspection is made from within touching effective date of this AD: Within 18,000 flight Transportation (DOT).
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ACTION: Supplemental notice of the Nassif Building, Washington, DC. ‘‘original NPRM’’) for certain Airbus proposed rulemaking (NPRM); This docket number is FAA–2004– Model A319, A320, and A321 series reopening of comment period. 19863; the directorate identifier for this airplanes. The original NPRM proposed docket is 2003–NM–29–AD. to supersede AD 2001–16–14, SUMMARY: The FAA is revising an earlier FOR FURTHER INFORMATION CONTACT: Tim amendment 39–12383 (66 FR 42939, NPRM for an airworthiness directive Dulin, Aerospace Engineer, August 16, 2001), which applies to (AD) that applies to certain Airbus International Branch, ANM–116, FAA, certain Airbus Model A319, A320, and Model A319–100, A320–200, and A321– Transport Airplane Directorate, 1601 A321 series airplanes. The original 100 and –200 series airplanes. The Lind Avenue, SW., Renton, Washington NPRM was published in the Federal original NPRM would have superseded 98055–4056; telephone (425) 227–2141; Register on December 16, 2004 (69 FR an existing AD that currently requires fax (425) 227–1149. 75273). The original NPRM proposed to modification of the telescopic girt bar of SUPPLEMENTARY INFORMATION: retain the requirements of the existing the escape slide/raft assembly, and AD and mandate a new modification of follow-on actions. The original NPRM Comments Invited the telescopic girt bar, which would proposed to mandate a new We invite you to submit any relevant terminate the repetitive functional tests modification of the telescopic girt bar, written data, views, or arguments of the existing AD. The original NPRM which would terminate the repetitive regarding this proposal. Send your also proposed to expand the functional tests required by the existing comments to an address listed under applicability of the existing AD. The AD. The original NPRM also proposed ADDRESSES. Include ‘‘Docket No. FAA– original NPRM was prompted by to expand the applicability of the 2004–19863; Directorate Identifier development of a new, improved existing AD. The original NPRM was 2003–NM–29–AD’’ at the beginning of modification. prompted by development of a new, your comments. We specifically invite Comments improved modification. This new action comments on the overall regulatory, would revise the original NPRM by economic, environmental, and energy We have considered the following proposing to mandate the installation of aspects of this supplemental NPRM. We comments on the original NPRM. placards on the modified girt bars, and will consider all comments received by Request To Add Revised Service reduce the compliance time. We are the closing date and may amend this Information proposing this supplemental NPRM to supplemental NPRM in light of those prevent failure of the escape slide/raft to comments. One commenter concurs with the deploy correctly, which could result in We will post all comments submitted, content of the original NPRM and asks the slide being unusable during an without change, to http://dms.dot.gov, that Airbus Service Bulletins A320–52– emergency evacuation and consequent including any personal information you 1112, Revision 03, dated June 27, 2003; injury to passengers or airplane provide. We will also post a report and Revision 04, dated November 12, crewmembers. summarizing each substantive verbal 2003; be added as additional sources of contact with FAA personnel concerning service information for accomplishing DATES: We must receive comments on this proposed AD. Using the search the new modification. Revision 02 of the this supplemental NPRM by August 15, service bulletin was referenced in the 2005. function of our docket Web site, anyone can find and read the comments in any original NPRM as the appropriate source ADDRESSES: Use one of the following of our dockets, including the name of of service information for accomplishing addresses to submit comments on this the individual who sent the comment the modification of the telescopic girt proposed AD. bar of the escape slide/raft assembly. • (or signed the comment on behalf of an DOT Docket Web site: Go to association, business, labor union, etc.). The commenter notes that Revisions 03 http://dms.dot.gov and follow the You can review the DOT’s complete and 04 of the service bulletin did not instructions for sending your comments Privacy Act Statement in the Federal change the content of Revision 02 of the electronically. service bulletin, and should be allowed • Register published on April 11, 2000 Government-wide rulemaking Web (65 FR 19477–78), or you can visit as an alternative method of compliance. site: Go to http://www.regulations.gov http://dms.dot.gov. Another commenter asks that and follow the instructions for sending Revision 05 of the referenced service your comments electronically. Examining the Docket bulletin, dated June 25, 2004, be added • Mail: Docket Management Facility; You can examine the AD docket on to the original NPRM as the source of U.S. Department of Transportation, 400 the Internet at http://dms.dot.gov, or in service information for accomplishing Seventh Street SW., Nassif Building, person at the Docket Management the existing and new requirements. The room PL–401, Washington, DC 20590. Facility office between 9 a.m. and 5 commenter notes that Revision 05 adds • Fax: (202) 493–2251. p.m., Monday through Friday, except procedures for the installation of a • Hand Delivery: Room PL–401 on Federal holidays. The Docket sticker (placard) on each of the four girt the plaza level of the Nassif Building, Management Facility office (telephone bars. That installation was omitted in 400 Seventh Street SW., Washington, (800) 647–5227) is located on the plaza the procedures specified in previous DC, between 9 a.m. and 5 p.m., Monday level of the Nassif Building at the DOT issues of the service bulletin. The through Friday, except Federal holidays. street address stated in ADDRESSES. commenter adds that the purpose of the For service information identified in Comments will be available in the AD stickers is to provide positive visual this proposed AD, contact Airbus, 1 docket shortly after the Docket indication of girt bar engagement in the Rond Point Maurice Bellonte, 31707 Management System (DMS) receives armed mode, and the Direction Generale Blagnac Cedex, France. them. de l’Aviation Civile (DGAC), which is You can examine the contents of this the airworthiness authority for France, AD docket on the Internet at http:// Discussion is in the process of issuing a new dms.dot.gov, or in person at the Docket We proposed to amend part 39 of the airworthiness directive to require Management Facility, U.S. Department Federal Aviation Regulations (14 CFR installation of those stickers. of Transportation, 400 Seventh Street part 39) with a notice of proposed We agree with the commenters. SW., room PL–401, on the plaza level of rulemaking (NPRM) for an AD (the Airbus has issued, and we have
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reviewed, Service Bulletins A320–52– stickers is to provide positive visual therefore, we have determined that it is 1112, Revision 03, dated June 27, 2003; indication of girt bar engagement in the necessary to reopen the comment period Revision 04, dated November 12, 2003; armed mode. This visual indication will to provide additional opportunity for and Revision 05, dated June 25, 2004. ensure continued safe flight of the public comment on this supplemental No more work is necessary if Revisions airplane. No change is made to the NPRM. 03 and 04 are used, as they are supplemental NPRM in this regard. Costs of Compliance essentially the same as Revision 02 of Request To Reduce Compliance Time the service bulletin. Revision 05 adds This proposed AD would affect about procedures for installing placards on the The same commenter asks (as a 517 airplanes of U.S. registry. modified telescopic girt bars of the follow-on to its previous request) that The modification that is required by escape slide/raft assembly. we reduce the compliance time for the AD 2001–16–14 and retained in this The DGAC mandated compliance modification specified in paragraph (g) proposed AD takes about 7 work hours with Revision 05 of the service bulletin of the original NPRM to ‘‘not later than per airplane, at an average labor rate of and issued French airworthiness December 31, 2006,’’ as originally $65 per work hour. The cost of required directive F–2005–057, dated April 13, required by French airworthiness parts is negligible. Based on these 2005, to ensure the continued directive 2002–637(B), dated December figures, the estimated cost of the airworthiness of these airplanes in 24, 2002. The commenter disagrees with currently required modification for U.S. France. the compliance time of 48 months that operators is $235,235, or $455 per We agree that the placards are needed was specified in the original NPRM. The airplane. to provide positive visual indication of commenter states that, although the The functional test that is required by girt bar engagement in the armed mode. DGAC imposed a similar compliance AD 2001–16–14 and retained in this Therefore, we have changed paragraph schedule when the French proposed AD takes about 1 work hour (g) of this supplemental NPRM to add airworthiness directive was issued 2 per airplane, at an average labor rate of paragraphs (g)(1) and (g)(2), which years ago (requiring compliance by $65 per work hour. Based on these specify modifying the telescopic girt December 31, 2006), the modification figures, the cost impact of the currently bars and installing placards on the was developed several years ago and is required functional test for U.S. modified girt bars using Revision 05 of immediately available for operators is $33,605, or $65 per the service bulletin to accomplish those implementation on U.S. carriers. The airplane, per test cycle. actions. In addition, we have added commenter sees no reason to prolong For airplanes that have not been Revisions 03 and 04 to paragraph (i) of the implementation simply because the modified in accordance with AD 2001– this supplemental NPRM to give credit original NPRM was not issued at the 16–14: The new proposed modification for previous accomplishment of the same time as the French airworthiness (including the new placard installation) modification of the telescopic girt bar of directive. would take about 17 work hours per the escape slide/raft assembly. We agree with the intent of the airplane, at an average labor rate of $65 per work hour. Required parts would Request for Excluding Installation of commenter’s remarks. However, we Placards express compliance times based on cost about $5,130 per airplane. Based on calendar dates (e.g., ‘‘not later than these figures, the estimated cost of the One commenter asks that the December 31, 2006’’) only when new modification specified in this installation of placards recommended in engineering analysis establishes a direct proposed AD is $6,235 per airplane. Revision 05 of the referenced service relationship between the date and the For airplanes that have been modified bulletin be excluded from the compliance time. In this case, no direct in accordance with AD 2001–16–14: requirements of the original NPRM. The relationship exists. The compliance The new proposed modification commenter states that Revision 05 time, December 31, 2006, for the subject (including the new placard installation) added procedures for installing a ‘‘dot’’ modification specified in the French would take about 21 work hours per placard to the modified girt bar, for airworthiness directive corresponds to airplane, at an average labor rate of $65 identification. The commenter notes 20 months after the effective date of the per work hour. Required parts would that this placard seems to be self- original issue of French airworthiness cost about $5,130 per airplane. Based on sticking with adhesive, and does not directive F–2005–057, dated April 13, these figures, the estimated cost of the change the part number of the modified 2005. Thus, the compliance time of 20 new modification specified in this girt bar. The commenter adds that the months after the effective date of this proposed AD is $6,495 per airplane. placard will eventually come off and AD for the modification is consistent Authority for This Rulemaking cause compliance issues in the future, with the compliance time specified in even though there are currently no such the French airworthiness directive. We Title 49 of the United States Code reports from Airbus. The commenter have changed the compliance time specifies the FAA’s authority to issue also asks that references up to and specified in paragraph (g) of this rules on aviation safety. Subtitle I, including Revision 05 of the service supplemental NPRM accordingly. section 106, describes the authority of bulletin be added to the original NPRM the FAA Administrator. Subtitle VII, as acceptable sources for the Explanation of Change to Applicability Aviation Programs, describes in more instructions for the modification, with We have revised the applicability of detail the scope of the Agency’s the exception of the placard installation. the original NPRM to identify model authority. We do not agree with the commenter’s designations as published in the most We are issuing this rulemaking under request. We have determined that recent type certificate data sheet for the the authority described in subtitle VII, installation of the placards, as identified affected models. part A, subpart III, section 44701, in Revision 05 of the service bulletin ‘‘General requirements.’’ Under that and required by French airworthiness FAA’s Determination and Proposed section, Congress charges the FAA with directive F–2005–057, is necessary and Requirements of the Supplemental promoting safe flight of civil aircraft in the placards should be maintained as NPRM air commerce by prescribing regulations part of normal airplane maintenance. As The changes discussed above expand for practices, methods, and procedures stated previously, the purpose of the the scope of the original NPRM; the Administrator finds necessary for
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safety in air commerce. This regulation Applicability (2) Install a placard on each modified girt is within the scope of that authority (c) This AD applies to Airbus Model A319– bar. because it addresses an unsafe condition 100, A320–200, and A321–100 and –200 (h) For airplanes on which the that is likely to exist or develop on series airplanes; certificated in any category; modification of the telescopic girt bar equipped with telescopic girt bars of the required by paragraph (g)(1) of this AD is products identified in this rulemaking accomplished within the compliance time action. escape slide/raft assembly installed per Airbus Modification 20234, or Airbus Service specified in paragraph (f) of this AD, Regulatory Findings Bulletin A320–25–1055 or A320–25–1218 in accomplishing the modification required by service; except those airplanes with Airbus paragraph (f) is not required. We have determined that this Modification 31708. proposed AD would not have federalism Modifications Accomplished According to implications under Executive Order Unsafe Condition Previous Issues of Service Bulletin 13132. This proposed AD would not (d) This AD was prompted by development (i) Modification of the telescopic girt bar have a substantial direct effect on the of a new, improved modification of the accomplished before the effective date of this States, on the relationship between the telescopic girt bar of the escape slide/raft AD in accordance with Airbus Service assembly. We are issuing this AD to prevent Bulletin A320–52–1112, dated January 16, national Government and the States, or 2002; Revision 01, dated April 3, 2002; on the distribution of power and failure of the escape slide/raft to deploy correctly, which could result in the slide Revision 02, dated September 6, 2002; responsibilities among the various being unusable during an emergency Revision 03, dated June 27, 2003; or Revision levels of government. evacuation and consequent injury to 04, dated November 12, 2003; is considered For the reasons discussed above, I passengers or airplane crewmembers. acceptable for compliance with the certify that the proposed regulation: modification of the telescopic girt bar 1. Is not a ‘‘significant regulatory Compliance required by paragraph (g)(1) of this AD. (e) You are responsible for having the action’’ under Executive Order 12866; Parts Installation 2. Is not a ‘‘significant rule’’ under the actions required by this AD performed within DOT Regulatory Policies and Procedures the compliance times specified, unless the (j) As of the effective date of this AD, no (44 FR 11034, February 26, 1979); and actions have already been done. person may install on any airplane a telescopic girt bar of the escape slide/raft 3. Will not have a significant Restatement of Requirements of AD 2001– assembly unless it has been modified as economic impact, positive or negative, 16–14 required by paragraph (g) of this AD. on a substantial number of small entities Modification/Follow-On Actions under the criteria of the Regulatory Alternative Methods of Compliance (AMOCs) Flexibility Act. (f) For airplanes listed in Airbus Industrie (k)(1) The Manager, International Branch, All Operators Telex A320–52A1111, Revision Transport Airplane Directorate, ANM–116, We prepared a regulatory evaluation 01, dated July 23, 2001: Within 1,500 flight of the estimated costs to comply with FAA, has the authority to approve alternative hours after August 31, 2001 (the effective methods of compliance (AMOCs) for this AD, this supplemental NPRM. See the date of AD 2001–16–14); except as provided if requested in accordance with the ADDRESSES section for a location to by paragraph (h) of this AD, modify the procedures found in 14 CFR 39.19. telescopic girt bar of the escape slide/raft examine the regulatory evaluation. (2) AMOCs approved previously in assembly installed on all passenger and crew accordance with AD 2001–16–14, List of Subjects in 14 CFR Part 39 doors and do a functional test to ensure the amendment 39–12383, are approved as girt bar does not retract, per Airbus Industrie Air transportation, Aircraft, Aviation AMOCs with paragraph (f) of this AD. safety, Safety. AOT A320–52A1111, Revision 01, dated July 23, 2001. Related Information The Proposed Amendment (1) If the girt bar retracts, before further (l) French airworthiness directives 2002– Accordingly, under the authority flight, replace any discrepant parts and do 637(B) R1, dated April 16, 2003, and F–2005– another functional test to ensure the girt bar 057, dated April 13, 2005, also address the delegated to me by the Administrator, does not retract, per the AOT. Repeat the subject of this AD. the FAA proposes to amend 14 CFR part functional test thereafter at intervals not to 39 as follows: exceed 18 months until paragraph (g) of this Issued in Renton, Washington, on July 14, AD is accomplished. 2005. PART 39—AIRWORTHINESS (2) If the girt bar does not retract, repeat the Ali Bahrami, DIRECTIVES functional test thereafter at intervals not to Manager, Transport Airplane Directorate, exceed 18 months. 1. The authority citation for part 39 Aircraft Certification Service. Note 1: Modification and follow-on actions [FR Doc. 05–14394 Filed 7–20–05; 8:45 am] continues to read as follows: accomplished prior to the effective date of Authority: 49 U.S.C. 106(g), 40113, 44701. this AD per Airbus Industrie AOT A320– BILLING CODE 4910–13–P 52A1111, dated July 5, 2001, are considered § 39.13 [Amended] acceptable for compliance with the 2. The FAA amends § 39.13 by applicable actions specified in this DEPARTMENT OF TRANSPORTATION removing amendment 39–12383 (66 FR amendment. 42939, August 16, 2001), and adding the Federal Aviation Administration New Requirements of This AD following new airworthiness directive (AD): Modification 14 CFR Part 39 Airbus: Docket No. FAA–2004–19863; (g) Within 20 months after the effective [Docket No. FAA–2005–21880; Directorate Directorate Identifier 2003–NM–29–AD. date of this AD: Accomplish the actions Identifier 2004–NM–216–AD] specified in paragraphs (g)(1) and (g)(2) of Comments Due Date this AD by doing all the applicable actions RIN 2120–AA64 (a) The Federal Aviation Administration specified in the Accomplishment must receive comments on this AD action by Instructions of Airbus Service Bulletin A320– Airworthiness Directives; Boeing August 15, 2005. 52–1112, Revision 05, dated June 25, 2004. Model 767–300 and –300F Series Accomplishing these actions terminates the Airplanes Affected ADs repetitive functional tests required by (b) This AD supersedes AD 2001–16–14, paragraph (f) of this AD. AGENCY: Federal Aviation amendment 39–12383 (66 FR 42939, August (1) Modify the telescopic girt bar of the Administration (FAA), Department of 16, 2001). escape slide/raft assembly. Transportation (DOT).
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ACTION: Notice of proposed rulemaking Comments Invited the airplane, and consequent reduced (NPRM). controllability of the airplane. We invite you to submit any relevant The pilot seat locks and tracks on SUMMARY: The FAA proposes to adopt a written data, views, or arguments certain Model 737 series airplanes are new airworthiness directive (AD) for regarding this proposed AD. Send your identical to those on the affected Model certain Boeing Model 767–300 and comments to an address listed under 767–300 and –300F series airplanes. ADDRESSES. –300F series airplanes. This proposed Include ‘‘Docket No. FAA– Therefore, Model 767–300 and –300F AD would require a one-time 2005–21880; Directorate Identifier series airplanes may be subject to the operational test of the pilots’ seat locks 2004–NM–216–AD’’ in the subject line same unsafe condition. and the seat tracks to ensure that the of your comments. We specifically seats lock in position and the seat tracks invite comments on the overall Other Related Rulemaking are aligned correctly; and re-alignment regulatory, economic, environmental, On January 27, 1998, we issued AD of the seat tracks, if necessary. This and energy aspects of the proposed AD. 98–03–10, amendment 39–10302 (63 FR proposed AD is prompted by reports We will consider all comments 5725, February 4, 1998), applicable to indicating that a pilot’s seat slid from submitted by the closing date and may certain Boeing Model 737, 747, 757, and the forward to the aft-most position amend the proposed AD in light of those 767 series airplanes. AD 98–03–10 during acceleration and take-off. We are comments. requires a one-time operational test of proposing this AD to prevent We will post all comments we the pilots’ seat locks and the seat tracks uncommanded movement of the pilots’ receive, without change, to http:// to ensure that the seats lock in position seats during acceleration and take-off of dms.dot.gov, including any personal and the seat tracks are aligned correctly; the airplane, and consequent reduced information you provide. We will also and re-alignment of the seat tracks, if controllability of the airplane. post a report summarizing each necessary. We issued AD 98–03–10 to DATES: We must receive comments on substantive verbal contact with FAA prevent uncommanded movement of the this proposed AD by September 6, 2005. personnel concerning this proposed AD. pilots’ seats during acceleration and ADDRESSES: Use one of the following Using the search function of that Web take-off of the airplane, and consequent addresses to submit comments on this site, anyone can find and read the reduced controllability of the airplane. proposed AD. comments in any of our dockets, Since we issued AD 98–03–10, Boeing • DOT Docket Web site: Go to including the name of the individual has issued Special Attention Service http://dms.dot.gov and follow the who sent the comment (or signed the Bulletin 767–25–0244, Revision 2, dated instructions for sending your comments comment on behalf of an association, September 2, 2004. Revision 2 adds five electronically. business, labor union, etc.). You can Model 767–300 and –300F series • Government-wide rulemaking web review DOT’s complete Privacy Act airplanes (variable numbers VK145, site: Go to http://www.regulations.gov Statement in the Federal Register VL941, VN968, VW714, and VW715) to and follow the instructions for sending published on April 11, 2000 (65 FR the effectivity of that service bulletin. your comments electronically. 19477–78), or you can visit http:// We have determined that the unsafe • Mail: Docket Management Facility, dms.dot.gov. condition of AD 98–03–10 may exist on U.S. Department of Transportation, 400 Examining the Docket these additional airplanes. Therefore, Seventh Street SW., Nassif Building, these airplanes are also subject to the room PL–401, Washington, DC 20590. You can examine the AD docket on one-time operational test of the pilots’ • By fax: (202) 493–2251. the Internet at http://dms.dot.gov, or in seat locks and the seat tracks, and re- • Hand Delivery: Room PL–401 on person at the Docket Management alignment of the seat tracks if necessary. the plaza level of the Nassif Building, Facility office between 9 a.m. and 5 400 Seventh Street SW., Washington, p.m., Monday through Friday, except Relevant Service Information DC, between 9 a.m. and 5 p.m., Monday Federal holidays. The Docket We have reviewed Boeing Special through Friday, except Federal holidays. Management Facility office (telephone Attention Service Bulletin 767–25– For service information identified in (800) 647–5227) is located on the plaza 0244, Revision 2, dated September 2, this proposed AD, contact Boeing level of the Nassif Building at the DOT 2004. The service bulletin describes Commercial Airplanes, PO Box 3707, street address stated in the ADDRESSES procedures for a one-time operational Seattle, Washington 98124–2207. section. Comments will be available in test of the pilots’ seat locks and the seat You can examine the contents of this the AD docket shortly after the Docket tracks to ensure that the seats lock in AD docket on the Internet at http:// Management System (DMS) receives position and the seat tracks are aligned dms.dot.gov, or in person at the Docket them. correctly, and re-alignment of the seat Management Facility, U.S. Department Discussion tracks if necessary. Accomplishing the of Transportation, 400 Seventh Street actions specified in the service SW, room PL–401, on the plaza level of We have received reports indicating information is intended to adequately the Nassif Building, Washington, DC. that the pilot’s seat slid from the address the unsafe condition. This docket number is FAA–2005– forward to the aft-most position during FAA’s Determination and Requirements 21880; the directorate identifier for this acceleration and take-off on a Model 737 of the Proposed AD docket is 2004–NM–216–AD. series airplane. Investigation revealed FOR FURTHER INFORMATION CONTACT: Sue that the seat track was aligned We have evaluated all pertinent Rosanske, Aerospace Engineer, Cabin incorrectly. Misalignment of the seat information and identified an unsafe Safety and Environmental Systems tracks can occur when seat tracks have condition that is likely to exist or Branch, ANM–150S, FAA, Seattle been reinstalled or replaced without develop on other airplanes of this same Aircraft Certification Office, 1601 Lind fully testing the seat lock mechanism. type design. Therefore, we are Avenue, SW., Renton, Washington Misalignment of the seat tracks, if not proposing this AD, which would require 98055–4056; telephone (425) 917–6448; corrected, could result in accomplishing the actions specified in fax (425) 917–6590. uncommanded movement of the pilots’ the service information described SUPPLEMENTARY INFORMATION: seats during acceleration and take-off of previously.
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Costs of Compliance this proposed AD. See the ADDRESSES Alternative Methods of Compliance (AMOCs) There are 5 airplanes of the affected section for a location to examine the design in the worldwide fleet. This regulatory evaluation. (g) The Manager, Seattle Aircraft Certification Office (ACO), FAA, has the proposed AD would affect about 2 List of Subjects in 14 CFR Part 39 authority to approve AMOCs for this AD, if airplanes of U.S. registry. The proposed Air transportation, Aircraft, Aviation requested in accordance with the procedures actions would take about 1 work hour found in 14 CFR 39.19. per airplane, at an average labor rate of safety, Safety. Issued in Renton, Washington, on July 13, $65 per work hour. Based on these The Proposed Amendment 2005. figures, the estimated cost of the Ali Bahrami, proposed AD for U.S. operators is $130, Accordingly, under the authority or $65 per airplane. delegated to me by the Administrator, Manager, Transport Airplane Directorate, Aircraft Certification Service. Re-alignment of the seat tracks, if the FAA proposes to amend 14 CFR part necessary, would take about 2 work 39 as follows: [FR Doc. 05–14395 Filed 7–20–05; 8:45 am] hours per airplane, at an average labor BILLING CODE 4910–13–P rate of $65 per work hour. Based on PART 39—AIRWORTHINESS these figures, the estimated cost of the DIRECTIVES re-alignment is $130 per airplane. DEPARTMENT OF COMMERCE 1. The authority citation for part 39 Authority for This Rulemaking continues to read as follows: Bureau of Industry and Security Title 49 of the United States Code Authority: 49 U.S.C. 106(g), 40113, 44701. specifies the FAA’s authority to issue 15 CFR Parts 710 Through 729 § 39.13 [Amended] rules on aviation safety. Subtitle I, [Docket No. 990611158–5180–05] Section 106, describes the authority of 2. The FAA amends § 39.13 by adding the FAA Administrator. Subtitle VII, the following new airworthiness RIN 0694–AB06 Aviation Programs, describes in more directive (AD): Review Under Section 610 of the detail the scope of the Agency’s Boeing: Docket No. FAA–2005–21880; Regulatory Flexibility Act: Economic authority. Directorate Identifier 2004–NM–216–AD. Impact of the Chemical Weapons We are issuing this rulemaking under Comments Due Date Convention Regulations (CWCR) on the authority described in Subtitle VII, Small Business Entities Part A, Subpart III, Section 44701, (a) The Federal Aviation Administration ‘‘General requirements.’’ Under that (FAA) must receive comments on this AD AGENCY: Bureau of Industry and action by September 6, 2005. section, Congress charges the FAA with Security, Commerce. promoting safe flight of civil aircraft in Affected ADs ACTION: Request for comments. air commerce by prescribing regulations (b) None. for practices, methods, and procedures SUMMARY: This document requests Applicability the Administrator finds necessary for comments on the economic impact of safety in air commerce. This regulation (c) This AD applies to Model 767–300 and the Chemical Weapons Convention is within the scope of that authority –300F series airplanes, variable numbers Regulations (CWCR) on small business VK145, VL941, VN968, VW714, and VW715, entities, pursuant to the requirements of because it addresses an unsafe condition certificated in any category. that is likely to exist or develop on Section 610 of the Regulatory Flexibility products identified in this rulemaking Unsafe Condition Act (RFA). The comments sought in this action. (d) This AD was prompted by reports document should be directed to the indicating that the pilot’s seat slid from the impact of the CWCR on small business Regulatory Findings forward to the aft-most position during entities, only. The public does not need We have determined that this acceleration and take-off. We are issuing this to re-submit previous comments made proposed AD would not have federalism AD to prevent uncommanded movement of during the comment period that closed implications under Executive Order the pilots’ seats during acceleration and take- on February 7, 2005, for the proposed off of the airplane, and consequent reduced CWCR published on December 7, 2004. 13132. This proposed AD would not controllability of the airplane. have a substantial direct effect on the DATES: Comments must be submitted by States, on the relationship between the Compliance August 22, 2005. national Government and the States, or (e) You are responsible for having the ADDRESSES: You may submit comments, on the distribution of power and actions required by this AD performed within identified by RIN 0694–AB06, by any of responsibilities among the various the compliance times specified, unless the the following methods: levels of government. actions have already been done. • E-mail: For the reasons discussed above, I Inspection and Re-Alignment if Necessary [email protected]. Include certify that the proposed regulation: (f) Within 90 days after the effective date ‘‘RIN 0694–AB06’’ in the subject line of 1. Is not a ‘‘significant regulatory of this AD, do a one-time operational test of the message. action’’ under Executive Order 12866; the pilots’ seats and seat locks to determine • Fax: (202) 482–3355. Please alert 2. Is not a ‘‘significant rule’’ under the if the lock pin of the seat track fully engages the Regulatory Policy Division, by DOT Regulatory Policies and Procedures in all lock positions of the seat track, in calling (202) 482–2440, if you are faxing (44 FR 11034, February 26, 1979); and accordance with Boeing Special Attention comments. 3. Will not have a significant Service Bulletin 767–25–0244, Revision 2, • Mail or Hand Delivery/Courier: economic impact, positive or negative, dated September 2, 2004. If the seat lock pin Willard Fisher, U.S. Department of fully engages in all lock positions of the seat on a substantial number of small entities track, no further action is required by this Commerce, Bureau of Industry and under the criteria of the Regulatory AD. If the seat lock pin does not fully engage Security, Regulatory Policy Division, Flexibility Act. in all positions of the seat track, before 14th St. & Pennsylvania Avenue, NW., We prepared a regulatory evaluation further flight, re-align the seat tracks, in Room 2705, Washington, DC 20230, of the estimated costs to comply with accordance with the service bulletin. ATTN: RIN 0694–AB06.
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FOR FURTHER INFORMATION CONTACT: For entered into force on April 29, 1997, is other Federal rules, and, to the extent questions of a general or regulatory an arms control treaty that bans the feasible, with State and local nature, contact the Regulatory Policy development, production, stockpiling or governmental rules; and Division, telephone: (202) 482–2440. use of chemical weapons, and prohibits (5) The length of time since the rule For program information on States Parties to the CWC from assisting has been evaluated or the degree to declarations, reports, advance or encouraging anyone to engage in a which technology, economic conditions, notifications, chemical determinations, prohibited activity. The CWC provides or other factors have changed in the area recordkeeping, inspections and facility for declaration and inspection of all affected by the rule. agreements, contact the Treaty States Parties’ chemical weapons and In order to consider these factors and Compliance Division, Office of chemical weapon production facilities, to minimize any significant economic Nonproliferation and Treaty and oversees the destruction of such impact of the rule on a substantial Compliance, telephone: (703) 605–4400; weapons and facilities. It also number of small entities, the for legal questions, contact Rochelle establishes a comprehensive verification Department solicits comments on the Woodard, Office of the Chief Counsel scheme and requires the declaration and economic impact of the CWCR on small for Industry and Security, telephone: inspection of facilities that produce, entities. (202) 482–5301. process or consume certain ‘‘scheduled’’ As mentioned above, BIS published SUPPLEMENTARY INFORMATION: Under chemicals or unscheduled discrete proposed revisions to the CWCR on section 610 of the Regulatory Flexibility organic chemicals, many of which have December 7, 2004 (69 FR 70753), and Act (5 U.S.C. 601 et seq.) (RFA), the significant commercial applications. requested comments on the proposed Bureau of Industry and Security (BIS) is The CWCIA authorizes the United rule. The comment period for the required to periodically review all rules States to require the U.S. chemical proposed rule closed on February 7, issued by the agency that have or will industry and other private entities to 2005. BIS is currently reviewing those have a significant economic impact submit declarations, notifications and comments and incorporating any upon a substantial number of small other reports and also to provide access responses into the final CWCR. The entities. The purpose of the review is to for on-site inspections conducted by comments that are submitted in determine whether these rules should inspectors sent by the Organization for response to this notice will be be continued without change or whether the Prohibition of Chemical Weapons considered by BIS, in addition to those they should be amended or rescinded to (OPCW). Executive Order (E.O.) 13128 previously provided on the December 7, minimize any significant economic delegates authority to the Department of 2004, proposed rule, and BIS will impact of the rules upon a substantial Commerce to promulgate regulations, address these comments in any number of small entities. obtain and execute warrants, provide forthcoming final rule. Therefore, As part of this review, BIS is also assistance to certain facilities, and carry comments that were submitted to BIS in required to publish each year in the out appropriate functions to implement response to the December 7, 2004, Federal Register a list of the rules that the CWC, consistent with the Act. CWCR proposed rule need not be re- have a significant economic impact on The December 30, 1999, CWCR submitted in response to this request for a substantial number of small entities interim rule established the compliance comments. In this notice, BIS is seeking and that, therefore, must be reviewed requirements of the CWC, as mandated comments on the Chemical Weapons pursuant to section 610 of the RFA by the provisions of the CWCIA. The Convention regulations only with regard during the succeeding twelve months. interim CWCR set forth the declaration, to the factors to be considered under The list should include a brief reporting and inspection requirements section 610 of the RFA. description of each rule, identify the for U.S. industry and U.S. persons, as Dated: July 15, 2005. need for and legal basis of each rule, well as the responsibilities of the U.S. Matthew S. Borman, and invite public comment concerning Government and BIS in implementing the economic impact of each rule on Deputy Assistant Secretary for Export and enforcing the CWC domestically. Administration. small entities. On December 7, 2004, BIS published a [FR Doc. 05–14441 Filed 7–20–05; 8:45 am] Pursuant to the Department of proposed rule that would revise the Commerce’s plan for compliance with CWCR to reflect changes to declaration BILLING CODE 3510–33–P section 610 of the RFA, BIS undertook and reporting requirements, clarify a review in 2005 of all rules certain inspection provisions in the promulgated during the period between CWCR, and revise other sections of the FEDERAL MEDIATION AND April 1996 and October 2000 that had CWCR that were affected by decisions CONCILIATION SERVICE a significant economic impact on a made by the Organization for the 29 CFR Part 1404 substantial number of small entities. Prohibition of Chemical Weapons This review produced only one rule that (OPCW), the international organization Proposed Changes to Arbitration was subject to a section 610 review: the responsible for the implementation and Policies, Functions, and Procedures Chemical Weapons Convention enforcement of the CWC. Regulations (CWCR), published in AGENCY: Federal Mediation and interim form on December 30, 1999 (15 Conduct of Review and Request for Conciliation Service. CFR Parts 710–729). Comments ACTION: Proposed rule; correction. In conducting its review, the Background on the Chemical Weapons SUMMARY: This document corrects Convention Regulations (CWCR) Department will consider the following factors: § 1404.5(b) and to add revisions to The CWCR implement the provisions (1) The continued need for the rule; § 1404.5(d)(7) in a proposed rule of the Chemical Weapons Convention (2) The nature of complaints or published in the Federal Register of Implementation Act of 1998 (CWCIA) comments received concerning the rule July 7, 2005 (70 FR 39209), regarding (22 U.S.C. 6701 et seq.), which was from the public; Arbitration Policies, Functions and enacted on October 21, 1998, to (3) The complexity of the rule; Procedures. The corrections clarify the implement the Chemical Weapons (4) The extent to which the rule Proof of Qualification needed to be on Convention (CWC). The CWC, which overlaps, duplicates or conflicts with the Roster in § 1404.5(b) and adds the
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non-payment of the annual listing fee in SUMMARY: The Department of the Army not have an adverse impact on the § 1404.5(d)(7). proposes to revise its regulation environment. concerning obtaining information from FOR FURTHER INFORMATION CONTACT: E. Paperwork Reduction Act Maria A. Fried, General Counsel and financial institutions. The regulation Federal Register Liaison, FMCS, 2100 K prescribes policies for the Department of The Department of the Army has Street, NW., Washington, DC 20427. the Army to obtain information on a determined that the Paperwork Telephone (202) 606–5444; Fax (202) customer’s financial records from Reduction Act does not apply because 606–5345. financial institutions. the proposed rule does not involve DATES: Comments submitted to the collection of information from the Correction address below on or before September public. In proposed rule FR Doc. 05–11362, 19, 2005, will be considered. F. Executive Order 12630 (Government beginning on page 39209 in the issue on ADDRESSES: You may submit comments, Actions and Interference With July 7, 2005, make the following identified by 32 CFR Part 504 and RIN Constitutionally Protected Property corrections to § 1404.5(b) and (d)(7). 0702–AA49 in the subject line, by any Rights) On page 39211, in the first column, of the following methods: The Department of the Army has correctly revise § 1404.5(b) to read as • Federal eRulemaking Portal: http:// follows: determined that Executive Order 12630 www.regulations.gov. Follow the does not apply because the proposed (b) Proof of Qualification. The instructions for submitting comments. qualifications listed in (a) of this section • rule does not impair private property E-mail: james.crumley@hqda- rights. are preferably demonstrated by the aoc.army.pentagon.mil. Include 32 CFR submission of five recent arbitration Part 504 and RIN 0702–AA49 in the G. Executive Order 12866 (Regulatory awards prepared by the applicant while subject line of the message. Planning and Review) serving as an impartial arbitrator of • Mail: Headquarters, Department of The Department of the Army has record chosen by the parties to labor the Army, Office of the Provost Marshal determined that according to the criteria relations disputes arising under General, ATTN: DAPM–MPD–LE, 2800 defined in Executive Order 12866 this collective bargaining agreements, or the Army Pentagon, Washington, DC proposed rule is not a significant successful completion of the FMCS 20310–2800. regulatory action. As such, the proposed labor arbitrator training course within FOR FURTHER INFORMATION CONTACT: rule is not subject to Office of the five years immediately preceding James Crumley (703) 692–6721. Management and Budget review under the date of application plus two awards SUPPLEMENTARY INFORMATION: section 6(a)(3) of the Executive Order. as described above, and the submission of information demonstrating extensive A. Background H. Executive Order 13045 (Protection of and recent experience in collective This rule has previously been Children From Environmental Health bargaining, including at least the published. The Administrative Risk and Safety Risks) position or title held, duties or Procedure Act, as amended by the The Department of the Army has responsibilities, the name and location Freedom of Information Act requires determined that according to the criteria of the company or organization, and the that certain policies and procedures and defined in Executive Order 13045 this dates of employment. other information concerning the proposed rule does not apply. On page 39211, in the center column, Department of the Army be published in I. Executive Order 13132 (Federalism) correctly revise § 1404.5(d)(7) to read as the Federal Register. The policies and follows: procedures covered by this regulation The Department of the Army has (d) * * * fall into that category. determined that according to the criteria (7) Has been in an inactive status defined in Executive Order 13132 this pursuant to § 1404.6 for longer than two B. Regulatory Flexibility Act proposed rule does not apply because it years and has not paid the annual listing The Department of the Army has will not have a substantial effect on the fee. determined that the Regulatory States, on the relationship between the Dated: July 15, 2005. Flexibility Act does not apply because national government and the States, or Maria A. Fried, the proposed rule does not have a on the distribution of power and General Counsel and Federal Register significant economic impact on a responsibilities among the various Contact. substantial number of small entities levels of government. within the meaning of the Regulatory [FR Doc. 05–14347 Filed 7–20–05; 8:45 am] Jeffery B. Porter, Flexibility Act, 5 U.S.C. 601–612. BILLING CODE 6732–01–P Chief, Law Enforcement Policy and Oversight C. Unfunded Mandates Reform Act Section. The Department of the Army has DEPARTMENT OF DEFENSE List of Subjects in 32 CFR Part 504 determined that the Unfunded Banks, Banking, Business, Department of the Army Mandates Reform Act does not apply Investigations, Law enforcement, because the proposed rule does not Military law, Privacy. 32 CFR Part 504 include a mandate that may result in estimated costs to State, local or tribal For reasons stated in the preamble the RIN 0702–AA49 governments in the aggregate, or the Department of the Army proposes to private sector, of $100 million or more. revise part 504 to subchapter A of title Obtaining Information From Financial 32 to read as follows: Institutions D. National Environmental Policy Act PART 504—OBTAINING INFORMATION The Department of the Army has AGENCY: Department of the Army, DoD. FROM FINANCIAL INSTITUTIONS determined that the National ACTION: Proposed rule; request for Environmental Policy Act does not comments. Sec. apply because the proposed rule does 504.1 General.
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504.2 Procedures. record held by a financial institution, of the information in the financial Appendix A to Part 504—Request for Basic pertaining to a customer’s relationship records of any customer from a financial Identifying Account Data—Sample with the financial institution. institution unless the financial records Format (3) Person. An individual or are reasonably described and the— Appendix B to Part 504—Customer Consent partnership of five or fewer individuals. and Authorization for Access—Sample (i) Customer has authorized such Format (Per DODD 5400.12.) disclosure (§ 504.2(b)); Appendix C to Part 504—Certificate of (4) Customer. Any person or (ii) Financial records are disclosed in Compliance with the Right to Financial authorized representative of that response to a search warrant which Privacy Act of 1978—Sample Format person— meets the requirements of § 504.2(d); Appendix D to Part 504—Formal Written (i) Who used or is using any service (iii) Financial records are disclosed in Request for Access—Sample Format of a financial institution. response to a judicial subpoena which Appendix E to Part 504—Customer Notice of (ii) For which a financial institution is meets the requirements of § 504.2(e); or Formal Written Request—Sample Format acting or has acted as a fiduciary for an (iv) Financial records are disclosed in Authority: 12 U.S.C. 3401 et seq., Pub. L. account maintained in the name of that response to a formal written request 95–630, unless otherwise noted. person. which meets the requirements of (5) Law enforcement inquiry. A lawful § 504.2(f). § 504.1 General. investigation or official proceeding (3) Voluntary information. Nothing in (a) Purpose. This part provides DA inquiring into a violation of, or failure this part will preclude any financial policies, procedures, and restrictions to comply with, a criminal or civil institution, or any officer, employee, or governing access to and disclosure of statute or any regulation, rule, or order agent of a financial institution, from financial records maintained by issued pursuant thereto. notifying an Army investigative element financial institutions during the conduct (6) Army law enforcement office. Any that such institution, or officer, of Army investigations or inquiries. army element, agency, or unit employee or agent has information (b) Applicability and scope. (1) This authorized to conduct investigations which may be relevant to a possible part applies to the Active Army, the under the Uniform Code of Military violation of any statute or regulation. Army National Guard of the United Justice or Army regulations. This broad States (ARNGUS)/Army National Guard definition of Army law enforcement (e) Authority. (1) Law enforcement (ARNG), and the Unites States Army office includes military police, criminal offices are authorized to obtain records Reserve unless otherwise stated. investigation, inspector general, and of financial institutions per this part, (2) The provisions of 12 U.S.C. 3401 military intelligence activities except as provided in § 504.2(e). et seq. do not govern obtaining access to conducting investigations of suspected (2) The head of a law enforcement financial records maintained by violations of law or regulation. office of field grade rank or higher (or financial institutions located outside of (7) Personnel security investigation. an equivalent grade civilian official) is the territories of the United States, An investigation required to determine authorized to initiate requests for such Puerto Rico, the District of Columbia, a person’s eligibility for access to records. Guam, American Samoa, or the Virgin classified information, assignment or (f) Exceptions and waivers. (1) A law Islands. The procedures outlined in retention in sensitive duties, or other enforcement office may issue a formal § 504.2(d)(4) will be followed in seeking designated duties requiring such written request for basic identifying access to financial information from investigation. Personnel security account information to a financial these facilities. investigation includes investigations of institution as part of a legitimate law (3) This part also applies to financial subversive affiliations, suitability enforcement inquiry. The request may records maintained by financial information, or hostage situations be issued for any or all of the following institutions as defined in § 504.1(c)(1). conducted to make personnel security identifying data: (c) Explanation of terms. (1) For determinations. It also includes (i) Name. purposes of this part, the following investigations of allegations that— (ii) Address. terms apply: (i) Arise after adjudicative action, and (iii) Account number. (i) Financial institution. Any office of (ii) Require resolution to determine a (iv) Type of account of any customer a— person’s current eligibility for access to or ascertainable group of customers (A) Bank. classified information or assignment or associated with a financial transaction (B) Savings bank. retention in a sensitive position. With or class of financial transactions. (C) Card issuer as defined in section DA, the Defense Investigative Service (2) A request for disclosure of the 103 of the Consumers Credit Protection conducts personnel security above specified basic identifying data Act (15 U.S.C. 1602(n)). investigations. on a customer’s account may be issued (D) Industrial loan company. (d) Policy—(1) Customer consent. It is without complying with the customer (E) Trust company. DA policy to seek customer consent to notice, challenge, or transfer procedures (F) Savings association. obtain a customer’s financial records described in § 504.2. However, if access (G) Building and loan association. from a financial institution unless doing to the financial records themselves is (H) Homestead association (including so would compromise or harmfully required, the procedures in § 504.2 must cooperative banks). delay a legitimate law enforcement be followed. (A sample format for (I) Credit union. inquiry. If the person declines to requesting basic identifying account (J) Consumer finance institution. consent to disclosure, the alternative data is in app. A.) (ii) This includes only those offices means of obtaining the records (3) This part will not apply when located in any State or territory of the authorized by this part will be used. financial records are sought by the United States, or in the District of (See § 504.2 (c) through (g).) Army under the Federal Rules for Civil Columbia, Puerto Rico, Guam, American (2) Access requests. Except as Procedure, Criminal Procedure, Rules Samoa, or the Virgin Islands. provided in paragraph (d)(3) of this for Courts-Martial, or other comparable (2) Financial record. An original section and §§ 504.1(f)(1), 504.2(g) and rules of other courts in connection with record, its copy, or information known 504.2(j), Army investigative elements litigation to which the Government and to have been derived from the original may not have access to or obtain copies the customer are parties.
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(4) No exceptions or waivers will be of notice is obtained under § 504.2(i), a to consent to the disclosure of his or her granted for those portions of this part copy of the search warrant and the records, or required by law. Submit requests for following notice must be mailed to the (ii) Seeking consent from the exceptions or waivers of other aspects of customer’s last known address: customer would compromise or this part to HQDA OPMG (DAPM– Records or information concerning your harmfully delay a legitimate law MPD–LE), Washington, DC 20310–2800. transactions held by the financial institution enforcement inquiry. (2) A formal written request will be in § 504.2 Procedures. named in the attached search warrant were obtained by this (office/agency/unit) on a format set forth in appendix D of this (a) General. A law enforcement (date) for the following purpose: (state part and will— official seeking access to a person’s purpose). You may have rights under the (i) State that the request is issued financial records will, when feasible, Right to Financial Privacy Act of 1978. under the Right to Financial Privacy Act obtain the customer’s consent. This (3) Search authorization signed by of 1978 and this part. section also sets forth other authorized installation commanders or military (ii) Described the specific records to procedures for obtaining financial judges will not be used to gain access to be examined. records if it is not feasible to obtain the financial records from financial (iii) State that access is sought in customer’s consent. Authorized institutions in any State or territory of connection with a legitimate law procedures for obtaining financial enforcement inquiry. records follow. All communications the United States. (4) Access to financial records (iv) Describe the nature of the inquiry. with a U.S. Attorney or a U.S. District (v) Be signed by the head of the law maintained by military banking Court, as required by this part, will be enforcement office or a designee contractors in overseas areas or by other coordinated with the supporting staff (persons specified in § 504.1(e)(2)). financial institutions located on DOD judge advocate before dispatch. (3) At the same time or before a formal installations outside the United States, (b) Customer consent. (1) A law written request is issued to a financial Puerto Rico, the District of Columbia, enforcement office may gain access to or institution, a copy of the request will be Guam, American Samoa, or the Virgin a copy of a customer’s financial records personally served upon or mailed to the Islands is preferably obtained by by obtaining the customer’s consent and customer’s last known address unless a customer consent. authorization in writing. (See app. B to delay of customer notice has been this part for a sample format.) Any (i) In cases where it would not be obtained under § 504.2(i). The notice to consent obtained under the provisions appropriate to obtain this consent or the customer will be— of this paragraph must— such consent is refused and the (i) In a format similar to appendix E (i) Be in writing, signed, and dated. financial institution is not otherwise of this part. (ii) Identify the particular financial willing to provide access to its records, (ii) Personally served at least 10 days records being disclosed. the law enforcement activity may seek or mailed at least 14 days before the (iii) State that the customer may access by use of a search authorization. date on which access is sought. revoke the consent at any time before This authorization must be prepared (4) The official who signs the disclosure. and issued per AR 27–10, Military customer notice is designated to receive (iv) Specify the purpose of disclosure Justice. any challenge from the customer. and to which agency the records may be (ii) Information obtained under this (5) The customer will have 10 days to disclosed. paragraph should be properly identified challenge a notice request when (v) Authorize the disclosure for a as financial information. It should be personal service is made, and 14 days period not over 3 months. transferred only where an official need- (vi) Contain a ‘‘Statement of Customer when service is by mail. to-know exists. Failure to do so, (6) The head of the law enforcement Rights Under the Right to Financial however, does not render the office initiating the formal written Privacy Act of 1978’’ (12 U.S.C. 3401 et information inadmissible in courts- seq.) (app. B). request will set up procedures to ensure martial or other proceedings. that no access to financial records is (2) Any customer’s consent not (iii) Law enforcement activities containing all of the elements listed in attempted before expiration of the above seeking access to financial records paragraph (a) of this section will not be time periods— maintained by all other financial valid. (i) While awaiting receipt of a (3) A copy of the customer’s consent institutions overseas will comply with potential customer challenge, or will be made a part of the law local foreign statutes or procedures (ii) While awaiting the filing of an enforcement inquiry file. governing such access. application for an injunction by the (4) A certification of compliance with (e) Judicial subpoena. Judicial customer. 12 U.S.C. 3401 et seq. (app. C), along subpoenas—(1) Are those subpoenas (7) Proper preparation of the formal with the customer’s consent, will be issued in connection with a pending written request and notice to the provided to the financial institution as judicial proceeding. customer requires preparation of motion a prerequisite to obtaining access to the (2) Include subpoenas issued under papers and a statement suitable for court financial records. Rule for Courts-Martial 703(e)(2) of the filing by the customer. Accordingly, the (c) Administrative summons or Manual for Courts-Martial and Article law enforcement office intending to subpoena. The Army has no authority to 46 of the Uniform Code of Military initiate a formal written request will issue an administrative summons or Justice. The servicing staff judge coordinate preparation of the request, subpoena for access to financial records. advocate will be consulted on the the notice, motion papers, and sworn (d) Search warrant. (1) A law availability and use of judicial statement with the supporting staff enforcement office may obtain financial subpoenas. judge advocate. These documents are records by using a search warrant (f) Formal written request. (1) A law required by statute; their preparation obtained under Rule 41 of the Federal enforcement office may formally request cannot be waived. Rules of Criminal Procedure in financial records when the records are (8) The supporting staff judge appropriate cases. relevant to a legitimate law enforcement advocate is responsible for liaison with (2) No later than 90 days after the inquiry. This request may be issued the proper United States Attorney and search warrant is served, unless a delay only if—(i) The customer has declined United States District Court. The
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requesting official will coordinate with (h) Release of information obtained procedures, to include applicable the supporting staff judge advocate to from financial institutions—(1) Records Privacy Act System Notices published determine whether the customer has notice. Financial records, to include in AR 340–21 series. filed a motion to prevent disclosure of derived information, obtained under 12 (3) Precautionary measures. the financial records within the U.S.C. 3401 et seq. will be marked as Whenever financial data obtained under prescribed time limits. follows: this part is incorporated into a report of (9) The head of the law enforcement This record was obtained pursuant to the investigation or other correspondence, office (§ 504.2(f)(2)(v)) will certify in Right to Financial Privacy Act of 1978, 12 precautions must be taken to ensure writing (see app. C) to the financial U.S.C. 3401 et seq., and may not be that— institution that such office has complied transferred to another Federal agency or (i) The report or correspondence is with the requirements of 12 U.S.C. 3401 department outside DOD without prior not distributed outside of DOD except in et seq.— compliance with the transferring compliance with paragraph (h)(2)(ii)(B) (i) When a customer fails to file a requirements of 12 U.S.C. 3412. of this section. challenge to access financial records (2) Records transfer. (i) Financial (ii) The report or other within the above time periods, or records originally obtained under this correspondence contains the following (ii) When a challenge is adjudicated part will not be transferred to another warning restriction on the first page or in favor of the law enforcement office. agency or department outside the DOD cover: No access to any financial records will unless the transferring law enforcement be made before such certification is Some of the information contained herein office certifies their relevance in (cite specific paragraphs) is financial record given. writing. Certification will state that information which was obtained pursuant to (g) Emergency access. Section there is reason to believe that the the Right to Financial Privacy Act of 1978, 504.2(g)(2)(3) provides for emergency records are relevant to a legitimate law 12 U.S.C. 3401 et seq. This information may access in such cases of imminent enforcement inquiry within the not be released to another Federal agency or danger. (No other procedures in this jurisdiction of the receiving agency or department outside the DOD without part apply to such emergency access.) department. To support this compliance with the specific requirements of (1) In some cases, the requesting law certification, the transferring office may 12 U.S.C. 3412 and AR 190–6. enforcement office may determine that a require that the requesting agency (i) Delay of customer notice delay in obtaining access would create submit adequate justification for its procedures—(1) Length of delay. The an imminent danger of— request. File a copy of this certification customer notice required by formal (i) Physical injury to a person, with a copy of the released records. written request (§ 504.2(f)(3)), (ii) Serious property damage, or (ii) Unless a delay of customer notice emergency access (§ 504.2(g)(3)), and (iii) Flight to avoid prosecution. has been obtained (§ 504.2(i)), the release of information (§ 504.2(h)(2)(iii)) (2) When emergency access is made to transferring law enforcement office will, may be delayed for successive periods financial records, the requesting official within 14 days, personally serve or mail of 90 days. The notice required for (§ 504.1(e)(2)) will— the following to the customer at his or search warrant (§ 504.2(d)(2)) may be (i) Certify in writing (in a format her last known address— delayed for one period of 180 days and similar to that in app. C) to the financial (A) A copy of the certification made successive periods of 90 days. institution that the provisions of 12 according to § 504.2(h)(2)(i) and (2) Conditions for delay. A delay of U.S.C. 3401 et seq. have been complied (B) The following notice, which will notice may only be made by an order of with as a prerequisite to obtaining state the nature of the law enforcement an appropriate court. This will be done access. inquiry with reasonable detail: when not granting a delay in serving the (ii) File with the proper court a Copies of, or information contained in, notice would result in— signed, sworn statement setting forth the your financial records lawfully in possession (i) Endangering the life or physical grounds for the emergency access of the Department of the Army have been safety of any person. within 5 days of obtaining access to furnished to (state the receiving agency or (ii) Flight from prosecution. financial records. department) pursuant to the Right to (3) After filing of the signed, sworn Financial Privacy Act of 1978 for (state the (iii) Destruction of or tampering with statement, the official who has obtained purpose). If you believe that this transfer has evidence. access to financial records under this not been made to further a legitimate law (iv) Intimidation of potential paragraph will as soon as practicable— enforcement inquiry, you may have legal witnesses. (i) Personally serve or mail to the rights under the Financial Privacy Act of (v) Otherwise seriously jeopardizing 1978 or the Privacy Act of 1974. customer a copy of the request to the an investigation or official proceeding or financial institution and the following (iii) If a request for release of unduly delaying a trial or ongoing notice, unless a delay of notice has been information is from a Federal agency official proceeding to the same degree as obtained under § 504.2(i): authorized to conduct foreign the circumstances in § 504.2(i)(2)(i) intelligence or foreign through (iv). Records concerning your transactions held (3) Coordination. When a delay of by the financial institution named in the counterintelligence activities (Executive attached request were obtained by (office/ Order 12333) and is for purposes of notice is appropriate, the law agency/unit) under the Right to Financial conducting such activities by these enforcement office involved will consult Privacy Act of 1978 on (date) for the agencies, the information will be with the supporting staff judge advocate following purpose: (state with reasonable released without notifying the customer, before attempting to obtain such a delay. detail the nature of the law enforcement unless permission to provide Applications for delay of notice should inquiry). Emergency access to such records notification is given in writing by the contain reasonable detail. was obtained on the grounds that (state requesting agency. (4) After delay expiration. Upon the grounds). (iv) Financial information obtained expiration of a delay of notice under (ii) Ensure that mailings under this before the effective date of the Financial above and required by— section are by certified or registered Privacy Act of 1978 (March 10, 1979) (i) Section 504.2(d)(2), the law mail to the last known address of the may continue to be provided to other enforcement office obtaining financial customer. agencies according to existing records will mail to the customer a copy
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of the search warrant and the following (ii) The requesting official will notify my records, as described above, are notice. the financial institution from which disclosed, and that this authorization is valid for no more than 3 months from the date of Records or information concerning your records are sought that 12 U.S.C. my signature. transactions held by the financial institution 3414(a)(3) prohibits disclosure to any named in the attached search warrant were person by the institution, its agents, or Date: llll obtained by this (agency or office) on (date). employees that financial records have Signature: llll Notification was delayed beyond the been sought or obtained. (Typed name) statutory 180-day delay period pursuant to a (k) Certification. A certificate of (Mailing address of customer) determination by the court that such notice compliance with the Right to Financial would seriously jeopardize an investigation Statement of Customer Rights Under the concerning (state with reasonable detail). Privacy Act of 1978 (app. C) will be Right to Financial Privacy Act of 1978 You may have rights under the Right to provided to the financial institution as Financial Privacy Act of 1978. a prerequisite to obtaining access to Federal law protects the privacy of your (ii) Section 504.2(f)(3), the law financial records under the following financial records. Before banks, savings and access procedures: loan associations, credit unions, credit card enforcement office obtaining financial issuers, or other financial institutions may records will serve personally or mail to (1) Customer consent (§ 504.2(b)). (2) Search warrant (§ 504.2(d)). give financial information about you to a the customer a copy of the process or Federal agency, certain procedures must be request and the following notice: (3) Judicial subpoena (§ 504.2(e)). (4) Formal written request (§ 504.2(f)). followed. Records or information concerning your (5) Emergency access (§ 504.2(g)). Consent to Financial Records transactions which are held by the financial institution named in the attached process or (6) Foreign intelligence and foreign You may be asked to consent to the request were supplied to or requested by the counterintelligence activities financial institution making your financial Government authority named in the process (§ 504.2(j)). records available to the Government. You may withhold your consent, and your or request on (date). Notification was Appendix A to Part 504—Request for withheld pursuant to a determination by the consent is not required as a condition of (title of the court so ordering) under the Right Basic Identifying Account Data— doing business with any financial institution. to Financial Privacy Act of 1978 that such Sample Format If you give your consent, it can be revoked notice might (state reason). The purpose of (Official Letterhead) in writing at any time before your records are the investigation or official proceeding was disclosed. Furthermore, any consent you give (Date) llll (state purpose with reasonable detail). is effective for only 3 months and your llll (iii) Section 504.2(g)(3), the law Mr./Mrs. , financial institution must keep a record of enforcement office obtaining financial Chief Teller (as appropriate), First National the instances in which it discloses your records will serve personally or mail to Bank, Little Rock, AR 72203. financial information. Dear Mr./Mrs.llll: In connection with the customer a copy of the request and Without Your Consent the notice required by § 504.2(g)(3). a legitimate law enforcement inquiry and (iv) Section 504.2(h)(2), the law pursuant to section 3414 of the Right to Without your consent, a Federal agency Financial Privacy Act of 1978, section 3401 that wants to see your financial records may enforcement office transferring financial et seq., Title 12, United States Code, you are do so ordinarily only by means of a lawful records will serve personally or mail to requested to provide the following account subpoena, summons, formal written request, the customer the notice required by information: (name, address, account or search warrant for that purpose. Generally, § 504.2(f)(3). If the law enforcement number, and type of account of any customer the Federal agency must give you advance office was responsible for obtaining the or ascertainable group of customers notice of its request for your records court order authorizing the delay, such associated with a certain financial explaining why the information is being office shall also serve personally or by transaction or class of financial transactions sought and telling you how to object in court. mail to the customer the notice required as set forth in § 504.1(f)). The Federal agency must also send you in § 504.2(f)(3). I hereby certify, pursuant to section copies of court documents to be prepared by (j) Foreign intelligence and foreign 3403(b) of the Right to Financial Privacy Act you with instructions for filling them out. counterintelligence activities. (1) Except of 1978, that the provisions of the Act have While these procedures will be kept as been complied with as to this request for simple as possible, you may want to consult as indicated below, nothing in this account information. regulation applies to requests for an attorney before making a challenge to a (Official Signature Block) llll financial information in connection Federal agency’s request. with authorized foreign intelligence and Under section 3417(c) of the Act, good faith reliance upon this certification relieves Exceptions foreign counterintelligence activities as your institution and its employees and agents In some circumstances, a Federal agency defined in Executive Order 12333. of any possible liability to the subject in may obtain financial information about you Appropriate foreign intelligence and connection with the disclosure of the without advance notice or your consent. In counterintelligence directives should be requested financial records. most of these cases, the Federal agency will consulted in these instances. be required to go to court for permission to (2) However, to comply with the Appendix B to Part 504—Customer obtain your records without giving you Financial Privacy Act of 1978, the Consent and Authorization for Access— notice beforehand. In these instances, the following guidance will be followed for Sample Format court will make the Government show that such requests. When a request for Pursuant to section 3404(a) of the Right to its investigation and request for your records financial records is made— Financial Privacy Act of 1978, I, (name of are proper. When the reason for the delay of (i) A military intelligence group customer), having read the explanation of my notice no longer exists, you will usually be commander, the chief of an investigative rights on the reverse side, hereby authorize notified that your records were obtained. the (name and address of financial control office, or the Commanding Transfer of Information General (CG) (or Deputy CG), U.S. Army institution) to disclose these financial records: (list of particular financial records) Generally, a Federal agency that obtains Intelligence and Security Command, to(Army law enforcement office) for the your financial records is prohibited from will certify to the financial institution following purpose(s): (specify the transferring them to another Federal agency that the requesting activity has purpose(s)). unless it certifies in writing the transfer is complied with the provisions of 12 I understand that this authorization may be proper and sends a notice to you that your U.S.C. 3403(b). revoked by me in writing at any time before records have been sent to another agency.
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Penalties access to these financial records which are These records may be transferred to other If the Federal agency or financial required for (describe the nature or purpose Government authorities for legitimate law institution violates the Right to Financial of the inquiry). enforcement inquiries, in which event you Privacy Act, you may sue for damages or seek A copy of this request was (personally will be notified after the transfer if such compliance with the law. If you win, you served upon or mailed to) the subject on transfer is made. may be repaid your attorney’s fee and costs. (date) who has (10 or 14) days in which to 3 Enclosures (see para)ll challenge this request by filing an application llll Additional Information in an appropriate United States district court (Signature) If you have any questions about your rights if the subject desires to do so. [FR Doc. 05–14212 Filed 7–20–05; 8:45 am] Upon expiration of the above mentioned under this law, or about how to consent to BILLING CODE 3710–08–P release your financial records, please call the time period and in the absence of any filing official whose name and telephone number or challenge by the subject, you will be appears below: furnished a certification certifying in writing DEPARTMENT OF HOMELAND lllllllllllllllllllll that the applicable provisions of the Act have been complied with prior to obtaining the SECURITY (Last Name, First Name, Middle Initial) requested records. Upon your receipt of a lllllllllllllllllllll Certificate of Compliance with the Right to Coast Guard Title (Area Code) (Telephone Number) Financial Privacy Act of 1978, you will be lllllllllllllllllllll relieved of any possible liability to the 33 CFR Part 117 (Component activity, address) subject in connection with the disclosure of the requested financial records. [CGD05–05–079] (Official Signature Block) llll Appendix C to Part 504—Certificate of RIN 1625–AA09 Compliance With the Right to Financial Appendix E to Part 504—Customer Privacy Act of 1978—Sample Format Notice of Formal Written Request— Drawbridge Operation Regulations; (Official Letterhead) Sample Format New Jersey Intracoastal Waterway, Manasquan River Mr./Mrs. llll, (Official Letterhead) Manager, Army Federal Credit Union, Fort (Date) llll AGENCY: Coast Guard, DHS. Ord, CA 93941. Mr./Msllll, ACTION: Notice of proposed rulemaking. Dear Mr./Mrs. llll: I certify, pursuant 1500 N. Main Street, Washington, DC 20314. to section 3403(b) of the Right to Financial SUMMARY: The Coast Guard proposes to Dear Mr./Ms. llll: Information or Privacy Act of 1978, section 3401 et seq., temporarily change the regulations that Title 12, United States Code, that the records concerning your transactions held by applicable provisions of that statute have the financial institution named in the govern the operation of the Route 35 been complied with as to the (customer’s attached request are being sought by the Bridge, at New Jersey Intracoastal consent, search warrant or judicial subpoena, (agency/department) in accordance with the Waterway (NJICW) mile 1.1, across formal written request, emergency access, as Right to Financial Privacy Act of 1978, Manasquan River, at Brielle, New Jersey. applicable) presented on (date), for the section 3401 et seq., Title 12, United States The bridge will be closed to navigation following financial records of (customer’s Code, and Army Regulation 190–6, for the on three four-month closure periods following purpose(s): name): beginning from 8 a.m. November 1, 2006 lllllllllllllllllllll lllllllllllllllllllll until 5 p.m. March 1, 2007; from 8 a.m. (Describe the specific records) (List the purpose(s)) on November 1, 2007 until 5 p.m. March (Official Signature Block) llll If you desire that such records or 1, 2008; and from 8 a.m. on November information not be made available, you must Pursuant to section 3417(c) of the Right to 1, 2008 until 5 p.m. March 1, 2009. The do the following: Financial Privacy Act of 1978, good faith a. Fill out the accompanying motion paper extensive structural, mechanical, and reliance upon this certificate relieves your and sworn statement or write one of your electrical repairs and improvements institution and its employees and agents of own— necessitate these closures. any possible liability to the customer in (1) Stating that you are the customer whose DATES: Comments and related material connection with the disclosure of these records are being requested by the financial records. must reach the Coast Guard on or before Government. September 6, 2005. Appendix D to Part 504—Formal (2) Giving the reasons you believe that the ADDRESSES: You may mail comments Written Request for Access—Sample records are not relevant or any other legal basis for objecting to the release of the and related material to Commander Format records. (obr), Fifth Coast Guard District, Federal (Official Letterhead) b. File the motion and statement by Building, 1st Floor, 431 Crawford Street, mailing or delivering them to the clerk of any (Date) llll Portsmouth, VA 23704–5004. The Fifth one of the following United States District Mr./Mrs. llll, Courts: Coast Guard District maintains the public docket for this rulemaking. President (as appropriate), City National lllllllllllllllllllll Bank and Trust Company, Altoona, PA Comments and material received from (List applicable courts) 16602. the public, as well as documents c. Mail or deliver a copy of your motion Dear Mr./Mrs. llll: In connection with indicated in this preamble as being and statement to the requesting authority: a legitimate law enforcement inquiry and (give title and address). available in the docket, will become part pursuant to section 3402(5) and section 3408 of this docket and will be available for d. Be prepared to come to court and of the Right to Financial Privacy Act of 1978, inspection or copying at Commander section 3401 et seq., Title 12, United States present your position in further detail. You do not need to have a lawyer, although (obr), Fifth Coast Guard District between Code, and Army Regulation 190–6, you are 8 a.m. and 4 p.m., Monday through requested to provide the following account you may wish to employ one to represent you information pertaining to (identify customer); and protect your rights. Friday, except Federal holidays. If you do not follow the above procedures, lllllllllllllllllllll FOR FURTHER INFORMATION CONTACT: Gary upon the expiration of (10 days from the date Heyer, Bridge Management Specialist, (Describe the specific records to be of personal service) (14 days from the date of examined) mailing) of this notice, the records or Fifth Coast Guard District, at (757) 398– The Army has no authority to issue an information requested therein may be made 6629. administrative summons or subpoena for available. SUPPLEMENTARY INFORMATION:
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Request for Comments 2007; from 8 a.m. on November 1, 2007 governmental jurisdictions with We encourage you to participate in until 5 p.m. March 1, 2008; and from 8 populations of less than 50,000. The Coast Guard certifies under 5 this rulemaking by submitting a.m. on November 1, 2008 until 5 p.m. U.S.C. 605(b) that this proposed rule comments and related material. If you March 1, 2009. The Coast Guard has reviewed the would not have a significant economic do so, please include your name and bridge data provided by NJDOT. The impact on a substantial number of small address, identify the docket number for data, from years 2003 to 2005, shows a entities. The off-season closure dates this rulemaking CGD05–05–079, substantial decrease in the number of proposed for the bridge are designed to indicate the specific section of this bridge openings and vessel traffic minimize the number of small entities document to which each comment transiting the area between November affected. applies, and give the reason for each and March. Based on the data provided, If you think that your business, comment. Please submit all comments the proposed closure dates will have organization, or governmental and related material in an unbound minimal impact on vessel traffic. jurisdiction qualifies as a small entity format, no larger than 81⁄2 by 11 inches, and that this rule would have a suitable for copying. If you would like Discussion of Proposed Rule significant economic impact on it, a return receipt, please enclose a The Coast Guard proposes to amend please submit a comment (see stamped, self-addressed postcard or the regulations governing the Route 35 ADDRESSES) explaining why you think it envelope. We will consider all Bridge over the Manasquan River, at qualifies and how and to what degree submittals received during the comment NJICW mile 1.1, at Brielle, New Jersey, this rule would economically affect it. period. We may change this proposed set out in 33 CFR 117.733(b). The Coast rule in view of them. Guard proposes to temporarily suspend Assistance for Small Entities Public Meeting 33 CFR 117.733(b) and insert this new Under section 213(a) of the Small specific regulation at 33 CFR 117.733(l). Business Regulatory Enforcement We do not now plan to hold a public Paragraph (l) would allow the draw to Fairness Act of 1996 (Pub. L. 104–121), meeting. But you may submit a request be closed to vessel traffic during the we want to assist small entities in for a meeting by writing to Commander rehabilitation project on three four- understanding this proposed rule so that (obr), Fifth Coast Guard District at the month closure periods beginning 8 a.m. they can better evaluate its effects on address under ADDRESSES explaining on November 1, 2006 until 5 p.m. March them and participate in the rulemaking. why one would be beneficial. If we 1, 2007; from 8 a.m. on November 1, If the rule would affect your small determine that one would aid this 2007 until 5 p.m. March 1, 2008; and business, organization, or governmental rulemaking, we will hold one at a time from 8 a.m. on November 1, 2008 until jurisdiction and you have questions and place announced by a later notice 5 p.m. March 1, 2009. concerning its provisions or options for in the Federal Register. Regulatory Evaluation compliance, please contact Waverly W. Background and Purpose Gregory, Jr., Bridge Administrator, Fifth This proposed rule is not a Coast Guard District, (757) 398–6222. The New Jersey Department of ‘‘significant regulatory action’’ under The Coast Guard will not retaliate Transportation (NJDOT) owns and section 3(f) of Executive Order 12866, against small entities that question or operates the Route 35 Bridge, at NJICW Regulatory Planning, and Review, and complain about this rule or any policy mile 1.1, across Manasquan River, at does not require an assessment of or action of the Coast Guard. Brielle, New Jersey. The current potential costs and benefits under operating regulations set out in 33 CFR section 6(a)(3) of that Order. The Office Collection of Information 117.733(b) requires the drawbridge to of Management and Budget has not This proposed rule would call for no open on signal except as follows: from reviewed it under that Order. It is not new collection of information under the May 15 through September 30, on ‘‘significant’’ under the regulatory Paperwork Reduction Act of 1995 (44 Saturdays, Sundays and Federal policies and procedures of the U.S.C. 3501–3520.). holidays, from 8 a.m. to 10 p.m. the Department of Homeland Security draw need only open 15 minutes before (DHS). Federalism the hour and 15 minutes after the hour; We expect the economic impact of A rule has implications for federalism on Mondays to Thursdays from 4 p.m. this proposed rule to be so minimal that under Executive Order 13132, to 7 p.m., and on Fridays, except a full Regulatory Evaluation under the Federalism, if it has a substantial direct Federal holidays from 12 p.m. to 7 p.m. regulatory policies and procedures of effect on State or local governments and the draw need only open 15 minutes DHS is unnecessary. We reached this would either preempt State law or before the hour and 15 minutes after the conclusion based on the historical data, impose a substantial direct cost of hour; and year-round from 11 p.m. to 8 and on the fact that the proposed compliance on them. We have analyzed a.m., the draw need only open if at least closure periods support minimal impact this proposed rule under that Order and four hours notice is given. due to the reduced number of vessels have determined that it does not have Parsons Brinkerhoff, a design requiring transit through the bridge. implications for federalism. consultant, on behalf of NJDOT requested a temporary change to the Small Entities Unfunded Mandates Reform Act existing regulations for the Route 35 Under the Regulatory Flexibility Act The Unfunded Mandates Reform Act Bridge to facilitate necessary repairs. (5 U.S.C. 601–612), we have considered of 1995 (2 U.S.C. 1531–1538) requires The repairs consist of extensive whether this proposed rule would have Federal agencies to assess the effects of structural rehabilitation, mechanical, a significant economic impact on a their discretionary regulatory actions. In electrical repairs and improvements to substantial number of small entities. particular, the Act addresses actions necessitate this closure. To facilitate The term ‘‘small entities’’ comprises that may result in the expenditure by a repairs, the bascule span must be closed small businesses, not-for-profit State, local, or tribal government, in the to vessel traffic on three four-month organizations that are independently aggregate, or by the private sector of closure periods beginning 8 a.m. on owned and operated and are not $100,000,000 or more in any one year. November 1, 2006 until 5 p.m. March 1, dominant in their fields, and Though this proposed rule will not
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result in such an expenditure, we do regulatory activities unless the agency (l) From 8 a.m. on November 1, 2006 discuss the effects of this rule elsewhere provides Congress, through the Office of until 5 p.m. March 1, 2007; from 8 a.m. in this preamble. Management and Budget, with an on November 1, 2007 until 5 p.m. March explanation of why using these 1, 2008; and from 8 a.m. on November Taking of Private Property standards would be inconsistent with 1, 2008 until 5 p.m. March 1, 2009, the This proposed rule would not affect a applicable law or otherwise impractical. Route 35 Bridge, mile 1.1, at Brielle may taking of private property or otherwise Voluntary consensus standards are remain closed to navigation. have taking implications under technical standards (e.g., specifications Dated: July 11, 2005. Executive Order 12630, Governmental of materials, performance, design, or Larry L. Hereth, Actions and Interference with operation; test methods; sampling Constitutionally Protected Property Rear Admiral, U.S. Coast Guard, Commander, procedures; and related management Fifth Coast Guard District. Rights. systems practices) that are developed or [FR Doc. 05–14322 Filed 7–20–05; 8:45 am] Civil Justice Reform adopted by voluntary consensus standards bodies. BILLING CODE 4910–15–P This proposed rule meets applicable This proposed rule does not use standards in sections 3(a) and 3(b)(2) of technical standards. Therefore, we did Executive Order 12988, Civil Justice not consider the use of voluntary ENVIRONMENTAL PROTECTION Reform, to minimize litigation, consensus standards. AGENCY eliminate ambiguity, and reduce burden. Environment 40 CFR Part 52 Protection of Children We have analyzed this proposed rule [Region 2 Docket No. R02–OAR–2005–NJ– under Commandant Instruction 0002, FRL–7942–7] We have analyzed this proposed rule M16475.lD, which guides the Coast under Executive Order 13045, Guard in complying with the National Approval and Promulgation of Protection of Children from Environmental Policy Act of 1969 Implementation Plans; New Jersey Environmental Health Risks and Safety (NEPA) (42 U.S.C. 4321–4370f), and Architectural Coatings Rule Risks. This rule is not an economically have concluded that there are no factors AGENCY: Environmental Protection significant rule and would not create an in this case that would limit the use of environmental risk to health or risk to Agency (EPA). a categorical exclusion under section ACTION: Proposed rule safety that might disproportionately 2.B.2 of the Instruction. Therefore, this affect children. proposed rule is categorically excluded, SUMMARY: The Environmental Protection Indian Tribal Governments under figure 2–1, paragraph (32)(e) of Agency (EPA) is proposing to approve a the Instruction, from further revision to the New Jersey State This proposed rule does not have environmental documentation because Implementation Plan (SIP) for ozone tribal implications under Executive it has been determined that the concerning the control of volatile Order 13175, Consultation and promulgation of operating regulations organic compounds. The SIP revision Coordination with Indian Tribal for drawbridges are categorically consists of amendments to Subchapter Governments, because it would not have excluded. 23 ‘‘Prevention of Air Pollution From a substantial direct effect on one or Architectural Coatings’’ of 7:27 of the more Indian tribes, on the relationship List of Subjects in 33 CFR Part 117 New Jersey Administrative Codes, between the Federal Government and Bridges. which are needed to meet the shortfall Indian tribes, or on the distribution of in emissions reduction identified by power and responsibilities between the Regulations EPA in New Jersey’s 1-hour ozone Federal Government and Indian tribes. For the reasons discussed in the attainment demonstration SIP. The Energy Effects preamble, the Coast Guard proposes to intended effect of this action is to We have analyzed this proposed rule amend 33 CFR part 117 as follows: approve a control strategy required by under Executive Order 13211, Actions the Clean Air Act, which will result in PART 117—DRAWBRIDGE emission reductions that will help Concerning Regulations That OPERATION REGULATIONS Significantly Affect Energy Supply, achieve attainment of the national Distribution, or Use. We have 1. The authority citation for part 117 ambient air quality standard for ozone. determined that it is not a ‘‘significant continues to read as follows: DATES: Comments must be received on or before August 22, 2005. energy action’’ under that order because Authority: 33 U.S.C. 499; Department of it is not a ‘‘significant regulatory action’’ Homeland Security Delegation No. 0170.1; 33 ADDRESSES: Submit your comments, under Executive Order 12866 and is not CFR 1.05–1(g); section 117.255 also issued identified by Regional Material in likely to have a significant adverse effect under the authority of Pub. L. 102–587, 106 EDocket (RME) ID Number R02–OAR– on the supply, distribution, or use of Stat. 5039. 2005–NJ–0002 by one of the following energy. The Administrator of the Office 2. From 8 a.m. on November 1, 2006 methods: Federal eRulemaking Portal: of Information and Regulatory Affairs until 5 p.m. March 1, 2007; from 8 a.m. http://www.regulations.gov. Follow the has not designated it as a significant on November 1, 2007 until 5 p.m. March on-line instructions for submitting energy action. Therefore, it does not 1, 2008; and from 8 a.m. on November comments. require a Statement of Energy Effects 1, 2008 until 5 p.m. March 1, 2009, in 1. Agency Web site: http:// under Executive Order 13211. § 117.733, suspend paragraph (b) and docket.eps.gov/rmepub/ Regional Material in EDocket (RME), EPA’s Technical Standards add a new paragraph (l) to read as follows: electronic public docket and comment The National Technology Transfer system, is EPA’s preferred method for and Advancement Act (NTTAA) (15 § 117.733 New Jersey Intracoastal receiving comments. Once in the U.S.C. 272 note) directs agencies to use Waterway. system, select ‘‘quick research,’’ then voluntary consensus standards in their * * * * * key in the appropriate RME Docket
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identification number. Follow the on– portion of the New York-Northern New 9, 2003 and thirteen individuals line instructions for submitting Jersey-Long Island nonattainment area provided written and/or oral comments. comments. and the New Jersey portion of the The NJDEP prepared a summary of the 2. E-mail: [email protected]. Philadelphia, Wilmington, Trenton comments and then evaluated the 3. Fax: (212) 637–3901. attainment area. In that rulemaking, comments. NJDEP then prepared a 4. Mail: ‘‘RME ID Number R02–OAR– EPA identified an emission reduction response to the comments. The State 2005–NJ–0002’’, Raymond Werner, shortfall associated with New Jersey’s 1- adopted the revisions to Subchapter 23 Chief, Air Programs Branch, hour ozone attainment demonstration on May 21, 2004 and published the Environmental Protection Agency, SIPs, and required New Jersey to adoption in the New Jersey Register on Region 2 Office, 290 Broadway, 25th address the shortfalls. In a related June 21, 2004 (36 N.J.R. 3078). Also Floor, New York, New York 10007– matter, the Ozone Transport published in the New Jersey Register 1866. Commission (OTC) developed control was a summary of the comments 5. Hand Delivery or Courier. Deliver measures into model rules for a number received, the State response to the your comments to: Raymond Werner, of source categories and estimated comments and any changes to the Chief, Air Programs Branch, emission reduction benefits from proposed rule resulting from the Environmental Protection Agency, implementing these model rules. These comments. Region 2 Office, 290 Broadway, 25th model rules were designed for use by V. What Are the Requirements for Floor, New York, New York 10007– states in developing their own ‘‘Architectural Coatings’’? 1866. Such deliveries are only accepted regulations to achieve additional during the Regional Office’s normal emission reduction to close emission The revised Subchapter 23 now hours of operation. The Regional shortfalls. regulates 53 separate coating categories, Office’s official hours of business are On February 4, 2002 (67 FR 5152), some contain additional subcategories, Monday through Friday, 8:30 to 4:30 EPA approved New Jersey’s 1-hour which apply statewide. These categories excluding Federal holidays. ozone attainment demonstration SIPs. are based on the original New Jersey A copy of the New Jersey submittal is This approval included an enforceable subchapter 23, from the National AIM available at the following addresses for commitment submitted by New Jersey to rule (see CFR part 59, subpart D), and inspection during normal business adopt additional control measures to the OTC Model rule. The revised hours: close the shortfalls identified by EPA for subchapter 23 requires that, on or after Environmental Protection Agency, attainment of the 1-hour ozone January 1, 2005, no person shall sell, Region 2 Office, Air Programs Branch, standard. supply, offer for sale, or manufacture 290 Broadway, 25th Floor, New York, architectural coatings or apply II. What Was Included in New Jersey’s architectural coatings for compensation New York 10007–1866. Submittal? New Jersey Department of which contain VOC’s in excess of the Environmental Protection, Office of Air On July 28, 2004, Bradley M. VOC content limits. Subchapter 23 Quality Management, Bureau of Air Campbell, Commissioner, New Jersey includes specific exemptions, as well as registration and product labeling Quality Planning, 401 East State Street, Department of Environmental Protection requirements, recordkeeping and CN418, Trenton, New Jersey 08625. (NJDEP), submitted to EPA a revision to the SIP which included an adopted reporting requirements, and test FOR FURTHER INFORMATION CONTACT: Paul revision to subchapter 23, ‘‘Prevention methods and procedures. R. Truchan, Air Programs Branch, of Air Pollution From Architectural Architectural coatings that are sold in Environmental Protection Agency, 290 Coatings.’’ This SIP revision will New Jersey for shipment and use Broadway, 25th Floor, New York, New provide volatile organic compound outside of the State of New Jersey are York 10007–1866, (212) 637–3711. (VOC) emission reductions to address, exempt from the VOC content limits, SUPPLEMENTARY INFORMATION: in part, the shortfall identified by EPA and administrative and testing requirements of subchapter 23. This I. What Is Required by the Clean Air when New Jersey’s 1-hour ozone exemption reflects the intent to regulate Act and How Does It Apply to New attainment demonstrations were only the manufacture and distribution Jersey? approved. New Jersey used the OTC model rules as guidelines to develop its of architectural coatings that actually Section 182 of the Clean Air Act (Act) rules. emit VOCs into New Jersey’s air and not specifies the required State to interfere in the transportation of Implementation Plan (SIP) submissions III. Was Subchapter 23 Previously goods that are destined for use outside and requirements for areas classified as Approved by EPA? of the State. In addition, aerosol coating nonattainment for ozone and when On August 2, 1997 EPA approved products and architectural coatings sold these submissions and requirements are subchapter 23 (62 FR 42414) as part of in containers holding one liter or less to be submitted to EPA by the states. the New Jersey SIP. The July 20, 2004 are also exempt. The Specific requirements vary submittal modifies subchapter 23 as Subchapter 23 contains provisions for depending upon the severity of the previously approved. accepting limited timeframe variances ozone problem. The New York-Northern or exemptions that have been approved New Jersey-Long Island and IV. How Was Subchapter 23 by another state or one of the California Philadelphia, Wilmington, Trenton Promulgated? air quality management districts that nonattainment areas are nonattainment The NJDEP published the proposed have rules substantially equivalent to areas classified as severe. Under section rulemaking in the New Jersey Register subchapter 23 and that have product 182, severe nonattainment areas were on July 21, 2003 (35 N.J.R. 2983) and categories and VOC content limits required to submit demonstrations of announced that a public hearing would identical to subchapter 23. The State how they would attain the 1-hour ozone be held, on September 9, 2003, in provisions specify the required standard. On December 16, 1999 (64 FR Trenton, New Jersey. NJDEP provided documentation that must be submitted 70380), EPA proposed approval of New copies of the newspaper announcements and the conditions under which New Jersey’s 1-hour ozone attainment and certification of publication. The Jersey will recognize a limited demonstration SIP for the New Jersey public hearing was held on September timeframe variance or exemption that
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was granted by another state or regulated sector, and other interested proposes to approve a state rule California air management district with parties. Therefore, EPA will address the implementing a Federal standard, and equivalent provisions. The variance or issue of exactly what quantity of does not alter the relationship or the exemption can become effective in New emission reductions New Jersey can distribution of power and Jersey for the period of time that the attribute to the revised subchapter 23 in responsibilities established in the Act. approved variance or exemption a future Federal Register action. These This proposed rule also is not subject to remains in effect, provided that all the emission reductions are required to Executive Order 13045 ‘‘Protection of architectural coatings within the meet the additional emission reductions Children from Environmental Health variance or exemption are regulated by EPA identified as needed to meet the 1- Risks and Safety Risks’’ (62 FR 19885, subchapter 23. hour ozone standard. In addition, the April 23, 1997), because it is not Paragraph 23.4(c) of subchapter 23 entire State of New Jersey is classified economically significant. provides for alternate test methods for as nonattainment for the 8-hour ozone In reviewing SIP submissions, EPA’s architectural coatings provided that the standard. In order to attain this role is to approve state choices, alternate method is demonstrated to standard, New Jersey will need to provided that they meet the criteria of provide results that are acceptable for achieve further reductions in VOC and the Act. In this context, in the absence purposes of determining compliance nitrogen oxides. of a prior existing requirement for the and that the alternate test method is first state to use voluntary consensus approved by both the NJDEP and the VII. Statutory and Executive Order Reviews standards (VCS), EPA has no authority EPA. to disapprove a SIP submission for Under Executive Order 12866 (58 FR VI. What Is EPA’s Conclusion? failure to use VCS. It would thus be 51735, October 4, 1993), this proposed inconsistent with applicable law of EPA has evaluated New Jersey’s action is not a ‘‘significant regulatory EPA, when it reviews a SIP submission, submittal for consistency with the Act, action’’ and therefore is not subject to to use VCS in place of a SIP submission EPA regulations, and EPA policy. EPA review by the Office of Management and that otherwise satisfies the provisions of has determined that the revisions made Budget. For this reason, this action is the Act. Thus, the requirements of to subchapter 23 ‘‘Prevention of Air also not subject to Executive Order section 12(d) of the National Pollution From Architectural Coatings’’ 13211, ‘‘Actions Concerning Regulations Technology Transfer and Advancement of title 7, chapter 27 of the New Jersey That Significantly Affect Energy Supply, Act of 1995 (15 U.S.C. 272 note) do not Administrative Codes, meet the SIP Distribution, or Use’’ (66 FR 28355, May apply. This proposed rule does not revision requirements of the Act with 22, 2001). This proposed action merely impose an information collection the following exception. While the proposes to approve State law as burden under the provisions of the provisions related to exemptions and meeting Federal requirements and Paperwork Reduction Act of 1995 (44 variances pursuant to subchapter 23, imposes no additional requirements U.S.C. 3501 et seq.). ‘‘Architectural Coatings’’ are acceptable, beyond those imposed by State law. each specific application of those Accordingly, the Administrator certifies List of Subjects in 40 CFR Part 52 provisions will only be recognized as that this proposed rule will not have a Environmental protection, Air meeting Federal requirements after it is significant economic impact on a pollution control, Intergovernmental approved by EPA as a SIP revision. substantial number of small entities relations, Ozone, Reporting and Therefore, EAP is proposing to approve under the Regulatory Flexibility Act (5 recordkeeping requirements, Volatile the regulation as part of the New Jersey U.S.C. 601 et seq.). Because this rule organic compounds. SIP with the exception that any specific proposes to approve pre-existing application of provisions associated requirements under State law and does Authority: 42 U.S.C. 7401–7671q. with variances or exemptions, must be not impose any additional enforceable Dated: July 12, 2005. submitted as SIP revisions. duty beyond that required by State law, George Pavlou, Since submittal of this SIP revision, it does not contain any unfunded Acting Regional Administrator, Region 2. an issue arose concerning the quantity mandate or significantly or uniquely [FR Doc. 05–14406 Filed 7–20–05; 8:45 am] of emission reductions that would result affect small governments, as described from adopting an architectural coatings in the Unfunded Mandates Reform Act BILLING CODE 6560–50–M regulation, such as New Jersey’s of 1995 (Pub. L. 104–4). subchapter 23, that was more stringent This proposed rule also does not have ENVIRONMENTAL PROTECTION than EPA’s National AIM rule. tribal implications because it will not AGENCY Incorporating a regulation into a SIP have a substantial direct effect on one or that is more stringent, such as this one, more Indian tribes, on the relationship 40 CFR Part 52 strengthens the SIP and will result in between the Federal Government and further decreases in VOC emissions Indian tribes, or on the distribution of [Region 2 Docket No. R02–OAR–2005–NY– which will beneficially impact the power and responsibilities between the 0003, FRL–7942–6] ambient ozone concentrations. The Federal Government and Indian tribes, Approval and Promulgation of exact amount of reductions attributed to as specified by Executive Order 13175 Implementation Plans; New York State implementation of the rule depends on (65 FR 67249, November 9, 2000). This Implementation Plan Revision what overall percent reduction is action also does not have federalism achieved and the quantity of coatings implications because it does not have AGENCY: Environmental Protection that meet these new standards. substantial direct effects on the states, Agency (EPA). EPA recognizes the need to resolve on the relationship between the ACTION: Proposed rule. conclusively how to determine the National Government and the States, or amount of VOC emission reductions on the distribution of power and SUMMARY: The Environmental Protection achieved from the implementation of responsibilities among the various Agency is proposing to approve a AIM coatings rules in a given ozone levels of government, as specified in revision to the New York State nonattainment area. This remains an Executive Order 13132 (64 FR 43255, Implementation Plan (SIP) concerning issue of concern to the states, the August 10, 1999). This action merely New York’s permitting program. The
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SIP revision consists of amendments to I. What Was Included in New York’s On an annual basis, beginning one Title 6 of the New York Codes, Rules Submittal? year after the granting of an emissions and Regulations, Part 201, ‘‘Permits and cap, the responsible official shall Certificates.’’ The intended effect of this On June 16, 1996, David Sterman, provide a certification to the NYSDEC proposal is to incorporate then Deputy Commissioner, New York that the facility has operated all administrative changes to New York’s State Department of Environmental emission units within the limits permitting program into the SIP. Conservation (NYSDEC), submitted to imposed by the emission cap. Facilities EPA a revision to the State DATES: Comments must be received on subject to this provision must keep Implementation Plan (SIP) which or before August 22, 2005. records on-site for a minimum of five included revisions to Title 6 of the New ADDRESSES: Submit your comments, years. Emission caps established by York Codes, Rules and Regulations New York pursuant to Subpart 201–7.2 identified by Regional Material in (NYCRR), Part 201, ‘‘Permits and EDocket (RME) ID Number R02–OAR– are subject to public review and Certificates.’’ The revisions to Part 201 comment, as required by 201–7.2(b). 2005–NY–0003 by one of the following were submitted by New York in support Although Subpart 201–7.1 makes methods: Federal eRulemaking Portal: of its title V Operating Permit Program reference to Subpart 201–7.3, EPA is not http://www.regulations.gov. Follow the under the Clean Air Act (Act), and taking action on Subpart 201–7.3 at this on-line instructions for submitting became State effective on July 7, 1996. time. However, Subpart 201.7.3 remains comments. New York requested at that time that State enforceable. 1. Agency Web site: http:// Subparts 201–1, 201–2, 201–3, 201–4, docket.epa.gov/rmepub/. Regional 201–5, 201–7, 201–8 and Appendix B be EPA has determined that New York’s Material in EDocket (RME), EPA’s incorporated into the federally approved revised Subparts 201–7.1 and 201–7.2 electronic public docket and comment SIP, replacing the existing federally can be incorporated into the SIP. EPA system, is EPA’s preferred method for approved version of Part 201. EPA has recognizes federally enforceable limits receiving comments. Once in the deferred taking action on those revisions or caps on potential to emit to be system, select ‘‘quick search,’’ then key to Part 201 due to unresolved concerns approvable. In addition, New York’s in the appropriate RME Docket raised by the EPA and NYSDEC revised Subparts 201–7.1 and 201–7.2 identification number. Follow the on- regarding specific Subparts. However, are designed to ensure that the limits on line instructions for submitting on May 27, 2005, Carl Johnson, Deputy potential to emit are legally and comments. Commissioner, NYSDEC, submitted a practically enforceable. An August 27, 2. E-mail: [email protected]. 1996, EPA policy memorandum from 3. Fax: (212) 637–3901. SIP revision requesting EPA’s approval of only Subparts 201–7.1, ‘‘General’’ and John S. Seitz, Director, Office of Air 4. Mail: ‘‘RME ID Number R02–OAR– Quality Planning and Standards, 2005–NY–0003,’’ Raymond Werner, 201–7.2, ‘‘Emission Capping Using Synthetic Minor Permits,’’ as were State entitled ‘‘Extension of January 25, 1995 Chief, Air Programs Branch, Potential to Emit Transition Policy’’ Environmental Protection Agency, effective on July 7, 1996, and the removal of Subpart 201.5(e) of the states that, in light of the court’s Region 2 Office, 290 Broadway, 25th decision in Clean Air Implementation Floor, New York, New York 10007– existing federally approved version of Part 201. Project v. EPA, No. 96–1224 (D.C. Cir., 1866. June 28, 1996), the term ‘‘federally 5. Hand Delivery or Courier. Deliver II. What Provisions to Part 201 Is EPA enforceable’’ in 40 CFR 70.2 should now your comments to: Raymond Werner, Acting On? be read to mean ‘‘federally enforceable Chief, Air Programs Branch, A. Subparts 201–7.1 and 201–7.2 or legally and practicably enforceable by Environmental Protection Agency, a state or local air pollution control Region 2 Office, 290 Broadway, 25th The Subpart 201–7.1 and 201–7.2 agency.’’ New York’s revised Subparts Floor, New York, New York 10007– provisions concern ‘‘federally 201–7.1 and 201–7.2 are currently State 1866. Such deliveries are only accepted enforceable emission caps.’’ These enforceable. The inclusion of these during the Regional Office’s normal provisions allow owners or operators of provisions into the SIP will ensure that hours of operation. The Regional stationary sources to accept permit New York’s revised Subparts 201–7.1 Office’s official hours of business are conditions which restrict or ‘‘cap’’ and 201–7.2 are federally enforceable as Monday through Friday, 8:30 to 4:30 emissions in order to avoid being well. EPA is therefore proposing excluding Federal holidays. subject to one or more applicable approval. A copy of the New York’s submittal requirements regarding the source or B. Subpart 201.5(e) is available at the following addresses emission unit. Typically, such a source for inspection during normal business has actual emissions substantially below As part of New York’s May 27, 2005, hours: its potential emissions and the cap submittal, New York requested that EPA Environmental Protection Agency, would prevent increasing emissions. remove existing Subpart 201.5(e) from Region 2 Office, Air Programs Branch, The owner or operator applying for an the federally approved SIP. Subpart 290 Broadway, 25th Floor, New York, emission cap permit modification must 201.5(e) concerns excess emissions New York 10007–1866. include a proposed monitoring, during maintenance, malfunctions, and New York State Department of recordkeeping, and reporting strategy start-up. Environmental Conservation, Division that will be used to demonstrate that the On September 20, 1999, EPA issued a of Air Resources, 625 Broadway, emissions limitations under the policy memorandum from Steven A. Albany, New York 12233. proposed cap are verifiable, and Herman, Assistant Administrator for FOR FURTHER INFORMATION CONTACT: Kirk enforceable, along with the proposed Enforcement and Compliance J. Wieber, Air Programs Branch, permit terms and conditions. Capping Assurance, entitled ‘‘State Environmental Protection Agency, 290 methods may include: The reduction in Implementation Plans: Policy Regarding Broadway, 25th Floor, New York, New the hours of operation; reformulations Excess Emissions During Malfunctions, York 10007–1866, (212) 637–3381 or relating to the cap, installation of Startup, and Shutdown.’’ On November [email protected]. control equipment; and/or other process 8, 2001 and December 5, 2001, EPA SUPPLEMENTARY INFORMATION: changes. issued a memorandum of clarification in
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regard to the September 20, 1999, policy SIP and remove existing Subpart distribution of power and memorandum. 201.5(e) from the federally approved responsibilities among the various Because excess emissions might New York SIP. levels of government, as specified in aggravate air quality so as to prevent Executive Order 13132 (64 FR 43255, IV. Statutory and Executive Order attainment or interfere with August 10, 1999). This action merely Reviews maintenance of the ambient air quality proposes to approve a state rule standards, EPA views all excess Under Executive Order 12866 (58 FR implementing a Federal standard, and emissions as violations of the applicable 51735, October 4, 1993), this proposed does not alter the relationship or the emission limitation. Nevertheless, EPA action is not a ‘‘significant regulatory distribution of power and recognizes that imposition of a penalty action’’ and therefore is not subject to responsibilities established in the Act. for sudden and unavoidable review by the Office of Management and This proposed rule also is not subject to malfunctions caused by circumstances Budget. For this reason, this action is Executive Order 13045 ‘‘Protection of entirely beyond the control of the owner also not subject to Executive Order Children from Environmental Health or operator may not be appropriate. 13211, ‘‘Actions Concerning Regulations Risks and Safety Risks’’ (62 FR 19885, EPA’s 1999 policy memorandum further That Significantly Affect Energy Supply, April 23, 1997), because it is not specifies what is allowable and when Distribution, or Use’’ (66 FR 28355, May economically significant. and in what manner SIP’s may provide 22, 2001). This proposed action merely for defenses of violations caused by proposes to approve state law as In reviewing SIP submissions, EPA’s periods of excess emissions due to meeting Federal requirements and role is to approve state choices, malfunctions, startup, or shutdown. imposes no additional requirements provided that they meet the criteria of New York’s Subpart 201.5(e) was beyond those imposed by state law. the Act. In this context, in the absence initially incorporated into the SIP prior Accordingly, the Administrator certifies of a prior existing requirement for the to the issuance of this policy that this proposed rule will not have a state to use voluntary consensus memorandum. EPA has determined that significant economic impact on a standards (VCS), EPA has no authority New York’s Subpart 201.5(e) does not substantial number of small entities to disapprove a SIP submission for meet the required criteria for excusing under the Regulatory Flexibility Act (5 failure to use VCS. It would thus be excess emissions from maintenance, U.S.C. 601 et seq.). This rule proposes inconsistent with applicable law for malfunctions or startup, as outlined in to approve pre-existing requirements EPA, when it reviews a SIP submission, the 1999 EPA policy memorandum. under state law, does not impose any to use VCS in place of a SIP submission Therefore, EPA agrees with New York’s additional enforceable duty beyond that that otherwise satisfies the provisions of request to remove it from the federally required by state law, and does not the Act. Thus, the requirements of enforceable SIP. contain any unfunded mandate or section 12(d) of the National significantly or uniquely affect small Technology Transfer and Advancement III. What Is EPA’s Conclusion? governments, as described in the Act of 1995 (15 U.S.C. 272 note) do not EPA has evaluated New York’s Unfunded Mandates Reform Act of 1995 apply. This proposed rule does not submittal for consistency with the Act, (Pub. L. 104–4). impose an information collection EPA regulations, and EPA policy. EPA This proposed rule also does not have burden under the provisions of the has determined that the revisions made tribal implications because it will not Paperwork Reduction Act of 1995 (44 to Part 201.7, ‘‘Federally Enforceable have a substantial direct effect on one or U.S.C. 3501 et seq.). Emission Caps,’’ specifically the more Indian tribes, on the relationship List of Subjects in 40 CFR Part 52 inclusion of Subparts 201–7.1, between the Federal Government and ‘‘General’’ and 201–7.2, ‘‘Emission Indian tribes, or on the distribution of Environmental protection, Air Capping Using Synthetic Minor power and responsibilities between the pollution control, Intergovernmental Permits’’ meet the SIP revision Federal Government and Indian tribes, relations, Reporting and recordkeeping requirements of the Act. In addition, as specified by Executive Order 13175 requirements. EPA has determined that existing (65 FR 67249, November 9, 2000). This Dated: July 12, 2005. Subpart 201.5(e) should no longer be action also does not have Federalism included in the Federally approved SIP. implications because it does not have George Pavlou, Therefore, EPA is proposing to approve substantial direct effects on the states, Acting Regional Administrator, Region 2. revised Subparts 201–7.1 and 201–7.2 on the relationship between the national [FR Doc. 05–14407 Filed 7–20–05; 8:45 am] into the Federally approved New York government and the states, or on the BILLING CODE 6560–50–P
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Notices Federal Register Vol. 70, No. 139
Thursday, July 21, 2005
This section of the FEDERAL REGISTER The Agricultural Marketing Act of Estimate of Burden: Public reporting contains documents other than rules or 1946 (7 U.S.C. 1621, et seq.), section burden for this collection of information proposed rules that are applicable to the 203(g) directs and authorizes the is estimated to average .033 hours per public. Notices of hearings and investigations, collection and dissemination of response. committee meetings, agency decisions and marketing information including Respondents: Fruit, vegetable, and rulings, delegations of authority, filing of petitions and applications and agency adequate outlook information, on a ornamental industry, or other for-profit statements of organization and functions are market area basis, for the purpose of businesses, individuals or households, examples of documents appearing in this anticipating and meeting consumer farms. section. requirements, aiding in the maintenance Estimated Number of Respondents: of farm income and to bring about a 18,174. balance between production and Estimated Number of Responses per DEPARTMENT OF AGRICULTURE utilization. Respondent: 200. The fruit and vegetable industry Estimated Total Annual Burden on Agricultural Marketing Service provides information on a voluntary Respondents: 119,787. [Docket No. FV05–502–N] basis, and is gathered through Comments are invited on: (1) Whether confidential telephone and face-to-face the proposed collection of information Notice of Request for Revision to an interviews by market reporters. is necessary for the proper performance Extension of a Currently Approved Reporters request supplies, demand, of the functions of the agency, including Information Collection and prices of over 400 fresh fruit, whether the information will have practical utility; (2) the accuracy of the AGENCY: Agricultural Marketing Service, vegetable, nut ornamental, and other agency’s estimate of the burden of the USDA. specialty crops. The fruit and vegetable market news proposed collection of information, ACTION: Notice and request for including the validity of the comments. reports are used by academia, but are primarily used by the fruit, vegetable methodology and assumptions used; (3) ways to enhance the quality, utility, and SUMMARY: In accordance with the and ornamental trade, which includes Paperwork Reduction Act of 1995 (44 packers, processors, brokers, retailers, clarity of the information to be U.S.C. Chapter 35), this notice and producers. The fruit and vegetable collected; and (4) ways to minimize the announces the Agricultural Marketing industry requested that the Department burden of the collection of information Service’s (AMS) intention to request an of Agriculture issue price and supply on those who are to respond, including extension for a currently approved market reports for commodities of through the use of appropriate information collection for Fruit and regional, national and international automated, electronic, mechanical, or Vegetable Market News. significance in order to assist them in other technological collection techniques or other forms of information DATES: Comments received by making immediate production and marketing decisions and as a guide to technology. Comments may be sent to: September 19, 2005, will be considered. Terry C. Long, Chief, Fruit and ADDITIONAL INFORMATION OR COMMENTS: the amount of product in the supply channel. Vegetable Market News Branch, Fruit Contact Terry C. Long, Chief; Fruit and and Vegetable Programs, AMS–USDA, Vegetable Market News Branch, Fruit Many government agencies use the 1400 Independence Avenue, SW., Stop- and Vegetable Programs, AMS–USDA, reports to make their market outlook 0238, Washington, DC 20250–0238. 1400 Independence Avenue, SW., Stop– projections. Data from these reports is All responses to this notice will be 0238, Washington, DC 20250–0238; included in the information forwarded summarized and included in the request telephone: (202) 720–2175, fax: (202) to the Secretary’s office and staff, as for OMB approval. All comments will 720–0547. All comments will be needed, to keep them appraised of the also become a matter of public record. available for public inspection at this current market conditions and address during the hours of 8 a.m. to 4 movement of fruit, vegetable, and Dated: July 18, 2005. p.m. Monday through Friday. ornamental commodities in the United Kenneth C. Clayton, Acting Administrator, Agricultural Marketing SUPPLEMENTARY INFORMATION: States. Economists at most major Service. Title: Fruit and Vegetable Market agricultural colleges and universities News. use the reports to make both short and [FR Doc. 05–14387 Filed 7–20–05; 8:45 am] OMB Number: 0581–0006. long term market projections. The data BILLING CODE 3410–02–P Expiration Date of Approval: May 31, is used extensively by consulting firms 2006. and private economists to aid them in DEPARTMENT OF AGRICULTURE Type of Request: Revision to an determining available supplies and current pricing. extension of a currently approved Agricultural Marketing Service information collection. The information is collected, Abstract: Collection and compiled, and disseminated by an dissemination of information for fruit, impartial third party, in a manner which [Docket Number FV–04–303] vegetable and ornamental production protects the confidentiality of the United States Standards for Grades of and to facilitate trading by providing a reporter. Further, since the Government Field Grown Leaf Lettuce price base used by producers, is a purchaser of fruits and vegetables, wholesalers, and retailers to market a system to monitor the collection and AGENCY: Agricultural Marketing Service, product. reporting of data is needed. USDA.
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ACTION: Reopening and extension of the for interested persons, including the Title: Import Certificates, End-User comment period. association, to file comments. Certificates, and Delivery Verification Authority: 7 U.S.C. 1621–1627. Procedures. SUMMARY: Notice is hereby given that Agency Form Number: None. the comment period on possible Dated: July 15, 2005. OMB Approval Number: 0694–0093. development of United States Standards Kenneth C. Clayton, for Grades of Field Grown Leaf Lettuce Acting Administrator, Agricultural Marketing Type of Request: Extension of a is reopened and extended. Service. currently approved collection. Burden: 645 hours. DATES: Comments must be received by [FR Doc. 05–14386 Filed 7–20–05; 8:45 am] September 19, 2005. BILLING CODE 3410–02–P Average Time Per Response: 15 to 30 minutes per response. ADDRESSES: Interested persons are invited to submit written comments to Number of Respondents: 2,221 DEPARTMENT OF AGRICULTURE the Standardization Section, Fresh respondents. Needs and Uses: Import or End-User Products Branch, Fruit and Vegetable Forest Service Programs, Agricultural Marketing Certificates are an undertaking by the Service, U.S. Department of Agriculture, Buckhorn Mountain Project a government of the country of ultimate 1400 Independence Ave. SW., Room Supplement to the Final Environmental destination (the issuing government) to 1661 South Building, Stop 0240, Impact Statement or for Crown Jewel exercise legal control over the Washington, DC 20250–0240; fax (202) Mine, Okanogan and Wenatchee disposition of the items covered by the 720–8871; e-mail National Forests, Okanogan County, importer (ultimate consignee or [email protected]. WA. purchaser) and transmitted to the Comments should make reference to exporter (applicant). The control the dates and page number of this issue AGENCY: Forest Service, USDA. exercised by the government issuing the of the Federal Register and will be ACTION: Cancellation of Notice of intent Import or End-User Certificate is in made available for public inspection in to prepare an environmental impact addition to the conditions and the above office during regular business statement. restrictions placed on the transaction by hours. The proposed United States BIS. This collection of information also Standards for Grades of Field Grown SUMMARY: On September 5, 2003, a contains recordkeeping and reporting Leaf Lettuce is available at either the Notice of Intent (NOI) to prepare an requirements that involve Import or above address, or by accessing the AMS, environmental impact statement (EIS) End-user Certificates as supporting Fresh Products Branch Web site at: for the Buckhorn Mountain Project, a documentation accompanying an http://www.ams.usda.gov/fv/ Supplement to the final environmental application for an export license fpbdocketlist.htm. impact statement for the Crown Jewel (approved by OMB under control no. Mine was published in the Federal 0694–0088). Another reporting FOR FURTHER INFORMATION CONTACT: Register (68 FR 52736). The Forest requirement allows exporters to request David L. Priester, at the above address Service has decided to cancel the an exception to the imports certificate or call (202) 720–2185; e-mail preparation of this EIS. The NOI is (or its equivalent) procedure. This [email protected]. hereby rescinded. reporting requirement also covers SUPPLEMENTARY INFORMATION: FOR FURTHER INFORMATION CONTACT: requests for exceptions to the delivery A notice was published in the Federal Questions may be addressed to Jan verification procedure. Register, March 24, 2005, (70 FR 15065) Flatten, Forest Environmental Affected Public: Individuals, requesting comments on the possible Coordinator, Okanogan and Wenatchee businesses or other for-profit development of the United States National Forest, Okanogan Valley institutions. Standards for Grades of Field Grown Office, 1240 Second Avenue South, Respondent’s Obligation: Required to Leaf Lettuce. The proposed standards Okanogan, WA 98840. Telephone: (509) obtain or retain benefits. would provide industry with a common 826–3277. OMB Desk Officer: David Rostker. language and uniform basis for trading, Dated: July 12, 2005. Copies of the above information thus promoting the orderly and efficient Norm Day, collection proposal can be obtained by marketing of field grown leaf lettuce. Holden Project Manager, Okanogan and calling or writing Diana Hynek, DOC Additionally, the Agricultural Wenatchee National Forests. Paperwork Clearance Officer, (202) 482– Marketing Service (AMS) is seeking any [FR Doc. 05–14375 Filed 7–20–05; 8:45 am] 0266, Department of Commerce, Room comments related to the proposed BILLING CODE 3410–11–M 6625, 14th and Constitution Avenue, standards that may be necessary to NW., Washington, DC 20230. better serve the industry. The comment Written comments and period ended May 23, 2005. DEPARTMENT OF COMMERCE recommendations for the proposed A comment was received from a information collection should be sent national industry association Submission for OMB Review; within 30 days of publication of this representing independent produce Comment Request notice to David Rostker, OMB Desk wholesale receivers, expressing the need Officer, e-mail address, for additional time to comment. The The Department of Commerce (DOC) [email protected], or fax association requested the comment has submitted to the Office of number, (202) 395–7285. period be extended to allow the Management and Budget (OMB) for association an opportunity to meet clearance the following proposal for Dated: July 15, 2005. further with their members to discuss collection of information under Madeleine Clayton, the proposed standards. provisions of the Paperwork Reduction Management Analyst, Office of the Chief After reviewing the request, AMS is Act (44 U.S.C. chapter 35). Information Officer. reopening and extending the comment Agency: Bureau of Industry and [FR Doc. 05–14323 Filed 7–20–05; 8:45 am] period in order to allow sufficient time Security (BIS). BILLING CODE 3510–33–P
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DEPARTMENT OF COMMERCE categorized as either active customers, information submitted is needed for the prospective customers, or untapped management of the fisheries. This action Submission for OMB Review; customers. seeks to renew Paperwork Reduction Comment Request Frequency: One time. Act (PRA) clearance for this collection. Respondent’s Obligation: Voluntary. Affected Public: Business or other for- DOC has submitted to the Office of OMB Desk Officer: David Rostker, Management and Budget (OMB) for profit organizations; individuals or (202) 395–7340. households; State, Local or Tribal clearance the following proposal for Copies of the above information collection of information under the Government. collection proposal can be obtained by Frequency: Monthly and on occasion. provisions of the Paperwork Reduction calling or writing Diana Hynek, Respondent’s Obligation: Required to Act of 1995, Public Law 104–13 (44 Departmental Paperwork Clearance obtain or retain benefits. U.S.C. 3506 (c)(2)(A)). Officer, (202) 482–0266, Department of Bureau: International Trade OMB Desk Officer: David Rostker, Commerce, Room 6612, 14th and Administration. (202) 395–3897. Constitution, NW., Washington, DC Title: Outside Assessment of DOC Copies of the above information 20230. E-mail: [email protected]. Compliance Program. collection proposal can be obtained by Agency Form Number: ITA–xxxx. Written comments and calling or writing Diana Hynek, OMB Number: 0625–xxxx. recommendations for the proposed Departmental Paperwork Clearance Type of Request: Regular Submission. information collection should be sent Officer, (202) 482–0266, Department of Burden: 110.5 hours. via e-mail to David Rostker, OMB Desk Commerce, Room 6625, 14th and Number of Respondents: 274. Officer, [email protected] or Constitution Avenue, NW., Washington, Avg. Hours Per Response: 2 hours for fax (202) 395–7285, within 30 days of DC 20230 (or via the Internet at focus group participants and 15 minutes publication of this Federal Register [email protected]). for survey respondents. notice. Written comments and Needs and Uses: In 2003, the Dated: July 15, 2005. recommendations for the proposed Department of Commerce’s (DOC’s) Madeleine Clayton, information collection should be sent International Trade Administration Management Analyst, Office of the Chief within 30 days of publication of this (ITA) conducted a bureau-wide Information Officer. notice to David Rostker, OMB Desk Customer Satisfaction Survey covering [FR Doc. 05–14324 Filed 7–20–05; 8:45 am] Officer, FAX number (202) 395–7285, or all ITA program units, related to the [email protected]. BILLING CODE 3510–DA–P citizen-centered objectives of the Dated: July 15, 2005. President’s Management Agenda. The results were used to set a baseline Gwellnar Banks, DEPARTMENT OF COMMERCE for performance metric reporting and Management Analyst, Office of the Chief tracking and to better understand the Information Officer. Submission for OMB Review; [FR Doc. 05–14326 Filed 7–20–05; 8:45 am] customer base it serves. ITA’s Market Comment Request Access and Compliance (MAC) program BILLING CODE 3510–22–P survey report identified gaps between a The Department of Commerce has high level of customer awareness yet submitted to the Office of Management low customer use of fair trade and and Budget (OMB) for clearance the DEPARTMENT OF COMMERCE following proposal for collection of market access services. Findings also Economics and Statistics information under the provisions of the indicated that a substantial customer Administration base is unaware of the specific services Paperwork Reduction Act (44 U.S.C. that the DOC Compliance Program Chapter 35). Performance Review Board offers. Agency: National Oceanic and Membership In response to the survey findings, Atmospheric Administration (NOAA). MAC is undertaking an outside Title: Northeast Region Logbook SUMMARY: Below is a listing of customer service analysis to find out in Family of Forms. individuals who are eligible to serve on more specific terms and greater detail, Form Number(s): NOAA Forms 88– the Performance Review Board in what MAC’s Trade Compliance Center’s 30, 88–140. accordance with the Economics and (TCC’s) customers’ expectations are. The OMB Approval Number: 0648–0212. Statistics Administration’s Senior purpose of this outside assessment is to Type of Request: Regular submission. Executive Service and Senior obtain customer and potential customer Burden Hours: 5,937. Professional Performance Management views regarding the DOC Compliance Number of Respondents: 4,596. Systems: Program to determine: Average Hours Per Response: 6 minutes. Hermann Habermann; Shirin A. Ahmed; • If the TCC offers the right set of Teresa Angueira; William G. Bostic, Jr.; services to assist U.S. exporters to Needs and Uses: Fishing vessels Stephanie Brown; Howard Hogan; Nancy M. overcome foreign trade barriers; permitted to participate in Federally- Gordon; Arnold A. Jackson; Theodore A. • If MAC is aware of exporter needs; permitted fisheries in the Northeast are Johnson; Ruth Ann Killion; Bob LaMacchia; • If the right MAC programs are in required to submit logbooks containing Michael J. Longini; Thomas L. Mesenbourg; place to meet identified needs; and catch and effort information about their C. Harvey Monk; Andrew H. Moxam; Walter • If MAC services are properly fishing trips. The participants in the C. Odom, Jr.; Marvin D. Raines; Brain promoted to maximize efficiency and herring, tilefish and red crab fisheries Monaghan; Rajendra P. Singh; Ricard W. effectiveness. are also required to make reports on Swartz; Alan R. Tupek; Preston J. Waite; An enhanced customer satisfaction their catch through an Interactive Voice Mark E. Wallace; Daniel H. Weinberg; Ewen M. Wilson; Tommy Wright; Robert Fay III; program or other service improvements Response (IVR) system. In addition, William Bell; Elizabeth Martin; Paul Friday; might result from this data collection permitted vessels that catch halibut are David Findley; J. Steven Landefeld; Dennis J. initiative. asked to voluntarily provide additional Fixler; Ralph H. Kozlow; Alan C. Lorish; Affected Public: U.S. Exporters and information on the estimated size of the Rosemary D. Marcus; Brent R. Moulton; their Business Representatives, fish and the time of day caught. The Sumiye O. Okubo; John W. Ruser; James K.
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White; Susan Offutt; Jane Molloy; Suzette processing); Regulations and Procedures materials to Committee members, the Kern; Carl Cox; Keith Hall and Elizabeth R. TAC: the Export Administration Committee suggests that presenters Anderson. Regulations (EAR) and procedures for forward the public presentation FOR FURTHER INFORMATION CONTACT: implementing the EAR; Sensors and materials to Yvette Springer at Nancy Osborn, (301) 763–3727. Instrumentation TAC: Control List [email protected]. Dated: July 13, 2005. Category 6 (sensors and lasers); For more information contact Yvette James K. White, Transportation and Related Equipment Springer on (202) 482–4814. Associate Under Secretary for Management, TAC: Control List Categories 7 Dated: July 14, 2005. Chair, Performance Review Board. (navigation and avionics), 8 (marine), Yvette Springer, and 9 (propulsion systems, space [FR Doc. 05–14411 Filed 7–20–05; 8:45 am] Committee Liaison Officer. vehicles, and related equipment). To BILLING CODE 3510–BS–P respond to this recruitment notice, [FR Doc. 05–14413 Filed 7–20–05; 8:45 am] please send a copy of your resume to BILLING CODE 3510–JT–M DEPARTMENT OF COMMERCE Ms. Yvette Springer at [email protected]. DEPARTMENT OF COMMERCE Bureau of Industry and Security Deadline: This Notice of Recruitment will be open for one year from its date Bureau of Industry and Security Technical Advisory Committees; of publication in the Federal Register. Notice of Recruitment of Private-Sector FOR FURTHER INFORMATION CONTACT: Ms. President’s Export Council; Members Yvette Springer on (202) 482–4814. Subcommittee on Export SUMMARY: Six Technical Advisory Dated: July 14, 2005. Administration; Notice of Partially Committees (TACs) advise the Yvette Springer, Closed Meeting Department of Commerce on the Committee Liaison Officer. The President’s Export Council technical parameters for export controls [FR Doc. 05–14415 Filed 7–20–05; 8:45 am] Subcommittee on Export applicable to dual-use commodities and BILLING CODE 3510–JT–M Administration (PECSEA) will meet on technology and on the administration of September 22, 2005, 10 a.m., at the U.S. those controls. The TACs are composed Department of Commerce, Herbert C. of representatives from industry and DEPARTMENT OF COMMERCE Hoover Building, Room 4832, 14th Government representing diverse points Street between Pennsylvania and of view on the concerns of the exporting Bureau of Industry and Security Constitution Avenues, NW., community. Industry representatives are Washington, DC. The PECSEA provides selected from firms producing a broad Materials Technical Advisory committee; Notice of Open Meeting advice on matters pertinent to those range of goods, technologies, and portions of the Export Administration software presently controlled for The Materials Technical Advisory Act, as amended, that deal with United national security, non-proliferation, Committee (MTAC) will meet on August States policies of encouraging trade with foreign policy, and short supply reasons 4, 2005, 10:30 a.m., in the Herbert C. all countries with which the United or that are proposed for such controls, Hoover Building, Room 3884, 14th States has diplomatic or trading balanced to the extent possible among Street between Constitution & relations and of controlling trade for large and small firms. Pennsylvania Avenues, NW., national security and foreign policy TAC members are appointed by the Washington, DC. The Committee reasons. Secretary of Commerce and serve terms advises the Office of the Assistant of not more than four consecutive years. Secretary for Export Administration Public Session The membership reflects the with respect to technical questions that 1. Opening remarks by the Chairman. Department’s commitment to attaining affect the level of export controls 2. Bureau of Industry and Security (BIS) balance and diversity. TAC members applicable to advanced materials and and Export Administration update. must obtain secret-level clearances prior related technology. 3. Export Enforcement update. to appointment. These clearances are 4. Presentation of papers or comments necessary so that members may be Agenda by the public. permitted access to the classified 1. Opening remarks and introductions. Closed Session information needed to formulate 2. Ambassador Don Mahley: Briefing on recommendations to the Department of status of the Biological Weapons 5. Discussion of matters properly Commerce. Each TAC meets Convention (BWC) and codes of classified under Executive order approximately 4 times per year. conduct discussions recently held in 12958, dealing with the U.S. export Members of the Committees will not be Geneva. control program and strategic criteria compensated for their services. 3. Report on status of addition of select related thereto. The six TACs are responsible for agents list to the Commerce A limited number of seats will be advising the Department of Commerce Commodity Control List (CCL). available for the public session. on the technical parameters for export 4. Selection of date for next meeting. Reservations are not accepted. To the controls and the administration of those The meeting will be open to the extent time permits, members of the controls within the following areas: public and a limited number of seats public may present oral statements to Information Systems TAC: Control List will be available. Reservations are not the PECSEA. Written statements may be Categories 3 (electronics), 4 (computers), accepted. To the extent that time submitted at any time before or after the and 5 (telecommunications and permits, members of the public may meeting. However, to facilitate information security); Materials TAC: present oral statements to the distribution of public presentation Control List Category 1 (materials, Committee. Written statements may be materials to PECSEA members, the chemicals, microorganisms, and toxins); submitted at any time before or after the PECSEA suggests that public Materials Processing Equipment TAC: meeting. However, to facilitate presentation materials or comments be Control List Category 2 (materials distribution of public presentation forwarded before the meeting to Ms.
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Yvette Springer at ACTION: Notice of initiation of Background [email protected]. antidumping and countervailing duty A Notice of Determination to close administrative reviews and request for The Department has received timely meetings, or portions of meetings, of the revocation in part. requests, in accordance with 19 CFR PECSEA to the pubic on the basis of 5 351.213(b)(2002), for administrative reviews of various antidumping and U.S.C. 552b(c) was approved on October SUMMARY: The Department of Commerce 8, 2003, in accordance with the Federal has received requests to conduct countervailing duty orders and findings Advisory Committee Act. administrative reviews of various with June anniversary dates. The For more information, call Ms. Department also received timely Springer on (202) 482–4814. antidumping and countervailing duty orders and findings with June requests to revoke in part the Dated: July 13, 2005. anniversary dates. In accordance with antidumping duty order on Tapered Matthew S. Borman, the Department’s regulations, we are Roller Bearings and Parts Thereof, Deputy Assistant Secretary for Export initiating those administrative reviews. Finished and Unfinished, from the Administration. The Department also received a request People’s Republic of China. [FR Doc. 05–14414 Filed 7–20–05; 8:45 am] to revoke one antidumping duty order Initiation of Reviews BILLING CODE 3510–JT–M in part. In accordance with section 19 CFR EFFECTIVE DATE: July 21, 2005. 351.221(c)(1)(i), we are initiating DEPARTMENT OF COMMERCE FOR FURTHER INFORMATION CONTACT: administrative reviews of the following International Trade Administration Holly Kuga, Office of AD/CVD antidumping and countervailing duty Operations, Import Administration, orders and findings. We intend to issue Initiation of Antidumping and International Trade Administration, the final results of these reviews not Countervailing Duty Administrative U.S. Department of Commerce, 14th later than June 30, 2006. Reviews and Request for Revocation Street and Constitution Avenue, NW., in Part Washington, DC 20230, telephone: (202) AGENCY: Import Administration, 482–4737. International Trade Administration, SUPPLEMENTARY INFORMATION: Department of Commerce.
Period to be reviewed
Antidumping duty proceedings Japan: Certain Large Diameter Carbon and Alloy Seamless Standard, Line and Pressure Pipe, A–588–850 ...... 06/01/04–05/31/05 JFE Stell Corporation Nippon Steel Corporation NKK Tubes Sumitomo Metal Industries, Ltd. Japan: Certain Hot-Rolled Carbon Steel Flat Products, A–588–846 ...... 06/01/04–05/31/05 Kawasaki Steel Corporation JFE Steel Corp. Taiwan: Carbon Steel Plate, A–583–080 ...... 06/01/04–05/31/05 China Steel Corporation Taiwan: Certain Stainless Steel Butt-Weld Pipe Fittings, A–583–816 ...... 06/01/04–05/31/05 Censor International Corporation Liang Feng Stainless Steel Fitting Co., Ltd. PFP Taiwan Co., Ltd. Ta Chen Stainless Steel Pipe Co., Ltd. Tru-Flow Industrial Co., Ltd. The People’s Republic of China: Folding Metal Tables and Chairs 1, A–570–868 ...... 06/01/04–05/31/05 Anji Jiu Zhou Machinery Co., Ltd. Feili Furniture Development Limited Quanzhou City Feili Furniture Development Co., Ltd. Feili Group (Fujian) Co., Ltd. Feili (Fujian) Co., Ltd. New-Tec Integration (Xiamen) Co., Ltd. Xiamen Zehui Industry Trade Co. Yixiang Blow Mold Yuyao Co., Ltd. Tapered Roller Bearings 2, A–570–601 ...... 06/01/04–05/31/05 Cina National Machinery Import & Export Corp. Chin Jun Industrial Ltd. Peer Bearing Company-Changshan Weihai Machinery Holding (Group) Company Ltd. Yantai Timken Company Limited Zhejiang Machinery Import & Export Corp. 1 If one of the above named companies does not qualify for a separate rate, all other exporters of folding metal tables and chairs from the Peo- ple’s Republic of China who have not qualified for a separate rate are deemed to be covered by this review as part of the single PRC entity of which the named exporter is a part. 2 If one of the above named companies does not qualify for a separate rate, all other exporters of tapered roller bearings from the People’s Republic of China who have not qualified for a separate rate are deemed to be covered by this review as part of the single PRC entity of which the named exporter is a part.
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Countervailing Duty Proceedings made at less than normal value. If these sales of the subject merchandise below None. preliminary results are adopted in our the cost of production and requested final results, we will instruct U.S. that the Department initiate a sales– Suspension Agreements Customs and Border Protection to below-cost investigation. On November None. liquidate entries of furfuryl alcohol from 12, 2004, IRCT submitted comments on During any administrative review Indorama Chemicals (Thailand) Ltd. the petitioner’s allegations. On covering all or part of a period falling without regard to antidumping duties. November 18, 2004, the petitioner between the first and second or third We invite interested parties to comment submitted rebuttal comments on IRCT’s and fourth anniversary of the on these preliminary results. We will original comments. publication of an antidumping duty issue the final results not later than 120 We issued a supplemental order under § 351.211 or a days from the date of publication of this questionnaire regarding IRCT’s determination under § 351.218(f)(4) to notice. responses to sections A, B, and C of the continue an order or suspended EFFECTIVE DATE: July 21, 2005. Department’s original questionnaire on December 8, 2004. On December 9, investigation (after sunset review), the FOR FURTHER INFORMATION CONTACT: 2004, the Department initiated a sales Secretary, if requested by a domestic Andrew Smith, Import Administration, below cost investigation of IRCT. See interested party within 30 days of the International Trade Administration, December 9, 2004, Memorandum from date of publication of the notice of U.S. Department of Commerce, 14th Team to Susan Kuhbach entitled initiation of the review, will determine, Street and Constitution Avenue, NW, consist with FAG Italia v. United States, ‘‘Allegation of Sales Below the Cost of Washington, DC 20230; telephone: (202) Production for Indorama Chemicals 291 F.3d 806 (Fed. Cir. 2002), as 482–1276. appropriate, whether antidumping (Thailand), Inc., ‘‘which is in the SUPPLEMENTARY INFORMATION: duties have been absorbed by an Department’s Central Records Unit, exporter or producer subject to the Background located in Room B–099 of the main review if the subject merchandise is Department building (‘‘CRU’’). We On July 25, 1995, the Department sold in the United States through an received a timely response from IRCT to published an antidumping duty order importer that is affiliated with such the Department’s December 8, 2004, on furfuryl alcohol from Thailand. See exporter or producer. The request must supplemental questionnaire on Furfuryl Alcohol from Thailand: Notice include the name(s) of the exporter or December 22, 2004. of Amended Final Antidumping Duty producer for which the inquiry is We received IRCT’s response to the Determination and Order, 60 FR 38035 requested. Department’s cost questionnaire on Interested parties must submit (July 25, 1995). On December 12, 2002, January 18, 2005. We issued an applications for disclosure under the Department published the final additional supplemental questionnaire administrative protective orders in results of the first administrative review on February 10, 2005. On February 14, accordance with 19 CFR 351.305. of the antidumping duty order on 2005, in accordance with section These initiations and this notice are furfuryl alcohol from Thailand. See 751(a)(3)(A) of the Tariff Act of 1930, as in accordance with section 751(a) of the Furfuryl Alcohol from Thailand: Notice amended (‘‘the Act’’), we published a Tariff Act of 1930, as amended (19 of Final Results of Antidumping notice extending the time limit for the U.S.C. 1675(a)), and 19 CFR Administrative Review, 67 FR 76380 completion of the preliminary results in 351.221(c)(1)(i). (December 12, 2002) (‘‘FA First this case by 31 days (i.e., until no later Review’’). Dated: July 15, 2005. than May 4, 2005). See 70 FR 7469. We On July 1, 2004, the Department received a timely response to the second Holly A. Kuga, published its Antidumping or supplemental questionnaire from IRCT Senior Office Director, AD/CVD Operations, Countervailing Duty Order, Finding, or on February 22, 2005. On March 17, Office 4 for Import Administration. Suspended Investigation; Opportunity 2005, the petitioner submitted [FR Doc. 05–14454 Filed 7–20–05; 8:45 am] to Request Administrative Review, 69 comments on IRCT’s response to the BILLING CODE 3510–DS–M FR 39903 (July 1, 2004). On July 29, Department’s second supplemental 2004, Penn Specialty Chemicals, Inc. questionnaire. On April 8, 2005, we (‘‘petitioner’’) requested that the DEPARTMENT OF COMMERCE issued a third supplemental Department conduct an administrative questionnaire to IRCT. On April 18, International Trade Administration review of Indorama Chemicals 2005, in accordance with section (Thailand), Ltd. (‘‘IRCT’’), a producer 751(a)(3)(A) of the Act, we published a [A–549–812] and exporter of furfuryl alcohol from notice extending the time limit for the Thailand. Furfuryl Alcohol from Thailand: completion of the preliminary results in In accordance with 19 CFR this case by 88 days (i.e., until no later Preliminary Results of Antidumping 351.221(b)(1), we published a notice of Duty Administrative Review than August 1, 2005). See 70 FR 20103. initiation of this antidumping duty On April 22, 2005, we received a timely AGENCY: Import Administration, administrative review on August 30, response from IRCT to the Department’s International Trade Administration, 2004. See Notice of Initiation of April 8, 2005, supplemental Department of Commerce. Antidumping and Countervailing Duty questionnaire. We issued a fourth SUMMARY: The Department of Commerce Administrative Reviews, 69 FR 52857 supplemental questionnaire to IRCT on is conducting an administrative review (August 30, 2004). The period of review June 6, 2005. We received a timely of the antidumping duty order on (‘‘POR’’) is July 1, 2003, through June response on the fourth supplemental furfuryl alcohol from Thailand. The 30, 2004. questionnaire from IRCT on June 14, period of review is July 1, 2003, through An antidumping duty questionnaire 2005. June 30, 2004. This review covers was sent to IRCT on September 10, imports of furfuryl alcohol from one 2004. We received a timely response Scope of the Order producer/exporter. from IRCT on October 17, 2004. On The merchandise covered by this We preliminarily determine that sales November 11, 2004, the petitioner order is furfuryl alcohol of subject merchandise have not been submitted an allegation that IRCT made (C4H3OCH2OH). Furfuryl alcohol is a
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primary alcohol, and is colorless or pale starting price for movement expenses in administrative expenses (‘‘G&A’’), yellow in appearance. It is used in the accordance with section 772(c)(2)(A) of interest expenses, and home market manufacture of resins and as a wetting the Act. These deductions included packing costs. We relied on the COP agent and solvent for coating resins, foreign inland freight, country of information provided by IRCT, except in nitrocellulose, cellulose acetate, and manufacture inland insurance, the following instances. other soluble dyes. brokerage and handling, international IRCT reported that it did not include The product subject to this order is freight, and marine insurance. in its calculated G&A the cost IRCT classifiable under subheading It is normally the Department’s incurred for the depreciation of certain 2932.13.00 of the Harmonized Tariff practice to confirm that the duty assets. It is the Department’s normal Schedule of the United States (HTSUS). drawback adjustment claimed by the practice to include the depreciation Although the HTSUS subheading is respondent meets the Department’s figure for assets in a company’s reported provided for convenience and customs two–pronged criteria for determining G&A expenses if these assets relate to purposes, our written description of the whether the duty drawback adjustment the general operations of the company. scope of this proceeding is dispositive. is appropriate. We have determined that Therefore, we have recalculated IRCT’s only one of the reported inputs used in reported G&A expenses to include these Fair Value Comparisons the production of furfuryl alcohol meets costs. See Prelim Calc Memo. To determine whether sales of the two–pronged criteria. Therefore, we 2. Test of Home Market Sales Prices furfuryl alcohol by IRCT to the United made an adjustment to the starting price On a product–specific basis, we States were made at less than normal for duty drawback to account for import compared the adjusted weighted– value (‘‘NV’’), we compared the export duties paid on the importation of a average COP to the home market sales price (‘‘EP’’) to NV, as described in the single input used in the production of of the foreign like product during the ‘‘Export Price’’ and ‘‘Normal Value’’ the subject merchandise. For an in– POR, as required under section 773(b) of sections of this notice, below. depth explanation of these changes, see the Act, in order to determine whether Pursuant to section 777A(d)(2) of the Memorandum from Case Analyst to File, the sales prices were below the COP. Act, we compared the EPs of individual ‘‘Preliminary Results Calculation The prices were exclusive of any U.S. transactions to the weighted– Memorandum for Indorama Chemicals applicable movement charges or average sales prices of the foreign like (Thailand) Ltd.,’’ (‘‘Prelim Calc Memo’’) indirect selling expenses. In product, where there were sales made in dated August 1, 2005, available in the determining whether to disregard home the ordinary course of trade, as Department’s CRU. market sales made at prices below the discussed in the ‘‘Normal Value’’ COP, we examined, in accordance with section of this notice. Normal Value sections 773(b)(1)(A) of the Act, whether such sales were made (1) within an Product Comparisons A. Home Market Viability In order to determine whether there extended period of time in substantial In accordance with section 771(16) of was a sufficient volume of sales in the quantities, and (2) at prices which did the Act, we considered all products home market to serve as a viable basis not permit the recovery of all costs produced by IRCT covered by the for calculating NV, we compared the within a reasonable period of time. description in the ‘‘Scope of the Order’’ volume of IRCT’s home market sales of 3. Results of the COP Test section, above, to be foreign like the foreign like product to the volume Pursuant to section 773(b)(1) of the products for purposes of determining of its U.S. sales of the subject Act, where less than 20 percent of the appropriate product comparisons to merchandise, in accordance with 19 respondent’s sales of a given product are U.S. sales. In making product CFR 351.404(b)(2) of the Department’s made at prices below the COP, we do comparisons, consistent with the Notice regulations. Because IRCT’s aggregate not disregard any below–cost sales of of Final Determination of Sales at Less volume of home market sales of the that product because we determine that Than Fair Value: Furfuryl Alcohol from foreign like product was greater than in such instances the below–cost sales Thailand: Final Determination of Sales five percent of its aggregate volume of were not made in ‘‘substantial at Less Than Fair Value, 60 FR 22557 U.S. sales for the subject merchandise, quantities.’’ Where 20 percent or more (May 8, 1995) and Furfuryl Alcohol from we determined that the home market of a respondent’s sales of a given Thailand: Notice of Amended Final was viable. product are at prices less than the COP, Antidumping Duty Determination and B. Cost of Production we determine that in such instances the Order, 60 FR 38035 (July 25, 1995) As discussed in the ‘‘Background’’ below cost sales represent ‘‘substantial (collectively ‘‘LTFV Final’’), we section above there were reasonable quantities’’ within an extended period matched foreign like products based on grounds to believe or suspect that IRCT of time in accordance with section the physical characteristics reported by made sales of the subject merchandise 773(b)(1)(A) of the Act. In such cases, IRCT. in its comparison market at prices below we also determine whether such sales Export Price the cost of production (‘‘COP’’), as are made at prices which would not provided by section 773(b)(2)(A)(ii) of permit recovery of all costs within a We calculated EP in accordance with the Act. Therefore, pursuant to section reasonable period of time, in accordance section 772(a) of the Act because the 773(b)(1) of the Act, we requested that with section 773(b)(1)(B) of the Act. merchandise was sold to the first IRCT respond to section D, the cost of We found that, for all products, less unaffiliated purchaser in the United production/constructed value section of than 20 percent of the comparison States prior to importation by the the questionnaire. market sales were at prices less than the exporter or producer outside the United We conducted the COP analysis as COP. Therefore, we did not disregard States and because constructed export described below: any home market sales in determining price methodology was not otherwise 1. Calculation of COP NV, in accordance with section warranted. We based EP on the packed In accordance with section 773(b)(3) 773(b)(1). delivered, freight–on-board, cash–in- of the Act, we calculated COP based on C. Level of Trade freight, or the delivery–duty paid price the sum of IRCT’s cost of materials and Section 773(a)(1)(B)(i) of the Act to unaffiliated purchasers in the United fabrication for the foreign like product, states that, to the extent practicable, the States. We made deductions from the plus amounts for general and Department will calculate NV based on
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sales at the same level of trade (‘‘LOT’’) services, warehouse/inventory Cash Deposit Rates as the EP. Sales are made at different maintenance, and warranty services The following deposit requirements LOTs if they are made at different varied with respect to the different will be effective upon completion of the marketing stages (or their equivalent). customer categories (i.e., distributors final results of this administrative See 19 CFR 351.412(c)(2). Substantial and end users). Based on our analysis, review for all shipments of furfuryl we found that the single level of trade differences in selling activities are a alcohol from Thailand entered, or in the United States is identical to the necessary, but not sufficient, condition withdrawn from warehouse, for single level of trade in the comparison for determining that there is a difference consumption on or after the publication market. Thus, we preliminarily find that in the stages of marketing. Id.; see also date of the final results of this a LOT adjustment for IRCT is not Notice of Final Determination of Sales administrative review, as provided by at Less Than Fair Value: Certain Cut–to- warranted. D. Calculation of Normal Value Based section 751(a)(1) of the Act: (1) the cash Length Carbon Steel Plate From South deposit rates for the reviewed company Africa, 62 FR 61731, 61732 (November on Comparison Market Prices We calculated NV based on the will be the rate established in the final 19, 1997). In order to determine whether results of this administrative review the comparison sales were at different delivered prices to unaffiliated customers or prices to affiliated (except no cash deposit will be required stages in the marketing process than the if its weighted–average margin is de U.S. sales, we reviewed the distribution customers that we determined to be at arm’s length. In accordance with section minimis, i.e., less than 0.5 percent); (2) system in each market (i.e., the ‘‘chain for previously reviewed or investigated of distribution’’),1 including selling 773(a)(6)(B)(ii) of the Act, we made 2 deductions for inland freight and inland companies not covered in this review, functions, class of customer (‘‘customer the cash deposit rate will continue to be category’’), and the level of selling insurance. Furthermore, where appropriate, we the company–specific rate published for expenses for each sale. the most recent period; (3) if the Pursuant to section 773(a)(1)(B)(i) of made adjustments for differences in exporter is not a firm covered in this the Act, in identifying levels of trade for circumstances of sale (‘‘COS’’) in review, a prior review, or the original EP and comparison market sales, we accordance with section 773(a)(6)(C)(iii) investigation, but the manufacturer is, consider the starting prices before any of the Act and 19 CFR 351.410 by the cash deposit rate will be the rate adjustments. See Micron Technology, deducting direct selling expenses established for the most recent period Inc. v. United States, et. al., 243 F. 3d incurred on comparison market sales for the manufacturer of the 1301, 1314–1315 (Fed. Cir. 2001) (credit expenses), and adding U.S. direct merchandise; and (4) if neither the (affirming this methodology). selling expenses (credit expenses). We When the Department is unable to deducted home market packing costs exporter nor the manufacturer is a firm match U.S. EP sales to sales of the and added U.S. packing costs in covered in this review, any prior review, foreign like product in the comparison accordance with section 773(a)(6)(A) or the original less than fair value market at the same LOT as the EP, the and (B) of the Act. investigation, the cash deposit rate will be 7.82 percent, the ‘‘all others’’ rate Department may compare the U.S. sale Preliminary Results of the Review to sales at a different LOT in the established in the LTFV Final. We preliminarily find that the comparison market. In comparing EP following dumping margin exists for the Public Comment sales to a different LOT in the period July 1, 2003, through June 30, Any interested party may request a comparison market, where available 2004. hearing within 30 days of publication of data make it practical, we make a LOT this notice. A hearing, if requested, will adjustment under section 773(a)(7)(A) of Manufacturer/Exporter Margin be 37 days after the publication of this the Act. notice, or the first business day IRCT reported one level of trade in the Indorama Chemicals (Thailand) Ltd. 0.00 thereafter. Issues raised in the hearing home market and one level of trade in will be limited to those raised in the the U.S. market. IRCT reported making Assessment Rates case and rebuttal briefs. Interested sales only to end–users in the home Upon completion of this parties may submit case briefs within 30 market. In the United States, IRCT administrative review, the Department days of the date of publication of this reported that it made sales to a trading will determine, and U.S. Customs and notice. Rebuttal briefs, which must be company. We examined the information Border Protection (‘‘CBP’’) shall assess, limited to issues raised in the case IRCT reported regarding its marketing antidumping duties on all appropriate briefs, may be filed not later than 35 process for making the reported entries. Pursuant to 19 CFR 351.212(b), days after the date of publication of this comparison market and U.S. sales, the Department calculates an notice. Parties who submit case briefs or including the type and level of selling assessment rate for each importer (or rebuttal briefs in this proceeding are activities performed and customer customer) of the subject merchandise. requested to submit with each argument categories. Specifically, we considered Upon issuance of the final results of this (1) a statement of the issue and (2) a the extent to which sales process, freight administrative review, if any importer brief summary of the argument with an (or customer)-specific assessment rates 1 The marketing process in the United States and electronic version included. comparison market begins with the producer and calculated in the final results are above The Department will issue the final extends to the sale to the final user or consumer. de minimis (i.e., at or above 0.5 percent), results of this administrative review, The chain of distribution between the two may have the Department will issue appraisement including the results of its analysis of many or few links, and the respondent’s sales occur instructions directly to CBP to assess somewhere along this chain. issues raised in any such written briefs 2 Selling functions associated with a particular antidumping duties on appropriate or hearing, within 120 days of chain of distribution help us to evaluate the level(s) entries. publication of these preliminary results. of trade in a particular market. For purposes of The Department will issue these preliminary results, we have organized the appropriate assessment instructions Notification to Importers common selling functions into four major directly to CBP within 15 days of categories: sales process and marketing support, This notice also serves as a freight and delivery, inventory and warehousing, publication of the final results of this preliminary reminder to importers of and quality assurance/warranty services. review. their responsibility under 19 CFR
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351.402(f) to file a certificate regarding Determination of Sales at Less Than requests for review and because the the reimbursement of antidumping Fair Value and Antidumping Duty Department has not yet committed duties prior to liquidation of the Order; Honey from the People’s substantial resources to reviewing relevant entries during this review Republic of China, 66 FR 63670 Wuhan Bee. Further, both parties stated period. Failure to comply with this (December 10, 2001). On December 1, that the Department may rescind a requirement could result in the 2004, the Department published a review after the 90–day deadline, Secretary’s presumption that Notice of Opportunity to Request an according to its regulations, when it reimbursement of antidumping duties Administrative Review of Antidumping determines it is reasonable. Respondent occurred and the subsequent assessment or Countervailing Duty Order, Finding, further noted that there are no other of double antidumping duties. or Suspended Investigation, 69 FR Wuhan Bee importers or other We are issuing and publishing these 69889. On December 30, 2004, the interested parties that could pose any results in accordance with sections American Honey Producers Association valid objection to the rescission of the 751(a)(1) and 777(i)(1) of the Act. and the Sioux Honey Association review. (collectively, petitioners), requested, in Dated: July 15, 2005. Rescission of Review accordance with section 351.213(b) of Susan Kuhbach, the Department’s regulations, an The applicable regulation, 19 CFR Acting Assistant Secretary for Import administrative review of the 351.213(d)(1), states that if a party that Administration. antidumping duty order on honey from requested an administrative review [FR Doc. E5–3905 Filed 7–20–05; 8:45 am] the PRC for 19 companies covering the withdraws the request within 90 days of BILLING CODE 3510–DS–S period December 1, 2003, through the publication of the notice of November 30, 2004. On December 30, initiation of the requested review, the 2004, and January 3, 2005, nine Chinese Secretary will rescind the review. It DEPARTMENT OF COMMERCE companies requested an administrative further states that the Secretary may extend this time limit if the Secretary International Trade Administration review of their respective companies. The Department notes that petitioners’ finds it reasonable to do so. Although [A–570–863] request covered these nine companies as petitioners and respondent withdrew well. their review requests with respect to Honey from the People’s Republic of On January 31, 2005, the Department Wuhan Bee after the 90–day deadline, China: Notice of Partial Rescission of initiated an administrative review of 19 the Department finds it reasonable to Antidumping Duty Administrative Chinese companies. See Initiation of extend the deadline for parties to Review Antidumping and Countervailing Duty withdraw their request for review with AGENCY: Import Administration, Administrative Reviews and Request for respect to Wuhan Bee in accordance International Trade Administration, Revocation in Part, 70 FR 4818 (January with 19 CFR 351.213(d)(1). The Department of Commerce. 31, 2005). On March 29, 2005, the Department finds it reasonable to extend SUMMARY: On January 31, 2005, the Department rescinded this review with the withdrawal deadline with respect to Department of Commerce (the respect to seven companies because Wuhan Bee because the Department has Department) published in the Federal petitioners, the only party to request a not yet committed substantial resources Register (70 FR 4818) a notice review for these companies, withdrew to reviewing Wuhan Bee in the instant announcing the initiation of the their request for review. See Notice of review and because both parties who administrative review of the Partial Rescission of Antidumping Duty requested the review have subsequently antidumping duty order on honey from Administrative Review: Honey from the withdrawn their requests. Therefore, we the People’s Republic of China (PRC). People’s Republic of China, 70 FR 15836 are partially rescinding this review of The period of review (POR) is December (March 29, 2005). the antidumping duty order on honey On May 25, 2005, the Department 1, 2003, to November 30, 2004. On June from the PRC covering the period rescinded this review with respect to 22, 2005, petitioners and Wuhan Bee December 1, 2003, through November Anhui Native Produce Import and Healthy Co., Ltd. (Wuhan Bee) 30, 2004, with respect to Wuhan Bee. Export Corp. and Inner Mongolia withdrew their requests for an Autonomous Region Native Produce Assessment administrative review of Wuhan Bee. and Animal By–Products Import and The Department will instruct U.S. This review is now being rescinded for Export Corporation because petitioners, Customs and Border Protection (‘‘CBP’’) Wuhan Bee. the only party to request a review for to assess antidumping duties on all EFFECTIVE DATE: July 21, 2005. these companies, withdrew their request appropriate entries. For those FOR FURTHER INFORMATION CONTACT: for review. See Honey from the People’s companies for which this review is Anya Naschak or Kristina Boughton, Republic of China: Notice of Partial rescinded, antidumping duties shall be AD/CVD Operations, Office 9, Import Rescission of Antidumping Duty assessed at rates equal to the cash Administration, International Trade Administrative Review, 70 FR 30082 deposit of estimated antidumping duties Administration, U.S. Department of (May 25, 2005). required at the time of entry, or Commerce, 14th Street and Constitution On June 22, 2005, petitioners filed a withdrawal from warehouse, for Avenue, NW, Washington, DC 20230; letter withdrawing their request for consumption, in accordance with 19 telephone; (202) 482–6375 and (202) review of Wuhan Bee (respondent), and CFR 351.212(c)(1)(i). The Department 482–8173, respectively. on the same day, respondent also filed will issue appropriate assessment SUPPLEMENTARY INFORMATION: a letter withdrawing its request for an instructions directly to CBP within 15 administrative review. Both parties days of publication of this notice. Background originally requested a review of Wuhan On December 10, 2001, the Bee and both parties requested that the Notification of Interested Parties Department of Commerce published in Department withdraw the review This notice serves as a final reminder the Federal Register an antidumping despite the request coming after the 90– to importers of their responsibility duty order covering honey from the day withdrawal period because both under 19 CFR 351.402(f)(2) to file a PRC. See Notice of Amended Final parties have withdrawn their original certificate regarding the reimbursement
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of antidumping duties prior to Notice of Amended Final Determination Antidumping Duty Administrative liquidation of the relevant entries of Sales at Less Than Fair Value and Review, 70 FR 30082 (May 25, 2005). during this review period. Failure to Antidumping Duty Order; Honey from On June 20, 2005, petitioners comply with this requirement could the People’s Republic of China, 66 FR requested that the Department extend result in the Secretary’s presumption 63670 (December 10, 2001). On the date for the issuance of the that reimbursement of the antidumping December 1, 2004, the Department preliminary results in this proceeding published a Notice of Opportunity to duties occurred and the subsequent from 245 days to 365 days, due to the Request an Administrative Review of assessment of double antidumping large number of companies in the duties. Antidumping or Countervailing Duty proceeding, complex issues of affiliation This notice also serves as a reminder Order, Finding, or Suspended for several companies under review, and to parties subject to administrative Investigation, 69 FR 69889. On protective orders (‘‘APOs’’) of their December 30, 2004, the American the difficulty in finding up–to-date responsibility concerning the return or Honey Producers Association and the factor valuation data, particularly for destruction of proprietary information Sioux Honey Association (collectively, raw honey. disclosed under APO in accordance petitioners), requested, in accordance Extension of Time Limits for with 19 CFR 351.305, which continues with section 351.213(b) of the Preliminary Results to govern business proprietary Department’s regulations, an information in this segment of the administrative review of the Pursuant to Section 751(a)(3)(A) of the proceeding. Timely written notification antidumping duty order on honey from Tariff Act of 1930, as amended (the Act), of the return/destruction of APO the PRC for 19 companies1 covering the and section 351.213(h)(1) of the materials or conversion to judicial period December 1, 2003, through Department’s regulations, the protective order is hereby requested. November 30, 2004. On December 30, Department shall issue the preliminary Failure to comply with the regulations 2004, and January 3, 2005, nine Chinese results of an administrative review and terms of an APO is a violation that companies requested an administrative within 245 days after the last day of the is subject to sanction. review of their respective companies. anniversary month of the date of This notice is issued and published in The Department notes that petitioners’ publication of the order. The Act further accordance with sections 751 and 777(i) request covered these nine companies as provides that the Department shall issue of the Act and 19 CFR 351.213(d)(4). well. the final results of review within 120 On January 31, 2005, the Department Dated: July 14, 2005. days after the date on which the notice initiated an administrative review of 19 of the preliminary results was published Susan H. Kuhbach, Chinese companies. See Initiation of Acting Deputy Assistant Secretary for Import in the Federal Register. However, if the Antidumping and Countervailing Duty Department determines that it is not Administration. Administrative Reviews and Request for [FR Doc. E5–3909 Filed 7–20–05; 8:45 am] practicable to complete the review Revocation in Part, 70 FR 4818 (January within this time period, section BILLING CODE 3510–DS–S 31, 2005). On March 29, 2005, the 751(a)(3)(A) of the Act and section Department rescinded this review with 351.213(h)(2) of the Department’s respect to seven companies because DEPARTMENT OF COMMERCE regulations allow the Department to petitioners, the only party to have extend the 245–day period to 365 days requested a review for these companies, International Trade Administration and the 120–day period to 180 days. withdrew their request. See Notice of [A–570–863] Partial Rescission of Antidumping Duty The preliminary results of this Administrative Review: Honey from the administrative review are currently due Honey from the People’s Republic of People’s Republic of China, 70 FR 15836 no later than September 2, 2005. The China: Notice of Extension of Time (March 29, 2005). Department finds that it is not Limit for Preliminary Results of On April 28, 2005, petitioners practicable to complete the preliminary Antidumping Duty Administrative withdrew their request for review of results of this administrative review Review Anhui Native Produce Import and within this time limit because it needs AGENCY: Import Administration, Export Corp. (Anhui Native) and on additional time to analyze the International Trade Administration, April 29, 2005, petitioners withdrew questionnaire responses, issue Department of Commerce. their request for review of Inner appropriate supplemental EFFECTIVE DATE: July 21, 2005. Mongolia Autonomous Region Native questionnaires and conduct Produce and Animal By–Products verifications, and research surrogate FOR FURTHER INFORMATION CONTACT: Import and Export Corporation (Inner value data, particularly for raw honey. Anya Naschak or Kristina Boughton, Mongolia). On May 25, 2005, the Therefore, in accordance with section AD/CVD Operations, Office 9, Import Department rescinded this review with 751(a)(3)(A) of the Act and section Administration, International Trade respect to Anhui Native and Inner Administration, U.S. Department of 351.213(h)(2) of the Department’s Mongolia, because petitioners, the only regulations, the Department is extending Commerce, 14th Street and Constitution party to request a review of these two Avenue, NW, Washington, DC 20230; the time limit for the completion of companies, withdrew their request. See these preliminary results until no later telephone; (202) 482–6375 and (202) Honey from the People’s Republic of 482–8173, respectively. than December 9, 2005, or 98 days. The China: Notice of Partial Rescission of deadline for the final results of the SUPPLEMENTARY INFORMATION: administrative review continues to be Background 1 Among these 19 companies are ‘‘Inner Mongolia 120 days after the date the publication Autonomous Region Native Produce and Animal On December 10, 2001, the By-Products Import & Export Corp.,’’ and ‘‘Inner of the preliminary results, unless Department of Commerce (the Mongolia Autonomous Region Native Produce and extended. Animal By-Products.’’ These two names refer to the This notice is issued and published in Department) published in the Federal same company and the review is, therefore, being Register an antidumping duty order rescinded with respect to both iterations of the accordance with section 751(a)(3)(A) of covering honey from the PRC. See name. the Act.
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Dated: July 14, 2005. Fair Value and Antidumping Duty preliminary results until no later than Susan H. Kuhbach, Order: Certain Preserved Mushrooms July 14, 2005 (70 FR 14444). from the People’s Republic of China, 64 Acting Deputy Assistant Secretary for Import Scope of the Order Administration. FR 8308 (February 19, 1999). The [FR Doc. E5–3910 Filed 7–20–05; 8:45 am] Department received a timely request The products covered by this order BILLING CODE 3510–DS–S from Blue Field (Sichuan) Food are certain preserved mushrooms Industrial Co., Ltd. (‘‘Blue Field’’), in whether imported whole, sliced, diced, accordance with 19 CFR 351.214(b) and or as stems and pieces. The preserved DEPARTMENT OF COMMERCE (c), for a new shipper review of the mushrooms covered under this order are antidumping duty order on certain the species Agaricus bisporus and International Trade Administration preserved mushrooms from the PRC, Agaricus bitorquis. ‘‘Preserved [A–570–851] which has a February annual mushrooms’’ refer to mushrooms that anniversary month and an August semi– have been prepared or preserved by Certain Preserved Mushrooms from annual anniversary month. On cleaning, blanching, and sometimes the People’s Republic of China: September 24, 2004, the Department slicing or cutting. These mushrooms are Preliminary Results of the Eighth New found that Blue Field’s request for then packed and heated in containers Shipper Review review appeared to satisfy the including, but not limited to, cans or requirements of 19 CFR 351.214(b) and glass jars in a suitable liquid medium, AGENCY: Import Administration, initiated the new shipper antidumping including, but not limited to, water, International Trade Administration, duty review. See Certain Preserved brine, butter or butter sauce. Preserved Department of Commerce. Mushrooms from the People’s Republic mushrooms may be imported whole, SUMMARY: The Department of Commerce of China: Initiation of Eighth New sliced, diced, or as stems and pieces. (‘‘the Department’’) is currently Shipper Antidumping Duty Review, 69 Included within the scope of this order conducting the eighth new shipper FR 57264 (September 24, 2004). On are ‘‘brined’’ mushrooms, which are review of the antidumping duty order September 30, 2004 the Department pre–salted and packed in a heavy salt on certain preserved mushrooms from provided the parties an opportunity to solution to provisionally preserve them the People’s Republic of China (‘‘PRC’’) submit publicly available information for further processing. covering the period February 1, 2004, for consideration in the preliminary through July 31, 2004. This review results. Excluded from the scope of this order covers one exporter. On October 1, 2004, the Department are the following: (1) all other species of Pursuant to section 751(a)(2)(B) of the requested from CBP copies of all mushrooms, including straw Tariff Act of 1930 (‘‘the Act’’), we have customs documents pertaining to the mushrooms; (2) all fresh and chilled preliminarily determined that sales have entry of certain preserved mushrooms mushrooms, including ‘‘refrigerated’’ or not been made at less than normal value from the PRC exported by the ‘‘quick blanched mushrooms’’; (3) dried (‘‘NV’’) with respect to the exporter who respondent during the period of mushrooms; (4) frozen mushrooms; and participated in this review. If the February 1, 2004, through July 31, 2004. (5) ‘‘marinated,’’ ‘‘acidified,’’ or preliminary results are adopted in our See Memorandum from James C. Doyle, ‘‘pickled’’ mushrooms, which are final results of this review, we will Director, Office 9, to William R. Scopa prepared or preserved by means of instruct U.S. Customs and Border of CBP, dated October 1, 2004. We vinegar or acetic acid, but may contain Protection (‘‘CBP’’) to not assess issued the original questionnaire to Blue oil or other additives.1 antidumping duties on entries of Field in September 2004. Responses to The merchandise subject to this order merchandise subject to this review. the questionnaire were received in is currently classifiable under Interested parties are invited to October 2004. We issued supplemental subheadings: 2003.10.0127, comment on the preliminary results. We questionnaires to Blue Field and an 2003.10.0131, 2003.10.0137, will issue the final results no later than importer–specific questionnaire to Blue 2003.10.0143, 2003.10.0147, 90 days from the date of publication of Field’s U.S. importer in December 2004. 2003.10.0153 and 0711.51.0000 of the this notice. We received responses to the Harmonized Tariff Schedule of the EFFECTIVE DATE: July 21, 2005. questionnaires in December 2004 and United States (‘‘HTSUS’’). Although the January 2005. FOR FURTHER INFORMATION CONTACT: HTSUS subheadings are provided for From January 10 through January 14, convenience and customs purposes, the Amber Musser or Stephen F. 2005, the Department conducted Berlinguette, AD/CVD Operations, written description of the scope of this verification of the information order is dispositive. Office 9, Import Administration, submitted by Blue Field in accordance International Trade Administration, with 782(i) of the Act and 19 CFR Period of Review U.S. Department of Commerce, 14th 351.307. On February 8, 2005, we issued Street and Constitution Avenue, NW, The period of review (‘‘POR’’) covers the verification report for Blue Field. February 1, 2004, through July 31, 2004. Washington, DC 20230; telephone: (202) See Memorandum to the File from 482–1777 and (202) 482–3740, Amber Musser and Steve Winkates respectively. 1 On June 19, 2000, the Department affirmed that through Brian C. Smith, Re: Verification ‘‘marinated,’’ ‘‘acidified,’’ or ‘‘pickled’’ mushrooms SUPPLEMENTARY INFORMATION: of the Response of Blue Field (Sichuan) containing less than 0.5 percent acetic acid are Food Industrial Co., Ltd. in the Eighth within the scope of the antidumping duty order. Background Antidumping Duty New Shipper Review See ‘‘Recommendation Memorandum-Final Ruling of Request by Tak Fat, et al. for Exclusion of Certain On February 19, 1999, the Department of Certain Preserved Mushrooms from Marinated, Acidified Mushrooms from the Scope of published in the Federal Register an the People’s Republic of China, dated the Antidumping Duty Order on Certain Preserved amended final determination and February 8, 2005 (‘‘Blue Field Mushrooms from the People’s Republic of China,’’ antidumping duty order on certain verification report’’). dated June 19, 2000. The Department’s scope determination was affirmed by the Court of Appeals preserved mushrooms from the PRC. On March 22, 2005, the Department for the Federal Circuit in Tak Fat Trading See Notice of Amendment of Final published in the Federal Register a Company, et. al. v. United States, et. al., 396 F.3d Determination of Sales at Less Than notice of postponement of the 1378 (Fed. Cir., 2005).
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Verification rates in NME cases only if the with these laws. For further As provided in section 782(i) of the respondent can demonstrate the absence information, see the Blue Field Act, as amended, we verified of both de jure and de facto verification report. Therefore, we information provided by Blue Field. We governmental control over export preliminarily determine that there is an used standard verification procedures, activities. absence of de jure control over the including on–site inspection of Blue 1. De Jure Control respondent’s export activities. Field’s facility and examination of Evidence supporting, though not 2. De Facto Control relevant sales and financial records. Our requiring, a finding of de jure absence verification results are outlined in the of government control over exporter As stated in previous cases, there is Blue Field verification report. activities includes: (1) an absence of some evidence that certain enactments New Shipper Status restrictive stipulations associated with of the PRC central government have not the individual exporter’s business and been implemented uniformly among Consistent with our practice, we export licenses; (2) any legislative different sectors and/or jurisdictions in investigated the bona fide nature of the enactments decentralizing control of the PRC. See Silicon Carbide, 59 FR at two sales made by Blue Field for this companies; and (3) any other formal 22587, and Furfuryl Alcohol, 60 FR at new shipper review. We found no measures by the government 22544. Therefore, the Department has evidence that the sales in question were decentralizing control of companies. determined that an analysis of de facto not bona fide sales. Based on our In prior cases involving products from control is critical in determining investigation into the bona fide nature the PRC, the Department has examined whether the respondents are, in fact, of the sales, the questionnaire responses the following PRC laws for purposes of subject to a degree of governmental submitted by the company, and our determining whether there is an absence control which would preclude the verification thereof, we preliminarily of de jure control with respect to a Department from assigning separate determine that the respondent has met respondent’s export functions: the 1994 rates. the requirements to qualify as a new ‘‘Foreign Trade Law of the People’s The Department typically considers shipper during the POR, and that it was Republic of China;’’ the ‘‘Company Law not affiliated with any exporter or of the PRC,’’ effective as of July 1, 1994; four factors in evaluating whether each producer that had previously shipped and ‘‘The Enterprise Legal Person respondent is subject to de facto subject merchandise to the United Registration Administrative governmental control of its export States. Therefore, for purposes of these Regulations,’’ promulgated on June 13, functions: (1) whether the export prices preliminary results of the review, we are 1988. See July 22, 2004, Memorandum are set by, or subject to the approval of, treating the respondent’s sales of certain to the File, which places the above– a governmental authority; (2) whether preserved mushrooms to the United referenced laws on the record of this the respondent has authority to States as an appropriate transaction for proceeding segment. negotiate and sign contracts and other this new shipper review. As in prior cases, we have analyzed agreements; (3) whether the respondent these laws and have found them to has autonomy from the government in Separate Rates establish sufficiently an absence of de making decisions regarding the In proceedings involving non–market- jure control of limited liability selection of management; and (4) economy (‘‘NME’’) countries, the companies absent proof on the record to whether the respondent retains the Department begins with a rebuttable the contrary. See, e.g., Final proceeds of its export sales and makes presumption that all companies within Determination of Sales at Less than Fair independent decisions regarding the the country are subject to government Value: Furfuryl Alcohol from the disposition of profits or financing of control and thus should be assessed a People’s Republic of China, 60 FR 22544 losses. See Silicon Carbide, 59 FR at single antidumping duty rate (i.e., a (May 8, 1995) (‘‘Furfuryl Alcohol’’), and 22587 and Furfuryl Alcohol, 60 FR at PRC–wide rate). Preliminary Determination of Sales at 22545. Blue Field is a limited liability Less Than Fair Value: Certain Partial– Blue Field has asserted the following: company registered in the PRC. Thus, a Extension Steel Drawer Slides with (1) it establishes its own export prices; separate–rates analysis is necessary to Rollers from the People’s Republic of (2) it negotiates contracts without determine whether the export activities China, 60 FR 29571 (June 5, 1995). of this respondent are independent from The respondent has placed on the guidance from any governmental government control. See Notice of Final record a number of documents to entities or organizations; (3) it makes its Determination of Sales at Less Than demonstrate absence of de jure control, own personnel decisions; and (4) it Fair Value: Bicycles From the People’s including the Foreign Trade Law of the retains the proceeds of its export sales, Republic of China, 61 FR 56570 (April People’s Republic of China (May 12, uses profits according to its business 30, 1996). To establish whether a firm 1994) and the Administrative needs, and has the authority to sell its is sufficiently independent in its export Regulations of the People’s Republic of assets and to obtain loans. We examined activities from government control to be China Governing the Registration of documentation at verification which entitled to a separate rate, the Legal Corporations (June 3, 1988). The substantiated Blue Field’s claims as Department utilizes a test arising from Department has analyzed such PRC laws noted above. See the Blue Field the Final Determination of Sales at Less and found that they establish an absence verification report, pages 3–11. As a Than Fair Value: Sparklers from the of de jure control. See, e.g., Preliminary result, there is a sufficient basis to People’s Republic of China, 56 FR 20588 Results of New Shipper Review: Certain determine preliminarily that this (May 6, 1991), and amplified in the Preserved Mushrooms From the People’s respondent has demonstrated a de facto Final Determination of Sales at Less Republic of China, 66 FR 30695, 30696 absence of government control of its Than Fair Value: Silicon Carbide from (June 7, 2001). At verification, we found export functions and is entitled to a the People’s Republic of China, 59 FR that the respondent’s business license separate rate. Consequently, we have 22585 (May 2, 1994) (‘‘Silicon and Certificate of Approval for preliminarily determined that Blue Carbide’’). Under the separate–rates enterprises with foreign trade rights in Field has met the criteria for the criteria, the Department assigns separate the PRC were granted in accordance application of separate rates.
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Normal Value Comparisons People’s Republic of China: Preliminary with the POR and quoted in a foreign To determine whether Blue Field’s Results 2001–2002 Administrative currency or in U.S. dollars, we adjusted two sales of subject merchandise to the Review and Partial Rescission of for inflation using wholesale price United States were made at prices below Review, 68 FR 7500 (February 14, 2003). indices (‘‘WPIs’’) published in the NV, we compared the export prices to None of the parties to this review has International Monetary Fund’s NV, as described in the ‘‘Export Price’’ contested such treatment. Accordingly, International Financial Statistics and ‘‘Normal Value’’ sections of this we calculated NV in accordance with (‘‘IFS’’). See Memorandum Re: Factors notice, below. section 773(c) of the Act, which applies Valuation For the Preliminary Results, to NME countries. from Stephen F. Berlinguette, Export Price B. Surrogate Country International Trade Compliance Analyst We used export price (‘‘EP’’) to James C. Doyle, Director, Office 9, methodology in accordance with section Section 773(c)(4) of the Act requires dated July 14, 2005, for a detailed 772(a) of the Act because the subject the Department to value an NME explanation of the methodology used to merchandise was first sold prior to producer’s factors of production, to the calculate surrogate values. importation by the exporter outside the extent possible, in one or more market– Except where specified below, we United States directly to an unaffiliated economy countries that (1) are at a level valued raw material inputs using the purchaser in the United States, and of economic development comparable to weighted–average unit import values constructed export price was not that of the NME country, and (2) are from the POR derived from the World otherwise indicated. significant producers of comparable Trade Atlas Trade Information System We calculated EP based on the packed merchandise. India was among the (Internet Version 4.3e) (‘‘World Trade FOB China port price to the first countries comparable to the PRC in Atlas’’). The source of these values was unaffiliated purchaser in the United terms of overall economic development. the Directorate General of Commercial See Surrogate Country Request States. Where appropriate, we made Intelligence and Statistics of the Indian Memorandum, dated September 28, deductions from the starting price (gross Ministry of Commerce and Industry. 2004. In addition, based on publicly unit price) for foreign inland freight and Below is a listing of surrogate values available information placed on the foreign brokerage and handling charges that utilized sources other than POR– record (e.g., world production data), in the PRC in accordance with section contemporaneous World Trade Atlas India is a significant producer of the 772(c) of the Act. Because foreign inland data. subject merchandise. Accordingly, we freight and foreign brokerage and Blue Field produced (rather than handling fees were provided by PRC considered India the surrogate country for purposes of valuing the factors of purchased) the fresh mushrooms which service providers or paid for in it used in the mushroom canning renminbi, we based those charges on production because it meets the Department’s criteria for surrogate– process during the POR. Therefore, we surrogate rates from India (see valued the inputs which this company ‘‘Surrogate Country’’ section below for country selection. See Memorandum Re: Seventh Antidumping Duty New used to produce the fresh mushrooms further discussion of our surrogate– which were canned during the POR. To country selection). Shipper Review on Certain Preserved Mushrooms from the People’s Republic value spawn, we used an average price To value foreign inland trucking based on data contained in the 2003– charges, we used truck freight distances of China: Selection of a Surrogate Country, dated September 28, 2004. 2004 financial reports of Agro Dutch and rates published by the Indian Foods, Ltd. (‘‘Agro Dutch’’), Flex Foods Freight Exchange obtained from the C. Factors of Production Ltd. (‘‘Flex Foods’’) and Premier following website: http:// In accordance with section 773(c) of Explosives, Ltd. (‘‘Premier Explosives’’) www.infreight.com. To value foreign the Act, we calculated NV based on the (i.e., three Indian producers of the inland train freight charges, we used factors of production which included, subject merchandise). To value cow data contained in the July 2001 Reserve but were not limited to: (A) hours of manure, we averaged data contained in Bank of India Bulletin. To value foreign labor required; (B) quantities of raw the above–referenced Flex Foods and brokerage and handling expenses, we materials employed; (C) amounts of Agro Dutch financial reports. To value relied on October 1999–September 2000 energy and other utilities consumed; rice straw, we used data from the 2003– information reported in the public U.S. and (D) representative capital costs, 2004 Premier Explosives financial sales listing submitted by Essar Steel including depreciation. We used the report. For soil, we used 2003–2004 Ltd. in the antidumping investigation of factors reported by Blue Field which price information obtained from a Certain Hot–Rolled Carbon Steel Flat produced the preserved mushrooms it project report issued in December 2004 Products from India: Final exported to the United States during the by India’s National Bank for Agriculture Determination of Sales at Less Than POR. To calculate NV, we multiplied and Rural Development entitled Fair Value, 67 FR 50406 (October 3, the reported unit factor quantities by Integrated Project on Production and 2001). publicly available Indian values. Processing of Button Mushrooms for Normal Value Based on our verification findings, we Export, available online at: http:// revised the per–unit factor reported for www.nabard.org/roles/ms/ap/ A. Non–Market-Economy Status soil and the reported inland freight mushroom.htm. In every case conducted by the distances reported in Blue Field’s Blue Field produced all of the cans Department involving the PRC, the PRC responses. See Blue Field verification which it used to sell preserved has been treated as an NME country. report at pages 14 and 16. mushrooms to the U.S. market during Pursuant to section 771(18)(C)(i) of the The Department’s selection of the the POR. Therefore, for can–making Act, any determination that a foreign surrogate values applied in this materials, we valued tin plate using country is an NME country shall remain determination was based on the quality, January 2002–December 2002 average in effect until revoked by the specificity, and contemporaneity of the Indian import values from World Trade administering authority. See Tapered data. As appropriate, we adjusted input Atlas, and we valued copper conducting Roller Bearings and Parts Thereof, prices to make them delivered prices. wire using January 2003–December Finished and Unfinished, From the For those values not contemporaneous 2003 average Indian import values from
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World Trade Atlas, as its useable form expenses, and profit, we used the 2003– The Department will issue the final is consumed in the production of cans. 2004 financial reports of Agro Dutch results of the review, including the Because there is insufficient evidence and Flex Foods, both Indian producers results of its analysis of issues raised in on the record to account for the factors of the subject merchandise. any such written briefs or at the hearing, involved in recovering the resulting In accordance with the decision of the if held, not later than 90 days after the scrap, we did not apply a scrap offset. Court of Appeals for the Federal Circuit date of issuance of the preliminary Parties requesting a byproduct offset in Sigma Corp. v. United States, 117 F. results. have the burden of presenting to the 3d 1401 (Fed. Cir. 1997), we revised our Assessment Rates Department not only evidence that the methodology for calculating source–to- generated byproduct is sold or re–used factory surrogate freight for those Upon issuing the final results of the in the production of the subject material inputs that are valued, based review, the Department shall determine, merchandise, but also all the all or in part, on CIF import values in and CBP shall assess and liquidate, information necessary for the the surrogate country. Therefore, we antidumping duties on all appropriate Department to incorporate such offsets have added to CIF surrogate values from entries. The Department will issue into the margin calculation. In this India a surrogate freight cost using the appropriate appraisement instructions instance, however, Blue Field did not shorter of the reported distances from for the company subject to this review provide evidence that post–production either the closest PRC port of directly to CBP within 15 days of copper wire scrap was sold or re–used. importation to the factory, or from the publication of the final results of this Moreover, Blue Field did not provide domestic supplier to the factory on an review. Pursuant to 19 CFR either the complete set of factors input–specific basis. 351.212(b)(1), we will calculate necessary for the reworking of the scrap importer–specific ad valorem duty copper wire into a useable form, nor did Preliminary Results of the Review assessment rates based on the ratio of it provide an attempt at a valuation for We preliminarily determine that the the total amount of the dumping such factors. As a result of these following margin exists during the margins calculated for the examined considerations, we preliminarily period February 1, 2004, through July sales to the total entered value of those determine that Blue Field did not meet 31, 2004: same sales. We will instruct CBP to its burden of adequately documenting assess antidumping duties on all the claimed byproduct offset and, as a Manufacturer/producer/ appropriate entries covered by this result, we did not apply it. exporter Margin Percent review if any importer–specific To value salt, we used and inflated an assessment rate calculated in the final average import price based on January Blue Field (Sichuan) results of this review is above de 2002–December 2003 data contained in Food Industrial Co., minimis. World Trade Atlas because we were Ltd...... 0.00 Cash Deposit Requirements unable to obtain a more current value.To value water we used January We will disclose the calculations used Upon completion of this review, we 2003 data available on the Maharastra in our analysis to the parties to this will require cash deposits at the rate Industrial Development Corporation’s proceeding within five days of the date established in the final results as further website and was used in the Final of publication of this notice. Any described below. Determination of Sales at Less Than interested party may request a hearing Bonding will no longer be permitted Fair Value: Fresh Garlic from the within 30 days of publication of this to fulfill security requirements for People’s Republic of China, 70 FR notice. Any hearing, if requested, will shipments of mushrooms from the PRC 34082–34086 (June 13, 2005). We used be held on September 12, 2005. produced and exported by Blue Field data contained in the 2002–2003 Interested parties who wish to request that are entered, or withdrawn from financial report of Flex Foods to a hearing or to participate if one is warehouse, for consumption on or after calculate and inflate a POR value for requested, must submit a written the publication date of the final results super phosphate. request to the Assistant Secretary for of the new shipper review. The We valued labor based on a Import Administration, Room B–099, following cash deposit requirements regression–based wage rate, in within 30 days of the date of publication will be effective upon publication of the accordance with 19 CFR 351.408(c)(3). of this notice. Requests should contain: final results of this review for all See Expected Wages of Selected Non– (1) the party’s name, address, and shipments of subject merchandise from market Economy Countries, from the telephone number; (2) the number of Blue Field entered, or withdrawn from Import Administration website at: http:/ participants; and (3) a list of issues to be warehouse, for consumption on or after /ia.ita.doc.gov/wages/index.html. discussed. See 19 CFR 351.310(c). the publication date: (1) for subject To value electricity, we used 2000 Issues raised in the hearing will be merchandise manufactured and Indian price data from the International limited to those raised in case briefs and exported by Blue Field, no cash deposit Energy Agency’s (‘‘IEA’’) report, rebuttal briefs. Case briefs from will be required if the cash deposit rate ‘‘Electricity Prices for Industry,’’ interested parties may be submitted no calculated in the final results is zero or contained in the 2002 Key World Energy later than August 22, 2005. Rebuttal de minimis; (2) for subject merchandise Statistics from the IEA. To value steam briefs, limited to issues raised in the exported by Blue Field but not coal, we used February 2004–July 2004 case briefs, will be due no later than manufactured by Blue Field, the cash Indian import data from World Trade August 29, 2005. Parties who submit deposit rate will continue to be the Atlas, and added an amount for loading case briefs or rebuttal briefs in this PRC–wide rate (i.e., 198.63 percent); and additional transportation charges proceeding are requested to submit with and (3) for subject merchandise associated with delivering coal to the each argument (1) a statement of the produced by Blue Field but not factory based on June 1999 Indian price issue; and (2) a brief summary of the exported by Blue Field, the cash deposit data contained in the periodical argument. Parties are also encouraged to rate will be the rate applicable to the Business Line. provide a summary of the arguments not exporter. To value factory overhead and selling, to exceed five pages and a table of These requirements, when imposed, general, and administrative (‘‘SG&A’’) statutes, regulations, and cases cited. shall remain in effect until publication
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of the final results of the next Hengxian Pro–Light Foods, Inc.; On March 23, 2005, the Department administrative review. Guangxi Yizhou Dongfang Cannery; initiated an administrative review of Notification to Importers Inter–foods D.S. Co., Ltd.; Mei Wei Food thirty Chinese companies. See Initiation This notice serves as a preliminary Industry Co., Ltd.; Nanning Runchao of Antidumping and Countervailing reminder to importers of their Industrial Trade Co., Ltd.; Raoping Duty Administrative Reviews and responsibility under 19 CFR Xingyu Foods Co., Ltd.; Xiamen Jiahua Request for Revocation in Part, 70 FR 351.402(f)(2) to file a certificate Import & Export Trading Co., Ltd.; 14643 (March 23, 2005). On June 29, regarding the reimbursement of Xiamen Zhongjia Import and Export Co., 2005, the Petitioner filed a timely letter antidumping duties prior to liquidation Ltd.; Shanghai Superlucky Import & withdrawing its request for review of of the relevant entries during this Export Company, Ltd.; Shantou Hongda the Twenty–five companies. review period. Failure to comply with Industrial General Corporation; Rescission of Review this requirement could result in the Shenxian Dongxing Foods Co., Ltd.; Secretary’s presumption that Shenzhen Qunxingyuan Trading Co., Pursuant to section 351.213(d)(1) of reimbursement of antidumping duties Ltd.; Tak Fat Trading Co.; Xiamen the Department’s regulations, if a party occurred and the subsequent assessment International Trade & Industrial Co., that requests a review withdraws the of double antidumping duties. Ltd.; Zhangzhou Hongning Canned review request within ninety days of the This new shipper review and notice Food Factory; Zhangzhou Jingxiang date of publication of the notice of are in accordance with sections Foods Co., Ltd.; Zhangzhou Longhai initiation of the requested review, the 751(a)(2)(B) and 777(i) of the Act and 19 Lubao Food Co., Ltd.; and Zhangzhou Secretary will rescind the review. The CFR 351.214. Longhai Minhui Industry and Trade Co., Petitioner withdrew its review request with respect to the Twenty–five Dated: July 14, 2005. Ltd., (collectively ‘‘the Twenty–five Companies’’) because the only Companies in a timely manner, in Susan H. Kuhbach, accordance with 19 CFR 351.213(d)(1). Acting Assistant Secretary for Import requesting party withdrew its request in a timely manner. Since the Petitioner was the only party Administration. to request an administrative review of [FR Doc. E5–3906 Filed 7–20–05; 8:45 am] EFFECTIVE DATE: July 21, 2005. the Twenty–five Companies, we are BILLING CODE: 3510–DS–S FOR FURTHER INFORMATION CONTACT: partially rescinding this review of the Stephen F. Berlinguette, AD/CVD antidumping duty order on certain Operations Office 9, Import preserved mushrooms from the PRC DEPARTMENT OF COMMERCE Administration, U.S. Department of covering the period February 1, 2004, International Trade Administration Commerce, 14th Street and Constitution through January 31, 2005, with respect Avenue, NW, Room 4003, Washington, to the Twenty–five Companies. [A–570–851] DC 20230; telephone (202) 482–3740. Assessment SUPPLEMENTARY INFORMATION: Certain Preserved Mushrooms from The Department will instruct U.S. the People’s Republic of China: Notice Background Customs and Border Protection (‘‘CBP’’) of Partial Rescission of Antidumping to assess antidumping duties on all Duty Administrative Review On February 19, 1999, the Department appropriate entries. For those published in the Federal Register an companies for which this review is AGENCY: Import Administration, amended final determination and International Trade Administration, rescinded, antidumping duties shall be antidumping duty order on certain assessed at rates equal to the cash Department of Commerce. preserved mushrooms from the PRC. SUMMARY: On March 23, 2005, the deposit of estimated antidumping duties See Notice of Amendment of Final required at the time of entry, or Department of Commerce (‘‘the Determination of Sales at Less Than Department’’) published in the Federal withdrawal from warehouse, for Fair Value and Antidumping Duty consumption, in accordance with 19 Register (70 FR 14643) a notice Order: Certain Preserved Mushrooms announcing the initiation of the sixth CFR 351.212(c)(1)(i). The Department from the People’s Republic of China, 64 will issue appropriate assessment administrative review of the FR 8308 (February 19, 1999). antidumping duty order on certain instructions directly to CBP within 15 On February 1, 2005, the Department days of publication of this notice. preserved mushrooms from the People’s published a Notice of Opportunity to Republic of China (‘‘PRC’’). The period Request Administrative Review of Notification of Interested Parties of review (‘‘POR’’) is February 1, 2004, Antidumping or Countervailing Duty This notice serves as a final reminder to January 31, 2005. This review is now Order, Finding, or Suspended to importers of their responsibility being rescinded for Blue Field (Sichuan) Investigation, 70 FR 5136. On February under 19 CFR 351.402(f)(2) to file a Food Industrial Co., Ltd.; China 28, 2005, the Petitioner requested, in certificate regarding the reimbursement Processed Food Import & Export accordance with section 751(a) of the of antidumping duties prior to Company; China National Cereals, Oils, Tariff Act of 1930 (‘‘the Act’’) and 19 liquidation of the relevant entries and Foodstuffs Import & Export CFR 351.213(b), an administrative during this review period. Failure to Corporation; COFCO (Zhangzhou) Food review of the antidumping duty order comply with this requirement could Industrial Co.; Ltd., Fujian Zishan on certain preserved mushrooms from result in the Secretary’s presumption Group Co.; Xiamen Jiahua Import & the PRC for thirty companies covering that reimbursement of the antidumping Export Trading Co., Ltd.; Fujian Yu Xing the period February 1, 2004, through duties occurred and the subsequent Fruit and Vegetable Foodstuff January 31, 2005. On February 7, 2005, 1 assessment of double antidumping Development Co., Ltd. ; Shandong Jiufa and February 25, 2005, four Chinese duties. Edible Fungus Co., Ltd.; Guangxi companies requested an administrative This notice also serves as a reminder review of their respective companies. to parties subject to administrative 1 The Department originally made an inadvertent typographical error by neglecting to include the The Department notes that these four protective orders (‘‘APOs’’) of their term ‘Development’ in this company’s name in the companies were included in the responsibility concerning the return or above-referenced Federal Register initiation notice. Petitioner’s February 28, 2005, request. destruction of proprietary information
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disclosed under APO in accordance timely withdrawn its request for review, DATES: Applications for nomination to a with 19 CFR 351.305, which continues and no other interested party has DEC must be received by the designated to govern business proprietary requested a review. local USEAC representative by information in this segment of the September 1, 2005. Rescission of Review proceeding. Timely written notification FOR FURTHER INFORMATION: Contact: Les of the return/destruction of APO Pursuant to 19 CFR 351.213(d)(1), the Williamson, National DEC Program materials or conversion to judicial Department will rescind an Manager, the U.S. Commercial Service, protective order is hereby requested. administrative review if the party that tel. 202–482–4767. Failure to comply with the regulations requested a review withdraws the SUPPLEMENTARY INFORMATION: DECs and terms of an APO is a violation request within 90 days of the date of sponsor and participate in numerous which is subject to sanction. publication of the notice of initiation of trade promotion activities, as well as This notice is issued and published in the requested review. Because Schultz supply specialized expertise to small accordance with sections 751 and 777(i) withdrew its review request within the and medium-sized businesses that are of the Act and 19 CFR 351.213(d)(4). 90-day time limit, the Department is interested in exporting. Dated: July 14, 2005. rescinding this review. Selection Process: About half of the Susan H. Kuhbach, Assessment approximately 30 positions on each of Acting Deputy Assistant Secretary for Import the 59 DECs are open for nominations The Department will instruct U.S. for the 4-year term which begins on Administration. Customs and Border Protection (CBP) to [FR Doc. E5–3911 Filed 7–20–05; 8:45 am] January 1, 2006 and ends December 31, assess antidumping duties on all 2009. Nominees are recommended by BILLING CODE 3510–DS–S appropriate entries. Antidumping duties the local USEAC Director, in for this rescinded company shall be consultation with the DEC and other assessed at rates equal to the cash DEPARTMENT OF COMMERCE local export promotion partners. After a deposit of estimated antidumping duties review process, nominees are selected International Trade Administration required at the time of entry, or and appointed to a DEC by the Secretary withdrawal from warehouse, for of Commerce. The office of the Deputy [A–557–809] consumption, in accordance with 19 Assistant Secretary for Domestic CFR 351.212(c)(1)(i). The Department Stainless Steel Butt–Weld Pipe Fittings Operations coordinates the DECs. will issue appropriate assessment from Malaysia: Rescission of Membership Criteria: Each DEC is instructions directly to CBP within 15 Antidumping Duty Administrative interested in nominating highly- days of publication of this notice. Review motivated people. Appointment is based This notice is published in upon an individual’s energetic AGENCY: Import Administration, accordance with 19 CFR 351.213(d)(4) leadership, position in the local International Trade Administration, and section 777(i)(1) of the Tariff Act of business community, knowledge of day- Department of Commerce. 1930, as amended. to-day international operations, interest EFFECTIVE DATE: July 21, 2005. Dated: July 14, 2005. in export development, and willingness FOR FURTHER INFORMATION CONTACT: Susan H. Kuhbach, and ability to devote time to council Thomas Martin or Mark Manning, AD/ Acting Deputy Assistant Secretary for Import activities. Members include exporters, CVD Operations, Office 4, Import Administration. export service providers and others Administration, International Trade [FR Doc. E5–3904 Filed 7–20–05; 8:45 am] whose profession supports U.S. export promotion efforts. Administration, U.S. Department of BILLING CODE 3510–DS–S Commerce; 14th Street and Constitution Authority: 15 U.S.C. 1501 et seq., 15 U.S.C. Avenue, NW, Washington, DC 20230; 4721. telephone: (202) 482–3936 or (202) 482– DEPARTMENT OF COMMERCE Dated: June 21, 2005. 5253, respectively. Neal Burnham, International Trade Administration SUPPLEMENTARY INFORMATION: On Deputy Assistant Secretary for Domestic February 28, 2005, the Department of District Export Council Nomination Operations, U.S. and Foreign Commercial Commerce (the Department) received a Opportunity Service. timely request from Schultz (Mfg.) Sdn. [FR Doc. 05–14376 Filed 7–20–05; 8:45 am] Bhd. (Schultz), to conduct an AGENCY: International Trade BILLING CODE 3510–FP–P administrative review of the Administration, Commerce. antidumping duty order on stainless ACTION: Notice of opportunity to serve as steel butt–weld pipe fittings from a member of one of the fifty-nine DEPARTMENT OF COMMERCE Malaysia, for the period February 1, District Export Councils. 2004, through January 31, 2005. On National Institute of Standards and March 23, 2005, the Department SUMMARY: The U.S. Department of Technology initiated an administrative review and Commerce is currently seeking published a notice of initiation in the expressions of interest from individuals Proposed Information Collection; Federal Register. See Initiation of in serving as a member of one of the Comment Request; U.S. Measurement Antidumping and Countervailing Duty fifty-nine District Export Councils System Biophotonics Survey Administrative Reviews and Requests (DECs) nationwide. The DECs are ACTION: Notice. for Revocation in Part, 70 FR 14643 closely affiliated with the U.S. Export (March 23, 2005). On March 23, 2005, Assistance Centers (USEAC) of the U.S. SUMMARY: The Department of Commerce Schultz withdrew its request for an Commercial Service. DECs combine the (DOC), as part of its continuing effort to administrative review. In accordance energy of more than 1,500 exporters and reduce paperwork and respondent with 19 CFR 351.213(d)(1), the export service providers who promote burden, invites the general public and Department is rescinding this review U.S. exports. DEC members volunteer at other Federal agencies to comment on because the requestor of this review has their own expense. the continuing and proposed
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information collection, as required by II. Method of collection request consultations with China the Paperwork Reduction Act of 1995, Information will be gathered in paper regarding imports of other synthetic Public Law 104–13 (44 U.S.C. form from workshop participants. filament fabric (Category 620). 3506(c)(2)(A)). FOR FURTHER INFORMATION CONTACT: Jay III. Data DATES: Written comments must be Dowling, Office of Textiles and Apparel, submitted on or before September 19, OMB Number: None. U.S. Department of Commerce, (202) 2005. Form Numbers: None. 482-4058. Type of Review: Regular submission. SUPPLEMENTARY INFORMATION: ADDRESSES: Direct all written comments Affected Public: Businesses or other to Diana Hynek, Departmental Forms for-profit organizations. Authority: Section 204 of the Agriculture Clearance Officer, Department of Estimated Number of Respondents: Act of 1956, as amended; Executive Order Commerce, Room 6625, 14th and 60. 11651, as amended. Constitution Avenue, NW., Washington, Estimated Time Per Response: 10 BACKGROUND: DC 20230 (or via the Internet at minutes. [email protected]). Estimated Total Annual Respondent On November 8, 2004, the Committee Burden Hours: 10. received a request from the American FOR FURTHER INFORMATION CONTACT: Manufacturing Trade Action Coalition, Requests for additional information Estimated Total Annual Respondent Cost Burden: $0. the National Council of Textile should be directed to the attention of Dr. Organizations, the National Textile Marla Dowell, Mailcode 815.01, 325 IV. Request for Comments Association, and UNITE HERE Broadway, Boulder, CO 80305, Phone Comments are invited on: (a) Whether requesting that the Committee limit 303–497–7455 or via the Internet at the proposed collection of information imports from China of other synthetic [email protected] or Dr. Grady is necessary for the proper performance filament fabric (Category 620) due to the White, 100 Bureau Drive, Mailstop of the functions of the agency, including threat of market disruption (‘‘threat 8520, Gaithersburg, MD 20899, Phone whether the information will have case’’). 301–975–5752, or via the Internet at practical utility; (b) the accuracy of the The Committee determined this [email protected]. agency’s estimate of the burden request provided the information SUPPLEMENTARY INFORMATION: (including hours and cost) of the necessary for the Committee to consider proposed collection of information; (c) the request and solicited public I. Abstract ways to enhance the quality, utility, and comments for a period of 30 days. See In order to maintain the current rapid clarity of the information to be Solicitation of Public Comment on advance of biophotonics in the U.S. and collected; and (d) ways to minimize the Request for Textile and Apparel Action to enhance our competitiveness burden of the collection of information on Imports from China, 69 FR 70661 worldwide, key measurement tools must on respondents, e.g., the use of (Dec. 7, 2004). be in place. The right measurement automated collection techniques or On December 30, 2004, the Court of capabilities will improve both other forms of information technology. International Trade preliminarily manufacturing efficiency and quality, Comments submitted in response to enjoined the Committee from and promote acceptance of this notice will be summarized or considering or taking any further action biophotonics-based instruments and included in the request for OMB on this request and any other requests technologies through improved approval of this information collection; ‘‘that are based on the threat of market interoperability. As a part of a wide- they also will become a matter of public disruption’’. U.S. Association of reaching effort to improve the U.S. record. Importers of Textiles and Apparel v. technology base, the National Institute Dated: July 15, 2005. United States, 350 F. Supp. 2d 1342 of Standards and Technology announces Gwellnar Banks, (CIT 2004). On April 27, 2005 the Court of Appeals for the Federal Circuit the road-mapping workshop Management Analyst, Office of the Chief ‘‘Biophotonic Tools for Cell and Tissue Information Officer. granted the U.S. government’s motion for a stay of that injunction, pending Diagnostics’’. This meeting will focus on [FR Doc. 05–14327 Filed 7–20–05; 8:45 am] diagnostic techniques involving the appeal. U.S. Association of Importers of BILLING CODE 3510–13–P interaction between biological systems Textiles and Apparel v. United States, and photons. Through invited Ct. No. 05-1209, 2005 U.S. App. LEXIS presentations by industry 12751 (Fed. Cir. June 28, 2005). Thus, COMMITTEE FOR THE representatives, panel discussion, and CITA resumed consideration of this IMPLEMENTATION OF TEXTILE the results of the survey given to case. AGREEMENTS workshop participants, the near- and The public comment period for this far-term measurement needs will be Extension of Period of Determination request had not yet closed when the evaluated. As a result of this workshop, on Request for Textile and Apparel injunction took effect on December 30, a road-mapping document will be Safeguard Action on Imports from 2004. The number of calendar days prepared on the measurement tools China remaining in the public comment period needed for biophotonic cell and tissue beginning with and including December diagnostics. This will become a part of July 19, 2005. 30, 2004 was 8 days. On May 9, 2005, the larger road-mapping effort to be AGENCY: The Committee for the therefore, the Committee published a presented to the Nation as an Implementation of Textile Agreements notice in the Federal Register re- assessment of the U.S. Measurement (the Committee) opening the comment period and System. The information will be used to ACTION: Notice inviting public comments to be received highlight measurement needs to the not later than May 17, 2005. See community and to facilitate solutions SUMMARY: The Committee is extending Rescheduling of Consideration of among key stakeholders in industry, through July 31, 2005, the period for Request for Textile and Apparel government, and academia. making a determination on whether to Safeguard Action on Imports from China
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and Solicitations of Public Comments, cannot be supplied by the domestic in Sportswear Company alleging that 70 FR 24397 (May 9, 2005). commercial quantities in a timely certain woven bamboo/cotton fabric, of On April 6, 2005, the Committee manner under the AGOA and the detailed specifications, classified in received a request from the American CBTPA. HTSUS subheading 5516.42.0022, Manufacturing Trade Action Coalition, cannot be supplied by the domestic the National Council of Textile SUMMARY: On May 18, 2005 the industry in commercial quantities in a Organizations, the National Textile Chairman of CITA received a petition timely manner. The petition requested Association, and UNITE HERE from Columbia Sportswear Company that apparel articles of such fabric be requesting that the Committee limit alleging that certain woven bamboo/ eligible for preferential treatment under imports from China of other synthetic cotton fabric, of detailed specifications, the AGOA and the CBTPA. filament fabric (Category 620) due to classified in subheading 5516.42.0022 of On May 25, 2005, CITA published a market disruption (‘‘market disruption the Harmonized Tariff Schedule of the Federal Register notice requesting case’’). The Committee determined that United States (HTSUS), cannot be public comments on the request, this request provided the information supplied by the domestic industry in particularly with respect to whether this necessary for the Committee to consider commercial quantities in a timely fabric can be supplied by the domestic the request and solicited public manner. The petition requested that industry in commercial quantities in a comments for a period of 30 days. See apparel articles of such fabrics be timely manner. See Request for Public Solicitation of Public Comment on eligible for preferential treatment under Comments on Commercial Availability Request for Textile and Apparel the AGOA and the CBTPA. CITA has Petition under the African Growth and Safeguard Action on Imports from determined that the subject fabrics can Opportunity Act (AGOA) and the China, 70 FR 23124 (May 4, 2005). be supplied by the domestic industry in United States - Caribbean Basin Trade The Committee’s Procedure, 68 FR commercial quantities in a timely Partnership Act (CBTPA), 70 FR 30088 27787 (May 21, 2003) state that the manner and, therefore, denies the (May 25, 2005). On June 10, 2005, CITA Committee will make a determination request. and USTR offered to hold consultations within 60 calendar days of the close of FOR FURTHER INFORMATION CONTACT: with the House Ways and Means the public comment period as to Janet E. Heinzen, International Trade Committee and the Senate Finance whether the United States will request Specialist, Office of Textiles and Committee, but no consultations were consultations with China. If the Apparel, U.S. Department of Commerce, requested. We also requested advice Committee is unable to make a (202) 482-3400. from the U.S. International Trade determination within 60 calendar days, SUPPLEMENTARY INFORMATION: Commission and the relevant Industry it will cause to be published a notice in Trade Advisory Committees. the Federal Register, including the date Authority: Section 112(b)(5)(B) of the Based on the information and advice AGOA; Section 211(a) of the CBTPA by which it will make a determination. received by CITA, public comments, The 60-day determination period for amending Section 213(b)(2)(A)(v)(II) of the and the report from the International the threat case expired on July 18, 2005. Caribbean Basin Economic Recovery Act Trade Commission, CITA found that However, the Committee is unable to (CBERA); Sections 1 and 6 of Executive there is domestic production, capacity, make a determination at this time; it is Order No. 13191 of January 17, 2001; Presidential Proclamations 7350 and 7351 of and ability to supply the subject fabric continuing to evaluate conditions in the October 2, 2000. in commercial quantities in a timely U.S. market for other synthetic filament manner. fabric and information obtained from Background: The AGOA and the On the basis of currently available public comments on both the threat and CBTPA provide for quota- and duty-free information and our review of this market disruption cases. The Committee treatment for qualifying textile and request, CITA has determined that there is therefore extending the determination apparel products. Such treatment is is domestic capacity to supply the period to July 31, 2005. The Committee generally limited to products subject fabric in commercial quantities may, at its discretion, make such manufactured from yarns and fabrics in a timely manner. The request from determination prior to July 31, 2005. formed in the United States or a beneficiary country. The AGOA and the Columbia Sportswear Company is James C. Leonard III, CBTPA also provide for quota- and denied. Chairman, Committee for the Implementation duty-free treatment for apparel articles James C. Leonard III, of Textile Agreements. that are both cut (or knit-to-shape) and Chairman, Committee for the Implementation [FR Doc.05–14531 Filed 7–19–05; 1:59 pm] sewn or otherwise assembled in one or of Textile Agreements. BILLING CODE 3510–DS–S more beneficiary countries from fabric [FR Doc. E5–3907 Filed 7–20–05; 8:45 am] or yarn that is not formed in the United BILLING CODE 3510–DS–S States, if it has been determined that COMMITTEE FOR THE such fabric or yarn cannot be supplied IMPLEMENTATION OF TEXTILE by the domestic industry in commercial AGREEMENTS DEPARTMENT OF EDUCATION quantities in a timely manner. In Denial of Commercial Availability Executive Order No. 13191 (66 FR Submission for OMB Review; Request under the African Growth and 7271), CITA has been delegated the Comment Request Opportunity Act (AGOA) and the authority to determine whether yarns or AGENCY: United States-Caribbean Basin Trade fabrics cannot be supplied by the Department of Education. Partnership Act (CBTPA) domestic industry in commercial SUMMARY: The Leader, Information quantities in a timely manner under the Management Case Services Team, July 18, 2005. AGOA and the CBTPA. On March 6, Regulatory Information Management AGENCY: The Committee for the 2001, CITA published procedures that it Services, Office of the Chief Information Implementation of Textile Agreements will follow in considering requests (66 Officer invites comments on the (CITA). FR 13502). submission for OMB review as required ACTION: Denial of the request alleging On May 18, 2005, the Chairman of by the Paperwork Reduction Act of that certain woven bamboo/cotton fabric CITA received a petition from Columbia 1995.
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DATES: Interested persons are invited to Federal Family Education Loan (FFEL) the Commission’s Rules of Practice and submit comments on or before August or Direct Loan borrower qualifies for a Procedure (18 CFR 385.211, 385.214). 22, 2005. loan discharge based on school closure, Protests will be considered by the ADDRESSES: Written comments should false certification of student eligibility, Commission in determining the be addressed to the Office of or unauthorized signature. The school appropriate action to be taken, but will Information and Regulatory Affairs, closure discharge application may also not serve to make protestants parties to Attention: Carolyn Lovett, Desk Officer, be used by Perkins Loan borrowers the proceeding. Any person wishing to Department of Education, Office of applying for a closed school discharge. become a party must file a notice of Management and Budget, 725 17th Requests for copies of the information intervention or motion to intervene, as Street, NW., Room 10235, New collection submission for OMB review appropriate. Such notices, motions, or Executive Office Building, Washington, may be accessed from http:// protests must be filed on or before the DC 20503 or faxed to (202) 395–6974. edicsweb.ed.gov, by selecting the comment date. Anyone filing a motion SUPPLEMENTARY INFORMATION: Section ‘‘Browse Pending Collections’’ link and to intervene or protest must serve a copy 3506 of the Paperwork Reduction Act of by clicking on link number 2739. When of that document on the Applicant and 1995 (44 U.S.C. Chapter 35) requires you access the information collection, all the parties in this proceeding. that the Office of Management and click on ‘‘Download Attachments’’ to The Commission encourages Budget (OMB) provide interested view. Written requests for information electronic submission of protests and Federal agencies and the public an early should be addressed to U.S. Department interventions in lieu of paper using the opportunity to comment on information of Education, 400 Maryland Avenue, ‘‘eFiling’’ link at http://www.ferc.gov. collection requests. OMB may amend or SW., Potomac Center, 9th Floor, Persons unable to file electronically waive the requirement for public Washington, DC 20202–4700. Requests should submit an original and 14 copies may also be electronically mailed to the of the protest or intervention to the consultation to the extent that public _ participation in the approval process Internet address OCIO [email protected] or Federal Energy Regulatory Commission, would defeat the purpose of the faxed to 202–245–6623. Please specify 888 First Street, NE., Washington, DC information collection, violate State or the complete title of the information 20426. Federal law, or substantially interfere collection when making your request. This filing is accessible on-line at with any agency’s ability to perform its Comments regarding burden and/or http://www.ferc.gov, using the statutory obligations. The Leader, the collection activity requirements ‘‘eLibrary’’ link and is available for Information Management Case Services should be directed to Joseph Schubart at review in the Commission’s Public Team, Regulatory Information his e-mail address [email protected]. Reference Room in Washington, DC. Management Services, Office of the Individuals who use a There is an ‘‘eSubscription’’ link on the Chief Information Officer, publishes that telecommunications device for the deaf Web site that enables subscribers to notice containing proposed information (TDD) may call the Federal Information receive e-mail notification when a collection requests prior to submission Relay Service (FIRS) at 1–800–877– document is added to a subscribed of these requests to OMB. Each 8339. docket(s). For assistance with any FERC Online service, please e-mail proposed information collection, [FR Doc. 05–14319 Filed 7–20–05; 8:45 am] [email protected], or call grouped by office, contains the BILLING CODE 4000–01–P following: (1) Type of review requested, (866) 208–3676 (toll free). For TTY, call e.g., new, revision, extension, existing (202) 502–8659. Comment Date: 5 p.m. eastern time on or reinstatement; (2) Title; (3) Summary DEPARTMENT OF ENERGY July 21, 2005. of the collection; (4) Description of the need for, and proposed use of, the Federal Energy Regulatory Linda Mitry, information; (5) Respondents and Commission Deputy Secretary. frequency of collection; and (6) [Docket No. EF05–2021–000] [FR Doc. E5–3878 Filed 7–20–05; 8:45 am] Reporting and/or Recordkeeping BILLING CODE 6717–01–P burden. OMB invites public comment. U.S. Department of Energy; Bonneville Dated: July 15, 2005. Power Administration; Notice of Filing Angela C. Arrington, DEPARTMENT OF ENERGY July 14, 2005. Leader, Information Management Case Take notice that on June 30, 2005, Federal Energy Regulatory Services Team, Regulatory Information Management Services, Office of the Chief U.S. Department of Energy, Bonneville Commission Power Administration, (Bonneville) Information Officer. [Docket No. RP05–435–001] tendered for filing proposed rate Federal Student Aid adjustments for its 2006 Transmission Crossroads Pipeline Company; Notice Type of Review: Revision. and Ancillary Services Rates pursuant of Compliance Filing Title: Federal Family Education Loan, to section 7(a)(2) of the Pacific Direct Loan, and Perkins Loan Discharge Northwest Electric Power Planning and July 15, 2005. Applications. Conservation Act, 16 U.S.C. 839e(a)(2). Take notice that on July 12, 2005, Frequency: One time. Pursuant to Commission regulations Crossroads Pipeline Company Affected Public: Individuals or 300.10 and 300.21, 18 CFR 300.10 and (Crossroads) tendered for filing as part household. 300.21, Bonneville seeks interim of its FERC Gas Tariff, First Revised Reporting and Recordkeeping Hour approval of the proposed transmission Volume No. 1, First Revised Sheet No. Burden: and ancillary services effective October 74, with a proposed effective date of Responses: 29,543. 1, 2005, followed by final confirmation September 1, 2005. Burden Hours: 14,774. and approval. Any person desiring to protest this Abstract: These forms will serve as Any person desiring to intervene or to filing must file in accordance with Rule the means of collecting the information protest this filing must file in 211 of the Commission’s Rules of necessary to determine whether a accordance with Rules 211 and 214 of Practice and Procedure (18 CFR
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385.211). Protests to this filing will be Any person desiring to protest this which each common share of Cinergy considered by the Commission in filing must file in accordance with Rule will be converted into 1.56 shares of determining the appropriate action to be 211 of the Commission’s Rules of Duke Energy; and (2) the subsequent taken, but will not serve to make Practice and Procedure (18 CFR internal restructuring and consolidation protestants parties to the proceeding. 385.211). Protests to this filing will be of Duke Energy’s and Cinergy’s Such protests must be filed in considered by the Commission in subsidiaries to establish a more efficient accordance with the provisions of determining the appropriate action to be corporate structure for the combined Section 154.210 of the Commission’s taken, but will not serve to make company. regulations (18 CFR 154.210). Anyone protestants parties to the proceeding. filing a protest must serve a copy of that Such protests must be filed in Any person desiring to intervene or to document on all the parties to the accordance with the provisions of protest this filing must file in proceeding. Section 154.210 of the Commission’s accordance with Rules 211 and 214 of The Commission encourages regulations (18 CFR 154.210). Anyone the Commission’s Rules of Practice and electronic submission of protests in lieu filing a protest must serve a copy of that Procedure (18 CFR 385.211, 385.214). of paper using the ‘‘eFiling’’ link at document on all the parties to the Protests will be considered by the http://www.ferc.gov. Persons unable to proceeding. Commission in determining the file electronically should submit an The Commission encourages appropriate action to be taken, but will original and 14 copies of the protest to electronic submission of protests in lieu not serve to make protestants parties to the Federal Energy Regulatory of paper using the ‘‘eFiling’’ link at the proceeding. Any person wishing to Commission, 888 First Street, NE., http://www.ferc.gov. Persons unable to become a party must file a notice of Washington, DC 20426. file electronically should submit an intervention or motion to intervene, as This filing is accessible on-line at original and 14 copies of the protest to appropriate. Such notices, motions, or http://www.ferc.gov, using the the Federal Energy Regulatory protests must be filed on or before the ‘‘eLibrary’’ link and is available for Commission, 888 First Street, NE., comment date. Anyone filing a motion review in the Commission’s Public Washington, DC 20426. to intervene or protest must serve a copy Reference Room in Washington, DC. This filing is accessible on-line at There is an ‘‘eSubscription’’ link on the of that document on the Applicant and http://www.ferc.gov, using the all the parties in this proceeding. Web site that enables subscribers to ‘‘eLibrary’’ link and is available for receive e-mail notification when a review in the Commission’s Public The Commission encourages document is added to a subscribed Reference Room in Washington, DC. electronic submission of protests and docket(s). For assistance with any FERC There is an ‘‘eSubscription’’ link on the interventions in lieu of paper using the Online service, please e-mail Web site that enables subscribers to ‘‘eFiling’’ link at http://www.ferc.gov. [email protected], or call receive e-mail notification when a Persons unable to file electronically (866) 208–3676 (toll free). For TTY, call document is added to a subscribed should submit an original and 14 copies (202) 502–8659. docket(s). For assistance with any FERC of the protest or intervention to the Linda Mitry, Online service, please e-mail Federal Energy Regulatory Commission, Deputy Secretary. [email protected], or call 888 First Street, NE., Washington, DC [FR Doc. E5–3894 Filed 7–20–05; 8:45 am] (866) 208–3676 (toll free). For TTY, call 20426. (202) 502–8659. BILLING CODE 6717–01–P This filing is accessible on-line at Linda Mitry, http://www.ferc.gov, using the Deputy Secretary. ‘‘eLibrary’’ link and is available for DEPARTMENT OF ENERGY [FR Doc. E5–3884 Filed 7–20–05; 8:45 am] review in the Commission’s Public Federal Energy Regulatory BILLING CODE 6717–01–P Reference Room in Washington, DC. Commission There is an ‘‘eSubscription’’ link on the Web site that enables subscribers to [Docket No. RP03–36–013] DEPARTMENT OF ENERGY receive e-mail notification when a document is added to a subscribed Dauphin Island Gathering Partners; Federal Energy Regulatory docket(s). For assistance with any FERC Notice of Proposed Changes in FERC Commission Gas Tariff Online service, please e-mail [Docket No. EC05–103–000] [email protected], or call July 14, 2005. (866) 208–3676 (toll free). For TTY, call Take notice that on July 7, 2005, Duke Energy Corporation and Cinergy (202) 502–8659. Corp.; Notice of Filing Dauphin Island Gathering Partners Comment Date: 5 p.m. eastern time on (Dauphin Island) tendered for filing and July 15, 2005. September 12, 2005. acceptance by the Federal Energy Take notice that on July 12, 2005, Regulatory Commission (Commission) Linda Mitry, Duke Energy Corporation and its as part of its FERC Gas Tariff, First subsidiaries that are public utilities Deputy Secretary. Revised Volume No. 1, the revised tariff subject to the Commission’s jurisdiction [FR Doc. E5–3887 Filed 7–20–05; 8:45 am] sheets listed below to become effective and Cinergy Corp. and its subsidiaries BILLING CODE 6717–01–P August 6, 2005. Dauphin Island states that are public utilities subject to the that these tariff sheets reflect changes to Commission’s jurisdiction (collectively, its statement of negotiated rates. Applicants) submitted a filing pursuant Twenty-Second Revised Sheet No. 9, to section 203 of the Federal Power Act Seventeenth Revised Sheet No. 10. for authorization of a disposition of Dauphin Island states that copies of jurisdictional facilities whereby: (1) The the filing are being served on its merger of Duke Energy and Cinergy customers and other interested parties. through an all-stock transaction in
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DEPARTMENT OF ENERGY This filing is accessible on-line at appropriate. Such notices, motions, or http://www.ferc.gov, using the protests must be filed on or before the Federal Energy Regulatory ‘‘eLibrary’’ link and is available for date as indicated below. Anyone filing Commission review in the Commission’s Public an intervention or protest must serve a Reference Room in Washington, DC. copy of that document on the Applicant. [Docket Nos. EG05–83–000, EG05–84–000, There is an ‘‘eSubscription’’ link on the Anyone filing an intervention or protest EG05–85–000, EG05–86–000, EG05–87–000] Web site that enables subscribers to on or before the intervention or protest receive e-mail notification when a date need not serve motions to intervene G–Flow Wind, LLC; Green Acres document is added to a subscribed or protests on persons other than the Breeze, LLC; Minnesota Breeze, LLC; docket(s). For assistance with any FERC Applicant. Wolf Wind Enterprises, LLC; Sunset Online service, please e-mail The Commission encourages Breeze, LLC; Notice of Applications for [email protected], or call electronic submission of protests and Commission Determination of Exempt (866) 208–3676 (toll free). For TTY, call interventions in lieu of paper using the Wholesale Generator Status (202) 502–8659. ‘‘eFiling’’ link at http://www.ferc.gov. July 15, 2005. Comment Date: 5 p.m. eastern time on Persons unable to file electronically Take notice that on July 8 and 11, July 29, 2005. should submit an original and 14 copies of the protest or intervention to the 2005, G–Flow Wind, LLC, Green Acres Linda Mitry, Federal Energy Regulatory Commission, Breeze, LLC, Minnesota Breeze, LLC, Deputy Secretary. Wolf Wind Enterprises, LLC and Sunset 888 First Street, NE., Washington, DC [FR Doc. E5–3888 Filed 7–20–05; 8:45 am] Breeze, LLC, (collectively, Applicants), 20426. filed with the Commission applications BILLING CODE 6717–01–P This filing is accessible on-line at for determination of exempt wholesale http://www.ferc.gov, using the ‘‘eLibrary’’ link and is available for generator status pursuant to part 365 of DEPARTMENT OF ENERGY the Commission’s regulations. review in the Commission’s Public Applicants state they are a Minnesota Federal Energy Regulatory Reference Room in Washington, DC. limited liability companies and will be Commission There is an ‘‘eSubscription’’ link on the engaged directly and exclusively in the Web site that enables subscribers to business of owning all or part of one or [Docket No. RP97–391–000] receive e-mail notification when a more eligible facilities, and selling document is added to a subscribed Gas Research Institute; Notice of True docket(s). For assistance with any FERC energy at wholesale. Applicants further Up and Accounting Report state that they are developing a 125 MW Online service, please e-mail wind power generation facility to be July 15, 2005. [email protected], or call located in Nobles County, Minnesota. Take notice that on July 1, 2005, Gas (866) 208–3676 (toll free). For TTY, call The Applicants further state that the Research Institute (GRI) tendered for (202) 502–8659. project will be an eligible facility filing the True Up and Accounting Comment Date: 5 p.m. eastern time on pursuant to section 32(a)(2) of the Report in compliance with the July 22, 2005. PUHCA. settlement approved by the Commission Linda Mitry, Applicants state that a copy of the in this and other dockets in Gas Deputy Secretary. filings have been served on the Research Institute, 83 FERC ¶ 61,093, [FR Doc. E5–3896 Filed 7–20–05; 8:45 am] Minnesota Public Utility Commission. on reh’g, 83 FERC ¶ 61,331 (1998) (1998 Any person desiring to intervene or to Settlement). BILLING CODE 6717–01–P protest this filing must file in GRI states that the 1998 Settlement’s accordance with Rules 211 and 214 of Article II, Section 1.1 True Up and DEPARTMENT OF ENERGY the Commission’s Rules of Practice and Accounting provision, requires GRI to Procedure (18 CFR 385.211, 385.214). file the instant report. GRI submits that Federal Energy Regulatory Protests will be considered by the the report: (1) provides a straightforward Commission Commission in determining the comparison of GRI collections pursuant appropriate action to be taken, but will to the 1998 Settlement with approved [Docket No. RP99–518–074] not serve to make protestants parties to budgets; and (2) provides consideration the proceeding. Any person wishing to of GRI’s efforts to minimize over- Gas Transmission Northwest become a party must file a notice of collections and the need for any Corporation; Notice of Proposed intervention or motion to intervene, as refunds. The report shows that during Change in FERC Gas Tariff appropriate. Such notices, motions, or the period 1998 to 2004, GRI over- July 14, 2005. protests must be filed on or before the collected $46,909.98, which amounts to comment date. Anyone filing a motion 0.006 percent of its overall funding Take notice that on June 30, 2005, Gas to intervene or protest must serve a copy target of $723.0 million. Transmission Northwest Corporation of that document on the Applicant and Any person desiring to intervene or to (‘‘GTN’’) tendered for filing as part of its all the parties in this proceeding. protest this filing must file in FERC Gas Tariff, Third Revised Volume The Commission encourages accordance with Rules 211 and 214 of No. 1–A, the following tariff sheets, to electronic submission of protests and the Commission’s Rules of Practice and become effective July 1, 2005: interventions in lieu of paper using the Procedure (18 CFR 385.211 and Twenty-Second Revised Sheet No. 15, ‘‘eFiling’’ link at http://www.ferc.gov. 385.214). Protests will be considered by Fourth Revised Sheet No. 24, Persons unable to file electronically the Commission in determining the First Revised Sheet No. 26, should submit an original and 14 copies appropriate action to be taken, but will First Revised Sheet No. 27. of the protest or intervention to the not serve to make protestants parties to GTN states that these sheets are being Federal Energy Regulatory Commission, the proceeding. Any person wishing to filed to update GTN’s reporting of 888 First Street, NE., Washington, DC become a party must file a notice of negotiated rate transactions that it has 20426. intervention or motion to intervene, as entered into.
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GTN further states that a copy of this Natural states that copies of its filing Northern further states that copies of filing has been served on GTN’s were served on all parties on the official the filing have been mailed to each of jurisdictional customers and interested service list. its customers and interested State state regulatory agencies. Any person desiring to protest this Commissions. Any person desiring to protest this filing must file in accordance with Rule Any person desiring to protest this filing must file in accordance with Rule 211 of the Commission’s Rules of filing must file in accordance with Rule 211 of the Commission’s Rules of Practice and Procedure (18 CFR 211 of the Commission’s Rules of Practice and Procedure (18 CFR 385.211). Protests to this filing will be Practice and Procedure (18 CFR 385.211). Protests to this filing will be considered by the Commission in 385.211). Protests to this filing will be considered by the Commission in determining the appropriate action to be considered by the Commission in determining the appropriate action to be taken, but will not serve to make determining the appropriate action to be taken, but will not serve to make protestants parties to the proceeding. taken, but will not serve to make protestants parties to the proceeding. Such protests must be filed in protestants parties to the proceeding. Such protests must be filed in accordance with the provisions of Such protests must be filed in accordance with the provisions of Section 154.210 of the Commission’s accordance with the provisions of Section 154.210 of the Commission’s regulations (18 CFR 154.210). Anyone Section 154.210 of the Commission’s regulations (18 CFR 154.210). Anyone filing a protest must serve a copy of that regulations (18 CFR 154.210). Anyone filing a protest must serve a copy of that document on all the parties to the filing a protest must serve a copy of that document on all the parties to the proceeding. document on all the parties to the proceeding. The Commission encourages proceeding. The Commission encourages electronic submission of protests in lieu The Commission encourages electronic submission of protests in lieu of paper using the ‘‘eFiling’’ link at electronic submission of protests in lieu of paper using the ‘‘eFiling’’ link at http://www.ferc.gov. Persons unable to of paper using the ‘‘eFiling’’ link at http://www.ferc.gov. Persons unable to file electronically should submit an http://www.ferc.gov. Persons unable to file electronically should submit an original and 14 copies of the protest to file electronically should submit an original and 14 copies of the protest to the Federal Energy Regulatory original and 14 copies of the protest to the Federal Energy Regulatory Commission, 888 First Street, NE., the Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426. Commission, 888 First Street, NE., Washington, DC 20426. This filing is accessible on-line at Washington, DC 20426. This filing is accessible on-line at http://www.ferc.gov, using the This filing is accessible on-line at http://www.ferc.gov, using the ‘‘eLibrary’’ link and is available for http://www.ferc.gov, using the ‘‘eLibrary’’ link and is available for review in the Commission’s Public ≥eLibrary≥ link and is available for review in the Commission’s Public Reference Room in Washington, DC. review in the Commission’s Public Reference Room in Washington, DC. There is an ‘‘eSubscription’’ link on the Reference Room in Washington, DC. There is an ‘‘eSubscription’’ link on the Web site that enables subscribers to There is an ‘‘eSubscription’’ link on the Web site that enables subscribers to receive e-mail notification when a Web site that enables subscribers to receive e-mail notification when a document is added to a subscribed receive e-mail notification when a document is added to a subscribed docket(s). For assistance with any FERC document is added to a subscribed docket(s). For assistance with any FERC Online service, please e-mail docket(s). For assistance with any FERC Online service, please e-mail [email protected], or call Online service, please e-mail [email protected], or call (866) 208–3676 (toll free). For TTY, call [email protected], or call (866) 208–3676 (toll free). For TTY, call (202) 502–8659. (866) 208–3676 (toll free). For TTY, call (202) 502–8659. (202) 502–8659. Linda Mitry, Linda Mitry, Deputy Secretary. Linda Mitry, Deputy Secretary. [FR Doc. E5–3881 Filed 7–20–05; 8:45 am] Deputy Secretary. [FR Doc. E5–3885 Filed 7–20–05; 8:45 am] BILLING CODE 6717–01–P [FR Doc. E5–3883 Filed 7–20–05; 8:45 am] BILLING CODE 6717–01–P BILLING CODE 6717–01–P
DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY Federal Energy Regulatory Federal Energy Regulatory Commission Federal Energy Regulatory Commission Commission [Docket No. RP00–404–017] [Docket No. RP05–386–001] [Docket No. RP99–176–110] Northern Natural Gas Company; Notice Overthrust Pipeline Company; Notice Natural Gas Pipeline Company of of Filing of a Report on Field Area of Compliance Filing America; Notice of Compliance Filing Segmentation July 15, 2005. July 14, 2005. July 14, 2005. Take notice that on July 13, 2005, Take notice that on July 6, 2005, Take notice that on July 1, 2005, Overthrust Pipeline Company Natural Gas Pipeline Company of Northern Natural Gas Company (Overthrust) tendered for filing as part America (Natural) submitted a (Northern), filed a report with the of its FERC Gas Tariff, First Revised compliance filing pursuant to the Commission in compliance with the Volume No. 1–A, Substitute Third Federal Energy Regulatory Commission Commission’s August 4, 2004 Order in Revised Sheet No. 109, to become (Commission) Order on Clarification this proceeding, which assesses the effective July 22, 2005. and Rehearing issued June 8, 2005, in operation of Phase 1 of Northern’s Field Overthrust states that copies of the Docket No. RP99–176–109 (Order). Area segmentation plan. filing have been served upon
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Overthrust’s customers and the public it has discovered that one of the new for filing a revised Interconnection service commissions of Utah and tariff sheets it included as part of that Service Agreement (ISA) in which the Wyoming. filing, designated as an ‘‘Original return component of the costs was Any person desiring to protest this Sheet’’, had previously been used (but deleted, in compliance with the filing must file in accordance with Rule did not become effective) as part of a Commission’s order issued June 23, 211 of the Commission’s Rules of 1998 certificate proceeding. 2005, in Docket No. ER05–1010–000. Practice and Procedure (18 CFR Ozark states that copies of the filing PJM also submitted for filing under 385.211). Protests to this filing will be has been served on all of Ozark’s section 205 of the Federal Power Act a considered by the Commission in affected customers and state new Schedule G—Schedule of Non- determining the appropriate action to be commissions. Standard Terms and Conditions—to the taken, but will not serve to make Any person desiring to protest this ISA, in which Technical Specifications protestants parties to the proceeding. filing must file in accordance with Rule dealing with telephonic interference, are Such protests must be filed in 211 of the Commission’s Rules of specified. accordance with the provisions of Practice and Procedure (18 CFR Any person desiring to intervene or to Section 154.210 of the Commission’s 385.211). Protests to this filing will be protest in the above proceeding must regulations (18 CFR 154.210). Anyone considered by the Commission in file in accordance with Rules 211 and filing a protest must serve a copy of that determining the appropriate action to be 214 of the Commission’s Rules of document on all the parties to the taken, but will not serve to make Practice and Procedure (18 CFR 385.211 proceeding. protestants parties to the proceeding. and 385.214) on or before 5 p.m. Eastern The Commission encourages Such protests must be filed in time on the specified comment date. It electronic submission of protests in lieu accordance with the provisions of is not necessary to separately intervene of paper using the ‘‘eFiling’’ link at Section 154.210 of the Commission’s again in a subdocket related to a http://www.ferc.gov. Persons unable to regulations (18 CFR 154.210). Anyone compliance filing if you have previously file electronically should submit an filing a protest must serve a copy of that intervened in the same docket. Protests original and 14 copies of the protest to document on all the parties to the will be considered by the Commission the Federal Energy Regulatory proceeding. in determining the appropriate action to The Commission encourages Commission, 888 First Street, NE., be taken, but will not serve to make electronic submission of protests in lieu Washington, DC 20426. protestants parties to the proceeding. of paper using the ‘‘eFiling’’ link at This filing is accessible on-line at Anyone filing a motion to intervene or http://www.ferc.gov. Persons unable to http://www.ferc.gov, using the protest must serve a copy of that ‘‘eLibrary’’ link and is available for file electronically should submit an original and 14 copies of the protest to document on the Applicant. In reference review in the Commission’s Public to filings initiating a new proceeding, Reference Room in Washington, DC. the Federal Energy Regulatory Commission, 888 First Street, NE., interventions or protests submitted on There is an ‘‘eSubscription’’ link on the or before the comment deadline need Web site that enables subscribers to Washington, DC 20426. This filing is accessible on-line at not be served on persons other than the receive e-mail notification when a http://www.ferc.gov, using the applicant. document is added to a subscribed ‘‘eLibrary’’ link and is available for The Commission encourages docket(s). For assistance with any FERC review in the Commission’s Public electronic submission of protests and Online service, please e-mail Reference Room in Washington, DC. interventions in lieu of paper, using the [email protected], or call There is an ‘‘eSubscription’’ link on the FERC Online links at http:// (866) 208–3676 (toll free). For TTY, call Web site that enables subscribers to www.ferc.gov. To facilitate electronic (202) 502–8659. receive email notification when a service, persons with Internet access Linda Mitry, document is added to a subscribed who will eFile a document and/or be Deputy Secretary. docket(s). For assistance with any FERC listed as a contact for an intervenor must create and validate an [FR Doc. E5–3891 Filed 7–20–05; 8:45 am] Online service, please e-mail [email protected], or call eRegistration account using the BILLING CODE 6717–01–P (866) 208–3676 (toll free). For TTY, call eRegistration link. Select the eFiling (202) 502-8659. link to log on and submit the DEPARTMENT OF ENERGY intervention or protests. Linda Mitry, Persons unable to file electronically Federal Energy Regulatory Deputy Secretary. should submit an original and 14 copies 2 - Commission of the intervention or protest to the [FR Doc. E5–3892 Filed 7–20–05; 8:45 am] Federal Energy Regulatory Commission, [Docket No. RP05–405–001] BILLING CODE 6717–01–P 888 First Street, NE., Washington, DC Ozark Gas Transmission, L.L.C.; 20426. The filing in the above proceeding is Notice of Compliance Filing DEPARTMENT OF ENERGY accessible in the Commission’s eLibrary July 15, 2005. Federal Energy Regulatory system. It is also available for review in Take notice that on July 7, 2005, Commission the Commission’s Public Reference Ozark Gas Transmission, L.L.C. (Ozark) Room in Washington, DC. There is an tendered for filing as part of its FERC [Docket Nos. ER05–1010–002, ER05–1213– eSubscription link on the Web site that Gas Tariff, Original Volume No. 1, First 000] enables subscribers to receive e-mail Revised Sheet No. 110, with an effective PJM Interconnection, L.L.C.; Notice of notification when a document is added date of September 1, 2005. Filing to a subscribed docket(s). For assistance Ozark states that on June 29, 2005 it with any FERC Online service, please e- filed certain proposed amendments to July 15, 2005. mail [email protected] or its FERC Gas Tariff to comply with Take notice that on July 8, 2005, PJM call (866) 208–3676 (toll free). For TTY, FERC Order No. 587–S. Ozark states that Interconnection L.L.C. (PJM) submitted call (202) 502–8659.
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Comment Date: 5 p.m. on July 29, Commission’s Public Reference Room, filing an intervention or protest on or 2005. 888 First Street, NE., Washington, DC before the intervention or protest date 20426. The Order may also be viewed need not serve motions to intervene or Linda Mitry, on the Commission’s Web site at protests on persons other than the Deputy Secretary. http://www.ferc.gov, using the eLibrary Applicant. [FR Doc. E5–3889 Filed 7–20–05; 8:45 am] link. Enter the docket number excluding The Commission encourages BILLING CODE 6717–01–P the last three digits in the docket electronic submission of protests and number filed to access the document. interventions in lieu of paper using the Comments, protests, and interventions ‘‘eFiling’’ link at http://www.ferc.gov. DEPARTMENT OF ENERGY may be filed electronically via the Persons unable to file electronically Federal Energy Regulatory Internet in lieu of paper. See 18 CFR should submit an original and 14 copies Commission 385.2001(a)(1)(iii) and the instructions of the protest or intervention to the on the Commission’s Web site under the Federal Energy Regulatory Commission, [Docket Nos. ER05–982–000, ER05–982– ‘‘e-Filing’’ link. The Commission 888 First Street, NE., Washington, DC 001] strongly encourages electronic filings. 20426. This filing is accessible on-line at Prime Power Sales I, LLC; Notice of Linda Mitry, Issuance of Order http://www.ferc.gov, using the Deputy Secretary. ‘‘eLibrary’’ link and is available for July 15, 2005. [FR Doc. E5–3890 Filed 7–20–05; 8:45 am] review in the Commission’s Public Prime Power Sales I, LLC (PPSI) filed BILLING CODE 6717–01–P Reference Room in Washington, DC. an application for market-based rate There is an ‘‘eSubscription’’ link on the authority, with an accompanying rate Web site that enables subscribers to schedule. The proposed rate schedule DEPARTMENT OF ENERGY receive e-mail notification when a document is added to a subscribed provides for wholesale sales of energy Federal Energy Regulatory docket(s). For assistance with any FERC and capacity at market-based rates. PPSI Commission also requested waiver of various Online service, please e-mail Commission regulations. In particular, [Docket No. RP05–508–000] [email protected], or call PPSI requested that the Commission (866) 208–3676 (toll free). For TTY, call grant blanket approval under 18 CFR Questar Pipeline Company; Notice of (202) 502–8659. part 34 of all future issuances of Tariff Filing Linda Mitry, securities and assumptions of liability July 15, 2005. Deputy Secretary. by PPSI. Take notice that on July 13, 2005, On July 14, 2005, the Commission [FR Doc. E5–3895 Filed 7–20–05; 8:45 am] Questar Pipeline Company (Questar), granted the request for blanket approval BILLING CODE 6717–01–P tendered for filing as part of its FERC under part 34, subject to the following: Any person desiring to be heard or to Gas Tariff, Original Volume No. 3, protest the blanket approval of Forty-First Revised Sheet No. 8, to be DEPARTMENT OF ENERGY issuances of securities or assumptions of effective August 15, 2005. liability by PPSI should file a motion to Questar states that this filing Federal Energy Regulatory intervene or protest with the Federal proposed the deletion of the reference to Commission a Gas Research Institute (GRI) surcharge Energy Regulatory Commission, 888 [Docket No. CP05–393–000] First Street, NE., Washington, DC 20426, that is no longer applicable. Questar in accordance with Rules 211 and 214 further states that the GRI funding has Tennessee Gas Pipeline Company; of the Commission’s Rules of Practice been eliminated according to a Notice of Request Under Blanket and Procedure. 18 CFR 385.211, 385.214 Commission-approved 1998 settlement. Authorization (2004). Questar states that copies of this filing Notice is hereby given that the were served upon Questar’s customers, July 14, 2005. deadline for filing motions to intervene the Public Service Commission of Utah Take notice that on July 8, 2005, or protest, is August 15, 2005. and the Public Service Commission of Tennessee Gas Pipeline Company Absent a request to be heard in Wyoming. (Tennessee), 1001 Louisiana Street, opposition by the deadline above, PPSI Any person desiring to intervene or to Houston, Texas 77002, filed in Docket is authorized to issue securities and protest this filing must file in No. CP05–393–000 a request pursuant to assume obligations or liabilities as a accordance with Rules 211 and 214 of sections 157.205(b) and 157.208(f)(2) of guarantor, indorser, surety, or otherwise the Commission’s Rules of Practice and the Commission’s Regulations under the in respect of any security of another Procedure (18 CFR 385.211 and Natural Gas Act (18 CFR 157.205 and person; provided that such issuance or 385.214). Protests will be considered by 157.208) for authorization to increase assumption is for some lawful object the Commission in determining the the maximum allowable operating within the corporate purposes of PPSI, appropriate action to be taken, but will pressure (MAOP) of its North Odem- compatible with the public interest, and not serve to make protestants parties to Spartan lateral (Line 3A–100) located in is reasonably necessary or appropriate the proceeding. Any person wishing to San Patricio County, Texas, under the for such purposes. become a party must file a notice of authorization issued in Docket No. The Commission reserves the right to intervention or motion to intervene, as CP82–413–000 pursuant to section 7 of require a further showing that neither appropriate. Such notices, motions, or the Natural Gas Act, all as more fully public nor private interests will be protests must be filed in accordance described in the request. adversely affected by continued with the provisions of Section 154.210 This filing is available for review at approval of PPSI issuances of securities of the Commission’s regulations (18 CFR the Commission in the Public Reference or assumptions of liability. 154.210). Anyone filing an intervention Room or may be viewed on the Copies of the full text of the Director’s or protest must serve a copy of that Commission’s Web site at http:// Order are available from the document on the Applicant. Anyone www.ferc.gov using the ‘‘eLibrary’’ link.
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Enter the docket number excluding the DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY last three digits in the docket number field to access the document. For Federal Energy Regulatory Federal Energy Regulatory assistance, please contact FERC Online Commission Commission Support at [email protected] or toll- [Docket No. CP05–363–001] [Docket No. RP05–430–001] free at (866) 208–3676, or for TTY, contact (202) 502–8659. Texas Eastern Transmission, LP; Venice Gathering System, LLC; Notice Any questions concerning this request Notice of Compliance Filing of Compliance Filing may be directed to Jacques A. Hodges, July 15, 2005. July 15, 2005. Attorney, Tennessee Gas Pipeline Company, 1001 Louisiana Street, Take notice that on July 11, 2005, Take notice that on July 8, 2005, Houston, Texas 77002, at (713) 420— Texas Eastern Transmission, LP (Texas Venice Gathering System, LLC (VGS) 5680 or Fax (713) 420–1601 or Cynthia Eastern) submitted a compliance filing submitted for filing corrected tariff Hornstein Roney, Certificates & pursuant to Texas Eastern sheets to VGS’s compliance filing in the Regulatory Compliance, at (713) 420– Transmission, LP, 111 FERC ¶ 62,329 instant docket. VGS states that the 3281 or fax (713) 420–1605. (2005), issued on June 24, 2005, in tendered tariff sheets, bearing a Docket No. CP05–363–000. proposed effective date of September 1, Tennessee states that Line 3A–100 is 2005, are as follows: connected to Tennessee’s parallel Texas Eastern states that copies of the mainlines designated as Line No. 100– filing were served on parties on the Seventh Revised Sheet No. 192, 1 and 100–2. Tennessee asserts that the official service lists in the captioned Seventh Revised Sheet No. 196, operating pressure of its mainline is 750 proceeding. Fifth Revised Sheet No. 197. psig, but whenever the pressure on the Any person desiring to protest this VGS states that the tariff sheets were mainline exceeds 700 psig, producers filing must file in accordance with Rule filed to correct the Order No. 614 tariff on the lateral must be shut in to avoid 211 of the Commission’s Rules of sheet designations as required under the pressure buildup that exceeds the 718 Practice and Procedure (18 CFR Commission’s regulations. psig MAOP limit. Tennessee maintains 385.211). Protests to this filing will be VGS states that a copy of VGS’s filing that the proposed MAOP increase is considered by the Commission in needed so that Tennessee can was served on each customer and determining the appropriate action to be interested state commission. consistently and reliably receive natural taken, but will not serve to make Any person desiring to protest this gas from the affected producers located protestants parties to the proceeding. filing must file in accordance with Rule on this lateral. Tennessee contends that Such protests must be filed on or before 211 of the Commission’s Rules of the estimated project cost would be the date as indicated below. Anyone Practice and Procedure (18 CFR approximately $41,110. filing a protest must serve a copy of that 385.211). Protests to this filing will be Any person or the Commission’s Staff document on all the parties to the considered by the Commission in may, within 45 days after the issuance proceeding. of the instant notice by the Commission, determining the appropriate action to be The Commission encourages taken, but will not serve to make file pursuant to Rule 214 of the electronic submission of protests in lieu Commission’s Procedural Rules (18 CFR protestants parties to the proceeding. of paper using the ‘‘eFiling’’ link at 385.214) a motion to intervene or notice Such protests must be filed in http://www.ferc.gov. Persons unable to of intervention and, pursuant to Section accordance with the provisions of file electronically should submit an 157.205 of the Commission’s section 154.210 of the Commission’s original and 14 copies of the protest to Regulations under the Natural Gas Act regulations (18 CFR 154.210). Anyone the Federal Energy Regulatory (NGA) (18 CFR 157.205) a protest to the filing a protest must serve a copy of that Commission, 888 First Street, NE., request. If no protest is filed within the document on all the parties to the Washington, DC 20426. time allowed therefore, the proposed proceeding. activity shall be deemed to be This filing is accessible on-line at The Commission encourages authorized effective the day after the http://www.ferc.gov, using the electronic submission of protests in lieu time allowed for protest. If a protest is ‘‘eLibrary’’ link and is available for of paper using the ‘‘eFiling’’ link at filed and not withdrawn within 30 days review in the Commission’s Public http://www.ferc.gov. Persons unable to after the time allowed for filing a Reference Room in Washington, DC. file electronically should submit an protest, the instant request shall be There is an ‘‘eSubscription’’ link on the original and 14 copies of the protest to treated as an application for Web site that enables subscribers to the Federal Energy Regulatory authorization pursuant to Section 7 of receive e-mail notification when a Commission, 888 First Street, NE., the NGA. document is added to a subscribed Washington, DC 20426. Comments, protests and interventions docket(s). For assistance with any FERC This filing is accessible on-line at may be filed electronically via the Online service, please e-mail http://www.ferc.gov, using the Internet in lieu of paper. See 18 CFR [email protected], or call ‘‘eLibrary’’ link and is available for 385.2001(a)(1)(iii) and the instructions (866) 208–3676 (toll free). For TTY, call review in the Commission’s Public on the Commission’s Web site under the (202) 502–8659. Reference Room in Washington, DC. ‘‘e-filing’’ link. The Commission Comment Date: 5 p.m. eastern time on There is an ‘‘eSubscription’’ link on the strongly encourages electronic filings. August 5, 2005. Web site that enables subscribers to receive e-mail notification when a Linda Mitry, Linda Mitry, document is added to a subscribed Deputy Secretary. Deputy Secretary. docket(s). For assistance with any FERC [FR Doc. E5–3877 Filed 7–20–05; 8:45 am] [FR Doc. E5–3886 Filed 7–20–05; 8:45 am] Online service, please e-mail BILLING CODE 6717–01–P BILLING CODE 6717–01–P [email protected], or call
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(866) 208–3676 (toll free). For TTY, call FPL Energy states that copies of this (866) 208–3676 (toll free). For TTY, call (202) 502–8659. filing have been served upon the (202) 502–8659. Linda Mitry, Securities and Exchange Commission, Linda Mitry, the Florida Public Service Commission Deputy Secretary. Deputy Secretary. and the California Public Utilities [FR Doc. E5–3893 Filed 7–20–05; 8:45 am] [FR Doc. E5–3897 Filed 7–20–05; 8:45 am] Commission. BILLING CODE 6717–01–P BILLING CODE 6717–01–P Comment Date: 5 p.m. eastern time on July 28, 2005. DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY 3. Shiloh I Wind Project LLC Federal Energy Regulatory [Docket No. EG05–82–000] Federal Energy Regulatory Commission Commission Take notice that on July 8, 2005, [Docket Nos. EC05–102–000, et al.] Shiloh I Wind Project LLC (Shiloh), Combined Notice of Filings #1 1125 NW. Couch, Suite 700, Portland, Wrightsville Power Facility, L.L.C., et Oregon 97209, filed with the Federal July 15, 2005. al.; Electric Rate and Corporate Filings Energy Regulatory Commission an Take notice that the Commission application for determination of exempt received the following electric rate July 14, 2005. filings. wholesale generator status pursuant to Docket Numbers: ER01–1011–006. The following filings have been made part 365 of the Commission’s with the Commission. The filings are Applicants: Redbud Energy LP. regulations. listed in ascending order within each Description: Redbud Energy LP docket classification. Comment Date: 5 p.m. eastern time on submits Second Revised Sheet 1 and July 29, 2005. First Revised Sheets No. 1 A to its FERC 1. Wrightsville Power Facility, L.L.C.; Electric Tariff, Original Volume No.1, in Standard Paragraph Wrightsville Development Funding, compliance with the Commission’s 6/ L.L.C.; Mirant Wrightsville Any person desiring to intervene or to 16/05 letter order, 111 FERC 61,397 Management, Inc.; Mirant Wrightsville (2005). Investment, Inc. protest this filing must file in accordance with Rules 211 and 214 of Filed Date: 7/12/2005. [Docket No. EC05–102–000] the Commission’s Rules of Practice and Accession Number: 20050714–0185. Comment Date: 5 p.m. Eastern Time Take notice that on July 8, 2005, Procedure (18 CFR 385.211, 385.214). on Tuesday, August 2, 2005. Wrightsville Power Facility, L.L.C. and Protests will be considered by the two of its members, Mirant Wrightsville Commission in determining the Docket Numbers: ER05–903–001. Applicants: Consolidated Edison Management, Inc. and Mirant appropriate action to be taken, but will Energy Massachusetts, Inc. Wrightsville Investment, Inc., and not serve to make protestants parties to Wrightsville Development Funding, Description: Consolidated Edison the proceeding. Any person wishing to Energy Massachusetts, Inc. submits an L.L.C. (collectively, the Applicants), as become a party must file a notice of debtors and debtors in possession, amendment to its 4/29/05 filing of a intervention or motion to intervene, as submitted an Application pursuant to cost-of-service Reliability Must Run appropriate. Such notices, motions, or section 203 of the Federal Power Act for Agreement with ISO New England, Inc., protests must be filed on or before the authorization of the disposition of in response to the Commission’s 6/10/ jurisdictional facilities whereby the comment date. Anyone filing a motion 05 deficiency letter in Docket No. ER05– Applicants will sell certain FPA- to intervene or protest must serve a copy 903–000. jurisdictional facilities associated with of that document on the Applicant and Filed Date: 7/11/2005 the approximately 548 MW Wrightsville all the parties in this proceeding. Accession Number: 20050714–0059. generating facility, to Arkansas Electric The Commission encourages Comment Date: 5 p.m. Eastern Time Cooperative Corporation for electronic submission of protests and on Monday, August 1, 2005. consideration in the amount of interventions in lieu of paper using the Docket Numbers: ER05–1206–000. $85,000,000.00. ‘‘eFiling’’ link at http://www.ferc.gov. Applicants: Alliance Power Comment Date: 5 p.m. eastern time on Persons unable to file electronically Marketing, Inc. July 29, 2005. should submit an original and 14 copies Description: Alliance Power Marketing, Inc. submits a notice of 2. FPL Energy Montezuma Wind, LLC of the protest or intervention to the Federal Energy Regulatory Commission, cancellation of its market rate tariff, [Docket No. EG05–81–000] 888 First Street, NE., Washington, DC FERC Electric Rate Schedule No. 1. Take notice that on July 6, 2005, FPL 20426. Filed Date: 7/7/2005. Energy Montezuma Wind, LLC, (FPL Accession Number: 20050711–0166. Energy) located at 700 Universe Blvd., This filing is accessible on-line at Comment Date: 5 p.m. Eastern Time Juno Beach, Florida, 33408, filed with http://www.ferc.gov, using the on Thursday, July 28, 2005. the Federal Energy Regulatory ‘‘eLibrary’’ link and is available for Docket Numbers: ER05–1208–000. Commission an application for review in the Commission’s Public Applicants: Southwest Power Pool, determination of exempt wholesale Reference Room in Washington, DC. Inc. generator status pursuant to part 365 of There is an ‘‘eSubscription’’ link on the Description: Southwest Power Pool, the Commission’s regulations. Web site that enables subscribers to Inc. submits an executed service FPL Energy Montezuma Wind, LLC receive e-mail notification when a agreement for network integration states it is a wind facility with a document is added to a subscribed transmission service and an executed nameplate generating capacity of docket(s). For assistance with any FERC network operating agreement with approximately 34.2 MW located in Online service, please e-mail Southwestern Public Service Company Solano County, California. [email protected], or call to serve West Texas Municipal Power
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Agency load located at the City of Persons unable to file electronically and Northern States Power Company Lubbock, Texas, designated as Service should submit an original and 14 copies (Wisconsin); Public Service Company of Agreement No. 1139. of the intervention or protest to the Colorado; Southwestern Public Service Filed Date: 7/12/2005. Federal Energy Regulatory Commission, Company. Accession Number: 20050714–0190. 888 First St., NE., Washington, DC Description: Xcel Energy Services Inc, Comment Date: 5 p.m. Eastern Time 20426. on behalf of itself and the Xcel Energy on Tuesday, August 2, 2005. The filings in the above proceedings Operating Companies, Northern States Docket Numbers: ER05–1209–000. are accessible in the Commission’s Power Company and Northern States Applicants: PJM Interconnection eLibrary system by clicking on the Power Company (Wisconsin), Public L.L.C. appropriate link in the above list. They Service Company of Colorado and Description: PJM Interconnection LLC are also available for review in the Southwestern Public Service Company, submits revisions to its open access Commission’s Public Reference Room in submits an errata to correct the transmission tariff concerning its Washington, DC. There is an description of the change in status proposal to amend Article 10 of the PJM eSubscription link on the Web site that submitted 7/1/05. Open Access Transmission Tariff . enables subscribers to receive e-mail Filed Date: 7/12/2005. Filed Date: 7/12/2005. notification when a document is added Accession Number: 20050714–0154. Accession Number: 20050714–0189. to a subscribed dockets(s). For Comment Date: 5 p.m. Eastern Time Comment Date: 5 p.m. Eastern Time assistance with any FERC Online on Tuesday, August 2, 2005. on Tuesday, August 2, 2005. service, please e-mail Docket Numbers: ER04–230–011; Docket Numbers: ER98–4289–005. [email protected]. or call ER01–3155–009; EL01–45–017; ER01– Applicants: Montana-Dakota Utilities (866) 208–3676 (toll free). For TTY, call 1385–018. Company. (202) 502–8659. Applicants: New York Independent System Operator, Inc. Description: Montana-Dakota Utilities Linda Mitry, Company submits an amendment to its Description: New York Independent Deputy Secretary. updated market power analysis filed 10/ System Operator, Inc. submits its 15/04, as amended on 5/6/05, in [FR Doc. E5–3898 Filed 7–20–05; 8:45 am] compliance filing which modifies response to the Commission’s BILLING CODE 6717–01–P Attachment H of its Market deficiency letter issued 6/3/05. Administration & Control Area Services Filed Date: 7/5/2005. Tariff, to remove the tariff provisions DEPARTMENT OF ENERGY Accession Number: 20050714–0056. that permit the application of the Comment Date: 5 p.m. Eastern Time Federal Energy Regulatory NYISO’s automatic mitigation on Tuesday, July 26, 2005. Commission procedures to generator’s operating in Any person desiring to intervene or to the rest-of-state, real-time market protest in any of the above proceedings Combined Notice of Filings #1 pursuant to the Commission’s Order must file in accordance with Rules 211 issued 6/24/05, 111 FERC 61,468 (2005). and 214 of the Commission’s Rules of July 14, 2005. Filed Date: 7/11/2005. Practice and Procedure (18 CFR 385.211 Take notice that the Commission Accession Number: 20050713–0069. and 385.214) on or before 5 p.m. Eastern received the following electric rate Comment Date: 5 p.m. Eastern Time time on the specified comment date. It filings. on Monday, August 1, 2005. is not necessary to separately intervene Docket Numbers: ER00–2187–001. Docket Numbers: ER04–1265–003. again in a subdocket related to a Applicants: CMS Distributed Power, Applicants: Mystic I, LLC; Mystic compliance filing if you have previously L.L.C. Development, LLC; Fore River intervened in the same docket. Protests Description: CMS Distributed Power, Development, LLC. will be considered by the Commission L.L.C.’s response to the requirement to Description: Mystic I, LLC, Mystic in determining the appropriate action to file a generation market power analysis Development, LLC & Fore River be taken, but will not serve to make together with tariff modification to Development, LLC, submit their revised protestants parties to the proceeding. comply with FERC’s rulings and related versions of the market-based tariffs with Anyone filing a motion to intervene or materials. the correct designations in compliance protest must serve a copy of that Filed Date: 7/11/2005. with the Commission’s 6/7/05 letter document on the Applicant. In reference Accession Number: 20050713–0073. order. to filings initiating a new proceeding, Comment Date: 5 p.m. Eastern Time Filed Date: 7/7/2005. interventions or protests submitted on on Monday, August 1, 2005. Accession Number: 20050713–0071. or before the comment deadline need Docket Numbers: ER00–2687–007. Comment Date: 5 p.m. Eastern Time not be served on persons other and the Applicants: Union Electric Company. on Thursday, July 28, 2005. Applicant. Description: Union Electric Company Docket Numbers: ER05–940–000. The Commission encourages submits notification of change in status Applicants: Vesta Capital Partners LP. electronic submission of protests and regarding AmerenUE relevant to its Description: Vesta Capital Partners, interventions in lieu of paper, using the continued authorization to sell power at LP submits a Notice of Withdrawal of its FERC Online links at http:// market-based rates. proposed Initial Rate Schedule, FERC www.ferc.gov. To facilitate electronic Filed Date: 7/11/2005. Electric Tariff, Original Volume 1 filed service, persons with Internet access Accession Number: 20050713–0070. on 5/5/05. who will eFile a document and/or be Comment Date: 5 p.m. Eastern Time Filed Date: 7/5/2005. listed as a contact for an intervenor on Monday, August 1, 2005. Accession Number: 20050708–0037. must create and validate an Docket Numbers: ER01–205–008; Comment Date: 5 p.m. Eastern Time eRegistration account using the ER98–2640–006; ER98–4590–004; on Tuesday, July 26, 2005. eRegistration link. Select the eFiling ER99–1610–011. Docket Numbers: ER05–1179–001. link to log on and submit the Applicants: Xcel Energy Services, Applicants: Berkshire Power intervention or protests. Inc.; Northern States Power Company Company, LLC.
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Description: Berkshire Power eRegistration account using the facility, consists of: (1) North Canyon Company, LLC submits Exhibit FMB–2, eRegistration link. Select the eFiling Creek diversion and canal; (2) South which provides detailed cost & revenue link to log on and submit the Canyon Creek diversion dam and canal; information for Berkshire for the intervention or protests. (3) Canyon Creek siphon; (4) Kilarc calendar year 2000 through 2004, Persons unable to file electronically diversion dam main canal; (5) Kilarc amending its 6/30/05 filing in ER05– should submit an original and 14 copies forebay dam; (6) Kilarc forebay, 1179–000. of the intervention or protest to the penstock, and powerhouse. The second, Filed Date: 7/8/2005. Federal Energy Regulatory Commission, the Cow Creek facility, consists of: (1) Accession Number: 20050712–0210. 888 First St., NE., Washington, DC Mill Creek diversion dam and Mill Comment Date: 5 p.m. Eastern Time 20426. Creek-South Cow Creek canal; (2) South on Thursday, July 21, 2005. The filings in the above proceedings Cow Creek diversion dam and main Docket Numbers: ER05–1207–000. are accessible in the Commission’s canal; (3) Cow Creek forebay dam; (4) Applicants: Southwestern Electric eLibrary system by clicking on the Cow Creek forebay, penstock, and Power Company. appropriate link in the above list. They powerhouse. Description: Southwestern Electric are also available for review in the j. Pursuant to 18 CFR 16.7, Power Company submits changes in Commission’s Public Reference Room in Information on the Project is Available rates applicable to transmission service Washington, DC. There is an at: Whitmore Public Library, 30611 to be provided to Arkansas Electric eSubscription link on the Web site that Whitmore Road, Whitmore, CA, 96096. Cooperative Corporation for the period enables subscribers to receive e-mail k. FERC Contact: Emily Carter, 202– 7/1/05 to 12/21/07. notification when a document is added 502–6512, [email protected]. Filed Date: 7/11/2005. to a subscribed dockets(s). For l. Licensee Contact: Arthur Hagood, Accession Number: 20050713–0074. assistance with any FERC Online Synergics Energy Services, LLC, 191 Comment Date: 5 p.m. Eastern Time service, please e-mail Main Street, Annapolis, Maryland, on Monday, August 1, 2005. [email protected] or call 21401. m. The applicant states its Docket Numbers: ER97–2801–008, (866) 208–3676 (toll free). For TTY, call (202) 502–8659. unequivocal intent to submit an ER03–478–006 and EL05–95–000. application for a new license for Project Applicants: PacifiCorp. Linda Mitry, No. 606. Pursuant to Part I of the Description: PacifiCorp and PPM Deputy Secretary. Federal Power Act and Part 4 (except Energy, Inc., provides their second and [FR Doc. E5–3899 Filed 7–20–05; 8:45 am] section 4.38) of the Commission’s final filing in compliance with FERC’s BILLING CODE 6717–01–P regulations, the application for license 5/9/05 order. for this project must be filed with the Filed Date: 7/8/2005, as amended 7/ Commission within 18 months of the 12/2005. DEPARTMENT OF ENERGY date on which the applicant files its Accession Number: 20050712–0286. notice and must comply with the Comment Date: 5 p.m. Eastern Time Federal Energy Regulatory requirements of 18 CFR 16.8 and 16.10 on Friday, July 29, 2005. Commission of the Commissions Regulations. The Any person desiring to intervene or to applicant filed their Notice of Intent to protest in any of the above proceedings Notice of Intent To File Application for file an application for new license for P– must file in accordance with Rules 211 New License 606 on June 27, 2005 and the and 214 of the Commission’s Rules of July 14, 2005. application for license for this project Practice and Procedure (18 CFR 385.211 a. Type of Filing: Notice of intent to must be filed by December 27, 2006. and 385.214) on or before 5 p.m. Eastern file application for a new license. n. A copy of this filing is available for time on the specified comment date. It b. Project No.: 606. review at the Commission in the Public is not necessary to separately intervene c. Date Filed: June 27, 2005. Reference Room or may be viewed on again in a subdocket related to a d. Submitted by: Synergics Energy the Commission’s Web site at http:// compliance filing if you have previously Services, LLC. www.ferc.gov using the ‘‘eLibrary’’ link. intervened in the same docket. Protests e. Name of Project: Kilarc-Cow Creek Enter the docket number in the docket will be considered by the Commission Project. number field to access the document. in determining the appropriate action to f. Location: On Old Cow Creek and For assistance, contact FERC Online be taken, but will not serve to make South Cow Creek in Shasta County, Support at protestants parties to the proceeding. California. [email protected] or toll- Anyone filing a motion to intervene or g. Filed Pursuant to: Section 15 of the free at 1–866–208–3676, or TTY 202– protest must serve a copy of that Federal Power Act; 18 CFR 16.6 of the 502–8659. A copy is also available for document on the Applicant. In reference Commission’s regulations. Pursuant to inspection and reproduction at the to filings initiating a new proceeding, 18 CFR 16.25, the Commission solicited address in item k above. interventions or protests submitted on applications from potential applicants o. Register online at http:// or before the comment deadline need for the Kilarc-Cow Creek project when www.ferc.gov/docs-filing/ not be served on persons other and the the current licensee, Pacific Gas & esubscription.asp to be notified via Applicant. Electric Co., did not file a new license email of new filings and issuances The Commission encourages application for the project by the March related to this or other pending projects. electronic submission of protests and 27, 2005 deadline. Potential applicants For assistance, contact FERC Online interventions in lieu of paper, using the had 90 days (ending July 5, 2005) to file Support as shown in the paragraph FERC Online links at http:// a Notice of Intent to file an application above. www.ferc.gov. To facilitate electronic for a new license for P–606. p. By this notice, the Commission is service, persons with Internet access h. Expiration Date of Current License: seeking corrections and updates to the who will eFile a document and/or be March 27, 2007. attached mailing list for the Kilarc-Cow listed as a contact for an intervenor i. The project consists of two separate Creek Project. Updates should be filed must create and validate an operating projects. The first, the Kilarc with Magalie R. Salas, Secretary,
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Federal Energy Regulatory Commission, l. The project is located on the SD may be viewed on the Web at 888 First Street, NE., Washington, DC Holyoke Canal System on the http://www.ferc.gov using the ‘‘FERRIS’’ 20426. Connecticut River in Hampden County, link. Enter the docket number excluding Massachusetts.1 The Holyoke Canal Linda Mitry, the last three digits in the docket System consists of three levels, and the number field to access the document. Deputy Secretary. project facilities are located between the For assistance, call 1–866–208–3676 or [FR Doc. E5–3879 Filed 7–20–05; 8:45 am] first and second canal level. The project for TTY, (202) 502–8659. BILLING CODE 6717–01–P is one of nine FERC-licensed projects on the Holyoke Canal System. The Holyoke Linda Mitry, No. 4 Hydro Project has an installed Deputy Secretary. DEPARTMENT OF ENERGY generating capacity of 750 kilowatts [FR Doc. E5–3880 Filed 7–20–05; 8:45 am] Federal Energy Regulatory (kW), and generates about 3,148,000 BILLING CODE 6717–01–P Commission kilowatt-hours (kWh) of energy annually. Flows into the Canal System Notice Soliciting Scoping Comments are regulated by HG&E through DEPARTMENT OF ENERGY operation of the Holyoke Project No. July 14, 2005. 2004 according to the Comprehensive Federal Energy Regulatory Take notice that the following Canal Operations Plan (CCOP) and the Commission hydroelectric application has been filed Comprehensive Operations and Flow with the Commission and is available 2 Plan (COFP). The project does not [Docket No. CP05–360–000] for public inspection. occupy any Federal lands. a. Type of Application: New major m. A copy of the application is Creole Trail LNG Terminal, L.P.; Notice license. available for review at the Commission of Technical Conference b. Project No.: P–7758–004. in the Public Reference Room or may be c. Date Filed: February 5, 2005. viewed on the Commission’s Web site at July 14, 2005. d. Applicant: Holyoke Gas & Electric http://www.ferc.gov using the ‘‘FERRIS’’ On Wednesday, August 10, 2005, at Department. link. Enter the docket number excluding e. Name of Project: Holyoke No. 4 8:30 a.m. (CDT), staff of the Office of the last three digits in the docket Hydroelectric Project. Energy Projects will convene a number field to access the document. f. Location: On the Holyoke Canal cryogenic design and technical For assistance, contact FERC Online System on the Connecticut River in conference regarding the proposed Support at Hampden County, Massachusetts. Creole Trail LNG import terminal. The g. Filed Pursuant to: Federal Power [email protected] or toll- free at 1–866–208–3676, or for TTY, cryogenic conference will be held in the Act 16 U.S.C. 791(a)–825(r). Holiday Inn Express Hotel & Suites in h. Applicant Contact: Mr. Paul (202) 502–8659. A copy is also available for inspection and reproduction at the Sulphur, Louisiana. The hotel is located Ducheney, Superintendent-Hydro, at 102 Mallard St, Sulphur, Louisiana Holyoke Gas & Electric Department, One address in item h above. 70665. For hotel details call 337–625– Canal Street, Holyoke, MA 01040, (413) n. You may also register online at 2500. 536–9340 or [email protected]. http://www.ferc.gov.esubscribenow.htm i. FERC Contact: Jack Hannula, (202) to be notified via e-mail of new filings In view of the nature of critical energy 502–8917, [email protected]. and issuances related to this or other infrastructure information and security j. Deadline for Filing Scoping pending projects. For assistance, contact issues to be explored, the cryogenic Comments: August 19, 2005. FERC Online Support. conference will not be open to the All documents (original and eight o. Scoping Process: public. Attendance at this conference copies) should be filed with: Magalie R. The Commission staff intends to will be limited to existing parties to the Salas, Secretary, Federal Energy prepare an Environmental Assessment proceeding (anyone who has Regulatory Commission, 888 First (EA) for the Holyoke No. 4 specifically requested to intervene as a Street, NE., Washington, DC 20426. Hydroelectric Project in accordance party) and to representatives of The Commission’s Rules of Practice with the National Environmental Policy interested Federal, state, and local require all intervenors filing documents Act. The EA will consider both site- agencies. Any person planning to attend with the Commission to serve a copy of specific and cumulative environmental the August 10th cryogenic conference that document on each person on the impacts and reasonable alternatives to must register by close of business on official service list for the project. the proposed action. Friday, August 5, 2005. Registrations Further, if an intervenor files comments Commission staff does not propose to or documents with the Commission conduct any on-site scoping meetings at may be submitted either online at relating to the merits of an issue that this time. Instead, we will solicit https://www.ferc.gov/whats-new/ may affect the responsibilities of a comments, recommendations, registration/cryo-conf-form.asp or by particular resource agency, they must information, and alternatives in the faxing a copy of the form (found at the also serve a copy of the document on Scoping Document (SD). referenced online link) to 202–208– that resource agency. Copies of the SD outlining the subject 0353. All attendees must sign a non- Scoping comments may be filed areas to be addressed in the EA were disclosure statement prior to entering electronically via the Internet in lieu of distributed to the parties on the the conference. For additional paper. The Commission strongly Commission’s mailing list. Copies of the information regarding the cryogenic encourages electronic filings. See 18 conference, please contact Kareem M. CFR 385.2001(a)(1)(iii) and the 1 The Holyoke Canal System is licensed under the Monib at 202–502–6265. instructions on the Commission’s Web Holyoke Project No. 2004. 88 FERC ¶ 61,186 (1999). 2 Linda Mitry, site (http://www.ferc.gov) under the ‘‘e- The CCOP and COEP are part of a Settlement Agreement (filed with the Commission on March Deputy Secretary. Filing’’ link. 12, 2004) as part of the licensing of the Holyoke k. This application is not ready for Project No. 2004. These plans address canal flows, [FR Doc. E5–3876 Filed 7–20–05; 8:45 am] environmental analysis at this time. water quality, fish, and other habitat species. BILLING CODE 6717–01–P
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DEPARTMENT OF ENERGY Agency Holding Meeting: Federal Energy For a recorded listing item stricken from or Regulatory Commission. added to the meeting, call (202) 502–8627. Federal Energy Regulatory Date and Time: July 21, 2005; 10 a.m. This is a list of matters to be considered Commission Place: Room 2C, 888 First Street, NE., by the Commission. It does not include a Washington DC 20426. listing of all papers relevant to the items on the agenda; however, all public documents Notice Status: Open. may be examined in the Public Reference Matters to be Considered: Agenda. July 14, 2005. Room. *Note—Items listed on the agenda may be The following notice of meeting is deleted without further notice. 895th—Meeting published pursuant to section 3(a) of the Contact person for more information: Regular Meeting government in the Sunshine Act (Pub. Magalie R. Salas, Secretary, Telephone (202) L. 94–409), 5 U.S.C 552b: 502–8400. July 21, 2005, 10 a.m.
Item No. Docket No. Company
Administrative Agenda
A–1 ...... AD02–1–000 ...... Agency Administrative Matters. A–2 ...... AD02–7–000 ...... Customer Matters, Reliability, Security and Market Operations. A–3 ...... AD05–12–000 ...... Investigation of Supply Offers into MISO April–May 2005.
Markets, Tariffs, and Rates—Electric
E–1 ...... OMITTED. E–2 ...... OMITTED. E–3 ...... ER05–666–000, ER05–666–001, ER05– Southwest Power Pool, Inc. 666–002. E–4 ...... ER05–990–000, ER05–990–001 ...... Southwest Power Pool. E–5 ...... ER05–1029–000 ...... Midwest Independent Transmission System Operator, Inc. E–6 ...... ER05–1051–000, ER05–1052–000 ...... Southwest Power Pool, Inc. E–7 ...... ER05–1050–000 ...... AmerGen Energy Company, LLC. E–8 ...... OMITTED. E–9 ...... OMITTED. E–10 ...... OMITTED. E–11 ...... OMITTED. E–12 ...... OMITTED. E–13 ...... ER05–6–023, ER05–6–028, ER05–6–030 Midwest Independent Transmission System Operator, Inc. EL04–135–025, EL04–135–030, EL04– Midwest Independent Transmission System Operator, Inc. and PJM Interconnection, 135–032, EL02–111–043, EL02–111– L.L.C. 048, EL02–111–050. EL03–212–039, EL03–212–044, EL03– Ameren Services Company. 212–046. E–14 ...... OMITTED. E–15 ...... OMITTED. E–16 ...... ER04–691–038, ER04–691–043, ER04– Midwest Independent Transmission System Operator, Inc. 691–048. EL04–104–036, EL04–104–041, EL04– Public Utilities with Grandfathered Agreements in the Midwest ISO Region. 104–046. E–17 ...... ER03–811–003 ...... Entergy Services, Inc. E–18 ...... ER97–3923–002 ...... Infinite Energy, Inc. E–19 ...... ER03–1331–003, ER03–1331–004 ...... Williams Power Company, Inc. ER99–1722–004, ER99–1722–005 ...... Williams Energy Marketing & Trading Company. ER97–4587–004, ER97–4587–005, ER97– Williams Generation Company—Hazelton. 4587–006. ER00–2469–001, ER00–2469–002, ER00– Williams Flexible Generation, LLC. 2469–003. E–20 ...... ER99–3125–001 ...... Minergy Neenah, L.L.C. E–21 ...... OMITTED. E–22 ...... OMITTED. E–23 ...... OMITTED. E–24 ...... EL01–106–000 ...... Old Dominion Electric Cooperative v. PJM Interconnection, L.L.C. E–25 ...... EL05–117–000 ...... Old Dominion Electric Cooperative v. Potomac Edison Company d/b/a Allegheny Power. E–26 ...... EL05–119–000 ...... Devon Power LLC v. ISO New England Inc. E–27 ...... OMITTED. E–28 ...... EL05–53–000, ER05–129–000 ...... Southern Company Services, Inc. E–29 ...... EL03–37–001 ...... Town of Norwood, Massachusetts v. National Grid USA, New England Electric Sys- tem, Massachusetts Electric Company and Narragansett Electric Light Company. E–30 ...... ER05–191–000, ER05–191–001 ...... Perryville Energy Partners, L.L.C. E–31 ...... EL05–18–000, ER05–381–000 ...... City of Pasadena, California and California Independent System Operator Corporation. E–32 ...... ER98–4410–000, ER98–4410–001, ER98– Entergy Services, Inc. 4410–002. E–33 ...... ER02–1741–000, ER02–1742–000 ...... Nevada Power Company. ER04–424–002 ...... Valley Electric Association, Inc. ER02–2344–001 ...... Southern California Edison Company.
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Item No. Docket No. Company
E–34 ...... OMITTED. E–35 ...... PA03–12–002 ...... Transmission Congestion on the Delmarva Peninsula. E–36 ...... OMITTED. E–37 ...... ER05–413–001, ER05–413–002 ...... Southern Company Services, Inc. E–38 ...... ER05–31–002, ER05–31–003 ...... American Electric Power Service Corporation. EL05–70–001, EL05–70–002, EL05–70– PJM Interconnection, LLC and Midwest Independent Transmission System Operator, 003. Inc. E–39 ...... OMITTED. E–40 ...... OMITTED. E–41 ...... EL05–38–001, EL05–38–002 ...... Oklahoma Municipal Power Authority v. American Electric Power Service Corporation. EL05–126–000 ...... American Electric Power Service Corporation. E–42 ...... OMITTED. E–43 ...... OMITTED. E–44 ...... EL05–46–001 ...... Entergy Nuclear Operations, Inc., Entergy Nuclear Indian Point 2, LLC and Entergy Nuclear Indian Point 3, LLC v. Consolidated Edison Company of New York, Inc. E–45 ...... OMITTED. E–46 ...... ER04–938–001, ER04–938–002 ...... California Independent System Operator Corporation. E–47 ...... EL05–55–001 ...... City of Holland, Michigan v. Midwest Independent Transmission System Operator, Inc. E–48 ...... OMITTED. E–49 ...... ER04–663–000 ...... Entergy Services, Inc. E–50 ...... ER05–10–000, ER05–10–003 ...... PJM Interconnection L.L.C. E–51 ...... TX05–1–000, TX05–1–001, TX05–1–002 .. East Kentucky Power Cooperative, Inc. E–52 ...... ER05–985–000 ...... Trans Bay Cable LLC.
Markets, Tariffs, and Rates—Gas
G–1 ...... RP05–388–000 ...... CenterPoint Energy—Mississippi River Transmission Corporation. G–2 ...... PR05–11–000 ...... The Cincinnati Gas & Electric Company. G–3 ...... RP05–172–001 ...... CenterPoint Energy—Mississippi River Transmission Corporation. G–4 ...... OMITTED. G–5 ...... RP05–51–001 ...... Dominion Transmission, Inc. G–6 ...... RP05–254–000 ...... Kern River Gas Transmission Company. G–7 ...... RP04–94–000, RP04–94–001 ...... Northern Natural Gas Company. G–8 ...... RP05–216–001 ...... TransColorado Gas Transmission Company. G–9 ...... RP05–290–001 ...... Midwestern Gas Transmission Company. G–10 ...... OMITTED. G–11 ...... RP01–245–015 ...... Transcontinental Gas Pipe Line Corporation. G–12 ...... OMITTED. G–13 ...... OMITTED.
Energy Projects—Hydro
H–1 ...... DI04–3–001 ...... Chippewa and Flambeau Improvement Company. H–2 ...... P–2368–040 ...... WPS New England, Inc. H–3 ...... P–12430–001, P–12462–002 ...... Indian River Power Supply, LLC Alternative Light & Hydro Associates. H–4 ...... P–12178–002 ...... Verdant Power, LLC. H–5 ...... HB20–95–2–011 ...... City of Hamilton, Ohio. H–6 ...... OMITTED. H–7 ...... P–2493–029, P–2493–025 ...... Puget Sound Energy, Inc.
Energy Projects—Certificates
C–1 ...... CP05–40–000, CP05–41–000 ...... Rendezvous Gas Services, L.L.C. C–2 ...... RP04–215–001 ...... Tennessee Gas Pipeline Company v. Columbia Gulf Transmission Company. C–3 ...... CP05–386–000 ...... Port Barre Gas Storage and Rapiere Resources Company. C–4 ...... OMITTED. C–5 ...... CP05–58–000 ...... CenterPoint Energy Gas Transmission Company. C–6 ...... CP05–8–000, CP05–9–000, CP05–10–000 Starks Gas Storage L.L.C. C–7 ...... OMITTED. C–8 ...... CP05–13–000 ...... Ingleside Energy Center LLC. CP05–11–000, CP05–12–000, CP05–14– San Patricio Pipeline, LLC. 000. C–9 ...... CP04–366–002 ...... Gulf South Pipeline Company, LP.
Magalie R. Salas, receiving the broadcast, or who need http://www.capitolconnection.gmu.edu Secretary. information on making arrangements and click on ‘‘FERC’’. The Capitol Connection offers the should contact David Reininger or Julia Immediately following the conclusion opportunity for remote listening and Morelli at the Capitol Connection (703– of the Commission Meeting, a press viewing of the meeting. It is available 993–3100) as soon as possible or visit briefing will be held in Hearing Room for a fee, live over the Internet, via C- the Capitol Connection Web site at 2. Members of the public may view this Band Satellite. Persons interested in briefing in the Commission Meeting
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overflow room. This statement is off-the-record communication relevant document on all parties listed on the intended to notify the public that the to the merits of a contested proceeding, official service list for the applicable press briefings that follow Commission to deliver to the Secretary, a copy of the proceeding in accordance with Rule meetings may now be viewed remotely communication, if written, or a 2010, 18 CFR 385.2010. at Commission headquarters, but will summary of the substance of any oral Exempt off-the-record not be telecast through the Capitol communication. communications are included in the Connection service. Prohibited communications are decisional record of the proceeding, [FR Doc. 05–14529 Filed 7–19–05; 1:42 pm] included in a public, non-decisional file unless the communication was with a cooperating agency as described by 40 BILLING CODE 6717–01–P associated with, but not a part of, the decisional record of the proceeding. CFR 1501.6, made under 18 CFR Unless the Commission determines that 385.2201(e)(1)(v). DEPARTMENT OF ENERGY the prohibited communication and any The following is a list of off-the- responses thereto should become a part record communications recently Federal Energy Regulatory of the decisional record, the prohibited received in the Office of the Secretary. Commission off-the-record communication will not The communications listed are grouped be considered by the Commission in by docket numbers in ascending order. [Docket No. RM98–1–000] reaching its decision. Parties to a These filings are available for review at Records Governing Off-the Record proceeding may seek the opportunity to the Commission in the Public Reference Communications; Public Notice respond to any facts or contentions Room or may be viewed on the made in a prohibited off-the-record Commission’s Web site at http:// July 14, 2005. communication, and may request that www.ferc.gov using the eLibrary This constitutes notice, in accordance the Commission place the prohibited (FERRIS) link. Enter the docket number, with 18 CFR 385.2201(b), of the receipt communication and responses thereto excluding the last three digits, in the of prohibited and exempt off-the-record in the decisional record. The docket number field to access the communications. Commission will grant such a request document. For assistance, please contact Order No. 607 (64 FR 51222, only when it determines that fairness so FERC, Online Support at September 22, 1999) requires requires. Any person identified below as [email protected] or toll Commission decisional employees, who having made a prohibited off-the-record free at (866) 208–3676, or for TTY, make or receive a prohibited or exempt communication shall serve the contact (202) 502–8659.
Docket No. Date received Presenter or requester
Prohibited: 1. CP04–36–000, CP04–41–000 ...... 6–24–05 Michael L. Miozza. 2. CP04–374–000 ...... 7–8–05 Maurice Coman. 3. CP04–374–000 ...... 7–8–05 Jeffrey R. Dute. 4. CP04–374–000 ...... 7–8–05 Chris Dorsett. 5. EC05–43–000 ...... 6–28–05 Edward Dickert. 1 6. EC05–43–000 ...... 7–8–05 Lucy Fuches, et al.2 Exempt: 1. CP04–36–000, CP04–41–000 ...... 6–28–05 Hon. Edward M. Lambert, Jr. 2. CP04–374–000 ...... 7–8–05 Hon. Kathleen Babineaux Blanco. 3. CP04–374–000 ...... 7–8–05 Gerald M. Duszynski. 4. CP04–374–000 ...... 7–8–05 Paul Joe. 5. CP04–374–000 ...... 7–8–05 Teri F. Lanoue. 6. CP04–374–000 ...... 7–8–05 Dwight Landreneau. 7. CP04–374–000 ...... 7–8–05 Lisa L. Miller. 8. CP04–374–000 ...... 7–8–05 David C. Schanbacher, P.E. 9. CP04–374–000 ...... 7–8–05 William A. Sussmann. 10. CP04–386–000, CP04–400–000 ...... 6–27–05 Hon. Rick Perry. 11. CP05–372–000 ...... 7–6–05 Ronnie Briley. 12. Project No. 2586–023 ...... 6–30–05 Mike Noel. 3 13. PF05–2–000, CP05–372–000 ...... 6–30–05 Sue Carr. 14. PF05–2–000, CP05–372–000 ...... 6–30–05 Lorrie Marcum. 15. Project No. 2071–000, Project No. 935–000, Project No. 2111–000 ...... 6–29–05 Jon Cofrancesco. 16. Project No. 2071–000, Project No. 935–000, Project No. 2111–000 ...... 6–29–05 Frank Shrier. 17. Project No. 2071–000, Project No. 935–000, Project No. 2111–000 ...... 6–29–05 Mark Kilgore. 18. Project No. 2213–000 ...... 6–29–05 Jon Cofrancesco. 1 One of fourteen similar documents in a memorandum format, filed between 6–28–05 and 7–8–05. 2 Record of phone calls (comments) received in Chairman Pat Wood’s office in June 2005. All, with the exception of one, from Mr. Whitney Rosburn, address the PSEG/Excelon merger and are prohibited communications. 3 One of two e-mail correspondences from Mike Noel (dated 5–27–05 and 6–21–05). Both with a 6–30–05 filing date.
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Linda L. Mitry, SUPPLEMENTARY INFORMATION: EPA has Recreational (NEEAR) Water Study Deputy Secretary. submitted the following ICR to OMB for (Renewal). [FR Doc. E5–3882 Filed 7–20–05; 8:45 am] review and approval according to the Abstract: This study will be BILLING CODE 6717–01–P procedures prescribed in 5 CFR 1320.12. conducted, and the information On February 14, 2005 (70 FR 7496), EPA collected, by the Epidemiology and sought comments on this ICR pursuant Biomarkers Branch, Human Studies ENVIRONMENTAL PROTECTION to 5 CFR 1320.8(d). EPA received no Division, National Health and AGENCY comments. Environmental Effects Research EPA has established a public docket Laboratory, Office of Research and [ORD–2004–0023; FRL–7941–6] for this ICR under Docket ID No. ORD– Development, U.S. Environmental 2004–0023, which is available for public Protection Agency (EPA). Participation Agency Information Collection of adults and children in this collection Activities; Submission to OMB for viewing at the Office of Research and Development Docket in the EPA Docket of information is strictly voluntary. Review and Approval; Comment Households (families/individuals) at Request; Health Effects of Microbial Center (EPA/DC), EPA West, Room B102, 1301 Constitution Ave., NW., selected beaches will be interviewed on Pathogens in Recreational Waters; the beach about a variety of exposures National Epidemiological and Washington, DC. The EPA Docket Center Public Reading Room is open including those to recreational water. Environmental Assessment of Ten to twelve days later, families/ Recreational (NEEAR) Water Study from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal individuals will be contacted by (Renewal), EPA ICR Number 2081.02, telephone and interviewed on the OMB Control Number 2080–0068 holidays. The telephone number for the Reading Room is (202) 566–1744, and occurrence of selected symptomatolgy since swimming at the beach. In AGENCY: Environmental Protection the telephone number for the Office of Agency (EPA). Research and Development Docket is addition, selected groups of children (boy and girl scouts, church groups, ACTION: (202) 566–1752. An electronic version of Notice. camps) who are making day trips to the public docket is available through selected beaches for recreation will be SUMMARY: In compliance with the EPA Dockets (EDOCKET) at http:// asked to participate in a special study to Paperwork Reduction Act (44 U.S.C. www.epa.gov/edocket. Use EDOCKET to 3501 et seq.), this document announces identify specific microbial pathogens. submit or view public comments, access This information is being collected as that the following Information the index listing of the contents of the Collection Request (ICR) has been part of a research program consistent public docket, and to access those with the Section 3(a) (v) (1) of the forwarded to the Office of Management documents in the public docket that are and Budget (OMB) for review and Beaches Environmental Assessment and available electronically. Once in the Coastal Health Act of 2000 and the approval. This is a request to renew an system, select ‘‘search,’’ then key in the existing approved collection. This ICR is strategic plan for EPA’s Office of docket ID number identified above. Research and Development (ORD) and scheduled to expire on August 31, 2005. Any comments related to this ICR Under OMB regulations, the Agency the Office of Water entitled ‘‘Action should be submitted to EPA and OMB Plan for Beaches and Recreational may continue to conduct or sponsor the within 30 days of this notice. EPA’s collection of information while this Water.’’ The Beaches Act and ORD’s policy is that public comments, whether strategic plan have identified research submission is pending at OMB. This ICR submitted electronically or in paper, describes the nature of the information on effects of microbial pathogens in will be made available for public recreational waters as a high-priority collection and its estimated burden and viewing in EDOCKET as EPA receives cost. research area with particular emphasis them and without change, unless the on developing new water quality DATES: Additional comments may be comment contains copyrighted material, indicator guidelines for recreational submitted on or before August 22, 2005. CBI, or other information whose public waters. EPA has broad legislative ADDRESSES: Submit your comments, disclosure is restricted by statute. When authority to establish water quality referencing docket ID number ORD– EPA identifies a comment containing criteria and to conduct research to 2004–0023 to (1) EPA online using copyrighted material, EPA will provide support these criteria. This data EDOCKET (our preferred method), by e- a reference to that material in the collection is for a series of mail to [email protected], or by mail version of the comment that is placed in epidemiological studies to evaluate to: EPA Docket Center, Environmental EDOCKET. The entire printed comment, exposure to and effects of microbial Protection Agency, Office of Research including the copyrighted material, will pathogens in marine and fresh (Great and Development Docket, Mail Code be available in the public docket. Lakes) recreational waters as part of 28221T, 1200 Pennsylvania Ave., NW., Although identified as an item in the EPA’s research program on exposure Washington, DC 20460, and (2) OMB at: official docket, information claimed as and health effects of microbial Office of Information and Regulatory CBI, or whose disclosure is otherwise pathogens in recreational waters. The Affairs, Office of Management and restricted by statute, is not included in results of these health effects studies Budget (OMB), Attention: Desk Officer the official public docket, and will not will be used to document human health for EPA, 725 17th Street, NW., be available for public viewing in effects associated with recreational Washington, DC 20503. EDOCKET. For further information water use and correlate these health FOR FURTHER INFORMATION CONTACT: about the electronic docket, see EPA’s effects with ongoing EPA studies to Elizabeth Sams, National Health and Federal Register notice describing the identify a new generation of indicators Environmental Effects Research electronic docket at 67 FR 38102 (May for detection of human pathogens in Laboratory, Environmental Protection 31, 2002), or go to http://www.epa.gov/ recreational water and appropriate, Agency, MD 58–C, Research Triangle edocket. effective, and expeditious testing Park, NC 27711; telephone number: Title: Health Effects of Microbial methods for these indicators (addressed (919) 843–3161; fax number: (919) 966– Pathogens in Recreational Waters; separately under Section 3(a) (v) (2) and 0655; e-mail address: National Epidemiological and (3) of the Beaches Environmental [email protected]. Environmental Assessment of Assessment and Coastal Health Act of
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2000). The results will be used to number of respondents, there is only an FOR FURTHER INFORMATION CONTACT: Dan develop mathematical relationships that increase of 250 burden hours in the total Chadwick, Compliance Assessment and will be used for the generation of new estimated burden currently identified in Media Programs Division, Office of national water quality guidelines and the OMB Inventory of Approved ICR Compliance, 2223A, Environmental appropriate monitoring guidelines. Burdens. This is due to the fact that the Protection Agency, 1200 Pennsylvania An agency may not conduct or original ICR (EPA ICR Number 2081.01) Ave., NW., Washington, DC 20460; sponsor, and a person is not required to included a second telephone survey that telephone number: (202) 564–7054; fax respond to, a collection of information has been eliminated in this renewal ICR number: (202) 564–0050; e-mail address: unless it displays a currently valid OMB and consequently has reduced the total [email protected]. Control Number. The OMB Control hours for each respondent. SUPPLEMENTARY INFORMATION: EPA has Numbers for EPA’s regulations in 40 Dated: July 14, 2005. submitted the following ICR to OMB for CFR are listed in 40 CFR part 9 and are review and approval according to the identified on the form and/or Oscar Morales, Director, Collection Strategies Division. procedures prescribed in 5 CFR 1320.12. instrument, if applicable. On December 1, 2004 (69 FR 69909), Burden Statement: The annual public [FR Doc. 05–14400 Filed 7–20–05; 8:45 am] EPA sought comments on this ICR reporting and recordkeeping burden for BILLING CODE 6560–50–P pursuant to 5 CFR 1320.8(d). EPA this collection of information is received no comments. estimated to average 23 minutes per EPA has established a public docket response. Burden means the total time, ENVIRONMENTAL PROTECTION for this ICR under Docket ID No. OECA– effort, or financial resources expended AGENCY 2004–0038, which is available for public by persons to generate, maintain, retain, viewing at the Enforcement and or disclose or provide information to or [OECA–2004–0038; FRL–7941–5] Compliance Docket and Information for a Federal agency. This includes the Agency Information Collection Center in the EPA Docket Center (EPA/ time needed to review instructions; Activities; Submission to OMB for DC), EPA West, Room B102, 1301 develop, acquire, install, and utilize Review and Approval; Comment Constitution Ave., NW., Washington, technology and systems for the purposes Request; NESHAP for Oil and Natural DC. The EPA Docket Center Public of collecting, validating, and verifying Gas Production, EPA ICR Number Reading Room is open from 8:30 a.m. to information, processing and 1788.06, OMB Control Number 2060– 4:30 p.m., Monday through Friday, maintaining information, and disclosing 0417 excluding legal holidays. The telephone and providing information; adjust the number for the Reading Room is (202) existing ways to comply with any AGENCY: Environmental Protection 566–1744, and the telephone number for previously applicable instructions and Agency (EPA). the Enforcement and Compliance requirements; train personnel to be able ACTION: Notice. Docket and Information Center is: (202) to respond to a collection of 566–1752. An electronic version of the information; search data sources; SUMMARY: In compliance with the public docket is available through EPA complete and review the collection of Paperwork Reduction Act, this Dockets (EDOCKET) at http:// information; and transmit or otherwise document announces that an www.epa.gov/edocket. Use EDOCKET to disclose the information. Information Collection Request (ICR) Respondents/Affected Entities: submit or view public comments, access has been forwarded to the Office of the index listing of the contents of the Entities potentially affected by this Management and Budget (OMB) for action are families frequenting fresh and public docket, and to access those review and approval. This is a request documents in the public docket that are marine water beaches in the continental to renew an existing approved United States. available electronically. When in the collection. This ICR is scheduled to system, select ‘‘search,’’ then key in the Estimated Number of Respondents: expire on August 31, 2005. Under OMB 7,000. docket ID number identified above. regulations, the Agency may continue to Any comments related to this ICR Frequency of Response: 2 times. conduct or sponsor the collection of Estimated Total Annual Hour Burden: should be submitted to EPA and OMB information while this submission is within 30 days of this notice. EPA’s 5,250 hours. pending at OMB. This ICR describes the Estimated Total Annual Cost: policy is that public comments, whether nature of the information collection and $77,000, includes $0 annualized capital submitted electronically or in paper, its estimated burden and cost. or O&M costs and $77,000 annual labor will be made available for public costs. DATES: Additional comments may be viewing in EDOCKET as EPA receives Changes in the Estimates: There is a submitted on or before August 22, 2005. them and without change, unless the increase of 2,500 respondents in the ADDRESSES: Submit your comments, comment contains copyrighted material, total estimated burden currently referencing docket ID number OECA– CBI, or other information whose public identified in the OMB Inventory of 2004–0038, to (1) EPA online using disclosure is restricted by statute. When Approved ICR Burdens. Due to EDOCKET (our preferred method), by e- EPA identifies a comment containing increased pressure to expeditiously mail to [email protected], or by mail copyrighted material, EPA will provide complete the study, the study team may to: EPA Docket Center, Environmental a reference to that material in the complete more than one beach per year, Protection Agency, Enforcement and version of the comment that is placed in thus increasing the number of Compliance Docket and Information EDOCKET. The entire printed comment, participants enrolled in the study Center, Mail Code 2201T, 1200 including the copyrighted material, will annually. This renewal ICR 2081.02 Pennsylvania Ave., NW., Washington, be available in the public docket. reflects the estimated respondent and DC 20460, and (2) OMB at: Office of Although identified as an item in the agency burden for two beaches per year, Information and Regulatory Affairs, official docket, information claimed as whereas the estimates in the previous Office of Management and Budget CBI, or whose disclosure is otherwise ICR (EPA ICR Number 2081.01) account (OMB), Attention: Desk Officer for EPA, restricted by statute, is not included in for only one beach annually. Although 725 17th Street, NW., Washington, DC the official public docket, and will not there is a significant increase in the 20503. be available for public viewing in
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EDOCKET. For further information time needed to review instructions; 3501 et seq.), this document announces about the electronic docket, see EPA’s develop, acquire, install, and utilize that an Information Collection Request Federal Register notice describing the technology and systems for the purposes (ICR) has been forwarded to the Office electronic docket at 67 FR 38102 (May of collecting, validating, and verifying of Management and Budget (OMB) for 31, 2002), or go to http://www.epa.gov/ information, processing and review and approval. This is a request edocket. maintaining information, and disclosing to renew an existing approved Title: NESHAP for Oil and Natural and providing information; adjust the collection. This ICR is scheduled to Gas Production. existing ways to comply with any expire on August 31, 2005. Under OMB Abstract: This information collection previously applicable instructions and regulations, the Agency may continue to request addresses Clean Air Act requirements; train personnel to be able conduct or sponsor the collection of information collection requirements in to respond to a collection of information while the submission is standards published at 40 CFR part 63, information; search data sources; pending at OMB. This ICR describes the subpart HH, which have mandatory complete and review the collection of nature of the information collection and recordkeeping and reporting information; and transmit or otherwise its estimated burden and cost. requirements. These regulations were disclose the information. DATES: Additional comments may be proposed on February 6, 1998, Respondents/Affected Entities: submitted on or before August 22, 2005. promulgated on June 17, 1999, and Entities potentially affected by this apply to major sources of hazardous air ADDRESSES: Submit your comments, action are those that process, upgrade, referencing docket ID number OAR– pollutants (HAP) and that process, or store (1) hydrocarbon liquids to the upgrade, or store (1) hydrocarbon 2005–0078, to (1) EPA online using point of custody transfer and (2) natural EDOCKET (our preferred method), by e- liquids (with the exception of those gas from the well up to and including facilities that exclusively handle black mail to [email protected], or by the natural gas processing plant. mail to: EPA Docket Center, oil) to the point of custody transfer and Estimated Number of Respondents: (2) natural gas from the well up to and Environmental Protection Agency, Air 127,202. and Radiation Docket (6102T), 1200 including the natural gas processing Frequency of Response: On occasion, plant. Specifically exempted from this Pennsylvania Ave., NW., Washington, semi-annually. DC 20460, and (2) OMB at: Office of regulation are oil and natural gas Estimated Total Annual Hour Burden: Information and Regulatory Affairs, production wells. In general, all 175,907 hours. Office of Management and Budget NESHAP standards require initial Estimated Total Capital and (OMB), Attention: Desk Officer for EPA, notifications, performance tests, and Operations & Maintenance (O&M) 725 17th Street, NW., Washington DC periodic reports. Owners or operators Annual Costs: $495,720 which includes 20503. are also required to maintain records of $20,400 annualized capital/startup costs the occurrence and duration of any and $475,320 annual O&M costs. FOR FURTHER INFORMATION CONTACT: Dr. start-up, shutdown, or malfunction in Changes in the Estimates: There is an Susan Conrath, Indoor Environments the operation of an affected facility, or increase of 146,418 hours in the total Division, Office of Radiation and Indoor any period during which the monitoring estimated burden currently identified in Air, U.S. Environmental Protection system is inoperative. These the OMB Inventory of Approved ICR Agency, 1200 Pennsylvania Ave., NW., notifications, reports, and records are Burdens. This change is primarily due Washington, DC 20460; telephone essential in determining compliance, to the consideration of the number: (202) 343–9389; fax number: and are required of all sources subject recordkeeping burden on respondents (202) 343–2393; e-mail address: to NESHAP. required to keep records of their [email protected]. Any owner or operator subject to the provisions of this part shall maintain a determination of applicability, but that SUPPLEMENTARY INFORMATION: EPA has file of these records, and retain the file are not subject to the emission control submitted the following ICR to OMB for for at least 5 years following the date of requirements of the NESHAP. review and approval according to the such occurrences, maintenance reports, Dated: July 12, 2005. procedures prescribed in 5 CFR 1320.12. and records. All reports are sent to the Oscar Morales, On February 28th, 2005, (70 FR 9639), delegated State or local authority. In the Director, Collection Strategies Division. EPA sought comments on this ICR event that there is no such delegated [FR Doc. 05–14401 Filed 7–20–05; 8:45 am] pursuant to 5CFR 1320.8(d). EPA has addressed the comments received. authority, the reports are sent directly to BILLING CODE 6560–50–P the EPA Regional Office. EPA has established a public docket An agency may not conduct or for this ICR under Docket ID No. OAR– sponsor, and a person is not required to ENVIRONMENTAL PROTECTION 2005–0078, which is available for public respond to, a collection of information AGENCY viewing at the Air and Radiation Docket unless it displays a currently valid OMB in the EPA Docket Center (EPA/DC), Control Number. The OMB Control [OAR–2005–0078, FRL–7941–4] EPA West, Room B102, 1301 Constitution Ave., NW., Washington, Numbers for EPA’s regulations in 40 Agency Information Collection DC. The EPA Docket Center Public CFR are listed in 40 CFR part 9 and are Activities; Proposed Collection; Reading Room is open from 8:30 a.m. to identified on the form and/or Comment Request; National Survey on 4:30 p.m., Monday through Friday, instrument, if applicable. Environmental Management of Burden Statement: The annual public excluding legal holidays. The telephone Asthma, EPA ICR Number 1996.03, reporting and recordkeeping burden for number for the Reading Room is (202) OMB Control Number 2060–0490 this collection of information is 566–1744, and the telephone number for estimated to average 187 hours per AGENCY: Environmental Protection the Air and Radiation Docket is (202) response. Burden means the total time, Agency (EPA). 566–1742, fax: (202) 566–1741. An effort, or financial resources expended ACTION: Notice. electronic version of the public docket by persons to generate, maintain, retain, is available through EPA Dockets or disclose or provide information to or SUMMARY: In compliance with the (EDOCKET) at http://www.epa.gov/ for a Federal agency. This includes the Paperwork Reduction Act (44 U.S.C. edocket. Use EDOCKET to obtain a copy
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of the draft collection of information, particularly among children and low- ‘‘Confidentiality of Business submit or view public comments, access income populations. To evaluate the Information.’’ the index listing of the contents of the effectiveness of its current outreach An agency may not conduct or public docket, and to access those efforts, EPA proposes to collect data sponsor, and a person is not required to documents in the public docket that are from individual U.S. households respond to, a collection of information available electronically. Once in the through a telephone survey. This survey unless it displays a currently valid OMB system, select ‘‘search,’’ then key in the will be used to gain information control number. The OMB control docket ID number identified above. regarding the number of individuals numbers for EPA’s regulations in 40 Any comments related to this ICR with asthma who have taken steps to CFR are listed in 40 CFR part 9. The should be submitted to EPA within 30 improve the quality of their indoor Federal Register document required days of this notice. EPA’s policy is that environment as part of their approach to under 5 CFR 1320.8(d), soliciting public comments, whether submitted managing the disease, as well as any comments on this collection of electronically or in paper, will be made barriers they may have encountered information was published on 02/28/05 available for public viewing in while attempting to do so. EPA will (70 FR 9639–9640); three comments EDOCKET as EPA receives them and compare the data gained from this were received. without change, unless the comment survey to a similar survey completed in Burden Statement: The annual public contains copyrighted material, CBI, or reporting and recordkeeping burden for other information whose public 2003. These data will help the Agency determine if it has reached its 2005 goal, this collection of information is disclosure is restricted by statute. When estimated to average between 3.5 EPA identifies a comment containing established by the Government Performance and Results Act of 1993 minutes and 13.5 minutes per response, copyrighted material, EPA will provide depending on whether or not the survey a reference to that material in the (GPRA), and is on track for the 2012 goal. Specifically, EPA’s goal is that 2.5 respondent has asthma or lives with version of the comment that is placed in someone who has asthma. This is a total EDOCKET. The entire printed comment, million people with asthma, including one million children and 200,000 low- estimated burden of 3,458 hours for including the copyrighted material, will completion of this survey. Burden be available in the public docket. income adults, will have taken steps to reduce their exposure to indoor means the total time, effort, or financial Although identified as an item in the resources expended by persons to official docket, information claimed as environmental asthma triggers by 2005. EPA’s 2012 goal is that 6.5 million generate, maintain, retain, or disclose or CBI, or whose disclosure is otherwise provide information to or for a Federal people with asthma, including 2.9 restricted by statute, is not included in agency. This includes the time needed million children, will have taken steps the official public docket, and will not to review instructions; develop, acquire, to reduce their exposure to indoor be available for public viewing in install, and utilize technology and environmental triggers. EDOCKET. For further information systems for the purposes of collecting, about the electronic docket, see EPA’s EPA intends to conduct the survey validating, and verifying information, Federal Register notice describing the once during the period for which this processing and maintaining electronic docket at 67 FR 38102 (May ICR is in effect. EPA will conduct the information, and disclosing and 31, 2002), or go to http://www.epa.gov/ survey in two phases. The first phase is providing information; adjust the edocket. intended to identify households where Title: National Survey on existing ways to comply with any either an adult asthmatic or child with previously applicable instructions and Environmental Management of Asthma. asthma resides. Individuals who Abstract: Executive Order 13045, requirements; train personnel to be able participate in the first phase of EPA’s issued in 1997, directed each federal to respond to a collection of agency to identify, assess, and address survey will be chosen at random from information; search data sources; environmental health and safety risks U.S. households with publicly listed complete and review the collection of for children. This executive order also telephone numbers. EPA expects that 15 information; and transmit or otherwise created the Task Force on percent of individuals who participate disclose the information. Environmental Health Risks and Safety in its screening survey will have asthma Respondents/Affected entities: Risks in Children, co-chaired by the or live in a household with someone Individuals throughout the United Secretary of Health and Human Services who does. After responding to several States with publicly listed residential (HHS) and the Administrator of the screening questions, adult asthmatics telephone numbers. Environmental Protection Agency and parents of children with asthma Estimated Number of Respondents: (EPA). In April 1998, this Task Force will be invited to participate in a longer, 45,278. identified four priority areas, one of more in-depth telephone survey. EPA Frequency of Response: Once. which was childhood asthma. In intends to over-sample in communities Estimated Total Annual Hour Burden: response, EPA launched efforts to better known to have a high percentage of low- 1,152 hours. understand the role that environmental income households to ensure that the Estimated Total Annual Cost: $0. factors, including airborne allergens and Agency is able to evaluate the Changes in the Estimates: There is an irritants, play in the onset of asthma and effectiveness of its outreach efforts to increase of 426 hours in the total the triggering of asthma symptoms. this target population. The National estimated burden currently identified in Indoor allergens include those from Survey on Environmental Management the OMB Inventory of Approved ICR house dust mites, cockroaches, mold, of Asthma is voluntary. EPA does not Burden. The increase in burden for this and animal dander. In addition, expect to receive confidential renewal ICR changed due to revisions in exposure to environmental tobacco information from the individuals who the survey instrument. In addition, by smoke (ETS) has also been shown to be voluntarily participate in the survey. using data collected during the 2003 a major determinant of asthma However, if a respondent does consider survey, estimated burden per symptoms. the information submitted to be of a respondent changed for this ICR EPA is working to integrate the proprietary nature, EPA will assure its renewal. Both of these changes increase management of environmental factors confidentiality based on the provisions the total estimated burden for this ICR with the medical treatment of asthma, of 40 CFR part 2, subpart B, renewal.
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Dated: July 12, 2005. from 8:30 a.m. to 4:30 p.m., Monday regulations that govern the management Oscar Morales, through Friday, excluding legal of used oil (see 40 CFR part 279). To Director, Collection Strategies Division. holidays. The telephone number for the document and ensure proper handling [FR Doc. 05–14402 Filed 7–20–05; 8:45 am] Reading Room is (202) 566–1744, and of used oil, these regulations establish BILLING CODE 6560–50–P the telephone number for the RCRA notification, testing, tracking and Docket is (202) 566–0270. An electronic recordkeeping requirements for used oil version of the public docket is available transporters, processors, re-refiners, ENVIRONMENTAL PROTECTION through EPA Dockets (EDOCKET) at marketers, and burners. They also set AGENCY http://www.epa.gov/edocket. Use standards for the prevention and EDOCKET to obtain a copy of the draft cleanup of releases to the environment [RCRA–2005–0009, FRL–7941–9] collection of information, submit or during storage and transit, and for the Agency Information Collection view public comments, access the index safe closure of storage units and Activities: Proposed Collection; listing of the contents of the public processing and re-refining facilities to docket, and to access those documents mitigate future releases and damages. Comment Request; Used Oil in the public docket that are available EPA believes these requirements Management Standards electronically. Once in the system, minimize potential hazards to human Recordkeeping and Reporting select ‘‘search,’’ then key in the docket health and the environment from the Requirements, EPA ICR Number ID number identified above. potential mismanagement of used oil by 1286.07, OMB Control Number 2050– Any comments related to this ICR used oil handlers, while providing for 0124 should be submitted to EPA within 60 the safe recycling of used oil. AGENCY: Environmental Protection days of this notice. EPA’s policy is that Information from these information Agency (EPA). public comments, whether submitted collection requirements is used to ACTION: Notice. electronically or in paper, will be made ensure compliance with the Used Oil available for public viewing in Management Standards. SUMMARY: In compliance with the EDOCKET as EPA receives them and An agency may not conduct or Paperwork Reduction Act (44 U.S.C. without change, unless the comment sponsor, and a person is not required to 3501 et seq.), this document announces contains copyrighted material, CBI, or respond to, a collection of information that EPA is planning to submit a other information whose public unless it displays a currently valid OMB continuing Information Collection disclosure is restricted by statute. When control number. The OMB control Request (ICR) to the Office of EPA identifies a comment containing numbers for EPA’s regulations in 40 Management and Budget (OMB). This is copyrighted material, EPA will provide CFR are listed in 40 CFR part 9. a request an existing approved a reference to that material in the The EPA would like to solicit collection. This ICR is scheduled to version of the comment that is placed in comments to: expire on December 31, 2005. Before EDOCKET. The entire printed comment, (i) Evaluate whether the proposed submitting the ICR to OMB for review including the copyrighted material, will collection of information is necessary and approval, EPA is soliciting be available in the public docket. for the proper performance of the comments on specific aspects of the Although identified as an item in the functions of the Agency, including proposed information collection as official docket, information claimed as whether the information will have described below. CBI, or whose disclosure is otherwise practical utility; DATES: Comments must be submitted on restricted by statute, is not included in (ii) Evaluate the accuracy of the or before September 19, 2005. the official public docket, and will not Agency’s estimate of the burden of the be available for public viewing in proposed collection of information, ADDRESSES: Submit your comments, including the validity of the referencing docket ID number RCRA– EDOCKET. For further information methodology and assumptions used; 2005–0009, to EPA online using about the electronic docket, see EPA’s Federal Register notice describing the (iii) Enhance the quality, utility, and EDOCKET (our preferred method), by e- electronic docket at 67 FR 38102 (May clarity of the information to be mail to [email protected], or by 31, 2002), or go to http://www.epa.gov./ collected; and mail to: EPA Docket Center, edocket. (iv) Minimize the burden of the Environmental Protection Agency, Affected entities: Entities potentially collection of information on those who RCRA Docket, mail code 5305T, 1200 affected by this action are Business or are to respond, including through the Pennsylvania Ave., NW., Washington, other for profit. use of appropriate automated electronic, DC 20460. Title: Used Oil Management mechanical, or other technological FOR FURTHER INFORMATION CONTACT: Standards Recordkeeping and Reporting collection techniques or other forms of Michael Svizzero, Office of Solid Waste, Requirements. information technology, e.g., permitting mailcode 5303W, Environmental Abstract: The Used Oil Management electronic submission of responses. Protection Agency, 1200 Pennsylvania Standards, which include information Burden Statement: The annual public Ave., NW., Washington, DC 20460; collection requests, were developed in reporting and recordkeeping burden for telephone number: 703–308–0046; fax accordance with section 3014 of the this collection of information is number: 703–308–8617; e-mail address: Resource Conservation and Recovery estimated to range from 6 minutes to 23 [email protected]. Act (RCRA), as amended by the hours per response. Burden means the SUPPLEMENTARY INFORMATION: EPA has Hazardous and Solid Waste total time, effort, or financial resources established a public docket for this ICR Amendments of 1984 (HSWA), which expended by persons to generate, under Docket ID number RCRA–2005– directs EPA to ‘‘promulgate regulations maintain, retain, or disclose or provide 0009, which is available for public * * * as may be necessary to protect information to or for a Federal agency. viewing at the RCRA Docket in the EPA public health and the environment from This includes the time needed to review Docket Center (EPA/DC), EPA West, the hazards associated with recycled instructions; develop, acquire, install, Room B102, 1301 Constitution Ave., oil’’ and, at the same time, to not and utilize technology and systems for NW., Washington, DC. The EPA Docket discourage used oil recycling. In 1985 the purposes of collecting, validating, Center Public Reading Room is open and 1992, EPA established mandatory and verifying information, processing
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and maintaining information, and Management and Budget (OMB). This is EPA identifies a comment containing disclosing and providing information; a request to renew an existing approved copyrighted material, EPA will provide adjust the existing ways to comply with collection. This ICR is scheduled to a reference to that material in the any previously applicable instructions expire on November 30, 2005. Before version of the comment that is placed in and requirements; train personnel to be submitting the ICR to OMB for review EDOCKET. The entire printed comment, able to respond to a collection of and approval, EPA is soliciting including the copyrighted material, will information; search data sources; comments on specific aspects of the be available in the public docket. complete and review the collection of proposed information collection as Although identified as an item in the information; and transmit or otherwise described below. official docket, information claimed as disclose the information. DATES: Comments must be submitted on CBI, or whose disclosure is otherwise Estimated Number of Respondents: or before September 19, 2005. restricted by statute, is not included in 1,640. ADDRESSES: Submit your comments, the official public docket, and will not Frequency of Response: Biannually. referencing docket ID number RCRA– be available for public viewing in Estimated Total Annual Hour Burden: 2005–0011, to EPA online using EDOCKET. For further information 460,286 hours. EDOCKET (our preferred method), by e- about the electronic docket, see EPA’s Estimated Total Annualized Capital, mail to [email protected], or by mail Federal Register notice describing the O&M Cost Burden: $10,011,000. to: EPA Docket Center, Environmental electronic docket at 67 FR 38102 (May Burden means the total time, effort, or Protection Agency, Mailcode 5303T, 31, 2002), or go to http://www.epa.gov./ financial resources expended by persons 1200 Pennsylvania Ave., NW., edocket. to generate, maintain, retain, or disclose Washington, DC 20460. Affected entities: EPA assumes that or provide information to or for a FOR FURTHER INFORMATION CONTACT: industrial waste units that previously Federal agency. This includes the time Craig Dufficy, Municipal and Industrial co-disposed non-hazardous wastes and needed to review instructions; develop, Solid Waste Division of the Office of conditionally exempt small quantity acquire, install, and utilize technology Solid Waste (Mailcode 5306W), U.S. generator (CESQG) hazardous waste on- and systems for the purposes of Environmental Protection Agency, 1200 site have ceased that practice and that collecting, validating, and verifying Pennsylvania Ave., NW., Washington, commercial off-site industrial waste information, processing and DC 20460; telephone number: (703) units are operating with stringent maintaining information, and disclosing 308–9037; fax number: (703) 308–8686; environmental controls in place. and providing information; adjust the e-mail address: [email protected]. Therefore, entities that potentially will existing ways to comply with any SUPPLEMENTARY INFORMATION: EPA has be affected by this action are limited to previously applicable instructions and established a public docket for this ICR those that dispose of CESQG hazardous requirements; train personnel to be able under Docket ID number RCRA–2005– wastes in construction and demolition to respond to a collection of 0011, which is available for public (C&D) waste landfills. information; search data sources; viewing at the Office of Solid Waste and Title: Criteria for Classification of complete and review the collection of Emergency Response (OSWER) Docket Solid Waste Disposal Facilities and information; and transmit or otherwise in the EPA Docket Center (EPA/DC), Practices, Recordkeeping and Reporting disclose the information. EPA West, Room B102, 1301 Requirements—40 CFR part 257, Dated: July 14, 2005. Constitution Ave., NW., Washington, subpart B, EPA ICR Number 1745.05, Matthew Hale, DC. The EPA Docket Center Public OMB Control Number 2050–0154. Director, Office of Solid Waste. Reading Room is open from 8:30 a.m. to Abstract: In order to effectively [FR Doc. 05–14403 Filed 7–20–05; 8:45 am] 4:30 p.m., Monday through Friday, implement and enforce final changes to 40 CFR part 257—subpart B on a State BILLING CODE 6560–50–P excluding legal holidays. The telephone number for the Reading Room is (202) level, owners/operators of construction 566–1744, and the telephone number for and demolition waste landfills that ENVIRONMENTAL PROTECTION the OSWER Docket is (202) 566–0270. receive CESQG hazardous wastes will AGENCY An electronic version of the public have to comply with the final reporting docket is available through EPA Dockets and recordkeeping requirements. An [RCRA–2005–0011, FRL–7942–1] (EDOCKET) at http://www.epa.gov/ agency may not conduct or sponsor, and a person is not required to respond to, Agency Information Collection edocket. Use EDOCKET to obtain a copy a collection of information unless it Activities: Proposed Collection; of the draft collection of information, displays a currently valid OMB control Comment Request; Criteria for submit or view public comments, access number. The OMB control number for Classification of Solid Waste Disposal the index listing of the contents of the EPA’s regulations are listed in 40 CFR Facilities and Practices, public docket, and to access those part 9 and 48 CFR chapter 15. This Recordkeeping and Reporting documents in the public docket that are continuing ICR documents the Requirements—EPA ICR Number available electronically. Once in the recordkeeping and reporting burdens 1745.05, OMB Control Number 2050– system, select ‘‘search,’’ then key in the associated with the location and 0154 docket ID number identified above. Any comments related to this ICR ground-water monitoring provisions AGENCY: Environmental Protection should be submitted to EPA within 60 contained in 40 CFR part 257—subpart Agency (EPA). days of this notice. EPA’s policy is that B. ACTION: Notice. public comments, whether submitted The EPA would like to solicit electronically or in paper, will be made comments to: SUMMARY: In compliance with the available for public viewing in (i) Evaluate whether the proposed Paperwork Reduction Act (44 U.S.C. EDOCKET as EPA receives them and collection of information is necessary 3501 et seq.), this document announces without change, unless the comment for the proper performance of the that EPA is planning to submit a contains copyrighted material, CBI, or functions of the Agency, including continuing Information Collection other information whose public whether the information will have Request (ICR) to the Office of disclosure is restricted by statute. When practical utility;
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(ii) Evaluate the accuracy of the Send comments on the Agency’s need ACTION: Notice of final orders on Agency’s estimate of the burden of the for this information, the accuracy of the petitions to object to two State operating proposed collection of information, provided burden estimates, and any permits. including the validity of the suggested methods for minimizing methodology and assumptions used; respondent burden, including through SUMMARY: This document announces (iii) Enhance the quality, utility, and the use of automated collection that the EPA Administrator has clarity of the information to be techniques to the addresses listed above. responded to two citizen petitions collected; and Please refer to EPA ICR No. 1745.05 and asking EPA to object to operating (iv) Minimize the burden of the OMB Control No. 2050–0154 in any permits proposed by the Illinois collection of information on those who correspondence. Environmental Protection Agency are to respond, including through the (IEPA) to two facilities. Specifically, the Dated: July 5, 2005. use of appropriate automated electronic, Administrator has partially granted and mechanical, or other technological Matt Hale, partially denied each of the petitions collection techniques or other forms of Director, Office of Solid Waste. submitted by the Chicago Legal Clinic information technology, e.g., permitting [FR Doc. 05–14404 Filed 7–20–05; 8:45 am] on behalf of Citizens Against Ruining electronic submission of responses. BILLING CODE 6560–50–P the Environment to object to the Burden Statement: Burden means the proposed operating permits for the total time, effort, or financial resources Midwest Generation Romeoville and expended by persons to generate, ENVIRONMENTAL PROTECTION Joliet stations. AGENCY maintain, retain, or disclose or provide Pursuant to section 505(b)(2) of the information to or for a Federal agency. Clean Air Act (Act), Petitioner may seek This includes the time needed to review [FRL–7941–8] judicial review in the United States instructions; develop, acquire, install, Court of Appeals for the appropriate and utilize technology and systems for Regulatory Pilot Projects (Project XL); Correction circuit of those portions of the petitions the purposes of collecting, validating, which EPA denied. Any petition for and verifying information, processing AGENCY: Environmental Protection review shall be filed within 60 days and maintaining information, and Agency. from the date this notice appears in the disclosing and providing information; ACTION: Notice; correction. Federal Register, pursuant to section adjust the existing ways to comply with 307 of the Act. any previously applicable instructions SUMMARY: The Environmental Protection and requirements; train personnel to be ADDRESSES: You may review copies of Agency published a document in the the final orders, the petitions, and other able to respond to a collection of Federal Register of June 8, 2005 information; search data sources; supporting information at the EPA concerning request for comments on Region 5 Office, 77 West Jackson complete and review the collection of Regulatory Pilot Projects. Within the information; and transmit or otherwise Boulevard, Chicago, Illinois 60604. If document are several citations of an you wish to examine these documents, disclose the information. Burden for this erroneous Agency form number. collection of information is estimated to you should make an appointment at average 74 hours per response. Burden FOR FURTHER INFORMATION CONTACT: least 24 hours before visiting day. means the total time, effort, or financial Doug Heimlich, (202) 566–2234. Additionally, the final orders for the resources expended by persons to Correction Midwest Generation Romeoville and generate, maintain, retain, or disclose or Joliet stations are available In the Federal Register of June 8, provide information to or for a Federal electronically at: http://www.epa.gov/ 2005, in 70 FR Doc. 05–11383, on page agency. This includes the time needed region07/programs/artd/air/title5/ 33472, in the third column, replace all to review instructions; develop, acquire, petitiondb/petitiondb2004.htm. citations of ‘‘EPA ICR No. 1755.06’’ with install, and utilize technology and FOR FURTHER INFORMATION CONTACT: the following: systems for the purposes of collecting, Pamela Blakley, Chief, Air Permitting validating, and verifying information, EPA ICR No. 1755.07. Section, Air Programs Branch, Air and processing and maintaining Dated: June 14, 2005. Radiation Division, EPA, Region 5, 77 information, and disclosing and Gerald J. Filbin, West Jackson Boulevard, Chicago, providing information; adjust the Director, Innovative Pilots Division, Office of Illinois 60604, telephone (312) 886– existing ways to comply with any Policy, Economics and Innovation. 4447. previously applicable instructions and [FR Doc. 05–14398 Filed 7–20–05; 8:45 am] SUPPLEMENTARY INFORMATION: The Act requirements; train personnel to be able BILLING CODE 6560–50–P to respond to a collection of affords EPA a 45-day period to review, information; search data sources; and object to as appropriate, operating permits proposed by State permitting complete and review the collection of ENVIRONMENTAL PROTECTION authorities. Section 505(b)(2) of the Act information; and transmit or otherwise AGENCY disclose the information. authorizes any person to petition the Respondents/Affected Entities: EPA Administrator within 60 days after [Regional Docket Nos. V–2004–3, –4, IL226– the expiration of the EPA review period Construction and demolition waste 1, FRL–7942–2] landfill owners/operators and State to object to State operating permits if Agencies. Clean Air Act Operating Permit EPA has not done so. Petitions must be Estimated Number of Respondents: Program; Petitions for Objection to based only on objections to the permit 183. State Operating Permits for Midwest that were raised with reasonable Frequency of Response: On occasion. Generation Romeoville and Joliet specificity during the public comment Estimated Total Annual Hour Burden: Stations period provided by the State, unless the 13,581 hours. petitioner demonstrates that it was Estimated Total Annualized Capital, AGENCY: Environmental Protection impracticable to raise these issues O&M Cost Burden: $938. Agency (EPA). during the comment period or the
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grounds for the issues arose after this ‘‘reasonably’’ and ‘‘reasonable’’ that 1. Richard Todd Profitt, Sevierville, period. meet the requirements of the SIP; (9) Tennessee; to act as a substitute trustee On January 26, 2004, the EPA remove the term ‘‘reasonable’’ from the and vote the shares of Tennessee State received from the Chicago Legal Clinic relevant permit conditions in Bancshares, Inc., and thereby indirectly petitions requesting that EPA object to accordance with the language in part 70, control Tennessee State Bank, both of the proposed title V operating permits section 504 of the Clean Air Act or Pigeon Forge, Tennessee. for the Midwest Generation Romeoville section 39.5 of the Illinois Board of Governors of the Federal Reserve and Joliet stations. The petitions raise Environmental Protection Act; (10) System, July 18, 2005. issues regarding the permit application, remove the ability to waive the testing Robert deV. Frierson, the permit issuance process, and the requirements or explain how such a Deputy Secretary of the Board. permits themselves. Chicago Legal waiver would meet the requirements of [FR Doc. 05–14458 Filed 7–20–05; 8:45 am] Clinic asserts that the permits: (1) Fail part 70; (11) define ‘‘extraordinary to comply with State and Federal circumstances’’ in a manner consistent BILLING CODE 6210–01–S requirements; (2) allow excess with the requirements of the SIP or emissions during startup and remove the language from the permit; FEDERAL RESERVE SYSTEM malfunction, contrary to U.S. EPA (12) remove ‘‘summary of compliance’’ policy; (3) contain conditions that are from the permit or clarify the term such Formations of, Acquisitions by, and not practically enforceable; (4) allow the that the reader understands what a Mergers of Bank Holding Companies plant to continue to operate in a manner ‘‘summary of compliance’’ must contain which causes severe health impacts on and how the summary relates to the The companies listed in this notice the surrounding communities; (5) control measures; (13) include have applied to the Board for approval, contain numerous typographical errors, appropriate prompt reporting pursuant to the Bank Holding Company mistakes, and omissions; (6) are legally requirements or explain how and where Act of 1956 (12 U.S.C. 1841 et seq.) inadequate because they do not impose the permit meets the prompt reporting (BHC Act), Regulation Y (12 CFR Part enforceable schedules to remedy non- requirements of part 70; and (14) insert 225), and all other applicable statutes compliance; and (7) fail to address ‘‘which’’ after ‘‘any new process and regulations to become a bank mercury and other hazardous air emission unit’’ to be consistent with the holding company and/or to acquire the pollutants. SIP. The orders also explain the reasons assets or the ownership of, control of, or On June 24, 2005, the Administrator for denying Chicago Legal Clinic’s the power to vote shares of a bank or issued orders partially granting and remaining claims. bank holding company and all of the partially denying the petitions. The Dated: July 6, 2005. banks and nonbanking companies orders explain the reasons behind EPA’s owned by the bank holding company, Norman Niedergang, conclusion that the IEPA must reopen including the companies listed below. the permits to: (1) Address Petitioner’s Acting Regional Administrator, Region 5. The applications listed below, as well significant comments; (2) include [FR Doc. 05–14405 Filed 7–20–05; 8:45 am] as other related filings required by the periodic monitoring in compliance with BILLING CODE 6560–50–P Board, are available for immediate 40 CFR 70.6(a)(3)(i)(B); (3) remove the inspection at the Federal Reserve Bank note stating that compliance with the indicated. The application also will be carbon monoxide limit is inherent; (4) available for inspection at the offices of explain in the statement of basis how it FEDERAL RESERVE SYSTEM the Board of Governors. Interested determined in advance that the persons may express their views in permittee had met the requirements of Change in Bank Control Notices; writing on the standards enumerated in the Illinois State Implementation Plan Acquisition of Shares of Bank or Bank (SIP) or to specify in the permit that Holding Companies the BHC Act (12 U.S.C. 1842(c)). If the continued operation during malfunction proposal also involves the acquisition of or breakdown will be authorized on a The notificants listed below have a nonbanking company, the review also case-by-case basis if the source meets applied under the Change in Bank includes whether the acquisition of the the SIP criteria; (5) remove language Control Act (12 U.S.C. 1817(j)) and nonbanking company complies with the which is not required by the underlying § 225.41 of the Board’s Regulation Y (12 standards in section 4 of the BHC Act applicable requirement or explain in the CFR 225.41) to acquire a bank or bank (12 U.S.C. 1843). Unless otherwise permit or statement of basis how this holding company. The factors that are noted, nonbanking activities will be language implements the underlying considered in acting on the notices are conducted throughout the United States. applicable requirement; (6) remove set forth in paragraph 7 of the Act (12 Additional information on all bank ‘‘established startup procedures,’’ U.S.C. 1817(j)(7)). holding companies may be obtained include the startup procedures in the The notices are available for from the National Information Center permit, or include minimum elements immediate inspection at the Federal website at www.ffiec.gov/nic/. of the startup procedures that would Reserve Bank indicated. The notices Unless otherwise noted, comments ‘‘affirmatively demonstrate that all also will be available for inspection at regarding each of these applications reasonable efforts have been made to the office of the Board of Governors. must be received at the Reserve Bank minimize startup emissions, duration of Interested persons may express their indicated or the offices of the Board of individual startups and frequency of views in writing to the Reserve Bank Governors not later than August 15, startups;’’ (7) require the owner or indicated for that notice or to the offices 2005. operator of the sources to report to the of the Board of Governors. Comments A. Federal Reserve Bank of Boston agency ‘‘immediately’’ or explain how must be received not later than August (Richard Walker, Community Affairs the phrase ‘‘as soon as possible’’ meets 5, 2005. Officer) P.O. Box 55882, Boston, the requirements of the SIP; (8) remove A. Federal Reserve Bank of Atlanta Massachusetts 02106-2204: ‘‘reasonably’’ and ‘‘reasonable’’ from (Andre Anderson, Vice President) 1000 1. Florence Bancorp, MHC Florence, relevant permit terms or define or Peachtree Street, N.E., Atlanta, Georgia Massachuetts; to become a bank holding provide criteria to determine 30303: company by acquiring 100 percent of
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the voting shares of Florence Savings DEPARTMENT OF HEALTH AND 2005. The purpose of this meeting was Bank, Florence, Massachusetts. HUMAN SERVICES to evaluate the scientific evidence B. Federal Reserve Bank of Kansas regarding the potential reproductive City (Donna J. Ward, Assistant Vice National Toxicology Program (NTP); and/or developmental toxicities President) 925 Grand Avenue, Kansas Center for the Evaluation of Risks to associated with exposure to styrene. City, Missouri 64198-0001: Human Reproduction (CERHR); Styrene (ethenylbenzene; CAS RN: 100– 1. Bank of Choice Holding Company, Announcement of the Availability of 42–5) is a high production volume Evans, Colorado; to acquire 100 percent the Expert Panel Report on Styrene; chemical used in the production of of the voting shares of Colonial Bancorp, Request for Public Comment polystyrene resins and as a co-polymer Aurora, Colorado, and thereby with acrylonitrile and 1,3-butadiene. AGENCY: National Institute for indirectly acquire voting shares of Styrene is found in items such as foam Colonial Bank, Aurora, Colorado. Environmental Health Sciences (NIEHS); National Institutes of Health cups, dental fillings, matrices for ion Board of Governors of the Federal Reserve (NIH). exchange filters, construction materials, System, July 18, 2005. and boats. It is also used in protective ACTION: Announcement of report coatings, reinforced glass fiber, Robert deV. Frierson, availability and request for comment. Deputy Secretary of the Board. agricultural products, and as a food [FR Doc. 05–14443 Filed 7–20–05; 8:45 am] SUMMARY: The CERHR announces the additive. The public can be exposed to styrene by ingesting food or drink that BILLING CODE 6210–01–S availability of the expert panel report on styrene on July 18, 2005 from the has been in contact with styrene CERHR Web site (http:// polymers or through inhalation of polluted air and cigarette smoke. GENERAL SERVICES cerhr.niehs.nih.gov) or in print from the CERHR selected styrene for expert panel ADMINISTRATION CERHR (see ADDRESSES below). The expert panel report is an evaluation of evaluation because of: (1) Public Office of Governmentwide Policy; the reproductive and developmental concern about styrene exposure and (2) Governmentwide Relocation Advisory toxicity of styrene conducted by a 13- recently available exposure studies. Board; Charter Renewal member expert panel composed of Following receipt of public comments scientists from the federal government, on the styrene final expert panel report, AGENCY: Office of Governmentwide universities, and private organizations. CERHR staff will prepare an NTP– Policy, GSA. The CERHR invites the submission of CERHR monograph on this chemical. ACTION: Notice of charter renewal. public comments on this expert panel NTP–CERHR monographs are divided into four major sections: (1) The NTP SUMMARY: The Administrator of General report (see SUPPLEMENTARY INFORMATION below). The CERHR previously solicited Brief which provides the NTP’s Services has renewed the charter for the interpretation of the potential for the Governmentwide Relocation Advisory public comment on the draft version of this expert panel report (Federal chemical to cause adverse reproductive Board (Board) (see 69 FR 34676, June and/or developmental effects in exposed 22, 2004), extending it to December 31, Register Vol. 70, No. 45 pp. 11680– 11681). Public deliberations by the humans, (2) a roster of expert panel 2005. The Board is used to obtain advice members, (3) the final expert panel and recommendations on a wide range panel took place on June 1–3, 2005, at the Holiday Inn Old Town Select report, and (4) any public comments of relocation management issues. The received on that report. The NTP Brief Board’s first priority is to review the Alexandria, Virginia to review and revise the draft expert panel report and is based on the expert panel report, current policies promulgated through public comments on that report, and the Federal Travel Regulation (FTR) for reach conclusions regarding whether exposure to styrene is a hazard to any new information that became relocation allowances. available after the expert panel meeting. FOR FURTHER INFORMATION CONTACT: human development or reproduction. Patrick O’Grady, Room G–219, GSA The expert panel also identified data Request for Comments Building, Washington, DC 20405, (202) gaps and research needs. The CERHR invites written public 208–4493, or by email at DATES: The final expert panel report on comments on the styrene expert panel [email protected]. styrene will be available for public report. Written comments should be comment on July 18, 2005. Written SUPPLEMENTARY INFORMATION: This sent to Dr. Michael Shelby at the public comments on this report should notice is published in accordance with address provided above. Persons be received by September 1, 2005. the provisions of the Federal Advisory submitting written comments are asked Committee Act (Pub. L. 92–463), and ADDRESSES: Comments on the expert to include their name and contact advises of the renewal of the GSA panel report and any other information (affiliation, mailing address, Governmentwide Relocation Advisory correspondence should be sent to Dr. telephone and facsimile numbers, e- Board (Board). The Administrator of Michael D. Shelby, CERHR Director, mail, and sponsoring organization, if General Services has determined that NIEHS, P.O. Box 12233, MD EC–32, any). Any comments received will be the renewal of the Board is necessary Research Triangle Park, NC 27709 posted on the CERHR Web site and be and in the public interest. (mail), (919) 316–4511 (fax), or included in the NTP CERHR monograph ADDRESSES:You may request a copy of [email protected] (e-mail). Courier on this chemical. All public comments the charter by contacting Patrick address: CERHR, 79 T.W. Alexander will be considered by the NTP during O’Grady at [email protected], by Drive, Building 4401, Room 103, preparation of the NTP Brief described phone at (202)208–4493; or by FAX at Research Triangle Park, NC 27709. above under ‘‘Background.’’ SUPPLEMENTARY INFORMATION: (202)501–0349. Background Information on the CERHR Dated: July 12, 2005 Background The NTP established the NTP CERHR Becky Rhodes, The National Toxicology Program in June 1998 [Federal Register, Deputy Associate Administrator. (NTP) Center for the Evaluation of Risks December 14, 1998 (Vol. 63, No. 239, [FR Doc. 05–14357 Filed 7–20–05; 8:45 am] to Human Reproduction (CERHR) pp. 68782)]. The CERHR is a publicly BILLING CODE 6820–14–S convened an expert panel on June 1–3, accessible resource for information
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about adverse reproductive and/or proposed data collection projects, the 40 hotlines into one Consumer developmental health effects associated Centers for Disease Control and Response Services Center—CDC–INFO. with exposure to environmental and/or Prevention (CDC) will publish periodic CDC–INFO has an exceptionally wide occupational exposures. Expert panels summaries of proposed projects. To scope because content currently divided conduct scientific evaluations of agents request more information on the between over 40 hotlines handling selected by the CERHR in public proposed projects or to obtain a copy of nearly 2,000,000 telephone contacts forums. the data collection plans and annually will be consolidated under The CERHR invites the nomination of instruments, call 404–371–5983 and CDC–INFO. All CDC hotlines will be agents for review or scientists for its send comments to Seleda Perryman, consolidated in one center beginning in expert registry. Information about CDC Assistant Reports Clearance February 2005, with all CDC program CERHR and the nomination process can Officer, 1600 Clifton Road, MS–D74, areas transitioning into CDC–INFO be obtained from its Web site (http:// Atlanta, GA 30333 or send an e-mail to through a phased approach during the cerhr.niehs.nih.gov) or by contacting Dr. [email protected]. next three years. CDC–INFO itself will Shelby (see ADDRESSES above). The Comments are invited on: (a) Whether be operational for at least the next seven CERHR selects chemicals for evaluation the proposed collection of information years. based upon several factors including is necessary for the proper performance production volume, potential for human of the functions of the agency, including The primary objectives of the national exposure from use and occurrence in whether the information shall have evaluation are to (1) Proactively the environment, extent of public practical utility; (b) the accuracy of the evaluate customer interactions and concern, and extent of data from agency’s estimate of the burden of the service effectiveness by employing reproductive and developmental proposed collection of information; (c) assessment measures and data toxicity studies. ways to enhance the quality, utility, and collection mechanisms to support CERHR follows a formal, multi-step clarity of the information to be performance management, gathering process for review and evaluation of collected; and (d) ways to minimize the insights and understandings for selected chemicals. The formal burden of the collection of information improving service levels, and evaluation process was published in the on respondents, including through the implementing effective measures to Federal Register notice July 16, 2001 use of automated collection techniques meet customer satisfaction goals; (2) (Vol. 66, No. 136, pp 37047–37048) and or other forms of information develop an ongoing understanding of is available on the CERHR Web site technology. Written comments should customer requirements and satisfaction under ‘‘About CERHR’’ or in printed be received within 60 days of this trends to achieve best of practice quality copy from the CERHR. notice. standards and to provide qualitative Dated: July 6, 2005. Proposed Project assessments, quantitative data, and cost David A. Schwartz, factors to drive improvement and The Centers for Disease Control and Director, National Institute of Environmental reinforce operational objectives; (3) Health Sciences and the National Toxicology Prevention’s Consumer Response measure CDC–INFO contractor service Program. Services Center (CDC–INFO) performance to assist in determining [FR Doc. 05–14425 Filed 7–20–05; 8:45 am] Evaluation—New—National Center for whether performance incentives have Health Marketing (NCHM), Centers for BILLING CODE 4140–01–P been achieved; and (4) to collect data in Disease Control and Prevention (CDC). order to address public concern and Background and Brief Description response to emergencies, outbreaks, and DEPARTMENT OF HEALTH AND media events. HUMAN SERVICES CDC is launching an integrated ‘‘one face to the public’’ approach across all Sample size, respondent burden, and Centers for Disease Control and communication channels to handle intrusiveness have been minimized to Prevention inquiries concerning a broad spectrum be consistent with national evaluation of public health topics. The overall objectives. Procedures will be employed [60Day–05–05CO] objective is to ensure consistent, timely, to safeguard the privacy and confidentiality of participants. Pilot Proposed Data Collections Submitted reliable health information for tests assisted in controlling burden and for Public Comment and dissemination to a variety of consumers ensuring the user-relevance of Recommendations (public, health professionals, researchers, etc.) and to address questions. The following table shows In compliance with the requirement variations in inquiry volumes related to the estimated annualized burden for of section 3506(c)(2)(A) of the public health emergencies, news events, data collection. There are no respondent Paperwork Reduction Act of 1995 for and dynamic, shifting public health costs other than the amount of time opportunity for public comment on priorities. The CDC has integrated over required to respond to the survey.
ESTIMATE OF ANNUALIZED BURDEN TABLE
Average Number of Responses burden/re- Average an- Data collection instrument respondents /respondent sponse nual burden (in hrs) hours
Satisfaction survey (callers) ...... 35,000 1 3/60 1,750 Satisfaction survey (e-mail inquiries) ...... 336 1 3/60 17 Follow up survey ...... 7,000 1 7/60 817 Key informant survey ...... 5,000 1 7/60 583 Postcard survey ...... 5,000 1 1/60 83 Special event survey ...... 35,000 1 5/60 2,917
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ESTIMATE OF ANNUALIZED BURDEN TABLE—Continued
Average Number of Responses burden/re- Average an- Data collection instrument respondents /respondent sponse nual burden (in hrs) hours
Emergency response survey ...... 35,000 1 5/60 2,917
Total Burden Hours ...... 9,084
Dated: July 15, 2005. ways to enhance the quality, utility, and empowerment interventions to reduce Joan F. Karr, clarity of the information to be risk for HIV infection. Acting Reports Clearance Officer, Centers for collected; and (d) ways to minimize the A focus group will be conducted with Disease Control and Prevention. burden of the collection of information eight women (who are screened for [FR Doc. 05–14369 Filed 7–20–05; 8:45 am] on respondents, including through the eligibility) in each of the four BILLING CODE 4163–18–P use of automated collection techniques communities (a total of 32 women) in or other forms of information the southeast United State with high technology. Written comments should prevalence of HIV and other sexually DEPARTMENT OF HEALTH AND be received within 60 days of this transmitted diseases. A subset of these HUMAN SERVICES notice. women will participate in individual Centers for Disease Control and Proposed Project interviews. Another focus group will Prevention Micro-Finance Project for HIV include community leaders in each of the four communities (a total of 32 [60 Day–05–05CP] Prevention—New—National Center for HIV, STD and TB Prevention (NCHSTP), individuals). The focus groups will Proposed Data Collections Submitted Centers for Disease Control and capture demographic information, for Public Comment and Prevention (CDC). attitudes, and knowledge regarding Recommendations income-generating activities that are Background and Brief Description feasible (can be done with small In compliance with the requirement CDC is requesting a 3-year approval capitalization and by these women with of section 3506(c)(2)(A) of the from the Office of Management and some training and other preparation), Paperwork Reduction Act of 1995 for Budget to conduct focus groups and attractive (women will do this work), opportunity for public comment on administer a one-on-one qualitative and useful (likely to produce income to proposed data collection projects, the interview to women who are at risk for address a reasonable proportion of Centers for Disease Control and HIV infection and community leaders in economic need; the community will use Prevention (CDC) will publish periodic four communities in the southeastern the service or purchase the product of summaries of proposed projects. To United States. the activity). request more information on the The purpose of this project is to The subset of focus group participants proposed projects or to obtain a copy of conduct formative research to determine the data collection plans and the most realistic and efficacious who also participate in individual instruments, call 404–371–5983 and approach for developing a micro-finance interviews (five women in each of the send comments to Seleda Perryman, project to reduce HIV/STD-related risk four communities, with a maximum of CDC Assistant Reports Clearance behavior among unemployed or 20 individual interviews) will respond Officer, 1600 Clifton Road, MS–D74, underemployed high-risk African- to more personal questions. The semi- Atlanta, GA 30333 or send an e-mail to American women in the southeastern structured individual interviews will [email protected]. United States, who are among those explore behavioral, social, and Comments are invited on: (a) Whether most at risk for HIV infection in the economic conditions that might the proposed collection of information country. The project addresses goals of contribute to risk for HIV infection. is necessary for the proper performance the CDC HIV Prevention Strategic Plan,’’ The focus groups and interviews will of the functions of the agency, including specifically the goal of decreasing the take about two hours each to complete. whether the information shall have number of persons at high risk of A screening interview for women practical utility; (b) the accuracy of the acquiring or transmitting HIV infection. participants will take about 10 minutes agency’s estimate of the burden of the Information from this project will to complete. There are no costs to proposed collection of information; (c) inform the development of economic respondents other than their time.
ESTIMATE OF ANNUALIZED BURDEN HOURS
Average Number of Number of burden per re- Total burden Respondents respondents responses per sponse (in hours) respondent (in hours)
Women—Screening interview ...... 55 1 10/60 10 Women—Focus groups ...... 32 1 2 64 Women—individual interviews ...... 20 1 2 40 Community leaders—Focus groups ...... 32 1 2 64
Total ...... 178
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Dated: July 15, 2005. is necessary for the proper performance AIDS in the workplace. This proposed Joan F. Karr, of the functions of the agency, including data collection will incorporate some Acting Reports Clearance Officer, Centers for whether the information shall have questions, but will be a shorter version, Disease Control and Prevention. practical utility; (b) the accuracy of the from a previously approved data [FR Doc. 05–14370 Filed 7–20–05; 8:45 am] agency’s estimate of the burden of the collection, ‘‘Business Responds to AIDS BILLING CODE 4163–18–P proposed collection of information; (c) Benchmark Study,’’ OMB No. 0920– ways to enhance the quality, utility, and 0359, which expired on January 31, clarity of the information to be 1996. DEPARTMENT OF HEALTH AND collected; and (d) ways to minimize the The target population for the 2005 HUMAN SERVICES burden of the collection of information survey will be private-sector worksites on respondents, including through the employing 15 or more individuals and Centers for Disease Control and use of automated collection techniques operating in the United States at the Prevention or other forms of information time of the survey. Selected worksites [60 Day–05–05CN] technology. Written comments should will be able to respond to the survey by be received within 60 days of this telephone or electronically through the Proposed Data Collections Submitted notice. internet. An introductory letter for Public Comment and Proposed Project describing the BRTA program and the Recommendations survey will be mailed to each selected In compliance with the requirement 2005 Business Responds to AIDS worksite two weeks prior to of section 3506(c)(2)(A) of the (BRTA) Survey—New—National Center implementation of the actual survey. Paperwork Reduction Act of 1995 for for HIV, STD, and TB Prevention The initial point of contact at the opportunity for public comment on (NCHSTP), Centers for Disease Control worksites is expected to be the business proposed data collection projects, the and Prevention (CDC). owner for smaller sites and the human resources director for larger sites. This Centers for Disease Control and Background and Brief Description Prevention (CDC) will publish periodic individual will be asked to either summaries of proposed projects. To The Business Responds to AIDS complete the interview or provide an request more information on the (BRTA) program is a partnership among appropriate referral within the proposed projects or to obtain a copy of CDC, business, labor, and the public company. CDC anticipates that the data collection plans and health sector that began in 1992. The information from the survey will allow instruments, call 404–371–5983 and purpose of the program is to encourage the agency to revise and strengthen the send comments to Seleda Perryman, businesses to implement HIV/AIDS objectives and strategies of the BRTA CDC Assistant Reports Clearance policies and education programs in the program in an effort to support business Officer, 1600 Clifton Road, MS–D74, workplace. CDC is requesting a 3-year practices and policies related to HIV/ Atlanta, GA 30333 or send an e-mail to approval from OMB to administer a AIDS. [email protected]. survey to business owners or human There is no cost to respondents Comments are invited on: (a) Whether resource directors to assess business participate in the survey other than their the proposed collection of information practices and policies relating to HIV/ time.
Average Number of Number of burden per re- Total burden Respondents respondents responses per sponse hours respondent (in hrs)
Business Owners or Human Resources Directors ...... 2,200 1 20/60 733
Dated: July 15, 2005. announces the following committee development of probability of causation Joan F. Karr, meeting: guidelines which have been promulgated by HHS as a final rule, advice on methods of Acting Reports Clearance Officer, Centers for Name: Advisory Board on Radiation and dose reconstruction which have also been Disease Control and Prevention. Worker Health (ABRWH), National Institute promulgated by HHS as a final rule, advice for Occupational Safety and Health (NIOSH) [FR Doc. 05–14371 Filed 7–20–05; 8:45 am] on the scientific validity and quality of dose and Subcommittee for Dose Reconstruction estimation and reconstruction efforts being BILLING CODE 4163–18–P and Site Profile Reviews. performed for purposes of the compensation Working Group Meeting Time and Date: 11 a.m.–1 p.m., EDT, Tuesday, July 26, 2005. program, and advice on petitions to add DEPARTMENT OF HEALTH AND Place: Teleconference call via FTS classes of workers to the Special Exposure HUMAN SERVICES Conferencing. The USA toll free dial in Cohort (SEC). number is 1–800–988–9740 with a pass code In December 2000, the President delegated Centers for Disease Control and of 56001. responsibility for funding, staffing, and operating the Board to HHS, which Prevention Status: Open to the public, but without a public comment period. subsequently delegated this authority to the Background: The ABRWH was established CDC. NIOSH implements this responsibility National Institute for Occupational under the Energy Employees Occupational for CDC. The charter was issued on August Safety and Health Advisory Board on Illness Compensation Program Act 3, 2001, and renewed on August 3, 2003. Radiation and Worker Health (EEOICPA) of 2000 to advise the President, Purpose: This board is charged with (a) delegated to the Secretary of Health and providing advice to the Secretary, HHS on In accordance with section 10(a)(2) of Human Services (HHS), on a variety of policy the development of guidelines under the Federal Advisory Committee Act and technical functions required to Executive Order 13179; (b) providing advice (Pub. L. 92–463), the Centers for Disease implement and effectively manage the new to the Secretary, HHS on the scientific compensation program. Key functions of the validity and quality of dose reconstruction Control and Prevention (CDC) Board include providing advice on the efforts performed for this Program; and (c)
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upon request by the Secretary, HHS, advise Office of Management and Budget licensees to notify selling agents and the Secretary on whether there is a class of (OMB) for review and clearance under distributors upon suspension of its employees at any Department of Energy the Paperwork Reduction Act of 1995. license, and provide FDA with records facility who were exposed to radiation but for DATES: Fax written comments on the of such notification. whom it is not feasible to estimate their Section 601.12(a)(2) requires, radiation dose, and on whether there is collection of information by August 22, reasonable likelihood that such radiation 2005. generally, that the holder of an doses may have endangered the health of ADDRESSES: OMB is still experiencing approved biologics license application members of this class. significant delays in the regular mail, must assess the effects of a Matters to be Discussed: Agenda for this including first class and express mail, manufacturing change before meeting will focus on priority issues related and messenger deliveries are not being distributing a biological product made to the Mallinckrodt Site Profile Review. accepted. To ensure that comments on with the change. Section 601.12(a)(4) Specifically, the identification and requires applicants to promptly revise clarification of specific issues to be included the information collection are received, OMB recommends that written all promotional labeling and advertising in the review; finalization of a timeline to to make it consistent with certain complete the review; setting a time and comments be faxed to the Office of labeling changes implemented. Section location for future meetings and interactions; Information and Regulatory Affairs, 601.12(a)(5) requires applicants to and initiating discussions of technical issues OMB, Attn: Fumie Yokota, Desk Officer include a list of all changes contained as appropriate. for FDA, FAX: 202–395–6974. The agenda is subject to change as in the supplement or annual report; for priorities dictate. FOR FURTHER INFORMATION CONTACT: supplements, this list must be provided In the event a member of the working Jonna Capezzuto, Office of Management in the cover letter. The burden estimates group cannot attend, written comments may Programs (HFA–250), Food and Drug for § 601.12(a)(2) are included in the be submitted. Any written comments Administration, 5600 Fishers Lane, estimates for supplements (§ 601.12(b) received will be provided at the meeting and Rockville, MD 20857, 301–827–4659. and (c)) and annual reports should be submitted to the contact person SUPPLEMENTARY INFORMATION: In below well in advance of the meeting. (§ 601.12(d)). The burden estimates for Contact Person for More Information: Dr. compliance with 44 U.S.C. 3507, FDA § 601.12(a)(4) are included in the Lewis V. Wade, Executive Secretary, NIOSH, has submitted the following proposed estimates under § 601.12(f)(4) in table 1 CDC, 4676 Columbia Parkway, Cincinnati, collection of information to OMB for of this document or OMB control Ohio 45226, telephone (513) 533–6825, fax review and clearance. number 0910–0001 (expires May 31, (513) 533–6826. General Licensing Provisions: Biologics 2008) because the required information The Director, Management Analysis and is submitted with Forms FDA 2567 or Services Office, has been delegated the License Application, Changes to an Approved Application, Labeling, 2253. authority to sign Federal Register notices Section 601.12(b)(1) and (b)(3), (c)(1) pertaining to announcements of meetings and Revocation and Suspension, and Forms and (c)(3), (c)(5), and (d)(1) and (d)(3) other committee management activities for FDA 356h and 2567—(OMB Control require applicants to follow specific both the Centers for Disease Control and Number 0910–0338)—Extension Prevention and the Agency for Toxic procedures to inform FDA of each Substances and Disease Registry. Under Section 351 of the Public change, in the product, production Health Services Act (the PHS Act) (42 Dated: July 15, 2005. process, quality controls, equipment, U.S.C. 262), manufacturers of biological facilities, responsible personnel or Alvin Hall, products must submit a license labeling established in an approved Director, Management Analysis and Services application for FDA review and license application. The appropriate Office, Centers for Disease Control and approval before marketing a biological Prevention. procedure depends on the potential for product in interstate commerce. the change to have a substantial, [FR Doc. 05–14380 Filed 7–20–05; 8:45 am] Licenses may be issued only upon moderate, or minimal adverse effect on BILLING CODE 4163–18–P showing that the establishment and the the identity, strength, quality, purity, or products for which a license is desired potency of the products as they may meets standards prescribed in DEPARTMENT OF HEALTH AND relate to the safety or effectiveness of the regulations designed to insure the HUMAN SERVICES product. Under § 601.12(b)(4), continued safety, purity, and potency of applicants may ask FDA to expedite its Food and Drug Administration such products. All such licenses are review of a supplement for public issued, suspended, and revoked as health reasons or if a delay in making [Docket No. 2005N–0083] prescribed by regulations in part 601 (21 the change described in it would impose CFR part 601). an extraordinary hardship on the Agency Information Collection Section 601.2(a) requires applicant. The burden estimate for Activities; Submission for Office of manufacturers of a biological product to § 601.12(b)(4) is minimal and included Management and Budget Review; submit an application with in the estimate under § 601.12(b)(1) and Comment Request; General Licensing accompanying information, including (b)(3) in table 1 of this document. Provisions: Biologics License labeling information, to FDA for Section 601.12(e) requires applicants Application, Changes to an Approved approval to market a product in to submit a protocol, or change to a Application, Labeling, Revocation and interstate commerce. The container and protocol, as a supplement requiring Suspension, and Forms FDA 356h and package labeling requirements are FDA approval before distributing the 2567 provided under part 610 (21 CFR part product. Section 601.12(f)(1), (f)(2), and AGENCY: Food and Drug Administration, 610) §§ 610.60, 610.61, and 610.62. The (f)(3) requires applicants to follow HHS. estimate for these regulations is specific procedures to report labeling ACTION: Notice. included in the estimate under changes to FDA. The appropriate § 601.2(a) in table 1 of this document. procedure depends on the potential for SUMMARY: The Food and Drug Section 601.5(a) requires licensees to the change to have a substantial, Administration (FDA) is announcing submit to FDA notice of its intention to moderate, or minimal adverse effect on that a proposed collection of discontinue manufacture of a product or the safety or effectiveness of the information has been submitted to the all products. Section 601.6(a) requires product. Section 601.12(f)(4) requires
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that applicants report to FDA or all assessments of safety and recordkeeping burdens would be advertising and promotional labeling effectiveness required under § 601.27(a). included under the adverse experience and any changes. Section 601.45 Section 601.27(c) provides that reporting (AER) requirements under part requires that applicants of biological applicants may request a full or partial 600 (21 CFR part 600) (OMB control products for serious or life-threatening waiver of the requirements under number 0910–0308; pending extension illnesses submit to the agency for § 601.27(a). The estimate for § 601.27(a) of OMB approval). Therefore, any consideration, during the preapproval is included in the burden estimate burdens associated with these review period, copies of all promotional under § 601.2(a) in table 1 of this requirements would be reported under materials, including promotional document since these regulations deal the AER information collection labeling as well as advertisements. with information to be provided in an requirements (OMB control number In addition to §§ 601.2 and 601.12, application. 0910–0308). there are other regulations in parts 640, Section 601.28 requires sponsors of Section 610.11(g)(2) provides that a 660, and 680 (21 CFR parts 640, 660, licensed biological products to submit manufacturer of certain biological and 680) that relate to information to be the information in § 601.28(a), (b), and products may request an exemption submitted in a license application or (c) to the Center for Biologics Evaluation from the general safety test (GST) supplement for certain blood or and Research (CBER) or the Center for requirements contained in this subpart. allergenic products: Sections 640.6, Drug Evaluation and Research (CDER) Under § 610.11(g)(2), FDA requires only 640.17, 640.21(c), 640.22(c), 640.25(c), each year, within 60 days of the those manufacturers of biological 640.56(c), 640.64(c), 640.74(a) and anniversary date of approval of the products requesting an exemption from (b)(2), 660.51(a)(4), 680.1(b)(2)(iii), and license. Section 601.28(a) requires the GST to submit additional 680.1(d). In the table 1 of this document, sponsors to submit to FDA a brief information as part of a license the burden associated with the summary stating whether labeling application or supplement to an information collection requirements in supplements for pediatric use have been approved license application. Therefore, these regulations is included in the submitted and whether new studies in the burden estimate for § 610.11(g)(2) is burden estimate for § 601.2 and/or the pediatric population to support included in the estimate under § 601.12. A regulation may be listed appropriate labeling for the pediatric §§ 601.2(a) and 601.12(b) in table 1 of under more than one paragraph of population have been initiated. Section this document. § 601.12 due to the type of category 601.28(b) requires sponsors to submit to Section 610.67 requires certain under which a change to an approved FDA an analysis of available safety and biological products to comply with the application may be submitted. efficacy data in the pediatric population bar code requirements in § 201.25 (21 There are also additional container and changes proposed in the labeling CFR 201.25). Section 201.25 is approved and/or package labeling requirements based on this information. Section under OMB control number 0910–0537 for certain licensed biological products: 601.28(c) requires sponsors to submit to (expires February 28, 2007). Section 640.70(a) for source plasma; FDA a statement on the current status of Section 680.1(c) requires that § 640.74(b)(3) and (b)(4) for source any postmarketing studies in the manufacturers update annually their plasma liquid; § 640.84(a) and (c) for pediatric population performed by, or license file with the list of source albumin; § 640.94(a) for plasma protein on behalf of, the applicant. materials and the suppliers of the fraction; § 660.2(c) for antibody to Sections 601.33 through 601.35 clarify materials. Hepatitis B surface antigen; § 660.28(a) the information to be submitted in an Sections 600.15(b) and 610.53(d) and (b) for blood grouping reagent; application to FDA to evaluate the require the submission of a request for § 660.35(a), (c) through (g), and (i) safety and effectiveness of in vivo an exemption or modification regarding through (m) for reagent red blood cells; radiopharmaceuticals. The burden the temperature requirements during § 660.45 for Hepatitis B surface antigen; estimates for §§ 601.33 through 601.35 shipment and from dating periods, and § 660.55(a) and (b) for anti-human are included in the burden estimate respectively, for certain biological globulin. The burden associated with under § 601.2(a) in table 1 of this products. Section 606.110(b) requires the additional labeling requirements for document since these regulations deal the submission of a request for approval submission of a license application for with information to be provided in an to perform plasmapheresis of donors these certain biological products is application. who do not meet certain donor minimal because the majority of the Section 601.91(b)(3) requires requirements for the collection of burden is associated with the applicants to prepare and provide plasma containing rare antibodies. requirements under §§ 610.60 through labeling with relevant information to a Under §§ 600.15(b), 610.53(d), and 610.62 or § 809.10 (21 CFR 809.10). patient or a potential patient for 606.110(b), a request for an exemption Therefore, the burden estimates for biological products approved under the or modification to the requirements these regulations is included in the subpart when human efficacy studies would be submitted as a supplement. estimate under §§ 610.60 through 610.62 are not ethical or feasible (or based on Therefore, the burden hours for any in table 1 of this document. The burden efficacy studies conducted in animals submissions under §§ 600.15(b), estimates associated with § 809.10 are alone). Section 601.93 provides that 610.53(d), and 606.110(b) are included approved under OMB control number biological products approved under this in the estimates under § 601.12(b) in 0910–0485 (expires June 30, 2008). subpart are subject to the postmarketing table 1 of this document. Section 601.27(a) requires that recordkeeping and safety reporting Section 601.91(b)(2)(iii) provides that applications for new biological products applicable to all approved biological biological products approved under contain data that are adequate to assess products. Section 601.94 requires subpart H are subject to the the safety and effectiveness of the applicants under this subpart to submit postmarketing recordkeeping and safety biological product for the claimed to the agency for consideration during reporting applicable to all approved indications in pediatric subpopulations, the preapproval review period copies of biological products. and to support dosing and all promotional materials including In July 1997, FDA revised Form FDA administration information. Section promotional labeling as well as 356h, ‘‘Application to Market a New 601.27(b) provides that applicants may advertisements. Under § 601.93, any Drug, Biologic, or an Antibiotic Drug for request a deferred submission of some potential postmarketing reports and/or Human Use,’’ to harmonize application
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procedures between CBER and the required information to FDA or the submissions were received with Form CDER. The application form serves number of submissions FDA received. FDA 2567 resulting in an estimated 540 primarily as a checklist for firms to Based on information obtained from submissions. The burden hours for the gather and submit certain information to CBER’s database system, there are 306 remaining submissions received using FDA. The checklist helps to ensure that licensed biologics manufacturers. Form FDA 2253 are reported under the application is complete and contains However, not all manufacturers will OMB control number 0910–0376 all the necessary information, so that have any submissions in a given year (expires May 31, 2008). delays due to lack of information may and some may have multiple Under §§ 601.91 through 601.94, FDA be eliminated. The form provides key submissions. The total annual responses expects to receive very few applications information to FDA for efficient are based on the estimated number of of this nature; however, for calculation handling and distribution to the submissions (i.e., license applications, purposes, FDA is estimating the appropriate staff for review. The labeling and other supplements, submission of one application annually. estimated burden hours for submissions protocols, advertising and promotional Under §§ 601.91(b)(3) and 601.94, FDA to CDER using FDA Form 356h are labeling, notifications) for a particular estimates 240 hours for a manufacturer reported under OMB control number product received annually by FDA. of a new biological product to develop 0910–0001. Based on previous estimates, the rate of patient labeling, and to submit the Form FDA 2567 ‘‘Transmittal of submissions is not expected to change appropriate information and Labels and Circulars’’ is used by significantly in the next few years. The promotional labeling to FDA. The manufacturers of licensed biological hours per response are based on products to submit labeling (e.g., information provided by industry and majority of the burden for developing circulars, package labels, container past FDA experience with the various the patient labeling is included under labels, etc.) and labeling changes for submissions or notifications. The hours the reporting requirements for § 601.94, FDA review and approval. The labeling per response include the time estimated therefore minimal burden is calculated information is submitted with the form to prepare the various submissions or for providing the guide to patients for license applications, supplements, or notifications to FDA, and, as applicable, under § 601.91(b)(3). as part of an annual report. Form FDA the time required to fill out the There were also 3,540 amendments to 2567 is also used for the transmission of appropriate form and collate the an unapproved application or advertisements and promotional documentation. Additional information supplement and 23 resubmissions (total labeling. Form FDA 2567 serves as an regarding these estimates is provided of 3,563 submissions) submitted using easy guide to assure that the below as necessary. Form FDA 356h. manufacturer has provided the Under §§ 601.2 and 601.12, the In the Federal Register of March 15, information required for expeditious estimated hours per response are based 2005 (70 FR 12693), FDA published a handling of their labeling by CBER. For on the average number of hours to 60-day notice requesting public advertisements and promotional submit the various submissions. The comment on the information collection labeling, manufacturers of licensed estimated average number of hours is provisions to which one comment was biological products may submit to CBER based on the range of hours to complete received. The comment was in response either Form FDA 2567 or 2253. Form a very basic application or supplement to whether the proposed collection of FDA 2253 was previously used only by and a complex application or information is necessary for the proper drug manufacturers regulated by CDER. supplement. performance of FDA’s functions, In August of 1998, FDA revised and Under § 601.6(a), the total annual including whether the information will harmonized Form FDA 2253 so the form responses are based on FDA estimates have practical utility. The comment may be used to transmit specimens of that establishments may notify an generally stated an opinion that the promotional labeling and average of 20 selling agents and information collection program is not advertisements for biological products distributors of such suspension, and necessary, does not protect Americans, as well as for prescription drugs and provide FDA of such notification. and is costly without justification. The antibiotics. The revised, harmonized The number of respondents is based comment did not request any action, nor form updates the information about the on the estimated annual number of did they provide data to support a types of promotional materials and the suspensions of a biologic license. codes that are used to clarify the type of Under §§ 601.12(f)(4) and 601.45, change to the information collection advertisement or labeling submitted; manufacturers of biological products requirements. clarifies the intended audience for the may use either Form FDA 2567 or Form Information collection is a statutory advertisements or promotional labeling FDA 2253 to submit advertising and requirement under the Paperwork (e.g., consumers, professionals, news promotional labeling. Based on Reduction Act of 1995 (44 U.S.C. 3501– services); and helps ensure the information obtained from CBER’s 3520). FDA cannot abolish or modify submission is complete. database system, there were an the information collection requirements Under table 1 of this document, the estimated 3,600 submissions of provided in the regulations (5 CFR number of respondents is based on the advertising and promotional labeling in 1320.3(c)) unless the statute is changed. estimated annual number of fiscal year 2004. FDA estimates that Changing the statute is beyond FDA’s manufacturers that submitted the approximately 15 percent of those authority and control.
TABLE 1.—ESTIMATED ANNUAL REPORTING BURDEN1
21 CFR Form No. of Annual Frequency Total Annual Hours per Total Section FDA No. Respondents per Response Responses Response Hours
601.2(a), 610.60, 610.61, and 610.622 2567/356h 14 2 28 860 24,080
601.5(a) NA 16 3.13 50 .33 17
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TABLE 1.—ESTIMATED ANNUAL REPORTING BURDEN1—Continued
21 CFR Form No. of Annual Frequency Total Annual Hours per Total Section FDA No. Respondents per Response Responses Response Hours
601.6(a) NA 1 21 21 .33 7
601.12(a)(5) NA 190 15.7 2,983 1 2,983
601.12(b)(1) and (b)(3)3 356h 190 4.75 903 80 72,240
601.12(c)(1) and (c)(3)4 356h 98 2.60 255 50 12,750
601.12(c)(5)4 356h 34 1.38 47 50 2,350
601.12(d)(1) and (d)(3)5 356h 166 1.37 227 22.5 5,107.5
601.12(e) 356h 14 1.43 20 120 2,400
601.12(f)(1) 2567 12 1 12 40 480
601.12(f)(2) 2567 10 1 10 20 200
601.12(f)(3) 2567 70 1.43 100 10 1,000
601.12(f)(4)6 and 601.45 2567 15 36 540 10 5,400
601.25(b)(3) NA 0 0 0 0 0
601.26(f) NA 0 0 0 0 0
601.27(b) NA 3 1 3 24 72
601.27(c) NA 7 1 7 8 56
601.28(a) NA 44 3.27 144 8 1,152
601.28(b) NA 44 3.27 144 24 3,456
601.28(c) NA 44 3.27 144 1.5 216
601.91(b)(3) and 601.94 NA 1 1 1 240 240
610.67 NA 174 31 5,400 24 129,600
680.1(c) NA 10 1 10 2 20
Amendments/Resubmissions 356h 306 11.6 3,563 20 71,260
Total 335,086.5 1 There are no capital costs or operating and maintenance costs associated with this collection of information. 2 The reporting requirements under §§ 601.27(a), 601.33, 601.34, 601.35, 610.11(g)(2), 640.17, 640.25(c), 640.56(c), 640.74(b)(2), 660.51(a)(4), and 680.1(b)(2)(iii) are included in the estimate under § 601.2(a). The reporting requirements under §§ 640.70(a); 640.74(b)(3) and (b)(4); 640.84(a) and (c); 640.94(a); 660.2(c); 660.28(a) and (b); 660.35(a), (c) through (g), and (i) through (m); 660.45; and 660.55(a) and (b) are included under §§ 610.60 through 610.62. 3.The reporting requirements under §§ 600.15(b), 601.12(a)(2), 601.12(b) (4), 610.11(g)(2), 610.53(d), 606.110(b), 640.6, 640.17, 640.21(c), 640.22(c), 640.25(c), 640.56(c), 640.64(c), 640.74(a) and (b)(2), and 680.1(d) are included in the estimate under § 601.12(b)(1) and (b)(3). 4 The reporting requirements under §§ 601.12(a)(2), 640.17, 640.25(c), 640.56(c), and 640.74(b)(2) are also included in the estimate under § 601.12(c)(1) and (c)(3) or (c)(5). 5.The reporting requirements under § 601.12(a)(2) are also included in the estimates under § 601.12(d)(1) and (d)(3). 6.The reporting requirements under § 601.12(a)(4) are included in the estimates under § 601.12(f)(4) or OMB control number 0910–0001 since the required information is submitted with Form FDA 2567 or 2253.
Under table 2 of this document, the the recordkeeping requirements estimated recordkeeping burden of 1 associated with the AER system. hour is based on previous estimates for
TABLE 2.—ESTIMATED ANNUAL RECORDKEEPING BURDEN1
No. of Annual Frequency Total Annual Hours per 21 CFR Section Recordkeepers per Recordkeeping Records Record Total Hours
601.91(b)(2)(iii) 1 1 1 1 1 1 There are no capital costs or operating and maintenance costs associated with this collection of information.
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Dated: July 14, 2005. Submit written requests for single scheme for designing and voluntarily Jeffrey Shuren, copies of the draft manuals to Margaret implementing food safety management Assistant Commissioner for Policy. Boone, Center for Food Safety and systems based on HACCP principles. By [FR Doc. 05–14330 Filed 7–20–05; 8:45 am] Applied Nutrition (HFS–625), Food and voluntarily implementing food safety BILLING CODE 4160–01–S Drug Administration, 5100 Paint Branch management systems, active managerial Pkwy., College Park, MD 20740, 301– control of foodborne illness risk factors 436–1559. Send one self-adhesive can be achieved. Any operator of a retail DEPARTMENT OF HEALTH AND address label to assist that office in or foodservice establishment is HUMAN SERVICES processing your request. See the encouraged to voluntarily utilize the SUPPLEMENTARY INFORMATION section for methods and procedures presented in Food and Drug Administration electronic access to the draft manuals the draft manual. The Regulator’s Manual provides [Docket No. 2005D–0274] and received comments. FOR FURTHER INFORMATION CONTACT: State, local, and tribal regulatory Draft Voluntary Hazard Analysis and Alan Tart, Office of Regulatory Affairs, authorities with a step-by-step scheme Critical Control Point Manuals for Southeast Regional Office, State for conducting risk-based inspections Operators and Regulators of Retail and Cooperative Programs (HFR–SE670), based on HACCP principles. In Food Service Establishments; Food and Drug Administration, 60 8th addition, the draft manual details Availability St., NE., Atlanta, GA 30309, 404–253– intervention strategies that can be 1267. developed with retail and foodservice AGENCY: Food and Drug Administration, operators to reduce the occurrence of HHS. SUPPLEMENTARY INFORMATION: foodborne illness risk factors. It also ACTION: Notice. I. Background provides a methodology for evaluating voluntarily-implemented food safety SUMMARY: The Food and Drug While the responsibility for regulating management systems, if invited to do so, Administration (FDA) is announcing the retail and foodservice establishments by retail or foodservice operators. availability of two draft manuals lies primarily with State, local, and Comments received from the entitled ‘‘Managing Food Safety: A tribal jurisdictions, FDA provides Conference for Food Protection (CFP) Manual for the Voluntary Use of HACCP assistance to these jurisdictions through have been incorporated into the draft Principles for Operators of Food Service multiple means, including but not manuals. The CFP is composed of and Retail Establishments’’ (the limited to, training and technical regulators, industry, academia, ‘‘Operator’s Manual’’) and ‘‘Managing assistance. Authority for providing such professional organizations, and Food Safety: A Regulator’s Manual for assistance is derived from section 311 of consumers. Its purpose is to identify Applying HACCP Principles to Risk- the Public Health Service Act (42 U.S.C. problems, formulate recommendations, Based Retail and Food Service 243). In addition, FDA’s mission under and develop and implement practices Inspections and Evaluating Voluntary section 903(b)(2)(A) of the Federal Food, that relate to food safety. In 2004, CFP Food Safety Management Systems’’ (the Drug, and Cosmetic Act (the act) (21 endorsed both draft manuals with a ‘‘Regulator’s Manual’’). The Operator’s U.S.C. 393(b)(2)(A)) includes ensuring recommendation that both industry and Manual presents FDA’s best advice to that foods are safe, wholesome, and regulatory entities consider retail and foodservice operators for sanitary, and section 903(b)(4) of the act implementing the principles of the voluntarily implementing food safety directs FDA to cooperate with food documents into their respective food management systems based on hazard retailers, among others, in carrying out safety programs. analysis and critical control point this part of its mission. The utilization of voluntary food (HACCP) principles to reduce the The Centers for Disease Control and safety management systems by industry, occurrence of foodborne illness risk Prevention has identified the major as well as the incorporation of a risk- factors. The Regulator’s Manual is contributing factors associated with based methodology into regulatory intended to assist State, local, and tribal foodborne illness outbreaks. Five of inspection programs, are important regulatory authorities in identifying and these contributing factors directly relate elements in reaching the goals assessing control of foodborne illness to retail and foodservice establishments established by the President’s Council risk factors during routine inspections and are called ‘‘foodborne illness risk on Food Safety and also FDA program of retail and foodservice establishments factors’’ by FDA. Food safety goals. management systems based on HACCP by providing a risk-based inspection II. Paperwork Reduction Act of 1995 methodology. principles are designed to reduce the occurrence of these risk factors through Under the Paperwork Reduction Act DATES: Submit written or electronic preventive controls. For industry, the of 1995 (the PRA) (44 U.S.C. 3501– comments concerning the draft manuals rationale for developing and 3520), Federal agencies must obtain and their recommendations for implementing a food safety management approval from the Office of Management collection of information by September system based on HACCP principles is to and Budget (OMB) for each collection of 19, 2005. ensure that final products are not information they conduct or sponsor. ADDRESSES: Submit written comments contaminated with agents that could ‘‘Collection of information’’ is defined concerning the draft manuals and their cause foodborne illness or injury. In an in 44 U.S.C. 3502(3) and 5 CFR recommendations for collection of effort to assist State, local, and tribal 1320.3(c) and includes agency requests information to the Division of Dockets regulators and the retail and foodservice or requirements that members of the Management (HFA–305), Food and Drug entities they regulate, FDA has public submit reports, keep records, or Administration, 5630 Fishers Lane, rm. developed two draft manuals for the provide information to a third party. 1061, Rockville, MD 20852. Submit voluntary use of HACCP principles in Section 3506(c)(2)(A) of the PRA (44 electronic comments on the draft retail and foodservice establishments. U.S.C. 3506(c)(2)(A)) requires Federal manuals and their recommendations for The Operator’s Manual provides agencies to provide a 60-day notice in collection of information to http:// operators of retail and foodservice the Federal Register concerning each www.fda.gov/dockets/ecomments. establishments with a step-by-step proposed collection of information
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before submitting the collection to OMB developing and validating a voluntary assessment of the significant food safety for approval. To comply with this food safety management system. hazards associated with foods prepared requirement, FDA is publishing notice The draft Regulator’s Manual contains in the establishment); prerequisite of the proposed collection of recommendations for State, local, and programs (written policies or information set forth in this document. tribal regulators on conducting risk- procedures, including but not limited With respect to the following based inspections of retail and to, standard operating procedures, collection of information, FDA invites foodservice establishments, including training protocols, and buyer comments on these topics: (1) Whether recommendations about recordkeeping specifications that address maintenance the proposed collection of information practices that can assist operators in of basic operational and sanitation is necessary for the proper performance preventing foodborne illness. These conditions); monitoring (records of FDA’s functions, including whether recommendations may lead to voluntary showing the observations or the information will have practical actions by operators based on measurements that are made to help utility; (2) the accuracy of FDA’s consultation with regulators. For determine if critical limits are being met estimate of the burden of the proposed example, an operator may develop a risk and maintained); corrective action collection of information, including the control plan as an intervention strategy (records indicating the activities that are validity of the methodology and for controlling specific out-of-control completed whenever a critical limit is assumptions used; (3) ways to enhance foodborne illness risk factors identified not met); ongoing verification (records the quality, utility, and clarity of the during an inspection. Further, the draft showing the procedures that are information to be collected; and (4) manual contains recommendations to followed to ensure that monitoring and ways to minimize the burden of the assist regulators when evaluating other functions of the food safety collection of information on voluntary food safety management management system are being respondents, including through the use systems in retail and foodservice implemented properly; and validation of automated collection techniques, establishments. Such evaluations (records indicating that scientific and when appropriate, and other forms of typically consist of the following two technical information is collected and information technology. components: Validation (assessing evaluated to determine if the food safety whether the establishment’s voluntary management system, when properly Title: Voluntary HACCP Manuals for food safety management system is implemented, effectively controls the Operators and Regulators of Retail and adequate to control food safety hazards) hazards). Food Service Establishments and verification (assessing whether the All recommendations in both manuals The draft Operator’s Manual contains establishment is following its voluntary are voluntary. For simplicity and to information and recommendations for food safety management system). The avoid duplicate estimates for operator operators of retail and foodservice draft manual includes a sample recordkeeping practices that are establishments who wish to develop ‘‘Verification Inspection Checklist’’ to discussed in both manuals, the burden and implement a voluntary food safety assist regulators when conducting for all collection of information management system based on HACCP verification inspections of recommendations for retail and principles. Operators may decide to establishments with voluntary food foodservice operators are estimated incorporate some or all of the principles safety management systems. together in table 1 of this document, presented in the draft manual into their Types of operator records discussed regardless of the manual in which they existing food safety management in the manuals and listed in the appear. Collection of information systems. The recordkeeping practices following burden estimates include: recommendations for regulators in the discussed in the draft manual are Food safety management systems (plans Regulator’s Manual are listed separately voluntary and may include that delineate the formal procedures to in table 2 of this document. documenting certain activities, such as follow to control all food safety hazards Description of Respondents: The monitoring and verification, which the in an operation); risk control plans likely respondents to this collection of operator may or may not deem (HACCP-based, goal-oriented plans for information are operators and regulators necessary to ensure food safety. The achieving active managerial control over of retail and foodservice establishments. draft manual includes optional specific out-of-control foodborne illness FDA estimates the burden of this worksheets to assist operators in risk factors); hazard analysis (written collection of information as follows:
TABLE 1.—ESTIMATED ANNUAL RECORDKEEPING BURDEN FOR OPERATORS1
No. of Annual Frequency Total Annual Hours per Types of Records Recordkeepers per Recordkeeping Records Recordkeeper Total Hours
Food Safety Management Sys- tem 50,0002 1 50,000 60 3,000,000
Hazard Analysis 50,0002 1 50,000 20 1,000,000
Prerequisite Program Records 100,0003 365 36,500,000 0.1 3,650,000
Monitoring Records 100,0003 365 36,500,000 0.3 10,950,000
Corrective Action Records 100,0003 365 36,500,000 0.1 3,650,000
Ongoing Verification Records (in- cludes calibration records) 100,0003 365 36,500,000 0.1 3,650,000
Validation Records 50,0003 1 50,000 4 200,000
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TABLE 1.—ESTIMATED ANNUAL RECORDKEEPING BURDEN FOR OPERATORS1—Continued
No. of Annual Frequency Total Annual Hours per Types of Records Recordkeepers per Recordkeeping Records Recordkeeper Total Hours
Total First Year Burden:4 26,100,000
Annual Burden:4 22,100,000
Risk Control Plan 50,000 1 50,000 2 100,000
Monitoring Records 100,000 90 9,000,000 0.3 2,700,000
Corrective Action Records 100,000 90 9,000,000 0.1 900,000
Ongoing Verification Records (in- cludes calibration records) 100,000 90 9,000,000 0.1 900,000
Annual Burden5 4,600,000
Total Annual Burden for Operators (Excluding First Year) 26,700,000 1 There are no capital costs or operating and maintenance costs associated with this collection of information. 2 First year burden only. 3 Annual burden. 4 Burden for developing and implementing a food safety management system based on the Operator’s Manual. 5 Annual burden for developing and implementing a risk control plan based on the Regulator’s Manual.
The burden for these activities may establishments is based on numbers conducted once per year, based on vary among retail and foodservice obtained from the two major trade menu or food list changes, changes in operators depending on the type and organizations representing these distributors, or changes in food number of products involved, the industries, the Food Marketing Institute preparation processes used. The complexity of an establishment’s and the National Restaurant validation will require a total of 4 labor operation, the nature of the equipment Association, respectively. FDA seeks hours. or instruments required to monitor comments on this estimate. critical control points, and the extent to The hour burden estimates in table 1 The second set of estimates in table 1 which an operator uses the Operator’s of this document for operators who of this document shows the annual Manual and/or the Regulator’s Manual. follow the HACCP-based burden for developing and The estimate does not include recommendations in the Operator’s implementing a risk control plan to collections of information that are a Manual are based on the estimated control specific out-of-control foodborne usual and customary part of an average annual information collection illness risk factors identified during an operator’s normal activities. burden for mandatory HACCP rules, inspection by a State, local, or tribal FDA has established as a goal to have including seafood HACCP (60 FR 65096 regulatory authority. If an operator 50,000 (1/2 of 1 percent) of the at 65178, December 18, 1995) and juice decides to use a risk control plan as approximately one million U.S. retail HACCP (66 FR 6138 at 6202, January 19, recommended in the Regulator’s and foodservice operators implement 2001). FDA estimates that during the Manual, one person from the the recommendations outlined in the first year, 20 labor hours are needed to establishment is needed to work with two manuals. This target figure is used conduct the hazard analysis and 60 the regulator to develop the written in calculating the burden in tables 1 and labor hours are needed to develop a plan. FDA estimates that two 2 of this document because the agency food safety management system (HACCP recordkeepers per day (one lacks data on how to base an estimate plan). Once the system is in place, the recordkeeper for each shift) would be of how many retail and foodservice annual frequency of records is based on needed to conduct monitoring, establishments are likely to use one or 365 operating days per year. Assuming corrective action, recordkeeping, and more of the manuals to voluntarily there is one recordkeeper per shift of implement a comprehensive food safety operation, the agency estimates that two verification outlined in the risk control management system based on HACCP recordkeepers per day would be needed plan. The estimated duration of principles or a risk control plan for out- to conduct monitoring, corrective implementation for a risk control plan is of-control processes identified during an action, recordkeeping, and verification 90 days, which is the minimum inspection. FDA’s estimate of the total outlined in the system. The agency recommended time to achieve long-term number of retail and foodservice further estimates that validation will be behavior change.
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TABLE 2.—ESTIMATED ANNUAL RECORDKEEPING BURDEN FOR REGULATORS1
No. of Annual Frequency Total Annual Hours per Types of Records Recordkeepers per Recordkeeping Records Recordkeeper Total Hours
Voluntary Food Safety Management System Evaluation (includes vali- dation, verification, and comple- tion of verification inspection checklist) 50,000 1 50,000 16 800,000
Total Annual Burden for Regulators 800,000 1There are no capital costs or operating and maintenance costs associated with this collection of information.
It is difficult to predict the number of between 9 a.m. and 4 p.m., Monday revised, or implemented on or after State, local, and tribal regulatory through Friday. October 1, 1995, unless it displays a jurisdictions that will use the currently valid OMB number. IV. Electronic Access Regulator’s Manual. But FDA Proposed Collection: Title: The anticipates that retail and foodservice An electronic version of these draft Effectiveness of the NIH Curriculum establishments which voluntarily manuals is available on the Internet at Supplements and Workshops Survey. develop and implement a food safety http://www.fda.gov/. Information Collection Request: NEW. management system based on the Dated: July 13, 2005. New and Use of Information Collection: Operator’s Manual will request their Jeffrey Shuren, The survey will attempt to assess the regulatory authorities to conduct an Assistant Commissioner for Policy. effectiveness of the NIH curriculum evaluation of their system. The [FR Doc. 05–14321 Filed 7–20–05; 8:45 am] supplements in aiding teachers to teach estimates in table 2 of this document for BILLING CODE 4160–01–S science in a more engaging and the annual burden to State, local, and interactive way. The supplements help tribal regulators that follow the k–12 educators teach science in more recommendations in the Regulator’s DEPARTMENT OF HEALTH AND engaging and effective ways by featuring Manual were calculated based on the HUMAN SERVICES the latest NIH research. A typical usual time needed for one person to supplement contains two weeks of evaluate a voluntarily-implemented National Institutes of Health student activities on the science behind food safety management system and a health topic, such as cancer, sleep or record the findings. The number of Submission for OMB Review; obesity. Web-based simulations, times an inspector may be asked by an Comment Request; The Effectiveness animations and experiments enhance operator to evaluate a voluntarily- of the NIH Curriculum Supplements the ‘‘pencil and paper’’ activities. In implemented system is not expected to and Workshops Survey addition to developing and distributing exceed once per year. SUMMARY: Under the provisions of the supplements, OSE conducts professional workshops to help teachers III. Comments Section 3507(a)(1)(D) of the Paperwork Reduction Act of 1995, the Office of the successfully implement these lessons Interested persons may submit to the Director, Office of Science Policy, Office with their students. Since January 2000, Division of Dockets Management (see of Science Education, National over 3,000 teachers have attended an ADDRESSES) written or electronic Institutes of Health has submitted to the OSE workshop. comments on the draft manuals and Office of Management and Budget Assessing the effectiveness of the NIH their recommendations for collection of (OMB) a request for review and Curriculum Supplements and teacher information. Submit a single copy of approval of the information collection workshops is critical to determining if electronic comments or two paper listed below. This proposed information OSE is successfully fulfilling its copies of any mailed comments, except collection has not been previously mission. OSE has the database that individuals may submit one paper published in the Federal Register. The infrastructure in place to easily collect copy. Comments are to be identified purpose of this notice is to allow 30 customer satisfaction data from with the docket number found in days for public comment. The National supplement requests and workshops brackets in the heading of this Institutes of Health may not conduct or attendees. At present, we do not have document. The draft manuals and sponsor, and the respondent is not clearance to contact our customers to received comments may be seen in the required to respond to, an information determine how NIH resources are Division of Dockets Management collection that has been extended, meeting their educational needs.
BURDEN ESTIMATES
Number of Frequency of Ave. time per Type of respondent: survey title respondents response response Hour burden/yr
Teacher: supplement requestor survey ...... 9,000 1 0.17 500 Teacher: focus group participant ...... 60 1 2.0 120 Teacher: workshop short survey ...... 1,300 1 0.17 220 Teacher: workshop long survey ...... 260 1 0.5 130 Teacher: Career video requestor ...... 500 1 0.17 85 Teacher: Career poster requestor ...... 585 1 0.17 100
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BURDEN ESTIMATES—Continued
Number of Frequency of Ave. time per Type of respondent: survey title respondents response response Hour burden/yr
Total ...... 11,735 ...... 1,155
Request for Comments: Written The meeting will be closed to the provisions set forth in sections comments and/or suggestions from the public in accordance with the 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., public and affected agencies are invited provisions set forth in sections as amended. The grant applications and on one or more of the following points: 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., the discussions could disclose (1) Whether the proposed collection of as amended. The grant applications and confidential trade secrets or commercial information is necessary for the proper the discussions could disclose property such as patentable material, performance of the function of the confidential trade secrets or commercial and personal information concerning agency, including whether the property such as patentable material, individuals associated with the grant information will have practical utility; and personal information concerning applications, the disclosure of which (2) ways to enhance the quality,utility, individuals associated with the grant would constitute a clearly unwarranted and clarity of the information to be applications, the disclosure of which invasion of personal privacy. collected; and (3) ways to minimize the would constitute a clearly unwarranted Name of Committee: National Cancer burden of the collection of information invasion of personal privacy. Institute Initial Review Group Subcommittee on those who are to respond, including Name of Committee: National Cancer D—Clinical Studies. the use of appropriate automated, Institute Initial Review Group Subcommittee Date: August 10–12, 2005. electronic, mechanical, or other C—Basic & Preclinical. Time: 6 p.m. to 4 p.m. technological collection techniques or Date: August 10–12, 2005. Agenda: To review and evaluate grant other forms of information technology. Time: 4 p.m. to 5 p.m. applications. Direct Comments to OMB: Written Agenda: To review and evaluate grant Place: Bethesda North Marriott and applications. comments and/or suggestions regarding Conference Center, 5701 Marinelli Road, Place: Marriott Bethesda North Hotel & North Bethesda, MD 20852. the item(s) contained in this notice Conference Ctr. 5701 Marinelli Rd., N. Contact Person: William D. Merritt, PhD, should be directed to the: Office of Bethesda, MD 20852. Scientific Review Administrator, Research Management and Budget, Office of Contact Person: Michael B. Small, PhD, Programs Review Branch, National Cancer Regulatory Affairs, New Executive Scientific Review Administrator, Research Institute, Division of Extramural Activities, Office Building, Room 10235, Programs Review Branch, Division of 6116 Executive Blvd., 8th Floor, Bethesda, Washington, DC 20502, Attention: Desk Extramural Activities, National Cancer MD 20892–8328, 301–496–9767, Officer for NIH. To request more Institute, National Institutes of Health, 6116 [email protected]. Executive Boulevard, Room 8127, Bethesda, (Catalogue of Federal Domestic Assistance information on the proposed project or MD 20892, 301–402–0996, Program Nos. 93.392, Cancer Construction; to obtain a copy of the data collection [email protected]. 93.393, Cancer Cause and Prevention plans and survey, contact: Dr. David (Catalogue of Federal Domestic Assistance Vannier, Office of Science Education, Research; 93.394, Cancer Detection and Program Nos. 93.392, Cancer Construction; Diagnosis Research; 93.395, Cancer 6705 Rockledge Drive, Suite 700, 93.393, Cancer Cause and Prevention Treatment Research; 93.396, Cancer Biology Bethesda, MD 20817, or call 301–496– Research; 93.394, Cancer Detection and Research; 93.397, Cancer Centers Support; 8741, or e-mail you request including Diagnosis Research; 93.395, Cancer 93.398, Cancer Research Manpower; 93.399, Treatment Research; 93.396, Cancer Biology your address to: [email protected]. Cancer Control, National Institutes of Health, Research; 93.397, Cancer Centers Support; Comments Due Date: Comments HHS) 93.398, Cancer Research Manpower; 93.399, regarding this information collection are Cancer Control, National Institutes of Health, Dated: July 8, 2005. best assured of having their full effect if HHS) Anthony M. Coelho, Jr., received with 30 days of the date of this publication. Dated: July 8, 2005. Acting Director, Office of Federal Advisory Anthony M. Coelho, Jr., Committee Policy. Dated: July 12, 2005. Acting Director, Office of Federal Advisory [FR Doc. 05–14428 Filed 7–20–05; 8:45 am] Cassandra Isom, Committee Policy. BILLING CODE 4140–01–M Program Administrator, Office of Science [FR Doc. 05–14427 Filed 7–20–05; 8:45 am] Education, National Institutes of Health. BILLING CODE 4140–01–M [FR Doc. 05–14421 Filed 7–20–05; 8:45 am] DEPARTMENT OF HEALTH AND BILLING CODE 4140–01–M HUMAN SERVICES DEPARTMENT OF HEALTH AND HUMAN SERVICES National Institutes of Health DEPARTMENT OF HEALTH AND HUMAN SERVICES National Institutes of Health National Cancer Institute; Notice of Meeting National Cancer Institute; Notice of National Institutes of Health Pursuant to section 10(a) of the Closed Meeting National Cancer Institute; Notice of Federal Advisory Committee Act, as Closed Meeting Pursuant to section 10(d) of the amended (5 U.S.C. Appendix 2), notice Federal Advisory Committee Act, as is hereby given of a meeting of the Pursuant to section 10(d) of the amended (5 U.S.C. Appendix 2), notice National Cancer Advisory Board. Federal Advisory Committee Act, as is hereby given of the following The meeting will be open to the amended (5 U.S.C. Appendix 2), notice meeting. public, with attendance limited to space is hereby given of the following The meeting will be closed to the available. Individuals who plan to meeting. public in accordance with the attend and need special assistance, such
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as sign language interpretation or other as amended. The grant applications and Agenda: To review and evaluate grant reasonable accommodations, should the discussions could disclose applications. notify the Contact Person listed below confidential trade secrets or commercial Place: NIEHS/National Institutes of Health, in advance of the meeting. property such as patentable material, Building 4401, East Campus, 79 T.W. Alexander Drive, 3446, Research Triangle Name of Committee: National Cancer and personal information concerning Park, NC 27709, (Telephone Conference Advisory Board NCAB Subcommittee on individuals associated with the grant Call). Planning and Budget. applications, the disclosure of which Contact Person: Linda K.Bass, PhD, Date: July 21, 2005. would constitute a clearly unwarranted Scientific Review Administrator, Scientific Time: 2 p.m. to 4 p.m. invasion of personal privacy. Review Branch, Division of Extramural Agenda: To continue subcommittee Research and Training, Nat. Institute of Name of Committee: National Human discussion of possible metrics for research Environmental Health Sciences, P.O. Box Genome Research Institute Special Emphasis outcomes, communicating research results 12233, MD EC–30, Research Triangle Park, Panel. and plan agendas for upcoming NC 27709, 919/541–1307. subcommittee meetings. Date: July 28, 2005. Time: 4 p.m. to 5 p.m. This notice is being published less than 15 Place: National Cancer Institute, National days prior to the meeting due to the timing Institutes of Health, 6116 Executive Agenda: To review and evaluate grant applications. limitations imposed by the review and Boulevard, Suite 205, Bethesda, MD 20892, finding cycle. (Telephone Conference Call). Place: National Institutes of Health, 5635 Contact Person: Cherie Nichols, Executive Fishers Lane, Bethesda, MD 20892, (Catalogue of Federal Domestic Assistance Secretary, National Cancer Institute, National (Telephone Conference Call). Program Nos. 93.115, Biometry and Risk Institute of Health, Building 6116, Room 205, Contact Person: Rudy O. Pozzatti, PhD, Estimation—Health Risks from Bethesda, MD 20892, (301) 496–5515. Scientific Review Administrator, Office of Environmental Exposures; 93.142, NIEHS Scientific Review, National Human Genome Hazardous Waste Worker Health and Safety This notice is being published less than 15 Research Institute, National Institutes of Training; 93.143, NIEHS Superfund days prior to the meeting date due to Health, Bethesda, MD 20892, (301) 402–0838. Hazardous Substances—Basic Research and scheduling conflicts. Education; 93.894, Resources and Manpower Any interested person may file written This notice is hereby being published less Development in the Environmental Health comments with the committee by forwarding than 15 days prior to the meeting due to the Sciences; 93.113, Biological Response to the statement to the Contact Person listed on timing limitations imposed by the review and Environmental Health Hazards; 93.114, this notice. The statement should include the funding cycle. Applied Toxicological Research and Testing, name, address, telephone number and when (Catalogue of Federal Domestic Assistance National Institutes of Health, HHS) applicable, the business or professional Program Nos. 93.172, Human Genome affiliation of the interested person. Research, National Institutes of Health, HHS) Dated: July 11, 2005. Information is also available on the Dated: July 12, 2005. Anthony M. Coelho, Jr., Institute’s/Center’s home page: Anthony M. Coelho, Jr., Acting Director, Office of Federal Advisory deainfo.nci.nih.gov/advisory/ncab.htm, Committee Policy. where an agenda and any additional Acting Director, Office of Federal Advisory information for the meeting will be posted Committee Policy. [FR Doc. 05–14422 Filed 7–20–05; 8:45 am] when available. [FR Doc. 05–14434 Filed 7–20–05; 8:45 am] BILLING CODE 4140–01–M (Catalogue of Federal Domestic Assistance BILLING CODE 4140–01–M Program Nos. 93.392, Cancer Construction; 93.393, Cancer Cause and Prevention DEPARTMENT OF HEALTH AND Research; 93.394, Cancer Detection and DEPARTMENT OF HEALTH AND HUMAN SERVICES Diagnosis Research; 93.395, Cancer HUMAN SERVICES Treatment Research; 93.396, Cancer Biology National Institutes of Health Research; 93.397, Cancer Centers Support; National Institutes of Health 93.398, Cancer Research Manpower; 93.399, National Institute on Drug Abuse, Cancer Control, National Institutes of Health, National Institute of Environmental Notice of Closed Meeting HHS) Health Sciences; Notice of Closed Pursuant to section 10(d) of the Dated: July 12, 2005. Meeting Federal Advisory Committee Act, as Anthony M. Coelho, Jr., Pursuant to section 10(d) of the amended (5 U.S.C. Appendix 2), notice Acting Director, Office of Federal Advisory Federal Advisory Committee Act, as is hereby given of the following Committee Policy. amended (5 U.S.C. Appendix 2), notice meeting. [FR Doc. 05–14433 Filed 7–20–05; 8:45 am] is hereby given of the following The meeting will be closed to the BILLING CODE 4140–01–M meeting. public in accordance with the The meeting will be closed to the provisions set forth in sections pubic in accordance with the provisions 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., DEPARTMENT OF HEALTH AND set forth in sections 552b(c)(4) and as amended. The grant applications and HUMAN SERVICES 552b(c)(6), Title 5 U.S.C., as amended. the discussions could disclose National Institutes of Health The grant applications and the confidential trade secrets or commercial discussions could disclose confidential property such as patentable material, National Human Genome Research trade secrets or commercial property and personal information concerning Institute; Notice of Closed Meeting such as patentable material, and individuals associated with the grant personal information concerning applications, the disclosure of which Pursuant to section 10(d) of the individuals associated with the grant would constitute a clearly unwarranted Federal Advisory Committee Act, as applications, the disclosure of which invasion of personal privacy. amended (5 U.S.C. Appendix 2), notice would constitute a clearly unwarranted Name of Committee: National Institute on is hereby given of the following invasion of personal privacy. Drug Abuse Special Emphasis Panel, meeting. Name of Committee: National Institute of Strategic Program for Innovative Research on The meeting will be closed to the Environmental Health Sciences Special Drug Addiction Pharmacotherapy public in accordance with the Emphasis Panel Lung Pollution. (SPIRDAP). provisions set forth in sections Date: August 4, 2005. Date: August 9, 2005. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Time: 2 p.m. to 5 p.m. Time: 8:30 a.m. to 6 p.m.
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Agenda: To review and evaluate grant limitations imposed by the review and Date: July 20, 2006. applications. funding cycle. Time: 1 p.m. to 3 p.m. Place: Residence Inn Bethesda, 7335 Name of Committee: National Institute of Agenda: To review and evaluate contract Wisconsin Avenue, Bethesda, MD 20814. Diabetes and Digestive and Kidney Diseases proposals. Contact Person: Mark Swieter, PhD, Chief, Special Emphasis Panel, Estrogen and Place: National Institutes of Health, One Training and Special Projects Review Branch, Lactotrophs. Democracy Plaza, 6701 Democracy Office of Extramural Affairs, National Date: August 2, 2005. Boulevard, Bethesda, MD 20892, (Telephone Institute on Drug Abuse, NIH, DHHS, 6101 Time: 10 a.m. to 11 a.m. Conference Call). Executive Boulevard, Suite 220, Bethesda, Agenda: To review and evaluate grant Contact Person: Eric H. Brown, PhD, MD 20892–8401, (301) 435–1389, applications. Scientific Review Administrator, Office of [email protected]. Place: National Institutes of Health, Two Review, National Center for Research (Catalogue of Federal Domestic Assistance Democracy Plaza, 6707 Democracy Resources, National Institutes of Health, 6701 Program Nos. 93.277, Drug Abuse Scientist Boulevard, Bethesda, MD 20892, (Telephone Democracy Blvd., Room 1068, MSC 4874, Development Award for Clinicians, Scientist Conference Call). Bethesda, MD 20892–4874, (301) 594–4955, Development Awards, and Research Scientist Contact Person: Barbara A. Woynarowska, [email protected]. Awards; 93.278, Drug Abuse National PhD, Scientific Review Administrator, This notice is being published less than 15 Research Service Awards for Research Review Branch, DEA, NIDDK, National days prior to the meeting due to the timing Training; 93.279, Drug Abuse Research Institutes of Health, Room 754, 6707 limitations imposed by the review and Programs, National Institutes of Health, HHS) Democracy Boulevard, Bethesda, MD 20892– funding cycle. Dated: July 8, 2005. 5452, (301) 402–7172, (Catalogue of Federal Domestic Assistance Program Nos. 93.846, Arthritis, Anthony M. Coelho, Jr., [email protected]. This notice is being published less than 15 Musculoskeletal and Skin Diseases Research, Acting Director, Office of Federal Advisory days prior to the meeting due to the timing National Institutes of Health, HHS) Committee Policy. limitations imposed by the review and [FR Doc. 05–14423 Filed 7–20–05; 8:45 am] funding cycle. Dated: July 8, 2005. BILLING CODE 4140–01–M (Catalogue of Federal Domestic Assistance Anthony M. Coelho, Jr., Program Nos. 93.847, Diabetes, Acting Director, Office of Federal Advisory Endocrinology and Metabolic Research; Committee Policy. DEPARTMENT OF HEALTH AND 93.848, Digestive Diseases and Nutrition [FR Doc. 05–14429 Filed 7–20–05; 8:45 am] Research; 93.849, Kidney Diseases, Urology HUMAN SERVICES BILLING CODE 4140–01–M and Hematology Research, National Institutes National Institutes of Health of Health, HHS) Dated: July 8, 2005. DEPARTMENT OF HEALTH AND National Institute of Diabetes and Anthony M. Coelho, Jr., HUMAN SERVICES Digestive and Kidney Diseases; Notice of Closed Meetings Acting Director, Office of Federal Advisory Committee Policy. National Institutes of Health Pursuant to section 10(d) of the [FR Doc. 05–14426 Filed 7–20–05; 8:45 am] National Institute of Neurological Federal Advisory Committee Act, as BILLING CODE 4140–01–M amended (5 U.S.C. Appendix 2), notice Disorders and Stroke; Notice of Closed is hereby given of the following Meetings meetings. DEPARTMENT OF HEALTH AND Pursuant to section 10(d) of the The meetings will be closed to the HUMAN SERVICES Federal Advisory Committee Act, as public in accordance with the amended (5 U.S.C. Appendix 2), notice provisions set forth in sections National Institutes of Health is hereby given of the following 552b(c)(4) and 552b(c)(6), title 5 U.S.C., National Institute of Arthritis and meetings. as amended. The grant applications and The meetings will be closed to the Musculoskeletal and Skin Diseases; the discussions could disclose public in accordance with the Notice of Closed Meeting confidential trade secrets or commercial provisions set forth in sections property such as patentable material, Pursuant to section 10(d) of the 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., and personal information concerning Federal Advisory Committee Act, as as amended. The grant applications and individuals associated with the grant amended (5 U.S.C. Appendix 2), notice the discussions could disclose applications, the disclosure of which is hereby given of the following confidential trade secrets or commercial would constitute a clearly unwarranted meeting. property such as patentable material, invasion of personal privacy. The meeting will be closed to the and personal information concerning Name of Committee: National Institute of public in accordance with the individuals associated with the grant Diabetes and Digestive and Kidney Diseases provisions set forth in sections applications, the disclosure of which Special Emphasis Panel, Short Programs for 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., would constitute a clearly unwarranted Interdisciplinary Research Training. as amended. The contract proposals and invasion of personal privacy. Date: July 29, 2005. the discussions could disclose Time: 10:30 a.m. to 5 p.m. Name of Committee: National Institute of Agenda: To review and evaluate grant confidential trade secrets or commercial Neurological Disorders and Stroke Special applications. property such as patentable material, Emphasis Panel Neuroscience Core Place: Bethesda Marriott Suites, 6711 and personal information concerning Supplement. Democracy Boulevard, Bethesda, MD 20817. individuals associated with the contract Date: July 18, 2005. Contact Person: Carol J. Goter-Robinson, proposals, the disclosure of which Time: 11 a.m. to 1 p.m. PhD, Scientific Review Administrator, would constitute a clearly unwarranted Agenda: To review and evaluate grant Review Branch, DEA, NIDDK, National invasion of personal privacy. applications. Institutes of Health, Room 748, 6707 Place: National Institutes of Health, Democracy Boulevard, Bethesda, MD 20892– Name of Committee: National Institute of Neuroscience Center, 6001 Executive 5452, (301) 594–7791, Arthritis and Musculoskeletal and Skin Boulevard, Rockville, MD 20852, (Telephone [email protected]. Diseases Special Emphasis Panel Contract Conference Call). This notice is being published less than 15 Continuation of Research Registry for FSHD/ Contact Person: Richard D. Crosland, PhD, days prior to the meeting due to the timing DM. Scientific Review Administrator, Scientific
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Review Branch, Division of Extramural DEPARTMENT OF HEALTH AND provisions set forth in sections Research, NINDS/NIH/DHHS/Neuroscience HUMAN SERVICES 552b(c)(4) and 552b(c)(6) Title 5 U.S.C., Center, 6001 Executive Blvd., Suite 3208, as amended. The grant applications and MSC 9529, Bethesda, MD 20892–9529, 301– National Institutes of Health the discussions could disclose 594–0635, [email protected]. confidential trade secrets or commercial This notice is being published less than 15 National Institute of Dental & property such as patentable material, days prior to the meeting due to the timing Craniofacial Research; Notice of and personal information concerning limitations imposed by the review and Closed Meeting individuals associated with the grant funding cycle. Pursuant to section 10(d) of the applications, the disclosure of which Name of Committee: National Institute of would constitute a clearly unwarranted Neurological Disorders and Stroke Special Federal Advisory Committee Act, as Emphasis Panel Neural Mechanism in Sleep amended (5 U.S.C. Appendix 2), notice invasion of personal privacy. Disorders. is hereby given of the following Name of Committee: National Institute of Date: July 26, 2005. meeting. Allergy and Infectious Diseases Special Time: 2 p.m. to 4 p.m. The meeting will be closed to the Emphasis Panel, Unsolicited K Application. Agenda: To review and evaluate grant public in accordance with the Date: July 27, 2005. applications. provisions set forth in sections Time: 1 p.m. to 2 p.m. Place: National Institutes of Health, One 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Agenda: To review and evaluate grant applications. Democracy Plaza, 6701 Democracy as amended. The grant applications and Boulevard, Bethesda, MD 20892, (Telephone Place: National Institutes of Health, the discussions could disclose Rockledge 6700, 6700B Rockledge Drive, Conference Call). confidential trade secrets or commercial Contact Person: Andrea Sawczuk, DDS, Bethesda, MD 20817, (telephone conference PhD, Scientific Review Administrator, property such as patentable material, call). Scientific Review Branch, Division of and personal information concerning Contact Person: Quirijn Vos, PhD, Extramural Research, NINDS/NIH/DHHS, individuals associated with the grant Scientific Review Administrator, Scientific 6001 Executive Boulevard, Room #3208, applications, the disclosure of which Review Program, Division of Extramural Activities, NIAID/NIH/DHHS, 6700B Bethesda, MD 20892, 301–496–0600, would constitute a clearly unwarranted Rockledge Drive, MSC 7616, Bethesda, MD [email protected]. invasion of personal privacy. 20892–7616, (301) 496–2550, Name of Committee: National Institute of Name of Committee: National Institute of [email protected]. Neurological Disorders and Stroke Emphasis Dental and Craniofacial Research Special This notice is being published less than 15 Panel Studies In Sleep Physiology. Emphasis Panel 05–80, Review R13. days prior to the meeting due to the timing Date: August 4, 2005. Date: August 9, 2005. limiations imposed by the review and Time: 2 p.m. to 4 p.m. Time: 10 a.m. to 11 p.m. funding cycle. Agenda: To review and evaluate grant Agenda: To review and evaluate grant (Catalogue of Federal Domestic Assistance applications. applications. Program Nos. 93.855, Allergy, Immunology, Place: National Institutes of Health, 5635 Place: National Institutes of Health, and Transplantation Research; 93.856, Fishers Lane, Bethesda, MD 20892, Natcher Building, 45 Center Drive, Bethesda, Microbiology and Infectious Diseases (Telephone Conference Call). MD 20892, (Telephone Conference Call). Research, National Institute of Health, HHS.) Contact Person: Andrea Sawczuk, DDS, Contact Person: Sooyoun (Sonia) Kim, MS, PhD, Scientific Review Administrator, Associate SRA, Scientific Review Branch, Dated: July 12, 2005. Scientific Review Branch, Division of Division of Extramural Research, National Anthony M. Coelho, Jr., Extramural Research, NINDS/NIH/DHHS, Inst. of Dental & Craniofacial Research, Acting Director, Office of Federal Advisory 6001 Executive Boulevard, Room #3208, National Institute of Health, Bethesda, MD Committee Policy. Bethesda, MD 20892, 301–496–0660, 20892, (301) 594–4827. [FR Doc. 05–14435 Filed 7–20–05; 8:45 am] [email protected]. (Catalogue of Federal Domestic Assistance BILLING CODE 4140–01–M Name of Committee: National Institute of Program Nos. 93.121, Oral Diseases and Neurological Disorders and Stroke Special Disorders Research, National Institutes of Emphasis Panel Oxygen Therapies. Health, HHS) DEPARTMENT OF HEALTH AND Date: August 5, 2005. Dated: July 13, 2005. HUMAN SERVICES Time: 8 a.m. to 12:30 p.m. Anthony M. Coelho, Jr., Agenda: To review and evaluate grant National Institutes of Health applications. Acting Director, Office of Federal Advisory Committee Policy. Place: Doubletree Hotel, 1750 Rockville National Library of Medicine; Notice of [FR Doc. 05–14432 Filed 7–20–05; 8:45 am] Pike, Rockville, MD 20852. Meeting Contact Person: Katherine Woodbury, PhD, BILLING CODE 4140–01–M Scientific Review Administrator, Scientific Pursuant to section 10(d) of the Review Branch, NINDS/NIH/DHHS, Federal Advisory Committee Act, as Neuroscience Center, 6001 Executive Blvd., DEPARTMENT OF HEALTH AND amended (5 U.S.C. Appendix 2), notice Suite 3208, MSC 9529, Bethesda, MD 20892– HUMAN SERVICES is hereby given of a meeting of the 9529, (301) 496–5980, [email protected]. Board of Scientific Counselors, National (Catalogue of Federal Domestic Assistance National Institutes of Health Library of Medicine. Program Nos. 93.853, Clinical Research National Institute of Allergy and The meetings will be closed to the Related to Neurological Disorders; 93.854, public as indicated below, with Biological Basis Research in the Infectious Diseases; Notice of Closed Neurosciences, National Institutes of Health, Meeting attendance limited to space available. HHS) Individuals who plan to attend and Pursuant to section 10(d) of the need special assistance, such as sign Dated: July 8, 2005. Federal Advisory Committee Act, as language interpretation or other Anthony M. Coelho, Jr., amended (5 U.S.C. Appendix 2), notice reasonable accommodations, should Acting Director, Office of Federal Advisory is hereby given of the following notify the Contact Person listed below Committee Policy. meeting. in advance of the meeting. [FR Doc. 05–14431 Filed 7–20–05; 8:45 am] The meeting will be closed to the The meetings will be closed to the BILLING CODE 4140–01–M public in accordance with the public in accordance with the
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provisions set forth in sections Dated: July 5, 2005. limitations imposed by the review and 552b(c)(6), title 5 U.S.C., as amended for Anthony M. Coelho, Jr., funding cycle. the review, discussion, and evaluation Acting Director, Office of Federal Advisory Name of Committee: Center for Scientific of individual intramural programs and Committee Policy. Review Special Emphasis Panel, Member Conflicts—Metabolism and AIDS. projects conducted by the National [FR Doc. 05–14424 Filed 7–20–05; 8:45 am] Library of Medicine, including Date: July 18, 2005. BILLING CODE 4140–01–M Time: 3:30 p.m. to 5 p.m. consideration of personnel Agenda: To review and evaluate grant qualifications and performance, and the applications. competence of individual investigators, DEPARTMENT OF HEALTH AND Place: National Institutes of Health, 6701 the disclosure of which would HUMAN SERVICES Rockledge Drive, Bethesda, MD 20892 constitute a clearly unwarranted (Telephone Conference Call). invasion of personal privacy. National Institutes of Health Contact Person: Ranga V. Srinivas, PhD, Scientific Review Administrator, Center for Name of Committee: Board of Scientific Center for Scientific Review; Notice of Scientific Review, National Institutes of Counselors, National Library of Medicine, Closed Meetings Health, 6701 Rockledge Drive, Room 5222, Board of Scientific Counselors, Lister Hill MSC 7852, Bethesda, MD 20892, (301) 435– Center. Pursuant to section 10(d) of the 1167, [email protected]. Date: September 22–23, 2005. This notice is being published less than 15 Open: September 22, 2005, 9 a.m. to 12:30 Federal Advisory Committee Act, as days prior to the meeting due to the timing p.m. amended (5 U.S.C. Appendix 2), notice limitations imposed by the review and Agenda: Review of research and is hereby given of the following development programs and preparation of meetings. funding cycle. reports of the Lister Hill Center for The meetings will be closed to the Name of Committee: Center for Scientific Review Special Emphasis Panel, Member Biomedical Communications. public in accordance with the Place: National Library of Medicine, Conflicts—AIDS Immunology and Vaccines. Building 38, Board Room, 2nd Floor, 8600 provisions set forth in sections Date: July 19, 2005. Rockville Pike, Bethesda, MD 20892. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Time: 1 p.m. to 3 p.m. Closed: September 22, 2005, 12:30 p.m. to as amended. The grant applications and Agenda: To review and evaluate grant 1 p.m. the discussions could disclose applications. Agenda: To review and evaluate personal confidential trade secrets or commercial Place: National Institutes of Health, 6701 qualifications and performance, and property such as patentable material, Rockledge Drive, Bethesda, MD 20892 competence of individual investigators. and personal information concerning (Telephone Conference Call). Place: National Library of Medicine, individuals associated with the grant Contact Person: Ranga V. Srinivas, PhD, Building 38, Board Room, 2nd Floor, 8600 Scientific Review Administrator, Center for Rockville Pike, Bethesda, MD 20892. applications, the disclosure of which Scientific Review, National Institutes of Open: September 22, 2005, 1 p.m. to 5 p.m. would constitute a clearly unwarranted Health, 6701 Rockledge Drive, Room 5222, Agenda: Review of research and invasion of personal privacy. MSC 7852, Bethesda, MD 20892, (301) 435– development programs and preparation of Name of Committee: Center for Scientific 1167, [email protected]. reports of the Lister Hill Center for Review Special Emphasis Panel, Skeletal This notice is being published less than 15 Biomedical Communications. Biology. days prior to the meeting due to the timing Place: National Library of Medicine, Date: July 18, 2005. limitations imposed by the review and Building 38, Board Room, 2nd Floor, 8600 Time: 9 a.m. to 10 a.m. funding cycle. Rockville Pike, Bethesda, MD 20892. Agenda: To review and evaluate grant Name of Committee: Center for Scientific Open: September 23, 2005, 9 a.m. to 12 applications. Review Special Emphasis Panel, Member p.m. Place: National Institutes of Health, 6701 Conflicts—AIDS Drug Abuse and Agenda: Review of research and development programs and preparation of Rockledge Drive, Bethesda, MD 20892 Metabolism. reports of the Lister Hill Center for (Telephone Conference Call). Date: July 19, 2005. Biomedical Communications. Contact Person: Priscilla B. Chen, PhD, Time: 3:30 p.m. to 6 p.m. Place: National Library of Medicine, Scientific Review Administrator, Center for Agenda: To review and evaluate grant Building 38, Board Room, 2nd Floor, 8600 Scientific Review, National Institutes of applications. Rockville Pike, Bethesda, MD 20892. Health, 6701 Rockledge Drive, Room 4104, Place: National Institutes of Health, 6701 Contact Person: Jackie Duley, Program MSC 7814, Bethesda, MD 20892, (301) 435– Rockledge Drive, Bethesda, MD 20892 Assistant, Lister Hill National Center for 1787, [email protected]. (Telephone Conference Call). Biomedical Communications, National This notice is being published less than 15 Contact Person: Ranga V. Srinivas, PhD, Library of Medicine, Building 38A, Room days prior to the meeting due to the timing Scientific Review Administrator, Center for 7N–707, Bethesda, MD 20892, 301–496– limitations imposed by the review and Scientific Review, National Institutes of 4441, [email protected]. funding cycle. Health, 6701 Rockledge Drive, Room 5222, Any interested person may file written Name of Committee: Center for Scientific MSC 7852, Bethesda, MD 20892, (301) 435– comments with the committee by forwarding Review Special Emphasis Panel, NAED 1167, [email protected]. the statement to the Contact Person listed on Member Conflict Applications. This notice is being published less than 15 this notice. The statement should include the Date: July 18, 2005. days prior to the meeting due to the timing name, address, telephone number and when Time: 2 p.m. to 3:30 p.m. limitations imposed by the review and applicable, the business or professional Agenda: To review and evaluate grant funding cycle. affiliation of the interested person. applications. Name of Committee: Center for Scientific In the interest of security, NIH has Place: National Institutes of Health, 6701 Review Special Emphasis Panel, Member instituted stringent procedures for entrance Rockledge Drive, Bethesda, MD 20892 Conflicts—AIDS Molecular and Cell Biology. into the building by non-government (Telephone Conference Call). Date: July 20, 2005. employees. Persons without a government Contact Person: Ranga V. Srinivas, PhD, Time: 1 p.m. to 3 p.m. I.D. will need to show a photo I.D. and sign- Scientific Review Administrator, Center for Agenda: To review and evaluate grant in at the security desk upon entering the Scientific Review, National Institutes of applications. building. Health, 6701 Rockledge Drive, Room 5222, Place: National Institutes of Health; 6701 (Catalogue of Federal Domestic Assistance MSC 7852, Bethesda, MD 20892, (301) 435– Rockledge Drive, Bethesda, MD 20892 Program Nos. 93.879, Medical Library 1167, [email protected]. (Telephone Conference Call). Assistance, National Institutes of Health, This notice is being published less than 15 Contact Person: Ranga V. Srinivas, PhD, HHS) days prior to the meeting due to the timing Scientific Review Administrator, Center for
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Scientific Review, National Institutes of Place: National Institutes of Health; 6701 Name of Committee: Center for Scientific Health, 6701 Rockledge Drive, Room 5222, Rockledge Drive, Bethesda, MD 20892 Review Special Emphasis Panel, Shared MSC 7852,Bethesda, MD 20892. (301) 435– (Telephone Conference Call). Analytical Ultracentrifuge Review Panel. 1167. [email protected]. Contact Person: Ranga V. Srinivas, PhD, Date: August 5, 2005. This notice is being published less than 15 Scientific Review Administrator, Center for Time: 10 a.m. to 1 p.m. days prior to the meeting due to the timing Scientific Review, National Institutes of Agenda: To review and evaluate grant limitations imposed by the review and Health, 6701 Rockledge Drive, Room 5222, applications. funding cycle. MSC 7852,Bethesda, MD 20892. (301) 435– Place: National Institutes of Health, 6701 Name of Committee: Center for Scientific 1167. [email protected]. Rockledge Drive, Bethesda, MD 210892, Review Special Emphasis Panel, Member This notice is being published less than 15 (Telephone Conference Call). Conflicts—NeuroAIDS. days prior to the meeting due to the timing Contact Person: Ross D. Shonat, PhD, Date: July 21, 2005. limitations imposed by the review and Scientific Review Administrator, Center for Time: 2 p.m. to 4:30 p.m. funding cycle. Scientific Review, National Institutes of Agenda: To review and evaluate grant Name of Committee: Center for Scientific Health, 6701 rockledge Drive, Room 3022A, applications. Review Special Emphasis Panel, Genes and MSC 7849, Bethesda, MD 20892. (301) 435– Place: National Institutes of Health; 6701 Clocks in Neurospora and Yeast. 2786. [email protected]. Rockledge Drive, Bethesda, MD 20892 Date: July 28, 2005. Name of Committee: Center for Scientific (Telephone Conference Call). Time: 1 p.m. to 3 p.m. Review Special Emphasis Panel, Contact Person: Ranga V. Srinivas, PhD, Agenda: To review and evaluate grant Bioengineering Sciences and Technologies Scientific Review Administrator, Center for applications. Special Emphasis Panel. Scientific Review, National Institutes of Place: National Institutes of Health; 6701 Date: August 5, 2005. Health, 6701 Rockledge Drive, Room 5222, Rockledge Drive, Bethesda, MD 20892 Time: 1 p.m. to 4 p.m. MSC 7852,Bethesda, MD 20892. (301) 435– (Telephone Conference Call). Agenda: To review and evaluate grant 1167. [email protected]. Contact Person: Lawrence Baizer, PhD, applications. This notice is being published less than 15 Scientific Review Administrator, Center for Place: National Institutes of Health, 6701 days prior to the meeting due to the timing Scientific Review, National Institutes of Rockledge Drive, Bethesda, MD 20892 limitations imposed by the review and Health, 6701 Rockledge Drive, Room 4152, (Telephone Conference Call). funding cycle. MSC 7850,Bethesda, MD 20892. (301) 435– Contact Person: Zhenya Li, PhD, Scientific 1257. [email protected]. Name of Committee: Center for Scientific Review Administrator, Center for Scientific Review Special Emphasis Panel, Name of Committee: Center for Scientific Review, National Institutes of Health, 6701 Environmental Tobacco Smoke. Review Special Emphasis Panel, Rockledge Drive, Room 3022B, MSC 7849, Date: July 25, 2005. Mathematical Modeling of Gene Expression Bethesda, MD 20892. (301) 435–2417. Time: 3 p.m. to 5 p.m. and Metabolism. [email protected]. Agenda: To review and evaluate grant Date: July 28, 2005. Name of Committee: Center for Scientific applications. Time: 1 p.m. to 4 p.m. Review Special Emphasis Panel, Minority/ Place: National Institutes of Health; 6701 Agenda: To review and evaluate grant Rockledge Drive, Bethesda, MD 20892 applications. Disability Predoctoral Fellowships. (Telephone Conference Call). Place: National Institutes of Health; 6701 Date: August 8–9, 2005. Contact Person: Victoria S. Levin, MSW, Rockledge Drive, Bethesda, MD 20892 Time: 8 a.m. to 5 p.m. Scientific Review Administrator, Center for (Telephone Conference Call). Agenda: To review and evaluate grant Scientific Review, National Institutes of Contact Person: Steven J. Zullo, PhD, applications. Health, 6701 Rockledge Drive, Room 3172, Scientific Review Administrator, Center for Place: Embassy Suites at the Chevy Chase MSC 7848,Bethesda, MD 20892. (301) 435– Scientific Review, National Institutes of Pavilion, 4300 Military Road, NW., 0912. [email protected]. Health, 6701 Rockledge Drive, Room 4192, Washington, DC 20015. This notice is being published less than 15 MSC 7849, Bethesda, MD 20892. (301) 435– Contact Person: Zhiglang Zou, MD, PhD, days prior to the meeting due to the timing 2810. [email protected]. Scientific Review Administrator, Center for Scientific Review, National Institutes of limitations imposed by the review and Name of Committee: Center for Scientific Health, 6701 Rockledge Drive, Room 6190, funding cycle. Review Special Emphasis Panel, ICBG Study MSC 7804, Bethesda, MD 20892. (301) 451– Name of Committee: Center for Scientific Section. 0132. [email protected]. Review Special Emphasis Panel, Member Date: August 3, 2005. Conflicts—AIDS Molecular Biology. Time: 8 a.m. to 5 p.m. Name of Committee: Center for Scientific Date: July 26, 2005. Agenda: To review and evaluate grant Review Special Emphasis Panel, Member Time: 2 p.m. to 4 p.m. applications. Conflicts: Hypothalamic Peptides. Agenda: To review and evaluate grant Place: The Fairmont, Washington, DC, Date: August 8, 2005. applications. 2401 M Street, NW., Washington, DC 20037. Time: 2 p.m. to 3 p.m. Place: National Institutes of Health; 6701 Contact Person: Dan D. gerendasy, PhD, Agenda: To review and evaluate grant Rockledge Drive, Bethesda, MD 20892 Scientific Review Administrator, Center for applications. (Telephone Conference Call). Scientific Review, National Institutes of Place: National Institutes of Health, 6701 Contact Person: Ranga V. Srinivas, PhD, Health, 6701 Rockledge Drive, Room 5132, Rockledge Drive, Bethesda, MD 20892 Scientific Review Administrator, Center for MSC 7843, Bethesda, MD 20892. (301) 594– (Telephone Conference Call). Scientific Review, National Institutes of 6830. [email protected]. Contact Person: Richard Marcus, PhD, Health, 6701 Rockledge Drive, Room 5222, Name of Committee: Center for Scientific Scientific Review Administrator, Center for MSC 7852,Bethesda, MD 20892. (301) 435– Review Special Emphasis Panel, Small Scientific Review, National Institutes of 1167. [email protected]. Business Orthopedic Medicine Applications. Health, 6701 Rockledge Drive, Room 5168, This notice is being published less than 15 Date: August 3–4, 2005 MSC 7844, Bethesda, MD 20892. (301) 435– days prior to the meeting due to the timing Time: 8 p.m. to 3 p.m. 1245. [email protected]. limitations imposed by the review and Agenda: To review and evaluate grant Name of Committee: Center for Scientific funding cycle. applications. Review Special Emphasis Panel, Member Name of Committee: Center for Scientific Place: Wyndham, Washington, DC, 1400 M Conflict: Fever Mechanisms. Review Special Emphasis Panel, Member Street, NW., Washington, DC 20005. Date: August 9, 2005. Conflicts—AIDS Immunology and Contact Person: Richard J. Bartlett, PhD, Time: 2 p.m. to 3 p.m. Pathogenesis. Scientific Review Administrator, Center for Agenda: To review and evaluate grant Date: July 27, 2005. Scientific Review, National Institutes of applications. Time: 1 p.m. to 3 p.m. Health, 6701 Rockledge Drive, Room 4110, Place: National Institutes of Health, 6701 Agenda: To review and evaluate grant MSC 7814, Bethesda, MD 20892. (301) 436– Rockledge Drive, Bethesda, MD 10892 applications. 6809. [email protected]. (Telephone Conference Call).
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Contact Person: Richard Marcus, PhD, Place: National Institutes of Health, 6701 Name of Committee: Center for Scientific Scientific Review Administrator, Center for Rockledge Drive, Bethesda, MD 20892, Review Special Emphasis Panel, Juvenile Scientific Review, National Institutes of (Telephone Conference Call). Idiopathic Arthritis. Health, 6701 Rockledge Drive, Room 5168, Contact Person: Joanne T Fujii, PhD, Date: August 2, 2005. MSC 7844, Bethesda, MD 20892. (301) 435– Scientific Review Administrator, Center for Time: 5:30 p.m. to 6:30 p.m. 1245. [email protected]. Scientific Review, National Institutes of Agenda: To review and evaluate grant (Catalogue of Federal Domestic Assistance Health, 6701 Rockledge Drive, Room 5204, applications. Program Nos. 93.306, Comparative Medicine; MSC 7850, Bethesda, MD 20892, (301) 435– Place: National Institutes of Health, 6701 93.333, Clinical Research, 93.306, 93.333, 1178, [email protected]. Rockledge Drive, Bethesda, MD 20892, 93.337, 93.393–93.396, 93.837–93.844, This notice is being published less than 15 (Telephone Conference Call). 93.846–93.878, 93.892, 93.893, days prior to the meeting due to the timing Contact Person: Daniel F. McDonald, PhD, Chief, Renal and Urological Sciences IRG, limitations imposed by the review and Dated: July 8, 2005. Center for Scientific Review, National funding cycle. Anthony M. Coelho, Jr., Institutes of Health, 6701 Rockledge Drive, Acting Director, Office of Federal Advisory Name of Committee: Center for Scientific Room 4214, MSC 7814, Bethesda, MD 20892, Committee Policy. Review Special Emphasis Panel, Drug (301) 435–1215, [email protected]. Delivery for Lung Disease. [FR Doc. 05–14430 Filed 7–20–05; 8:45 am] Name of Committee: Center for Scientific Date: July 26, 2005. BILLING CODE 4140–01–M Review Special Emphasis Panel, Neuronal Time: 1 p.m. to 2:30 p.m. Plasticity and Development. Agenda: To review and evaluate grant Date: August 4, 2005. applications. Time: 1 p.m. to 4 p.m. DEPARTMENT OF HEALTH AND Place: National Institutes of Health, 6701 Agenda: To review and evaluate grant HUMAN SERVICES Rockledge Drive, Bethesda, MD 20892, applications. (Telephone Conference Call). Place: National Institutes of Health, 6701 National Institutes of Health Contact Person: Alexander Gubin, PhD, Rockledge Drive, Bethesda, MD 20892, Scientific Review Administrator, Center for (Telephone Conference Call). Center for Scientific Review; Notice of Scientific Review, National Institutes of Contact Person: Lawrence Baizer, PhD, Closed Meetings Health, 6701 Rockledge Drive, Room 4196, Scientific Review Administrator, Center for Scientific Review, National Institutes of Pursuant to section 10(d) of the MSC 7812, Bethesda, MD 20892, 301–435– 2902, [email protected]. Health, 6701 Rockledge Drive, Room 4152, Federal Advisory Committee Act, as This notice is being published less than 15 MSC 7850, Bethesda, MD 20892, (301) 435– amended (5 U.S.C. Appendix 2), notice days prior to the meeting due to the timing 1257, [email protected]. is hereby given of the following limitations imposed by the review and Name of Committee: Center for Scientific meetings. funding cycle. Review Special Emphasis Panel, Cardiac ATP The meetings will be closed to the Name of Committee: Center for Scientific Synthesis. public in accordance with the Review Special Emphasis Panel UKGD Date: August 4, 2005. provisions set forth in sections Member Conflicts. Time: 1 p.m. to 2 p.m. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Date: July 26, 2005. Agenda: To review and evaluate grant as amended. The grant applications and Time: 3 p.m. to 5 p.m. applications. Agenda: To review and evaluate grant Place: National Institutes of Health, 6701 the discussions could disclose Rockledge Drive, Bethesda, MD 20892, applications. confidential trade secrets or commercial (Telephone Conference Call). Place: National Institutes of Health, 6701 property such as patentable material, Contact Person: Joyce C. Gibson, DSC, Rockledge Drive, Bethesda, MD 20892, and personal information concerning Scientific Review Administrator, Center for (Telephone Conference Call). Scientific Review, National Institutes of individuals associated with the grant Contact Person: Shirley Holden, PhD, Health, 6701 Rockledge Drive, Room 4130, applications, the disclosure of which Scientific Review Administrator, Center for constitute a clearly unwarranted MSC 7814, Bethesda, MD 20892, (301) 435– Scientific Review, National Institutes of 4522, [email protected]. invasion of personal privacy. Health, 6701 Rockledge Drive, Room 4218, Name of Committee: Center for Scientific Name of Committee: Center for Scientific MSC 7814, Bethesda, MD 20892, 301–435– 1198, [email protected]. Review Special Emphasis Panel, Beamlines Review Special Emphasis Panel, EMNR Pand Magnets. This notice is being published less than 15 Member Conflict. Date: August 4, 2005. days prior to the meeting due to the timing Date: July 20, 2005. Time: 2 p.m. to 3:30 p.m. limitations imposed by the review and Time: 1:30 p.m. to 3 p.m. Agenda: To review and evaluate grant funding cycle. Agenda: To review and evaluate grant applications. applications. Name of Committee: Center for Scientific Place: National Institutes of Health, 6701 Place: National Institutes of Health, 6701 Review Special Emphasis Panel, ZRG1 BDCN Rockledge Drive, Bethesda, MD 20892, Rockledge Drive, Bethesda, MD 20892, J 02S: Spinal Abnormalities in (Telephone Conference Call). (Telephone Conference Call). Neurofibromatosis. Contact Person: Sally Ann Amero, PhD, Contact Person: Abubakar A. Shaikh, PhD, Date: July 27, 2005. Scientific Review Administrator, Center for DVM, Scientific Review Administrator, Time: 12 p.m. to 1 p.m. Scientific Review, National Institutes of Center for Scientific Review, National Agenda: To review and evaluate grant Health, 6701 Rockledge Drive, Room 4190, Institutes of Health, 6701 Rockledge Drive, applications. MSC 7849, Bethesda, MD 20892, (301) 435– Room 6168, MSC 7892, Bethesda, MD 20892, Place: National Institutes of Health, 6701 1159, [email protected]. (301) 435–1042, [email protected]. Rockledge Drive, Bethesda, MD 20892, Name of Committee: Center for Scientific This notice is being published less than 15 (Telephone Conference Call). Review Special Emphasis Panel, ZRG1 BDA– days prior to the meeting due to the timing Contact Person: Jay Joshi, PhD, Scientific A–02M: Member Conflict. limitations imposed by the review and Review Administrator, Center for Scientific Date: August 4, 2005. funding cycle. Review, National Institutes of Health, 6701 Time: 2 p.m. to 5 p.m. Name of Committee: Center for Scientific Rockledge Drive, Room 5184, MSC 7846, Agenda: To review and evaluate grant Review Special Emphasis Panel, Synapses Bethesda, MD 20892, 301–435–1184, applications. and Connectivity. [email protected]. Place: National Institutes of Health, 6701 Date: July 25, 2005. This notice is being published less than 15 Rockledge Drive, Bethesda, MD 20892, Time: 1 p.m. to 3:00 p.m. days prior to the meeting due to the timing (Telephone Conference Call). Agenda: To review and evaluate grant limitations imposed by the review and Contact Person: Sherry L. Dupere, PhD, applications. funding cycle. Scientific Review Administrator, Center for
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Scientific Review, National Institutes of ADDRESSES: Interested persons are information on those who are to Health, 6701 Rockledge Drive, Room 4130, invited to submit comments regarding respond, including through the use of MSC 7843, Bethesda, MD 20892, (301) 435– this proposal. Comments should refer to appropriate automated collection 1021, [email protected]. the proposal by name and/or OMB techniques or other forms of information (Catalogue of Federal Domestic Assistance Control Number and should be sent to: technology (e.g. permitting electronic Program Nos. 93.306, Comparative Medicine; 93.333, Clinical Research, 93.306, 93.333, Reports Liaison Officer, Department of submission of responses). 93.337, 93.393–93.39693.837–93.844, Housing and Urban Development, 451 Title of Proposal: PD&R and PATH 93.846–93.878, 93.892, 93.893, National 7th Street, SW., Room 8228, Cooperative Research Program— Institutes of Health HHS) Washington, DC 20410. Reporting Requirements. Dated: July 12, 2005. FOR FURTHER INFORMATION CONTACT: Description of the need for the Anthony M. Coelho, Jr., Dana Bres, Research Engineer, Office of information and proposed use: This Acting Director, Office of Federal Advisory Policy Development and Research, information collection is required to Committee Policy. Department of Housing and Urban manage the cooperative research efforts [FR Doc. 05–14436 Filed 7–20–05; 8:45 am] Development, 451 7th Street, SW., administered by PD&R and the Room 8134, Washington, DC 20410, BILLING CODE 4140–01–M Partnership for Advancing Technology telephone number (202) 708–4370 in Housing (PATH). This information extension 5919 (this is not a toll-free collection will cover the periodic number) for copies of the proposed DEPARTMENT OF HOUSING AND (quarterly) reporting and invoicing forms and other available documents: URBAN DEVELOPMENT requirements for PD&R/PATH SUPPLEMENTARY INFORMATION: The Cooperative Agreements. [Docket No. FR–4977–N–05] Department is submitting the proposed Without this collection, potential information collection to OMB for Notice of Proposed Information research partners would not be able to review, as required by the Paperwork Collection: PD&R and PATH report on the agreement progress Reduction Act of 1995 (44 U.S.C. Cooperative Research Program- necessary to effectively inform the Chapter 35, as amended). Government. Reporting Requirements This Notice is soliciting comments Agency form numbers, if applicable: AGENCY: Office of Policy Development from members of the public and affected None. and Research, HUD. agencies concerning the proposed Members of affected public: ACTION: Notice. collection of information to: (1) Evaluate whether the proposed collection of Recipients of PD&R or PATH SUMMARY: The proposed information information is necessary for the proper Cooperative Agreements. These include collection requirement described below performance of the functions of the housing researchers, trade will be submitted to the Office of agency, including whether the organizations, and industry Management and Budget (OMB) for information will have practical utility; professionals. The number of review, as required by Paperwork (2) Evaluate the accuracy of the agency’s organizations is estimated to be 20. Reduction Act. The Department is estimate of the burden of the proposed Estimation of the total numbes of soliciting public comments on the collection of information; (3) enhance hours needed to prepare the information subject proposal. the quality, utility, and clarity of the collection including number of DATES: Comment Due Date: September information to be collected; and (4) respondents, frequency of response, and 19, 2005. minimize the burden of the collection of hours of response:
Number of Frequency of Hours per Task respondents responses response Burden hours
Narrative progress report ...... 20 quarterly ...... 3 240 Invoicing ...... 20 quarterly ...... 1.167 93 SF 269A ...... 20 annual ...... 1.5 30
Total Estimated Annual Burden DEPARTMENT OF HOUSING AND Reduction Act. The Department is Hours: 283. URBAN DEVELOPMENT soliciting public comments on the Number of copies to be submitted to subject proposal. the Office of Policy Development and [Docket No. FR–4977–N––06] DATES: Comments Due Date: September 19, 2005. Research for evaluation: One (original). Notice of Proposed Information ADDRESSES: Interested persons are Status of the proposed information Collection on PD&R and the invited to submit comments regarding collection: Pending OMB approval. Partnership for Advancing Technology this proposal. Comments should refer to Authority: The Paperwork Reduction Act in Housing Cooperative Research the proposal by name and/or OMB of 1995, 44 U.S.C. Chapter 35, as amended. Efforts Control Number and should be sent to: Dated: July 8, 2005. AGENCY: Office of Policy Development Reports Liaison Officer, Department of Housing and Urban Development, 451 Harold L. Bunce, and Research, HUD. ACTION: Notice. 7th Street, SW., Room 8228, Deputy Assistant Secretary for Economic Washington, DC 20410. Affairs. SUMMARY: The proposed information FOR FURTHER INFORMATION CONTACT: [FR Doc. 05–14331 Filed 7–20–05; 8:45 am] collection requirement described below Dana Bres, Research Engineer, Office of BILLING CODE 4210–62–M will be submitted to the Office of Policy Development and Research, Management and Budget (OMB) for Department of Housing and Urban review, as required by the Paperwork Development, 451 7th Street, SW.,
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Room 8134, Washington, DC 20410, automated collection techniques or Agency form numbers, if applicable: telephone number (202) 708–4370 other forms of information technology Application for Federal Assistance extension 5919 (this is not a toll-free (e.g., permitting electronic submission (Form HUD–424); number) for copies of the proposed of responses). Applicant Assurances and Certifications forms and other available documents. Title of Proposal: Office of Policy (Form HUD 424–B); SUPPLEMENTARY INFORMATION: The Development and Research and Department will submit the proposed Partnership for Advancing Technology Detailed Budget (Form HUD–424–CB); information collection to OMB for in Housing Cooperative Research efforts. Detailed Budget Worksheet (Form HUD– review, as required by the Paperwork Description of the need for the 424–CBW); Reduction Act of 1995 (44 U.S.C. information and proposed use: This Disclosure of Lobbying Activities, if Chapter 35, as amended). This Notice is information collection is required to required (Standard Form LLL); soliciting comments from members of solicit proposals for cooperative Disclosure/Update Report (Form HUD– the public and affected agencies research with the Office of Policy 2880); concerning the proposed collection of Development and Research (PD&R) and Acknowledgment of Application information to: (1) Evaluate whether the the Partnership for Advancing Receipt (Form HUD–2993); Technology in Housing (PATH) program proposed collection of information is Client Comments and Suggestions seeks proposals for cooperative research necessary for the proper performance of (Form HUD–2994). the functions of the agency, including efforts from housing researchers and whether the information will have others in areas of mutual interest. Members of affected public: Housing practical utility; (2) evaluate the Following collection of the proposals, researchers, trade organizations, accuracy of the agency’s estimate of the the data (the proposals) will be community research organizations, and burden of the proposed collection of evaluated in a process that will lead to university researchers. The number of information; (3) enhance the quality, the award of cooperative agreements for organizations is estimated to be 40. utility, and clarity of the information to research and other activities. Without Estimation of the total numbers of be collected; and (4) minimize the this collection, potential research hours needed to prepare the information burden of the collection of information partners would not be able to apply for collection including number of on those who are to respond, including cooperative agreements to conduct such respondents, frequency of response, and through the use of appropriate activities. hours of response:
Number of Frequency of Hours per Burden Task respondents responses response hours
Summary Proposal ...... 50 once ...... 12.92 646 Full Proposal Development ...... 25 once ...... 39 975 Grant Start Up ...... 20 once ...... 26 520
Total Estimated Annual Burden Madison and Morgan Counties, dependent recreational opportunities Hours: 2,141. Alabama. available to the public, including Number of copies to be submitted to opportunities for hunting, fishing, the Office of Policy Development and SUMMARY: This notice advises the public wildlife observation, wildlife Research for evaluation: Four (original that the Fish and Wildlife Service, photography, and environmental and three copies). Southeast Region, intends to gather education and interpretation. Status of the proposed information information necessary to prepare a The purpose of this notice is to collection: Pending OMB approval. Comprehensive Conservation Plan and achieve the following: Authority: The Paperwork Reduction Act Environmental Assessment for the (1) Advise other agencies and the of 1995, 44 U.S.C. Chapter 35, as amended. Wheeler National Wildlife Refuge public of our intentions, and Complex, pursuant to the National (2) Obtain suggestions and Dated: July 8, 2005. Environmental Policy Act and its information on the scope of issues to Harold L. Bunce, implementing regulations. include in the environmental document. Deputy Assistant Secretary for Economic The National Wildlife Refuge System DATES: An open house style meeting Affairs. Administration Act of 1966, as amended will be held during the scoping phase of [FR Doc. 05–14332 Filed 7–20–05; 8:45 am] by the National Wildlife Refuge System the comprehensive conservation plan BILLING CODE 4210–62–M Improvement Act of 1997, requires the development process. Special mailings, Service to develop a comprehensive newspaper articles, and other media conservation plan for each national announcements will be used to inform DEPARTMENT OF THE INTERIOR wildlife refuge. The purpose in the public and State and local developing a comprehensive government agencies of the dates and Fish and Wildlife Service conservation plan is to provide refuge opportunities for input throughout the Wheeler National Wildlife Refuge managers with a 15-year strategy for planning process. Complex achieving refuge purposes and ADDRESSES: Address comments, contributing toward the mission of the questions, and requests for more AGENCY: Fish and Wildlife Service, National Wildlife Refuge System, information to John Beck, Refuge Department of the Interior. consistent with sound principles of fish Planner, Fish and Wildlife Service, 2700 ACTION: Notice of intent to prepare a and wildlife management, conservation, Refuge Headquarters Road, Decatur, Comprehensive Conservation Plan and legal mandates, and Service policies. In Alabama 35603; telephone: (256) 353– Environmental Assessment for Wheeler addition to outlining broad management 7243; Fax: (256) 340–9728; e-mail: National Wildlife Refuge Complex in direction on conserving wildlife and [email protected]. To ensure Lauderdale, Limestone, Jackson, their habitats, plans identify wildlife- consideration, written comments must
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be received no later than September 6, near Paint Rock, Jackson County, as a priority one maternity cave for the 2005. Our practice is to make Alabama; and Key Cave National endangered gray bat. Collier Cave, comments, including names and Wildlife Refuge near Florence, approximately 1.5 miles upstream from addresses of respondents, available for Lauderdale County, Alabama. All Key Cave and within the acquisition public review during regular business together, these refuges comprise the boundary, is important to both species hours. Individual respondents may Wheeler National Wildlife Refuge as potential habitat. Both caves are on request that we withhold their home Complex. the northern shore of Pickwick Lake in address from the record, which we will Sauta Cave Refuge consists of 264 a limestone karst area that contains honor to the extent allowable by law. acres and was purchased in 1978 to numerous sinkholes and several SUPPLEMENTARY INFORMATION: Wheeler provide protection for the federally underground cave systems. the area’s National Wildlife Refuge, in the endangered gray bat (Myotis grisescens) sinkholes are an integral component of Tennessee River Valley of northern and the Indiana bat (Myotis sodalis) and groundwater recharge to the caves. The Alabama, was established by executive their critical habitat. The cave provides area directly north of Key Cave was order on July 7, 1938. The refuge is a summer roosting site for about identified as a potential high hazard risk situated within the middle third of the 200,000–300,000 gray bats and a winter area for groundwater recharge and this Tennessee Valley Authority’s Wheeler hibernaculum for both the gray and is where the 1,060-acre refuge was Reservoir on land purchased in 1934 Indiana bat. There are two entrances established. and 1935 by the Authority to serve as into the cave on the refuge but they are Two species of blind crayfish closed to the public. a buffer strip around the reservoir, (Procambarus pecki and Cambarus As is the case with many large caves, which was impounded in 1936. The jonesi) also inhabit Key Cave. Several rare and unique species occur in Sauta refuge contains land within Morgan, bird species that are of management Cave. As a result, the Alabama Natural concern also use the refuge’s grasslands. Limestone, and Madison Counties, and Heritage Program ranks the cave’s is in close proximity to the cities of These species include grasshopper biodiversity as a site of very high sparrows, dickcissels, northern harriers, Huntsville and Decatur, Alabama. The significance. In addition to the rare refuge consists of approximately 35,000 short-eared owls, loggerhead shrikes, fauna within the cave, the federally and northern bobwhites. acres, including 19,500 acres of land endangered Price’s potato bean (Apios and 15,500 acres of water. It is well priceana) occurs on the refuge. All 264 developed with more than 100 miles of Authority: This notice is published under acres of habitat outside of the cave are the authority of the National Wildlife Refuge graveled roads, 2,500 acres of managed predominately hardwood forest. System Improvement Act of 1977, Public wetlands, a modern Headquarters Fern Cave Refuge was purchased in Law 105–57. Complex with a large Visitor Center and 1981 to provide protection for the a Waterfowl Observation Building. Dated: June 17, 2005. federally endangered gray and Indiana Cynthia K. Dohner, Public use is heavy and approximately bats. It consists of 199 cares of forested Acting Regional Director. 700,000 visitors are reported annually. hillside underlain by a massive cave The primary purpose of the refuge is with many stalactite- and stalagmite- [FR Doc. 05–14382 Filed 7–20–05; 8:45 am] to provide habitat, food, and shelter for filled rooms. The cave has five hidden BILLING CODE 4310–55–M migratory waterfowl and other wildlife. entrances with four occuring on the This refuge supports Alabama’s only refuge. The refuge contains the largest DEPARTMENT OF THE INTERIOR significant concentration of wintering wintering colony of gray bats in the Canada geese. It also serves as winter United States with more than one Fish and Wildlife Service habitat for the State’s largest duck million bats hibernating there in the population. It was the first national winter. Bat experts also think that as Application for an Incidental Take wildlife refuge placed on a many as one million Indiana bats may Permit for the Lockheed Martin multipurpose reservoir and has be using the cave. Corporation Project, Riverside County, supported up to 60,000 geese and nearly Access is extremely difficult and has CA 100,000 ducks, although peaks until been described as a vertical and 1990 were nearer 30,000 geese and horizontal maze by expert cavers. AGENCY: Fish and Wildlife Service, 60,000 ducks. Since 1990, winter goose Horizontal sections of the cave are Interior. populations have dropped significantly; known to be more than 15 miles long ACTION: Notice of receipt of application; below 15,000 from 1990–1995 and about and vertical drops of 450 feet are found notice of availability. 2,500–5,500 in the last few years. Snow within. Spectacular features, including geese are now the most prominent unrivaled formations, important SUMMARY: In response to an application competent of the winter goose paleological and archaeological finds, from the Lockheed Martin Corporation population, peaking near 1,500–3,200 in and diverse cave fauna, have (applicant), the U.S. Fish and Wildlife recent years. The refuge supports contributed to Fern Cave being Service (we, Service) is considering interesting flora, a bird list consisting of described as the most spectacular cave issuance of a 5-year incidental take 288 species, 47 species of mammals, 115 in the United States. Additionally, the permit for 1 covered species pursuant to species of fish and a wide variety (74 endangered American Hart’s-tongue fern section 10(a)(1)(B) of the Endangered species) of reptiles and amphibians. (Phyllitis scolopendrium) is found on Species Act of 1973, as amended (ESA). Furthermore, the refuge is home to 10 the refuge. In response to this application, we are federally protected endangered species. Key Cave Refuge, about 5 miles making it available for public review Wheeler Refuge has three satellite southwest of Florence, Alabama, was and comment. If approved, the permit refuges, all established to protect established in 1997 to ensure the would authorize take of species listed endangered species. These are: Sauta biological integrity of Key Cave, Collier under the ESA incidental to otherwise Cave (formerly Blowing Wind Cave) Cave, and the aquifer common to both. lawful activities associated with National Wildlife Refuge, near Key Cave has been designated as critical proposed groundwater and soil Scottsboro, Jackson County, Alabama; habitat for the endangered Alabama contamination investigations on the Fern Cave National Wildlife Refuge, cavefish (Speoplatyrhinus poulsoni) and 9,117-acre Potrero Creek and 2,500-acre
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Laborde Canyon sites, located in prohibit the ‘‘take’’ of fish and wildlife parking of vehicles overnight to existing Beaumont, Riverside County, California. species listed as endangered or roads; (6) restricting drilling to the DATES: Written comments should be threatened (16 U.S.C. 1538). The term maximum extent possible, to 15 feet or received on or before August 22, 2005. ‘‘take’’ means to harass harm, pursue, more from burrows; and, if needed, (7) ADDRESSES: Please address written hunt, shoot, wound, kill, trap, capture excluding SKR from, or trapping and comments to Mr. Jim Bartel, Field or collect listed animal species, or moving SKR out of, densely occupied Supervisor, Fish and Wildlife Service, attempt to engage in such conduct (16 areas. Proposed mitigation would Carlsbad Fish and Wildlife Office, 6010 U.S.C. 1532). However, under section consist of refilling bore holes and Hidden Valley Rd., Carlsbad, California 10(a) of the ESA, we may issue permits smoothing of soils disturbed during 92009. You may also send comments by to authorize ‘‘incidental take’’ of listed investigation activities. facsimile to (760) 918–0638. fish and wildlife species. ‘‘Incidental Our EAS considers the direct, take’’ is defined by the ESA as take that FOR FURTHER INFORMATION CONTACT: Ms. indirect, and cumulative effects of the is incidental to, and not the purpose of, Karen Goebel, Assistant Field proposed action of permit issuance, carrying out an otherwise lawful Supervisor, Carlsbad Fish and Wildlife including the measures that would be activity. Regulations governing implemented to minimize and mitigate Office (see ADDRESSES); telephone: (760) incidental take permits for threatened 431–9440. such impacts. The EAS contains an and endangered species are found in the analysis of three alternatives: (1) The No SUPPLEMENTARY INFORMATION: The Code of Federal Regulations at 50 CFR permit application and Environmental Action Alternative (no permit issuance 17.22 and 50 CFR 17.32, respectively. and no investigation activities); (2) the Action Statement (EAS) are available for The applicant has applied to the public review and comment. The Proposed Action Alternative Service for a 5-year incidental take (groundwater and soil contaminants application includes a proposed habitat permit for the endangered Stephen’s conservation plan (HCP). investigation activities at the Potrero kangaroo rat (Dipodomys stephensi) Creek and Laborde Canyon sites with Documents are posted on the Intranet (covered species, ‘‘SKR’’), pursuant to at http://carlsbad.fws.gov. Alternatively, issuance of the permit and section 10(a)(1)(B) of the ESA. The implementation of the HCP); and (3) the you may obtain copies of these activities proposed to be covered by the documents by calling the person named Soil Assessment by Trenching permit include groundwater and soil Alternative (collection of soil samples in the section of this notice titled FOR contaminants investigation activities at FURTHER INFORMATION CONTACT, or by by trenching instead of drilling for the the Potrero Creek and Laborde Canyon soil assessment portion of the project). writing to the person named in the sites. Investigation activities include: (1) Under the No Action Alternative, no section titled ADDRESSES. Copies of Conducting groundwater level permit would be issued and no these documents also are available for measurements and sampling at existing investigative activities would occur. public inspection and review during and future wells; (2) installing up to 50 Under the Proposed Action Alternative, normal business hours at the office additional 4-inch diameter groundwater drilling of bore holes would be utilized listed under ADDRESSES. wells for sampling and monitoring; (3) to collect soil samples for assessment. We specifically request information, abandoning approximately 20 Under the Trenching Alternative, views, and opinions from the public on groundwater production and monitoring trenching would be utilized, instead of the proposed Federal action of issuing a wells; (4) maintaining existing drilling, to collect soil samples for permit, including the identification of structures and groundwater pump and any aspects of the human environment treat system on a daily basis; (5) drilling assessment. It was determined that not already analyzed in our EAS. approximately 400 soil assessment bore trenching would result in greater Further, we specifically solicit holes (8-inch diameter) to sample soil impacts to biological resources at the information regarding the adequacy of contaminants; (6) installing and sites than drilling. the proposed HCP as measured against sampling up to 200 temporary soil gas The Service has made a preliminary our permit issuance criteria found in 50 probes; (7) conducting unexploded determination that approval of the CRF 13.21, 17.22, and 17.32. ordnance surveys; (8) conducting proposed HCP qualifies for a categorical Our practice is to make comments, seismic reflection and/or refraction exclusion under NEPA, as provided by including names and home addresses of surveys; (9) maintaining roads (e.g., the Department of the Interior Manual respondents, available for public review repair, limited grading, widening and (516 DM 2, Appendix 1 and 516 DM 6, during regular business hours. create new routes if necessary); and (10) Appendix 1) and that the proposed HCP Individual respondents may request that removing an old CatOx unit. In qualifies as a ‘‘low-effect’’ plan as we withhold their identity from the addition, measures to minimize and defined by the Habitat Conservation administrative record. We will honor mitigate effects of the above activities to Planning Handbook (November 1996). such requests to the extent allowed by the covered species, are proposed to be Determination of whether an HCP is law. If you wish to withhold your covered by the permit. low-effect is are based on the following identity (e.g., individual name, home Incidental take of covered species three criteria: (1) Implementation of the address and home phone number), you may occur as a result of these proposed proposed HCP would result in minor or must state this prominently at the covered activities. The applicant negligible effects on federally listed, beginning of your comments. We will proposes to avoid, minimize, and proposed, and candidate species and make all submissions from mitigate the impacts of the taking of this their habitats; (2) implementation of the organizations, agencies or businesses, species by implementing the following proposed HCP would result in minor or and from individuals identifying measures: (1) Completing activities negligible effects on other themselves as representatives of officials during daylight hours; (2) monitoring all environmental values or resources; and of such entities, available for public activities by a permitted SKR biologist; (3) impacts (positive or negative) of the inspection in their entirety. (3) flagging burrows and guiding proposed HCP, considered together with equipment by a biologist to avoid the impacts of other past, present and Background burrows as much as possible; (4) placing reasonably foreseeable similarly situated Section 9 of the ESA and its load-spreading measures over burrows projects, would not result in cumulative implementing Federal regulations that can not be avoided; (5) restricting effects to environmental values or
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resources that would be considered Jackson, Mississippi Field Office, U.S. such a plan would not promote the significant over time. Fish and Wildlife Service, 6578 conservation of a particular species. Based on this preliminary Dogwood View Parkway, Jackson, Section 4(f) of the Act requires us to determination, we do not intend to Mississippi 39213 (telephone (601) 965– provide a public notice and an prepare further NEPA documentation. 4900), or by visiting our recovery plan opportunity for public review and We will consider public comments in Web site at http://endangered.fws.gov/ comment during recovery plan making the final determination on recovery/index.html#plans. If you wish development. We will consider all whether to prepare such additional to comment, you may submit your information presented during a public documentation. comments by any one of several comment period prior to approval of This notice is provided pursuant to methods: each new or revised recovery plan. We section 10(c) of the ESA and the 1. You may submit written comments and other Federal agencies will take regulations of NEPA (40 CFR 1505.6). and materials to the Field Supervisor, at these comments into account in the We will evaluate the permit application, the above address. course of implementing approved the proposed HCP, and comments 2. You may hand-deliver written recovery plans. submitted thereon to determine whether comments to our Jackson, Mississippi The objective of this technical agency the application meets the requirements Field Office, at the above address, or fax draft recovery plan is to provide a of section 10(a) of the ESA. If the your comments to (601) 965–4340. framework for the recovery of the requirements are met, we will issue a 3. You may send comments by e-mail vermilion darter so that protection permit to the applicant. _ to daniel [email protected]. For under the Act is no longer necessary. Dated: July 15, 2005. directions on how to submit electronic The status of the species will be Kenneth McDermond, filing of comments, see the ‘‘Public reviewed, and the species will be Deputy Manager, California/Nevada Comments Solicited’’ seciton. considered for removal from the Federal Operations Office, Sacramento, California. Comments and materials received are List of Endangered and Threatened [FR Doc. 05–14374 Filed 7–20–05; 8:45 am] available for public inspection on Wildlife and Plants (50 CFR part 17) BILLING CODE 4310–55–P request, by appointment, during normal when recovery criteria are met. business hours at the above address. FOR FURTHER INFORMATION CONTACT: Public Comments Solicited DEPARTMENT OF THE INTERIOR Daniel J. Drennen at the above address We solicit written comments on the (telephone (601) 321–1127). Fish and Wildlife Service recovery plan described. We will SUPPLEMENTARY INFORMATION: consider all comments received by the Notice of Availability of a Technical Background date specified above prior to final Agency Draft Recovery Plan for the approval of the draft recovery plan. We listed the vermilion darter Endangered Vermilion Darter for Please submit electronic comments as Review and Comment (Etheostoma chermocki (Teleostei: Percidae)) as endangered under the Act an ASCII file format and avoid the use of special characters and encryption. AGENCY: Fish and Wildlife Service, on November 28, 2001 (66 FR 59367). Interior. The vermilion darter was officially Please also include your name and return address in your e-mail message. ACTION: Notice of documents availability described in 1992 from Turkey Creek, If you do not receive a confirmation and opening of public comment period. which is a tributary of the Locust Fork of the Black Warrior River, Jefferson from the system that we have received SUMMARY: We, the Fish and Wildlife County, Alabama. your e-mail message, contact us directly Service, announce the availability of the The vermilion darter is a medium- by calling our Mississippi Field Office technical agency draft recovery plan for sized darter that is only known from a (see ADDRESSES section). the vermilion darter (Etheostoma 11.6-kilometer (7.2-mile) section of the Our practice is to make all comments, chermocki). The vermilion darter is Turkey Creek drainage. The greatest including names and home addresses of found only in Turkey Creek, a tributary threat to this species is degradation of respondents, available for public review of the Locust Fork of the Black Warrior water quality and substrate components during regular business hours. River, Jefferson County, Alabama. The of its habitat due to sedimentation and Individual respondents may request that species is threatened by degradation of other pollutants (both point and non- we withhold their home addresses from water quality and substrate components point sources). Urbanization has the record, which we will honor to the of its habitat due to sedimentation and contributed significantly to extent allowable by law. In some other pollutants. The technical agency sedimentation within the Turkey Creek circumstances, we would withhold also draft recovery plan includes specific watershed. from the rulemaking record a recovery objectives and criteria to be Restoring an endangered or respondent’s identity, as allowable by met in order to delist the vermilion threatened animal or plant to the point law. If you wish for us to withhold your darter under the Endangered Species where it is again a secure, self- name and/or address, you must state Act of 1973, as amended (Act) (16 sustaining member of its ecosystem is a this prominently at the beginning of U.S.C. 1533 et seq.). We solicit review primary goal of the endangered species your comments. However, we will not and comment on this technical agency program. To help guide the recovery consider anonymous comments. We draft recovery plan from local, State, effort, we are preparing recovery plans will make all submissions from and Federal agencies, and the public. for most listed species. Recovery plans organizations or businesses, and from DATES: In order to be considered, we describe actions considered necessary individuals identifying themselves as must receive comments on the technical for conservation of the species, establish representatives or officials of agency draft recovery plan on or before criteria for downlisting or delisting, and organizations or businesses, available September 19, 2005. estimate time and cost for implementing for public inspection in their entirety. ADDRESSES: If you wish to review this recovery measures. Authority: The authority for this action is technical agency draft recovery plan, The Act requires the development of section 4(f) of the Endangered Species Act, you may obtain a copy by contacting the recovery plans for listed species, unless 16 U.S.C. 1533(f).
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Dated: July 15, 2005. Sacramento Fish and Wildlife Office, at habitats within the area protected by the Jacquelyn Parrish, (916) 414–6600. Conservation Bank. Acting Regional Director. SUPPLEMENTARY INFORMATION: The Service’s Environmental [FR Doc. 05–14372 Filed 7–20–05; 8:45 am] Availability of Documents Assessment considers the BILLING CODE 4310–55–P environmental consequences of three You may obtain copies of these alternatives. The Proposed Project documents for review by contacting the Alternative (described above) consists of DEPARTMENT OF THE INTERIOR individuals named above [see FOR FURTHER INFORMATION CONTACT.] the issuance of the incidental take Fish and Wildlife Service Documents also will be available for permit and implementation of the Plan public inspection, by appointment, and Implementing Agreement for the Availability of an Environmental during normal business hours at the applicant’s proposed project. The No Assessment and Receipt of an Sacramento Fish and Wildlife Office Action Alternative consists of no permit Application for an Incidental Take [see ADDRESSES.] issuance and no construction of the Permit for the Hillcrest Travel Plaza in travel plaza at this time. Compared to Fresno County, CA Background the proposed project, the No Action Section 9 of the Act and Federal AGENCY: Fish and Wildlife Service, Alternative would result in no take in regulations prohibit the take of fish and Interior. an important migration corridor area, wildlife species listed as endangered or but less long-term conservation for the ACTION: Notice of availability and threatened (16 U.S.C. 1538). Take of receipt of application. San Joaquin kit fox within Fresno federally listed fish and wildlife is County, and the applicant would not be SUMMARY: The Hillcrest Travel Plaza defined under the Act to include the able to develop the property. Under the (applicant) has applied to the Fish and following activities: harass, harm, 38-Acre Development Alternative, the Wildlife Service (Service) for an pursue, hunt, shoot, would, kill, trap, entire project site would be developed incidental take permit pursuant to capture, or collect, or to attempt to with permanent structures, parking and engage in any such conduct (16 U.S.C. section 10(a)(1)(B) of the Endangered access areas, and appurtenances. The 1532). The Service may, under limited Species Act of 1973, as amended (Act). project would result in the loss of 38 The Service is considering the issuance circumstances, issue permits to authorize incidental take (i.e., take that acres of San Joaquin kit fox foraging and of a 10-year permit to the applicant that migration habitat, and the applicant would authorize take of the endangered is incidental to, and not for the purpose of, the carrying out of an otherwise would purchase 38 acres of off-site San Joaquin kit fox (Vulpes macrotis preservation habitat in a conservation mutica) incidental to otherwise lawful lawful activity). Regulations governing bank. Compared to the proposed project, activities. Such take would occur during incidental take permits for endangered the 38-Acre Development Alternative the construction and operation of the species are found in 50 CFR 17.22. would result in greater loss of habitat in applicant’s proposed travel plaza in The applicant proposes to construct Fresno County, California. Construction and operate a travel plaza and freeway an important migration corridor area, of the proposed travel plaza would rest stop on a portion of a 38-acre parcel but more long-term conservation for the result in the loss of up to 9.27 acres of on the southwest side of the intersection San Joaquin kit fox. This alternative foraging and migration habitat for the of State Route 269 and Interstate 5 near would be more costly to the applicant San Joaquin kit fox. the town of Avenal in Fresno County, than the proposed project. We request comments from the public California. The construction of the This notice is provided pursuant to on the permit application and an proposed plaza would result in the loss section 10(a) of the Act and the Environmental Assessment, both of of 9.27 acres of suitable foraging and regulations of the National which are available for review. The migration habitat for the San Joaquin kit Environmental Policy Act (NEPA) of fox. permit application includes the 1969 (40 CFR 1506.6). All comments proposed Habitat Conservation Plan Although no San Joaquin kit foxes were observed, or evidence found of that we receive, including names and (Plan) and an accompanying addresses, will become part of the Implementing Agreement. The Plan their denning, at the time of biological surveys, they may range through and official administrative record and may describes the proposed project and the be made available to the public. We will measures that the applicant would periodically use the site for foraging and/or denning. The construction and evaluate the application, associated undertake to minimize and mitigate take documents, and comments submitted of the San Joaquin kit fox. operation of the facilities is unlikely to result in direct mortality or injury of thereon to determine whether the DATES: We must receive your written San Joaquin kit foxes, but may result in application meets the requirements of comments on or before September 19, take in the form of harassment. NEPA regulations and section 10(a) of 2005. The applicant proposes to implement the Act. If we determine that those ADDRESSES: Please address written specific on-site measures to avoid and requirements are met, we will issue a comments to Lori Rinek, Chief, minimize take and associated adverse permit to the Applicant for the Conservation Planning and Recovery project impacts to San Joaquin kit fox. incidental take of the San Joaquin kit Division, U.S. Fish and Wildlife Service, The applicant also proposes to mitigate fox. We will make our final permit Sacramento Fish and Wildlife Office, for take by purchasing 9.27 acres of decision no sooner than 60 days from 2800 Cottage Way, W–2605, compensation credits at the Wildlands, the date of this notice. Sacramento, California 95825. You also Inc., Kreyenhagen Hills Conservation Dated: July 15, 2005. may send comments by facsimile to Bank, in Fresno County. These lands are (916) 414–6713. occupied by the San Joaquin kit fox. The Ken McDermond, FOR FURTHER INFORMATION CONTACT: compensation includes funds Deputy Manager, California/Nevada Jesse Wild, Fish and Wildlife Biologist, supporting a management endowment Operations Office, Sacramento, California. or Lori Rinek, Chief, Conservation to ensure the permanent management [FR Doc. 05–14373 Filed 7–20–05; 8:45 am] Planning and Recovery Division, and monitoring of sensitive species and BILLING CODE 4310–55–P
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DEPARTMENT OF THE INTERIOR from the project Web site: http:// winter in the BTNF and the National Elk bisonandelkplan.fws.gov. Refuge. Due to the wide range of Fish and Wildlife Service The draft Plan/EIS will be available authorities and interests, including for reading at the following main branch management of resident wildlife by the Notice of Availability of the Draft Bison libraries: State of Wyoming: Albany State of Wyoming on most federal lands, and Elk Management Plan and County—Laramie; Fremont County— the U.S. Fish and Wildlife Service and Environmental Impact Statement Dubois, Lander, and Riverton; Laramie the National Park Service have used a AGENCY: Fish and Wildlife Service, County—Cheyenne; Lincoln County— cooperative approach to management National Park Service, Interior. Afton; Park County—Cody; Natrona planning involving all of the associated ACTION: Notice of availability. County—Casper; Sheridan County— Federal and State agencies and a broad Sheridan; Sublette County—Pinedale range of organized and private interests. SUMMARY: The U.S. Fish and Wildlife and Big Piney; Sweetwater County— A management plan (Jackson Bison Service and the National Park Service, Rock Springs; and Teton County— Herd Long Term Management Plan and U.S. Department of the Interior (DOI), as Jackson and Alta. State of Colorado: Environmental Assessment) was lead agencies, announce that the Draft Denver and Fort Collins. State of Idaho: developed by the National Park Service Bison and Elk Management Plan (Plan) Idaho Falls, Rexburg, Swan Valley and and the U.S. Fish and Wildlife Service, and Environmental Impact Statement Victor. State of Montana: Bozeman, in cooperation with the WGFD and the (EIS) for the National Elk Refuge and Livingston, Missoula, and Ennis. It will BTNF, for the Jackson bison herd, and Grand Teton National Park/John D. also be available at the following finalized in September 1996. In 1998, a Rockefeller, Jr. Memorial Parkway colleges and universities: State of lawsuit was brought by the Fund for (Grand Teton National Park) is Wyoming: Casper College Library, Animals (FFA) enjoining most federal available. This draft Plan/EIS was Casper; Central Wyoming College management actions proposed in the prepared pursuant to the National Library, Riverton; University of 1996 plan. The court ruled that the Wildlife Refuge System Administration Wyoming Library, Laramie; Northwest controlled hunting of bison on federal Act (NWRS Improvement Act), as College Library, Powell; Sheridan lands, for population control purposes, amended; the National Park Service College Library, Sheridan; and Western could not be carried out until additional Management Policies 2001; and the Wyoming College Library, Rock Springs. NEPA compliance was completed for National Environmental Policy Act State of Colorado: Colorado State those actions. The court also directed (NEPA). The draft Plan/EIS was University Library, Fort Collins. State of that additional NEPA compliance prepared in cooperation and partnership Montana: Montana State University consider the effects of the supplemental with the U.S. Department of Agriculture Library, Bozeman; and the University of winter-feeding of elk on the Jackson Animal and Plant Health Inspection Montana Library, Missoula. State of bison population in the National Elk Service (APHIS); the U.S. Forest Idaho: University of Idaho Library, Refuge. The NWRS Improvement Act of 1997 Service; the Bridger-Teton National Boise. requires that Comprehensive Forest (BTNF); the Bureau of Land The U.S. Fish and Wildlife Service Conservation Plans be developed for all Management (BLM); and the State of and the National Park Service will hold national wildlife refuges. At the Wyoming Game and Fish Department public hearings on the draft Plan/EIS National Elk Refuge, elk management- (WGFD). The draft Plan/EIS describes and encourage interested persons and including supplemental winter-feeding- the U.S. Fish and Wildlife Service’s and organizations to attend and provide would make up the most significant the National Park Service’s proposal for comments at one of the meetings. The activity in the CCP. In order to management of the Jackson bison and times and places of the meetings will be coordinate the NEPA compliance elk populations within their respective provided in a Planning Update to be jurisdictions for 15 years, beginning at required for the National Elk Refuge mailed to agencies, organizations, and under the NWRS Improvement Act, for the completion of a Record of Decision individuals on the mailing list; in (ROD) on the final Plan/EIS. Six the Grand Teton National Park under notices in area newspapers; and on the the National Park Service Management alternatives for the management of bison project Web site. and elk populations in the National Elk Policies of 2001, and for the FFA SUPPLEMENTARY INFORMATION: Refuge and the Grand Teton National lawsuit, and because many management Park are considered in the draft Plan/ The National Elk Refuge and Grand actions for one species affect both EIS. Teton National Park are located just species, in 1999, the U.S. Fish and north of Jackson, Wyoming. Together Wildlife Service and the National Park DATES: Written comments must be with the BTNF, they make up most of Service proposed this planning process. received at the postal or electronic the southern half of the Greater Significant issues addressed in the address listed below on or before Yellowstone Ecosystem. The National draft Plan/EIS include: Bison and elk September 30, 2005. Elk Refuge comprises about 24,700 populations and their ecology; ADDRESSES: To provide written acres, the Grand Teton National Park restoration of habitat and management comments or to obtain a copy of the comprises 309,995 acres, and the John of other species of wildlife; draft Plan/EIS, please write to: Jackson D. Rockefeller Jr. Memorial Parkway is supplemental winter feeding operations Bison and Elk Management Planning about 23,777 acres. The Jackson bison of bison and elk; disease prevalence and Office, P.O. Box 510, Jackson, Wyoming and elk herds make up one of the largest transmission; recreational opportunities; 83001; telephone: 307–733–9212, or e- concentrations of free-ranging ungulates cultural opportunities and western mail: bison/[email protected]. in North America. Currently, these traditions and lifestyles; commercial FOR FURTHER INFORMATION CONTACT: For herds total approximately 800 bison and operations; and the local and regional further information, contact Laurie 13,500 elk. The herds migrate across economy. Shannon, Planning Team Leader, several jurisdictional boundaries, The U.S. Fish and Wildlife Service Region 6, 134 Union Boulevard, including Grand Teton National Park and the National Park Service, in Lakewood, Colorado 80228, telephone and southern Yellowstone National cooperation with the WGFD and the 303–236–4317. In addition, copies of Park, BTNF, BLM resource areas, and other Federal agencies, developed six the draft Plan/EIS may be downloaded State and private lands, before they alternatives for the management of bison
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and elk. These include: Alternative 1— agencies to analyze and respond to the 4. How to minimize the burden of the No Action; Alternative 2—Minimal comments at one time and to use collection of information on those who Management of Habitat and information acquired in the preparation are to respond, including the use of Populations; Support Migration; of the final Plan/EIS, thus avoiding appropriate automated, electronic, Alternative 3—Restore Habitat, Support undue delay in the decision making mechanical, or other forms of Migration, and Phase Back process. Comments on the draft EIS information technology. Supplemental Feeding; Alternative 4— should be specific and should address Title: Community Survey of Restore Habitat, Improve Forage, and the adequacy of the plan, the impact Rappahannock River Residents Phase Back Supplemental Feeding; statement, and the merits of the OMB Approval No: New collection Alternative 5—Restore Habitat, Improve alternatives discussed (40 CFR 1503.3). Summary: This information collection Forage and Continue Supplemental In the final Plan/EIS, the U.S. Fish is in support of development of a Feeding; and Alternative 6—Restore and Wildlife Service will respond to all Comprehensive Conservation Plan for Habitat, Adaptively Manage substantive comments. Comments are Rappahannock National Wildlife Populations, and Phase Out considered substantive if they: Refuge. Under the National Wildlife Supplemental Feeding. • Question, with reasonable basis, the Refuge System Improvement Act of Alternative 4, the proposed action, accuracy of the information in the 1997, all national wildlife refuges are strives to balance the major issues and document. required to develop a Comprehensive stakeholder perspectives, identified • Question, with reasonable basis, the Conservation Plan (CCP). A CCP is a during prescoping and public scoping, adequacy of the environmental analysis. document that provides a framework for with the purposes, missions, and • Present reasonable alternatives guiding refuge management decisions. management policies of the U.S. Fish other than those presented in the EIS. This planning process ensures the and Wildlife Service and the National • Cause changes or revisions to the opportunity for active public Park Service. Assuming that the Bison and Elk Management Plan. involvement in the preparation and WGFD’s herd objective of 11,029 had • Provide new or additional revision of comprehensive conservation been met, and that higher numbers of information relevant to the analysis. plans. This information collection will elk would use the winter range, Dated: July 13, 2005. inform the planning process by approximately 4,000–5,000 elk and up Ralph O. Morgenweck, providing information to the U.S. Fish to 500 bison would winter in the and Wildlife Service on the attitudes Regional Director, Region 6, Denver, CO. National Elk Refuge, and 1,300–1,600 and opinions of local residents elk would summer in the Grand Teton [FR Doc. 05–14226 Filed 7–20–05; 8:45 am] regarding Rappahannock National National Park. The elk hunt in the BILLING CODE 4310–55–P Wildlife Refuge and its management. National Elk Refuge, and the herd Estimated Completion Time: 20 reductions in the Grand Teton National minutes. Park would continue. A bison hunt DEPARTMENT OF THE INTERIOR Estimated Annual Number of would be instituted in the National Elk U.S. Geological Survey Respondents: 1,000. Refuge. Supplemental feeding would Frequency: One time. take place only in above-average winters Request for Public Comments on a Estimated Annual Burden Hours: 333 (estimated to occur in roughly 5 out of Proposed New Information Collection hours. 10 years). The potential for disease To Be Submitted to OMB for Review Affected Public: Residents adjacent to outbreaks would be somewhat reduced, Under the Paperwork Reduction Act the Rappahannock River Basin, Virginia. and WGFD personnel would be FOR FURTHER INFORMATION CONTACT: To permitted to use Strain 19 to vaccinate A request for a new information obtain copies of the survey, contact the elk. collection described below will be Bureau clearance office, U.S. Geological After the review and comment period submitted to the Office of Management Survey, 807 National Center, 12201 for this draft Plan/EIS, all comments and Budget (OMB) for approval under Sunrise Valley Drive, Reston, Virginia, will be analyzed and considered by the the provisions of the Paperwork 20192, telephone (703) 648–7313. lead agencies. A final Plan/EIS will be Reduction Act (44 U.S.C. Chapter 35). Dated: July 14, 2005. prepared and published, and will Copies of the proposed collection may Susan D. Haseltine, include the substantive comments be obtained by contacting the USGS received and the lead agencies’ Clearance Officer at the phone number Associate Director for Biology responses to those comments. Changes listed below. Comments on the proposal [FR Doc. 05–14317 Filed 7–20–05; 8:45 am] made to the proposed action will also be should be made within 60 days to the BILLING CODE 4310–47–M identified in the final Plan/EIS. A ROD Bureau Clearance Officer, U.S. and final management plan will then be Geological Survey, 807 National Center, published. Reston, VA 20192. DEPARTMENT OF THE INTERIOR All comments received from As required by OMB regulations at 5 Bureau of Land Management individuals on environmental impact CFR 1320.8(d)(1), the USGS solicits statements become part of the official specific public comments as to: [CA–660–05–1220] public record. Requests for such 1. Whether the collection of comments will be handled in information is necessary for the proper Notice of Extension of Emergency accordance with the Freedom of performance of the functions on the Closure of Public Lands to Information Act, the Privacy Act, the bureaus, including whether the Recreational Shooting on Public Lands Council on Environmental Quality’s information will have practical utility; Administered by the Bureau of Land NEPA regulations (40 CFR 1506.6(f)), 2. The accuracy of the bureau’s Management (BLM), Palm Springs- and other policies and procedures of the estimate of the burden of the collection South Coast Field Office, CA lead agencies and DOI. of information, including the validity of AGENCY: Bureau of Land Management, Reviewers should provide their the methodology and assumptions used; Interior. comments during the review period of 3. The quality, utility, and clarity of ACTION: Notice. the draft Plan/EIS. This enables the lead the information to be collected; and
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SUMMARY: The BLM Palm Springs-South DEPARTMENT OF THE INTERIOR western juniper in mountain big Coast Field Office is extending an sagebrush, low sagebrush, quaking emergency closure order which closes Bureau of Land Management aspen, mountain mahogany, old growth portions of public lands to recreational [OR–027–1110–JM–H2KO; HAG–05–0096] juniper (over 120 years old), and shooting in the South Coast Planning riparian plant communities. The Area, in San Diego County, California Notice of Intent To Prepare an proposed project area lies within the [69 FR 65448, November 12, 2004]. The Environmental Impact Statement for Andrews Resource Area and the Steens extension of the emergency closure is the North Steens Ecosystem Mountain Cooperative Management and needed to continue providing public Restoration Project Protection Area (CMPA), designated safety from the stray and ricocheting October 30, 2000 by Act of Congress. bullets produced by recreational AGENCY: Bureau of Land Management, The project is located in Harney County, shooting in this area. Burns District, Andrews Resource Area, Oregon, and affects approximately Interior. 336,000 acres of public and private DATES: This extended emergency ACTION: Notice of Intent. land. closure will be in effect immediately Section 113(c) of the Steens Act and remain in effect through March 31, SUMMARY: In accordance with the states: ‘‘The Secretary shall emphasize 2006. National Environmental Policy Act of the restoration of the historic fire regime ADDRESSES: Copies of the extended 1969, the Federal Land Policy and in the Cooperative Management and closure notice and a map of the closed Management Act of 1976, and the Protection Area and the resulting native area can be obtained at the BLM, Palm Steens Mountain Cooperative vegetation communities through active Springs-South Coast Field Office, 690 Management and Protection Act of 2000 management of western juniper on a West Garnet Avenue, North Palm (Steens Act), the Bureau of Land landscape level. Management measures Springs, CA 92258, telephone (760) Management (BLM) is initiating shall include the use of natural and 251–4800/ BLM, California State Office, preparation of an Environmental Impact prescribed burning.’’ 2800 Cottage Way, Room W–1834, Statement (EIS) to analyze and Management actions to be analyzed Sacramento, CA 95825, telephone (916) undertake the North Steens Ecosystem will include the following: Seeding of 978–4600. BLM will also announce the Restoration Project (North Steens native species, reduction of western extension of the closure through local Project). juniper (less than 120 yrs old), fencing, media outlets, and by posting a notice DATES: Scoping comments will be and management of wildland fire. with a map of the closed area at the accepted for 15 days following Preliminary issues and management primary access points into the closure. publication of this notice. The North concerns were identified by BLM Steens Project was initially proposed for personnel and through the results of FOR FURTHER INFORMATION CONTACT: initial public scoping. Major issues to be Janaye Byergo, Bureau of Land a smaller geographic area; however, initial scoping with private landowners addressed in the EIS include Management, phone (858) 451–1767 or management of woodlands, vegetation, by e-mail at [email protected]. and interested publics expanded the scope to its current landscape scale. the Steens Mountain Wilderness area, SUPPLEMENTARY INFORMATION: This order Comments received during this scoping Wilderness Study Areas, Wild and effects public lands in San Diego extension will be added to those Scenic Rivers, wildlife habitat, special County, California, thus described: received during previous scoping status species, fire/fuels, recreation, cultural resources, noxious weeds, San Bernardino Meridian (January 5 to February 22, 2005). The results of all scoping will be used as water quality/aquatic resources/ T. 9 S., R. 1 E. fisheries, and social and economic 1 1 1 1 BLM prepares the Draft EIS. Public Section 2, NW ⁄4NW ⁄4, SW ⁄4NW ⁄4, values. The EIS will also consider NW1⁄4SW1⁄4, NE1⁄4SW1⁄4, SE1⁄4SW1⁄4 notice will be provided when the Draft T. 9 S., R. 1 E. EIS becomes available later this year. American Indian traditional practices. An interdisciplinary approach will be Section 11, NE1⁄4 FOR FURTHER INFORMATION CONTACT: For used to develop the EIS in order to T. 9 S., R. 1 E. further information or to have your Section 12, W1⁄2NW1⁄4 consider the variety of resource issues name added to our mailing list, contact and concerns identified. Disciplines Authority: This closure notice is issued North Steens Project EIS Lead, Bureau under the authority of the 43 CFR 8364.1. involved in the project will include (but of Land Management, Burns District not be limited to) those with expertise Violations of this closure are Office, 28910, Highway 20 West, Hines, in management of the aforementioned punishable by a fine not to exceed Oregon 97738; (541) 573–4543; fax (541) resources. $1,000 or imprisonment not to exceed 573–4411; or e-mail 12 months. ([email protected]). Documents Public Participation pertinent to this project may be Persons who are administratively Cooperating agencies having specific examined at the Burns District Office in exempt from the closure contained in expertise or interests in the project will Hines, Oregon, during regular business this notice include: Any Federal, State be invited to participate. The public and hours, 7:45 a.m. to 4:30 p.m., Monday or local officer or employee acting interest groups will have every through Friday, except holidays. within the scope of their duties, opportunity to participate during formal members of any organized rescue or fire- SUPPLEMENTARY INFORMATION: The North comment periods and Steens Mountain fighting force in the performance of an Steens Project is a landscape-level Advisory Council (SMAC) meetings. official duty, and any person holding project proposing to utilize a The SMAC is an advisory group for written authorization from the BLM. combination of western juniper actions affecting the CMPA, including treatments (mechanical and non- this project. Every SMAC meeting Gail Acheson, mechanical methods) and wildland provides an opportunity for public Field Manager, Palm Springs-South Coast (prescribed and natural) fire to treat comments. In addition, public meetings Field Office. fuels and to restore habitat. will be held during the public comment [FR Doc. 05–14315 Filed 7–20–05; 8:45 am] Implementation of the project would period for the Draft EIS. Public meetings BILLING CODE 4310–40–P reduce the increased influence of will be held in Burns, Oregon, and at
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other communities if the level of DEPARTMENT OF THE INTERIOR ACTION: Notice. interest warrants. Early participation is encouraged and will help determine the Bureau of Land Management SUMMARY: Per 30 U.S.C. 188(d), the lessee, NPC, Inc., timely filed a petition future management of the North Steens [NM–910–05–0777–XX] Project area. Meetings and comment for reinstatement of oil and gas lease NDM 89629, Billings County, North deadlines will be announced through Notice of Public Meeting, New Mexico Dakota. NPC, Inc. paid the required the local news media and the Burns Resource Advisory Council Meeting rental accruing from the date of BLM Web site (http://www.or.blm.gov/ AGENCY: Bureau of Land Management, termination, February 1, 2005. Burns/). Written comments will be Department of the Interior. No leases were issued that affect these accepted throughout the planning ACTION: Notice of public meeting. lands. The lessee agrees to new lease process at the address above. Individual terms for rentals and royalties of $10 per respondents may request SUMMARY: In accordance with the acre and 162⁄3 percent or 4 percentages confidentiality. If you wish to withhold Federal Land Policy and Management above the existing competitive royalty your name or street address from public Act and the Federal Advisory rate. The lessee paid the $500 review or from disclosure under the Committee Act of 1972, the U.S. administration fee for the reinstatement Freedom of Information Act, you must Department of the Interior, Bureau of of the lease and $155 cost for publishing state this prominently at the beginning Land Management, New Mexico this notice. of your written comment. Such requests Resource Advisory Council (RAC), will The lessee met the requirements for will be honored to the extent allowed by meet as indicated below. reinstatement of the lease per Sec. 31 (d) law. All submissions from organizations DATES: The Meeting dates are September and (e) of the Mineral Leasing Act of and businesses, and from individuals 22–23, 2005, at the Holiday Inn Express, 1920 (30 U.S.C. 188). We are proposing identifying themselves as 1100 California NE, Socorro, New to reinstate the lease, effective the date representatives or officials of Mexico. An optional field trip is of termination subject to: organizations or businesses, will be planned for September 21, 2005. The • The original terms and conditions available for public inspection in their public comment period is scheduled for of the lease; • entirety. September 21, 2005, from 6–7 p.m. at The increased rental of $10 per the Holiday Inn Express. The public acre; Background Information may present written comments to the • The increased royalty of 162⁄3 RAC. Depending on the number of percent or 4 percentages above the Prior to 1870, western juniper was individuals wishing to comment and existing competitive royalty rate; and limited generally to rocky ridgetops or time available, oral comments may be • The $155 cost of publishing this shallow soil areas with sparse limited. The three established RAC Notice vegetation. Changes in the historic working groups may have a late FOR FURTHER INFORMATION CONTACT: trends are readily apparent within the afternoon or an evening meeting on Karen L. Johnson, Chief, Fluids CMPA. Historically, virtually all plant Thursday, September 22, 2005. communities in the Burns District were Adjudication Section, BLM Montana SUPPLEMENTARY INFORMATION: The 15- State Office, P.O. Box 36800, Billings, subjected to wildland fire occurring on member RAC advises the Secretary of Montana 59107, (406) 896–5098. a variety of frequencies. The resulting the Interior, through the Bureau of Land mosaic of plant communities enhanced Management, on a variety of planning Dated: June 23, 2005. the success and diversity of animal and management issues associated with Karen L. Johnson, species and contributed to the public land management in New Chief, Fluids Adjudication Section. ecological integrity of the entire region. Mexico. All Meetings are open to the [FR Doc. 05–14313 Filed 7–20–05; 8:45 am] In fire-dependent ecosystems, public. At this Meeting, topics include BILLING CODE 4310–$$–P occasional fire is essential to the health issues on renewable and nonrenewable and function of the natural system. The resources. loss of natural disturbance events or at FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF THE INTERIOR Theresa Herrera, New Mexico State least the modification of those events in Bureau of Land Management this area has greatly modified specific Office, Office of External Affairs, Bureau habitats affecting the sensitive species of Land Management, P. O. Box 27115, [WY–040–1430–ES; WYW–134092] living within them. Santa Fe, New Mexico 87502–0115, (505) 438–7517. Recreation and Public Purposes Dated: April 28, 2005. (R&PP) Act Classification, Sweetwater Dated: July 14, 2005. Dana R. Shuford, County, WY Linda S.C. Rundell, Burns District Manager. State Director. AGENCY: Bureau of Land Management, Editorial Note: [FR Doc. 05–14381 Filed 7–20–05; 8:45 am] Interior. This document was received in the Office BILLING CODE 4310–FB–P ACTION: Notice of realty action. of the Federal Register on July 15, 2005. [FR Doc. 05–14312 Filed 7–20–05; 8:45 am] SUMMARY: The Bureau of Land BILLING CODE 4310–$$–P DEPARTMENT OF THE INTERIOR Management (BLM) has examined and found suitable for classification for lease [MT–922–04–1310–FI–P; (NDM 89629)] or conveyance under the provisions of Notice of Proposed Reinstatement of the Recreation and Public Purposes Act, Terminated Oil and Gas Lease NDM approximately 5 acres of public lands in 89629 Sweetwater County, Wyoming. The Ten Mile Water and Sewer District proposes AGENCY: Bureau of Land Management, to use the land for office and warehouse Interior. space for the District.
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DATES: Interested persons may submit has been used for solid waste disposal sustain, vacate, or modify this realty written comments to the BLM at the or for any other purpose which may action. In the absence of any adverse address stated below. Comments must result in the disposal, placement, or comments, the classification will be received by not later than September release of any hazardous substance. become effective 60 days after July 21, 6, 2005. 5. If, at any time, the patentee validly 2005. ADDRESSES: Bureau of Land transfers to another party ownership of (Authority: 43 CFR 2741.5) Management, Rock Springs Field Office, any portion of the land not used for the Dated: June 23, 2005. purpose(s) specified in the application 280 Highway 191 North, Rock Springs, Michael R. Holbert, Wyoming 82901. and the plan of development, the patentee shall pay the Bureau of Land Field Manager. FOR FURTHER INFORMATION CONTACT: Management the fair market value, as [FR Doc. 05–14314 Filed 7–20–05; 8:45 am] Patricia Hamilton, Realty Specialist, at determined by the authorized officer, of BILLING CODE 4310–22–P the above address or at (307) 352–0334. the transferred portion as of the date of SUPPLEMENTARY INFORMATION: The transfer, including the value of any following described public land in improvements thereon. DEPARTMENT OF THE INTERIOR Sweetwater County, Wyoming, has been 6. All valid existing rights of record, Bureau of Land Management examined and found suitable for including those documented on the classification for lease and/or official public land records at the time conveyance under the provisions of the of lease/patent issuance. [WO–310–1310–PB–24 1A] Recreation and Public Purposes (R&PP) Detailed information concerning the Notification To Terminate the Benefits Act, as amended (43 U.S.C. 8890 et seq.) proposed action, including but not of the Royalty Rate Reductions and is hereby classified accordingly: limited to documentation relating to Granted Under the Stripper Well compliance with applicable Sixth Meridian, Wyoming Royalty Reduction Program and environmental and cultural resource T. 20 N., R. 105 W. Request for Comment 1 1 laws, is available for review at the BLM, Sec. 20, SW ⁄4SE ⁄4 Rock Springs Field Office, 280 Highway The land described contains 5.00 acres. AGENCY: Bureau of Land Management, 191 North, Rock Springs, Wyoming Interior. In accordance with the R&PP Act, the 82901, telephone: (307) 352–0334. Ten-Mile Water and Sewer District has On July 21, 2005, the above described SUMMARY: The Bureau of Land filed a R&PP Act petition/application lands will be segregated from all other Management (BLM) is providing the six- and plan of development in which it is forms of appropriation under the public month notification to terminate all proposed to use the above described land laws, including the general mining royalty rate reductions for stripper well public lands for office and warehouse laws, except for lease or conveyance properties under the regulations at 43 space needed by the District. The lands under the Recreation and Public CFR 3103.4–2(b)(4). In addition, BLM is are not needed for Federal purposes. Purposes Act and leasing under the requesting comments on the financial Lease or conveyance pursuant to the mineral leasing laws. conditions under which BLM would R&PP Act is consistent with the Green Interested parties may submit written reestablish the benefit. River Resource Area Management Plan, comments regarding the proposed lease/ DATES: This termination of benefits for dated August 8, 1987, and would be in conveyance or classification of the lands stripper well properties is effective for the public interest. The lease/ to the Field Manager, Rock Springs sales on or after February 1, 2006. Send conveyance, when issued, will be Field Office, at the address stated above your comments to reach BLM on or subject to the following terms, in this notice for that purpose. before August 22, 2005. The BLM will conditions, and reservations: Comments must be received by not later not necessarily consider comments 1. Provisions of the R&PP Act and to than September 6, 2005. received after the above date. all applicable regulations, policy and Classification Comments: Interested including but not limited to the parties may submit comments involving ADDRESSES: Mail: Director (630), Bureau regulations stated in 43 CFR part 2740, the suitability of the land for an office of Land Management, Eastern States guidance of the Secretary of the Interior. building and warehouse facility. Office, 7450 Boston Boulevard, 2. Reservation of a right-of-way to the Comments on the classification are Springfield, Virginia 22153. United States for ditches and canals restricted to whether the land is Personal or messenger delivery: 1620 pursuant to the Act of August 30, 1890, physically suited for the proposal, L Street, NW., Suite 401, Washington, 43 U.S.C. 945. whether the use will maximize the DC 20036. 3. All minerals shall be reserved to future use or uses of the land, whether Direct Internet: http:// the United States, together with the the use is consistent with local planning www.blm.gov.nhp/news/regulatory/ right to prospect for mine, and remove and zoning, or if the use is consistent index.html. the minerals under applicable laws and Internet E-mail: with State and Federal programs. _ regulations established by the Secretary Application Comments: Interested Comments [email protected]. of the Interior. parties may submit comments regarding Federal eRulemaking Portal: http:// 4. Provided, that the land conveyed the specific use proposed in the www/regulations.gov. shall revert to the United States upon a application and plan of development, FOR FURTHER INFORMATION CONTACT: finding, and after notice and whether the Bureau of Land Rudy Baier, Bureau of Land opportunity for a hearing, that the Management followed proper Management, (202) 452–5024 patentee has not substantially administrative procedures in reaching (Commercial or FTS). Persons who use developed the lands in accordance with the decision; or any other factor not a telecommunications device for the the approved plan of development on or directly related to the suitability of the deaf (TDD) may call the Federal before the date five years after the date land for an office building and Information Relay Service (FIRS) at 1– of conveyance. No portion of the land warehouse. 800–877–8339, 24 hours a day, seven shall under any circumstance revert to Any adverse comments will be days a week, except holidays, for the United States if any such portion reviewed by the State Director, who may assistance in reaching Mr. Baier.
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SUPPLEMENTARY INFORMATION: Under 43 royalty reduction program. Please see have included public meetings and CFR 3103.4–2(b)(4), BLM may terminate the ADDRESSES section above for workshops, presentations and meetings the benefits under the stripper well information on where to submit your with interested stakeholders, briefings royalty reduction program upon 6 comments. with the Congressional delegation and month’s notice in the Federal Register Dated: May 13, 2005. State and Jerome county officials, when BLM determines that the average J.O. Ratcliff, newsletter mailings, local and regional oil price has remained above $28 per and press releases, and Web site Acting Assistant Secretary, Land and barrel over a period of 6 consecutive Minerals Management. postings. months (based on the WTI Crude Preceding the formal GMP planning [FR Doc. 05–14100 Filed 7–20–05; 8:45 am] average posted prices and adjusted for process, National Park Service (NPS) inflation using the implicit price BILLING CODE 4310–84–P staff conducted informational meetings deflator for gross national product with about the national monument with 1991 as the base year). The adjusted DEPARTMENT OF THE INTERIOR Japanese American organizations, threshold for the third quarter of community organizations, various calendar year 2004 was $35.97 and for National Park Service governmental entities, potential the fourth quarter $36.16. stakeholder groups, and individuals Based on BLM analysis, the WTI Draft Environmental Impact during the spring, summer and early fall Crude average oil prices exceeded the Statement\General Management Plan, of 2002. Approximately 50 meetings adjusted threshold during the last 6 Minidoka Internment National were held in Idaho, Washington, months. Therefore, as authorized by 43 Monument, Jerome County, ID; Notice Oregon, and Alaska during this time, CFR 3103.4–2, this serves as notice that of Availability and approximately 2,000 people were BLM will terminate the benefits of the contacted. The purpose of these initial stripper well royalty reduction program SUMMARY: Pursuant to 102(2)(C) of the meetings was to help characterize the effective for sales on or after February 1, National Environmental Policy Act of scale and extent of the planning process. 2006. Therefore, beginning on the 1969 (Pub. L. 91–190, as amended), and Thus far the NPS has encouraged the effective date, those properties currently the Council on Environmental Quality public to provide relevant information, receiving relief under section 3103.4–2 Regulations (40 CFR part 1500–1508), issues and concerns during two formal must pay royalty in accordance with the the National Park Service, Department public planning stages. The first stage, royalty rate in the lease or other BLM- of the Interior, has prepared a draft called Scoping, was intended to elicit approved royalty rate reductions. general management plan (GMP) and issues, concerns, and suggestions to be Inherent in our authority to terminate environmental impact statement (DEIS) addressed during the planning process. the benefits of the royalty reduction for Minidoka Internment National Nine public workshops were held in program for stripper wells at a price Monument located in Jerome County, Idaho, Washington, and Oregon in threshold is the authority to reinstate Idaho. In addition to a ‘‘no-action’’ November 2002; per Federal Register the program should prices later fall alternative (which would maintain announcement dated November 19, beneath such a threshold. In the event current management), the DEIS 2002 the scoping period was extended that the new stripper royalty reduction describes and analyzes three ‘‘action’’ an additional 30 days through December regulations are not in effect when prices alternatives which respond to the 31, 2002. Overall 250 people provided again make production uneconomic, concerns and issues of the public comments in workshops, and another BLM proposes to reinstate the identified during the extensive scoping 225 people provided written comments. availability of benefits under the royalty process, as well as conservation The second stage, called Draft reduction program for stripper wells planning requirements. These Alternatives, was intended to present after publication of notice in the Federal alternatives present varying the public with preliminary draft Register. management strategies for resource alternatives and invite comments on It is BLM’s intention to propose new protection and preservation, education these alternatives. These draft regulations to address situations in and interpretation, visitor use and alternatives were developed to address which prices again make marginal facilities, land protection and the specific issues and concerns that production uneconomic. In the time boundaries, and long-term operations were raised by the public during the between when the benefits of the and management of the national Scoping phase. Eleven public program terminate and when the new monument. The potential workshops were held in Idaho, regulations are effective, BLM may environmental consequences of all the Washington, and Oregon in July and reinstate the existing program. alternatives, and mitigation strategies, August 2003 (215 people provided oral BLM proposes to reinstate the are identified and analyzed; a comments in the workshops, and availability of benefits when it determination as to the another 50 people provided written determines that the average oil price has ‘‘environmentally preferred’’ alternative comments). remained below $28 per barrel over a is also provided in the DEIS. Proposed Plan and Alternatives: period of 6 consecutive months (based Scoping: A Notice of Intent Alternative A is the ‘‘no-action’’ on the WTI Crude average posted prices announcing preparation of the DEIS and alternative and would continue current and adjusted for inflation using the general management plan was management practices. This alternative implicit price deflator for gross national published in the Federal Register on would provide general management product with 1991 as the base year). April 24, 2002. Extensive public guidance for incremental and minimal BLM recognizes that the $28 per involvement was deemed necessary for changes in park operations, staffing, barrel trigger was instituted over 12 the success of this planning project, visitor services, and facilities to years ago and conditions since that time given the nature and sensitivity of the accommodate visitors. While the may have changed considerably. national monument’s history, the speed historic resources of the site would Therefore, BLM is requesting comment in which the national monument was continue to be protected, only minor specifically on the financial conditions established, as well as the national additional site work would be under which BLM would reestablish the monument’s remote location. Public anticipated under this alternative. The benefit under the existing stripper well engagement and information measures ‘‘no-action’’ alternative is the baseline
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for evaluating the changes and impacts buildings. There would be minimal new libraries, or can be obtained of the three ‘‘action’’ alternatives. development. electronically via the monument’s Alternative B emphasizes the The preferred alternative would planning Web site at http:// development and extensive use of require congressional legislation to parkplanning.nps.gov/miin. In addition, outreach and partnerships to assist the authorize a boundary expansion to the NPS will conduct public meetings in national monument staff in telling the include areas where barracks Idaho, Washington, and Oregon to Minidoka story to the American people. historically stood in order to reestablish facilitate public review and comment on Off-site visitor education and a complete residential block. the Draft GMP/EIS. At this time, interpretation would be conducted Additionally, the NPS would request meetings are intended to be scheduled through diverse comprehensive congressional legislation to transfer the during the first two weeks of July, 2005. programs developed in cooperation with Minidoka Relocation Center landfill, partners, including school districts, located one mile north of the national Confirmed details on meeting locations, museums, and educational and legacy monument, from the BLM to the NPS. times, etc will be announced via local organizations and institutions. Finally, changing the name to Minidoka and regional news media, will be posted Alternative B would focus on National Historic Site would be on the monument’s planning Web site, identifying off-site facilities for recommended, to be more reflective of or can be obtained by contacting the education and interpretation with the site’s historic value. Superintendent directly. A draft GMP/ minimal new development at the Alternative D proposes several actions EIS newsletter will also be distributed national monument site. Historic that would focus on education and widely. structures within the national interpretation on-site, specifically All written comments must be monument would be adaptively reused through the development of new visitor postmarked or transmitted not later than for visitor and monument functions and facilities. The 9-acre property would be September 19, 2005, and should be used to develop new facilities and to for minimal administrative and submitted to the address noted above (or operational needs. Key historic features provide space for a new national may also be submitted by e-mail to would be delineated, restored, or monument visitor center, education and [email protected]). All comments rehabilitated. On-site education and research functions, along with a new interpretation would be accomplished memorial and garden. On-site education will become part of the public record. If through a range of self-exploratory and interpretation would be individuals submitting comments visitor experiences. accomplished through a wide range of request that their name or address be Alternative C, the ‘‘agency preferred’’ visitor experiences, including withheld from public disclosure, the alternative, emphasizes on-site interaction with a variety of educational request will be honored to the extent education and interpretation and the and interpretive media, participation in allowable by law. Such requests must be extensive treatment and use of cultural creative and self-guided activities, and stated prominently in the beginning of resources in telling the Minidoka story. limited access of the historic scene. the comments. There also may be On-site education and interpretation Visitor education programs, adaptive circumstances wherein the NPS will would be accomplished through a wide reuse of historic structures for park use, withhold a respondent’s identity as range of visitor experiences, including and the establishment of formal allowable by law. As always: the NPS immersion into the historic scene, partnerships for education and outreach will make available to public inspection interaction with a variety of educational purposes would complement the new all submissions from organizations or and interpretive media and personal construction. Alternative D would focus businesses and from persons identifying services, and participation in creative on sound cultural resource management themselves as representatives or and self-directed activities. Off-site through preservation, restoration, officials of organizations; and visitor education and interpretation rehabilitation, and reconstruction of anonymous comments may not be would be conducted through diverse certain historic features. Several actions considered. programs developed in cooperation with would provide for the protection and partners, including school districts, enhancement of natural and scenic Decision: Following the opportunity museums, and educational and legacy resources. Other actions would establish to review the DEIS/GMP, all comments organizations and institutions. Various administrative and operational received will be carefully considered in preservation techniques would be used capabilities in terms of facilities and preparing the final document. This is to protect and enhance historic staffing. Most national monument staff anticipated to be completed during fall resources, such as delineation, activities would be on-site to manage 2006, and its availability will be stabilization, restoration, rehabilitation, resources and provide for visitor similarly announced in the Federal and reconstruction. These historic understanding and appreciation of the Register and via local and regional press resources would be used for interpretive national monument. However, some off- media. As a delegated EIS, the official purposes to accurately and authentically site educational programs would responsible for the final decision is the convey the history and significance of complement the on-site programs Regional Director, Pacific West Region; the national monument. The through partnerships. subsequently the official responsible for Public Review and Comment: The establishment of one complete implementation would be the residential block in its original location Draft GMP/EIS is now available for Superintendent, Minidoka Internment and configuration would be the public review. Interested persons and National Monument. cornerstone of interpretive services and organizations wishing to express any facilities at the national monument, new concerns or provide additional Dated: April 15, 2005. essential for understanding and information are encouraged to obtain Patricia L. Neubacher, appreciation of the incarceration the document by contacting the Acting Regional Director, Pacific West Region. Superintendent, Minidoka Internment experience and the significance of the [FR Doc. 05–14354 Filed 7–20–05; 8:45 am] national monument. A visitor contact National Monument, P.O. Box 570, facility and maintenance area would be Hagerman, Idaho 83332–0570, or via BILLING CODE 4312–DC–P developed at the national monument by telephone at (208) 837–4793. The draft adaptively reusing existing historic document may also be reviewed at area
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DEPARTMENT OF THE INTERIOR Our practice is to make comments, quality or the reliability of supply to including names and home addresses of downstream users during the 3–5 year National Park Service respondents, available for public dam removal impact period, which the review. Individual respondents may 1996 Implementation EIS proposed Notice of Availability of the Draft request that we withhold their home mitigating through a series of specific General Management Plan and Draft address from the record, which we will measures (see below). However, since Environmental Impact Statement for honor to the extent allowable by law. 1996, when the Record of Decision was the Niobrara National Scenic River, NE There may also be circumstances where signed, new research and changes AGENCY: National Park Service, Interior. we would withhold from the record a unrelated to the project have respondent’s identity, as allowable by necessitated re-analysis of these ACTION: Notice. law. If you wish us to withhold your measures. The primary purpose of this SUMMARY: Pursuant to section 102(2)(C) name and/or address, you must state supplemental EIS (SEIS) is to analyze of the National Environmental Policy this prominently at the beginning of the potential impacts of a new set of Act of 1969, the National Park Service your comment. However, we will not water quality and supply related (NPS) announces the availability of the consider anonymous comments. We mitigation measures. draft general management plan and will make all submissions from Background: Elwha Dam was built on environmental impact statement (GMP/ organizations or businesses, and from the Elwha River in 1911 and Glines EIS) for the Niobrara National Scenic individuals identifying themselves as Canyon Dam in 1925, limiting anadromous fish to the lowest 4.9 miles River (Scenic River). representatives or officials or of river and blocking access to more DATES: The GMP/EIS will remain organizations or businesses, available for public inspection in their entirety. than 70 miles of Elwha River mainstem available for public review for 60 days and tributary habitat. The two dams and following the publishing of the notice of Dated: April 29, 2005. their associated reservoirs have also availability in the Federal Register by Ernest Quintana, inundated and degraded important the Environmental Protection Agency. Regional Director, Midwest Region. riverine and terrestrial habitat and Public meetings will be held in the severely affected fisheries habitat cities of Omaha, Valentine, Ainsworth, Editorial Note: This document was received in the Office of the Federal Register through increased temperatures, and Lincoln, Nebraska. Meeting places on July 18, 2005. reduced nutrients, the absence of and times will be announced by the spawning gravels downstream and other [FR Doc. 05–14352 Filed 7–20–05; 8:45 am] local media. changes. Consequently, salmon and ADDRESSES: Copies of the GMP/EIS are BILLING CODE 4312–BM–P steelhead populations in the river have available by request by writing to the been considerably reduced or superintendent at Niobrara National DEPARTMENT OF THE INTERIOR eliminated, and the Elwha River Scenic River, P.O. Box 591, O’Neill, ecosystem within Olympic National Nebraska 68763; by telephoning the National Park Service Park significantly and adversely altered. park office at (402) 336–3970; or by e- In 1992, Congress enacted the Elwha mail, [email protected]. The Final Supplemental Environmental River Ecosystem and Fisheries document is also available to be picked Impact Statement for the Elwha Restoration Act (Pub. L. 102–495) up in person at the Scenic River’s Ecosystem Restoration directing the Secretary of the Interior to offices in O’Neill and Valentine. Finally, Implementation Final Environmental fully restore the Elwha River ecosystem the document can be found on the Impact Statement Olympic National and native anadromous fisheries but Internet at the NPS Planning, Park, Clallam County, WA; Notice of also protecting municipal and industrial Environment, and Public Comment Availability water users from the possible adverse (PEPC) Web site at: http:// impacts of dam removal. As noted parkplanning.nps.gov/publicHome.cfm. Summary: Pursuant to section above, the decisions associated with this This Web site allows the public to 102(2)(c) of the National Environmental process indicated removal of both dams review and comment directly on this Policy Act of 1969 (Pub. L. 91–190, as was needed to fully restore the document. amended) and corresponding Council of ecosystem. Impacts to water quality will Environmental Quality implementing result from the release of sediment FOR FURTHER INFORMATION CONTACT: regulations (40 CFR part 1500–1508), which has accumulated behind the Superintendent, Niobrara National the National Park Service, Department dams. Impacts to water supply will Scenic River, P.O. Box 591, O’Neill, of the Interior and its cooperating result from the release of fine sediment Nebraska 68763. agencies have finalized a supplement to (i.e., silts and clays). These sediments SUPPLEMENTARY INFORMATION: The the Elwha River Ecosystem Restoration can reduce yield by clogging the gravel Scenic River is an area of the national Implementation final environmental that overlays subsurface intakes during park system. The Scenic River extends impact statement (1996 Implementation periods of high turbidities. Increases in 76 miles in Nebraska between the EIS). Two dams built in the early 1900s flooding or flood stage are also a likely Borman Bridge southeast of Valentine to block the Elwha River and substantially result of dam removal, as sediments the Nebraska Highway 137 bridge north limit anadromous fish passage. A 1996 would replenish and raise the existing of Newport. Implementation EIS (second of two EISs riverbed back to its pre-dam condition. The GMP/EIS describes and analyzes that examined how best to restore the The 1996 Implementation EIS the environmental impacts of the Elwha River ecosystem and native proposed and analyzed numerous proposed management action and one anadromous fishery in Olympic mitigation and flood controll measures other action alternative for the future National Park) identified dam removal to protect quality and ensure supply for management direction of the park, and as the preferred option and identified a each of the downstream users, which the environmental impacts of the particular set of actions to remove the included: boundary alternatives. A no-action dams. The release of sediment from • The installation of an infiltration management alternative is also behind the dams would result in gallery to collect water filtered from the evaluated. sometimes severe impacts to water riverbed;
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• Open channel treatment of this project and its alternatives, the SEIS sediment removal facility during and for water for industrial customers; only analyzed the most preferable a period of time following dam removal, • Closure of the state chinook rearing feasible alternative for mitigating and subsequently from the city’s channel during and for years following impacts to water quality and supply in existing Ranney collector. dam removal, with chinook production some cases. This is true of the facilities • Flood protection of the Dry Creek transferred to another state facility; that would supply treated water for Water Association’s existing wellfield. • The installation of a second industrial, hatchery and municipal use. • Connecting the Elwha Heights subsurface Ranney collector on the When several options with relatively Water Association to the Dry Creek opposite shore to maintain yield during equal value in protecting users from Water Association water delivery meander away from the existing impacts to water quality or from system to protect water quality of Elwha collector; flooding were available, each was • Heights water users. A temporary package treatment analyzed in the SEIS. These include • Relocation of the tribal hatchery to plant to filter water from the Ranney maintaining water quality for Dry Creek the Halberd parcel on Lower Elwha wells during dam removal; Water Association and Elwha Heights Klallam Tribal land, with water • Expansion of the tribal hatchery homeowners, upgrading the tribal supplied from the Elwha Water and of its infiltration gallery and drilling hatchery, treating tribal wastewater, and Treatment Plant during the sediment of groundwater wells to facilitate providing flood protection mitigation release impact period. protection and production of Elwha for the tribal and other residents along • Keeping the state chinook rearing anadromous fish for restoration, and; the river. A discussion of alternatives • On-site flood protection for the Dry channel open during dam removal with for industrial, hatchery and municipal water from the Elwha Water Treatment Creek Water Association wellfield, or use that were not selected for analysis, connection of these users to the Point Plant during the sediment release and rationales for not carrying them impact period and creating a rearing Angeles water system; further, is provided in the SEIS • The development of a mounded pond on nearby Morse Creek as an (Chapt.2) and in the Elwha River Water additional rearing location for use septic system on the Lower Elwha Quality Mitigation Project Planning Klallam Reservation; and during dam removal. Report (available at http://www.nps.gov/ • • Strengthening and extension of the Raising the federal levee an average olym/elwha/home.htm). of 3.3 feet (as compared to 2.5 feet in the federal levee and other smaller levees As documented in the Draft and Final 1996 Implementation EIS) and armoring and flood control structures. SEIS, the proposal is deemed to be the with rock riprap where needed. The Continued study by the cooperating ‘‘environmentally preferred’’ alternative; federal levee would be extended both agencies since the 1996 Implementation and it includes the following: EIS was finalized revealed the potential • The use of surface water rather than north and south to provide additional for unforeseen difficulties with some of a subsurface infiltration gallery and protection from flooding following dam the mitigation facilities, and identified additional Ranney well to supply the removal. The northward extension different measures from those analyzed city’s municipal and industrial would be 450 feet in length; the to resolve these difficulties. Further customers, the tribal hatchery and the southward extension would be a 1,650- refining of the expected flood stage state chinook rearing channel. This foot route south and southeast across following the restoring of riverbed change is intended to prevent the Halberd property. This route sediments also showed it would be ‘‘blinding’’, which research after 1996 includes use (raising and strengthening) higher in some areas of the river and found was likely to occur in any kind of an existing levee haul road. A second lower in others than the original of subsurface water collecting facility. levee across the river would also be modeling predicted. In addition, Blinding clogs and effectively seals the raised. • changes in user needs resulting from surface with fine sediment for a period A series of small-scale flood factors unrelated to the project required of time, and can substantially reduce protection measures, such as raising a new look at some of the mitigation water yield. wellheads, dikes, roads or property to measures. For example, chinook salmon • Removal of the existing rock dam protect private citizens and existing and bull trout have both been listed as and intake structure that currently facilities (Ranney collector, state WDFW threatened since 1997, resulting in the supplies the city’s industrial customers, fish-rearing facility, etc.) would be built. requirement to keep the state rearing and replacement with a graded fish Most are similar or identical to those facility open during dam removal. Also, riffle and weir structure to pass fish already analyzed in the 1996 the city of Port Angeles must now meet (‘‘Elwha Water Surface Intake’’ in the Implementation EIS. new standards for the treatment of its SEIS) and pool water. The existing • Providing an on-reservation municipal supplies. In addition, an intake will be replaced. wastewater collection and treatment industrial customer (Rayonier) which • A sediment removal facility system to handle wastewater generated required very high quality water for its (‘‘Elwha Water Treatment Facility’’ in on the Lower Elwha Klallam Tribe’s operation has since closed. The low- the SEIS) built in the location of the reservation. lying lands of the Reservation have also existing industrial treatment channel on • Sections removed from Glines Dam been developed to such a degree since the east bank of the river, which will would be transported to a private 1996 that a small mounded septic receive water for treatment from the facility to be crushed and recycled if system would not be adequate. weir and intake described above. This economics indicate this would be Proposal and Alternatives: The 1996 facility will supply industrial advantageous. If not, concrete would be Implementation EIS focused on dam customers, and also at times a new disposed of in open pit mines and other removal and sediment management and water treatment facility during the 3–5 locations evaluated in the 1996 analyzed two action alternatives; it was year dam removal impact period. Implementation EIS. tiered to an earlier programmatic EIS, • A new permanent water treatment • A trail, overlook and chemical toilet which examined four options and a ‘‘no facility in Port Angeles (‘‘Port Angeles available to all (including disabled) action’’ alternative for restoring the Water Treatment Facility’’ in the SEIS) visitors would be built to observe the Elwha River ecosystem. Due to this adjacent to the city’s existing landfill removal of Elwha Dam and offer future extensive consideration of the overall area, which will receive water from the interpretive opportunities.
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• Property and/or conservation on the decision of a preferred the final SEIS, they should send them in easements would be purchased to offset alternative, but which add to the writing to Dr. Brian Winter, Elwha impacts of dam removal to trumpeter completeness of the final SEIS, was Project Manager, at 826 East Front swans. suggested by the third tribal individual. Street, Ste.A, Port Angeles, WA 98362; Each of these facilities is funded The city of Port Angeles’ comments telephone inquires may be directed to wholly or in part by the federal were wide ranging: some requested (360) 565–1320. Faxed or electronic government to the extent that they additional clarification on measures to transmittals will be accept also provide mitigation from the effects of mitigate impacts (to industrial users, for (electronic comments should be sent to dam removal. Additional funding may example); others mentioned permitting [email protected], and faxes may be provided by homeowners groups or and final clearances that would be be sent to (360) 565–1325). If by other interested parties if protection required from the city; some asked for substantive new information is or improvement beyond that resulting additional impact information, such as submitted that both (1) could not have directly from dam removal is desired. to Orca whales, socioeconomics, and been raised during scoping or the The No Action alternative is the same current traffic conditions; and others review of the draft SEIS and (2) that has alternative as was discussed in the 1996 debated accuracy of statements in the bearing on the selection of the preferred Implementation EIS; that is, no dam draft SEIS. Although additional impact mitigation alternative, the NPS will removal would take place. Because the information and clarity on mitigation consider such information. dams would remain, water and flooding measures has been added where NPS Respondents are reminded that mitigation would not be needed. felt it was incomplete or would be Public Response to Draft SEIS: The decisions or facts in the 1996 helpful, no changes to the preferred Implementation EIS are not subject to draft SEIS was released for public alternative were necessitated as a result review and comment in January 2005. public review at this time. If any of the city’s comments. Mr. Busch asked persons or organizations choose to Comments were received until March for additional information to be added 15, 2005. The NPS received 8 letters and respond, please include name and to the description and impacts of the No address (note that names and addresses an Enviromental Protection Agency Action alternative, as well as to the (EPA) evaluation of LO, or lack of of commenters become part of the impacts of the preferred alternative. The public record). If individuals objections (also noticed in the Federal added information would not affect Register on April 8, 2005). Commenters commenting request that their name or/ selection of the preferred alternative or and address be withheld from public included the Washington Department of alter it in any way. American Ecology, Washington Department of disclosure, it will be honored to the Whitewater asked that the safety of the extent allowable by law. Such requests Natural Resources, the Lower Elwha new surface diversion facility (the must be stated prominently in the Klallam Tribe, the city of Port Angeles, Elwha Surface Water Intake) be beginning of the comments. There also Dry Creek Water Association, Inc., evaluated so that access for recreational may be circumstances wherein the NPS American Whitewater, Trout Unlimited, uses would be maintained along the will withhold from the record a and Mr. Russ Busch, Tribal Attorney. entire river, and Trout Unlimited respondent’s identity, as allowable by Synopsis of Comments and Changes indicated support for several of the law. As always: the NPS will make in Final SEIS: The state agencies features of the preferred alternative. The available to public inspection all primarily reminded the NPS that diversion would be able to pass kayaks submissions from organizations or various permits to begin dam removal and other craft safely, and signs to businesses and from persons identifying would be required. Three individuals indicate any hazard areas would be used from the Tribe submitted requests for to direct recreational users. themselves as representatives or changed language reflecting updates Distribution of Final SEIS: Those who officials of organizations and since the draft SEIS was released. commented during the review period on businesses; and, anonymous comments Because the Tribe and city of Port the draft SEIS will receive a complete may not be considered. Angeles have been unable to reach a final SEIS document, as will agencies As a delegated EIS, the official final agreement on the acceptance of and others on the park mailing list (as responsible for the final decision is the tribal wastewater to the city’s treatment noted in chapter 5 of the final SEIS). Regional Director, Pacific West Region. facility, a second alternative was added. Others may request a paper copy of the Subsequently the official responsible for This alternative would be located on final SEIS, a CD of the final SEIS and/ implementing the selected mitigation tribal land and would use a membrane or a CD of the full 1996 Implementation alternative is the Superintendent, bio-reactor technology and constructed EIS which the subject document Olympic National Park. wetland to treat wastewater and supplements. Please specify which of Dated: June 3, 2005. minimize impact of any effluent. these documents/CDs is desired when Patricia L. Neubacher, Effluent would be allowed to infiltrate contacting the Elwha Project Acting Regional Director, Pacific West Region. into soil underlying the wetland, or Management Office. Finally, both the would be released into the Elwha River. final SEIS and 1996 Implementation EIS [FR Doc. 05–14353 Filed 7–20–05; 8:45 am] This is the preferred alternative, rather will be posted on the Elwha project Web BILLING CODE 4312–KY–P than connecting to the city of Port site at http://www.nps.gov/olym/elwha/ Angeles’ wastewater treatment facility. home.htm. DEPARTMENT OF THE INTERIOR The Tribe has also evaluated two Decision Process: Following release of different alignments for extending the the final SEIS the NPS will wait for a National Park Service federal levee to the south that would minimum period of at least 30 days better mitigate impacts from flooding at from the date this notice is published in General Management Plan and this end of the reservation. These have the Federal Register before making a Environmental Impact Statement, been added to the text of the final SEIS, final decision on which mitigation Lincoln Home National Historic Site, although the preferred alternative is one facilities it will select. Therefore if there Illinois that was analyzed in the draft SEIS. are interested persons or organizations Additional information on fisheries and wishing to express any remaining AGENCY: National Park Service, vegetation issues that have no bearing concerns or comments on the content of Department of the Interior.
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ACTION: Notice of intent to prepare an publicHome.cfm), or by contacting the DEPARTMENT OF THE INTERIOR environmental impact statement for the Superintendent. general management plan, Lincoln National Park Service Home National Historic Site. ADDRESSES: Information on the planning process and copies of newsletters will Notice of Intent To Prepare a Draft SUMMARY: Pursuant to the National be available from the office of the Environmental Impact Statement (EIS) Environmental Policy Act of 1969, 42 Superintendent, 413 South Eighth for the General Management Plan for U.S.C. 4332(C), the National Park Street, Springfield, IL 62701–1905. Little River Canyon National Preserve, Service is preparing an environmental AL FOR FURTHER INFORMATION CONTACT: impact statement for a general AGENCY: National Park Service, Interior. management plan for Lincoln Home Acting Superintendent, Lincoln Home National Historic Site (LIHO). The National Historic Site, 413 South Eighth ACTION: Notice. environmental impact statement will be Street, Springfield, IL 62701–1905. 217– 492–4241. SUMMARY: Pursuant to section 102(2)(C) approved by the Director, Midwest of the National Environmental Policy Region. SUPPLEMENTARY INFORMATION: If you Act of 1969, National Park Service The general management plan will wish to comment on any issues (NPS) policy in Director’s Order prescribe the resource conditions and associated with the plan, you may Number 2 (Park Planning) and Director’s visitor experiences that are to be submit your comments by any one of Order Number 12 (Conservation achieved and maintained at LIHO over several methods. You may mail Planning, Environmental Impact the next 15 to 20 years. The clarification comments to Lincoln Home National Analysis, and Decisionmaking), the NPS of what must be achieved according to Historic Site, 413 South Eighth Street, will prepare an EIS for the General law and policy will be based on review Springfield, IL 62701–1905. You may Management Plan (GMP) for Little River of the site’s purpose, significance, also comment via e-mail to Canyon National Preserve. The special mandates, and the body of laws [email protected]. Please authority for publishing this notice is and policies directing park contained in 40 CFR 1506.6. management. Based on determinations submit e-mail comments as a text file avoiding the use of special characters The NPS will conduct public scoping of desired conditions, the general meetings in the local area to receive management plan will outline the kinds and any form of encryption. Be sure to include your name and return street input from interested parties on issues, of resource management activities, concerns, and suggestions pertinent to address in your Internet message. You visitor activities, and development that the management of Little River Canyon may provide comments electronically would be appropriate in the future. A National Preserve. Suggestions and range of reasonable management by entering them into the PEPC Web site ideas for managing cultural and natural alternatives will be developed through at the address above. Finally, you may resource conditions and visitor this planning process and will include, hand-deliver comments to 413 South experiences at the national preserve are at a minimum, no action and the Eighth Street in Springfield, IL. encouraged. The comment period for preferred alternative. Our practice is to make comments, each of these meetings will be Major issues to be addressed in the including names and home addresses of announced at the meetings and will be plan include: Issues surrounding respondents, available for public review published on the GMP web site for Little preserving park resources (such as during regular business hours. River Canyon National Preserve at developing management strategies to Individual respondents may request that http://www.nps.gov/sero/planning/ preserve and maintain historic we withhold their home address from liri_gmp/liri_info.htm. structures and cultural landscapes and the record, which we will honor to the DATES: Locations, dates, and times of protect archaeological sites in the face of extent allowable by law. There also may public scoping meetings will be a predicted increase in visitation); be circumstances in which we would published in local newspapers and may issues surrounding visitor withhold from the record a respondent’s also be obtained by calling Little River understanding, education and identity, as allowable by law. If you Canyon National Preserve. This appreciation of park resources (such as information will also be published on enhancing and expanding meaningful wish us to withhold your address, you must state this prominently at the the GMP Web site for Little River visitor experiences as alternatives to the Canyon National Preserve. LIHO tour); and, issues surrounding beginning of your comment. We will ADDRESSES: Scoping suggestions should organizational effectiveness (such as make all submissions from be submitted to the following address to identifying potential partnerships with organizations or businesses, and from ensure adequate consideration by the the city of Springfield, the Abraham individuals identifying themselves as NPS: Superintendent, Little River Lincoln Presidential Library and representatives or officials of Canyon National Preserve, 2141 Gault Museum and others). organizations or businesses, available for public inspection in their entirety. Avenue North, Fort Payne, Alabama Dates: Any comments on the scope of 35967. issues to be addressed in the EIS should Dated: June 8, 2005. FOR FURTHER INFORMATION CONTACT: be received no later than November 15. Ernest Quintana, Public meetings regarding the general Superintendent, Little River Canyon Regional Director, Midwest Region. management plan will be held during National Preserve, (256) 845–9605. [FR Doc. 05–14355 Filed 7–20–05; 8:45 am] the scoping period. Specific dates, SUPPLEMENTARY INFORMATION: The NPS times, and locations will be made BILLING CODE 4312–BM–P has announced that an EIS on GMPs available in the local media, on the will be prepared for all park units. To LIHO Web site (http://www.nps.gov/ comply with this policy, a formal liho), on the National Park Service scoping period is announced. Planning, Environment and Public Comments are invited on any issue Comment (PEPC) Web site believed to be relevant to the (parkplanning.nps.gov/ management of Little River Canyon
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National Preserve and should be development of the park, including but addressing the problems affecting the submitted to the Superintendent whose not limited to the acquisition of lands San Francisco Bay-Sacramento-San address is given above. Public scoping and interests in lands (including Joaquin Delta Estuary, Public Law 108– meetings will be held in the local area conservation easements on islands) and 361, and other applicable law. Specific and the dates and times may be termination of rights of use and responsibilities of the Committee obtained from local newspapers or by occupancy. include: (1) Making recommendations calling Little River Canyon National The meeting will convene at the on annual priorities and coordination of Preserve. We urge that comments and Schooner Club, Schoodic Education and Program actions to achieve balanced suggestions be made in writing. Research Center, Acadia National Park, implementation of the Program The plan will identify desired future Winter Harbor, Maine, at 1 p.m. to elements; (2) providing conditions for cultural and natural consider the following agenda: recommendations on effective resources and visitor experiences for 1. Review and approval of minutes integration of Program elements to various management zones within Little from the meeting held June 6, 2005. River Canyon National Preserve. Central 2. Committee reports: provide continuous, balanced to these desired future conditions is the —Land Conservation. improvement of each of the Program determination of the national preserve’s —Park Use. objectives (ecosystem restoration, water mission, purpose, and significance. A —Science and Education. quality, levee system integrity, and draft GMP/EIS will be prepared and —Historic. water supply reliability); (3) evaluating presented to the public for review and 3. Old business. implementation of Program actions, comment, followed by preparation and 4. Superintendent’s report. including assessment of Program area availability of the final GMP/EIS. 5. Public comments. performance; (4) reviewing and making Our practice is to make comments, 6. Proposed agenda for next recommendations on Program Plans and including names and addresses of Commission meeting, February 5, 2005. Annual Reports describing respondents, available for public review The meeting is open to the public. implementation of Program elements as during regular business hours. If you Interested persons may make oral/ set forth in the ROD to the Secretary; (5) wish for us to withhold your name and/ written presentations to the Commission recommending Program actions taking or address, you must state this or file written statements. Such requests into account recommendations from the prominently at the beginning of your should be made to the Superintendent Committee’s subcommittees; and (6) comment. However, we will not at least seven days prior to the meeting. liaison between the Committee’s consider anonymous comments. We Further information concerning this subcommittees, the State and Federal meeting may be obtained from the will make all submissions from agencies, the Secretary, and the Superintendent, Acadia National Park, organizations or businesses, and from Governor. individuals identifying themselves as P.O. Box 177, Bar Harbor, Maine 04609, representatives or officials of tel: (207) 288–3338. The Committee consists of 20 to 30 members who are appointed by the organizations or businesses, available Dated: June 24, 2005. Secretary, in consultation with the for public inspection in their entirety. Sheridan Steele, The responsible official for this EIS is Governor. Superintendent. Patricia A. Hooks, Regional Director, Southeast Region, National Park [FR Doc. 05–14351 Filed 7–20–05; 8:45 am] FOR FURTHER INFORMATION CONTACT: Service, 100 Alabama Street SW., 1924 BILLING CODE 4312–52–M Diane Buzzard, CALFED Program Building, Atlanta, Georgia 30303. Manager, Bureau of Reclamation, 2800 Cottage Way, Sacremento, California Dated: May 11, 2005. DEPARTMENT OF THE INTERIOR 95821–1898, telephone 916–978–5525. Patricia A. Hooks, Regional Director, Southeast Region. Bureau of Reclamation The certification of Charter renewal is [FR Doc. 05–14350 Filed 7–20–05; 8:45 am] published below: California Bay-Delta Public Advisory BILLING CODE 4312–KC–P Committee Charter Renewal Certification AGENCY: Bureau of Reclamation, I hereby certify that Charter renewal DEPARTMENT OF THE INTERIOR Interior. of the California Bay-Delta Public ACTION: Notice of renewal. Advisory Committee is in the public National Park Service interest in connection with the SUMMARY: This notice is published in Acadia National Park, Bar Harbor, ME, performance of duties imposed on the accordance with Section 9(a)(2) of the Acadia National Park Advisory Department of the Interior. Federal Advisory Committee Act of Commission; Notice of Meeting 1972 (Pub. L. 92–463). Following Gale A. Norton, Notice is hereby given in accordance consultation with the General Services Secretary of the Interior. with the Federal Advisory Committee Administration, notice is hereby given [FR Doc. 05–14438 Filed 7–20–05; 8:45 am] Act (Pub. L. 92–463, 86 Stat. 770, 5 that the Secretary of the Interior BILLING CODE 4310–MN–M U.S.C. App. 1, Sec. 10), that the Acadia (Secretary) is renewing the charter for National Park Advisory Commission the California Bay-Delta Public will hold a meeting on Monday, Advisory Committee (Committee). The September 12, 2005. purpose of the Committee is to provide The Commission was established advice and recommendations to the pursuant to Public Law 99–420, Sec. Secretary on implementation of the 103. The purpose of the commission is CALFED Bay-Delta Program (Program) to consult with the Secretary of the as described in the Programmatic Interior, or his designee, on matters Record of Decision which outlines the relating to the management and long-term comprehensive solution for
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INTERNATIONAL TRADE DEPARTMENT OF LABOR at 41 CFR part 60–741. The regulations COMMISSION implementing VEVRAA are found at 41 Employment Standards Administration CFR part 60–250. The regulations require contractors to develop and [Investigation No. AA1921–129 (Second Proposed Collection; Comment Review)] maintain Affirmative Action Programs Request (AAP). OFCCP reviews these AAPs through its compliance evaluation Polychloroprene Rubber from Japan ACTION: Notice. process. The Supply and Service Determination SUMMARY: The Department of Labor, as Scheduling Letter provides the part of its continuing effort to reduce contractor notice of its selection for a 1 On the basis of the record developed paperwork and respondent burden, compliance evaluation and requests the in the subject five-year review, the conducts a preclearance consultation submission of its Affirmative Action United States International Trade program to provide the general public Programs and supporting Commission (Commission) determines, and Federal agencies with an documentation. The supporting pursuant to section 751(c) of the Tariff opportunity to comment on proposed documentation includes compensation Act of 1930 (19 U.S.C. 1675(c)) (the and/or continuing collections of data (Itemized Listing question number Act), that revocation of the antidumping information in accordance with the 11). OFCCP uses the Item 11 data purely finding on polychloroprene rubber from Paperwork Reduction Act of 1995 to determine whether OFCCP should Japan would be likely to lead to (PRA95) [44 U.S.C. 3506(c)(2)(A)]. This investigate a contractor’s compensation continuation or recurrence of material program helps to ensure that requested practices further, as a means of targeting injury to an industry in the United data can be provided in the desired and allocating the agency’s investigative States within a reasonably foreseeable format, reporting burden (time and resources. OFCCP is not using Item 11 time.23 financial resources) is minimized, data to make any kind of determination collection instruments are clearly of whether a violation has occurred. Background understood, and the impact of collection OFCCP only determines that a violation requirements on respondents can be has occurred based on careful The Commission instituted this properly assessed. Currently, the investigation of a contractor’s review on July 1, 2004 (69 FR 39961) Employment Standards Administration compensation practices, which would and determined on October 4, 2004 that is soliciting comments concerning the require examination of much more it would conduct a full review (69 FR proposed collection: Office of Federal detailed compensation and personnel 61403, October 18, 2004). Notice of the Contract Compliance Programs data. With respect to assessing whether scheduling of the Commission’s review Recordkeeping and Reporting the contractor has engaged in systemic and of a public hearing to be held in Requirements, Supply and Service. A discrimination (i.e., pattern or practice connection therewith was given by copy of the proposed information discrimination under a disparate posting copies of the notice in the Office collection request can be obtained by treatment and/or disparate impact of the Secretary, U.S. International contacting the office listed below in the theory), OFCCP conducts multiple Trade Commission, Washington, DC, addresses section of this notice. regression analyses and/or examines cohorts to assess whether there is a and by publishing the notice in the DATES: Written comments must be Federal Register on December 30, 2004 submitted to the office listed in the pattern of compensation disparities. In (69 FR 78474). The hearing was held in addresses section below on or before assessing whether to make a finding of Washington, DC, on May 3, 2005, and September 19, 2005. systemic compensation discrimination, OFCCP looks not only at statistically- all persons who requested the ADDRESSES: Ms. Hazel M. Bell, U.S. significant compensation disparities, opportunity were permitted to appear in Department of Labor, 200 Constitution but also at evidence of how the person or by counsel. Ave., NW., Room S–3201, Washington, statistical pattern of pay disparities The Commission transmitted its DC 20210, telephone (202) 693–0418, affects individual employees within the determination in this review to the fax (202) 693–1451, e-mail contractor’s workplace, and other Secretary of Commerce on June 27, [email protected]. Please use only one anecdotal evidence. OFCCP has found 2005. The views of the Commission are method of transmission for comments this approach effective in determining contained in USITC Publication 3786 (mail, fax, or e-mail). whether systemic compensation (June 2005), entitled Polychloroprene SUPPLEMENTARY INFORMATION: discrimination exists, convincing a I. Background: The Office of Federal Rubber from Japan: Investigation No. contractor to conciliate based on Contract Compliance Programs (OFCCP) AA1921–129 (Second Review). OFCCP’s findings, and creating a is responsible for the administration of credible threat of enforcement litigation. Issued: July 15, 2005. three equal opportunity programs In light of this limited use of the Item By order of the Commission. prohibiting employment discrimination 11 data, OFCCP concludes that the data, Marilyn R. Abbott, and requiring affirmative action. The while clearly not sufficient to make a Secretary to the Commission. OFCCP administers Executive Order determination of a violation, is and has [FR Doc. 05–14325 Filed 7–20–05; 8:45 am] 11246, as amended; Section 503 of the been effective in allowing OFCCP to Rehabilitation Act of 1973, as amended; BILLING CODE 7020–02–P allocate the agency’s investigative and the affirmative action provisions of resources. the Vietnam Era Veterans’ Readjustment Further, OFCCP implemented new Assistance Act of 1974, as amended Active Case Management (ACM) (VEVRAA), 38 U.S.C. 4212. The procedures that are used in connection 1 The record is defined in section 207.2(f) of the regulations implementing the Executive with Desk Audit Reviews and Closures. Commission’s Rules of Practice and Procedure (19 Order program are found at 41 CFR The goal of ACM is to concentrate CFR 207.2(f)). parts 60–1, 60–2, 60–3, 60–4, 60–20, 60– agency resources on identifying and 2 Vice Chairman Okun and Commissioner 30, 60–40, and 60–50. The regulations remedying cases of systemic Hillman dissenting. implementing Section 503 are published discrimination and to quickly and
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efficiently close out reviews where there Total Burden Cost (operating/ least twice the minimum capacity for a are no indicators of systemic maintenance): $110,607. portable fire extinguisher in 30 CFR discrimination present. Under ACM Comments submitted in response to 75.1100–1(e). The petitioner asserts that procedures, only cases producing this notice will be summarized and/or the proposed alternative method will indicators of potential systemic included in the request for Office of not result in a diminution of safety to discrimination (defined as potential Management and Budget approval of the the miners and that the proposed affected classes of 10 or more information collection request; they will alternative method would provide at applicants/workers) should proceed also become a matter of public record. least the same measure of protection as beyond the desk audit phase. These Dated: July 14, 2005. the existing standard. ACM procedures limit the amount of Bruce Bohanon, burden on Federal contractors to supply 3. Genwal Resources, Inc. Chief, Branch of Management Review and [Docket No. M–2005–048–C] additional compensation information Internal Control, Division of Financial during the Desk Audit stage of their Management, Office of Management, Genwal Resources, Inc., P.O. Box review. Administration and Planning, Employment 1077, Price, Utah 84501 has filed a II. Review Focus: The Department of Standards Administration. petition to modify the application of 30 Labor is particularly interested in [FR Doc. 05–14383 Filed 7–20–05; 8:45 am] CFR 75.1100–2(e)(2) (Quantity and comments which: • BILLING CODE 4510–CM–P location of firefighting equipment) to its Evaluate whether the proposed South Crandall Canyon Mine (MSHA collection of information is necessary I.D. No. 42–02356) located in Emery for the proper performance of the DEPARTMENT OF LABOR County, Utah. The petitioner requests a functions of the agency, including modification of the existing standard to whether the information will have Mine Safety and Health Administration permit the use of two portable fire practical utility; extinguishers, or one portable fire • Evaluate the accuracy of the Petitions for Modification extinguisher at each temporary agency’s estimate of the burden of the electrical installation, with at least twice proposed collection of information, The following parties have filed the minimum capacity for a portable fire including the validity of the petitions to modify the application of extinguisher in 30 CFR 75.1100–1(e). methodology and assumptions used; existing safety standards under section • Enhance the quality, utility and 101(c) of the Federal Mine Safety and The petitioner asserts that the proposed clarity of the information to be Health Act of 1977. alternative method will not result in a diminution of safety to the miners and collected; and 1. Genwal Resources, Inc. • Minimize the burden of the that the proposed alternative method collection of information on those who [Docket No. M–2005–046–C] would provide at least the same are to respond, including through the Genwal Resources, Inc., P.O. Box measure of protection as the existing use of appropriate automated, 1077, Price, Utah 84501 has filed a standard. electronic, mechanical, or other petition to modify the application of 30 4. Andalex Resources, Inc. technological collection techniques or CFR 75.1100–2(e)(2) (Quantity and other forms of information technology, location of firefighting equipment) to its [Docket No. M–2005–049–C] e.g., permitting electronic submissions Crandall Canyon Mine (MSHA I.D. No. Andalex Resources, Inc., P.O. Box of responses. 42–01715) located in Emery County, 1077, Price, Utah 84501 has filed a III. Current Actions: OFCCP seeks a Utah. The petitioner requests a petition to modify the application of 30 three-year extension to the approval of modification of the existing standard to CFR 75.1100–2(e)(2) (Quantity and the Supply and Service Scheduling permit the use of two portable fire location of firefighting equipment) to its Letter. There is no change in the extinguishers, or one extinguisher at Pinnacle Mine (MSHA I.D. No. 42– substance or method of collection since each temporary electrical installation, 01474) located in Carbon County, Utah. the last OMB approval. OFCCP revised with at least twice the minimum The petitioner requests a modification the burden hour estimates associated capacity for a portable fire extinguisher of the existing standard to permit the with the Supply and Service Scheduling in 30 CFR 75.1100–1(e). The petitioner use of two portable fire extinguishers, or letter based on the responses to a CY asserts that the proposed alternative one portable fire extinguisher at each 2004 Compensation Questionnaire method will not result in a diminution temporary electrical installation, with at report submitted to OMB as part of the of safety to the miners and that the least twice the minimum capacity for a 2004 Information Collection Request proposed alternative method would portable fire extinguisher in 30 CFR extension. provide at least the same measure of 75.1100–1(e). The petitioner asserts that Type of Review: Extension. protection as the existing standard. the proposed alternative method will Agency: Employment Standards not result in a diminution of safety to Administration. 2. West Ridge Resources, Inc. the miners and that the proposed Title: OFCCP Recordkeeping and [Docket No. M–2005–047–C] alternative method would provide at Reporting Requirements, Supply and West Ridge Resources, Inc., P.O. Box least the same measure of protection as Service. 1077, Price, Utah 84501 has filed a the existing standard. OMB Number: 1215–0072. Affected Public: Business or other for- petition to modify the application of 30 5. Andalex Resources, Inc. CFR 75.1100–2(e) (Quantity and profit, not-for-profit institutions. [Docket No. M–2005–050–C] Total Annual responses: 83,462. location of firefighting equipment) to its Frequency: Annually. West Ridge Mine (MSHA I.D. No. 42– Andalex Resources, Inc., P.O. Box Average Time per response: 110 02233) located in Carbon County, Utah. 1077, Price, Utah 84501 has filed a hours. The petitioner requests a modification petition to modify the application of 30 Estimated Total Burden Hours: of the existing standard to permit the CFR 75.1002(a) (Installation of electric 9,223,921. use of two portable fire extinguishers, or equipment and conductors; Total Burden Cost (capital/startup): one portable fire extinguisher at each permissibility) to its Aberdeen Mine $0. temporary electrical installation, with at (MSHA I.D. No. 42–02028) located in
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Carbon County, Utah. The petitioner provide at least the same measure of received in that office on or before requests a modification of the existing protection as the existing standard. August 22, 2005. Copies of these petitions are available for inspection at standard to permit the use of low- 9. Bear Gap Coal Company voltage or battery-powered non- that address. [Docket No. M–2005–053–C] permissible, electronic testing, Dated in Arlington, Virginia this 15th day diagnostic equipment or other Bear Gap Coal Company, P.O. Box 64, of July 2005. equipment within 150 feet of pillar Spring Glen, Pennsylvania 17978 has Rebecca J. Smith, filed a petition to modify the workings, under controlled conditions. Acting Director, Office of Standards, The petitioner asserts that the proposed application of 30 CFR 75.335 Regulations, and Variances. (Construction of seals) to its #6 Slope alternative method will not result in a [FR Doc. 05–14410 Filed 7–20–05; 8:45 am] diminution of safety to the miners and Mine (MSHA I.D. No. 36–09296) located BILLING CODE 4510–43–P that the proposed alternative method in Dauphin County, Pennsylvania. The based on provisions in 30 CFR 75.153 petitioner proposes constructing seals would provide at least the same from wooden materials of moderate size NATIONAL AERONAUTICS AND measure of protection as the existing and weight; designing the seals to SPACE ADMINISTRATION standard. withstand a static horizontal pressure in the range of 10 psi; and installing a [Notice: 05–116] 6. Bear Gap Coal Company sampling tube only in the monkey [Docket No. M–2005–051–C] (higher elevation) seal. The petitioner Notice of Information Collection Under asserts that because of the pitch of OMB Review Bear Gap Coal Company, P.O. Box 64, anthracite veins, concrete blocks are Spring Glen, Pennsylvania 17978 has difficult to use and expose miners to AGENCY: National Aeronautics and filed a petition to modify the safety hazards during transport. The Space Administration (NASA). application of 30 CFR 75.1100–2(a)(2) petitioner cites the low level of ACTION: Notice of information collection (Quantity and location of firefighting explosibility of anthracite coal dust and under OMB review. equipment) to its #6 Slope Mine (MSHA the minimal potential for either an I.D. No. 36–09296) located in Dauphin accumulation of methane in previously SUMMARY: The National Aeronautics and County, Pennsylvania. The petitioner mined pitching veins or an ignition Space Administration, as part of its requests a modification of the existing source in the gob area as justification for continuing effort to reduce paperwork standard to permit the use of portable the proposed 10 psi design criterion. and respondent burden, invites the fire extinguishers only to replace The petitioner asserts that the proposed general public and other Federal existing requirements where rock dust, alternative method would provide at agencies to take this opportunity to water cars, and other water storage least the same measure of protection as comment on proposed and/or equipped with three 10 quart pails is the existing standard. continuing information collections, as not practical. The petitioner proposes to required by the Paperwork Reduction use two portable fire extinguishers near 10. Black Beauty Coal Company Act of 1995 (Pub. L. 104–13, 44 U.S.C. the slope bottom and an additional [Docket No. M–2005–054–C] 3506(c)(2)(A)). portable fire extinguisher within 500 Black Beauty Coal Company, 3609 DATES: All comments should be feet of the working face. The petitioner South Hart Street, Vincennes, Indiana submitted by September 19, 2005. asserts that the proposed alternative 47591 has filed a petition to modify the ADDRESSES: All comments should be method would provide at least the same application of 30 CFR 75.380(d)(5) addressed to Desk Officer for NASA, measure of protection as the existing (Escapeway; bituminous and lignite Office of Information and Regulatory standard. mines) to its Air Quality #1 Mine Affairs, Room 10236, New Executive (MSHA I.D. No. 12–02010) located in 7. Bear Gap Coal Company Office Building, Washington, DC 20503. Knox County, Indiana. The petitioner FOR FURTHER INFORMATION CONTACT: [Docket No. M–2005–052–C] requests a modification of the existing Requests for additional information or standard to permit the continued use of Bear Gap Coal Company, P.O. Box 64, copies of the information collection the existing Escapeway from Unit #1 instrument(s) and instructions should Spring Glen, Pennsylvania 17978 has (1L/MS) number #1 entry at number 56 filed a petition to modify the be directed to Ms. Kathy Shaeffer, crosscut to the Main South (number #7 Acting NASA Reports Officer, NASA application of 30 CFR 75.1400 (Hoisting entry number 61 crosscut) intake Headquarters, 300 E Street, SW., Mail equipment; general) to its #6 Slope Mine Escapeway. The petitioner asserts that Suite 6M70, Washington, DC 20546, (MSHA I.D. No. 36–09296) located in the proposed alternative method would (202) 358–1230, kathleen.shaeffer- Dauphin County, Pennsylvania. The provide at least the same measure of [email protected]. petitioner proposes to use a slope protection as the existing standard. conveyance (gunboat) in transporting SUPPLEMENTARY INFORMATION: persons without installing safety catches Request for Comments or other no less effective devices. The Persons interested in these petitions I. Abstract petitioner would instead operate its man are encouraged to submit comments via The information developed by the cage or steel gunboat with secondary Federal eRulemaking Portal: http:// National Aviation Operations safety connections securely fastened www.regulations.gov; e-mail: zzMSHA- Monitoring Service will be used by around the gunboat, and to the hoisting [email protected]; Fax: (202) 693– NASA Aviation Safety Program rope above the main connecting device, 9441; or Regular Mail/Hand Delivery/ Managers to evaluate the progress of and use hoisting ropes with a factor of Courier: Mine Safety and Health their efforts to improve aviation over the safety in excess of the 4 to 8 to 1 as Administration, Office of Standards, next decade. suggested in the American Standards Regulations, and Variances, 1100 Specifications for the use of wire ropes Wilson Boulevard, Room 2350, II. Method of Collection in mines. The petitioner asserts that the Arlington, Virginia 22209. All NASA collects this information proposed alternative method would comments must be postmarked or manually.
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III. Data Office of Information and Regulatory collection techniques or the use of other Title: National Aviation Operations Affairs, Room 10236, New Executive forms of information technology. Office Building, Washington, DC 20503. Monitoring Service. Patricia L. Dunnington, OMB Number: 2700–0099. FOR FURTHER INFORMATION CONTACT: Chief Information Officer. Type of Review: Extension of a Requests for additional information or [FR Doc. 05–14301 Filed 7–20–05; 8:45 am] copies of the information collection currently approved collection. BILLING CODE 7510–13–P Affected Public: Individuals or instrument(s) and instructions should households. be directed to Ms. Kathy Shaeffer, Estimated Number of Respondents: Acting NASA Reports Officer, NASA NATIONAL AERONAUTICS AND 8,000. Headquarters, 300 E Street SW., Mail SPACE ADMINISTRATION Estimated Time per Response: Suite 6M70, Washington, DC 20546 [Notice: 05–114] Approximately 1⁄2 hour. (202) 358–1230, kathleen.shaeffer- [email protected]. Estimated Total Annual Burden Notice of Information Collection Under Hours: 5,455. SUPPLEMENTARY INFORMATION: OMB Review Estimated Total Annual Cost: $0. I. Abstract AGENCY: IV. Request for Comments National Aeronautics and Space Administration (NASA). Comments are invited on: (1) Whether The National Aeronautics and Space Administration (NASA) is requesting ACTION: Notice of information collection the proposed collection of information under OMB review. is necessary for the proper performance renewal of an existing collection to of the functions of NASA, including account for Government-owned/ SUMMARY: The National Aeronautics and whether the information collected has contractor-held property. The NASA Space Administration, as part of its practical utility; (2) the accuracy of Form 1018 provides for the annual continuing effort to reduce paperwork NASA’s estimate of the burden collection of summary data from these and respondent burden, invites the (including hours and cost) of the records to ensure the accurate reflection general public and other Federal proposed collection of information; (3) of Agency assets and related agencies to take this opportunity to ways to enhance the quality, utility, and depreciation on the financial statements comment on proposed and/or clarity of the information to be and essential property management continuing information collections, as collected; and (4) ways to minimize the information. required by the Paperwork Reduction burden of the collection of information II. Method of Collection Act of 1995 (Pub. L. 104–13, 44 U.S.C. on respondents, including automated 3506(c)(2)(A)). NASA collects this information collection techniques or the use of other DATES: All comments should be electronically where feasible, but forms of information technology. submitted within 30 calendar days from information may also be collected by the date of this publication. Patricia L. Dunnington, mail or fax. Chief Information Officer. ADDRESSES: All comments should be III. Data [FR Doc. 05–14300 Filed 7–20–05; 8:45 am] addressed to Desk Officer for NASA, Office of Information and Regulatory BILLING CODE 7510–13–P Title: NASA Property in the Custody of Contractors. Affairs, Room 10236, New Executive Office Building, Washington, DC 20503. OMB Number: 2700–0017. NATIONAL AERONAUTICS AND FOR FURTHER INFORMATION CONTACT: Type of Review: Extension of a SPACE ADMINISTRATION Requests for additional information or currently approved collection. copies of the information collection [Notice: 05–117] Affected Public: Business or other for- instrument(s) and instructions should profit; Not-for-profit institutions. Notice of Information Collection Under be directed to Ms. Kathy Shaeffer, Estimated Number of Respondents: OMB Review Acting NASA Reports Officer, NASA 1,110. Headquarters, 300 E Street SW., Mail AGENCY: National Aeronautics and Estimated Time per Response: Suite 6M70, Washington, DC 20546, Space Administration (NASA). Approximately 1.5 hours. (202) 358–1230, kathleen.shaeffer- ACTION: Notice of information collection Estimated Total Annual Burden [email protected]. under OMB review. Hours: 7,900. SUPPLEMENTARY INFORMATION: Estimated Total Annual Cost: $0. SUMMARY: The National Aeronautics and I. Abstract IV. Request for Comments Space Administration, as part of its The National Aeronautics and Space continuing effort to reduce paperwork Comments are invited on (1) Whether Administration (NASA) is requesting and respondent burden, invites the the proposed collection of information renewal of an existing collection to general public and other Federal is necessary for the proper performance ensure engineering changes are made agencies to take this opportunity to of the functions of NASA, including quickly and in a cost-effective manner. comment on proposed and/or whether the information collected has Proposals supporting such change continuing information collections, as practical utility; (2) the accuracy of orders contain detailed information required by the Paperwork Reduction NASA’s estimate of the burden which enables the Government to obtain Act of 1995 (Pub. L. 104–13, 44 U.S.C. (including hours and cost) of the the best goods and services for the best 3506(c)(2)(A)). proposed collection of information; (3) prices. DATES: All Comments should be ways to enhance the quality, utility, and NASA procurement and technical submitted within 30 calendar days from clarity of the information to be personnel use the information to the date of this publication. collected; and (4) ways to minimize the manage the contract. Change proposals ADDRESSES: All comments should be burden of the collection of information are submitted whenever a change order addressed to Desk Officer for NASA, on respondents, including automated is used which increases the contractor’s
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cost to perform the contract. Without continuing information collections, as NASA’s estimate of the burden change orders, NASA would often be required by the Paperwork Reduction (including hours and cost) of the unable to obtain the best goods and Act of 1995 (Public Law 104–13, 44 proposed collection of information; (3) services at the best prices. U.S.C. 3506(c)(2)(A)). ways to enhance the quality, utility, and clarity of the information to be II. Method of Collection DATES: All comments should be submitted within 30 calendar days from collected; and (4) ways to minimize the NASA collects this information the date of this publication. burden of the collection of information electronically where feasible, but ADDRESSES: All comments should be on respondents, including automated information may also be collected by addressed to Desk Officer for NASA; collection techniques or the use of other mail or fax. Office of Information and Regulatory forms of information technology. III. Data Affairs; Room 10236; New Executive Patricia L. Dunnington, Office Building; Washington, DC 20503. Title: Contract Modifications, NASA Chief Information Officer. FAR Supplement Part 18–43. FOR FURTHER INFORMATION CONTACT: [FR Doc. 05–14303 Filed 7–20–05; 8:45 am] OMB Number: 2700–0054. Requests for additional information or BILLING CODE 7510–13–P Type of Review: Extension of a copies of the information collection currently approved collection. instrument(s) and instructions should Affected Public: Business or other for- be directed to Ms. Kathy Shaeffer, NATIONAL AERONAUTICS AND profit; Not-for-profit institutions. Acting NASA Reports Officer, NASA SPACE ADMINISTRATION Headquarters, 300 E Street SW., Mail Estimated Number of Respondents: [Notice: 05–111] 88. Suite 6M70, Washington, DC 20546, Estimated Time per Response: 45. (202) 358–1230, kathleen.shaeffer- Notice of Information Collection Under Estimated Total Annual Burden [email protected]. OMB Review Hours: 7,425. SUPPLEMENTARY INFORMATION: Estimated Total Annual Cost: $0. AGENCY: National Aeronautics and I. Abstract Space Administration (NASA). IV. Request for Comments The National Aeronautics and Space ACTION: Notice of information collection Comments are invited on: (1) Whether Administration (NASA) is requesting under OMB Review. the proposed collection of information renewal of an existing collection to is necessary for the proper performance ensure proper accounting of Federal SUMMARY: The National Aeronautics and of the functions of NASA, including property provided under grants and Space Administration, as part of its whether the information collected has cooperative agreements with continuing effort to reduce paperwork practical utility; (2) the accuracy of institutions of higher education and and respondent burden, invites the NASA’s estimate of the burden other non-profit organizations, and to general public and other Federal (including hours and cost) of the satisfy external requirements for agencies to take this opportunity to proposed collection of information; (3) internal control of property provided by comment on proposed and/or ways to enhance the quality, utility, and NASA or acquired with NASA funds. continuing information collections, as clarity of the information to be required by the Paperwork Reduction collected; and (4) ways to minimize the II. Method of Collection Act of 1995 (Public Law 104–13, 44 burden of the collection of information NASA collects this information U.S.C. 3506(c)(2)(A)). on respondents, including automated electronically where feasible, but DATES: All comments should be collection techniques or the use of other information may also be collected by submitted within 30 calendar days from forms of information technology. mail or fax. the date of this publication. ADDRESSES: All comments should be Patricia L. Dunnington, III. Data addressed to Desk Officer for NASA; Chief Information Officer. Title: NASA Inventory Report: Office of Information and Regulatory [FR Doc. 05–14302 Filed 7–20–05; 8:45 am] Property Management and Control, Affairs; Room 10236; New Executive BILLING CODE 7510–13–P Grants. Office Building; Washington, DC 20503. OMB Number: 2700–0047. FOR FURTHER INFORMATION CONTACT: Type of Review: Extension of a Requests for additional information or NATIONAL AERONAUTICS AND currently approved collection. copies of the information collection SPACE ADMINISTRATION Affected Public: Not-for-profit instrument(s) and instructions should institutions; State, local or tribal [Notice: 05–115] be directed to Ms. Kathy Shaeffer, government. Acting NASA Reports Officer, NASA Estimated Number of Respondents: Notice of Information Collection Under Headquarters, 300 E Street SW., Mail OMB Review 132. Estimated Time Per Response: Suite 6M70, Washington, DC 20546, AGENCY: National Aeronautics and Approximately 10 hours. (202) 358–1230, kathleen.shaeffer- Space Administration (NASA). Estimated Total Annual Burden [email protected]. ACTION: Notice of information collection Hours: 1,432. SUPPLEMENTARY INFORMATION: Estimated Total Annual Cost: $0. under OMB review. I. Abstract SUMMARY: The National Aeronautics and IV. Request for Comments The National Aeronautics and Space Space Administration, as part of its Comments are invited on: (1) Whether Administration (NASA) is requesting continuing effort to reduce paperwork the proposed collection of information renewal of an existing collection to and respondent burden, invites the is necessary for the proper performance enable contracting officers to determine general public and other Federal of the functions of NASA, including acceptance of cost reduction proposals, agencies to take this opportunity to whether the information collected has and, if approved, to provide periodic comment on proposed and/or practical utility; (2) the accuracy of reporting to ensure cost savings are
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being realized. Collection is prescribed SUMMARY: The National Aeronautics and whether the information collected has in the NASA Federal Acquisition Space Administration, as part of its practical utility; (2) the accuracy of Regulation Supplement, Subpart continuing effort to reduce paperwork NASA’s estimate of the burden 1843.71, Shared Savings, and contract and respondent burden, invites the (including hours and cost) of the clauses. general public and other Federal proposed collection of information; (3) The information is used by agencies to take this opportunity to ways to enhance the quality, utility, and contracting officers to ensure projected comment on proposed and/or clarity of the information to be cost savings have merit and are being continuing information collections, as collected; and (4) ways to minimize the realized after adoption of shared savings required by the Paperwork Reduction burden of the collection of information proposals. Act of 1995 (Public Law 104–13, 44 on respondents, including automated U.S.C. 3506(c)(2)(A)). collection techniques or the use of other II. Method of Collection DATES: All comments should be forms of information technology. NASA collects this information submitted within 30 calendar days from Patricia L. Dunnington, electronically where feasible, but the date of this publication. information may also be collected by Chief Information Officer. ADDRESSES: All comments should be [FR Doc. 05–14309 Filed 7–20–05; 8:45 am] mail or fax. addressed to Desk Officer for NASA; BILLING CODE 7510–13–P III. Data Office of Information and Regulatory Affairs; Room 10236; New Executive Title: Cost Reduction Proposals Under Office Building; Washington, DC 20503. the NASA FAR Supplement Shared NATIONAL AERONAUTICS AND Savings Clause. FOR FURTHER INFORMATION CONTACT: SPACE ADMINISTRATION Requests for additional information or OMB Number: 2700–0094. [Notice: 05–113] Type of Review: Extension of a copies of the information collection currently approved collection. instrument(s) and instructions should Notice of Information Collection Under Affected Public: Business or other for- be directed to Ms. Kathy Shaeffer, OMB Review profit; Not-for-profit institutions; Acting NASA Reports Officer, NASA Federal Government. Headquarters, 300 E Street SW, Mail AGENCY: National Aeronautics and Estimated Number of Respondents: 4. Suite 6M70, Washington, DC 20546, Space Administration (NASA). Estimated Time Per Response: 45. (202) 358–1230, kathleen.shaeffer- ACTION: Notice of information collection Estimated Total Annual Burden [email protected]. under OMB review. Hours: 180. SUPPLEMENTARY INFORMATION: SUMMARY: Estimated Total Annual Cost: $0. The National Aeronautics and I. Abstract Space Administration, as part of its IV. Request of Comments The National Aeronautics and Space continuing effort to reduce paperwork Comments are invited on: (1) Whether Administration (NASA) is requesting and respondent burden, invites the the proposed collection of information renewal of an existing collection to general public and other Federal is necessary for the proper performance ensure proper accounting of Federal agencies to take this opportunity to of the functions of NASA, including funds and property provided under comment on proposed and/or whether the information collected has grants and cooperative agreements with continuing information collections, as practical utility; (2) the accuracy of State and local governments. required by the Paperwork Reduction NASA’s estimate of the burden Act of 1995 (Public Law 104–13, U.S.C. (including hours and cost) of the II. Method of Collection 3506(c)(2)(A)). proposed collection of information; (3) NASA collects this information DATES: All comments should be ways to enhance the quality, utility, and electronically where feasible, but submitted within 30 calendar days from clarity of the information to be information may also be collected by the date of this publication. collected; and (4) ways to minimize the mail or fax. ADDRESSES: All comments should be burden of the collection of information III. Data addressed to Desk Officer for NASA; on respondents, including automated Office of Information and Regulatory collection techniques or the use of other Title: Grants and Cooperative Affairs; Room 10236; New Executive forms of information technology. Agreements with State and Local Office Building; Washington, DC 20503. Governments. FOR FURTHER INFORMATION CONTACT: Patricia L. Dunnington, OMB Number: 2700–0093. Requests for additional information or Chief Information Officer. Type of Review: Extension of a copies of the information collection [FR Doc. 05–14308 Filed 7–20–05; 8:45 am] currently approved collection. instrument(s) and instructions should BILLING CODE 7510–13–P Affected Public: State, local or tribal be directed to Ms. Kathy Shaeffer, government. Acting NASA Reports Officer, NASA Estimated Number of Respondents: Headquarters, 300 E Street SW., Mail NATIONAL AERONAUTICS AND 78. SPACE ADMINISTRATION Estimated Time Per Response: Suite 6M70, Washington, DC 20546, Approximately 5 hours. (202) 358–1230, kathleen.shaeffer- [Notice: 05–112] Estimated Total Annual Burden [email protected]. Hours: 2,505. SUPPLEMENTARY INFORMATION: Notice of Information Collection Under Estimated Total Annual Cost: $0. OMB Review I. Abstract IV. Request for Comments AGENCY: National Aeronautics and The National Aeronautics and Space Space Administration (NASA). Comments are invited on: (1) Whether Administration (NASA) is requesting the proposed collection of information renewal of an existing collection to ACTION: Notice of information collection is necessary for the proper performance comply with 15 U.S.C. 644(g) and (h) under OMB review. of the functions of NASA, including and 48 CFR 19.202–5, which requires
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agencies to measure the extent of small Serial No. 10/361,046, entitled ‘‘Motion NATIONAL AERONAUTICS AND business participation in their Sickness Treatment Apparatus and SPACE ADMINISTRATION acquisition programs. Method,’’ to MacNaughton, Inc., having [Notice (05–118)] II. Method of Collection a place of business in Beaverton, OR. The fields of use may be limited to Notice of Prospective Patent License NASA collects this information motion sickness applications. The electronically where feasible, but patent rights in the inventions have AGENCY: National Aeronautics and information may also be collected by been assigned to the United States of Space Administration. mail or fax. America as represented by the ACTION: Notice of Prospective Patent III. Data Administrator of the National License. Aeronautics and Space Administration. Title: Small Business and Small SUMMARY: NASA hereby gives notice Disadvantaged Business Concerns and The prospective partially exclusive that Phoenix Systems International, Inc. Related Contract Provisions, NASA FAR license will comply with the terms and of Pine Brooke, NJ, has applied for an Supplement Part 18–19, SF 295. conditions of 35 U.S.C. 209 and 37 CFR exclusive foreign patent license to OMB Number: 2700–0073. 404.7. practice the invention described and Type of Review: Extension of a DATES: The prospective partially claimed in NASA Case No. KSC–12664– currently approved collection. exclusive license may be granted within 3 PCT entitled ‘‘Emission Control Affected Public: Business or other for- fifteen (15) days from the date of this System,’’ which is assigned to the profit; Not-for-profit institutions. published notice, unless NASA receives United States of America as represented Estimated Number of Respondents: written evidence and argument that by the Administrator of the National 190. Aeronautics and Space Administration. establish that the grant of the license Estimated Time per Response: 12. Written objections to the prospective would not be consistent with the Estimated Total Annual Burden grant of an exclusive license to Phoenix requirements of 35 U.S.C. 209 and 37 Hours: 4,560. Systems International, Inc. should be Estimated Total Annual Cost: $0. CFR 404.7. Competing applications sent to Assistant Chief Counsel/Patent completed and received by NASA Counsel, NASA, Mail Code: CC–A, IV. Request for Comments within fifteen (15) days of the date of Office of the Chief Counsel, John F. Comments are invited on: (1) Whether this published notice will be treated as Kennedy Space Center, Kennedy Space the proposed collection of information objections to the grant of the Center, FL 32899. contemplated partially exclusive is necessary for the proper performance DATES: Responses to this notice must be of the functions of NASA, including license. received by September 19, 2005. whether the information collected has NASA’s practice is to make FOR FURTHER INFORMATION CONTACT: practical utility; (2) the accuracy of comments, including names and home Randall M. Heald, Patent Counsel/ NASA’s estimate of the burden addresses of respondents, available for Assistant Chief Counsel, NASA, Office (including hours and cost) of the public review. Individual respondents of the Chief Counsel, John F. Kennedy proposed collection of information; (3) may request that we withhold their Space Center, Mail Code: CC–A, ways to enhance the quality, utility, and home address from public disclosure, Kennedy Space Center, FL 32899, clarity of the information to be which we will honor to the extent telephone (321) 867–7214. collected; and (4) ways to minimize the allowable by law. There may be burden of the collection of information Dated: July 14, 2005. on respondents, including automated circumstances in which we would Keith T. Sefton, collection techniques or the use of other withhold a respondent’s identity from Deputy General Counsel, Administration and forms of information technology. public disclosure, as allowable by law. Management. If you wish us to withhold your name [FR Doc. 05–14304 Filed 7–20–05; 8:45 am] Patricia L. Dunnington, and/or address, you may state this BILLING CODE 7510–13–M Chief Information Officer. prominently at the beginning of your [FR Doc. 05–14310 Filed 7–20–05; 8:45 am] comment. We will make all submissions BILLING CODE 7510–13–P from organizations or businesses, and NUCLEAR REGULATORY from individuals identifying themselves COMMISSION as representatives or officials of NATIONAL AERONAUTICS AND organizations or businesses, available Agency Information Collection SPACE ADMINISTRATION for public disclosure in their entirety. Activities: Submission for the Office of [Notice 05–119] Management and Budget (OMB) FOR FURTHER INFORMATION CONTACT: Review; Comment Request Notice of Prospective Patent License Theodore Ro, Patent Attorney, NASA Johnson Space Center, Mail Stop AL, AGENCY: U.S. Nuclear Regulatory AGENCY: National Aeronautics and Houston, TX 77058–8452; telephone Commission (NRC). Space Administration. (281) 244–7148. ACTION: Notice of the OMB review of ACTION: Notice of prospective patent Dated: July 14, 2005. information collection and solicitation license. of public comment. Keith T. Sefton, SUMMARY: This notice is issued in Deputy General Counsel, Administration and SUMMARY: The NRC has recently accordance with 35 U.S.C. 209(c)(1) and Management. submitted to OMB for review the 37 CFR 404.7(a)(1)(i). NASA is [FR Doc. 05–14307 Filed 7–20–05; 8:45 am] following proposal for the collection of contemplating the granting of a partially BILLING CODE 7510–13–P information under the provisions of the exclusive license in the United States to Paperwork Reduction Act of 1995 (44 practice the inventions described and U.S.C. Chapter 35). The NRC hereby claimed in U.S. Patent Application informs potential respondents that an
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agency may not conduct or sponsor, and The NRC Clearance Officer is Brenda JLS&A has requested, based on its that a person is not required to respond Jo. Shelton, 301–415–7233. proposed Near-Term Corrective Action to, a collection of information unless it Dated in Rockville, Maryland, this 14th Plan (NTCAP), interim relief from the displays a currently valid OMB control day of July, 2005. July 2001 Order to allow shipments in number. For the Nuclear Regulatory Commission. U.S. Department of Transportation 1. Type of submission, new, revision, Brenda Jo. Shelton, (DOT) specification packaging or extension: Extension. designated as 20WC. On August 17, 2. The title of the information NRC Clearance Officer, Office of Information 2001, in response to the July 2001 Services. collection: NRC Form 354, Data Report Order, JLS&A requested interim relief on Spouse’. [FR Doc. 05–14360 Filed 7–20–05; 8:45 am] pursuant to its proposed NTCAP to 3. The form number if applicable: BILLING CODE 7590–01–P allow 68 shipments to 16 customers, NRC Form 354. subject to JLS&A’s commitment to take 4. How often the collection is certain actions regarding NUCLEAR REGULATORY required: On occasion. implementation of its 10 CFR Part 71 COMMISSION 5. Who will be required or asked to QA Program. On September 19, 2001, report: NRC employees, contractors, [Docket No. 71–0122; Approval No. 0122; the NRC issued a Confirmatory Order licensees, and applicants who marry EA–01–164] Relaxing the July 3, 2001, Order after completing NRC’s Personnel (September 2001 Order) based on JLS&A Security forms, or marry after having In the Matter of J. L. Shepherd & commitment to hold all shipments until been granted an NRC access Associates; San Fernando, CA; NRC completed an inspection which authorization or employment clearance. Confirmatory Order Rescinding Order confirmed JLS&A’s satisfactory 6. An estimate of the number of (Effective Immediately) completion of the actions identified in annual responses: 60. I its August request. Subsequent to 7. The estimated number of annual certifications under oath and affirmation respondents: 60. J. L. Shepherd & Associates (JLS&A) from both the Independent Auditor and 8. An estimate of the total number of was the holder of Quality Assurance J. L. Shepherd, the President of JLS&A, hours needed annually to complete the (QA) Program Approval for Radioactive that the conditions for issuance of an requirement or request: 12 hours (.20 Material Packages No. 0122 (Approval Order had been met, the NRC conducted hour per response). No. 0122), issued by the U.S. Nuclear an inspection at the JLS&A facility on 9. An indication of whether Section Regulatory Commission (NRC or November 13–15, 2001. As a result of 3507(d), Pub. L. 104–13 applies: N/A. Commission) pursuant to 10 CFR Part the inspection findings, the inspection 10. Abstract: Completion of the NRC 71, Subpart H. The approval was team authorized JLS&A to commence Form 354 is a mandatory requirement originally issued January 17, 1980, the shipments in accordance with the for NRC employees, contractors, pursuant to the QA requirements of 10 September 2001 Order. licensees, and applicants who marry CFR 71.101. QA activities included: By letter dated December 7, 2001, after submission of the Personnel design, procurement, fabrication, JLS&A requested that provisions of the Security Forms, or after receiving an assembly, testing, modification, July 2001 Order be relaxed based on a access authorization or employment maintenance, repair, and use of showing of good cause. Specifically, clearance to permit the NRC to assure transportation packages subject to the JLS&A requested interim relief to ship there is no increased risk to the common provisions of 10 CFR Part 71. In an irradiator to Surry Nuclear Power defense and security. addition to an NRC-approved QA Station and return the replaced unit to A copy of the final supporting program satisfying the provisions of 10 JLS&A’s facility in California. JLS&A statement may be viewed free of charge CFR Part 71, Subpart H, JLS&A was proposed to use the NTCAP specified in at the NRC Public Document Room, One required to comply with the the September 2001 Order to authorize White Flint North, 11555 Rockville requirements in 10 CFR Part 71, Subpart these two shipments in DOT Pike, Room O–1 F21, Rockville, MD C, which grants a general license specification packaging designated as 20852. OMB clearance requests are authorizing licensed material for which 20WC. The NRC Staff reviewed JLS&A’s available at the NRC worldwide Web a Certificate of Compliance (CoC) had relief request to determine whether the site: http://www.nrc.gov/public-involve/ been issued by the NRC to be requested relief would be consistent doc-comment/omb/index.html. The transported or delivered to a carrier for with assurances that public health and document will be available on the NRC transport. Based on JLS&A failure to safety are maintained. As a result, the home page site for 60 days after the comply with these requirements, QA NRC issued a Confirmatory Order signature date of this notice. Program Approval No. 0122 was Relaxing Order dated December 13, Comments and questions should be withdrawn, by the immediately effective 2002 (December 2002 Order), which directed to the OMB reviewer listed NRC Order, dated July 3, 2001 (July relaxed the July 2001 Order to grant below by August 22, 2005. Comments 2001 Order) (66 FR 36603, July 12, interim relief to allow two shipments to received after this date will be 2001). one customer in 20WC packages in considered if it is practical to do so, but accordance with JLS&A’s NTCAP, assurance of consideration cannot be II provided certain commitments were given to comments received after this The NRC issued the July 2001 Order met. date: John A. Asalone, Office of because the NRC lacked confidence that By letters dated February 26, 2002, as Information and Regulatory Affairs JLS&A was implementing its NRC- supplemented March 13, 18, and 25, (3150–0026), NEOB–10202, Office of approved QA Program (71–0122, 2002, JLS&A requested that provisions Management and Budget, Washington, Revision No. 5) in full conformance of the July 2001 Order be relaxed based DC 20503. with the terms and conditions of an on a showing of good cause. Comments can also be e-mailed to NRC CoC and with 10 CFR Part 71, Specifically, JLS&A requested an [email protected] or Subpart H. extension of the September 2001 Order submitted by telephone at (202) 395– On several occasions subsequent to expiration date from March 31, 2002 to 4650. imposition of the July 2001 Order, June 30, 2002, to authorize JLS&A to
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complete shipment of Type B quantities which extended the expiration date of 5. Conditions 1 though 4 shall remain of radioactive material in DOT 20WC the May 2003 Order to July 1, 2005 (70 in effect for one year from date of specification packaging that was FR 34165, June 13, 2005), to allow rescission of the July 3 Order, or until authorized by the September 2001 JLS&A to continue limited operations the Independent Auditor shall issue Order. The extension of the expiration under Revision 7 of the conditionally four successive quarterly reports that date was necessary since many of the approved QA Program Approval No. show no violation of NRC regulations JLS&A customers did not obtain the 0122, while the Staff completed its and effective implementation of the necessary licensing approval or building review. JLS&A Quality Assurance Program. modification in time for the shipments On June 23, 2005, JLS&A consented to III to be completed by March 31, 2002. In issuance of this Order with the addition, JLS&A requested authorization The Staff has completed its review commitments, as described in Section to make additional shipment to and concluded that the July 2001 Order IV below. JLS&A further agreed in its customers not approved by the should be rescinded. JLS&A has June 23, 2005, letter that this Order is September 2001 Order. JLS&A proposed completed all of the elements of its to be effective upon issuance and that it to use the NTCAP specified in the NTCAP and has demonstrated, on waived its right to a hearing. September 2001 Order. JLS&A multiple occasions after relaxation of Implementation of these commitments committed to: (1) Inspect the 20WC the July 2001 Order, that it can safely will provide enhanced assurance that package (both shield and overpack); (2) transport Type B radioactive shipments sufficient resources will be applied to document the inspection in a separate in both DOT Specification 20WC JLS&A’s Quality Assurance Program report; (3) perform the shipping and overpacks and NRC-approved CoC Plan and Implementing Procedures, and inspection function only by trained packages under their new NRC- that the plan and procedures will be personnel; and (4) have the Independent approved QA program. In addition, the conducted safely and in accordance Auditor verify compliance of each NRC Spent Fuel Project Office has with NRC requirements. I find JLS&A’s shipment with the foregoing inspected JLS&A in 2003 and again in commitments as set forth in Section IV commitments and certify such 2004 and although minor program acceptable and necessary and conclude compliance in the routine monthly implementation deficiencies were that with these commitments, the public reports to the NRC. found, these findings were of lower health and safety are reasonably This Order only granted additional safety significance and none were of a assured. In view of the foregoing, I have time to complete the shipments severity level comparable to the original determined that the public health and previously authorized by the September findings which precipitated the safety require that JLS&A’s 2001 Order to be completed by March issuance of the July 2001 Order. In commitments be by this Order. Based on 31, 2002. On February 26, 2002, JLS&A addition, in JLS&A’s April 7, 2005 letter, the above and JLS&A’s consent, this consented to issuance of a Confirmatory JLS&A committed to the following Order is immediately effective upon Order (February 2002 Order) granting conditions: issuance. interim relief from the July 2001 Order 1. JLS&A shall continue implementing IV subject to the commitments, as its new QA Procedures such that described, agreed that the Confirmatory reviews are conducted to ensure that all Accordingly, pursuant to Sections 62, Order would be effective upon issuance, activities under the scope of Part 71 are 81, 161b, 161i, 161o, 182 and 186 of the and agreed to waive its right to a hearing governed by procedures defining the Atomic Energy Act of 1954, as amended, on this action. Implementation of these activity, documenting the activity, and and the Commission’s regulations in 10 commitments, as described, provided providing audit trail of the activity CFR Section 2.202 and 10 CFR parts 71 assurance that sufficient resources were performed. and 110, it is hereby ordered, effective applied to the QA program, and that the 2. The Independent Auditor shall immediately, that the July 3, 2001, program would be conducted safely and continue to perform quarterly audits Order is rescinded, reinstating JLS&A’s in accordance with NRC requirements. verifying the implementation of the quality assurance program approval and In response to JLS&A’s most recent conditionally approved JLS&A Quality granting relief to J. L. Shepherd and request for interim relief, and based on Assurance Program Plan and Associates to allow full participation in a showing of good cause, the NRC Implementing Procedures. Reports shall 10 CFR part 71 transportation activities issued a Confirmatory Order dated May be provided quarterly by the 20th day of in accordance with NRC-approved 30, 2003, Confirmatory Order Relaxing the month following completion of the quality assurance program approval, Order (May 2003 Order) (68 FR 34010, audit. Any areas of nonconformance, revision 7, based on the following June 6, 2003), that allowed JLS&A to not self identified by JLS&A, shall be conditions: make shipments through June 1, 2005, reported to NRC. 1. JLS&A shall continue implementing and expanded JLS&A’s shipment 3. JLS&A shall keep monthly statistics its new QA Procedures. Reviews shall authorization to transportation regarding QA Program implementation be conducted to ensure that all activities packaging as authorized by JLS&A’s and procedure adherence. Such under the scope of 10 CFR part 71 are implementation of Revision 7 of the statistics shall include the number of governed by procedures defining the conditionally approved QA Program nonconformances, the nature of the activity, documenting the activity, and Approval No. 0122. The May 2003 nonconformances, and indicate those providing an audit trail of the activity Order contained an expiration date of nonconformances that are referred to the performed. June 1, 2005. corrective action processes. Such 2. The Independent Auditor shall By letter dated April 7, 2005, JLS&A information shall be provided to the continue to perform quarterly audits requested the NRC to rescind the July Independent Auditor who will report verifying the implementation of the 2001 Order that withdrew JLS&A’s any areas of concern to NRC during conditionally approved JLS&A Quality Quality Assurance Program Approval scheduled reports. Assurance Program Plan and No. 0122. Because the Staff’s review of 4. JLS&A shall immediately stop work Implementing Procedures. Reports shall JLS&A’s request could not be completed or cause to be stopped any work which be provided quarterly by the 20th day of by June 1, 2005, the Staff issued a would result in a potential hazard to the month following completion of the Confirmatory Order on June 1, 2005, public health and safety. audit. Any areas of nonconformance
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included in such reports that are not self or by e-mail to [email protected] II identified by JLS&A, shall also be and also to the Office of the General An investigation was initiated by the reported to NRC, in writing, by the 20th Counsel either by means of facsimile NRC Office of Investigations (OI) on day of the month following completion transmission to 301–415–3725 or by August 27, 2004, at Pilgrim. This of the audit. e-mail to [email protected]. If a investigation was initiated, in part, to 3. JLS&A shall keep monthly statistics person other than the licensee requests determine if Mr. Probasco did not take regarding QA Program implementation a hearing, that person shall set forth appropriate corrective actions when he and procedure adherence. Such with particularity the manner in which became aware of the inattentiveness of statistics shall include the number of his interest is adversely affected by this a Control Room Supervisor (CRS) on nonconformances, the nature of the Order and shall address the criteria set June 29, 2004. Based on the evidence nonconformances, and those forth in 10 CFR 2.309(d) and (f). nonconformances referred to the developed during its investigation, OI If a hearing is requested by a person substantiated that, in careless disregard corrective action processes. Such whose interest is adversely affected, the information shall be provided to the for requirements, Mr. Probasco did not Commission will issue an Order immediately relieve the CRS from duty, Independent Auditor who will report designating the time and place of any any areas of concern to NRC through have him for-cause fitness-for-duty hearing. If a hearing is held, the issue to tested, inform appropriate site scheduled reports. be considered at such hearing shall be 4. JLS&A shall immediately stop work personnel, and initiate a Condition whether this Confirmatory Order should Report (CR). or cause to be stopped any work which be sustained. would result in a potential hazard to In the absence of any request for III public health and safety. hearing, or written approval of an 5. Conditions 1 though 4 shall remain In response to a March 23, 2005 letter, extension of time in which to request a Mr. Probasco requested the use of in effect for one year from date of hearing, the provisions specified in rescission of the July 3 Order, or until Alternative Dispute Resolution (ADR) to Section IV above shall be final 20 days resolve this matter with the NRC. ADR the Independent Auditor shall issue from the date of this Order without four successive quarterly reports that is a process in which a neutral mediator further order or proceedings. If an show no violation of NRC regulations with no decision-making authority extension of time for requesting a and effective implementation of the assists the NRC and Mr. Probasco in hearing has been approved, the JLS&A Quality Assurance Program, reaching an agreement on resolving any provisions specified in Section IV shall whichever is later. differences regarding the enforcement The Director, Office of Enforcement, be final when the extension expires if a action. An ADR session was held may in writing, relax or rescind any of hearing request has not been received. between Mr. Probasco and the NRC in the above conditions upon An answer or a request for hearing shall Philadelphia, Pennsylvania on May 17, demonstration by JLS&A of good cause. not stay the immediate effectiveness of 2005, and was mediated by a this Order. professional mediator, arranged through V Dated this 30th day of June, 2005. Cornell University’s Institute of Conflict Any person adversely affected by this For the Nuclear Regulatory Commission. Management. During that ADR session, Confirmatory Order, other than the Michael R. Johnson, a settlement agreement was reached. Certificate Holder, may request a Director, Office of Enforcement. The elements of the settlement hearing within 20 days of its issuance. agreement consisted of the following: [FR Doc. 05–14358 Filed 7–20–05; 8:45 am] Where good cause is shown, 1. Mr. Probasco agreed that he consideration will be given to extending BILLING CODE 7590–01–P violated an NRC requirement by not the time to request a hearing. A request properly documenting and informing for extension of time must be made in NUCLEAR REGULATORY management of his observation that a writing to the Director, Office of COMMISSION CRS was inattentive to duty in the Enforcement, U.S. Nuclear Regulatory control room on June 29, 2004. Commission, Washington, DC 20555, [Docket No. 55–61290; License No. SOP– 2. The NRC maintained that Mr. and include a statement of good cause 11768; IA–05–15] Probasco’s actions in violating the for the extension. Any request for a requirement was in careless disregard of hearing shall be submitted to the In the Matter of Richard M. Probasco; an NRC requirement. Mr. Probasco Secretary, U.S. Nuclear Regulatory Confirmatory Order (Effective contended that while he erred in Commission, ATTN: Rulemakings and Immediately) violating the requirement, his actions Adjudications Staff, Washington, DC were not willful, in careless disregard of 20555. Copies also shall be sent to the I an NRC requirement. The NRC and Mr. Director, Office of Enforcement, U.S. Richard M. Probasco (Mr. Probasco) is Probasco agreed to disagree on this Nuclear Regulatory Commission, employed as a Shift Manager at the point. Washington, DC 20555, to the Assistant Pilgrim Nuclear Power Station (Pilgrim). 3. Mr. Probasco, subsequent to the General Counsel for Materials Litigation Mr. Probasco is the holder of Senior identification of this violation, took and Enforcement at the same address, to Reactor Operator (SRO) License Number actions to assure that he learned from the Regional Administrator, NRC Region SOP–11768 issued by the Nuclear this violation and provided the NRC IV, 611 Ryan Plaza Drive, Suite 400, Regulatory Commission (NRC) pursuant with assurance that it would not recur. Arlington, TX 76011 and to JLS&A. to 10 CFR Part 55. The license These actions included: (a) Sharing the Because of continuing disruptions in authorizes Mr. Probasco to direct the March 23, 2005 letter from the NRC delivery of mail to United States licensed activities of licensed operators with his SRO peers at Pilgrim to Government offices, it is requested that at, and to manipulate all controls of, the emphasize the significance of the answers and requests for hearing be Pilgrim Nuclear Power Station, facility violation; (b) participating actively to transmitted to the Secretary of the license number DPR–35. The facility is share his experience with all Entergy Commission either by means of located on an Entergy Nuclear plants via a corporate notification; and facsimile transmission to 301–415–1101 Operations, Inc. site in Plymouth, MA. (c) contributing to the preparation of an
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operating experience report with the 1. Mr. Probasco participate in future shall address the criteria set forth in 10 Institute of Nuclear Power Operations. training sessions at Pilgrim, including CFR 2.714(d). 4. As a result of Mr. Probasco’s crew training, teamwork training, If a hearing is requested by a person actions, he recognized an opportunity lifestyle training, and requalification whose interest is adversely affected, the for licensed operators at Pilgrim, as well module development, to convey his Commission will issue an Order as licensed operators at other nuclear personal lessons-learned from this designating the time and place of any facilities, to learn from his violation. Mr. matter. Mr. Probasco will also convey hearing. If a hearing is held, the issue to Probasco agreed to participate in future his personal lessons-learned to other be considered at such hearing shall be training sessions at Pilgrim, including licensed operators at other nuclear whether this Confirmatory Order shall crew training, teamwork training, power plants by issuance of a letter, be sustained. lifestyle training, and requalification within 90 days, to the Communicator An answer or a request for a hearing module development, to convey his (the publication of the Professional shall not stay the effectiveness date of personal lessons-learned from this Reactor Operator Society) requesting this Order. matter. Mr. Probasco also agreed to publication therein, and making a Dated this 14th day of July, 2005. convey his personal lessons-learned to presentation at a future symposium at a For the Nuclear Regulatory Commission. other licensed operators at other nuclear meeting of the Professional Reactor Michael R. Johnson, power plants by issuance of a letter, Operator Society, if invited. Director, Office of Enforcement. within 90 days of issuance of the Letter 2. Mr. Probasco provide the NRC with [FR Doc. 05–14359 Filed 7–20–05; 8:45 am] of Reprimand referenced in Section III.5 one letter detailing his completion of all below, to the Communicator (the actions specified in Item 1 above, within BILLING CODE 7590–01–P publication of the Professional Reactor 30 days of completion of these actions. Operator Society) requesting publication The Director, Office of Enforcement NUCLEAR REGULATORY therein, and making a presentation at a may relax or rescind, in writing, any of COMMISSION future symposium at a meeting of the the above conditions upon a showing by Professional Reactor Operator Society, if Mr. Probasco of good cause. [Docket No. 50–483] invited. 5. In light of the actions Mr. Probasco VI Union Electric Company; Notice of Withdrawal of Application for has taken as described in Item 3 above, Any person adversely affected by this Amendment to Facility Operating those actions he has committed to do as Confirmatory Order, other than Mr. License described in Item 4 above, and his Probasco, may request a hearing within agreement to a Letter of Reprimand, the 20 days of its issuance. Where good The U.S. Nuclear Regulatory NRC agrees not to issue an Order or a cause is shown, consideration will be Commission (the Commission) has Notice of Violation to Mr. Probasco. given to extending the time to request a granted the request of Union Electric However, Mr. Probasco agreed to hearing. A request for extension of time Company (the licensee) to withdraw its placement of this Letter of Reprimand must be made in writing to the Director, June 27, 2003, revised by letter dated into ADAMS as a publically available Office of Enforcement, U.S. Nuclear December 19, 2003, application for document, and its placement on the Regulatory Commission, Washington, proposed amendment to Facility NRC ‘‘Significant Enforcement DC 20555, and must include a statement Operating License No. NPF–30 for the Actions—Individuals’’ Web site for a of good cause for the extension. Any Callaway Plant, Unit 1, located in period of 1 year (the period of time the request for a hearing shall be submitted Callaway County, Missouri. NRC routinely places Notices of to the Secretary, U.S. Nuclear The proposed amendment would Violation at Severity Level III and above Regulatory Commission, ATTN: Chief, have revised Technical Specification to individuals). Rulemaking and Adjudications Staff, (TS) 3.8.1, ‘‘AC Sources—Operating.’’ Since Mr. Probasco has agreed to take Washington, DC 20555. Copies of the The proposed change would revise additional actions to address NRC hearing request shall also be sent to the Required Actions A.3 and B.4 for TS concerns, as set forth in Section III, the Director, Office of Enforcement, U.S. 3.8.1 to allow a longer required Action NRC has concluded that its concerns Nuclear Regulatory Commission, Completion Time (allowed outage time) can be resolved through the NRC’s Washington DC 20555, to the Assistant for an inoperable diesel generator, when confirmation of the commitments as General Counsel for Materials Litigation removing the diesel generator from outlined in this Confirmatory Order. and Enforcement, to the Director of the service to perform voluntary, planned I find that Mr. Probasco’s Division of Regulatory Improvement maintenance. commitments as set forth in Section III Programs at the same address, and to The Commission had previously above are acceptable. However, in view Baxter. Because of continuing issued a Notice of Consideration of of the foregoing, I have determined that disruptions in delivery of mail to United Issuance of Amendment published in these commitments be confirmed by this States Government offices, it is the Federal Register on July 22, 2003 Confirmatory Order. Based on the above requested that answers and requests for (68 FR 43396). However, by letter dated and Mr. Probasco’s consent, this hearing be transmitted to the Secretary June 28, 2005, the licensee withdrew the Confirmatory Order is immediately of the Commission either by means of proposed change. effective upon issuance. facsimile transmission to 301–415–1101 For further details with respect to this or by e-mail to [email protected] action, see the licensee’s application for V and also to the Office of the General amendment dated June 27, 2003, as Accordingly, pursuant to Sections Counsel by means of facsimile revised by letter dated December 19, 103, 161b, 161i, 161o, 182, and 186 of transmission to 301–415–3725 or e-mail 2003, and the licensee’s letter dated the Atomic Energy Act of 1954, as to [email protected]. If such a June 28, 2005, which withdrew the amended, and the Commission’s person requests a hearing, that person application for a license amendment. regulations in 10 CFR 2.202 and 10 CFR shall set forth with particularity the Documents may be examined, and/or Part 55, it is hereby ordered, effective manner in which his interest is copied for a fee, at the NRC’s Public immediately that: adversely affected by this Order and Document Room (PDR), located at One
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White Flint North, Public File Area O1 percent of Fire Area HH not currently action does not have a potential to affect F21, 11555 Rockville Pike (first floor), covered by a fire detection system. any historic sites. It does not affect non- Rockville, Maryland. Publicly available The proposed action is in accordance radiological plant effluents and has no records will be accessible electronically with the licensee’s application dated other environmental impact. Therefore, from the Agencywide Documents January 20, 2004 (Agencywide there are no significant non-radiological Access and Management Systems Documents Access Management System environmental impacts associated with (ADAMS) Public Electronic Reading (ADAMS) Accession No. the proposed action. Room on the Internet at the NRC Web ML0420220470), as supplemented by Accordingly, the NRC concludes that site, http://www.nrc.gov/reading-rm/ letters dated September 3, 2004 there are no significant environmental adams/html. Persons who do not have (ADAMS Accession No. impacts associated with the proposed access to ADAMS or who encounter ML0402520326), and February 25, 2005 action. problems in accessing the documents (ADAMS Accession No. ML050610249). Environmental Impacts of the located in ADAMS, should contact the The Need for the Proposed Action NRC PDR Reference staff by telephone Alternatives to the Proposed Action The requirements specified in 10 CFR at 1–800–397–4209, or 301–415–4737 or As an alternative to the proposed 50, Appendix R, Section III.G.3, require by e-mail to [email protected]. action, the staff considered denial of the fire detection and fixed fire suppression proposed action (i.e., the ‘‘no-action’’ Dated in Rockville, Maryland, this 11th in areas for which alternate shutdown alternative). Denial of the application day of July, 2005. capability is provided. The total would result in no change in current For the Nuclear Regulatory Commission. combustible loading in Fire Area HH is environmental impacts. The Jack Donohew, less than 20,000 BTU/ft 2. Existing fire environmental impacts of the proposed Senior Project Manager, Section 2, Project protection capability in the area consists action and the alternative action are Directorate IV, Division of Licensing Project of a fire detection system, protecting similar. Management, Office of Nuclear Reactor Room 603 (approximately 96 percent of Regulation. Fire Area HH, not including Rooms Alternative Use of Resources [FR Doc. 05–14361 Filed 7–20–05; 8:45 am] 603A and 603B) and manual fire The action does not involve the use of BILLING CODE 7590–01–P suppression capability consisting of any different resource than those portable fire extinguishers and previously considered in the DBNPS standpipe hose stations for the NUCLEAR REGULATORY FES dated October 1975. protection of the entire area. The COMMISSION exemption is needed because the Agencies and Persons Consulted [Docket No. 50–346] current fire detection and fire On April 8, 2005, the staff consulted suppression capability is sufficient to with Ohio State official, Ms. Carol FirstEnergy Nuclear Operating protect the health and safety of the O’Claire of the Ohio Emergency Company; Davis-Besse Nuclear Power public. Station, Unit 1; Environmental Management Agency, regarding the Assessment and Finding of No Environmental Impacts of the Proposed environmental impact of the proposed Significant Impact Action action. The State official had no The NRC has completed its evaluation comments. The U.S. Nuclear Regulatory of the proposed action and concludes Commission (NRC) is considering Finding of No Significant Impact that the proposed exemption does not issuance of an exemption from Title 10 involve radioactive wastes, release of On the basis of the environmental of the Code of Federal Regulations (10 radioactive material into the assessment, the NRC concludes that the CFR) Part 50, Appendix R, Section atmosphere, solid radioactive waste, or proposed action will not have a III.G.3 for Facility Operating License No. liquid effluents released to the significant effect on the quality of the NPF–3, issued to FirstEnergy Nuclear environment. The details of the staff’s human environment. Accordingly, the Operating Company (FENOC or the safety evaluation will be provided in the NRC has determined not to prepare an licensee), for operation of the Davis- exemption that will be issued as part of environmental impact statement for the Besse Nuclear Power Station, Unit 1 the letter to the licensee approving the proposed action. (DBNPS), located in Ottawa County, exemption to the regulation. For further details with respect to the Ohio. Therefore, as required by 10 CFR The DBNPS systems were evaluated proposed action, see the licensee’s 51.21, the NRC is issuing this in the Final Environmental Statement letters dated January 20, 2004, environmental assessment and finding (FES) dated October 1975 (NUREG 75/ September 3, 2004, and February 25, of no significant impact. 097). The proposed exemption will not 2005. Documents may be examined, Environmental Assessment involve any change in the waste and/or copied for a fee, at the NRC’s treatment systems described in the FES. Public Document Room (PDR), located Identification of the Proposed Action The proposed action will not at One White Flint North, Public File The proposed action would be an significantly increase the probability or Area O1 F21, 11555 Rockville Pike (first exemption to certain requirements of 10 consequences of accidents, no changes floor), Rockville, Maryland. Publicly CFR Part 50, Appendix R, ‘‘Fire are being made in the types of effluents available records will be accessible Protection Program for Nuclear Power that may be released off site, and there electronically from the ADAMS Public Facilities Operating Prior to January 1, is no significant increase in Electronic Reading Room on the Internet 1979,’’ Section III.G.3, ‘‘Fire Protection occupational or public radiation at the NRC Web site, http:// of Safe Shutdown Capability.’’ exposure. Therefore, there are no www.nrc.gov/reading-rm/adams.html. Specifically, the licensee would be significant radiological environmental Persons who do not have access to exempt from the requirements to install impacts associated with the proposed ADAMS or who encounter problems in a fixed fire suppression system in Fire action. accessing the documents located in Area HH for DBNPS and to install fire With regard to potential non- ADAMS, should contact the NRC PDR detection in the approximately 4 radiological impacts, the proposed Reference staff by telephone at 1–800–
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397–4209 or 301–415–4737, or by e-mail OFFICE OF PERSONNEL OFFICE OF PERSONNEL to [email protected]. MANAGEMENT MANAGEMENT
Dated at Rockville, Maryland, this 6th day Submission for OMB Review; Proposed Collection; Comment of July, 2005. Comment Request for Review of a Request for Review of a Currently For the Nuclear Regulatory Commission. Revised Information Collection: RI 78– Approved Information Collection: RI William A. Macon, Jr., 11 20–120 Project Manager, Section 2, Project Directorate III, Division of Licensing Project AGENCY: Office of Personnel AGENCY: Office of Personnel Management, Office of Nuclear Reactor Management. Management. Regulation. ACTION: Notice. ACTION: Notice. [FR Doc. 05–14362 Filed 7–20–05; 8:45 am] SUMMARY: BILLING CODE 7590–01–P In accordance with the SUMMARY: In accordance with the Paperwork Reduction act of 1995 Paperwork Reduction Act of 1995 (Pub. (Public Law 104–13, May 22, 1995), this L. 104–13, May 22, 1995), this notice NUCLEAR REGULATORY notice announces that the Office of announces that the Office of Personnel COMMISSION Personnel Management (OPM) intends Management (OPM) has submitted to to submit to the Office of Management the Office of Management and Budget a and Budget (OMB) a request for review [Docket No. 50–334] request for review of a revised of a currently approved information information collection. RI 78–11, FirstEnergy Nuclear Operating collection. RI 20–120, Request for Medicare Part B Certification, collects Change to Unreduced Annuity, is used Company; Biweekly Notice; information from annuitants, their to collect information OPM needs to Applications and Amendments to spouses, and survivor annuitants to comply with wishes of the retired Facility Operating Licenses Involving determine their eligibility under the Federal employee whose marriage has No Significant Hazards Retired Federal Employees Health ended. Considerations; Correction Benefits Program for a Government Comments are particularly invited on: contribution toward the cost of Part B of AGENCY: Nuclear Regulatory Medicare. —Whether this collection of information Commission. is necessary for the proper Approximately 100 RI 78–11 forms performance of functions of the Office ACTION: Notice of issuance; correction. are completed annually. Each form of Personnel Management, and requires approximately 10 minutes whether it will have practical utility; SUMMARY: This document corrects a complete. The annual estimated burden —Whether our estimate of the public notice appearing in the Federal Register is 17 hours. burden of this collection is accurate, on June 21, 2005 (70 FR 35737), that For copies of this proposal, contact and based on valid assumptions and incorrectly referenced the date of an Mary Beth Smith-Toomey on (202) 606– methodology; and amendment request. This action is 8358, FAX (202) 418–3251 or via e-mail —Ways in which we can minimize the necessary to correct an erroneous date. to [email protected]. Please include a burden of the collection of The correct date of the amendment mailing address with your request. information on those who are to respond, through use of the request is April 13, 2005. DATES: Comments on this proposal appropriate technological collection should be received within 30 calendar FOR FURTHER INFORMATION CONTACT: Mr. techniques or other forms of days from the date of this publication. Timothy Colburn, Project Manager, information technology. Office of Nuclear Reactor Regulation, ADDRESSES: Send or deliver comments We estimated we will process 5,000 U.S. Nuclear Regulatory Commission, to— requests annually from RI 20–120. This Washington, DC 20555–0001; telephone Pamela S. Israel, Chief, Operations form takes an average of 30 minutes per (301) 415–1402, e-mail: [email protected]. Support Group, Retirement Services response to complete. The annual SUPPLEMENTARY INFORMATION: On page Programs, U.S. Office of Personnel burden is estimated to be 2,500 hours. 35737, in the third column, the second- Management, 1900 E Street, NW., Room For copies of this proposal, contact to-last paragraph is corrected to read 3349, Washington, DC 20415; and Mary Beth Smith-Tooney on (202) 606– ‘‘Date of amendment request: April 11, Brenda Aguilar, OPM Desk Officer, 8358, FAX (202) 418–3251 or via E-mail 2005’’ to ‘‘Date of amendment request: Office of Information and Regulatory to [email protected]. Please include a April 13, 2005.’’ Affairs, Office of Management and mailing address with your request. Dated in Rockville, Maryland, this 14th Budget, New Executive Office Building, DATES: Comments on this proposal day of July, 2005. NW., Room 10235, Washington, DC should be received within 60 calendar 20503. days from the date of this publication. For the Nuclear Regulatory Commission. ADDRESSES: Send or deliver comments Timothy G. Colburn, FOR FURTHER INFORMATION CONTACT: to—Pamela S. Israel, Chief, Operations Cyrus S. Benson, Team Leader, Project Manager, Section 1, Project Support Group, Retirement Services Directorate I, Division of Licensing Project Publications Team, RIS Support Programs, U.S. Office of Personnel Management, Office of Nuclear Reactor Services/Support Group, (202) 606– Management, 1900 E Street, NW, Room Regulation. 0623. 3349, Washington, DC 20415. [FR Doc. 05–14363 Filed 7–20–05; 8:45 am] Office of Personnel Management. FOR FURTHER INFORMATION CONTACT: BILLING CODE 7590–01–P Linda M. Springer, Cyrus S. Benson, Team Leader, Director. Publications Team, RIS Support [FR Doc. 05–14239 Filed 7–20–05; 8:45 am] Services, Support Group, (202) 606– BILLING CODE 6325–38–P 0623.
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Office of Personnel Management. Publications Team, Administrative Representative. Effective June 13, Linda M. Springer, Services Branch, (202) 606–0623. 2005. Director. Office of Personnel Management. Section 213.3304 Department of State [FR Doc. 05–14242 Filed 7–20–05; 8:45 am] Linda M. Springer, DSGS60954 Special Assistant to the BILLING CODE 6325–38–M Director. Chief of Protocol. Effective June 07, [FR Doc. 05–14243 Filed 7–20–05; 8:45 am] 2005. OFFICE OF PERSONNEL BILLING CODE 6325–38–M DSGS60964 Legislative Management MANAGEMENT Officer to the Assistant Secretary for Legislative and Intergovernmental Submission for OMB Review; OFFICE OF PERSONNEL Affairs. Effective June 13, 2005. Comment Request for Reclearance of MANAGEMENT DSGS60966 Staff Assistant to the Assistant Secretary for Public Affairs. a Revised Information Collection: RI Excepted Service 34–1 and 34–3 Effective June 23, 2005. AGENCY: Office of Personnel DSGS60968 Special Assistant to the AGENCY: Office of Personnel Management. Assistant Secretary for Public Affairs. Management. ACTION: Notice. Effective June 23, 2005. ACTION: Notice. DSGS60969 Foreign Affairs Officer to SUMMARY: This gives notice of OPM the Assistant Secretary for East Asian SUMMARY: In accordance with the decisions granting authority to make and Pacific Affairs. Effective June 23, Paperwork Reduction Act of 1995 (Pub. appointments under Schedules A, B and 2005. L. 104–13, May 22, 1995), this notice C in the excepted service as required by DSGS60970 Special Assistant to the announces that the Office of Personnel 5 CFR 6.6 and 213.103. Assistant Secretary for Public Affairs. Management (OPM) has submitted to FOR FURTHER INFORMATION CONTACT: Effective June 23, 2005. the Office of Management and Budget Quasette Crowner, Chief, Executive DSGS60971 Public Affairs Specialist (OMB) a request for reclearance of a Resources Group, Center for Leadership to the Assistant Secretary for Public revised information collection. RI 34–1, and Executive Resources Policy, Affairs. Effective June 23, 2005. Financial Resources Questionnaire, Division for Strategic Human Resources Section 213.3305 Department of the collects detailed financial information Policy, 202–606–8046. Treasury for use by OPM to determine whether to SUPPLEMENTARY INFORMATION: Appearing DYGS00458 Special Assistant to the agree to a waiver, compromise, or in the listing below are the individual adjustment of the collection of Treasurer of the United States. authorities established under Schedules Effective June 03, 2005. erroneous payments from the Civil A, B and C between June 1, 2005 and Service Retirement and Disability Fund. June 30, 2005. Future notices will be Section 213.3306 Department of RI 34–3, Notice of Amount Due Because published on the fourth Tuesday of each Defense of Annuity Overpayment, informs the month, or as soon as possible thereafter. DDGS16883 Staff Assistant to the annuitant about the overpayment and A consolidated listing of all authorities Special Assistant for Business collects information. as of June 30 is published each year. Transformation. Effective June 22, Approximately 520 RI 34–1 and 1, 2005. 561 RI 34–3 forms are completed Schedule A DDGS16880 Staff Assistant to the annually. Each form takes No Schedule A appointments were Deputy Assistant Secretary of Defense approximately 60 minutes to complete. approved for June 2005. (Resources and Plans). Effective June The annual estimated burden is 520 Schedule B 28, 2005. hours and 1,561 hours respectively. The DDGS16884 Staff Assistant to the total amount estimated burden is 2,081 No Schedule B appointments were Special Assistant to the Secretary of hours. approved for June 2005. Defense for White House Liaison. For copies of this proposal, contact Effective June 28, 2005. Mary Beth Smith-Toomey on (202) 606– Schedule C 8358, FAX (202) 498–3251 or via e-mail The following Schedule C Section 213.3310 Department of to [email protected]. Please include a appointments were approved during Justice mailing address with your request. June 2005: DJGS00058 Chief of Staff to the DATES: Comments on this proposal Section 213.3303 Executive Office of Assistant Attorney General for Justice should be received within 30 calendar the President Programs. Effective June 03, 2005. days from the date of this publication. DJGS00019 Special Assistant to the Office of Management and Budget ADDRESSES: Send or deliver comments Chairman, Foreign Claims Settlement to—Pamela S. Israel, Chief, Operations BOGS60030 Confidential Assistant to Commission. Effective June 06, 2005. Support Group, Retirement Services the Deputy Director, Office of DJGS00184 Special Assistant to the Program, U.S. Office of Personnel Management and Budget. Effective Deputy Attorney General. Effective Management, 1900 E Street, NW., Room June 15, 2005. June 06, 2005. DJGS00063 Project Safe 3349, Washington, DC 20415–3540, and Office of National Drug Control Policy Brenda Aguilar, OPM Desk Officer, Neighborhoods Coordinator to the Office of Information and Regulatory QQGS00087 Special Assistant to the Deputy Attorney General. Effective Affairs, Office of Management and Special Assistant to the Director. June 10, 2005. DJGS00390 Counsel to the Assistant Budget, New Executive Office Building, Effective June 22, 2005. Attorney General (Legal Counsel). NW., Room 10235, Washington, DC Office of the United States Trade Effective June 10, 2005. 20503. Representative DJGS00233 Counsel to the Assistant FOR FURTHER INFORMATION CONTACT: TNGS00017 Director of Chief Attorney General, Civil Division. Cyrus S. Benson, Team Leader, Operations to the United States Trade Effective June 21, 2005.
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Section 213.3311 Department of DAGS00807 White House Liaison to DBGS00399 Special Assistant to the Homeland Security the Secretary. Effective June 30, 2005. Assistant Secretary for Civil Rights. Effective June 10, 2005. DMGS00373 Deputy White House Section 213.3314 Department of Liaison to the White House Liaison. Commerce DBGS00402 Confidential Assistant to Effective June 02, 2005. the Special Advisor to the Secretary. DMGS00372 Protocol Coordinator to DCGS00692 Director of Congressional Effective June 10, 2005. the Director of Scheduling and Affairs to the Deputy Assistant DBGS00403 Confidential Assistant to Advance. Effective June 06, 2005. Secretary for External Affairs and the Chief of Staff. Effective June 10, DMGS00362 Policy Assistant to the Communication. Effective June 07, 2005. Chief of Staff. Effective June 07, 2005. 2005. DCGS60548 Confidential Assistant to DBGS00405 Special Assistant to the DMGS00371 Confidential Assistant to Assistant Secretary for Special the Counselors to the Chief of Staff. the Chief of Staff. Effective June 07, 2005. Education and Rehabilitative Effective June 07, 2005. Services. Effective June 14, 2005. DMGS00370 Senior Communications DCGS60287 Confidential Assistant to Advisor to the Assistant Secretary for the Chief of Staff to the Deputy DBGS00401 Special Assistant to the Public Affairs. Effective June 10, 2005. Secretary. Effective June 14, 2005. Assistant Secretary for Elementary DMGS00377 Assistant Director of DCGS60670 Director, Office of and Secondary Education. Effective Legislative Affairs for Miscellaneous Business Liaison to the Chief of Staff June 15, 2005. Offices to the Director of Legislative for National Oceanic and DBGS00406 Confidential Assistant to Affairs for Secretarial Offices. Atmospheric Administration. the Deputy Director, Office of Public Effective June 22, 2005. Effective June 22, 2005. Affairs. Effective June 16, 2005. DMGS00375 Coordination Officer for Section 213.3315 Department of Labor DBGS00404 Special Assistant to the State and Territorial Affairs to the Deputy General Counsel for Director, State and Local Affairs. DLGS60183 Special Assistant to the Departmental and Legislative Service. Effective June 24, 2005. Assistant Secretary for Occupational Effective June 20, 2005. DMGS00376 Special Assistant to the Safety and Health. Effective June 14, Special Assistant for Science and 2005. Section 213.3318 Environmental Technology Policy Planning. Effective DLGS60231 Staff Assistant to the Protection Agency Counselor in the Office of the June 24, 2005. EPGS05017 Senior Advisor to the Secretary. Effective June 22, 2005. DMGS00378 Confidential Assistant to Administrator. Effective June 15, DLGS60093 Staff Assistant to the the General Counsel. Effective June 2005. 28, 2005. Secretary of Labor. Effective June 23, 2005. Section 213.3325 United States Tax Section 213.3312 Department of the DLGS60117 Senior Advisor to the Court Interior Assistant Secretary for Employment JCGS60059 Secretary (Confidential DIGS61039 Special Assistant to the Standards. Effective June 23, 2005. Assistant) to the Chief Judge. Effective Executive Director, Take Pride in Section 213.331 Department of Health June 16, 2005. America. Effective June 29, 2005. and Human Services Section 213.3313 Department of Section 213.3327 Department of DHGS60016 Confidential Assistant to Veterans Affairs Agriculture the Director, Center for Faith Based DAGS00796 Congressional Liaison to and Community Initiatives. Effective DVGS60099 Special Assistant to the the Deputy Assistant Secretary for June 10, 2005. Assistant Secretary for Public and Congressional Relations. Effective DHGS60021 Special Assistant to the Intergovernmental Affairs. Effective June 02, 2005. Director, Office of Community June 07, 2005. DAGS00798 Confidential Assistant to Services. Effective June 10, 2005. Section 213.3331 Department of DHGS60243 Regional Director, the Administrator, Rural Housing Energy Service. Effective June 10, 2005. Atlanta, Georgia, Region IV to the DAGS00799 Speech Writer to the Director of Intergovernmental Affairs. DEGS00475 Press Secretary to the Director of Communications. Effective Effective June 16, 2005. Director, Public Affairs Effective June June 16, 2005. DHGS60244 Regional Director, Seattle, 14, 2005. DAGS00801 Staff Assistant to the Washington, Region X to the Director DEGS00473 Public Affairs Specialist Secretary. Effective June 22, 2005. of Intergovernmental Affairs. Effective to the Director of Congressional, DAGS00806 Deputy Director of June 23, 2005. Intergovernmental and Public Affairs. Advance to the Director of DHGS60681 Confidential Assistant to Effective June 15, 2005. Communications. Effective June 22, the Director of Media Affairs. DEGS00472 Communications Director 2005. Effective June 28, 2005. to the Director, Office of Civilian DAGS00802 Staff Assistant to the Chief, Natural Research Conservation Section 213.3317 Department of Radioactive Waste Management. Service. Effective June 23, 2005. Education Effective June 16, 2005. DAGS00803 Director, DBGS00397 Special Assistant to the Section 213.3337 General Services Intergovernmental Affairs to the Chief of Staff. Effective June 02, 2005. Administration Deputy Assistant Secretary. Effective DBGS00400 Deputy Assistant June 23, 2005. Secretary for Planning to the Chief of GSGS60069 Events Management DAGS00804 Deputy Press Secretary to Staff. Effective June 03, 2005. Specialist to the Deputy Director for the Director of Communications. DBGS00398 Confidential Assistant to Communications. Effective June 02, Effective June 27, 2005. the Chief of Staff. Effective June 06, 2005. DAGS00805 Director of Speechwriter 2005. GSGS00167 Confidential Assistant to to the Director of Communications. DBGS00391 Confidential Assistant to the Chief Acquisition Officer. Effective June 24, 2005. the Secretary. Effective June 07, 2005. Effective June 06, 2005.
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Section 213.3355 Social Security Office of Personnel Management. an exemption from registration. The Administration Linda M. Springer, Commission staff estimates that each SZGS00015 Confidential Assistant to Director. initial Form CA–1 requires the Chief of Staff. Effective June 22, [FR Doc. 05–14241 Filed 7–20–05; 8:45 am] approximately 130 hours to complete 2005. BILLING CODE 6325–39–P and submit for approval. Hours required for amendments to Form CA–1 that Section 213.3360 Consumer Product must be submitted to the Commission in Safety Commission SECURITIES AND EXCHANGE connection with material changes to the PSGS60006 Special Assistant (Legal) COMMISSION initial CA–1 can vary, depending upon to the Chairman, Consumer Product the nature and extent of the amendment. Safety Commission. Effective June 01, Proposed Collection; Comment Since the Commission only receives an 2005. Request average of one submission per year, the PSGS60010 Executive Assistant to a aggregate annual burden associated with Upon written request, copies available Commissioner. Effective June 14, compliance with Rule 17Ab2–1 and from: Securities and Exchange 2005. Form CA–1 is 130 hours. Based upon PSGS60049 Special Assistant (Legal) Commission, Office of Filings and the staff’s experience, the average cost to Information Services, Washington, DC to a Commissioner. Effective June 28, clearing agencies of preparing and filing 20549. 2005. the initial Form CA–1 is estimated to be Extension: $18,000. Section 213.3384 Department of Rule 17Ab2–1; SEC File No. 270–203; OMB Written comments are invited on: (a) Housing and Urban Development Control No. 3235–0195. Whether the proposed collection of DUGS60212 Staff Assistant to the Form CA–1; SEC File No. 270–203; OMB Control No. 3235–0195. information is necessary for the proper Assistant Secretary for Community performance of the functions of the Planning and Development. Effective Notice is hereby given that, pursuant agency, including whether the June 15, 2005. to the Paperwork Reduction Act of 1995 information will have practical utility; DUGS60319 Regional Director to the (44 U.S.C. 3501 et seq.), the Securities (b) the accuracy of the agency’s estimate Assistant Deputy Secretary for Field and Exchange Commission of the burden of the collection of Policy and Management. Effective (‘‘Commission’’) is soliciting comments information; (c) ways to enhance the June 16, 2005. on the collection of information quality, utility, and clarity of the DUGS60175 Staff Assistant to the summarized below. The Commission information collected; and (d) ways to Assistant Secretary for Congressional plans to submit this existing collection minimize the burden of the collection of and Intergovernmental Relations. of information to the Office of information on respondents, including Effective June 22, 2005. Management and Budget for extension through the use of automated collection DUGS60255 Special Assistant to the and approval. techniques or other forms of information Assistant Secretary for Policy Rule 17Ab2–1 and Form CA–1: technology. Consideration will be given Development and Research. Effective Registration of Clearing Agencies to comments and suggestions submitted June 22, 2005. in writing within 60 days of this DUGS60517 Regional Director to the Rule 17Ab2–1 and Form CA–1 require clearing agencies to register with the publication. Assistant Deputy Secretary for Field Please direct your written comments Commission and to meet certain Policy and Management. Effective to R. Corey Booth, Director/Chief requirements with regard to, among June 23, 2005. Information Officer, Securities and other things, a clearing agency’s DUGS60390 Legislative Specialist to Exchange Commission, 100 F Street, organization, capacities, and rules. The the Assistant Secretary for NE., Washington, DC 20549. Congressional and Intergovernmental information is collected from the Relations. Effective June 28, 2005. clearing agency upon the initial Dated: July 13, 2005. DUGS60534 Special Assistant to the application for registration on Form J. Lynn Taylor, Assistant Secretary for Public and CA–1. Thereafter, information is Assistant Secretary. Indian Housing. Effective June 30, collected by amendment to the initial [FR Doc. E5–3872 Filed 7–20–05; 8:45 am] 2005. Form CA–1 when material changes in BILLING CODE 8010–01–P DUGS60427 Staff Assistant to the circumstances necessitate modification Assistant Secretary for of the information previously provided Administration/Chief Human Capital to the Commission. SECURITIES AND EXCHANGE Officer. Effective June 30, 2005. The Commission uses the information COMMISSION disclosed on Form CA–1 to (i) Section 213.3391 U.S. Office of determine whether an applicant meets Proposed Collection; Comment Personnel Management the standards for registration set forth in Request PMGS00052 Special Counsel to the Section 17A of the Securities Exchange Upon written request, copies available General Counsel. Effective June 15, Act of 1934 (‘‘Exchange Act’’), (ii) from: Securities and Exchange 2005. enforce compliance with the Exchange Commission, Office of Filings and Act’s registration requirement, and (iii) Section 213.3394 Department of Information Services, Washington, DC provide information about specific Transportation 20549. registered clearing agencies for DTGS60173 Director of Congressional compliance and investigatory purposes. Extension: Affairs to the Administrator. Effective Without Rule 17Ab2–1, the Commission Rule 17f–2(c); SEC File No. 270–35; OMB June 06, 2005. could not perform these duties as Control No. 3235–0029. DTGS60294 Counselor to the Under statutorily required. Notice is hereby given that pursuant Secretary. Effective June 10, 2005. There are currently approximately ten to the Paperwork Reduction Act of 1995 Authority: 5 U.S.C. 3301 and 3302; E.O. registered clearing agencies and five (44 U.S.C. 3501 et seq.) the Securities 10577, 3 CFR 1954–1958 Comp., P.218 clearing agencies that have been granted and Exchange Commission
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(‘‘Commission’’) is soliciting comments Dated: July 13, 2005. ADDRESSES: Written statements may be on the collection of information J. Lynn Taylor, submitted by any of the following summarized below. The Commission Assistant Secretary. methods: plans to submit this existing collection [FR Doc. E5–3873 Filed 7–20–05; 8:45 am] Electronic Statements of information to the Office of BILLING CODE 8010–01–P Management and Budget for extension • Use the Commission’s Internet and approval. submission form (http://www.sec.gov/ Rule 17f–2(c) allows persons required SECURITIES AND EXCHANGE info/smallbus/acspc.shtml); or • to be fingerprinted pursuant to Section COMMISSION Send an e-mail message to rule- 17(f)(2) of the Securities Exchange Act [email protected]. Please include File of 1934 to submit their fingerprints [Release Nos. 33–8589; 34–52047, File No. Number 265–23 on the subject line; or 265–23] through a national securities exchange Paper Statements or a national securities association in Advisory Committee on Smaller Public • Send paper statements in triplicate accordance with a plan submitted to Companies and approved by the Commission. Plans to Jonathan G. Katz, Committee have been approved for the American, AGENCY: Securities and Exchange Management Officer, Securities and Boston, Chicago, New York, Pacific, and Commission. Exchange Commission, 100 F Street, NE., Washington, DC 20549–9303. Philadelphia stock exchanges and for ACTION: Notice of meeting of SEC the National Association of Securities Advisory Committee on Smaller Public All submissions should refer to File No. Dealers and the Chicago Board Options Companies. 265–23. This file number should be Exchange. included on the subject line if e-mail is It is estimated that 85,000 registered The Securities and Exchange used. To help us process and review broker-dealers submit approximately Commission Advisory Committee on your statement more efficiently, please 275,000 fingerprint cards to exchanges Smaller Public Companies is providing use only one method. The Commission or a registered security association on an notice that it will hold a public meeting staff will post all statements on the annual basis. It is approximated that it from 1 to 5:30 p.m. on each of Tuesday, Advisory Committee’s Web site (http:// should take 15 minutes per fingerprint August 9, 2005, and Wednesday, August www.sec.gov./info/smallbus/ card to comply with Rule 17f–2(c). The 10, 2005, at The John Marshall Law acspc.shtml). total reporting burden is estimated to be School, Room 300, 315 South Plymouth Statements also will be available for 68,750 hours. Court, Chicago, Illinois. The meeting public inspection and copying in the Because the Federal Bureau of will be audio webcast on the Commission’s Public Reference Room, Investigation will not accept fingerprint Commission’s Web site at http:// 100 F Street, NE., Washington, DC cards directly from submitting www.sec.gov. 20549. All statements received will be organizations, Commission approval of The agenda for the Tuesday, August 9, posted without change; we do not edit plans from certain exchanges and 2005, session includes hearing oral personal identifying information from national securities associations is testimony and considering written submissions. You should submit only essential to the Congressional goal of statements that have been filed with the information that you wish to make fingerprint personnel in the security Advisory Committee in connection with available publicly. industry. The filing of these plans for the meeting. The oral testimony will Persons wishing to provide oral review assures users and their personnel focus on the costs and burdens imposed testimony at the Tuesday, August 9, that fingerprint cards will be handled upon smaller public companies as a 2005, session should contact one of the responsibly and with due care for result of the Sarbanes-Oxley Act of 2002 SEC staff persons listed below by confidentiality. and whether the costs and burdens are August 1, 2005, and submit a written Written comments are invited on: (a) commensurate with the benefits to statement by the deadline for written Whether the proposed collection of investors and the public. The agenda for statements. Sufficient time may not be information is necessary for the proper the Wednesday, August 10, 2005, available to accommodate all those performance of the functions of the session of the meeting includes wishing to provide oral testimony. The agency, including whether the considering reports of subcommittees of Co-Chairs of the Advisory Committee information will have practical utility; the Advisory Committee and any have reserved the right to select (b) the accuracy of the agency’s estimate recommendations proposed by witnesses and limit the time of of the burden of the collection of subcommittees for adoption by the witnesses permitted to testify. information; (c) ways to enhance the Advisory Committee. The Advisory FOR FURTHER INFORMATION CONTACT: quality, utility, and clarity of the Committee expects to consider reports Kevin M. O’Neill, Special Counsel, at information collected; and (d) ways to of subcommittees on (1) defining the (202) 551–3260, or William A. Hines, minimize the burden of the collection of term ‘‘smaller public company’’ for Special Counsel, at (202) 551–3320, information on respondents, including purposes of delineating the scope of the Office of Small Business Policy, through the use of automated collection Advisory Committee’s work and scaling Division of Corporation Finance, techniques or other forms of information federal securities regulation based on Securities and Exchange Commission, technology. Consideration will be given smaller company size and (2) 100 F Street, NE., Washington, DC to comments and suggestions submitted recommending extension of the 20549–3628. in writing within 60 days of this compliance date for certain smaller SUPPLEMENTARY INFORMATION: In publication. public companies to meet requirements accordance with section 10(a) of the Please direct your written comments relating to reporting on the effectiveness Federal Advisory Committee Act, 5 to R. Corey Booth, Director/Chief of internal control over financial U.S.C.–App. 1, § 10(a), and the Information Officer, Office of reporting, in accordance with Section regulations thereunder, Gerald J. Information Technology, Securities and 404 of the Sarbanes-Oxley Act. Laporte, Designated Federal Officer of Exchange Commission, 100 F Street, DATES: Written statements should be the Committee, has ordered publication NE., Washington, DC 20549. received on or before August 2, 2005. of this notice.
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Dated: July 15, 2005. SECURITIES AND EXCHANGE received eleven comment letters in Jonathan G. Katz, COMMISSION response to the December 27, 2004 Federal Register notice.7 Committee Management Officer. [Release No. 34–52032; File No. SR–CBOE– [FR Doc. E5–3900 Filed 7–20–05; 8:45 am] On April 15, 2005, the Exchange filed 2002–03] 8 BILLING CODE 8010–01–P Amendment No. 2 to the proposed rule Self-Regulatory Organizations; change. The proposed rule change and Chicago Board Options Exchange, Amendment Nos. 1 and 2 were SECURITIES AND EXCHANGE Incorporated; Order Approving a published in the Federal Register on COMMISSION Proposed Rule Change and May 3, 2005.9 The Commission received Amendment Nos. 1 and 2 Thereto one comment in response to the May 3, Sunshine Act Meeting Relating to Customer Portfolio and 2005 Federal Register notice.10 Cross-Margining Requirements The comment letters and the Exchange’s responses to the July 14, 2005. comments 11 are summarized below. Notice is hereby given, pursuant to I. Introduction the provisions of the Government in the 7 See letter from Anthony J. Saliba, President, Sunshine Act, Public Law 94–409, that On January 15, 2002, the Chicago LiquidPoint, LLC, to Jonathan G. Katz, Secretary, the Securities and Exchange Board Options Exchange, Incorporated Commission, dated January 21, 2005 (‘‘Saliba Commission will hold the following (‘‘CBOE’’ or ‘‘Exchange’’) filed with the Letter’’); letter from Barbara Wierzynski, Executive Vice President and General Counsel, Futures meeting during the week of July 18, Securities and Exchange Commission Industry Association (‘‘FIA’’), and Gerard J. Quinn, 2005: (‘‘Commission’’), pursuant to Section Vice President and Associate General Counsel, A Closed Meeting will be held on 19(b)(1) of the Securities Exchange Act Securities Industry Association (‘‘SIA’’), to Jonathan of 1934 (‘‘Act’’) 1 and Rule 19b– 42 G. Katz, Secretary, Commission, dated January 14, Thursday, July 21, 2005 at 2 p.m. 2005 (‘‘Wierzynski/Quinn Letter’’); letter from Craig Commissioners, Counsel to the thereunder, a proposed rule change S. Donohue, Chief Executive Officer, Chicago Commissioners, the Secretary to the seeking to amend its rules, for certain Mercantile Exchange, to Jonathan G. Katz, Commission, and recording secretaries customer accounts, to allow member Secretary, Commission, dated January 18, 2005 (‘‘Donohue Letter’’); letter from Robert C. Sheehan, will attend the Closed Meeting. Certain organizations to margin listed, broad- based, market index options, index Chairman, Electronic Brokerages Systems, LLC, to staff members who have an interest in Jonathan G. Katz, Secretary, Commission, dated the matters may also be present. warrants, futures, futures options and January 19, 2005 (‘‘Sheehan Letter’’); letter from related exchange-traded funds according William O. Melvin, Jr., President, Acorn Derivatives The General Counsel of the to a portfolio margin methodology. The Management, to Jonathan G. Katz, Secretary, Commission, or his designee, has CBOE seeks to introduce the proposed Commission, dated January 19, 2005 (‘‘Melvin Letter’’); letter from Margaret Wiermanski, Chief certified that, in his opinion, one or rule as a two-year pilot program that more of the exemptions set forth in 5 Operating & Compliance Officer, Chicago Trading would be made available to member Company, to Jonathan G. Katz, Secretary, U.S.C. 552b(c)(3), (5), (7), (9)(B), and organizations on a voluntary basis. Commission, dated January 20, 2005 (‘‘Wiermanski (10) and 17 CFR 200.402(a) (3), (5), (7), The proposed rule change was Letter’’); e-mail from Jeffrey T. Kaufmann, 9(ii) and (10), permit consideration of Lakeshore Securities, L.P., to Jonathan G. Katz, published in the Federal Register on Secretary, Commission, dated January 24, 2005 the scheduled matters at the Closed 3 March 29, 2002. The Commission (‘‘Kaufmann Letter’’); letter from J. Todd Weingart, Meeting. received two comment letters in Director of Floor Operations, Mann Securities, to Commissioner Atkins, as duty officer, response to the March 29, 2002 Federal Jonathan G. Katz, Secretary, Commission, dated voted to consider the items listed for the 4 January 25, 2005 (‘‘Weingart Letter’’); letter from Register notice. On April 2, 2004, the Charles Greiner III, LDB Consulting, Inc., to closed meeting in closed session and Exchange filed Amendment No. 1 to the Jonathan G. Katz, Secretary, Commission, dated that no earlier notice thereof was proposed rule change.5 The proposed January 26, 2005 (‘‘Greiner Letter’’); letter from Jack possible. rule change and Amendment No. 1 were L. Hansen, Chief Investment Officer and Principal, published in the Federal Register on The Clifton Group, to Jonathan G. Katz, Secretary, The subject matters of the Closed Commission, dated February 1, 2005 (‘‘Hansen 6 Meeting scheduled for Thursday, July December 27, 2004. The Commission Letter’’); and letter from Barbara Wierzynski, 21, 2005, will be: Executive Vice President and General Counsel, 1 Futures Industry Association, and Ira D. Formal orders of investigations; 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. Hammerman, Senior Vice President and General Institution and settlement of injunctive 3 See Securities Exchange Act Release No. 45630 Counsel, Securities Industry Association, to actions; and (March 22, 2002), 67 FR 15263 (March 29, 2002). Jonathan G. Katz, Secretary, Commission, dated March 4, 2005 (‘‘Wierzynski/Hammerman Letter’’). 4 See letter from Carl E. Vander Wilt, Federal Institution and settlement of 8 Reserve Bank of Chicago, to Jonathan G. Katz, See Partial Amendment No. 2 (‘‘Amendment No. administrative proceedings of an Secretary, Commission, dated July 18, 2002 2’’). The Exchange submitted this partial enforcement nature. (‘‘Vander Wilt Letter’’); and e-mail from Mike Ianni, amendment, pursuant to the request of Commission Private Investor to [email protected], dated staff, to remove the paragraph under which any At times, changes in Commission November 7, 2002 (‘‘Ianni E-mail’’). affiliate of a self-clearing member organization priorities require alterations in the 5 See letter from Richard Lewandowski, Vice could participate in portfolio margining, without scheduling of meeting items. President, Division of Regulatory Services, CBOE, to being subject to the $5 million equity requirement. Michael A. Macchiaroli, Associate Director, 9 See Securities Exchange Act Release No. 34– For further information and to Division of Market Regulation (‘‘Division’’), 51614 (April 26, 2005), 70 FR 22935 (May 3, 2005); ascertain what, if any, matters have been Commission, dated April 1, 2004 (‘‘Amendment No. see also Securities Exchange Act Release No. 34– added, deleted or postponed, please 1’’). The CBOE proposed Amendment No. 1 to make 51615 (April 26, 2005), 70 FR 22953 (May 3, 2005). contact: corrections or clarifications to the proposed rule, or 10 See letter from William H. Navin, Executive to reconcile differences between the proposed rule Vice President, General Counsel, and Secretary, The The Office of the Secretary at (202) and a parallel filing by the NYSE. See Securities Options Clearing Corporation, to Jonathan G. Katz, 551–5400. Exchange Act Release No. 46576 (October 1, 2002), Secretary, Commission, dated May 27, 2005 67 FR 62843 (October 8, 2002) (File No. SR–NYSE– (‘‘Navin Letter’’). Dated: July 18 , 2005. 2002–19). 11 See letter from Timothy H. Thompson, Senior Jonathan G. Katz, 6 See Securities Exchange Act Release No. 50886 Vice President, Chief Regulatory Officer, Regulatory Secretary. (December 20, 2004), 69 FR 77275 (December 27, Services Division, CBOE, to Michael A. 2004); see also Securities Exchange Act Release No. Macchiaroli, Associate Director, Division of Market [FR Doc. 05–14460 Filed 7–18–05; 4:01 pm] 50885 (December 20, 2004), 69 FR 77287 (December Regulation, Commission, dated May 2, 2005 BILLING CODE 8010–01–P 27, 2004). (‘‘CBOE Response’’). The Commission received the
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This Order approves the proposed rule, gain or loss on each position in the 15c3–1a is the OCC’s Theoretical as amended.12 portfolio would be calculated at each of Intermarket Margining System 10 equidistant points (‘‘valuation (‘‘TIMS’’). II. Description points’’) set at and between the upper (2) Cross-Margining a. Summary of Proposed Rule Change and lower market range points. The The CBOE has proposed to amend its range for non-high capitalization indices The Exchange’s proposed rule permits rules, for certain customer accounts, to would be between a market increase of futures and futures options on broad- allow member organizations to margin 10% and a decrease of 10%. High based US securities indices to be listed broad-based securities index capitalization indices would have a included in the portfolios. options, warrants, futures, futures range of between a market increase of Consequently, futures and futures 14 options and related exchange-traded 6% and a decrease of 8%. A options would be permitted offsets to funds according to a portfolio margin theoretical options pricing model would the securities positions in a given methodology. The CBOE seeks to be used to derive position values at each portfolio. Operationally, these offsets introduce the proposed rule as a two- valuation point for the purpose of would be achieved through cross- year pilot program that would be made determining the gain or loss. The margin agreements between the OCC available to member organizations on a amount of margin (initial and and the futures clearing organizations voluntary basis. maintenance) required with respect to a holding the customer’s futures given portfolio would be the larger of: positions. Cross-margining would b. Overview—Portfolio Margin (1) The greatest loss amount among the operate similar to the cross-margin Computation valuation point calculations; or (2) the program that the Commission and the (1) Portfolio Margin sum of $.375 for each option and future Commodity Futures Trading in the portfolio multiplied by the Portfolio margining is a methodology Commission (‘‘CFTC’’) approved for contract’s or instrument’s multiplier. listed options market-makers and for calculating a customer’s margin The latter computation establishes a requirement by ‘‘shocking’’ a portfolio proprietary accounts of clearing member minimum margin requirement to ensure organizations.19 For determining of financial instruments at different that a certain level of margin is required equidistant points along a range theoretical gains and losses, and from the customer. The margin for all resultant margin requirements, the same representing a potential percentage other portfolios of broad based US increase and decrease in the value of the portfolio margin computation program securities index instruments within an will be applied to portfolio margin instrument or underlying instrument in account would be calculated in a similar the case of a derivative product. For accounts that include futures. Under the manner. proposed rule, a separate cross-margin example, the calculation points could be Certain portfolios would be allowed account must be established for a spread equidistantly along a range offsets such that, at the same valuation customer. bounded on one end by a 10% increase point, for example, 90% of a gain in one in market value of the instrument and portfolio may reduce or offset a loss in c. Margin Deficiency at the other end by a 10% decrease in another portfolio.15 The amount of market value. Gains and losses for each offset allowed between portfolios would Under the Exchange’s proposed rule, instrument in the portfolio are netted at be the same as permitted under Rule account equity would be calculated and each calculation point along the range to 15c3–1a for computing a broker-dealer’s maintained separately for each portfolio derive a potential portfolio-wide gain or net capital.16 margin account and a margin call would loss for the point. The margin Under the Exchange’s proposed rule, need to be met by the customer within requirement is the amount of the the theoretical prices used for one business day (T+1), regardless of greatest portfolio-wide loss among the computing profits and losses must be whether the deficiency is caused by the calculation points. generated by a theoretical pricing model addition of new positions, the effect of Under the Exchange’s proposed rule, that meets the requirements in Rule an unfavorable market movement, or a a portfolio would consist of, and be 15c3–1a.17 These requirements include, combination of both. The portfolio limited to, financial instruments in the among other things, that the model be margin methodology, therefore, would customer’s account within a given non-proprietary, approved by a establish both the customer’s initial and broad-based US securities index class Designated Examining Authority maintenance margin requirement. (e.g., the S&P 500 or S&P 100).13 The (‘‘DEA’’) and available on the same d. $5.0 Million Equity Requirement terms to all broker-dealers.18 Currently, CBOE Response on June 1, 2005; see also letter from the only model that qualifies under Rule The Exchange’s proposed rule would Timothy H. Thompson, Senior Vice President, Chief require a customer (other than a broker- Regulatory Officer, Regulatory Services Division, CBOE, to Michael A. Macchiaroli, Associate 14 These are the same ranges applied to options dealer or a member of a national futures Director, Division of Market Regulation, market makers under Appendix A to Rule 15c3–1 exchange) to maintain a minimum Commission, dated June 29, 2005. (17 CFR 240.15c3–1a), which permits a broker- account equity of not less than $5.0 dealer when computing net capital to calculate 12 By separate orders, the Commission also is million. This requirement can be met by approving a parallel rule filing by the NYSE [SR– securities haircuts on options and related positions NYSE–2002–19], and a related rule filing by the using a portfolio margin methodology. See 17 CFR combining all securities and futures Options Clearing Corporation (‘‘OCC’’) [SR–OCC– 240.15c3–1a(b)(1)(iv)(A); Letter from Michael accounts owned by the customer and 2003–04]. See Securities Exchange Act Release No. Macchiaroli, Associate Director, Division of Market carried by the broker-dealer (as broker- Regulation, Commission, to Richard Lewandowski, 52031 (July 14, 2005) and Securities Exchange Act dealer and futures commission Release No. 52030 (July 14, 2005). In addition, the Vice President, Regulatory Division, The Chicago staff of the Division of Market Regulation is issuing Board Options Exchange, Inc. (Jan. 13, 2000). merchant), provided ownership is certain no-action relief related to the OCC’s rule 15 These offsets would be allowed between identical across all combined accounts. filing. See letter from Bonnie Gauch, Attorney, portfolios within the High Capitalization, Broad The proposed rule would require that, Division of Market Regulation, Commission, to Based Index Option product group and the Non- in the event account equity falls below William H. Navin, General Counsel, OCC, dated High Capitalization, Broad Based Index product July 14, 2005. group. the $5 million minimum, additional 13 A‘‘portfolio’’ is defined in the rule as ‘‘options 16 17 CFR 240.15c3–1a. of the same options class grouped with their 17 See 17 CFR 240.15c3–1a(b)(1)(i)(B). 19 See Securities Exchange Act Release 26153 underlying instruments and related instruments.’’ 18 Id. (Oct. 3, 1988), 53 FR 39567 (Oct. 7, 1988).
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equity must be deposited within three portfolio margin customer with a statements and acknowledgements, business days (T+3). written risk disclosure statement at or which would allow a broker-dealer to prior to the initial opening of a portfolio develop its own format, provided the e. Net Capital margin account. This disclosure acknowledgement contains substantially The Exchange’s proposed rule would statement would highlight the risks and similar information and is approved by provide that the gross customer describe the operation of a portfolio the Exchange in advance. portfolio margin requirements of a margin account. The disclosure broker-dealer may at no time exceed statement would be divided into two i. Rationale for Portfolio Margin 1,000 percent of the broker-dealer’s net sections, one dealing with portfolio Theoretical options pricing models capital (a 10:1 ratio), as computed under margining and the other with cross- have become widely utilized since Rule 15c3–1.20 This requirement is margining. The disclosure statement Fischer Black and Myron Scholes first intended to place a ceiling on the would note that additional leverage is introduced a formula for calculating the amount of portfolio margin a broker- possible in an account margined on a value of a European style option in dealer can extend to its customers. portfolio basis in relation to existing 1973.25 Other formulas, such as the Cox- f. Internal Risk Monitoring Procedures margin requirements. The disclosure Ross-Rubinstein model have since been statement also would describe, among developed. Option pricing formulas are The Exchange’s proposed rule would other things, eligibility requirements for now used routinely by option market require a broker-dealer that carries opening a portfolio margin account, the participants to analyze and manage risk. portfolio margin accounts to establish instruments that are allowed in the In addition, as noted, a portfolio margin and maintain written procedures for account, and when deposits to meet methodology has been used by broker- assessing and monitoring the potential margin and minimum equity dealers since 1994 to calculate haircuts risks to capital arising from portfolio requirements are due. Further, there on option positions for net capital margining. would be a summary list of the special purposes.26 g. Margin at the Clearing House Level risks of a portfolio margin account, The Board of Governors of the Federal including the increased leverage, time The OCC will compute clearing house Reserve System (the ‘‘Federal Reserve frame for meeting margin calls, potential margin for the broker-dealer using the Board’’ or ‘‘FRB’’) in its amendments to for involuntary liquidation if margin is same portfolio margin methodology Regulation T in 1998 permitted SROs to not received, inability to calculate applied at the customer level. The OCC implement portfolio margin rules, future margin requirements because of will continue to require full payment for provided they are approved by the the data and calculations required, and 27 all customer long option positions. Commission. the OCC lien on long option positions. These positions, however, would be Portfolio margining brings a more risk The risks and operation of the cross- subject to the OCC’s lien. This would sensitive approach to establishing margin account are outlined in a permit the long options positions to margin requirements. For example, in a separate section of the disclosure offset short positions in the customer’s diverse portfolio some positions may statement. portfolio margin account. In conjunction appreciate and others depreciate in Further, at or prior to the time a response to a given change in market with the Exchange’s rule proposal, the portfolio margin account is initially OCC proposed amending OCC Rule 611 prices. The portfolio margin opened, the broker-dealer would be methodology recognizes offsetting and establishing a new type of omnibus required to obtain a signed account to be carried at the OCC and potential changes among the full acknowledgement concerning portfolio portfolio of related instruments. This known as the ‘‘customer’s lien margining from the customer. A account.’’ 21 In order to unsegregate the links the margin required to the risk of separate acknowledgement would be the entire portfolio as opposed to the long option positions, the Commission required for cross-margining. The staff would have to grant certain relief individual positions on a position-by- acknowledgements would contain position basis. from some requirements of Commission statements to the effect that the Rules 8c–1, 15c2–1, and 15c3–3.22 The Professional investors frequently customer has read the disclosure hedge listed index options with futures OCC requested such relief on behalf of statement and is aware of the fact that 23 positions. Cross-margining would better its members. long option positions in a portfolio h. Risk Disclosure Statement and margin account are not subject to the 25 See Securities Exchange Act Release No. 34– Acknowledgement segregation requirements under the 38248 (Feb. 6, 1997), 62 FR 6474 (Feb. 12, 1997) The Exchange’s proposed rule would Commission’s customer protection (discussing the development of the options pricing rules, and would be subject to a lien by approach to capital); see also Securities Exchange require a broker-dealer to provide a Act Release No. 33761 (March 15, 1994), 59 FR the OCC. 13275 (March 21, 1994). An additional acknowledgement form 20 17 CFR 240.15c3–1. 26 See letter from Brandon Becker, Director, 21 See SR–OCC–2003–04, Securities Exchange Act would be required for a cross-margin Division, Commission, to Mary Bender, First Vice Release No. 51330 (March 8, 2005). As noted above, account. It would contain similar President, Division of Regulatory Services, CBOE, the Commission is approving the OCC’s rule filing. statements as well as statement to the and Timothy Hinkes, Vice President, OCC, dated See Securities Exchange Act Release No. 52030 effect that the customer is aware that March 15, 1994; see also ‘‘Net Capital Rule,’’ (July 14, 2005). Securities Exchange Act Release No. 38248 22 17 CFR 240.8c–1, 17 CFR 240.15c2–1 and 17 futures positions are being carried in a (February 6, 1997), 62 FR 6474 (February 12, 1997). CFR 240.15c3–3, respectively. securities account, which would make 27 See Federal Reserve System, ‘‘Securities Credit 23 See Letter from William H. Navin, Executive them subject to the Commission’s Transactions; Borrowing by Brokers and Dealers’’; Vice President, General Counsel, and Secretary, The customer protection rules, and Regulations G, T, U and X; Docket Nos. R–0905, R– Options Clearing Corporation, to Michael A. Securities Investor Protection Act of 0923 and R–0944, 63 FR 2806 (January 16, 1998). Macchiaroli, Associate Director, Division of Market More recently, the FRB encouraged the 24 Regulation, Commission, dated January 13, 2005. 1970 (‘‘SIPA’’) in the event the broker- development of a portfolio margin approach in a As noted above, the staff of the Division of Market dealer becomes financially insolvent. letter to the Commission and the CFTC delegating Regulation is issuing a no-action letter providing The Exchange would prescribe the authority to the agencies to jointly prescribe margin such relief. See letter from Bonnie Gauch, Attorney, regulations for security futures products. See letter Division of Market Regulation, Commission, to format of the written disclosure from the FRB to James E. Newsome, Acting William H. Navin, General Counsel, OCC, dated Chairman, CFTC, and Laura S. Unger, Acting July 14, 2005. 24 24 5 U.S.C. 78aaa et seq. Chairman, Commission, dated March 6, 2001.
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align their margin requirements with the should not delay implementation of the actions necessary to enable portfolio actual risks of these hedged positions. proposed rule change and noted that it margining along with the cross-margin This could reduce the risk of forced intends to file a proposed rule component. liquidations. Currently, an option amendment that would offer alternative IV. Discussion and Commission (securities) account and futures account methods for meeting the minimum Findings of the same customer are viewed as equity requirement after the industry separate and unrelated. Moreover, an becomes acclimated to the portfolio After careful review, the Commission option account currently must be margin methodology and its operational finds that the proposed rule change, as liquidated if the risk in the positions has aspects. amended, is consistent with the increased dramatically or margin calls Several commenters stated that other requirements of the Act and the rules cannot be met, even if gains in the products should be eligible for portfolio and regulations thereunder applicable to customer’s futures account offset the margining,34 such as equities,35 as well a national securities exchange.42 In losses in the options account. If the as OCC-cleared equity derivatives.36 particular, the Commission believes that accounts are combined (i.e., cross- One commenter stated that other risk- the proposed rule change is consistent margined), unnecessary liquidation may based algorithms, such as SPAN,37 that with Section 6(b)(5) of the Act 43 in be avoided. This could lessen the are recognized by other clearing particular, in that it is designed to severity of a period of high volatility in organizations should be permitted for perfect the mechanism of a free and the market by reducing the number of calculating the portfolio margin open market and to protect investors liquidations. requirement, in addition to the OCC’s and the public interest. The TIMS.38 Commission notes that the proposed III. Summary of Comments Received In addition, one commenter stated portfolio margin rule change is intended and CBOE Response that the Securities Investor Protection to promote greater reasonableness, The Commission received a total of Corporation (‘‘SIPC’’) would need to accuracy and efficiency with respect to fourteen comment letters to the amend its rules in order to provide SIPA Exchange margin requirements for proposed rule.28 The comments, in protection to futures and options on complex listed securities index option general, were supportive. One futures in a securities account.39 The strategies. The Commission further commenter stated that ‘‘portfolio Exchange disagrees and notes that the notes that the cross-margining capability margining would enable CBOE to more proposed rule change was amended, at with related index futures positions in accurately reflect the risk exposure of the request of Commission staff, to eligible accounts may alleviate options and related positions- require the immediate transfer to excessive margin calls, improve cash potentially reducing the trading costs of another broker-dealer or the liquidation flows and liquidity, and reduce market participants and increasing the of a cross-margin account in the event volatility. Moreover, the Commission liquidity and efficiency of the that a broker-dealer becomes insolvent. notes that approving the proposed rule market.’’ 29 Some commenters, however, In addition, the Exchange believes that change would be consistent with the recommended changes to specific amendments to Commission Rule 15c3– FRB’s 1998 amendments to Regulation provisions of the proposed rule change. 3 could provide customers holding both T, which sought to advance the use of Seven of the comment letters securities and futures with protection portfolio margining. specifically objected to the $5.0 million under SIPA. Under the proposed rule changes, the equity requirement.30 Three One commenter, the OCC, strongly Commission notes that a broker-dealer commenters noted that the requirement urged the Commission to move forward choosing to offer portfolio margining to blocks certain large institutions from promptly with the approval of the its customers must employ a participating in portfolio margining proposed rule changes, and contended methodology that has been approved by because these institutions hold assets at that additional regulatory actions are the Commission for use in calculating a custodian bank and, consequently, necessary in order to implement the haircuts under Rule 15c3–1a. As stated would not hold $5.0 million in an proposed pilot programs.40 These other above, currently, TIMS is the only account with a broker-dealer.31 Five regulatory actions include: Commission approved methodology. While some commenters raised the issue that approval of SR–OCC–2003-04; a commenters recommended expanding securities index options will be at a Commission ‘‘no-action’’ letter in the choice of models, the Commission disadvantage compared with connection with SR–OCC–2003–04; an believes that requiring a broker-dealer to economically similar CFTC regulated exemptive order from the CFTC; and use a model that qualifies for calculating index futures, because futures accounts amendments to Commission Rule 15c3– haircuts under Commission Rule 15c3– have no minimum equity requirement.32 3. The Exchange agrees with the OCC 1a maintains a consistency with the The Exchange believes that the that approval of the OCC rule filing and Commission’s net capital rule and comments directed at the $5.0 million issuance of the ‘‘no-action’’ letter are across potential portfolio margin pricing equity requirements have merit, necessary to enable portfolio margining, models. As a result, portfolio margin particularly with respect to certain types including cross-margining, to be requirements would vary less from firm of accounts that must hold assets at a utilized.41 The Exchange also urged the to firm. The Commission notes, custodial bank.33 The Exchange, Commission to complete all regulatory however, that like Rule 15c3–1a, the however, stated that these comments proposed rule permits the use of another 34 See Wiermanski Letter; Saliba Letter; and theoretical pricing model, should one be 28 See supra notes 4, 7 and 10. Donohue Letter. developed in the future.44 29 See Vander Wilt Letter. 35 See Saliba Letter. 36 30 See Ianni Letter; Weingart Letter; Wiermanski See Sheehan Letter. 42 In approving this proposed rule change, the Letter; Hansen Letter; Greiner Letter; Saliba Letter; 37 SPAN is the Chicago Mercantile Exchange’s Commission notes that it has considered the and Melvin Letter. Standard Portfolio Analysis System, which is used proposed rule’s impact on efficiency, competition, 31 See Weingart Letter; Wiermanski Letter; and by many futures exchanges to calculate margin. and capital formation. 15 U.S.C. 78c(f). Melvin Letter. 38 See Donohue Letter. 43 15 U.S.C. 78f(b)(5). 32 See Weingart Letter, Wiermanski Letter; 39 See Wierzynski/Hammerman Letter. 44 See also Securities Exchange Act Release No. Hansen Letter; Saliba Letter; and Sheehan Letter. 40 See Navin Letter. 34-38248 (February 6, 1997), 62 FR 6474 (February 33 See CBOE Response. 41 See supra notes 21 and 23. Continued
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The Commission notes the objections (‘‘FICC’’), and on May 4, 2005, the FICC, and NSCC to identify their of certain commenters to the $5 million National Securities Clearing Corporation respective Top Tier members were minimum equity requirement. The (‘‘NSCC’’) filed with the Securities and revenues, clearing fund contributions, Commission believes that the Exchange Commission (‘‘Commission’’) settlement amounts, and trading requirement circumscribes the number the proposed rule changes described in volumes. Connectivity testing for the of accounts able to participate and adds Items I, II, and III below, which items Top Tier members was initiated on safety in that such accounts are more have been prepared primarily by DTC, January 1, 2004. Due to the critical likely to be of significant financial FICC, and NSCC. On June 7, 2005, importance of being able to assess means and investment sophistication. NSCC amended its proposed rule whether a Top Tier member has Finally, the Commission notes that change.2 The Commission is publishing sufficient operational capabilities, DTC, several commenters recommended this notice to solicit comments on the FICC, and NSCC have determined that expanding the products eligible for proposed rule changes from interested they need the ability to fine any Top portfolio margining. The Exchange’s parties. Tier member that does not test.5 proposed rule limits the instruments I. Self-Regulatory Organization’s Currently, each member of DTC, FICC, eligible for portfolio margining to listed and NSCC that is designated as Top Tier products based on broad-based US Statement of the Terms of Substance of the Proposed Rule Change is advised of this status and is provided securities indices, which tend to be less with information on the testing volatile than narrow-based indices and DTC, FICC, and NSCC are seeking to requirements. Under DTC, FICC, and non-index equities. The Commission establish a fine for members who fail to NSCC’s current procedures, if testing is believes this limitation is appropriate conduct connectivity testing for not completed by a Top Tier member by for the pilot program, which should business continuity purposes. the end of June, a reminder notice is serve as a first step toward the possible II. Self-Regulatory Organization’s sent to the member. Thereafter, another expansion of portfolio margining to Statement of the Purpose of, and reminder notice is sent in October and, other classes of securities. Statutory Basis for, the Proposed Rule if necessary, again in December. V.Conclusion Change The reminder notice sent in December would advise that if testing is not It is therefore ordered, pursuant to In its filing with the Commission, completed by December 31, a fine of 45 Section 19(b)(2) of the Act, that the DTC, FICC, and NSCC included $10,000 will be imposed. These fines proposed rule change (File No. SR– statements concerning the purpose of would be collected from members in CBOE–2002–03), as amended, is and basis for the proposed rule changes January of the following year. The approved on a pilot basis to expire on and discussed any comments they Membership and Risk Management July 31, 2007. received on the proposed rule changes. Committee would be notified of all For the Commission, by the Division of The text of these statements may be members that were fined for failing to Market Regulation, pursuant to delegated examined at the places specified in Item complete connectivity testing. 46 IV below. DTC, FICC, and NSCC have authority. In the event that any member fails to prepared summaries, set forth in J. Lynn Taylor, complete connectivity testing for two sections (A), (B), and (C) below, of the Assistant Secretary. successive years, the fine that would be most significant aspects of such [FR Doc. E5–3870 Filed 7–20–05; 8:45 am] imposed at that time would be $20,000. statements.3 BILLING CODE 8010–01–P Failure to complete testing for more (A) Self-Regulatory Organization’s than two successive years would result Statement of the Purpose of, and SECURITIES AND EXCHANGE Statutory Basis for, the Proposed Rule FICC, and NSCC, and others in the financial COMMISSION Change industry to manage business continuity capabilities. DTC, FICC, and NSCC developed their testing of [Release No. 34–52043; File Nos. SR–DTC– The purpose of these filings is to Top Tier firms based on the guidelines outlined in 2005–04, SR–FICC–2005–10, and SR– modify the rules of DTC, FICC, and the white paper. NSCC–2005–05] NSCC to provide that DTC, FICC, and 5 Pursuant to DTC Rule 2, ‘‘Participants and NSCC may impose a fine on any Pledgees,’’ participants must furnish, upon DTC’s Self-Regulatory Organizations; The request, information sufficient to demonstrate member that is required to conduct Depository Trust Company, Fixed operational capability. In addition, DTC Rule 21, connectivity testing for business ‘‘Disciplinary Sanctions,’’ allows DTC to impose Income Clearing Corporation, and continuity purposes and fails to do so. fines on participants for any error, delay or other National Securities Clearing In the aftermath of September 11, conduct detrimental to the operations of DTC. Corporation; Notice of Filing of Pursuant to GSD Rule 3, ‘‘Responsibility, 2001, and in conjunction with a Operational Capability, and Other Membership Proposed Rule Changes To Establish a financial industry white paper, DTC, Fine for Members Failing To Conduct Standards of Comparison-Only Members and FICC, and NSCC require connectivity Netting Members,’’ the GSD may require members Connectivity Testing testing for critical (‘‘Top Tier’’) to fulfill operational testing requirements as the 4 GSD may at any time deem necessary. Pursuant to July 15, 2005. members. The criteria used by DTC, MBSD Rule 1, Section 3 of Article III, all MBSD Pursuant to Section 19(b)(1) of the applicants and members agree to fulfill operational Securities Exchange Act of 1934 2 The NSCC amendment proposes to amend testing requirements and related reporting NSCC Rule 48, Section 1, to increase the maximum 1 requirements that may be imposed to ensure the (‘‘Act’’), notice is hereby given that on disciplinary fine for a single offense from $10,000 continuing operational capability of the applicant. May 13, 2005, The Depository Trust to $20,000. Pursuant to NSCC Rule 15, ‘‘Financial Company (‘‘DTC’’), on May 3, 2005, the 3 The Commission has modified the text of the Responsibility and Operational Capability,’’ Fixed Income Clearing Corporation summaries prepared by DTC, FICC, and NSCC. members must furnish to NSCC adequate 4 The Federal Reserve, Office of the Comptroller assurances of their financial responsibility and of the Currency, and the Commission issued operational capability as NSCC may at any time 12, 1997) (discussing in Part II.A. the use of TIMS ‘‘Interagency Paper on Sound Practices to deem necessary. In addition, NSCC Rule 48, versus other pricing models). Strengthen the Resilience of the U.S. Financial ‘‘Disciplinary Procedures’’, allows NSCC to impose 45 15 U.S.C. 78s(b)(2). System.’’ [68 FR 17809 (April 11, 2003)]. This a fine on participants for any error, delay, or other 46 17 CFR 200.30–3(a)(12). document provided guidelines that required core conduct that is determined to be detrimental to the 1 15 U.S.C. 78s(b)(1). clearing and settlement organizations, such as DTC, operations of NSCC.
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in disciplinary action, including Number SR–DTC–2005–04, SR–FICC– SECURITIES AND EXCHANGE potential termination of membership. 2005-10, and SR–NSCC–2005–05 on the COMMISSION DTC, FICC, and NSCC believe that the subject line. proposed rule changes are consistent [Release No. 34–52045; File No. SR–NASD– 2005–023] with the requirements of Section 17A of Paper Comments the Act 6 and the rules and regulations • Send paper comments in triplicate Self-Regulatory Organizations; thereunder because the implementation National Association of Securities of the proposals should help DTC, FICC, to Jonathan G. Katz, Secretary, Securities and Exchange Commission, Dealers, Inc.; Notice of Filing of and NSCC to enforce compliance with Proposed Rule Change and their connectivity testing rules for 100 F Street, NE., Washington, DC 20549–0609. Amendment No. 1 Thereto Relating to business continuity purposes and as a Representation in Arbitration and result should better enable them to All submissions should refer to File Mediation ensure the safeguarding of securities Number SR–DTC–2005–04, SR–FICC– and funds which are in their custody or 2005–10, and SR–NSCC–2005–05. July 15, 2005. control. These file numbers should be included Pursuant to section 19(b)(1) of the on the subject line if e-mail is used. To Securities Exchange Act of 1934 (B) Self-Regulatory Organization’s (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 Statement on Burden on Competition help the Commission process and review your comments more efficiently, notice is hereby given that the National DTC, FICC, and NSCC do not believe Association of Securities Dealers, Inc. please use only one method. The that the proposed rule changes will have (‘‘NASD’’), through its wholly owned Commission will post all comments on any impact or impose any burden on subsidiary, NASD Dispute Resolution, competition. the Commission’s Internet Web site Inc. (‘‘NASD Dispute Resolution’’), filed (http://www.sec.gov/rules/sro.shtml). with the Securities and Exchange (C) Self-Regulatory Organization’s Copies of the submission, all subsequent Statement on Comments on the Commission (‘‘SEC’’ or ‘‘Commission’’), amendments, all written statements on February 9, 2005 and on July 8, 2005 Proposed Rule Change Received From with respect to the proposed rule Members, Participants, or Others (Amendment No. 1), the proposed rule changes that are filed with the change as described in items I, II, and DTC, FICC, and NSCC have not Commission, and all written III below, which items have been solicited or received any written communications relating to the prepared by NASD Dispute Resolution. comments on these proposals. DTC, proposed rule changes between the The Commission is publishing this FICC, and NSCC will notify the Commission and any person, other than notice to solicit comments on the Commission of any written comments those that may be withheld from the proposed rule change from interested they receive. public in accordance with the persons. III. Date of Effectiveness of the provisions of 5 U.S.C. 552, will be 1. Self-Regulatory Organization’s Proposed Rule Change and Timing for available for inspection and copying in Statement of the Terms of Substance of Commission Action the Commission’s Public Reference the Proposed Rule Change Section, 100 F Street, NE, Washington, Within thirty-five days of the date of NASD Dispute Resolution is DC 20549. Copies of such filings also publication of this notice in the Federal proposing to amend Rule 10316 and to will be available for inspection and Register or within such longer period (i) adopt Rule 10408 of the NASD Code of as the Commission may designate up to copying at the principal offices of DTC, Arbitration Procedure (‘‘Code’’), to ninety days of such date if it finds such FICC, and NSCC and on DTC’s Web site address attorney representation in longer period to be appropriate and at http://www.dtc.org, and on FICC’s arbitration and mediation.3 Below is the publishes its reasons for so finding or Web site at http://www.ficc.com, and on text of the proposed rule change. (ii) as to which the self-regulatory NSCC’s Web site at http:// Proposed new language is in italics; organization consents, the Commission www.nscc.com. All comments received proposed deletions are in brackets. will: will be posted without change; the * * * * * (A) By order approve such proposed Commission does not edit personal rule change or identifying information from 10316. Representation in Arbitration [by (B) Institute proceedings to determine submissions. You should submit only Counsel] whether the proposed rule change should be disapproved. information that you wish to make (a) Representation by a Party available publicly. IV. Solicitation of Comments Parties may represent themselves in All submissions should refer to File an arbitration held in a United States Interested persons are invited to Number SR–DTC–2005–04, SR–FICC– hearing location. A member of a submit written data, views, and 2005–10, and SR–NSCC–2005–05 and partnership may represent the arguments concerning the foregoing, should be submitted on or before including whether the proposed rule August 5, 2005. 1 15 U.S.C. 78s(b)(1). changes are consistent with the Act. 2 17 CFR 240.19b–4. Comments may be submitted by any of For the Commission by the Division of 3 These provisions will be renumbered as the following methods: Market Regulation, pursuant to delegated appropriate following Commission approval of the authority.7 following proposed rule changes published on June Electronic Comments J. Lynn Taylor, 23, 2005: Revision of Customer Portion of Code of • Arbitration Procedure, Exchange Act Rel. No. 51856 Use the Commission’s Internet Assistant Secretary. (June 15, 2005), 70 FR 36442 (June 23, 2005) (SR– comment form (http://www.sec.gov/ [FR Doc. E5–3871 Filed 7–20–05; 8:45 am] NASD–2003–1580); Revision of Industry Portion of rules/sro.shtml) or Code of Arbitration Procedure, Exchange Act Rel. • Send an E-mail to rule- BILLING CODE 8010–01–P No. 51857 (June 15, 2005), 70 FR 36430 (June 23, 2005) (SR–NASD–2004–011); and the NASD [email protected]. Please include File Arbitration Rules for Mediation Proceedings, Exchange Act Rel. No. 51855 (June 15, 2005), 70 FR 6 15 U.S.C. 78q–1. 7 17 CFR 200.30-3(a)(12). 36440 (June 23, 2005) (SR–NASD–2004–013).
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partnership; and a bona fide officer of II. Self-Regulatory Organization’s 5.5) to permit an attorney to represent a corporation, trust, or association may Statement of the Purpose of, and a client in a United States jurisdiction represent the corporation, trust, or Statutory Basis for, the Proposed Rule in which he or she is not licensed association. Change without violating the jurisdiction’s unauthorized practice of law rules, so (b) Representation by an Attorney In its filing with the Commission, NASD included statements concerning long as the representation is related to At any stage of an arbitration the purpose of and basis for the an arbitration or medication.6 While proceeding held in a United States proposed rule change and discussed any Model Rule 5.5 establishes a new hearing location, [A]all parties shall comments it received on the proposed standard for certain types of legal have the right to [representation by rule change. The text of these statements activity, it can be enforced only if a state counsel at any stage of the proceedings.] may be examined at the places specified adopts it into law. Fourteen states have be represented by an attorney at law in Item IV below. NASD has prepared either adopted Model Rule 5.5 or a admitted to practice before the Supreme summaries, set forth in Sections (A), (B), similar version of the rule.7 Other states Court of the United States or the highest and (C) below, of the most significant have adopted a temporary practice rule, court of any state of the United States, aspects of such statements. similar to Model 5.5, which allows an the District of Columbia, or any attorney not licensed in a state to (A) Self-Regulatory Organization’s provide certain types of legal services in commonwealth, territory, or possession Statement of the Purpose of, and of the United States. the state on a limited basis.8 In those Statutory Basis for, the Proposed Rule states where a temporary practice rule (c) Qualification of Representative Change has yet to be adopted, the state bar associations appear willing to grant Issues regarding the qualifications of (a) Purpose requests from attorney not licensed in a person to represent a party in Background. NASD Dispute those states to represent clients in an arbitration are governed by applicable Resolution believes a rule is needed to arbitration in those states.9 law and may be determined by an address the issue of multi-jurisdictional Representation by an Attorney in appropriate court or other regulatory practice of law in arbitration and NASD Arbitration Forum. The proposed agency. In the absence of a court order, mediation.4 The multi-jurisdictional rule change would clarify that a party the arbitration proceeding shall not be practice of law occurs when attorneys, may be represented by an attorney stayed or otherwise delayed pending licensed in one United States admitted to practice by the United resolution of such issues. jurisdiction, practice law in a States Court, the highest court of any * * * * * jurisdiction in which they are not licensed. In the area of arbitration, for 6 Model Rule 5.5, as amended, would allow a 10408. Representative in Mediation example, it is common for an attorney United States lawyer, admitted in one United States (a) Representation by Party licensed to practice law in one state to jurisdiction, to engage in certain types of legal represent a client in an arbitration activity in another United States jurisdiction where Parties may represent themselves in proceeding in another state in which the he is not licensed to practice, without being deemed to be engaging in the unauthorized practice of law. mediation held in a United States attorney is not licensed. Although this As amended, Model Rule 5.5 states that a lawyer hearing location. A member of a practice is common, it can be a violation may provide legal services on a temporary basis in partnership may represent the of state unauthorized practice of law an out-of-state jurisdiction that: (1) Are undertaken partnership; and a bona fide officer of provisions. Until recently, most states in association with a lawyer who is admitted to had taken no action against this practice in the jurisdiction and who actively a corporation, trust, or association may participates in the matter; (2) are in or reasonably represent the corporation, trust, or practice. However, recent case law related to a pending or potential proceeding before association. developments suggest that some states a tribunal in the jurisdiction or another jurisdiction, may be reconsidering this position. For if the lawyer, or a person the lawyer is assisting, (b) Representation by an Attorney example, three state court rulings have is authorized by law or order to appear in such proceeding or reasonably expects to be so found that an out-of-state attorney At any stage of a mediation authorized; (3) are in or reasonably related to a providing representation in an proceeding held in a United States pending or potential arbitration, mediation, or other arbitration proceeding is engaging in the alternative dispute resolution proceeding in the hearing location, all parties shall have practice of law in the state in which the jurisdiction or another jurisdiction, if the services the right to be represented by an arise out of or are reasonably related to the lawyer’s proceeding occurs, and that it is a attorney at law admitted to practice practice in a jurisdiction in which the lawyer is violation of the state’s unauthorized before the Supreme Court of the United admitted to practice and are not services for which practice of law statute to participate in the forum requires pro hac vice admission; or (4) States or the highest court of any state such a proceeding without being are not within paragraphs 2 or 3, and arise out of of the United States, the District of 5 or are reasonably related to the lawyer’s practice in licensed in that jurisdiction. a jurisdiction in which the lawyer is admitted to Columbia, or any commonwealth, In light of these developments and the territory, or possession of the United practice. This rule is sometimes referred to as the trend toward multi-jurisdictional temporary practice rule. States. practice, the American Bar Association 7 Seven additional states have recommendations (ABA) amended its Model Rule of pending in their states’ highest courts to adopt a (c) Qualifications of Representatives rule identical or similar to Rule 5.5. American Bar Professional Conduct 5.5 (Model Rule Association, Commission on Multijurisdictional Issues regarding the qualifications of Practice, State Implementation of ABA Model Rule a person to represent a party in 4 The proposed rule change is intended to address 5.5 (visited Jan. 31, 2005) http://www.abanet.org/ mediation are governed by applicable the issue of multi-jurisdictional practice of law by cpr/mjp-home.html. law and may be determined by an attorneys. The proposed rule change does not 8 The laws of Michigan and Virginia specifically address the issue of representation by non-attorneys authorize occasional or incidental practice of out- appropriate court or other regulatory in arbitration and medication cases. of-state lawyers. See Mich. Comp. Law Ann. sec. agency. In the absence of a court order, 5 See Birbrower, Montalbano, Condo & Frank v. 600.916 and Va. State Bar Rule, Pt. 6, sec. 1(C). the mediation proceeding shall not be Superior Court, 949 P.2d 1 (Cal. 1998); see also 9 See Philadelphia Bar Association, Ethics delayed pending resolution of such Florida Bar v. Rapoport, 845 Sa. 2d 874, 2003 Fla. Opinions, Opinion 2003–13 (December 2003) issues. LEXIS 250 (Fla. 2003) and Disciplinary Council v. (advising an attorney not licensed in Pennsylvania Alexicole, Inc., et al., 2004 Ohio LEXIS 3032 (Ohio that he could conduct an arbitration in * * * * * 2004). Philadelphia).
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state of the United States, the District of the outcome of an arbitration or (C) Self-Regulatory Organization’s Columbia, or any commonwealth, medication proceeding more than the Statement on Comments on the territory, or possession of the United jurisdiction from which the attorney Proposed Rule Change Received From States.10 The proposed rule change also received his license to practice. Members, Participants, or Others explicitly states that, as is currently Further, NASD believes that the Written comments were neither permitted, parties may represent proposed rule change sets a standard of solicited nor received. themselves in NASD arbitration proceedings. practice for the arbitration forum that is III. Date of Effectiveness of the The proposed rule change states that consistent with the other rules and Proposed Rule Change and Timing for a party has the right to be represented proceedings of NASD. Rule 9141(b) of Commission Action the NASD Code of Procedure states, in by an attorney at law admitted to Within 35 days of the date of practice before the United States relevant part, that a person may be publication of this notice in the Federal Supreme Court, the highest court of any represented in any disciplinary Register or within such longer period (i) state of the United States, the District of proceeding by an attorney at law as the Commission may designate up to Columbia, or any commonwealth, admitted to practice before the highest 90 days of such date if it finds such territory, or possession of the United court of any state of the United States, longer period to be appropriate and States. Representation by an attorney is the District of Columbia, or any publishes its reasons for so finding or not required under this proposal. commonwealth, territory, or possession (ii) as to which the self-regulatory However, NASD believes that of the United States.12 organization consents, the Commission representation by an attorney will Moreover, the SEC (as well as other will: protect the public and benefit investors federal agencies) also has a similar A. By order approve such proposed by ensuring that a party’s representative rule change, or has a minimum level of skill, training, practice rule. Rule 102(b) of the SEC Rules of Practice states that, in any B. Institute proceedings to determine and character to provide effective whether the proposed rule change 11 proceeding, a person may be representation in arbitration. should be disapproved. Under the proposed rule change, represented by an attorney at law attorneys could represent a client in an admitted to practice before the Supreme IV. Solicitation of Comments NASD arbitration or mediation, held in Court of the United States or the highest Interested persons are invited to any United States hearing location, court of any State.13 submit written data, views, and regardless of the jurisdiction in which (b) Statutory Basis arguments concerning the foregoing, the attorneys are licensed. The including whether the proposed rule attorney’s qualifications to participate as NASD believes that the proposed rule change, as amended, is consistent with representatives in a jurisdiction in change is consistent with the provisions the Act. Comments may be submitted by which they are not licensed would be of Section 15A(b)(6) of the Act, which any of the following methods: subject to the applicable law of that requires, among other things, that the jurisdiction. NASD believes the Electronic Comments Association’s rules must be designed to • proposed rule change would assist prevent fraudulent and manipulative Use the Commission’s Internet attorneys in addressing the issue of acts and practices, to promote just and comment form (http://www.sec.gov/ multi-jurisdictional practice without rules/sro.shtml); or equitable principles of trade, and, in encroaching on the states’ rights to • Send an e-mail to rule- general, to protect investors and the determine what activities violate the [email protected]. Please include File public interest. NASD believes that the states’ unauthorized practice of law Number SR–NASD–2005–023 on the provisions. The proposed rule change is proposed rule change clarifies a subject line. standard of practice in its arbitration not intended to prevent a state from Paper Comments deciding that an out-of-state attorney forum, which will foster uniformity and may have violated a state’s consistency in arbitration proceedings. Send paper comments in triplicate to unauthorized practice of law provision As a result, NASD believes that the Jonathan G. Katz, Secretary, Securities by representing a party in an NASD proposed rule change will enhance the and Exchange Commission, 100 F arbitration or mediation. It is intended, administration and operation of the Street, NE., Washington, DC 20549– however, to reflect current practice in arbitration process, thereby protecting 9303. the forum, which, based on experience, investors and the public interest. All submissions should refer to File Number SR–NASD–2005–023. This file shows that the level of knowledge, (B) Self-Regulatory Organization’s training and skill of an attorney affects number should be included on the Statement on Burden on Competition subject line if e-mail is used. To help the
10 Commission process and review your The proposed rule change would apply only to NASD does not believe that the comments more efficiently, please use hearing locations in the United States, which proposed rule change will result in any include any commonwealth, territory, or possession only one method. The Commission will burden on competition that is not of the United States. post all comments on the Commission’s 11 While not addressed in the proposed rule necessary or appropriate in furtherance Internet Web site (http://www.sec.gov/ change, the NASD continues to be concerned about of the purposes of the Act, as amended. the on-going problems that are caused by the rules/sro.shtml). Copies of the practice of non-attorney representatives in the submission, all subsequent forum. These problems, which have been well 12 This rule has been enforced in NASD amendments, all written statements documented, may have negative implications for Enforcement proceedings. In two similar cases, a parties in arbitration. See Securities Arbitration respondent’s answer was stricken from the record with respect to the proposed rule Reform, Report of the Arbitration Policy Task Force because the respondent’s representative had not change that are filed with the to the Board of Governors, National Association of indicated that he was a licensed attorney. See Commission, and all written Securities Dealers, Inc. (January 1996); see also NASDR Office of the Hearing Officers, OHO Order communications relating to the Report of the Securities Industry Conference on 97–15 (C01970032); see also OHO Order 98–10 Arbitration on Representation of Parties in (C10970176). proposed rule change between the Arbitration by Non-Attorneys, 22 Fordham Urb. L. 13 See SEC Rules of Practice, 17 CFR § 201.102(b) Commission and any person, other than J. 507 (1995). (2004). those that may be withheld from the
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public in accordance with the I. Self-Regulatory Organization’s variable annuities and for customers provisions of 5 U.S.C. 552, will be Statement of the Terms of the Substance who purchase or exchange them. available for inspection and copying in of the Proposed Rule Deferred variable annuities are hybrid the Commission’s Public Reference investments containing both securities Room, 100 F Street, NE., Washington, NASD is proposing to adopt a new and insurance features. They offer rule, proposed NASD Rule 2821, to DC 20549. Copies of such filing also will choices among a number of complex create recommendation requirements be available for inspection and copying contract features (e.g., deferred variable (including a suitability obligation), at the principal office of NASD. All annuity contracts may offer various principal review and approval types of death benefits, rebalancing comments received will be posted requirements, and supervisory and features, dollar cost averaging options, without change; the Commission does training requirements tailored and optional riders such as a guaranteed not edit personal identifying specifically to transactions in deferred minimum income benefit, estate information from submissions. You variable annuities. The text of the protection enhancements, or long-term should submit only information that proposed rule is available on NASD’s care insurance, in addition to a range of you wish to make available publicly. All Web site (http://www.nasd.com), at choices among investment options).5 submissions should refer to the File NASD’s principal office, and at the The amount that will accumulate and be Number SR–NASD–2005–023 and Commission’s Public Reference Room. paid to the investor pursuant to a should be submitted on or before deferred variable annuity will fluctuate August 11, 2005. II. Self-Regulatory Organization’s depending on the investment options Statement of the Purpose of, and that the investor chooses. Investors also For the Commission, by the Division of Statutory Basis for, the Proposed Rule Market Regulation, pursuant to delegated can be subject to the following fees or 14 charges: Surrender charges (which the authority. In its filing with the Commission, investor owes if he or she withdraws J. Lynn Taylor, NASD included statements concerning money from the annuity before a the purpose of and basis for the Assistant Secretary. specified period); mortality and expense proposed rule and discussed any [FR Doc. 05–14444 7–20–05; 8:45 am] risk charges (which the insurance comments it received on the proposed BILLING CODE 8010–01–M company charges for the insurance risk rule. The text of these statements may it takes under the contract); be examined at the places specified in administrative fees (which are used for SECURITIES AND EXCHANGE Item IV below. NASD has prepared recordkeeping and other administrative COMMISSION summaries, set forth in Sections A, B, expenses); underlying fund expenses and C below, of the most significant (which relate to the investment options); aspects of such statements. [Release No. 34–52046A; File No. SR– and charges for special features and NASD–2004–183] A. Self-Regulatory Organization’s riders. Moreover, an investor’s Statement of the Purpose of, and withdrawal of earnings before he or she Self-Regulatory Organizations; Statutory Basis for, the Proposed Rule reaches the age of 591⁄2 is generally National Association of Securities subject to a 10-percent penalty under Dealers; Notice of Filing of Proposed 1. Purpose the Internal Revenue Code. Rule and Amendment No. 1 Thereto In addition to the complexity of the NASD is proposing a new rule, product—and perhaps, in part, because Relating to Sales Practice Standards proposed Rule 2821, that would impose and Supervisory Requirements for of it—NASD examinations and specific sales practice standards and investigations have uncovered various Transactions in Deferred Variable supervisory requirements on members questionable sales practices. In some Annuities; Corrected for transactions in deferred variable instances, associated persons sold annuities.4 NASD has been concerned July 19, 2005. deferred variable annuities to elderly about deferred variable annuity customers for whom such long-term, Pursuant to Section 19(b)(1) of the transactions for some time. In part, this illiquid products were not suitable. In Securities Exchange Act of 1934 concern stems from the complexities of others, associated persons sold deferred (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 the products, which can cause variable annuities without explaining notice is hereby given that on December confusion both for persons associated (and, in some cases, without knowing) 14, 2004, the National Association of with members who sell deferred the characteristics of the products. On a Securities Dealers, Inc. (‘‘NASD’’) filed number of occasions, associated persons with the Securities and Exchange 4 In general, a variable annuity is a contract recommended that customers exchange Commission (‘‘SEC’’ or ‘‘Commission’’), between an investor and an insurance company, one deferred variable annuity for whereby the insurance company promises to make the proposed rule as described in Items periodic payments to the contract owner or another without ensuring that such I, II, and III below, which Items have beneficiary, starting immediately (an immediate exchanges were beneficial for their been prepared by NASD. On July 8, variable annuity) or at some future time (a deferred customers or properly disclosing costs. variable annuity). See Joint SEC and NASD Staff NASD also determined that a number of 2005, NASD filed Amendment No. 1 to Report on Broker-Dealer Sales of Variable Insurance the proposed rule.3 The Commission is Products (June 2004) (‘‘Joint Report’’); NASD Notice firms had, in general, failed to publishing this notice to solicit to Members 99–35 (May 1999). The proposed rule adequately train and supervise comments on the proposed rule from focuses exclusively on transactions in deferred associated persons regarding deferred variable annuities. NASD recognizes that variable annuity sales. interested persons. transactions involving immediate variable annuities have begun to increase recently, and NASD will When NASD first began noticing these continue to monitor sales practices relating to these problems, it acted quickly and 14 17 CFR 200.30–3(a)(12). products. Currently, however, deferred variable persistently to address them on several annuities make up the majority of variable annuity 1 15 U.S.C. 78s(b)(1). fronts. NASD issued Notices to Members transactions. Moreover, to date, most of the 2 17 CFR 240.19b–4. problems associated with transactions in variable that provided guidelines and reminders 3 The amendment clarified the rule’s text and annuities that NASD has uncovered involve the provided additional explanations of that text. purchase or exchange of deferred variable annuities. 5 See Joint Report, supra, note 4.
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about members’ suitability and In light of these issues, NASD recommendations to individual plan supervisory obligations regarding determined that it needed to create a participants regarding a deferred variable annuities.6 NASD also issued rule specifically covering deferred variable annuity, the proposed rule Investor Alerts and Regulatory & variable annuities. In general, NASD’s would apply as to the individual plan Compliance Alerts, strengthened its guidelines on deferred variable annuity participants to whom the member examination program and brought a transactions, developed with substantial makes such recommendations (but number of significant enforcement input from industry participants and would not apply as to the plan sponsor, actions concerning deferred variable published in Notice to Members 99–35 trustee or custodian regarding the plan- annuities.7 (May 1999), served as the basis for the level selection of investment vehicles Despite these efforts, problematic proposed rule. and options for such plans). The proposed rule would apply to the sales practices continued. At present, The proposed rule has four main purchase or exchange of a deferred NASD is still seeing some of the same requirements. First, the proposal has variable annuity and the subaccount problems that it first noticed in the late requirements governing allocations.9 The proposed rule would 1990s. In June 2004, NASD and the SEC recommendations, including a not apply to reallocations of issued a Joint Report on examination suitability obligation, specifically subaccounts made after the initial findings regarding broker-dealer sales of tailored to deferred variable annuity purchase or exchange of a deferred 10 variable insurance products.8 As transactions. Second, the proposal variable annuity. However, other NASD discussed in the Joint Report, recent includes various principal review and rules would continue to apply. For approval obligations.11 The proposal NASD and SEC examinations uncovered instance, NASD’s suitability rule, Rule a number of problem areas, including would require that a registered principal 2310, would apply to any review and approve the transaction suitability, disclosure, supervision, recommendations to reallocate books/records and training. In addition prior to transmitting a customer’s subaccounts. application for a deferred variable to the NASD and SEC examinations The proposed rule also would not discussed in the Joint Report, NASD’s annuity contract to the issuing apply to deferred variable annuities sold 12 Variable Annuity Task Force, an insurance company for processing. to certain tax-qualified, employer- However, the timeframe for principal organization-wide initiative, is in the sponsored retirement or benefit plans process of conducting special exams of review and approval would depend on but would apply to the purchase or whether the principal’s review occurs various members and, although the exchange of deferred variable annuities analyses of those exams are not before or after the customer provides the to fund IRAs. In part, NASD determined member with the purchase payment for complete, NASD has discovered not to exclude IRAs from the proposal’s problems similar to those reported in the deferred variable annuity. That is, if coverage because, unlike transactions principal review occurs after payment the Joint Report at some members. for tax-qualified, employer-sponsored has been made, additional rules may be Moreover, NASD has received a number retirement or benefit plans, investors implicated. NASD Rule 2820(d), for of customer complaints indicating that funding IRAs are not limited to the instance, requires members to promptly the customers did not understand the options provided by a plan. However, transmit the application and the unique features of the deferred variable even in the case of a tax-qualified, purchase payment for a variable annuities and raising suitability employer-sponsored retirement or contract to the issuing insurance concerns based on the customers’ benefit plan, if a member makes investment objectives and liquidity company. Similarly, various financial responsibility obligations under SEC needs. 9 NASD notes that the proposed rule focuses on customer purchases and exchanges of deferred Rules 15c3–1 and 15c3–3 require certain variable annuities, areas that, to date, have given 6 See, e.g., NASD Notice to Members 99–35 (May members to promptly transfer/forward rise to many of the problems NASD has uncovered. 1999) (providing guidance to assist members in funds. On the other hand, if principal The proposed rule does not include requirements developing appropriate procedures relating to for customer sales of deferred variable annuities review and approval occurs before variable annuity transactions); Notice to Members because NASD believes that such transactions are payment has been made, NASD Rule 96–86 (Dec. 1996) (reminding members of their fully and adequately covered by Rule 2310, NASD’s suitability obligations regarding variable annuity 2820(d) and SEC Rules 15c3–1 and general suitability rule. Rule 2310 requires that, 15c3–3 would not affect the principal transactions). when recommending that a customer purchase, sell 7 In 2001, NASD issued an Investor Alert entitled or exchange a security, an associated person review and approval obligations under ‘‘Should You Exchange Your Variable Annuity?’’ determine whether the recommendation is suitable the proposed new rule. highlighting important issues that investors should for the customer. In general, deferred variable Third, members would be required to consider before agreeing to exchange a variable annuities are suitable only as long-term investments establish and maintain specific written annuity. In 2002, NASD issued a Regulatory & and are inappropriate short-term trading vehicles. Compliance Alert, entitled ‘‘NASD Regulation As part of any analysis under Rule 2310 regarding supervisory procedures reasonably Cautions Firms for Deficient Variable Annuity the suitability of a recommendation that a customer designed to achieve compliance with Communications,’’ that, among other things, sell a deferred variable annuity, the associated the standards set forth in the proposed discussed NASD’s discovery of unacceptable sales person must consider significant tax consequences, rule.13 Pursuant to the proposed practices regarding variable annuities. In another surrender charges and loss of death or other Regulatory & Compliance Alert in 2002, entitled benefits. As NASD emphasized in a Regulatory & supervisory-procedure requirements, ‘‘Reminder—Suitability of Variable Annuity Sales,’’ Compliance Alert in 2002, entitled ‘‘Reminder— members would need to establish NASD emphasized, in part, that an associated Suitability of Variable Annuity Sales,’’ members certain standards that are reasonably person must be knowledgeable about a variable and their associated persons ‘‘must keep in mind annuity before he or she can determine whether a that the suitability rule applies to any designed to ensure that transactions in recommendation to purchase, sell or exchange the recommendation to sell a variable annuity deferred variable annuities are variable annuity is appropriate. In 2003, NASD regardless of the use of the proceeds, including appropriately supervised. NASD also issued an Investor Alert, entitled ‘‘Variable situations where the member recommends using the emphasizes that the member must have Annuities: Beyond the Hard Sell,’’ which cautioned proceeds to purchase an unregistered product such investors about certain inappropriate sales tactics as an equity-indexed annuity. Any recommendation 10 and highlighted the unique features of these to sell the variable annuity must be based upon the See proposed Rule 2821(b); and Part C, infra. products. For a discussion of some of the financial situation, objectives and needs of the 11 See proposed Rule 2821(c). disciplinary cases that NASD has brought involving particular investor.’’ NASD, however, will continue 12 As part of his or her review, a principal would deferred variable annuities, see Joint Report, supra, to monitor customer sales of deferred variable be required to consider all of the factors listed in note 4. annuities and will pursue additional rulemaking or section (c)(1) of the proposed rule. 8 See Joint Report, supra, note 4. other action as necessary. 13 See proposed Rule 2821(d).
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policies and procedures in place that are the Notice. A copy of the index to registered principals regarding the reasonably designed to ensure that an comment letters received in response to unique features of deferred variable associated person promptly sends the the Notice was submitted as part of the annuities. original application or a copy thereof to original rule filing as Exhibit 2b A number of commenters also a principal for review, consistent with (submitted in hard copy). Copies of the questioned the need for point-of-sale the requirements of proposed Rule comment letters received in response to disclosures, stating in particular that the 2821(c). the Notice were submitted as part of the transaction-specific, written-disclosure Fourth, the proposal has a training original rule filing as Exhibit 2c requirements proposed in the Notice component.14 Members would be (submitted in hard copy). The were unhelpful and unworkable. NASD required to develop and document overwhelming majority of commenters has not included the written-disclosure specific training policies or programs opposed the proposal. Fourteen requirements contained in its Notice in designed to ensure that associated commenters fully supported the the current proposed rule, but will persons who effect and registered proposal and an additional 20 continue to explore this issue and will principals who review transactions in commenters offered partial or qualified separately consider whether to propose deferred variable annuities comply with support for the proposal. such requirements in the future. NASD the requirements of the proposal and Most commenters questioned the notes, however, that proposed Rule that they understand the material need for the proposal described in the 2821(b) (Recommendation features of deferred variable annuities. Notice, stating that the proposal is Requirements) continues to provide, as NASD will announce the effective duplicative of existing rules and that in the Notice, that no member or date of the proposed rule in a Notice to NASD should simply enforce those associated person shall recommend to a Members to be published no later than existing rules. NASD disagrees. customer the purchase or exchange of a 60 days following Commission Certainly, NASD can and does deferred variable annuity unless the approval. The effective date will be 120 vigorously pursue those who engage in member or associated person has a days following publication of the Notice misconduct, but after-the-fact reasonable basis to believe that, among to Members announcing Commission enforcement actions simply do not other things, the customer has been approval. appear to be sufficiently effective at informed of the material features of the combating the problems NASD has deferred variable annuity.16 This 2. Statutory Basis uncovered. provision will promote increased NASD believes that the proposed rule Moreover, the proposed rule does not customer awareness of the material is consistent with the provisions of merely aggregate existing requirements. terms and features of the deferred Section 15A(b)(6) of the Act, which The proposed rule is tailored to deferred variable annuity, although, unlike the requires, among other things, that NASD variable annuities and addresses issues written-disclosure requirements rules must be designed to prevent not currently covered by existing rules. contained in the Notice, the fraudulent and manipulative acts and For instance, the proposed rule ‘‘Recommendation Requirements’’ do practices, to promote just and equitable explicitly requires that an associated not prescribe the specific form of principles of trade and, in general, to person have reasonable grounds for disclosure.17 NASD further notes that protect investors and the public interest. believing that the customer has been the Commission has proposed a rule NASD believes that the proposed rule is informed of the material features of the that would require point-of-sale 15 consistent with the provisions of the Act deferred variable annuity. The disclosure of certain fee information noted above in that it will enhance proposed rule describes the type of regarding, among other products, members’ compliance and supervisory information that an associated person variable annuities.18 Numerous systems and provide more must consider in determining the commenters argued that the timing of comprehensive and targeted protection suitability of an investment in a principal review in the Notice was to investors in deferred variable deferred variable annuity. The proposed unreasonable and could actually annuities. As such, the proposed rule rule highlights the important factors that prohibit principals from thoughtfully will decrease the likelihood of fraud and registered principals must consider reviewing transactions. The Notice manipulative acts and increase investor before approving a deferred variable stated that a principal had to review and protection. annuity transaction. The proposed rule approve the transaction no later than also requires members to provide one business day following the date B. Self-Regulatory Organization’s training to associated persons and Statement on Burden on Competition when the customer signed the application. NASD has modified the NASD does not believe that the 15 See proposed Rule 2821(b)(1)(A). Pursuant to this requirement, the associated person should, at timing of principal review. The proposed rule will result in any burden proposed rule now would require on competition that is not necessary or a minimum, highlight for the customer the following material features of the deferred variable principal review and, if appropriate, appropriate in furtherance of the annuity: (1) The surrender period; (2) potential approval before the member or person purposes of the Act. surrender charge; (3) potential tax penalty if the customer sells or redeems the deferred variable 16 C. Self-Regulatory Organization’s annuity before he or she reaches the age of 591⁄2; See proposed Rule 2821(b)(1)(A). Statement on Comments on the (4) mortality and expense fees; (5) investment 17 See proposed Rule 2821(b)(1)(A). Proposed Rule Received From Members, advisory fees; (6) charges for and features of 18 See SEC Proposed Rule Regarding enhanced riders, if any; (7) the insurance and Confirmation Requirements and Point of Sale Participants, or Others investment components of the deferred variable Disclosure Requirements for Transactions in Certain The proposed rule was published for annuity; and (8) market risk. Cf. Joint Report, supra, Mutual Funds and Other Securities, Rel. Nos. 33– note 4 (‘‘Registered representatives should discuss 8358, 34–49148, IC–26341 (Jan. 29, 2004), 69 FR comment in NASD Notice to Members with the customer all relevant facts such as fees and 6438 (Feb. 10, 2004); SEC Proposed Rule, 04–45 (June 2004). A copy of the Notice expenses * * *, the lack of liquidity of these Reopening of Comment Period and Supplemental to Members was submitted as part of the products * * *, and market risk’’); NASD Notice to Request for Comment Regarding Confirmation original rule filing as Exhibit 2a. NASD Members 99–35 (May 1999) (same); see also Larry Requirements and Point of Sale Disclosure Ira Klein, 52 S.E.C. 1030, 1036 (1996) (‘‘Klein’s Requirements for Transactions in Certain Mutual received 1,129 comments in response to delivery of a prospectus to Towster does not excuse Funds and Other Securities, Rel. Nos. 33–8544, 34– his failure to inform her fully of the risks of the 51274, IC–26778 (Feb. 28, 2005), 70 FR 10521 (Mar. 14 See proposed Rule 2821(e). investment package he proposed.’’). 4, 2005).
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associated with the member transmits A number of commenters also called compared with other investment the customer’s application for a deferred for the elimination of the principal vehicles.20 variable annuity contract to the issuing review requirements for non- III. Date of Effectiveness of the insurance company. NASD believes that recommended transactions. Due to the Proposed Rule and Timing for this requirement provides members complexity of the products, NASD Commission Action with some flexibility while at the same believes that it is appropriate to require time ensuring that a principal reviews firms to review both recommended and Within 35 days of the date of the application before a contract is non-recommended deferred variable publication of this notice in the Federal issued. annuity transactions. The proposed rule Register or within such longer period (i) NASD disagrees with those creates standards that will ensure that as the Commission may designate up to commenters who suggested that state- firms perform a consistent, baseline 90 days of such date if it finds such required ‘‘free look’’ periods make early analysis of transactions, regardless of longer period to be appropriate and principal review unnecessary. In whether the particular transaction has publishes its reasons for so finding or general, a ‘‘free look’’ period allows the been recommended, thereby enhancing (ii) as to which the self-regulatory customer to terminate the contract investor protection for all customers. organization consents, the Commission without paying any surrender charges NASD, moreover, is aware of instances will: (A) By order approve such proposed and receive a refund of the purchase where associated persons have told their firms that deferred variable annuity rule, or payments or the contract value, as (B) Institute proceedings to determine required by applicable state law. Free- transactions were not recommended in order to bypass their firms’ compliance whether the proposed rule should be look periods, which vary by state law, disapproved. typically range from 10 to 30 days. requirements for recommended or solicited sales. The proposed rule’s IV. Solicitation of Comments Allowing a suitability analysis, for principal-review requirements for non- instance, to be reviewed by a principal recommended transactions should Interested persons are invited to long after an insurance company issues reduce the incentive for persons to submit written data, views, and a deferred variable annuity contract engage in such conduct. arguments concerning the foregoing, would be inconsistent with an adequate Finally, a number of commenters including whether the proposed rule is supervisory system (which must be stated that the proposed rule should not consistent with the Act. Comments may reasonably designed to detect and apply to transactions involving tax- be submitted by any of the following prevent problematic sales). A delayed qualified, employer-sponsored methods: principal review would make it difficult retirement or benefit plans. After further Electronic Comments for a member to quickly identify analysis, NASD agrees with these • problematic trends, such as mini- commenters and has created an Use the Commission’s Internet replacement campaigns (a practice in exception for transactions involving comment form (http://www.sec.gov/ which registered representatives such plans under certain circumstances. rules/sro.shtml); or • exchange a high percentage of their NASD emphasizes, however, that Send an e-mail to rule- customers’ existing contracts for new members should pay close attention to [email protected]. Please include File contracts, in some cases to meet deferred variable annuity transactions in Number SR–NASD–2004–183 on the production requirements or to generate IRAs, which do not qualify for the subject line. commissions). Allowing principal proposed exception for tax-qualified, Paper Comments review to occur after a significant delay employer-sponsored retirement or • also would be contrary to the normal benefit plans. A deferred variable Send paper comments in triplicate practice for review of transactions annuity purchased for an IRA does not to Jonathan G. Katz, Secretary, involving other types of investments. provide any additional tax deferred Securities and Exchange Commission, Moreover, NASD believes that members treatment of earnings beyond the 100 F Street, NE., Washington, DC should contact customers as soon as treatment provided by the IRA itself. 20549–9303. possible if a principal discovers a Moreover, unlike transactions for tax- All submissions should refer to File problem with the transaction, and this qualified, employer-sponsored Number SR–NASD–2004–183. This file retirement or benefit plans, investors prompt contact could not occur if the 20 funding IRAs are not limited to the NASD notes that, in the context of a customer’s principal does not review the purchase of a deferred variable annuity, paragraphs transaction for a prolonged period. options provided by the plan. Sales of (b)(1)(C), (c)(1)(A) and (d)(1) of proposed Rule 2821 Further, there may very well be deferred variable annuities to do not require members to perform a side-by-side disincentives to reject transactions as unsophisticated customers in IRAs are comparison of the deferred variable annuity with of particular concern to NASD, other investment vehicles. Instead, these provisions time elapses, especially if a contract has require associated persons and principals to make already been issued.19 Finally, some especially in light of certain fees and reasonable efforts to ensure that the customer has customers may not be aware of or fully charges associated with many deferred some need for the unique features of the deferred comprehend free-look periods. For these variable annuities. Thus, principals variable annuity (e.g., tax-deferred growth, a must ensure that the deferred variable guaranteed future income stream, and/or death reasons, it would be inappropriate to benefit protection). This, of course, might allow for principal review beyond the annuity’s features other than tax deferral necessitate a general comparison with other types period stated in the current proposed make the purchase of the deferred of investment products (if the customer does not rule. variable annuity for the IRA need the insurance feature or tax deferral, for appropriate. In this regard, members instance, then another product might be more appropriate for the customer, depending on his or 19 It has come to NASD’s attention that some should note that paragraph (b)(1)(C) of her objectives and financial situation and needs), issuing insurance companies process applications the proposed rule requires associated but it would not have to be a side-by-side for deferred variable annuities in a very short time persons and paragraphs (c)(1)(A) and comparison with other investment vehicles. A side- period (one or two days). In addition, certain rules (d)(1) of the proposed rule require by-side comparison of two deferred variable require relatively quick processing of certain annuity contracts being exchanged (or at least a aspects of deferred variable annuities. See SEC Rule principals to determine whether the side-by-side comparison of their material features, 22c–1(c) under the Investment Company Act of customer appears to have a need for the see, e.g., the factors discussed supra at note 15) 1940. features of a deferred variable annuity as would be necessary, however.
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number should be included on the 19b–4 2 thereunder, a proposed rule On March 18, 2005, the Exchange subject line if e-mail is used. To help the change seeking to amend its rules, for filed Amendment No. 3 9 to the Commission process and review your certain customer accounts, to allow proposed rule change. The proposed comments more efficiently, please use member organizations to margin listed, rule change and Amendment Nos. 1, 2 only one method. The Commission will broad-based, market index options, and 3 were published in the Federal post all comments on the Commission’s index warrants, futures, futures options Register on May 3, 2005.10 The Internet Web site (http://www.sec.gov/ and related exchange-traded funds Commission received two comments in rules/sro.shtml). Copies of the according to a portfolio margin response to the May 3, 2005 Federal submission, all subsequent methodology. The NYSE seeks to Register notice.11 amendments, all written statements introduce the proposed rule as a two- The comment letters and the with respect to the proposed rule that year pilot program that would be made Exchange’s responses to the are filed with the Commission, and all available to member organizations on a comments 12 are summarized below. written communications relating to the voluntary basis. This Order approves the proposed rule, proposed rule between the Commission On August 21, 2002, the NYSE field as amended.13 and any person, other than those that Amendment No. 1 to the proposed rule may be withheld from the public in change.3 The Proposed rule change and Mercantile Exchange, to Jonathan G. Katz, accordance with the provisions of 5 Amendment No. 1 were published in Secretary, Commission, dated January 18, 2005 (‘‘Donohue Letter’’); letter from Robert C. Sheehan, U.S.C. 552, will be available for the Federal Register On October 8, Chairman, Electronic Brokerages Systems, LLC, to 4 inspection and copying in the 2002. The Commission received three Jonathan G. Katz, Secretary, Commission, dated Commission’s Public Reference Room, comment letters in response to the January 19, 2005 (‘‘Sheehan Letter’’) letter from 100 F Street, NE., Washington, DC October 8, 2002 Federal Register William O. Melvin, Jr., President, Acorn Derivatives 5 Management, to Jonathan G. Katz, Secretary, 20549–9303. Copies of such filing also notice. On June 21, 2004, the Exchange Commission, dated January 19, 2005 (‘‘Melvin will be available for inspection and field Amendment No. 2 to the proposed Letter’’); letter from Margaret Wiermanski, Chief copying at the principal office of NASD. rule change.6 The proposed rule change Operating & Compliance Officer, Chicago Trading All comments received will be posted and Amendment Nos. 1 and 2 were Company, to Jonathan G. Katz, Secretary, Commission, dated January 20, 2005 (‘‘Wiermanski without change; the Commission does published in the Federal Register on Letter’’); e-mail from Jeffrey T. Kaufmann, 7 not edit personal identifying December 27, 2004. The Commission Lakeshore Securities, L.P., to Jonathan G. Katz, information from submissions. You received ten comment letters in Secretary, Commission, dated January 24, 2005 should submit only information that response to the December 27, 2004 (‘‘Kaufmann Letter’’); letter from J. Todd Weingart, 8 Director of Floor Operations, Mann Securities, to you wish to make available publicly. All Federal Register notice. Jonathan G. Katz, Secretary, Commission, dated submissions should refer to File January 25, 2005 (‘‘Weingart Letter’’); letter from Number SR–NASD–2004–183 and 2 17 CFR 240.19b–4. Charles Greiner III, LDB Consulting, Inc., to should be submitted on or before 3 See letter from Mary Yeager, Assistant Secretary, Jonathan G. Katz, Secretary, Commission, dated NYSE, to T.R. Lazo, Senior Special Counsel, January 26, 2005 (‘‘Greiner Letter’’); letter from Jack August 11, 2005. Division of Market Regulation, Commission, dated L. Hansen, Chief Investment Officer and Principal, V. Conclusion August 20, 2002 (‘‘Amendment No. 1’’). In The Clifton Group, to Jonathan G. Katz, Secretary, Amendment No. 1, the NYSE made technical Commission, dated February 1, 2005 (‘‘Hansen corrections to its proposed rule language to Letter’’); and letter from Barbara Wierzynski, For the Commission, by the Division of eliminate any inconsistencies between its proposal Executive Vice President and General Counsel, Market Regulation, pursuant to delegated and the CBOE proposal pursuant to the the Rule Futures Industry Association, and Ira D. authority.21 431 Committee’s (‘‘Committee’’) recommendations. Hammerman, Senior Vice President and General J. Lynn Taylor, See Securities Exchange Act Release No. 45630 Counsel, Securities Industry Association, to Assistant Secretary. (March 22, 2002), 67 FR 15263 (March 29, 2002) Jonathan G. Katz, Secretary, Commission, dated File No. SR–CBOE–2002–03). March 4, 2005 (‘‘Wierzynski/Hammerman Letter’’). [FR Doc. E5–3903 Filed 7–20–05; 8:45 am] 4 See Securities Exchange Act Release No. 46576 9 See Partial Amendment No. 3 (‘‘Amendment No. BILLING CODE 8010–01–P (October 1, 2002) 67 FR 62843 (October 8, 2002). 3’’). The Exchange submitted this partial 5 See letter from R. Allan Martin, President, Auric amendment, pursuant to the request of Commission Trading Enterprises, Inc., to Secretary, Commission, staff, to remove the paragraph under which any SECURITIES AND EXCHANGE dated October 9, 2002 (‘‘Martin Letter’’); Phupinder affiliate of a self-clearing member organization S. Gill, Managing Director and President, Chicago could participate in portfolio margining, without COMMISSION Mercantile Exchange Inc., to Jonathan G. Katz, being subject to the $5 million equity requirement. 10 [Release No. 34–52031; File No. SR–NYSE– Secretary, Commission, dated October 21, 2002 See Securities Exchange Act Release No. 51615 (‘‘CME Letter’’); and E-mail from Mike Ianni, Private (April 26, 2005) 70 FR 22953 (May 3, 2005); see also 2002–19] Investor to [email protected], dated Securities Exchange Act Release No. 51614 (April November 7, 2002 (‘‘Ianni E-mail’’). 26, 2005), 70 FR 22935 (May 3, 2005). Self-Regulatory Organizations; New 6 See letter from Darla C. Stuckey, Corporate 11 See E-mail from Walter Morgenstern, Tradition- York Stock Exchange, Inc.; Order Secretary, NYSE, to Michael A. Macchiaroli, Asiel Securities, to [email protected], dated Approving a Proposed Rule Change Associate Director, Division of Market Regulation May 16, 2005 (‘‘Morgenstern E-mail’’); and letter and Amendment Nos. 1, 2 and 3 (‘‘Division’’), Commission, dated June 17, 2004 from William H. Navin, Executive Vice President, (‘‘Amendment No. 2’’). the NYSE filed Amendment General Counsel, and Secretary, The Options Thereto Relating to Customer Portfolio No. 2 for the purpose of eliminating inconsistencies Clearing Corporation, to Jonathan G. Katz, and Cross-Margining Requirements between the proposed NYSE and CBOE rules, and Secretary, Commission, dated May 27, 2005 to incorporate certain substantive amendments (‘‘Navin Letter’’). July 14, 2005. requested by Commission staff. 12 See letter from Grace B. Vogel, Executive Vice 7 See Securities Exchange Act Release No. 50885 President, Member Firm Regulation, NYSE, to I. Introduction (December 20, 2004) 69 FR 77287 (December 27, Michael A. Macchiaroli, Associate Director, On May 13, 2002, the New York Stock 2004); see also Securities Exchange Act Release No. Division of Market Regulation, Commission, dated Exchange, Inc. (‘‘NYSE’’ or ‘‘Exchange’’ 50886 (December 20, 2004) 69 FR 77275 (December June 27, 2005 (‘‘NYSE Response’’). 27, 2004). 13 By separate orders, the Commission also is filed with the Securities and Exchange 8 See letter from Barbara Wierzynski, Executive approving a parallel rule filing by the CBOE (SR– Commission (‘‘Commission’’), pursuant Vice President and General Counsel, Futures CBOE–2002–03), and a related rule filing by the to section 19(b)(1) of the Securities Industry Association (‘‘FIA’’), and Gerard J. Quinn, Options Clearing Corporation (‘‘OCC’’) (SR–OCC– Exchange Act of 1934 (‘‘Act’’) 1 and Rule Vice President and Associate General Counsel, 2003–04). See Securities Exchange Act Release No. Securities Industry Association (‘‘SIA’’), to Jonathan 52030 (July 14, 2005) and Securities Exchange Act G. Katz, Secretary, Commission, dated January 14, Release No. 52032 (July 14, 2005). In addition, the 21 17 CFR 200.30–3(a)(12). 2005 (‘‘Wierzynski/Quinn Letter’’); letter from Craig staff of the Division of Market Regulation is issuing 1 15 U.S.C. 78s(b)(1). S. Donohue, Chief Executive Officer, Chicago certain no-action relief related to the OCC’s rule
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II. Description (e.g., the S&P 500 or S&P 100).14 The (‘‘DEA’’) and available on the same gain or loss on each position in the terms to all broker-dealers.19 Currently, a. Summary of Proposed Rule Change portfolio would be calculated at each of the only model that qualifies under Rule The NYSE has proposed to amend its 10 equidistant points (‘‘valuation 15c3–1a is the OCC’s Theoretical rules, for certain customer accounts, to points’’) set at and between the upper Intermarket Margining System allow member organizations to margin and lower market range points. The (‘‘TIMS’’). range for non-high capitalization indices listed broad-based securities index (2) Cross-Margining options, warrants, futures, futures would be between a market increase of options and related exchange-traded 10% and a decrease of 10%. High The Exchange’s proposed rule permits funds according to a portfolio margin capitalization indices would have a futures and futures options on broad- methodology. The NYSE seeks to range of between a market increase of based US securities indices to be introduce the proposed rule as a two- 6% and a decrease of 8%.15 A included in the portfolios. year pilot program that would be made theoretical options pricing model would Consequently, futures and futures available to member organizations on a be used to derive position values at each options would be permitted offsets to voluntary basis. valuation point for the purpose of the securities positions in a given determining the gain or loss. The portfolio. Operationally, these offsets NYSE Rule 431 generally prescribes amount of margin (initial and would be achieved through cross- minimum maintenance margin maintenance) required with respect to a margin agreements between the OCC requirements for customer accounts given portfolio would be the larger of: and the futures clearing organizations held at members and member (1) The greatest loss amount among the holding the customer’s futures organizations. In April 1996, the valuation point calculations; or (2) the positions. Cross-margining would Exchange established the Rule 431 sum of $.375 for each option and future operate similar to the cross-margin Committee to assess the adequacy of in the portfolio multiplied by the program that the Commission and the NYSE Rule 431 on an ongoing basis, contract’s or instrument’s multiplier. Commodity Futures Trading review margin requirements, and make The latter computation establishes a Commission (‘‘CFTC’’) approved for recommendations for change. A number minimum margin requirement to ensure listed options market-makers and of proposed amendments resulting from that a certain level of margin is required proprietary accounts of clearing the Committee’s recommendations have from the customer. The margin for all members organizations.20 For been approved by the Exchange’s Board other portfolios of broad based US determining theoretical gains and of Directors since the Committee was securities index instruments within an losses, and resultant margin established, including the proposed rule account would be calculated in a similar requirements, the same portfolio margin change. manner. computation program will be applied to b. Overview—Portfolio Margin Certain portfolios would be allowed portfolio margin accounts that include Computation offsets such that, at the same valuation futures. Under the proposed rule, a point, for example, 90% of a gain in one separate cross-margin account must be (1) Portfolio Margin portfolio may reduce or offset a loss in established for a customer. another portfolio.16 The amount of Portfolio margining is a methodology c. Margin Deficiency offset allowed between portfolios would for calculating a customer’s margin be the same as permitted under Rule Under the Exchange’s proposed rule, requirement by ‘‘shocking’’ a portfolio 15c3–1a for computing a broker-dealer’s account equity would be calculated and of financial instruments at different net capital.17 maintained separately for each portfolio equidistant points along a range Under the Exchange’s proposed rule, margin account and a margin call would representing a potential percentage the theoretical prices used for need to be met by the customer within increase and decrease in the value of the computing profits and losses must be one business day (T + 1), regardless of instrument or underlying instrument in generated by a theoretical pricing model whether the deficiency is caused by the the case of a derivative product. For that meets the requirements in Rule addition of new positions, the effect of example, the calculation points could be 15c3–1a.18 These requirements include, an unfavorable market movement, or a spread equidistantly along a range among other things, that the model be combination of both. The portfolio bounded on one end by a 10% increase non-proprietary, approved by a margin methodology, therefore, would in market value of the instrument and Designated Examining Authority establish both the customer’s initial and at the other end by a 10% decrease in maintenance margin requirement. market value. Gains and losses for each 14 A ‘‘portfolio’’ is defined in the rule as ‘‘options instrument in the portfolio are netted at of the same options class grouped with their d. $5.0 Million Equity Requirement each calculation point along the range to underlying instruments and related instruments.’’ The Exchange’s proposed rule would derive a potential portfolio-wide gain or 15 These are the same ranges applied to options require a customer (other than a broker- loss for the point. The margin market makers under Appendix A to Rule 15c3–1 (17 CFR 240.15c3–1a), which permits a broker- dealer or a member of a national futures requirement is the amount of the dealer when computing net capital to calculate exchange) to maintain a minimum greatest portfolio-wide loss among the securities haircuts on options and related positions account equity of not less than $5.0 calculation points. using a portfolio margin methodology. See 17 CFR million. This requirement can be met by 240 15c3–1a(b)(1)(iv)(A); Letter from Michael Under the Exchange’s proposed rule, Macchiaroli, Associate Director, Division of Market combining all securities and futures a portfolio would consist of, and be Regulation, Commission, to Richard Lewandowski, accounts owned by the customer and limited to, financial instruments in the Vice President, Regulatory Division, The Chicago carried by the broker-dealer (as broker- customer’s account within a given Board Options Exchange, Inc. (Jan. 13, 2000). dealer and futures commission 16 These offsets would be allowed between merchant), provided ownership is broad-based US securities index class portfolios within the High Capitalization, Broad Based Index Option product group and the Non- identical across all combined accounts. filing. See letter from Bonnie Gauch, Attorney, High Capitalization, Board Based Index product Division of Market Regulation, Commission, to group. 19 Id. William H. Navin, General Counsel, OCC, dated 17 17 CFR 240.15c3–1a. 20 See Securities Exchange Act Release 26153 July 14, 2005. 18 See 17 CFR 250.15c3–1a(b)(1)(i)(B). (Oct. 3, 1988), 53 FR 39567 (Oct. 7, 1988).
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The proposed rule would require that, h. Risk Disclosure Statement and 1970 (‘‘SIPA’’ ) 25 in the event the in the event account equity falls below Acknowledgement broker-dealer becomes financially the $5 million minimum, additional insolvent. The Exchange would equity must be deposited within three The Exchange’s proposed rule would prescribe the format of the written business days (T + 3). require a broker-dealer to provide a disclosure statements and portfolio margin customer with a acknowledgements, which would allow e. Net Capital written risk disclosure statement at or a broker-dealer to develop its own prior to the initial opening of a portfolio The Exchange’s proposed rule would format, provided the acknowledgement margin account. This disclosure provide that the gross customer contains substantially similar statement would highlight the risks and portfolio margin requirements of a information and is approved by the describe the operation of a portfolio broker-dealer may at no time exceed Exchange in advance. margin account. The disclosure 1,000 percent of the broker-dealer’s net statement would be divided into two i. Rationale for Portfolio Margin capital (a 10:1 ratio), as computed under sections, one dealing with portfolio Rule 15c3–1.21 This requirement is Theoretical options pricing models margining and the other with cross- intended to place a ceiling on the have become widely utilized since margining. The disclosure statement Fischer Black and Myron Scholes first amount of portfolio margin a broker- would note that additional leverage is introduced a formula for calculating the dealer can extend to its customers. possible in an account margined on a value of a European style option in f. Internal Risk Monitoring Procedures portfolio basis in relation to existing 1973.26 Other formulas, such as the Cox- margin requirements. The disclosure Ross-Rubinstein model have since been The Exchange’s proposed rule would statement also would describe, among developed. Option pricing formulas are require a broker-dealer that carries other things, eligibility requirements for now used routinely by option market portfolio margin accounts to establish opening a portfolio margin account, the participants to analyze and manage risk. and maintain written procedures for instruments that are allowed in the In addition, as noted, a portfolio margin assessing and monitoring the potential account, and when deposits to meet methodology has been used by broker- risks to capital arising from portfolio margin and minimum equity dealers since 1994 to calculate haircuts margining. requirements are but. Further, there on option positions for net capital g. Margin at the Clearing House Level would be a summary list of the special purposes.27 risks of a portfolio margin account, The Board of Governors of the Federal The OCC will compute clearing house including the increased leverage, time Reserve System (the ‘‘Federal Reserve margin for the broker-dealer using the frame for meeting margin calls, potential Board’’ or ‘‘FRB’’) in its amendments to same portfolio margin methodology for involuntary liquidation if margin is Regulation T in 1998 permitted SROs to applied at the customer level. The OCC not received, inability to calculate implement portfolio margin rules, will continue to require full payment for future margin requirements because of provided they are approved by the all customer long option positions. the data and calculations required, and Commission.28 These positions, however, would be the OCC lien on long option positions. Portfolio margining brings a more risk subject to the OCC’s lien. This would The risks and operation of the cross- sensitive approach to establishing permit the long options positions to margin account are outlined in a margin requirements. For example, in a offset short positions in the customer’s separate section of the disclosure diverse portfolio some positions may portfolio margin account. In conjunction statement. appreciate and others depreciate in response to a given change in market with the Exchange’s rule proposal, the Further, at or prior to the time a prices. The portfolio margin OCC proposed amending OCC Rule 611 portfolio margin account is initially methodology recognizes offsetting and establishing a new type of omnibus opened, the broker-dealer would be potential changes among the full account to be carried at the OCC and required to obtain a signed portfolio of related instruments. This known as the ‘‘customer’s lien acknowledgement concerning portfolio account.’’ 22 In order to unsegregate the links the margin required to the risk of margining from the customer. A the entire portfolio as opposed to the long option positions, the Commission separate acknowledgement would be staff would have to grant certain relief required for cross-margining. The from some requirements of Commission 25 15 U.S.C. 78aaa et seq. acknowledgements would contain 26 Rules 8c–1, 15c2–1, and 15c3–3.23 The See Securities Exchange Act Release No. 34– statements to the effect that the 38248 (Feb. 6, 1997), 62 FR 6474 (Feb. 12, 1997) OCC requested such relief on behalf of customer has read the disclosure (discussing the development of the options pricing its members.24 approach to capital); see also Securities Exchange statement and is aware of the fact that Act Release No. 33761 (March 15, 1994), 59 FR long option positions in a portfolio 13275 (March 21, 1994). 21 17 CFR 240.15c3–1. margin account are not subject to the 27 See letter from Brandon Becker, Director, 22 See SR–OCC–2033–04, Securities Exchange Act Division, Commission, to Mary Bender, First Vice Release No. 51330 (March 8, 2005). As noted above, segregation requirements under the Commission’s customer protection President, Division of Regulatory Services, CBOE, the Commission is approving the OCC’s rule filing. and Timothy Hinkes, Vice President, OCC, dated See Securities Exchange Act Release No. 52030 rules, and would be subject to a lien by March 15, 1994; see also ‘‘Net Capital Rule,’’ (July 14, 2005). the OCC. Securities Exchange Act Release No. 38248 23 17 CFR 240.8c–1, 17 CFR 240.15c2–1 and 17 An additional acknowledgement form (February 6, 1997), 61 FR 6474 (February 12, 1997). CFR 240.15c3–3, respectively. 28 See Federal Reserve System, ‘‘Securities Credit 24 See Letter from William H. Navin, Executive would be required for a cross-margin Transactions; Borrowing by Brokers and Dealers’’; Vice President, General Counsel, and Secretary, The account. It would contain similar Regulations G, T, U and X; Docket Nos. R–0905, R– Options Clearing Corporation, to Michael A. statements as well as statement to the 0923 and R–0944, 63 FR 2806 (January 16, 1998). Macchiaroli, Associate Director, Division of Market effect that the customer is aware that More recently, the FRB encouraged the Regulation, Commission, dated January 13, 2005. development of a portfolio margin approach in a As noted above, the staff of the Division of Market futures positions are being carried in a letter to the Commission and the CFTC delegating Regulation is issuing a no-aciton letter providing securities account, which would make authority to the agencies to jointly prescribe margin such relief. See letter from Bonnie Gauch, Attorney, them subject to the Commission’s regulations for security futures products. See letter Division of Market Regulation, Commission, to customer protection rules, and from the FRB to James E. Newsome, Acting William H. Navin, General Counsel, OCC, dated Chairman, CFTC, and Laura S. Unger, Acting July 14, 2005. Securities Investor Protection Act of Chairman, Commission, dated March 6, 2001.
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individual positions on a position-by- The Exchange believes that the Under the proposed rule changes, the position basis. comments directed at the $5.0 million Commission notes that a broker-dealer Professional investors frequently have validity, especially with respect to choosing to offer portfolio margining to hedge listed index options with futures certain types of accounts that must hold its customers must employ a positions. Cross-margining would better assets at a custodial bank. The Exchange methodology that has been approved by align their margin requirements with the intends to further consider this issue, the Commission for use in calculating actual risks of these hedged positions. through the Rule 431 Committee, and haircuts under Rule 15c3–1a. As stated This could reduce the risk of forced seek alternative methods for meeting the above, currently, TIMS is the only 35 liquidations. Currently, an option minimum equity requirement. approved methodology. While some (securities) account and futures account Two commenters stated that other commenters recommended expanding of the same customer are viewed as products should be eligible for portfolio the choice of models, the Commission 36 separate and unrelated. Moreover, an margining. Two commenters stated believes that requiring a broker-dealer to option account currently must be that other risk-based algorithms, such as use a model that qualifies for calculating liquidated if the risk in the positions has SPAN, that are recognized by other haircuts under Commission Rule 15c3– clearing organizations should be increased dramatically or margin calls 1a maintains a consistency with the permitted for calculating the portfolio cannot be met, even if gains in the Commission’s net capital rule and customer’s futures account offset the margin requirement, in addition to the across potential portfolio margin pricing losses in the options account. If the OCC’s TIMS.37 The Exchange noted that models. As a result, portfolio margin accounts are combined (i.e. cross- it is working (through the Rule 431 margined), unnecessary liquidation may Committee) with an SIA subcommittee requirements would vary less from firm be avoided. This could lessen the to explore the expansion of portfolio to firm. The Commission notes, severity of a period of high volatility in margining to additional products and however, that like Rule 15c3–1a, the the market by reducing the number of participants. Finally, the NYSE stated proposed rule permits the use of another liquidations. that the comments received should not theoretical pricing model, should one be delay implementation of the proposed developed in the future.40 III. Summary of Comments Received rule change. and NYSE Response The Commission notes the objections IV. Discussion and Commission of certain commenters to the $5 million The Commission received a total of 15 Findings minimum equity requirement. The comment letters to the proposed rule Commission believes that the change.29 The comments, in general, After careful review, the Commission requirement circumscribes the number were supportive. One commenter stated finds that the proposed rule change, as of accounts able to participate and adds that ‘‘the NYSE’s efforts to expand the amended, is consistent with the safety in that such accounts are more use of portfolio margining systems—as requirements of the Act and the rules likely to be of significant financial and regulations thereunder applicable to opposed to strategy-based systems— as means and investment sophistication. an enlightened and decidedly forward a national securities exchange.38 In looking policy.’’ 30 Some commenters, particular, the Commission believes that Finally, the Commission notes that however, recommended changes to the proposed rule change is consistent several commenters recommended specific provisions of the proposed rule with Section 6(b)(5) of the Act 39 in expanding the products eligible for change. particular, in that it is designed to portfolio margining. The Exchange’s Seven of the comment letters received perfect the mechanism of a free and proposed rule limits the instruments specifically objected to the $5.0 million open market and to protect investors eligible for portfolio margining to listed equity requirement.31 Three and the public interest. The products base on broad-based US commenters noted that the requirement Commission notes that the proposed securities indices, which tend to be less blocks certain large institutions from portfolio margin rule change is intend to volatile than narrow-based indices and participating in portfolio margining promote greater reasonableness, non-index equities. The Commission because these institutions hold assets as accuracy and efficiency with respect to believes this limitation is appropriate a custodian bank and would generally Exchange margin requirements for for the pilot program, which should not hold $5.0 million in an account with complex listed securities index option serve as a first step toward the possible a broker-dealer.32 One commenter strategies. The Commission further expansion of portfolio margining to recommended reducing the equity notes that the cross-margining capability other classes of securities. requirement to $2.0 million.33 Four with related index futures positions in commenters raised the issue that eligible accounts may alleviate V. Conclusion securities index options will be at a excessive margin calls, improve cash flows and liquidity, and reduce It is therefore ordered, pursuant to disadvantage compared with 41 volatility. Moreover, the Commission seciton 19(b)(2) of the Act, that the economically similar CFTC regulated proposed rule change (File No. SR– index futures and options, because notes that approving the proposed rule NYSE–2002–19), as amended, is futures accounts have no minimum change would be consistent with the approved on a pilot basis to expire on equity requirement.34 FRB’s 1998 amendments to Regulation T, which sought to advance the use of July 31, 2007. 29 See supra notes 5, 8 and 11. portfolio margining. 30 See Gill CME Letter. 31 See Ianni Letter; Weingart Letter; Wiermanski 35 See NYSE Response. Letter; Hansen Letter; Greiner Letter; Martin Letter; 36 See Wiermanski Letter and Donohue Letter. and Melvin Letter. 37 See Donohue Letter and Gill CME Letter. 40 32 See Weingart Letter; Wiermanski Letter; and 38 In approving this proposed rule change, the See also Securities Exchange Act Release No. Melvin Letter. Commission notes that it has considered the 34–38248 (February 6, 1997), 62 FR 6474 (February 33 See Martin Letter. proposed rule’s impact on efficiency, competition, 12, 1997) (discussing in Part II.A. the use of TIMS 34 See Weingart Letter; Wiermanski Letter; and capital formation. 15 U.S.C. 78c(f). versus other pricing models). Hansen Letter; and Sheehan Letter. 39 15 U.S.C. 78f(b)(5). 41 15 U.S.C. 78s(b)(2).
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For the Commission, by the Division of (A) Self-Regulatory Organization’s to the proposed rule change, and none Market Regulation, pursuant to delegated Statement of the Purpose of, and have been received. authority.42 Statutory Basis for, the Proposed Rule III. Date of Effectiveness of the Change J. Lynn Taylor, Proposed Rule Change and Timing for Assistant Secretary. The primary purpose of this rule Commission Action [FR Doc. 05–14316 Filed 7–20–05; 8:45 am] change is to further reduce OCC’s currently discounted clearing fees for The foregoing proposed rule change BILLING CODE 8010–01–M has become effective pursuant to securities option contracts until the 4 Board of Directors determines Section 19(b)(3)(A)(ii) of the Act and Rule 19b–4(f)(2) 5 thereunder because it SECURITIES AND EXCHANGE otherwise.3 Effective July 1, 2005, OCC’s establishes or changes a due, fee, or COMMISSION clearing fees for securities options will be: other charge. At any time within 60 days of the filing of the proposed rule [Release No. 34–52034; File No. SR–OCC– Discounted fee ef- change, the Commission may summarily 2005–08] Contracts/trade fective July 1, 2005 abrogate such rule change if it appears to the Commission that such action is Self-Regulatory Organizations; The 1–500 ...... $0.05/contract. necessary or appropriate in the public Options Clearing Corporation; Notice 501–1,000 ...... $0.04/contract. interest, for the protection of investors, of Filing and Immediate Effectiveness 1,001–2,000 ...... $0.03/contract. >2,000 ...... $55.00 (capped). or otherwise in furtherance of the of a Proposed Rule Change Relating to purposes of the Act. Reducing Clearing Fees for Securities The additional fee reduction IV. Solicitation of Comments Option Contracts recognizes the continued strong volume Interested persons are invited to in securities options in 2005. OCC July 14, 2005. submit written data, views, and believes that this fee reduction will Pursuant to Section 19(b)(1) of the financially benefit clearing members arguments concerning the foregoing, Securities Exchange Act of 1934 and other market participants without including whether the proposed rule (‘‘Act’’), 1 notice is hereby given that on adversely affecting OCC’s ability to meet change is consistent with the Act. June 14, 2005, The Options Clearing its expenses and maintain an acceptable Comments may be submitted by any of Corporation (‘‘OCC’’) filed with the level of retained earnings. the following methods: Securities and Exchange Commission The discounted fees for new securities Electronic Comments option products will be: (‘‘Commission’’) the proposed rule • Use the Commission’s Internet change as described in Items I, II, and Contracts/ Discounted fee ef- comment form (http://www.sec.gov/ III below, which items have been Month trade fective July 1, 2005 rules/sro.shtml) or prepared primarily by OCC. The • Send an e-mail to rule- Commission is publishing this notice to 1 ...... N/A No Fee. [email protected]. Please include File solicit comments on the proposed rule 2 ...... 1–4,400 $0.01 Number SR–OCC–2005–08 on the change from interested persons. >4,400 $40.00 subject line. 3 ...... 1–2,200 $0.02 I. Self-Regulatory Organization’s >2,200 $40.00 Paper Comments 4 ...... N/A Regular Schedule. Statement of the Terms of Substance of • Send paper comments in triplicate the Proposed Rule Change OCC believes that the proposed rule to Jonathan G. Katz, Secretary, Securities and Exchange Commission, Effective July 1, 2005, OCC will change is consistent with Section 17A of 100 F Street, NE., Washington, DC further reduce its discounted fee the Act because it benefits clearing 20549–0609. schedule for securities option contracts members by reducing clearing fees and until further action by the Board of allocates such fees among clearing All submissions should refer to File Number SR–OCC–2005–08. This file Directors. members in a fair and equitable manner. The proposed rule change is not number should be included on the II. Self-Regulatory Organization’s inconsistent with the existing rules of subject line if e-mail is used. To help the Statement of the Purpose of, and OCC, including any other rules Commission process and review your Statutory Basis for, the Proposed Rule proposed to be amended. comments more efficiently, please use Change only one method. The Commission will (B) Self-Regulatory Organization’s post all comments on the Commission’s In its filing with the Commission, Statement on Burden on Competition Internet Web site (http://www.sec.gov/ OCC included statements concerning OCC does not believe that the rules/sro.shtml). Copies of the the purpose of and basis for the proposed rule change would impose any submission, all subsequent proposed rule change and discussed any burden on competition. amendments, all written statements comments it received on the proposed (C) Self-Regulatory Organization’s with respect to the proposed rule rule change. The text of these statements Statement on Comments on the change that are filed with the may be examined at the places specified Proposed Rule Change Received From Commission, and all written in Item IV below. OCC has prepared Members, Participants, or Others communications relating to the summaries, set forth in sections (A), (B), proposed rule change between the and (C) below, of the most significant Written comments were not and are Commission and any person, other than not intended to be solicited with respect aspects of such statements.2 those that may be withheld from the public in accordance with the 3 In addition, OCC is deleting charges for 56.0kb 42 provisions of 5 U.S.C. 552, will be 17 CFR 200.30–3(a)(12). lines as they are no longer a supported 1 15 U.S.C. 78s(b)(1). communications protocol. Other changes made to 2 The Commission has modified parts of these the Schedule of Fees are of a technical or 4 15 U.S.C. 78(s)(b)(3)(A)(ii). statements. conforming nature. 5 17 CFR 240.19b–4(f)(2).
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available for inspection and copying in Notice is hereby given that any DEPARTMENT OF TRANSPORTATION the Commission’s Public Reference interested person may submit written Section, 100 F Street, NE., Washington, comments on the transaction to the Office of the Secretary DC 20549. Copies of such filing also will Associate Administrator for Investment, [Notice of Order to Show Cause (Order be available for inspection and copying U.S. Small Business Administration, 2005–7–15); Docket OST–05–20492] at the principal office of OCC and on 409 Third Street, SW., Washington, DC OCC’s Web site at http:// 20416. Application of Executive Jet www.optionsclearing.com. Management, Inc. for Commuter All comments received will be posted Dated: June 28, 2005. Authority without change; the Commission does Jaime Guzman-Fournier, not edit personal identifying Associate Administrator for Investment. AGENCY: Department of Transportation. information from submissions. You [FR Doc. 05–14339 Filed 7–20–05; 8:45 am] SUMMARY: The Department of should submit only information that BILLING CODE 8025–01–P you wish to make available publicly. All Transportation is directing all interested submissions should refer to File persons to show cause why it should Number SR–OCC–2005–08 and should not issue an order finding that Executive Jet Management, Inc. is fit, willing, and be submitted on or before August 11, DEPARTMENT OF TRANSPORTATION 2005. able under 49 U.S.C. 41738 to provide scheduled passenger service as a Office of the Secretary For the Commission, by the Division of commuter air carrier and issue to it a Market Regulation, pursuant to delegated Commuter Air Carrier Authorization authority.6 [Notice of Order to Show Cause (Order DATES: Persons wishing to file J. Lynn Taylor, 2005–7–14); Docket OST–2004–19877] objections should do so no later than Assistant Secretary. August 29, 2005. [FR Doc. E5–3901 Filed 7–20–05; 8:45 am] Application of GoJet Airlines, LLC for Certificate Authority ADDRESSES: Objections and answers to BILLING CODE 8010–01–P objections should be filed in Docket AGENCY: Department of Transportation. OST–05–20492 and addressed to the Department of Transportation Dockets SMALL BUSINESS ADMINISTRATION (M–30, Room PL–401), U.S. Department SUMMARY: The Department of of Transportation, 400 Seventh Street, [License No. 09/79–0456] Transportation is directing all interested SW., Washington, DC 20590, and should persons to show cause why it should be served upon the parties listed in HorizonVentures Fund II, L.P.; Notice not issue an order finding that GoJet Attachment A to the order. Seeking Exemption Under Section 312 Airlines, LLC is fit, willing, and able, FOR FURTHER INFORMATION CONTACT: Mr. of the Small Business Investment Act, and awarding it a certificate of public Conflicts of Interest Trace Atkinson, Air Carrier Fitness convenience and necessity to engage in Division (X–56, Room 6401), U.S. Notice is hereby given that Horizon interstate scheduled air transportation Department of Transportation, 400 Ventures Fund II, L.P., 4 Main Street, of persons, property and mail. Seventh Street, SW., Washington, DC Suite 50, Los Altos, CA 94022, a Federal DATES: Persons wishing to file 20590, (202) 366–3176. Licensee under the Small Business objections should do so no later than Dated: July 15, 2005. Investment Act of 1958, as amended August 29, 2005. Karan K. Bhatia, (‘‘the Act’’), in connection with the financing of a small concern, has sought ADDRESSES: Objections and answers to Assistant Secretary for Aviation and International Affairs. an exemption under Section 312 of the objections should be filed in Docket Act and Section 107.730, Financings OST–2004–19877 and addressed to [FR Doc. 05–14379 Filed 7–20–05; 8:45 am] which Constitute Conflicts of Interest of Department of Transportation Dockets, BILLING CODE 4910–62–P the Small Business Administration (M–30, Room PL–401), U.S. Department (‘‘SBA’’) Rules and Regulations (13 CFR of Transportation, 400 Seventh Street, DEPARTMENT OF TRANSPORTATION 107.730). Horizon Ventures Fund II, L.P. SW., Washington, DC 20590, and should proposes to provide equity/debt security be served upon the parties listed in Federal Aviation Administration financing to Invivodata, Inc., 5615 Attachment A to the order. Scott’s Valley Drive, Suite #150, Scotts [Docket No. FAA–2004–16944] Valley, CA 95056. The financing is FOR FURTHER INFORMATION CONTACT: Ms. Operating Limitations at Chicago contemplated for operating expenses Lauralyn Remo, Air Carrier Fitness O’Hare International Airport and for general corporate purposes. Division (X–56, Room 6401), U.S. Department of Transportation, 400 The financing is brought within the ACTION: Notice of order to show cause Seventh Street, SW., Washington, DC purview of § 107.730(a)(1) of the and request for information. Regulations because Horizon Ventures 20590, (202) 366–9721. Fund I, L.P. and Horizon Ventures Dated: July 15, 2005. SUMMARY: The FAA has issued an order Advisors Fund I, L.P., both Associates of Karan K. Bhatia, to show cause, which solicits the views Horizon Ventures Fund II, L.P., own of interested persons on the FAA’s Assistant Secretary for Aviation and more than ten percent of Invivodata, tentative determination to extend International Affairs. Inc. Therefore, Invivodata, Inc., is through April 1, 2006, an August 18, considered an Associate of Horizon [FR Doc. 05–14378 Filed 7–20–05; 8:45 am] 2004, order limiting the number of Ventures Fund II, L.P., as defined at 13 BILLING CODE 4910–62–P scheduled aircraft arrivals at O’Hare CFR 107.50 of the SBIC Regulations. International Airport during peak operating hours. The text of the order to 6 17 CFR 200.30–3(a)(12). show cause is set forth in this notice.
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DATES: Any written information that If the FAA were to allow the August 67.23% of departures on time. Despite responds to the FAA’s order to show 2004 order to expire as presently the high proportion of delayed flights, cause must be submitted by August 1, scheduled, the FAA anticipates a return when the air carriers published their 2005. of the congestion-related delays that January and February 2004 schedules in ADDRESSES: You may submit written precipitated the voluntary schedule the Official Airline Guide, the schedules information, identified by docket reductions and adjustments reflected in revealed that the air carriers intended to number FAA–2004–16944, by any of the the August 2004 order. The FAA has add still more flight operations to following methods: adopted a rule limiting unscheduled O’Hare’s schedule. • Web site; http://dms.dot.gov. flights at O’Hare,1 but it has applied no In January 2004, the two air carriers Follow the instructions for submitting limits on scheduled flights at O’Hare, conducting most of the scheduled information on the DOT electronic other than the August 2004 order. In a operations at O’Hare—together docket site. separate docket, the FAA solicited accounting for about 88% of O’Hare’s • Fax: 1–202–493–2251. public comment on a proposed rule that scheduled flights—agreed to a • Mail: Docket Management System, would limit the number of scheduled temporary 5% reduction of their U.S. Department of Transportation, 400 operations at O’Hare.2 The comment proposed peak-hour schedules at the Seventh Street, SW., Nassif Building, period for the proposed rule ended on airport. When the voluntarily reduced Room PL–401, Washington, DC 20590– May 24, and the FAA and the Office of schedules failed to reduce sufficiently 0001. If sent by mail, information is to the Secretary of Transportation are O’Hare’s congestion-related flight be submitted in two copies. Persons evaluating the comments filed in that delays, the two air carriers agreed to a wishing to receive confirmation of proceeding. Given the currently further 2.5% reduction of their receipt of their written submission scheduled expiration of the August 2004 scheduled peak-hour operations at should include a self-addressed order, however, it is not possible for the O’Hare. The FAA captured the stamped postcard. FAA to complete its evaluation of the voluntary schedule reductions in FAA • Hand Delivery: Docket Management comments and to publish a final rule, if orders, and the orders were effective System, Room PL–401, on the plaza the FAA elects to do so, in time to afford through October 30, 2004. level of the Nassif Building, 400 air carriers their customary 90- to 120- By the summer of 2004, it was Seventh Street, SW., Washington, DC, day lead time to establish their apparent that the schedule reductions between 9 a.m. and 5 p.m., Monday operating schedules. The FAA expects agreed to in the first half of the year, through Friday, except Federal holidays. that the extension of the August 2004 which were made by only two of the Instructions: You must include the order will permit the order’s expiration many air carriers conducting scheduled agency name and docket number FAA– to coincide with the effective date of operations at O’Hare, were unlikely to 2004–16944 for this notice at the any final rule, if a rule is adopted. be renewed after the orders expired on beginning of the information that you The FAA’s authority to extend the October 30, 2004. In the absence of a submit. Note that the information August 2004 order is the same as the voluntary constraint, the industry’s received will be posted without change authority cited in that order. The FAA proposed schedules for November, as to http://dms.dot.gov, including any proposes to extend the August 2004 reported in the preliminary Official personal information provided. order under the agency’s broad Airline Guide in July 2004, indicated Submissions to the docket that include authority in 49 U.S.C. 40103(b) to that the number of scheduled arrivals trade secrets, confidential, commercial, regulate the use of the navigable during several hours would approach or or financial information, or sensitive airspace of the United States. This exceed O’Hare highest possible arrival security information will not be posted provision authorizes the FAA to capacity. During one hour, the number in the public docket. Such information develop plans and policy for the use of of scheduled arrivals would have will be placed in a separate file to which navigable airspace and, by order or rule, exceeded by 32% O’Hare’s capacity the public does not have access, and a to regulate the use of the airspace as under ideal conditions. note will be placed in the public docket necessary to ensure its efficient use. Therefore, the FAA invited all to state that the agency has received Background: On August 18, 2004, the scheduled air carriers to an August 2004 such materials from the submitter. FAA issued an order limiting the scheduling reduction meeting to discuss FOR FURTHER INFORMATION CONTACT: number of scheduled arrivals that air overscheduling at O’Hare, voluntary Gerry Shakley, System Operations, Air carriers conduct at O’Hare during peak schedule reductions, and retiming Traffic Organization: telephone (202) hours. The August 2004 order followed flights to less congested periods. The 267–9424; facsimile (202) 267–7277; e- a period during which O’Hare operated August 2004 meeting and subsequent mail [email protected]. without any regulatory constraint on the negotiations led the FAA to issue the SUPPLEMENTARY INFORMATION: number of aircraft operations, and August 2004 order, which limited the O’Hare experienced significant number of scheduled arrivals conducted Order To Show Cause congestion-related delay. According to at U.S. and Canadian air carriers at The Federal Aviation Administration the Bureau of Transportation Statistics, O’Hare during peak operating hours. (FAA) has tentatively determined that it in November 2003, O’Hare ranked last The order also defined opportunities for will extend through April 1, 2006, the among the nation’s thirty-one major new entry and for growth by limited FAA’s August 18, 2004, order limiting airports for on-time arrival performance, incumbent air carriers at O’Hare. The scheduled operations at O’Hare with on-time arrivals 57.26% of the order took effect November 1, 2004, was International Airport (O’Hare). In the time. O’Hare also ranked last in on-time previously extended on March 21, 2005, absence of an extension, the August departures in November 2003, yielding and in the absence of a further 2004 order would expire on October 29, on-time departures 66.94% of the time. extension, it will expire on October 29, 2005. This order to show cause invites The data for December 2003 reflected a 2005. air carriers and other interested persons similar performance by O’Hare—ranking The flight limits implemented by the to submit comments in Docket No. last with 60.06% of arrivals on time and August 2004 order have been effective. FAA–2004–16944 on this proposal to Delays have decreased, and customers extend the duration of the August 2004 1 70 FR 39,610 (July 8, 2005). have seen improved on-time arrival order. 2 70 FR 15,520 (Mar. 25, 2005). performance as a result of the depeaked
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flight schedules. For the period from to extend the August 2004 order through requirements of part 150, effective July November 2004 through June 2005, the April 2, 2006, by filing their written 8, 2005. Further, FAA is reviewing a average minutes of arrival delay views in Docket No. FAA–2004–16944 proposed noise compatibility program decreased by approximately 27% when on or before August 1, 2005. The FAA for that airport which will be approved compared to the same period last year. is not soliciting views on the issues or disapproved on or before January 4, This level of delay reduction is separately under consideration in the 2006. This notice also announces the somewhat better than the 20% proposed rulemaking. Therefore, any availability of this program for public reduction in delays that the FAA’s submissions to the current docket review and comment. computer modeling anticipated. We should be limited to the issue of Under section 103 of the Title I of the attribute this primarily to weather extending the August 2004 order. Aviation Safety and Noise Abatement Act of 1979 (hereinafter referred to as conditions that were more favorable Dated: Issued in Washington, DC, on July than average and to certain peak hours 18, 2005. ‘‘the Act’’), an airport operator may submit to the FAA noise exposure maps in which the arrivals actually scheduled Rebecca MacPherson, have been below the hourly limit which meet applicable regulations and adopted in the August 2004 order. Assistant Chief Counsel for Regulation. which depict non-compatible land uses Additionally, the longest arrival [FR Doc. 05–14461 Filed 7–18–05; 4:35 pm] of the date of submission of such maps, delays—those lasting more than one BILLING CODE 4910–13–M a description of projected aircraft hour—have decreased by approximately operations, and the ways in which such 31%. Preliminary on-time arrival operations will affect such maps. The performance while the August 2004 DEPARTMENT OF TRANSPORTATION Act requires such maps to be developed order has been in effect indicates in in consultation with interested and Federal Aviation Administration improvement of over eight percentage affected parties in the local community, points. As a result, O’Hare is now Noise Exposure Map Notice; Receipt of government agencies and persons using performing near the average for the rest Noise Compatibility Program and the airport. of the National Airspace System, which Request for Review for Albany As an airport operator who has is a dramatic improvement over the International Airport submitted noise exposure maps that are airport’s bottom-tier performance during found by the FAA to be in compliance much of 2004. AGENCY: Federal Aviation with the requirements of Federal Order to Show Cause: The FAA has Administration, DOT. Aviation Regulations (FAR) part 150, issued a notice of proposed rulemaking ACTION: Notice. promulgated pursuant to Title I of the to address appropriate limitations on Act, may submit a noise compatibility scheduled operations at O’Hare. The SUMMARY: The Federal Aviation program for FAA approval which sets comment period for the proposed rule Administration (FAA) announces its forth the measures the operator has closed on May 24, and the FAA and the determination that the noise exposure taken or proposes for the reduction of Office of the Secretary of Transportation maps submitted by Albany County existing non-compatible uses and for the are evaluating the comments filed in the Airport Authority for Albany prevention of the introduction of rulemaking docket and intend to make International Airport under provisions additional non-compatible uses. a final decision as soon as reasonably of Title I of the Aviation Safety and The Albany County Airport Authority possible. The FAA cannot complete the Noise Abatement Act of 1979 (Pub. L. submitted to the FAA on April 9, 2003, rulemaking process sufficiently in 96–193) and 14 CFR part 150 are in and supplemented with additional advance of the August 2004 order’s compliance with applicable information, dated November 18, 2004, current expiration date, however, given requirements. The FAA also announces noise exposure maps, descriptions and the 90- to 120-day lead time the air that it is reviewing a proposed noise other documentation. It was requested carriers need to finalize plans for their compatibility program that was that the FAA review this material as the winter scheduling season, as well as the submitted for Albany International noise exposure maps, as described in complexity of the issues presented in Airport under Part 150 in conjunction section 103(a)(1) of the Act, and that the the rulemaking. with the noise exposure maps, and that noise mitigation measures, to be To prevent a recurrence of this program will be approved or implemented jointly by the airport and overscheduling at O’Hare during the disapproved on or before January 4, surrounding communities, be approved interim between the expiration of the 2006. as a noise compatibility program under August 2004 order on October 29, 2005, section 10(b) of the Act. DATES: and the effective date of a rule, if a rule The effective date of the FAA’s The FAA has completed its review of is adopted, the FAA tentatively intends determination on the noise exposure the noise exposure maps and related to extend the August 2004 order. The maps and of the start of its review of the description submitted by the Albany limits on arrivals and the allocation of associated noise compatibility program County Airport Authority. The specific arrival authority embodied in the is July 8, 2005. The public comment maps under consideration are the 2003 August 2004 order reflect the FAA’s period ends September 6, 2005. Noise Exposure Map (NEM–1) and the agreements with U.S. and Canadian air FOR FURTHER INFORMATION CONTACT: 2008 Noise Exposure Map (NEM–2), carriers. As a result, maintaining the Maria Stanco, New York Airports Flight Tracks (Exhibits D–3, 3a, 4, 4a), order through the winter scheduling District Office, 600 Old Country Road, Monitoring sites (Exhibit C–1), and season constitutes a reasonable Suite 440, Garden City, New York Noise Sensitive Sites (Exhibit 2–2). approach to preventing unacceptable 11530. Comments on the proposed noise Additional description is contained in congestion and delays at O’Hare. The compatibility programs should also be Chapter 3 (numbers of residents within August 2004 order, as extended, would submitted to the above office. noise contours) and Appendices C and expire on April 1, 2006. SUPPLEMENTARY INFORMATION: This D, including Fleet Mix (Table D–2), and Accordingly, the FAA directs all notice announces that the FAA finds Runway Use (Table D–3). The FAA has interested persons to show cause why that the noise exposure maps submitted determined that these maps, tables and the FAA should not make final its for the Albany International Airport are accompanying narrative for Albany tentative findings and tentative decision in compliance with applicable International Airport are in compliance
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with the applicable requirements. This with obtaining the goal of reducing Electronic Access determination is effective on July 8, existing non-compatible land used and An electronic copy of this document 2005. FAA’s determination on an airport preventing the introduction of is available for free download from the operator’s noise exposure maps is additional non-compatible land uses. Federal Bulletin Board (FBB). The FBB limited to a finding that the maps were Interested persons are invited to is a free electronic bulletin board service developed in accordance with the comment on the proposed program with of the Superintendent of Documents, procedures contained in appendix A of specific reference to these factors, all U.S. Government Printing Office (GPO). FAR part 150. Such determination does comments, other than those properly The FBB may be accessed in four not constitute approval of the addressed to local land use authorities, ways: (1) Via telephone in dial-up applicant’s data, information or plans, will be considered by the FAA to the mode, or via the Internet through (2) or a commitment to approve a noise extent practicable. Copies of the noise telnet, (3) FTP, and (4) the World Wide compatibility program or to fund the exposure maps and the proposed noise Web. implementation of that program. compatibility program are available for For dial-in mode, a user needs a If questions arise concerning the examination at the following locations: precise relationship of specific personal computer, modem, Federal Aviation Administration, properties to noise exposure contours telecommunications software package, New York Airports District Office, 600 depicted on a noise exposure map and a telephone line. A hard disk is Old Country Road, Suite 440, Garden submitted under section 103 of the Act, recommended for file transfers. City, NY 11530. it should be noted that the FAA is not For Internet access, a user needs involved in any way in determining the Albany International Airport, Internet connectivity. Users can telnet relative locations of specific properties Administration Building, Suite 200, or FTP to: fedbbs.access.gpo.gov. Users with regard to the depicted noise Albany, NY 12211–1057. can access the FBB via the World Wide contours, or in interpreting the noise Questions may be directed to the Web at http://fedbbs.access.gpo.gov. exposure maps to resolve questions individual named above under the User assistance for the FBB is concerning, for example, which heading FOR FURTHER INFORMATION available from 7 a.m. until 5 p.m., properties should be covered by the CONTACT. Eastern Time, Monday through Friday (except federal holidays) by calling the provisions of section 107 of the Act. Issued in Garden City, New York, July 8, These functions are inseparable from 2005. GPO Office of Electronic Information Dissemination Services at 202–512– the ultimate land use control and Philip Brito, planning responsibilities of local 1530, toll-free at 888–293–6498; sending Manager, New York Airports District. an e-mail to [email protected]; or government. These local responsibilities [FR Doc. 05–14336 Filed 7–20–05; 8:45 am] are not changed in any way under part sending a fax to 202–512–1262. BILLING CODE 4910–13–M 150 or through FAA’s review of noise Access to this notice is also available exposure maps. Therefore, the to Internet users through the Federal Register’s home page at http:// responsibility for the detailed DEPARTMENT OF TRANSPORTATION overlaying of noise exposure contours www.nara.gov/fedreg. onto the map depicting properties on Federal Highway Administration Background the surface rests exclusively with the airport operator, which submitted these Environmental Impact Statement: Polk The FHWA, in cooperation with the maps, or with those public agencies and County, IA City of Des Moines and the Iowa planning agencies with which Department of Transportation will consultation is required under section AGENCY: Federal Highway prepare an Environmental Impact 103 of the Act. The FAA has relied on Administration (FHWA), DOT, City of Statement (EIS) for the Southeast the certification by the airport operator, Des Moines. Connector urban arterial street corridor which under section 150.21 of FAR part SUMMARY: The FHWA is issuing this from Southeast 14th Street to its 150, that the statutorily required notice to advise the public that an planned connection to Highway 65, all consultation has been accomplished. environmental impact statement (EIS) in southeasterly Des Moines. The FAA has formally received the will be prepared for a proposed roadway The proposed project is intended to noise compatibility program for Albany project in Polk County, Iowa. The directly connect the primarily industrial International Airport, effective on July planned EIS will evaluate potential southeast quadrant of Des Moines to 8, 2005. Preliminary review of the transportation improvement alternatives both the Highway 65 outer beltway and submitted material indicated that it for serving east-west travel between downtown via the Martin Luther King conforms to the requirements for the downtown Des Moines and the Highway Jr. Parkway Extension over the Des submittal of noise compatibility 65 outer beltway. Moines River. The increased programs, but that further review will be connectivity will lead to economic FOR FURTHER INFORMATION CONTACT: necessary prior to approval or development opportunities in the disapproval of the program. The formal Phillip E. Barnes, P.E., Division southeast area of the city, including a review period, limited by law to a Administrator, Federal Highway planned agribusiness park and maximum of 180 days, will be Administration, 105 Sixth Street, Ames, improved access for redeveloped areas. completed on or before January 4, 2006. Iowa 50010–6337, Phone: (515) 233– Other potential benefits include The FAA’s detailed evaluation will be 7300. Scott Dockstader, P.E., District improving regional mobility, addressing conducted under the provision of 14 Engineer, Iowa Department of local road system deficiencies, CFR part 150, section 150.33. The Transportation, 1020 S. Fourth Street, improving access to jobs, improving primary considerations in the Ames, Iowa 50010, Phone: (515) 239– safety, and improving traffic operations. evaluation process are whether the 1635. Jeb Brewer, P.E., City Engineer, Primary environmental resources that proposed measures may reduce the level City of Des Moines, 400 Robert D. Ray may be affected include numerous of aviation safety, create an undue Drive, Des Moines, Iowa 50309–1891, known and potential hazardous waste burden on interstate or foreign Phone: (515) 237–2113. generating sites, floodplains, wetlands, commerce, or be reasonably consistent SUPPLEMENTARY INFORMATION: and agricultural land. The surrounding
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area also contains stable and cohesive DEPARTMENT OF TRANSPORTATION leakage from one rail to the next rail) populations of minority and low-income will not result in a signal failure. This residents, which will lead to the Federal Railroad Administration phase one test will remain in track for consideration of environmental justice six months prior to moving to the next impacts. Petition for Waiver of Compliance test phase. Alternatives under consideration In accordance with part 211 of title 49 Monitoring—During this test phase, include the no action, transportation Code of Federal Regulations (CFR), the IJ will be monitored for rail system management (TSM)/travel notice is hereby given that the Federal movement (all three directions) and demand management (TDM), new Railroad Administration (FRA) received current isolation. If the IJ restrains the arterial roadway, existing arterial a request for a waiver of compliance rail movement and current does not improvement, and transit alternatives. with certain requirements of its safety pass from one rail to the next rail, the The mode, project type, location, and standards. The individual petition is next test phase will be initiated. This first test IJ will be left in the yard track length of the alternatives evaluated will described below, including the party and will continue to be monitored after be identified based on the results of seeking relief, the regulatory provisions the initial six-month period. The IJ will alternative studies. involved, the nature of the relief being remain in-track until it fails, or if it The scoping process undertaken as requested, and the petitioner’s performs successfully in service for a part of this proposed project will arguments in favor of relief. include distribution of a scoping minimum of one year, BNSF and Omega information packet, coordination with Burlington Northern Santa Fe (BNSF) may option to move it to a signaled appropriate Federal, State and local Railway Company track segment in FRA Class 1 or 2 track. 2. A second IJ will be installed in a agencies, including an agency scoping [Docket Number FRA–2005–21359] meeting to be held on September 7, Class 1 speed main track at a location Burlington Northern Santa Fe (BNSF) that has a signalrequirement. This test IJ 2005, at 1 p.m. at the St. Etienne Railway Company seeks a waiver of Conference Room in the Armory will remain in track for a minimum of compliance from certain provisions of six months prior to moving to a third Building at 602 Robert D. Ray Drive, Des Title 49 of the CFR, part 213, Track Moines, Iowa 50309. A study group test phase. Safety Standards. Specifically, BNSF Monitoring—During this test phase comprised of local officials, seeks relief from the requirements of the IJ will be monitored for rail environmental organizations, and other Section 213.121–Rail Joints, which movement (all three directions) and community interest groups has been prescribe the requirements for rail current isolation. If the IJ restrains the established to provide input during the joints, including standard joints, rail movement and current does not development of the purpose and need insulated joints (IJ), and compromise pass from one rail to the next rail, then and alternative analyses. joints. the IJ would be graduated to the next To help ensure that a full range of BNSF, in conjunction with Omega test phase. This second IJ will remain in issues related to this proposed project Industries of Vancouver, WA, is track and continue to be monitored after are identified and all substantive issues developing a new generation of IJ, and the initial minimum six-month period. are addressed, a comprehensive public seeks a waiver in order to permit field 3. A third IJ will be installed after involvement program has been devised. testing of this new design. This new successful completion of the first phase It includes meetings with advisory design differs from typical accepted IJ and second phase tests. The third phase committees, resource agencies, local construction because it does not utilize test will be conducted at a signal officials, and interest groups; public a continuous angle bar. Instead, the location in Class 2 speed track. This test informational meetings and workshops; design calls for the running rail on each IJ will remain in track until the joint newsletters; and focus groups. Public side being attached to a large fails. If the third phase test joint exceeds notice will be given of the time and interlocking bearing and shaft that is what is deemed the average life of place of all public meetings and the cast into an H-shaped concrete tie that conventional insulated joints, currently public hearing. The Draft EIS will be uniformly distributes loads to the approximately 250–350 MGT, BNSF and available for public review and ballast. The principal advantage of this Omega will propose the installation of comments and suggestions are invited design is that it provides for a large additional joints. When the test IJ are from all interested parties. bearing surface that uses the entire rail removed from track due to failure, they Comments or questions concerning base resting on conventional concrete will be sent back to the manufacturer for this proposed project and the EIS tie pads to distribute vertical loading. examination to determine the cause of should be directed to the FHWA, Iowa The manufacturer and BNSF offer other the failure. Department or Transportation, or City of advantages of such a design to include: Interested parties are invited to Des Moines at the addresses provided Delrin plastic in place of a traditional participate in these proceedings by above. fiberglass endpost, vertical movement is submitting written views, data, or (Catalog of Federal Domestic Assistance further restricted by a vertically comments. FRA does not anticipate Program Number 20.205, Highway Planning positioned bolt system, no need for scheduling a public hearing in and Construction. The regulations messy and toxic epoxy/glue substances, connection with these proceedings since implementing Executive Order 12372 rails can easily be replaced without the facts do not appear to warrant a regarding intergovernmental consultation on removing the joint, allowing correction hearing. If any interested party desires Federal programs and activities apply to this program) of a rail failure without necessarily an opportunity for oral comment, they (Authority: 23 U.S.C. 315; 49 CFR 1.48) replacing the entire IJ. should notify FRA, in writing, before BNSF Railway Company offers the the end of the comment period and Dated: June 15, 2005. following testing plan: specify the basis for their request. Gerald L. Kennedy, 1. The initial IJ will be installed in a All communication concerning these Acting Division Administrator, FHWA, Iowa yard location (FRA Class 1 speed) on a proceedings should identify the Division. non-signaled track segment. Any design, appropriate docket number (e.g., Waiver [FR Doc. 05–14377 Filed 7–20–05; 8:45 am] construction, or installation Petition Docket Number FRA–2005– BILLING CODE 4910–22–P shortcomings (in this case, current 21359) and must be submitted to the
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Docket Clerk, DOT Docket Management paragraph of the May 2, 2005 Decision All communication concerning these Facility, Room PL–401 (Plaza Level), Letter: proceedings should identify the 400 7th Street, SW., Washington, D.C. ‘‘Phase 1: HARTLine will have its appropriate docket number (e.g., Waiver 20590. Communications received within streetcars continue to be required to stop at Petition Docket Number FRA–2002– 30 days of the date of this notice will the signal regardless of indication, with 13398) and must be submitted to the be considered by FRA before final motorman announcing their intention to Docket Clerk, DOT Docket Management action is taken. Comments received after cross on a proceed (green) signal indication Facility, Room PL–401 (Plaza Level), that date will be considered as far as via radio to the HARTLine Rail Dispatcher in 400 7th Street, SW., Washington, DC practicable. All written communications lieu of the CSXT flagman. The Rail 20590. Communications received within Dispatcher, via newly installed Remote concerning these proceedings are Monitoring System cameras, would then 30 days of the date of this notice will available for examination during regular confirm the signal indication and grant be considered by FRA before final business hours (9 a.m.–5 p.m.) at the permission to cross if the signal indication action is taken. Comments received after above facility. allows. The motorman would then recheck that date will be considered as far as All documents in the public docket the signal; again confirm an appropriate practicable. All written communications are also available for inspection and signal indication to the Rail Dispatcher via concerning these proceedings are radio, and cross the interlock. The HARTLine available for examination during regular copying on the Internet at the docket Rail Dispatcher would not control or facility’s Web site at http://dms.dot.gov. communicate with CSXT train engineers or business hours (9 a.m.–5 p.m.) at the Issued in Washington, DC on July 13, 2005. make any representations of the signals above facility. All documents in the public docket are also available for Grady C. Cothen, Jr., aspect. The HARTLine Rail Dispatcher will notify CSXT in Jacksonville, Florida, inspection and copying on the Internet Deputy Associate Administrator for Safety immediately by telephone of any at the docket facility’s Web site at Standards and Program Development. irregularities in the signaling system.’’ http://dms.dot.gov. [FR Doc. 05–14342 Filed 7–20–05; 8:45 am] HARTLine requests that the paragraph Issued in Washington, DC, on July 13, BILLING CODE 4910–06–P be amended to read as follows: 2005. ‘‘Phase 1: HARTLine will have its Grady Cothen, Jr., DEPARTMENT OF TRANSPORTATION streetcars continue to be required to stop at Deputy Associate Administrator for Safety the signal regardless of indication, with Standards and Program Development. Federal Railroad Administration motorman announcing their intention to [FR Doc. 05–14341 Filed 7–20–05; 8:45 am] cross on a proceed (green) signal indication BILLING CODE 4910–06–P Petition for Waiver of Compliance via radio to the HARTLine Rail Dispatcher in lieu of the CSXT flagman. The Rail In accordance with part 211 of title 49 Dispatcher then confirms the transmission from the motorman that he/she has checked DEPARTMENT OF TRANSPORTATION Code of Federal Regulations (CFR), the indication of the signal, and is following notice is hereby given that the Federal its instructions. The motorman would then Federal Railroad Administration Railroad Administration (FRA) received recheck the signal; again confirm an a request for a waiver of compliance appropriate signal indication to the Rail Petition for Waiver of Compliance with certain requirements of its safety Dispatcher via radio, and cross the interlock. standards. The individual petition is The HARTLine Rail Dispatcher would not In accordance with part 211 of Title described below, including the party control or communicate with CSXT train 49 Code of Federal Regulations (CFR), seeking relief, the regulatory provisions engineers or make any representations of the notice is hereby given that the Federal signals aspect. The HARTLine Rail Railroad Administration (FRA) received involved, the nature of the relief being Dispatcher will notify CSXT in Jacksonville, requested, and the petitioner’s Florida, immediately by telephone of any a request for a waiver of compliance arguments in favor of relief. irregularities in the signaling system.’’ with certain requirements of its safety standards. The individual petition is HARTLine is asking the FRA to Hillsborough Area Regional Transit described below, including the party modify the language of the waiver in [Docket Number FRA–2002–13398] seeking relief, the regulatory provisions order to reinforce the aspect of the involved, the nature of the relief being This notice supercedes the Federal failsafe CSXT signal only is used to requested, and the petitioner’s Register notice, Vol. 70, No. 118, issued control regular crossings, and ensure no arguments in favor of relief. June 21, 2005, at 35771, concerning the misinterpretation that the Remote above docket number which was issued Monitoring System cameras or verbal Hiwassee River Railroad Co. in error. permission from the Rail Dispatcher are [Waiver Petition Docket Number FRA–2001– In its decision letter dated May 2, approved crossing devices. 21181] 2005, the FRA Railroad Safety Board Concurrently, HARTLine also is asking granted Hillsborough Area Regional FRA to remove a minor typographic The Hiwassee River Railroad Co. Transit (HARTLine) a waiver extension error that is present in the Decision (HRRC), seeks a waiver of compliance to include the original terms and Letter. from Certain provisions of the Safety conditions of its Shared Use/ Limited Interested parties are invited to Glazing Standards, title 49, CFR 223.11, Connection Waiver, and incorporated participate in these proceedings by Requirements for Existing Locomotives changes to the operating plan for a submitting written views, data, or for one locomotive. The HRRC is located period of one year (for the duration of comments. FRA does not anticipate in Copperhill, TN. The HRRC states that Phase 1 operating procedures). FRA will scheduling a public hearing in they operate a non-common carrier consider granting HARTLine a five year connection with these proceedings since between Copperhill, TN and Etowah, extension (with proposed Phase 2 the facts do not appear to warrant a TN. Locomotive Number 108 will procedures implemented) after hearing. If any interested party desires operate almost exclusively within yard reviewing the results of the Phase 1 an opportunity for oral comment, they and industrial plant at Copperhill, TN. operation. HARTLine now seeks a should notify FRA, in writing, before The HRRC claims that locomotive 108 modification to this waiver and requests the end of the comment period and is presently equipped with shatterproof a change in the verbiage of the following specify the basis for their request. glazing, similar to FRA glazing, of the
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type used before 49 CFR 223.11 was in standards. The individual petition is hearing. If any interested party desires effect. described below, including the party an opportunity for oral comment, they Interested parties are invited to seeking relief, the regulatory provisions should notify FRA, in writing, before participate in these proceedings by involved, the nature of the relief being the end of the comment period and submitting written views, data, or requested, and the petitioner’s specify the basis for their request. comments. FRA does not anticipate arguments in favour of relief. All communications concerning these scheduling a public hearing in proceedings should identify the Illinois Railway Museum connection with these proceedings since appropriate docket number (e.g., Waiver the facts do not appear to warrant a [Docket Number FRA–2005–21271] Petition Docket Number FRA–2005– hearing. If any interested party desires The Illinois Railway Museum (IRM), a 21271) and must be submitted in an opportunity for oral comment, they standard gage railroad and electric triplicate to the Docket Clerk, DOT should notify FRA, in writing, before traction museum, seeks a waiver of Central Docket Management Facility, the end of the comment period and compliance from the requirements of Room PL-401, Washington, DC 20590– specify the basis for their request. title 49 Code of Federal Regulations 0001. Communications received within All communications concerning these (CFR) 230.17 One thousand four 45 days of the date of this notice will proceedings should identify the hundred seventy-two (1472) service day be considered by FRA before final appropriate docket number (e.g., Waiver inspection for their locomotive number action is taken. Comments received after Petition Docket Number 2005–21181) (IRM) 428. Locomotive number 428, is that date will be considered as far as and must be submitted to the Docket a former Union Pacific steam practicable. All written communications Clerk, DOT Docket Management locomotive, built by the Baldwin concerning these proceedings are Facility, Room PL–401 (Plaza Level), Locomotive Works in 1901 (Boiler available for examination during regular 400 7th Street, SW., Washington, DC Number 18303) with a wheel business hours (9 a.m.–5 p.m.) at DOT 20590. Communications received within arrangement of 2–8–0. Central Docket Management Facility, 45 days of the date of this notice will The IRM is not engaged in general Room PL–401 (Plaza Level), 400 be considered by FRA before final railroad transportation, and provides Seventh Street, SW., Washington. All action is taken. Comments received after only railroad/electric railway tourist documents in the public docket are also that date will be considered as far as excursions on a limited schedule. The available for inspection and copying on practicable. All written communications IRM currently consists of approximately the Internet at the docket facility’s Web concerning these proceedings are 26 acres of display area, with 1.5 miles site at http://dms.dot.gov. available for examination during regular of track under cover for display Anyone is able to search the business hours (9 a.m.–5 p.m.) at the purposes. In addition, they operate a electronic form of all comments above facility. All documents in the segment of track on the former Elgin & received into any of our dockets by the public docket are also available for Belvidere electric railway right-of-way, name of the individual submitting the inspection and copying on the Internet between Kishwaukee Grove and East comment (or signing the comment, if at the docket facility’s Web site at Union, Illinois, in McHenry County. submitted on behalf of an association, http://dms.dot.gov. This waiver specifically requests business, labor union, etc.). You may Anyone is able to search the relief from the requirements of 49 CFR review DOT’s complete Privacy Act electronic form of all comments 230.17(a) General that states: ‘‘In the Statement in the Federal Register received into any of our dockets by the case of a new locomotive or a published on April 11, 2000 (Volume name of the individual submitting the locomotive being brought out of 65, Number 70; Pages 19377–78). The comment (or signing the comment, if retirement, the initial 15 year period statement may also be found at http:// submitted on behalf of an association, shall begin on the day that the dms.dot.gov. locomotive is placed in service or 365 business, labor union, etc.). You may Issued in Washington, DC, on July 13, review DOT’s complete Privacy Act days after the first flue tube is installed in the locomotive, which ever comes 2005. Statement in the Federal Register Grady C. Cothen, Jr., published on April 11, 2000 (Volume first.’’ The IRM initiated restoration of the number 428 in January 1984, Deputy Associate Administrator for Safety 65, Number 70; Pages 19477–78). The Standards and Program Development. Statement may also be found at http:// underwent a successful interior boiler [FR Doc. 05–14345 Filed 7–20–05; 8:45 am] dms.dot.gov. inspection by FRA in October 1999, and passed a hydrostatic test in early 2000. BILLING CODE 4910–06–P Issued in Washington, DC on July 13, 2005. The locomotive has been stored dry, and Grady C. Cothen, Jr., indoors since the initiation of the Deputy Associate Administrator for Safety restoration project. Relief is sought by DEPARTMENT OF TRANSPORTATION Standards and Program Development. IRM to begin the 1,472 service days, and Federal Railroad Administration [FR Doc. 05–14343 Filed 7–20–05; 8:45 am] the corresponding 15 year period on the BILLING CODE 4910–06–P day of the first steam test, not the day Petition for Waiver of Compliance the first tube was installed, as they installed the tubes in October 1999, and In accordance with part 211 of title 49 DEPARTMENT OF TRANSPORTATION FRA published the revised 49 CFR part Code of Federal Regulations (CFR), 230 Inspection and Maintenance notice is hereby given that the Federal Federal Railroad Administration Standards for Steam Locomotives on Railroad Administration (FRA) received Petition for Waiver of Compliance November 17, 1999. a request for a waiver of compliance Interested parties are invited to with certain requirements of its safety In accordance with part 211 of title 49 participate in these proceedings by standards. The individual petition is Code of Federal Regulations (CFR), submitting written views, data, or described below, including the party notice is hereby given that the Federal comments. FRA does not anticipate seeking relief, the regulatory provisions Railroad Administration (FRA) received scheduling a public hearing in involved, the nature of the relief being a request for a waiver of compliance connection with these proceedings since requested, and the petitioner’s with certain requirements of its safety the facts do not appear to warrant a arguments in favour of relief.
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Maine Narrow Gage Railroad & triplicate to the Docket Clerk, DOT extension was granted by the FRA Museum Central Docket Management Facility, Railroad Safety Board on May 2, 2005), [Docket Number FRA–2005–21014] Room PL–401, Washington, DC 20590– NJ Transit seeks a permanent waiver of 0001. Communications received within compliance from additional sections of The Maine Narrow Gage Railroad & 45 days of the date of this notice will Title 49 of the CFR for continued safe Museum (MNGR), a 2-foot gage museum be considered by FRA before final operation of its Southern New Jersey railroad, seeks a waiver of compliance action is taken. Comments received after Light Rail Transit (SNJLRT) River Line. from the requirements of Title 49 Code that date will be considered as far as NJ Transit submits that this request is of Federal Regulations (CFR) 230.51 consistent with the waiver process for Water glasses and gage cocks, number practicable. All written communications Shared Use. See Statement of Agency and location. The MNGR is not engaged concerning these proceedings are available for examination during regular Policy Concerning Jurisdiction Over the in general railroad transportation, and Safety of Railroad Passenger Operations provides only railroad tourist business hours (9 a.m.–5 p.m.) at DOT Central Docket Management Facility, and Waivers Related to Shared Use of excursions on a limited schedule. The the Tracks of the General Railroad MNGR currently consists of Room PL–401 (Plaza Level), 400 Seventh Street, SW., Washington. All System by Light Rail and Conventional approximately two miles of track, all Equipment, 65 FR 42529 (July 10, 2000); located within the waterfront district of documents in the public docket are also available for inspection and copying on see also Joint Statement of Agency Portland, Maine, and adjacent to a park. Policy Concerning Shared Use of the This waiver would be for MNGR the Internet at the docket facility’s Web Tracks of the General Railroad System locomotives numbers 3 and 4, and site at http://dms.dot.gov. Anyone is able to search the by Conventional Railroads and Light specifically requests that the minimum Rail Transit Systems, 65 FR 42626 (July reading for the water glasses on these electronic form of all comments 1 received into any of our dockets by the 10, 2000). two locomotives be retained at 1 ⁄2 The River Line is a temporally inches above the highest part of the name of the individual submitting the comment (or signing the comment, if separated light rail system, sharing track crown sheet as originally designed, with Conrail, operating through 19 constructed, and operated since 1912. submitted on behalf of an association, business, labor union, etc.). You may communities, often as close as 100 feet The current requirement, as specified by from residences, schools, hospitals, and title 49 CFR 230.51, requires a minimum review DOT’s complete Privacy Act Statement in the Federal Register businesses. NJ Transit estimates that at water reading be visible at 3 inches moderate levels of service, the River above the highest part of the crown published on April 11, 2000 (Volume 65, Number 70; Pages 19377–78). The Line generates over 5400 audible sheet. If locomotives numbers 3 and 4 warnings per day over its 54 highway- are brought into compliance with the statement may also be found at http:// dms.dot.gov. rail grade crossings and street regulatory requirement, raising the intersections on the shared trackage of water glasses would result in the top or Issued in Washington, DC on July 13, 2005. the Bordentown Secondary from full reading being equal height with the Grady C. Cothen, Jr., milepost 3.4 to milepost 33.1. NJ Transit top of the boiler. Thus, when the water Deputy Associate Administrator for Safety proposes that the quality of life of the glass indicates full, there is very little Standards and Program Development. residents of these communities is remaining volume for steam to [FR Doc. 05–14344 Filed 7–20–05; 8:45 am] significantly impacted by frequent accumulate, and water may carry over BILLING CODE 4910–06–P intrusion of horns and bells, resulting in into the dry pipe, an unsafe condition. numerous complaints from residents In addition, the boilers on these two and elected officials. In order to mitigate locomotives are 371⁄8 inches in DEPARTMENT OF TRANSPORTATION these concerns, NJ Transit adopted the diameter, which is significantly smaller use of the 86dB(A) setting of the two- Federal Railroad Administration than that found on standard gage level horn on the SNJLRT vehicle as the locomotives. The petitioner believes Petition for Waiver of Compliance standard highway-rail grade crossing that due to the difference in boiler audible warning device and developed diameters, an equivalent level of safety In accordance with part 211 of title 49 specific light rail operating rules exists with their water glass at 11⁄2 Code of Federal Regulations (CFR), regarding audible warnings at grade inches above the highest part of the notice is hereby given that the Federal crossings on the River Line. crown sheet when compared to a Railroad Administration (FRA) received On April 27, 2005, the FRA issued the standard gage locomotive set at 3 a request for a waiver of compliance Final Rule on Use of Locomotive Horns inches. with certain requirements of its safety at Highway-Rail Grade Crossings, 69 FR Interested parties are invited to standards. The individual petition is 21844 (2005), with an effective date on participate in these proceedings by described below, including the party June 24, 2005. Although NJ Transit submitting written views, data, or seeking relief, the regulatory provisions states that its audible warning operating comments. FRA does not anticipate involved, the nature of the relief being practices on the River Line are generally scheduling a public hearing in requested, and the petitioner’s in compliance with the rules contained connection with these proceedings since arguments in favor of relief. in 49 CFR parts 222 and 229 Use of the facts do not appear to warrant a Locomotive Horns at Highway Rail hearing. If any interested party desires New Jersey Transit Corporation Grade Crossings; Final Rule, it seeks an opportunity for oral comment, they (Supplement to Waiver Petition Docket waivers from parts of this rule because should notify FRA, in writing, before Number FRA–1999–6135) of variances in the following areas: The the end of the comment period and As a supplement to New Jersey River Line light rail vehicle audible specify the basis for their request. Transit Corporation’s (NJ Transit) warning decibel level, the use of the All communications concerning these Petition for Approval of Shared Use and River Line vehicle bell in Burlington proceedings should identify the Waiver of Certain FRA Regulations (the City, NJ, operating practices for near- appropriate docket number (e.g., Waiver original shared use waiver was granted side station stops in close proximity to Petition Docket Number FRA–2005– by the FRA Railroad Safety Board on fully activated and deployed grade 21014) and must be submitted in December 3, 1999 and a five year crossing warning devices, one highway-
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rail grade crossing in Bordentown, NJ notice is hereby given that the Federal trains each week, during daylight hours, and the horn blowing pattern for Railroad Administration (FRA) has over this shared corridor, at speeds not specific highway-rail crossings in close received a request for a waiver of exceeding 25 mph. To avoid impacts to proximity to one another. compliance with certain requirements of the surrounding communities, freight Interested parties are invited to its safety standards. The individual operations will continue to operate participate in these proceedings by petition is described below, including during daylight hours. submitting written views, data, or the party seeking relief, the regulatory In order for UPRR to continue to comments. FRA does not anticipate provisions involved, the nature of the provide service to a flooring businesses scheduling a public hearing in relief being requested, and the along this shared corridor in San Jose, connection with these proceedings since petitioner’s arguments in favor of relief. CA, VTA is seeking a permanent waiver the facts do not appear to warrant a of compliance from Title 49 of the CFR Santa Clara Valley Transportation hearing. If any interested party desires for operation of its new Vasona Light Authority (VTA) (Supplemental Waiver an opportunity for oral comment, they Rail Line over an at-grade rail crossing Petition Docket Number FRA–1999– ‘‘limited connection’’ with a UPRR should notify FRA, in writing, before 6254) the end of the comment period and freight spur switched from the Vasona specify the basis for their request. As a supplement to VTA’s existing Lead at MP0.41 Race Interlocking. For Because the final rule on Use of Shared Use/Temporal Separation this crossing, VTA seeks permanent Locomotive Horns is now in effect, and waiver, originally granted by the FRA waiver of compliance from sections of because it was not FRA’s intention in on July 7, 2000 (a six month extension title 49 of the CFR, specifically: part issuing that rule to require compliance was granted on June 29, 2005 to 214, subpart B Bridgeworker Safety by light rail vehicles operating in joint accommodate the time needed for this Standards, subpart C Roadway Worker use situations with the horn decibel Supplemental Petition process), VTA Protection, part 217 Railroad Operating level required for conventional rail seeks a permanent waiver of compliance Rules, part 219 Control of Alcohol and equipment, FRA may issue temporary from sections of Title 49 of the CFR for Drug Use, part 220 Railroad relief in this proceeding addressing that operation of its new Vasona Corridor Communications, part 221 Rear End issue, following the expiration of ten Light Rail Project Extension (Vasona Marking Devices, part 223 Safety (10) days from the date of publication of Line) which features ‘‘limited Glazing Standards, part 225 Accident this notice in the Federal Register connections’’ such as a shared corridor Reporting, part 228.17(a)(2) Hours of absent persuasive filings indicating that operation and an at-grade rail crossing Service (for VTA dispatchers only), part a contrary course of action should be of the light rail track by a UPRR freight 229 Locomotive Safety Standards, part taken. spur within this shared corridor. See 231 Railroad Safety Appliances, part All communication concerning these Statement of Agency Policy Concerning 233 Signal Systems Reporting proceedings should identify the Jurisdiction Over the Safety of Railroad Requirements, part 236 Signal and Train appropriate docket number (e.g., Waiver Passenger Operations and Waivers Control Systems, Devices and Petition Docket Number FRA–1999– Related to Shared Use of the Tracks of Appliances-Interlocking, part 238 6135) and must be submitted to the the General Railroad System by Light Passenger Equipment Safety Standards, Docket Clerk, DOT Docket Management Rail and Conventional Equipment, 65 and part 239 Passenger Emergency Facility, Room PL–401 (Plaza Level), FR 42529 (July 10, 2000). See also Joint Preparedness. 400 7th Street, SW., Washington, DC. Statement of Agency Policy Concerning Interested parties are invited to 20590. Communications received within Shared Use of the Tracks of the General participate in these proceedings by 30 days of the date of this notice will Railroad System by Conventional submitting written views, data, or be considered by FRA before final Railroads and Light Rail Transit comments. FRA does not anticipate action is taken. Comments received after Systems, 65 FR 42626 (July 10, 2000). scheduling a public hearing in that date will be considered as far as In this regard, VTA has constructed connection with these proceedings since practicable. All written communications this new extension of its 37-mile light the facts do not appear to warrant a concerning these proceedings are rail system on 5 miles of the existing 15 hearing. If any interested party desires mile long Union Pacific Railroad available for examination during regular an opportunity for oral comment, they (UPRR) Vasona Industrial Lead. This business hours (9 a.m.–5 p.m.) at the should notify FRA, in writing, before new light rail operation will serve the above facility. All documents in the the end of the comment period and cities of southwest San Jose, CA and public docket are also available for specify the basis for their request. Campbell, CA and is scheduled to open All communications concerning these inspection and copying on the Internet on August 12, 2005. VTA owns this 5 proceedings should identify the at the docket facility’s Web site at mile long portion of the shared corridor. appropriate docket number (e.g., Waiver http://dms.dot.gov. As such, VTA and UPRR have executed Petition Docket Number 1999–6254) and Issued in Washington, DC on July 13, 2005. an Operations and Maintenance must be submitted to the Docket Clerk, Grady C. Cothen, Jr., Agreement, which includes an exclusive DOT Docket Management Facility, Deputy Associate Administrator for Safety operating easement, allowing UPRR to Room PL–401 (Plaza Level), 400 7th Standards and Program Development. fulfill its obligations as a common Street, SW., Washington, DC 20590. [FR Doc. 05–14333 Filed 7–20–05; 8:45 am] carrier of freight by continuing its Communications received within 30 BILLING CODE 4910–06–P existing freight operations within the days of the date of this notice will be purchased corridor. This agreement considered by FRA before final action is requires VTA to inspect, maintain, and taken. Comments received after that DEPARTMENT OF TRANSPORTATION repair all tracks, signal systems and date will be considered as far as automatic warning devices along the practicable. Nevertheless, in view of the Federal Railroad Administration freight track within that portion of the fact that VTA intends to commence Petition for Waiver of Compliance corridor shared with LRT tracks (VTA operations on August 12, 2005, FRA and UPRR operate on separate tracks reserves the right to grant temporary In accordance with part 211 of Title within this corridor). UPRR presently relief prior to the expiration of the 49 Code of Federal Regulations (CFR), operates two to three round-trip freight comment period so that rail service may
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be instituted as scheduled. All written Shared Use. See Statement of Agency aware of no accidents or incidents communications concerning these Policy Concerning Jurisdiction Over the occurring on the shared track portion of proceedings are available for Safety of Railroad Passenger Operations the TRAX System that give rise to safety examination during regular business and Waivers Related to Shared Use of concerns relevant to any of the waived hours (9 a.m.–5 p.m.) at the above the Tracks of the General Railroad FRA regulations. facility. All documents in the public System by Light Rail and Conventional Interested parties are invited to docket are also available for inspection Equipment, 65 FR 42529 (July 10, 2000); participate in these proceedings by and copying on the Internet at the see also Joint Statement of Agency docket facility’s Web site at http:// Policy Concerning Shared Use of the submitting written views, data, or dms.dot.gov. Tracks of the General Railroad System comments. FRA does not anticipate Anyone is able to search the by Conventional Railroads and Light scheduling a public hearing in electronic form of all comments Rail Transit Systems, 65 FR 42626 (July connection with these proceedings since received into any of our dockets by the 10, 2000). the facts do not appear to warrant a name of the individual submitting the UTA TRAX is a temporally separated hearing. If any interested party desires comment (or signing the comment, if light rail system that shares track with an opportunity for oral comment, they submitted on behalf of an association, Utah Railway, a freight railroad. On should notify FRA, in writing, before business, labor union, etc.). You may December 20, 2004, the FRA agreed to the end of the comment period and review DOT’s complete Privacy Act expand the conditions and terms of the specify the basis for their request. original waiver to include 29 Santa Statement in the Federal Register Because the final rule on Use of published on April 11, 2000 (Volume Clara Valley Transportation Authority (VTA) cars it recently added to its fleet. Locomotive Horns is now in effect, and 65, Number 70; Pages 19477–78). The because it was not FRA’s intention in Statement may also be found at http:// Prior to service with UTA TRAX, these issuing that rule to require compliance dms.dot.gov. VTA cars were already granted a waiver from the 49 CFR part 229 except for by light rail vehicles operating in joint Issued in Washington, DC on July 14, 2005. § 229.125. UTA did not seek use situations with the horn level Grady C. Cothen, Jr., continuance of waiver from this required for conventional rail Deputy Associate Administrator for Safety provision because the newly acquired equipment, FRA may issue temporary Standards and Program Development. VTA vehicles would be augmented so relief in this proceeding following the [FR Doc. 05–14340 Filed 7–20–05; 8:45 am] that the lights would form the triangular expiration of ten (10) days from the date BILLING CODE 4910–06–P pattern, identical to UTA’s current fleet of publication of this notice in the which is in compliance with FRA Federal Register absent persuasive guidelines. filings indicating that a contrary course DEPARTMENT OF TRANSPORTATION On April 27, 2005, the FRA issued the of action should be taken. Federal Railroad Administration Final Rule on Use of Locomotive Horns at Highway-Rail Grade Crossings, 69 FR All communication concerning these proceedings should identify the Petition for Waiver of Compliance 21844 (2005), with an effective date on June 24, 2005. UTA now seeks a waiver appropriate docket number (e.g., Waiver In accordance with part 211 of title 49 from 49 CFR parts 222 and 229 Use of Petition Docket Number FRA–1999– Code of Federal Regulations (CFR), Locomotive Horns at Highway Rail 6253) and must be submitted to the notice is hereby given that the Federal Grade Crossings; Final Rule. Docket Clerk, DOT Docket Management Railroad Administration (FRA) received Specifically, UTA now is requesting that Facility, Room PL–401 (Plaza Level), a request for a waiver of compliance the FRA waive the requirements of 49 400 7th Street, SW., Washington, DC with certain requirements of its safety CFR 229.129(a) with respect to UTA’s 20590. Communications received within standards. The individual petition is existing fleet of light rail vehicles 30 days of the date of this notice will described below, including the party insofar as it requires that the horn be be considered by FRA before final seeking relief, the regulatory provisions sounded at a level of at least 96dB(A) at action is taken. Comments received after involved, the nature of the relief being each public highway-rail crossing. that date will be considered as far as requested, and the petitioner’s Including this aforementioned practicable. All written communications arguments in favor of relief. amendment, UTA is requesting that the concerning these proceedings are FRA extend its current shared use Utah Transit Authority available for examination during regular waiver for five years. UTA petitions that business hours (9 a.m.–5 p.m.) at the [Supplement and Extension To Waiver this time period will provide more above facility. All documents in the Docket Number FRA–1999–6253] certainty to UTA planners when setting public docket are also available for As a supplement to Utah Transit schedules and standards for operations Authority’s (UTA) Petition for Approval and maintenance, and overall make the inspection and copying on the Internet of Shared Use and Waiver of Certain TRAX system less costly to operate. at the docket facility’s Web site at FRA Regulations (the original shared UTA also proposes that FRA’s concerns http://dms.dot.gov. use waiver was granted by the FRA with the level of state safety oversight Issued in Washington, DC on July 13, 2005. Railroad Safety Board on August 19, by Utah Department of Transportation Grady C. Cothen, Jr., 1999 and a one year extension was (UDOT), which led to the one year Deputy Associate Administrator for Safety granted by the FRA Railroad Safety extension rather than the five years Standards and Program Development. Board on December 20, 2004), UTA initially sought, are being addressed and [FR Doc. 05–14346 Filed 7–20–05; 8:45 am] seeks a permanent waiver of compliance that UDOT’s State Safety Oversight from additional sections of title 49 of System Program is in compliance with BILLING CODE 4910–06–P the CFR and a five year extension of this the Federal Transit Administration’s amended shared use waiver for (FTA) State Safety Oversight Final Rule continued safe operation of its TRAX (see 49 CFR part 659 Rail Fixed System. UTA submits that this request Guideway Systems; State Safety is consistent with the waiver process for Oversight). UTA also states that it is
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DEPARTMENT OF THE TREASURY collection. All comments are part of the being submitted for extension purposes public record and subject to disclosure. only. Alcohol and Tobacco Tax and Trade Please not do include any confidential Type of Review: Extension. Bureau or inappropriate material in your Affected Public: Business or other for- comments. profit. Proposed Information Collections; We invite comments on: (a) Whether Estimated Number of Respondents: Comment Request this information collection is necessary 20. AGENCY: Alcohol and Tobacco Tax and for the proper performance of the Estimated Total Annual Burden Trade Bureau (TTB), Treasury. agency’s functions, including whether Hours: 100. the information has practical utility; (b) ACTION: Notice and request for Title: Application for Certification/ the accuracy of the agency’s estimate of comments. Exemption of Label/Bottle Approval. the information collection’s burden; (c) OMB Number: 1513–0020. SUMMARY: As part of our continuing ways to enhance the quality, utility, and TTB Form Number: 5100.31. effort to reduce paperwork and clarity of the information collected; (d) Abstract: The Federal Alcohol respondent burden, and as required by ways to minimize the information Administration Act (the FAA Act, 27 the Paperwork Reduction Act of 1995, collection’s burden on respondents, U.S.C. 201 et seq.) requires that alcohol we invite comments on the proposed or including through the use of automated beverage labels provide the consumer continuing information collections collection techniques or other forms of with adequate information regarding a listed below in this notice. information technology; and (e) product’s identity and prohibits the use estimates of capital or start-up costs and DATES: We must receive your written of misleading information on such costs of operation, maintenance, and comments on or before September 19, labels. The FAA Act also authorized the purchase of services to provide the 2005. Secretary of the Treasury to issue requested information. regulations to carry out its provisions. ADDRESSES: You may send comments to To ensure compliance with the FAA Act Mary A. Wood, Alcohol and Tobacco Information Collections Open for Comment and the related regulations, industry Tax and Trade Bureau, at any of these members complete this form as an addresses: Currently, we are seeking comments application to label their products. • P.O. Box 14412, Washington, DC on the following forms: Current Actions: There are no changes 20044–4412; Title: Personnel Questionnaire— to this information collection, and it is • 202–927–8525 (facsimile); or Alcohol and Tobacco Products. being submitted for extension purposes • [email protected] (e-mail). OMB Number: 1513–0002. only. Please send separate comments for TTB Form Number: 5000.9. Type of Review: Extension. each specific information collection Abstract: The information listed on Affected Public: Business or other for- listed below. You must reference the TTB F 5000.9, Personnel Questionnaire, profit. information collection’s title, form enables TTB to determine whether or Estimated Number of Respondents: number, and OMB number (if any) in not an applicant for an alcohol or 10,982. your comment. If you submit your tobacco permit meets the minimum Estimated Total Annual Burden comment via facsimile, send no more qualifications. The form identifies the Hours: 41,238. than five 8.5 x 11 inch pages in order individual, residence, business background, financial sources for the Title: Report—Proprietor of Export to ensure electronic access to our Warehouse. equipment. business, and criminal record. If the applicant is found not to be qualified, OMB Number: 1513–0024. FOR FURTHER INFORMATION CONTACT TTB Form Number: 5220.4. : To the permit may be denied. obtain additional information, copies of Current Actions: There are no changes Abstract: Proprietors who are the information collection and its to this information collection, and it is qualified to operate export warehouses instructions, or copies of any comments being submitted for extension purposes that handle untaxpaid tobacco products received, contact Mary A. Wood, only. are required to file a monthly report. Alcohol and Tobacco Tax and Trade Type of Review: Extension. This report summarizes all transactions Bureau, P.O. Box 14412, Washington, Affected Public: Business or other for- by the proprietor handling receipts, DC 20044–4412; or telephone 202–927– profit. dispositions, and on-hand quantities. 8210. Estimated Number of Respondents: TTB F 5220.4 is used for product SUPPLEMENTARY INFORMATION: 5,000. accountability and is examined by TTB Estimated Total Annual Burden National Revenue Center personnel. Request for Comments Hours: 10,000. Current Actions: There are no changes The Department of the Treasury and Title: Application and Permit to Ship to this information collection and it is its Alcohol and Tobacco Tax and Trade Liquors and Articles of Puerto Rican being submitted for extension purposes Bureau, as part of their continuing effort Manufacture Taxpaid. only. to reduce paperwork and respondent OMB Number: 1513–0008. Type of Review: Extension. burden, invite the general public and TTB Form Number: 5170.7. Affected Public: Business or other for- other Federal agencies to comment on Abstract: TTB F 5170.7 is used to profit. the proposed or continuing information document the shipment of taxpaid Estimated Number of Respondents: collections listed below in this notice, Puerto Rican articles into the U.S. The 123. as required by the Paperwork Reduction form is verified by Puerto Rican and Estimated Total Annual Burden Act of 1995 (44 U.S.C. 3501 et seq.). U.S. Treasury officials to certify that Hours: 1,181. Comments submitted in response to products are either taxpaid or deferred Title: Claim for Drawback of Tax on this notice will be included or under appropriate bond. This serves as Cigars, Cigarettes, Cigarette Papers and summarized in our request for Office of a method of protection of the revenue. Tubes. Management and Budget (OMB) Current Actions: There are no changes OMB Number: 1513–0026. approval of the relevant information to this information collection, and it is TTB Form Number: 5620.7.
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Abstract: TTB F 5620.7 documents Estimated Total Annual Burden being submitted for extension purpose that cigars, cigarettes, cigarette papers Hours: 50. only. and tubes were shipped to a foreign Title: Withdrawal of Spirits, Specially Type of Review: Extension. country, Puerto Rico, the Virgin Islands, Denatured Spirits, or Wines for Affected Public: Business and other or a possession of the United States and Exportation. for-profit. that the tax has been paid on these OMB Number: 1513–0037. Estimated Number of Respondents: tobacco articles. TTB F 5620.7 is the TTB Form Number: 5100.11. 100. claim form that a person who paid the Abstract: TTB Form 5100.11 is Estimated Total Annual Burden tax on the articles uses to file for a completed by exporters to report the Hours: 10,000. drawback or refund for the tax that was withdrawal of spirits, denatured spirits, Title: Application and Permit to Ship paid. and wines from internal revenue Puerto Rican Spirits to the United States Current Actions: There are no changes bonded premises, without payment of Without Payment of Tax. to this information collection, and it is tax for direct exportation, transfer to a OMB Number: 1513–0043. being submitted for extension purposes foreign trade zone, customs TTB Form Number: 5110.31. only. manufacturer’s bonded warehouse or Abstract: TTB F 5110.31 is used to Type of Review: Extension. customs bonded warehouse or for use as allow a person to ship spirits in bulk Affected Public: Business or other for- supplies on vessels or aircraft. into the U.S. The form identifies the profit. Current Actions: There are no changes person in Puerto Rico from where Estimated Number of Respondents: to this information collection, and it is shipments are to be made, the person in 288. being submitted for extension purposes the U.S. receiving the spirits, amounts Estimated Total Annual Burden only. of spirits to be shipped, and the bond Hours: 144. Type of Review: Extension. of the U.S. person to cover taxes on such Title: Report—Manufacturer of Affected Public: Business or other for- spirits. Tobacco Products or Cigarette Papers profit. Current Actions: There are no changes and Tubes. Estimated Number of Respondents: to this information collection, and it is OMB Number: 1513–0033. 300. being submitted for extension purposes TTB Form Number: 5210.5. Estimated Total Annual Burden only. Abstract: TTB F 5210.5 documents a Hours: 6,000. Type of Review: Extension. tobacco products manufacturer’s Title: Application for Operating Affected Public: Business or other for- accounting of cigars and cigarettes. The Permit Under 26 U.S.C. 5171(d). profit. form describes the tobacco products OMB Number: 1513–0040. Estimated Number of Respondents: manufactured, articles produced, TTB Form Number: 5110.25. 20. received, disposed of, and statistical Abstract: TTB F 5110.25 is completed Estimated Total Annual Burden classes of large cigars. TTB examines by proprietors of distilled spirits plants Hours: 450. and verifies entries on these reports so who engage in certain specified types of Title: Applications for Tobacco as to identify unusual activities, errors, activities. TTB personnel use the Products and for Cigarette Papers and and omissions. information on the form to identify the Tubes. Current Actions: There are no changes applicant, the location of the business, OMB Number: 1513–0078. to this information collection, and it is and the types of activities to be TTB Form Numbers: 5200.3, 5200.16, being submitted for extension purposes conducted. 5230.4, and 5230.5. only. Current Actions: There are no changes Abstract: The forms are used by Type of Review: Extension. to this information collection, and it is tobacco industry members to obtain and Affected Public: Business and other being submitted for extension purposes amend permits necessary to engage in for-profit. only. business as a manufacturer of tobacco Estimated Number of Respondents: Type of Review: Extension. products, importer of tobacco products, 150. Affected Public: Business and other or proprietor of an export warehouse. Estimated Total Annual Burden for-profit. Current Actions: There are no changes Hours: 1,800. Estimated Number of Respondents: to this information collection, and it is Title: Inventory—Export Warehouse 80. being submitted for extension purposes Proprietor. Estimated Total Annual Burden only. OMB Number: 1513–0035. Hours: 20. Type of Review: Extension. TTB Form Number: 5220.3. Title: Drawback on Distilled Spirits Affected Public: Business and other Abstract: TTB F 5220.3 is used by Exported. for-profit. export warehouse proprietors to record OMB Number: 1513–0042. Estimated Number of Respondents: inventories that are required by laws TTB Form Number: 5110.30. 630. and regulations. The form provides a Abstract: The information collected Estimated Total Annual Burden uniform format for recording inventories on TTB F 5110.30 provides a uniform Hours: 1,130. and establishes a contingent tax liability format for determining that taxes have Title: Special Tax Registration and on tobacco products. already been paid. The form details Return Alcohol and Tobacco and Current Actions: There are no changes specific operations and accounts for Special Tax Registration and Return to this information collection and it is taxable commodities. Tax liability is National Firearms Act (NFA). being submitted for extension purposes established to prevent jeopardy to the OMB Number: 1513–0112. only. revenue derived from distilled spirits. TTB Forms Number: 5630.5 and Type of Review: Extension. TTB examines and verifies entries so as 5630.7. Affected Public: Business and other to identify unusual activities, errors, or Abstract: 26 U.S.C. Chapters 51, 52, for-profit. omissions. and 53 authorize the collection of an Estimated Number of Respondents: Current Actions: There are no changes occupational tax from persons engaging 10. to this information collection, and it is in certain alcohol, tobacco, or firearms
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businesses. TTB F 5630.5 and/or TTB F SUPPLEMENTARY INFORMATION: Approved: July 14, 2005. 5630.7 is used to both compute and Title: Cancellation of Debt. Glenn Kirkland, report the tax, and as an application for OMB Number: 1545–1424. IRS Reports Clearance Officer. registry as required by statute. Upon Form Number: 1099–C. [FR Doc. E5–3875 Filed 7–20–05; 8:45 am] receipt of the tax, a special tax stamp is Abstract: Form 1099–C is used by BILLING CODE 4830–01–P issued. Federal government agencies, financial Current Actions: TTB F 5630.7 is institutions, and credit unions to report being dropped from our inventory; it is the cancellation or forgiveness of a debt DEPARTMENT OF THE TREASURY now a Bureau of Alcohol, Tobacco, of $600 or more, as required by section Firearms and Explosives (Justice Internal Revenue Service 6050P of the Internal Revenue Code. Department) form (ATF F 5630.7). There The IRS uses the form to verify are no changes to TTB F 5630.5, and it Open Meeting of the Ad Hoc compliance with the reporting rules and is being submitted for extension Committee of the Taxpayer Advocacy to verify that the debtor has included purposes only. Panel Type of Review: Extension. the proper amount of canceled debt in Affected Public: Business and other income on his or her income tax return. AGENCY: Internal Revenue Service (IRS), for-profit. Current Actions: There are no changes Treasury. being made to the form at this time. Estimated Number of Respondents: ACTION: Amended notice. 90,700. Type of Review: Extension of a currently approved collection. Estimated Total Annual Burden SUMMARY: An open meeting of the Ad Hours: 72,778. Affected Public: Business or other for- Hoc Committee of the Taxpayer Dated: July 14, 2005. profit organizations, not-for-profit Advocacy Panel will be conducted (via William H. Foster, institutions, and the Federal teleconference). The TAP will be Chief, Regulations and Procedures Division. government. discussing issues pertaining to lessoning [FR Doc. 05–14349 Filed 7–20–05; 8:45 am] Estimated Number of Responses: the burden for individuals. 647,993. BILLING CODE 4810–31–P Recommendations for IRS systemic Estimated Time Per Response: 10 min. changes will be developed. Estimated Total Annual Burden DATES: The meeting will be held Hours: 110,159. DEPARTMENT OF THE TREASURY Monday, August 22, 2005. The following paragraph applies to all Internal Revenue Service of the collections of information covered FOR FURTHER INFORMATION CONTACT: by this notice: Mary O’Brien at 1–888–912–1227, or Proposed Collection; Comment 206 220–6096. Request for Form 1099–C An agency may not conduct or sponsor, and a person is not required to SUPPLEMENTARY INFORMATION: Notice is AGENCY: Internal Revenue Service (IRS), respond to, a collection of information hereby given pursuant to section Treasury. unless the collection of information 10(a)(2) of the Federal Advisory ACTION: Notice and request for displays a valid OMB control number. Committee Act, 5 U.S.C. App. (1988) comments. Books or records relating to a collection that an open meeting of the Ad Hoc of information must be retained as long Committee of the Taxpayer Advocacy SUMMARY: The Department of the as their contents may become material Panel was published in the Federal Treasury, as part of its continuing effort in the administration of any internal Register on July 11, 2005, to be held to reduce paperwork and respondent revenue law. Generally, tax returns and Monday, August 8, 2005 from 4 p.m. burden, invites the general public and tax return information are confidential, eastern time to 5 p.m. eastern time via other Federal agencies to take this as required by 26 U.S.C. 6103. a telephone conference call. This opportunity to comment on proposed Request for Comments: Comments meeting has been rescheduled to August and/or continuing information submitted in response to this notice will 22, 2005, from 1 p.m. to 2 p.m. eastern collections, as required by the be summarized and/or included in the time, via telephone conference call. If Paperwork Reduction Act of 1995, request for OMB approval. All you would like to have the TAP Public Law 104–13 (44 U.S.C. comments will become a matter of consider a written statement, please call 3506(c)(2)(A)). Currently, the IRS is public record. Comments are invited on: 1–888–912–1227 or 206–220–6096, or soliciting comments concerning Form (a) Whether the collection of write to Mary O’Brien, TAP Office, 915 1099–C, Cancellation of Debt. information is necessary for the proper 2nd Avenue, MS W–406, Seattle, WA DATES: Written comments should be performance of the functions of the 98174 or you can contact us at http:// received on or before September 19, agency, including whether the www.improveirs.org. Due to limited 2005, to be assured of consideration. information shall have practical utility; conference lines, notification of intent ADDRESSES: Direct all written comments (b) the accuracy of the agency’s estimate to participate in the telephone to Glenn Kirkland, Internal Revenue of the burden of the collection of conference call meeting must be made Service, room 6516, 1111 Constitution information; (c) ways to enhance the with Mary O’Brien. Ms. O’Brien can be Avenue, NW., Washington, DC 20224. quality, utility, and clarity of the reached at 1–888–912–1227 or 206– FOR FURTHER INFORMATION CONTACT: information to be collected; (d) ways to 220–6096. Requests for additional information or minimize the burden of the collection of The agenda will include the copies of the form and instructions information on respondents, including following: Various IRS issues. should be directed to Allan Hopkins, at through the use of automated collection (202) 622–6665, or at Internal Revenue techniques or other forms of information Dated: July 15, 2005. Service, room 6516, 1111 Constitution technology; and (e) estimates of capital Bernard E. Coston, Avenue, NW., Washington, DC 20224 or or start-up costs and costs of operation, Director, Taxpayer Advocacy Panel. through the Internet at maintenance, and purchase of services [FR Doc. E5–3874 Filed 7–20–05; 8:45 am] [email protected]. to provide information. BILLING CODE 4830–01–P
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Corrections Federal Register Vol. 70, No. 139
Thursday, July 21, 2005
This section of the FEDERAL REGISTER DEPARTMENT OF TRANSPORTATION Wednesday, July 6, 2005, make the contains editorial corrections of previously following correction: published Presidential, Rule, Proposed Rule, Federal Aviation Administration and Notice documents. These corrections are § 39.13 [Corrected] prepared by the Office of the Federal 14 CFR Part 39 On page 38752, in the second column, Register. Agency prepared corrections are in § 39.13, after amendatory instruction issued as signed documents and appear in [Docket No. 2004–NM–37–AD; Amendment 2., in the first and second lines, the appropriate document categories 39–14180; AD 2005–14–03] ‘‘2005-14 Empresa Brasileira De Aeronautica elsewhere in the issue. RIN 2120–AA64 S.A. (Embraer):’’ should read Airworthiness Directives; Empresa ‘‘2005-14-03 Empresa Brasileira De Brasileira de Aeronautica S.A. Aeronautica S.A. (Embraer):’’ (EMBRAER) Model EMB–145 and EMB–135 Series Airplanes [FR Doc. C5–13142 Filed 7–20–05; 8:45 am] BILLING CODE 1505–01–D Correction In rule document 05–13142 beginning on page 38751 in the issue of
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Part II
Department of Housing and Urban Development Notice of Funding Availability for Fiscal Year (FY) 2004 HOPE VI Main Street Grants; Notices
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DEPARTMENT OF HOUSING AND B. Purpose of the Program. The of local government that submits the URBAN DEVELOPMENT purpose of the HOPE VI Main Street application and, where applicable, the program is to provide grants to small procured developer, the procured [Docket No. FR–4962–N–01] communities to assist in the property manager, architects, rehabilitation and new construction of construction contractors, attorneys, Notice of Funding Availability for affordable housing in conjunction with partners that comprise the owner entity, Fiscal Year (FY) 2004 HOPE VI Main an existing program to revitalize an and other parties that may be involved Street Grants historic or traditional central business in the development and management of AGENCY: Office of the Assistant district or ‘‘Main Street Area.’’ The the Project. Secretary for Public and Indian objectives of the program are to: 3. Community and Supportive Housing, HUD. 1. Redevelop Main Street Areas; Services (‘‘CSS’’) means services to 2. Preserve historic or traditional residents of the Project that may ACTION: Notice of Funding Availability architecture or design features in Main include, but are not limited to: (NOFA). Street Areas; a. Educational activities that promote 3. Enhance economic development learning and serve as the foundation for Overview Information efforts in Main Street Areas; and young people from infancy through high A. Federal Agency Name. Department 4. Provide affordable housing in Main school graduation, helping them to of Housing and Urban Development, Street Areas. succeed in academia and the Office of Public and Indian Housing. C. Statutory Authority. professional world. Such activities, B. Funding Opportunity Title. HOPE 1. The program authority for the which include after school programs, VI Main Street Grants. HOPE VI Main Street program is Section mentoring, and tutoring, must be C. Announcement Type. Initial 24 of the United States Housing Act of created with strong partnerships with announcement. 1937 (42 U.S.C. 1437v), as amended by public and private educational D. Funding Opportunity Number. The Section 535 of the Quality Housing and institutions; Federal Register number for this NOFA Work Responsibility Act of 1998 (Pub. b. Adult educational activities, is: FR–4962–N–01. The Office of L. 105–276, 112 Stat. 2461, approved including remedial education, literacy Management and Budget (OMB) October 21, 1998), as amended, and the training, tutoring for completion of paperwork approval number for this HOPE VI Program Reauthorization and secondary or post-secondary education, program is 2577–0208. Small Community Mainstreet assistance in the attainment of E. Catalog of Federal Domestic Rejuvenation and Housing Act of 2003 certificates of high school equivalency, Assistance (CFDA) Number. The CFDA (Pub. L. 108–186, 117 Stat. 2685, and courses in English as a Second number for this NOFA is 14–866, approved December 16, 2003). Language, as needed; ‘‘Demolition and Revitalization of 2. The funding authority for the HOPE c. Job readiness and job retention Severely Distressed Affordable Housing VI Main Street program is provided by activities, which frequently are key to (HOPE VI).’’ the Consolidated Appropriations Act, securing private sector commitments to F. Dates. 2004 (Pub. L 108–199, approved January the provision of jobs; 1. Application Submission Date. The 23, 2004), under Division G, Title II, d. Employment training activities that application submission date is Public and Indian Housing. include results-based job training, September 2, 2005. See the General 3. The HOPE VI Program preparation, counseling, development, Section for application submission and Reauthorization and Small Community placement, and follow-up assistance timely receipt requirements. Mainstreet Rejuvenation and Housing after job placement; 2. Estimated Grant Award Date. The Act of 2003 states that, of the amount e. Programs that provide entry-level, estimated award date will be September appropriated for the overall HOPE VI registered apprenticeships in 30, 2005. program for any fiscal year, the construction, construction-related, G. Electronic Application Submission. Secretary shall provide up to five maintenance, or other related activities. Applications for this NOFA must be percent for use only for the Main Street A registered apprenticeship program is submitted electronically through http:// initiative. For FY 2004, the Secretary a program which has been registered www.grants.gov. The applicant must has set aside approximately $5 million with either a State Apprenticeship register with grants.gov’s Central for Main Street activities authorized in Agency recognized by the Department of Contractor Registry and must register its Section 24(n) of the Act, which provides Labor’s (DOL) Office of Apprenticeship Authorized Organization Representative for grant amounts that shall be used by Training, Employer and Labor Services with grants.gov in order to submit an smaller communities only to provide (OATELS) or, if there is no recognized application. Registration may take up to assistance to carry out eligible state agency, by OATELS. See also DOL two weeks and must be completed at affordable housing activities. regulations at 29 CFR part 29; least 48 hours before the submission D. Definition of Terms. f. Life skills training on topics such as date. See ‘‘Other Submission 1. Affordable Housing means rental or parenting, consumer education, and Requirements,’’ Section IV.F. of this homeownership dwelling units that: family budgeting; a. Are made available for initial g. Creation and operation of credit NOFA and http://www.grants.gov/ occupancy to low-income families, with unions to serve residents, including GetStarted. a subset of units made available to very capitalization and technical assistance Full Text of Announcement low- and extremely low-income to foster new credit unions on-site and families; and to encourage existing community credit I. Funding Opportunity Description b. Are subject to the same rules unions to expand their coverage to A. Available Funds. This NOFA regarding occupant contribution toward include on-site coverage; announces the availability of rent or purchase, and terms of rental or h. Homeownership counseling that is approximately $5 million in Fiscal Year purchase, as are public housing units. scheduled to begin promptly after grant (FY) 2004 funds to produce affordable 2. Applicant Team (‘‘Team’’) means award so that, to the maximum extent housing in HUD-defined Main Street the group of entities that will develop possible, qualified residents will be rejuvenations. the Project. The Team includes the unit ready to purchase new homeownership
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units when they are completed. The Pacific Islands, or a general purpose 14. Match is cash or in-kind donations Family Self-Sufficiency Program can political subdivision thereof; a that: also be used to promote combination of such political a. Total at least five percent of the homeownership, providing assistance subdivisions that is recognized by the requested HOPE VI Main Street grant with escrow accounts and counseling; Secretary. amount; and i. Coordinating with health care 10. Low-Income means a family b. Are from government or private- services providers or providing on-site (resident) with an income equal to or sector sources other than HOPE VI space for a health clinic, doctors, a less than 80 percent of median income funding. wellness center, dentists, etc., that will for the local area, adjusted for family 15. Owner entity is the legal entity primarily serve the affordable housing size, in accordance with Section 3(b)(2) that holds title to the real property that residents. HOPE VI funds may not be of the United States Housing Act of contains any affordable housing units used to provide direct medical care to 1937, as amended. HUD may establish developed through this NOFA. residents; a level higher or lower than 80 percent 16. Person with disabilities means a j. Substance/alcohol abuse treatment because of prevailing construction costs person who: and counseling; or unusually high or low family a. Has a condition defined as a k. Activities that address domestic incomes in the area. HUD prescribed disability in Section 223 of the Social violence treatment and prevention; income limits are stated at http:// Security Act; l. Child care services that provide www.huduser.org/datasets/il/IL05/ b. Has a developmental disability as sufficient hours of operation to facilitate Section8_IncomeLimits_2005.doc. Local defined in Section 102 of the parental access to education and job area is defined as the Primary Developmental Disabilities Assistance opportunities, serve appropriate age Metropolitan Statistical Area/ Bill of Rights Act; or groups, and stimulate children to learn; Metropolitan Statistical Area (PMSA/ c. Is determined to have a physical, m. Transportation, as necessary, to MSA) or county/parish, as prescribed by mental, or emotional impairment which: enable all family members to participate HUD, in which the low-income family (1) Is expected to be of long-continued in available CSS activities and/or to resides. and indefinite duration; commute to their places of employment; 11. Main Street Area means an area (2) Substantially impedes his or her n. Entrepreneurship training and specifically designated by the applicant, ability to live independently; and mentoring, with the goal of establishing within the jurisdiction of the applicant (3) Is of such a nature that such ability resident-owned businesses; and that is or was; could be improved by more suitable o. Coordinating with fair housing a. Traditionally the central business housing conditions. groups to educate the Main Street district and center for socio-economic d. The term ‘‘person with disabilities’’ Affordable Housing Project’s targeted interaction; may include persons who have acquired population on its fair housing rights. b. Characterized by a cohesive core of immunodeficiency syndrome (AIDS) or 4. Firmly Committed means that the historic and/or older commercial and any conditions arising from the etiologic amount of Match resources and their mixed-use buildings, often interspersed agent for AIDS. In addition, no dedication to HOPE VI Main Street with civic, religious, and residential individual shall be considered a person activities must be explicit, in writing, buildings, which represent the with disabilities, for purposes of and signed by a person authorized to community’s architectural heritage; eligibility for low-income housing, make the commitment. c. Typically arranged along a main solely on the basis of any drug or 5. General Section means the Notice street with intersecting side streets and alcohol dependence. of HUD’s Fiscal Year 2005 Notice of public space; and e. The definition provided above for Funding Availability Policy d. Pedestrian-oriented. persons with disabilities is the proper Requirements and General Section to 12. Main Street Affordable Housing definition for determining program the SuperNOFA for HUD’s Discretionary Project (‘‘Project’’) is defined in Section qualifications. However, the definition Programs; Notice, Docket No. FR–4950- III.C.2.b. of this NOFA, ‘‘Program of a person with disabilities contained N–01, published in the Federal Register Requirements.’’ in Section 504 of the Rehabilitation Act 13. Main Street Rejuvenation Master on March 21, 2005. of 1973 and its implementing Plan (‘‘Master Plan’’) is a document, or 6. Homeownership Unit means a regulations must be used for purposes of housing unit that the Local Government group of documents, that: a. Serves to guide the rejuvenation of reasonable accommodations. makes available for purchase by low- 17. Program means the HOPE VI Main a Main Street Area; income families for use as their b. Is actively administered and Street Program. principal residence; implemented by the applicant, an 18. Recognized Developer is: a. A procured developer that is a legal 7. Initial Occupancy Period means the agency of the local government, or a period of time that a rental unit is developer entity recognized by the entity and that has a contract or occupied by the initial low-income applicant; ‘‘Developer Agreement’’ with a Local resident or the period of time that a c. Addresses major components such Government to finance, rehabilitate and/ homeownership unit is owned by the as design, organization, promotion, and or construct housing units, and to initial third-party, low-income economic impact; provide Community and Supportive purchaser. d. Has broad community support; Services (if required), for a HOPE VI 8. Jurisdiction means the physical e. Involves investment by the public Main Street grantee; or area under the supervision of the Local and private sectors; b. The Local Government applicant Government. f. Has a strong preservation element itself. 9. Local Government means any city, for historic or traditional architecture; 19. Unit of Local Government: See county/parish, town, township, parish, g. Shows long-term planning and ‘‘Local Government’’ under this section. village, or other general purpose commitment; and 20. Very Low-Income Family means a political subdivision of a state; Guam, h. Complies with the minimum family (resident) with an income equal the Northern Mariana Islands, the Virgin requirements stated in the Program to or less than 50 percent of median Islands, American Samoa, the District of Requirements in Section III.C.2. of this income for the local area, adjusted for Columbia and the Trust Territory of the NOFA. family size, in accordance with Section
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3(b)(2) of the United States Housing Act must be obligated on or before in place at the time of award. See of 1937, as amended. HUD may September 30, 2005. Section IV.F. of this NOFA for detailed establish a level higher or lower than 50 B. Number of Awards. This NOFA instructions on the procedures related to percent because of prevailing will result in approximately 10 to 15 the submission of third-party construction costs or unusually high or awards. documents. low family incomes in the area. HUD C. Range of Amounts of Each Award. b. The applicant may propose to use prescribed income limits are stated at Each applicant may request up to the applicant’s own funds to meet the http://www.huduser.org/datasets/il/ $500,000. match requirement. IL05/Section8_IncomeLimits_2005.doc. D. Start Date, Period of Performance. c. The applicant’s staff time is not an Local area is defined as the PMSA/MSA The term of the grants that result from eligible cash or in-kind match. or nonmetropolitan county/parish, as this NOFA will start on the date that the d. See Section IV.B. of this NOFA for prescribed by HUD, in which the low- grant award document is signed by HUD the requirements for documentation of income family resides. and will continue for 30 months. match resources. E. Eligible Uses of Grant Funds. E. Type of Instrument. Grant C. Other. 1. Main Street grant funds may be Agreement. 1. Thresholds. expended on the following activities: F. Supplementation. Grants resulting a. Main Street Area. The applicant a. New construction and from this NOFA do not supplement must have within its jurisdiction a Main rehabilitation of Main Street-related other HOPE VI grants. Street Area. See Section I.D. of this affordable rental and homeownership NOFA for the definition of a Main Street housing; III. Eligibility Information b. Architectural and Engineering A. Eligible Applicants. Eligible Area. If the applicant’s jurisdiction does activities, surveys, permits, and other applicants include, and are limited to, not have a Main Street Area, the planning and implementation costs Local Governments, as defined in application will not be eligible for related to the construction and Section I.D. of this NOFA and Section funding through this NOFA. rehabilitation of Main Street-related 102 of the Housing and Community b. Master Plan. A Main Street affordable housing; Development Act of 1974 (42 U.S.C. Rejuvenation Master Plan for the Main c. Tax credit syndication; 5302). The Local Government must: Street Area must have been in existence d. Funding of moving expenses for 1. Have a Main Street rejuvenation for three years prior to the application low-income residents displaced as a effort within its jurisdiction; submission date, and, if one exists, be result of construction or rehabilitation 2. Have a population of 50,000 or less; included in the applicant’s of the Project, in accordance with the and Consolidated Plan. See Section I.D. of Uniform Relocation Assistance and Real 3. Not be served by a public housing this NOFA for the definition of a Main Property Acquisition Policies Act of agency that administers more than 100 Street Rejuvenation Master Plan. If the 1970 (URA); public housing units. For this NOFA, applicant’s Main Street Rejuvenation e. Economic development activities HUD does not consider agencies of the Master Plan has not been in existence that promote the economic self- State government to be public housing for three years prior to the application sufficiency of low-income residents of agencies. submission date, the application will the Project; B. Cost Sharing or Match. not be eligible for funding through this f. Management improvements 1. Match. HUD is required by the NOFA. necessary for the proper development Quality Housing and Work c. Main Street Affordable Housing and management of Main Street-related Responsibility Act (42 U.S.C. Project (‘‘Project’’). The targeted affordable housing, including, but not 1437v(c)(1)(A)) to include the affordable housing project must conform limited to: requirement for matching funds for all to this NOFA’s requirements for a Main (1) Staff training (including travel) HOPE VI-related grants. Applicants Street Affordable Housing Project, as related to affordable housing must provide matching funds in the defined in Section III.C.2.b. of this development and management and amount of five percent of the requested NOFA. If the targeted affordable housing public housing property management; grant amount from sources other than project does not conform to this NOFA’s (2) Staff time and materials or HUD HOPE VI funds. Match sources requirements of a project, the contractor services to revise or develop: may include other federal sources, any application will not be eligible for (a) Procedure manuals; state or local government sources, any funding through this NOFA. (b) Accounting systems, excluding private contributions, the value of any d. Inclusion of Affordable Housing. accounting services; donated material or building, the value The project must have been included in (c) Lease documents; of any lease on a building, the value of the applicant’s master plan on or before (d) Resident screening procedures; the time and services contributed by the date of publication of this NOFA. If and the project was not included in the (e) Data processing systems. volunteers, and the value of any other g. Leveraging non-HOPE VI funds and in-kind services provided. The match applicant’s master plan on or before the in-kind services; may include funds already spent on, or date of publication of this NOFA, the h. Community and Supportive funds committed to, the project, application will not be eligible for Services. See Funding Restrictions in provided that they were or shall be used funding through this NOFA. Section IV.E. of this NOFA. only for carrying out eligible affordable e. Zoning. Zoning for residential F. General Section Reference. The housing activities. housing, or mixed-use zoning that subsection entitled ‘‘Funding a. Match donations must be firmly includes residential housing, must be in Opportunity Description’’ in Section I. committed. ‘‘Firmly committed’’ means place on all project sites on or before the of the General Section is hereby that the amount of match resources and application submission date. If zoning incorporated by reference. their dedication to Main Street-related for residential housing, or mixed-use affordable housing activities must be zoning that includes residential II. Award Information explicit, in writing, and signed by a housing, is not in place on all project A. Available Funds. A total of $5 person authorized to make the sites on or before the application million is available for funding, which commitment. The commitment must be submission date, the application will
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not be eligible for funding through this (k) Land Sale Proceeds. The value of (6) If the applicant provides leverage NOFA. land may be included as a development funds/in-kind services of an amount less f. Site Control. The applicant, or resource only if this value is a sales than 100 percent of the requested grant recognized developer entity of the proceed. Absent a sales transaction, the amount, the application will not be project, must have site control of all value of land may not be counted; eligible for funding through this NOFA. properties where affordable housing (l) Donations of Land. Donations of i. One Main Street Area. The will be developed on or before the land may be counted as leverage only if applicant may only include one Main application submission date. If the the donating entity owns the land to be Street Area in the application. However, applicant, or recognized developer donated; the applicant’s project may consist of entity of the Main Street project, does (m) In-kind services, such as those several scattered sites within that one not have site control of all properties pertaining to: Main Street Area. If the applicant where affordable housing will be (i) Homeownership counseling that is includes more than one Main Street developed on or before the application scheduled to begin promptly after grant Area in the application, the application submission date, the application will award so that, to the maximum extent will not be eligible for funding through not be eligible for funding through this possible, qualified residents will be this NOFA. NOFA. ready to purchase new homeownership j. One application. The applicant may g. Program Schedule. The applicant units when they are completed. The submit only one HOPE VI Main Street must include a program schedule, Family Self-Sufficiency Program can application as described in this NOFA. developed in accordance with Section also be used to promote If more than one application is VI.B.4.c. of this NOFA, ‘‘Reasonable homeownership, such as by providing submitted by a single applicant, all Timeframe,’’ as part of the application. assistance with escrow accounts and applications will be disqualified and no If such a program schedule is not counseling, including fair housing application will be eligible for funding. included in the application, the counseling; k. Appropriateness of the Application. application will not be eligible for (ii) Coordinating with health care The application demonstrates the funding through this NOFA. services providers or providing on-site appropriateness of the proposal in the h. Main Street Area Leverage. The space for a health clinic, doctors, a context of the local housing market applicant must provide leverage funds wellness center, dentists, etc., that will relative to other alternatives. and/or in-kind services in excess of 100 primarily serve the affordable housing l. The following sub-sections of percent of the requested grant amount residents. HOPE VI funds may not be Section III of the General Section are from sources other than HUD HOPE VI used to provide direct medical care to hereby incorporated by reference. The funds. Note that this threshold is for residents; applicant must comply with each of the leverage that is related to the entire (iii) Substance/alcohol abuse incorporated threshold requirements in Main Street Area effort. Leverage that is treatment and counseling; order to be eligible for funding, specifically related to the Main Street (iv) Transportation, as necessary, to including: Affordable Housing Project is measured enable all family members to participate (1) Ineligible Applicants; (2) Dun and Bradstreet Data Universal in Section V.A.4. of this NOFA. in available CSS activities and/or to Numbering System (DUNS) Number (1) Types of resources that may be commute to their places of employment; (v) Entrepreneurship training and Requirement; counted include: (3) Compliance with Fair Housing and (a) Private mortgage-secured loans mentoring, with the goal of establishing resident-owned businesses; Civil Rights Laws; and other debt; (4) Conducting Business In (i) The application must include each (vi) Materials; Accordance with Core Values and loan’s expected term of maturity; (vii) A building; Ethical Standards; (ii) Where there is both a construction (viii) A lease on a building; (ix) Other infrastructure; (5) Delinquent Federal Debts; loan and a permanent take-out loan, (6) Pre-Award Accounting System only the value of the permanent loan (x) Time and services contributed by volunteers; Surveys; amount will be counted; and (7) Name Check Review; (iii) If the applicant has obtained a (xi) Supplies; and (8) False Statements; construction loan but not a permanent (xii) Other CSS and FSS resources. (9) Prohibition Against Lobbying loan, the value of the construction loan (2) Note that wages projected to be Activities; and will be counted; paid to residents through jobs, or (10) Debarment and Suspension. (b) Insured loans; projected benefits (e.g., health, 2. Program Requirements. (c) Housing trust funds; insurance, and retirement benefits) a. Main Street Project Requirements. (d) Net sales proceeds from a related to those projected jobs that are The applicant must have, within the homeownership project that exceed the provided by CSS Partners, will not be applicant’s jurisdiction, a HUD- amount of HOPE VI funds used to counted as leverage. recognized Main Street project that develop the homeownership unit; (3) Leverage funds may include cash includes affordable housing. In order to (e) Tax Increment Funding (TIF); or in-kind services. However, in-kind be recognized by HUD as a Main Street (f) Tax Exempt Bonds; services of staff time of either the Local project, the rejuvenation effort must: (g) Low-Income Housing Tax Credits Government applicant or the recognized (1) Be located within a definable Main (LIHTC); developer entity will not be counted by Street Area (See Section I.D. of this (h) Historic Preservation Tax Credits; HUD as leverage. NOFA); (i) Other Public Housing Funds. (4) Leverage funds may include funds (2) Have as its purpose the Capital Fund Program funds may be already spent, or funds and/or in-kind rejuvenation or redevelopment of a included provided that public housing services firmly committed to the Main historic or traditional commercial area; exists in the Main Street Area. HOPE VI Street Area as a whole, not just the (3) Involve investment or other funds may not be counted as leverage; targeted affordable housing project participation by the local government (j) Other Federal Funds. Other federal related to this NOFA. and locally located private entities; sources may include non-public (5) Leverage funds/in-kind services (4) Comply with historic preservation housing funds provided by HUD; may include match funds. requirements as directed by the
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cognizant State Historic Preservation e. Requirements During the Initial affordable housing, including associated Officer (‘‘SHPO’’) or, if such historic Occupancy Period for Rentals. costs, such as appraisals, surveys, tax preservation requirements are not (1) Initial residents of affordable settlements, broker fees, and other applicable, to preserve significant rental units and initial resident closing costs; traditional, architectural, and design purchasers of affordable (ii) Site improvements related to the features in the project structures or homeownership units must be subject to construction and rehabilitation of Main Main Street area; and the same rules regarding occupant Street Affordable Housing Project- (5) Have been described in a Main contribution toward rent or purchase, related affordable housing; Street Rejuvenation Master Plan that and terms of rental or purchase, as (iii) Clearing of interior space that is was acknowledged by the applicant at residents of public housing units in a necessary to facilitate rehabilitation of least three years prior to the application HOPE VI development. affordable housing units within a submission date. (2) The project owner entity is not building; b. Main Street Affordable Housing required to develop most mandatory (iv) Funding of Reserves, e.g., Initial Project. HUD refers to the rejuvenation PHA documentation, e.g., the PHA Operating Reserve necessary for or development of affordable housing in Plans as described in 24 CFR part 903, financial viability during the initial the Main Street Area as a ‘‘Main Street etc. However, before the project is affordable housing occupancy period, Affordable Housing Project’’ (‘‘project’’). initially rented, the ownership entity Replacement Reserves, etc.; The project must: must develop a written statement of its (v) Homeownership financial (1) Include the construction or rent determination and resident assistance, e.g., write-down of substantial rehabilitation of affordable grievance policies. homeownership unit development costs housing units. The number of units that (3) Public housing rental and and down payment assistance; will be developed through this NOFA grievance requirements that are (vi) Other uses that relate directly to must equal the number of units stated contained in 24 CFR 903.7(d) and 24 the Main Street Affordable Housing in form HUD–52861, ‘‘HOPE VI Main CFR 903.7(f) may be used as examples Project; Street Application Data Sheet,’’ on the for (1) and (2) above. (b) For Main Street Area Leverage: ‘‘Unit Mix and Accessibility Summary, f. Requirements for Initial (i) Rehabilitation of retail space; Post-Revitalization’’ page. Homeownership Sale. The initial sale of (ii) Site improvements, e.g., repaving (2) Involve the rehabilitation or an affordable homeownership unit must streets or upgrading streets or sidewalks development of affordable housing; take place in accordance with Section with brick or cobblestone, adding (3) Be located within the boundaries 24 of the U.S. Housing Act of 1937 ‘‘boulevard’’ islands, etc.; of the applicant’s Main Street Area; (1937 Act), as amended. (iii) Legal and administrative fees and (4) Be located within the jurisdiction g. Use Restrictions. Project units must costs; and of the applicant; and be maintained as affordable housing for (iv) Other uses that do not relate (5) Have been included as part of a only the period of initial occupancy or directly to the Main Street Affordable Main Street Rejuvenation Master Plan the initial resident’s ownership. Use Housing Project, but do relate to the before the publication date of this restrictions beyond the initial general Main Street Area effort. NOFA. occupancy period may or may not be i. Transfer of Title for Tax Credits. c. Master Plan. The Main Street applied to the unit at the discretion of The original owner entity of Main Street Rejuvenation Master Plan must, at a the applicant. Affordable Housing Project properties minimum: h. Leveraging Other Resources. This may transfer title to, or commit to a (1) Have been prepared, in whole or NOFA states that each applicant must long-term lease with, an owner entity in part, by an architect, land planner, or obtain non-HOPE VI leverage resources partnership that includes the original qualified planning professional for the for use in the Main Street Affordable owner, the applicant, an equity partner applicant or the developer entity Housing Project (see Sections III.B. and and, when appropriate, other partners, recognized by the applicant; V.A.4.a. of this NOFA) and, separately, for the purpose of obtaining Low (2) Describe the proposed Main Street for use in the general Main Street Area Income or Historic Tax Credit equity as project redevelopment strategies; effort (see also Section III.C.1.h. of this a leverage resource. See Section IV.E. of (3) Include a map indicating the Main NOFA). this NOFA for limits on sale of real Street Area; Main Street grant funds may be used property. (4) Include a narrative that refers to to maximize the amount of leverage, i.e., j. Section 106 Historic Preservation the map and describes the various leveraged funds and in-kind services, Requirements. Grantees may not commit planned redevelopment actions; that the applicant can obtain from HUD funds until HUD has completed (5) Include the development of sources other than the HOPE VI the historic preservation review and affordable housing; and program. In this capacity, grant funds consultation process under Section 106 (6) Include a list of properties where may be used: (1) To collateralize of the National Historic Preservation Act affordable housing will be rehabilitated municipal bonds or private-sector loans of 1966 (16 U.S.C. 470f) and its or developed. The list of properties for affordable housing uses; and (2) As implementing regulation, 36 CFR part must have been included in the master affordable housing ‘‘key money’’ to 800, as applicable, in accordance with plan on or before the application attract Main Street Affordable Housing environmental review requirements submission date. Project or Main Street Area leverage. under 24 CFR part 50. See http:// d. Applicable Initial Resident Rental (1) Uses of Leverage. Leverage funds www.achp.gov/ for details on the Contribution and Protections. The and in-kind services may be used for Section 106 review process. initial resident of a project unit is eligible activities listed in Section I.E. of k. Environmental Requirements. subject to the same rules regarding this NOFA and for related activities, (1) HUD’s notification of award to a occupant contribution toward rent or including, but not limited to: selected applicant constitutes a purchase, and terms of rental or (a) For Main Street Affordable preliminary approval by HUD, subject to purchase, as residents in HOPE VI Housing Project Leverage: HUD’s completion of an environmental Revitalization development public (i) The acquisition of Main Street review, of proposed sites in accordance housing units. Affordable Housing Project-related with 24 CFR part 50. Selection for
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participation (preliminary approval) l. Building Standards. Energy Code issued by the Council of does not constitute approval of the (1) Building Codes. All activities that American Building Officials. proposed site(s). include construction, rehabilitation, (b) In HOPE VI new construction, (2) Your application constitutes a lead-based paint removal, and related HUD encourages the applicant to set certification that you, the applicant, will activities must meet or exceed local higher energy and water efficiency supply HUD with all available, relevant building codes. The applicant is standards than the Model Energy Code information necessary for HUD to encouraged to read the policy statement contains. Such higher standards can perform any environmental review and Final Report of the HUD Review of achieve utility savings of 30 to 50 required by 24 CFR part 50 for each Model Building Codes that identifies the percent with minimal extra cost. property; will carry out mitigating variances between the design and (c) The applicant is encouraged to measures required by HUD or, if construction requirements of the Fair negotiate with its local utility company mitigation is not feasible, select Housing Act and several model building to obtain lower utility rates. Utility rates alternate eligible property; and will not codes. That report can be found on the and tax laws vary widely throughout the acquire, rehabilitate, convert, demolish, HUD Web site at http://www.hud.gov/ country. In some areas, local lease, repair, or construct property, nor fhe/modelcodes. governments are exempt or partially commit or expend HOPE VI, other HUD (2) Deconstruction. HUD encourages exempt from utility rate taxes. Some or other non-HUD funds for these the applicant to design programs that local governments have paid program activities with respect to any incorporate sustainable construction unnecessarily high utility rates because eligible property, until you receive and demolition practices, such as the they were billed using an incorrect rate written HUD approval of the property. dismantling or ‘‘deconstruction’’ of classification. (3) Each proposal will be subject to a housing units, recycling of demolition (d) Local utility companies may be HUD environmental review, in debris, and reusing salvage materials in able to provide grant funds to assist in accordance with 24 CFR part 50, and the new construction. ‘‘A Guide to energy efficiency activities. States may proposal may be modified or the Deconstruction’’ can be found at also have programs that will assist in proposed sites rejected as a result of that http://www.hud.gov/deconstr.pdf. energy efficient building techniques. review. (3) Partnership for Advancing (e) The applicant must use new (4) Phase I and Phase II Technology in Housing (‘‘PATH’’). HUD technologies that will conserve energy Environmental Site Assessments. If you encourages the applicant to use PATH and decrease operating costs where cost are selected for funding, you must have technologies in the construction and effective. Examples of such technologies a Phase I environmental site assessment delivery of affordable housing. PATH is include: completed in accordance with the a voluntary initiative that seeks to (i) Geothermal heating and cooling; ASTM Standards E 1527–00, as accelerate the creation and widespread (ii) Placement of buildings and size of amended, for each affected site. The use of advanced technologies to eaves that take advantage of the results of the Phase I assessment must radically improve the quality, directions of the sun throughout the be included in the documents that must durability, environmental performance, year; be provided to HUD for the energy efficiency, and affordability of (iii) Photovoltaics (technologies that environmental review. If the Phase I our nation’s housing. convert light into electrical power); assessment recognizes environmental (a) The goal of PATH is to achieve (iv) Extra insulation; concerns or if the results are dramatic improvement in the quality of (v) Smart windows; and (vi) Energy Star appliances. inconclusive, a Phase II environmental American housing by the year 2010. (5) Universal Design. HUD encourages site assessment will be required. PATH encourages leaders from the the applicant to incorporate the (5) Mitigating and remedial measures. home building, product manufacturing, principles of universal design in the You must carry out any mitigating/ insurance, and financial industries, and construction or rehabilitation of remedial measures required by HUD. If representatives from federal agencies housing, retail establishments, and a remediation plan, where required, is dealing with housing issues to work community facilities, and when not approved by HUD and a fully- together to spur housing design and communicating with community funded contract with a qualified construction innovations. PATH will residents at public meetings or events. contractor licensed to perform the provide technical support in design and Universal Design is the design of required type of remediation is not cost analysis of advanced technologies products and environments to be usable executed, HUD reserves the right to to be incorporated in project by all people, to the greatest extent determine that the grant is in default. construction. possible, without the need for (6) Your application constitutes a (b) Applicants are encouraged to adaptation or specialized design. The certification that there are not any employ PATH technologies to exceed intent of Universal Design is to simplify environmental or public policy factors prevailing national building practices life for everyone by making products, such as sewer moratoriums that would by: preclude development in the requested (i) Reducing costs; communications, and the built Main Street Area. (ii) Improving durability; environment more usable by as many (7) Note that environmental (iii) Increasing energy efficiency; people as possible at little or no extra requirements for this NOFA are found (iv) Improving disaster resistance; and cost. Universal Design benefits people of in 24 CFR part 50, which requires HUD (v) Reducing environmental impact. all ages and abilities. Examples include environmental approval. Please note (c) More information, including a list designing wider doorways, installing that 24 CFR part 58, which allows State of technologies, the latest PATH levers instead of doorknobs, and putting and local governments to assume Newsletter, results from field bathtub/shower grab bars in all units. Federal environmental responsibilities, demonstrations, and descriptions of Computers and telephones can also be is not applicable. PATH projects can be found at set up in ways that enable as many (8) HUD’s Environmental Web site is www.pathnet.org. residents as possible to use them. The located at http://www.hud.gov/offices/ (4) Energy Efficiency. Department has a publication that cpd/energyenviron/environment/ (a) New construction must comply contains a number of ideas about how index.cfm. with the latest HUD-adopted Model the principles of Universal Design can
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benefit persons with disabilities. To n. Labor Standards. all ground floor units in buildings order a copy of Strategies for Providing (1) If other federal programs are used without elevators. See also ‘‘program Accessibility and Visitability for HOPE in connection with the applicant’s accessibility’’ at http://www.hud.gov/ VI and Mixed Finance Homeownership, HOPE VI Main Street activities, Davis- offices/fheo/disabilities/ go to the publications and resource page Bacon requirements apply to the extent sect504faq.cfm#anchor263905. This of the HOPE VI Web site at http:// required by the other federal programs. section is in addition to, and does not www.huduser.org/publications/pubasst/ (2) If an applicant provides Main replace, other non-HUD accessibility strategies.html. Street grant funds to a PHA to construct, requirements that the applicant local (6) Energy Star. The Department of rehabilitate, or otherwise assist government may be subject to. Housing and Urban Development has affordable housing under this NOFA, (2) Compliance with Fair Housing and adopted a wide-ranging energy action Davis-Bacon wage rates will apply to Civil Rights Laws. plan for improving energy efficiency in laborers and mechanics (other than (a) Applicants must comply with all all program areas. As a first step in volunteers under 24 CFR part 70) applicable fair housing and civil rights implementing the energy plan, HUD, the employed in the development of such requirements in 24 CFR 5.105(a). Environmental Protection Agency (EPA) units, and HUD-determined wage rates (b) If you, the applicant: and the Department of Energy (DoE) will apply to laborers and mechanics (i) Have been charged with an ongoing have signed a partnership to promote (other than volunteers) employed in the systemic violation of the Fair Housing energy efficiency in HUD’s affordable operation of such units. Act; or housing efforts and programs. The o. Relocation Requirements. The (ii) Are a defendant in a Fair Housing purpose of the Energy Star partnership Uniform Relocation Assistance and Real Act lawsuit filed by the Department of is to promote energy efficiency of the Property Acquisition Policies Act of Justice alleging an ongoing pattern or affordable housing stock, but also to 1979 (42 U.S.C. 4601–4655) and practice of discrimination; or help protect the environment. implementing regulations at 49 CFR part (iii) Have received a letter of Applicants constructing, rehabilitating, 24 apply to anyone who is displaced as noncompliance findings, identifying or maintaining housing or community a result of acquisition, rehabilitation, or ongoing systemic noncompliance, under facilities are encouraged to promote demolition due to a HUD-assisted Title VI of the Civil Rights Act of 1964, energy efficiency in design and activity. Section 504 of the Rehabilitation Act of operations. They are urged especially to p. Fair Housing and Equal 1973, or Section 109 of the Housing and purchase and use Energy Star-labeled Opportunity Requirements. Community Development Act of 1974; products. Applicants providing housing Fair Housing and Equal Opportunity and assistance or counseling services are requirements stated in Section III.c.2.(c) (iv) The charge, lawsuit or letter of encouraged to promote Energy Star of the General Section apply as findings referenced in subpart (a), (b), or building to homebuyers and renters. referenced in this NOFA. In addition, (c) above has not been resolved to Program activities can include the following requirement applies: HUD’s satisfaction before the developing Energy Star promotional and (1) Accessibility Requirements. application deadline, then you are information materials, outreach to low- (a) All ‘‘multifamily’’ HOPE VI ineligible and HUD will not rate and and moderate-income renters and developments, defined as projects with rank your application. HUD will buyers on the benefits and savings when more than five units, are subject to the determine if actions to resolve the using Energy Star products and accessibility requirements contained in charge, lawsuit, or letter of findings appliances, and promoting the several federal laws, as implemented in taken prior to the application deadline designation of community buildings and 24 CFR part 8. PIH Notice 2003–31, are sufficient to resolve the matter. homes as Energy Star compliant. For available at http://www.hud.gov/offices/ Examples of actions that would further information about Energy Star, pih/publications/notices/, and normally be considered sufficient to see http://www.energystar.gov or call 1– subsequent updates, provides an resolve the matter include, but are not 888-STAR-YES (1–888–782–7937) or for overview of all pertinent laws and limited to: the hearing-impaired, 1–888–588–9920 implementing regulations pertaining to (A) A voluntary compliance TTY. HOPE VI. agreement signed by all parties in (7) All buildings must be in (b) Generally, for substantial response to a letter of findings; compliance with design and rehabilitation of projects with more than (B) A HUD-approved conciliation construction requirements of the Civil 15 housing units, or new construction of agreement signed by all parties; Rights Act of 1964, Section 504 of the a multifamily project, at least 5 percent (C) A consent order or consent decree; Rehabilitation Act of 1973, and Section of the units, or one unit, whichever is or 109 of the Housing and Community greater, must be accessible to persons (D) An issuance of a judicial ruling or Development Act of 1974. with mobility impairments. An a HUD Administrative Law Judge’s m. Lead-Based Paint. The applicant additional 2 percent, but not less than decision. must comply with lead-based paint one unit, must be made accessible for 3. General Section References. The evaluation and reduction requirements persons with hearing or vision following subsections of Section III of as provided for under the Lead-Based impairment. See, in particular, 24 CFR the General Section are hereby Paint Poisoning Prevention Act (42 parts 8.20 through 8.32. incorporated by reference: U.S.C. 4821, et seq.). The applicant must (c) In addition, under the Fair a. Additional Nondiscrimination and also comply with regulations at 24 CFR Housing Act, all new construction of Other Requirements; part 35, as they may be amended or covered multifamily buildings must (1) Civil Rights Laws, including the revised from time to time. Unless contain certain features of accessible Americans with Disabilities Act of 1990 otherwise provided, the applicant will and adaptable design. The relevant (42 U.S.C. 1201 et seq.); be responsible for lead-based paint accessibility requirements are provided (2) The Age Discrimination Act of evaluation and reduction activities for in HUD’s FHEO Web site at http:// 1974 (42 U.S.C. 6101 et seq.); and housing constructed prior to 1978. The www.hud.gov/groups/fairhousing.cfm. (3) Title IX of the Education National Lead Information Hotline is 1– Units covered are all those in elevator Amendments Act of 1972 (20 U.S.C. 800–424–5323. buildings with four or more units and 1681 et seq.)
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b. Affirmatively Furthering Fair between any materials published by the information below, in the order Housing; HUD in its Federal Register stated: c. Economic Opportunities for Low- publications and other information (A) Short version of applicant’s name, and Very Low-Income Persons (Section provided in paper copy, electronic copy, e.g., town, city, county/parish, etc., and 3); or at http://www.grants.gov, the Federal state; and d. Ensuring the Participation of Small Register publication prevails. Please be (B) The word ‘‘Narrative’’ and the Businesses, Small Disadvantaged sure to review the application narrative section letter (A through J), as Businesses, and Women-Owned submission against the requirements in listed in Section IV.B.3.c. of this NOFA; Businesses; the Federal Register file of this NOFA. (C) An example of a narrative section e. Relocation; file name is, ‘‘Atlanta GA Narrative A.’’ B. Content and Form of Application f. Executive Order 13166, Improving (2) Attachments. Attachments are as Submission Access to Services for Persons With listed in Section IV.B.3.c. of this NOFA. Limited English Proficiency (LEP); 1. Number of Applications Permitted. Each attachment should be contained in g. Executive Order 13279, Equal Each applicant may submit only one a separate file and section of the Protection of the Laws for Faith-Based application. application. Each attachment that is not and Community Organizations; 2. Joint Applications. Joint a HUD form should contain one title h. Accessible Technology; applications are not permitted. page. i. Procurement of Recovered However, the applicant may enter into (a) Attachment Title Pages. HUD will Materials; subgrant agreements with procured use title pages as tabs if it prints the j. Participation in HUD-Sponsored developers, other partners, nonprofit application. Provided the information Program Evaluation; organizations, state governments, or on the title page is limited to the list in k. Executive Order 13202, other local governments to perform the Section (i) below, the title pages will not Preservation of Open Competition and activities proposed under the be counted when HUD determines the Government Neutrality Towards application. length of each attachment, or the overall Government Contractors’ Labor 3. General Format and Length of length of the attachments. HUD forms Relations on Federal and Federally Application. do not require title pages. a. Applicant Name. The applicant’s Funded Construction Projects; (i) Each title page should contain name must include the name of the l. Salary Limitation for Consultants; only: Local Government that is applying and m. OMB Circulars and Government- (A) The name of the attachment, as the state in which the Local Government wide Regulations Applicable to described in Section IV.B.3.c. of this is located. Financial Assistance Programs; NOFA, e.g., ‘‘Section M: Main Street b. Electronic Format. Area Drawing’’; n. Drug-Free Workplace; and (1) Narrative. Narrative sections of the o. Safeguarding Resident/Client Files. (B) The name of the applicant; and application are as listed in Section (C) The name of the file that contains IV. Application and Submission IV.B.3.c. of this NOFA. Each section the attachment. Information should be contained in a separate file. (b) Attachment file names and types. Each file should contain one title page. (i) In the grants.gov application A. Addresses To Request Application (a) Narrative Title Pages. HUD will Package package, some forms are completed use title pages as tabs when it online and some are downloaded and downloads and prints the application. This section describes how you may completed offline. A maximum of ten Provided the information on the title obtain application forms, additional attachments/ZIP file folders should be page is limited to the list in Section (i) information about the General Section used to contain and submit the various below, the title pages will not be of this NOFA, and technical assistance. forms and other attachments that are counted when HUD determines the 1. Copies of this published NOFA and completed offline. Each file and ZIP file length of each section or the overall related application forms may be folder must be entered into the downloaded from the grants.gov Web length of the narrative. (i) Each title page should contain grants.gov ‘‘Attachment Form’’ in the site at http://www.grants.gov/FIND. If ‘‘Grant Application Package’’ for you have difficulty accessing the only: (A) The name of the section, as submission. information, you may receive customer (ii) Each file, and file within a ZIP file support from grants.gov by calling the described in Section IV.B.3.c. of this NOFA, e.g., ‘‘Section D: Rating Factor 1, folder, must be formatted so it can be help line at (800) 518–GRANTS or by Capacity, Narrative Response’; read by MS Word (.doc), MS Excel (.xls) sending an email to [email protected]. (B) The name of the applicant; and or Adobe Acrobat (.pdf), preferably The operators will assist you in (C) The name of the file that contains searchable. accessing the information. If you do not the narrative section. (A) Third-party documents, e.g., have Internet access and need to obtain (b) Narrative File Names and Types. leverage commitment letters, pictures, a copy of this NOFA, you can contact (i) No narrative section file in the etc., should be submitted in Adobe HUD’s NOFA Information Center toll- application may contain more than five Acrobat (PDF) format. free at (800) HUD–8929. Persons with files. ZIP file folders may be used to (iii) Each file name must include the hearing or speech impairments may call combine several narrative files. Each file information below, in the order stated: toll-free at (800) HUD–22091. and ZIP file folder must be entered into (A) Short version of applicant’s name, 2. Application Kits. There are no the grants.gov ‘‘Attachment Form’’ in e.g., town, city, county/parish, etc., and application kits for HUD programs. All the ‘‘Grant Application Package’’ for state; and the information you need to apply will submission. (B) The word ‘‘Attachment’’ and the be in the NOFA and available on (ii) Each file, or file within the ZIP file Attachment section letter (K through U), http://www.grants.gov. folder, must be formatted so it can be as listed in Section IV.B.3.c. of this 3. The published Federal Register read by MS Word 2000 (.doc) or Adobe NOFA; document is the official document that Acrobat as a searchable PDF file. (C) An example of an attachment file HUD uses to evaluate applications. (iii) The name of each file, or file name is, ‘‘Atlanta GA Attachment L’’ Therefore, if there is a discrepancy within the ZIP file folder, must include (3) Maximum Length of Application.
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(i) Page Definition and Format. (2) Rating Factor Responses: (d) The number of homeownership (A) For the narrative, a ‘‘page’’ (a) Section D: Rating Factor 1, units in your proposal, if any; contains a maximum of 23 double- Capacity, Narrative Response; (e) The amount of HOPE VI funds you spaced lines. The length of each line (b) Section E: Rating Factor 2, Need are requesting. See Section IV.E. of this must be a maximum of 61⁄2 inches. This for Affordable Housing, Narrative NOFA for funding limits; and is the equivalent of formatting to be Response; (f) A list of major non-HOPE VI printed on 81⁄2″ x 11″ paper, with one (c) Section F: Rating Factor 3, funding sources for the Main Street inch top, bottom, left and right margins. Appropriateness of Main Street Master Affordable Housing Project, if any. The font must be 12-point Times New Plan; b. HOPE VI Main Street Application Roman. Each page must be numbered. (d) Section G: Rating Factor 4, Data Sheet, form HUD–52861, in MS The page numbers may be within the Appropriateness of the Main Street Excel format (.xls). bottom one inch of the page, beyond the Affordable Housing Project; (1) This form consists of several Excel 23 lines, e.g., in the footer area. (e) Section H: Rating Factor 5, worksheets. Instructions for filling in (B) For attachments, text pages should Program Administration and Fiscal the data worksheets are located on the be formatted as defined as in (A) above. Management; left-hand worksheet, with the tab name, Third-party documents converted into (f) Section I: Rating Factor 6, Incentive ‘‘Instructions.’’ The worksheets should PDF format must not be shrunk to fit Criteria on Regulatory Barrier Removal; be filled out from the left-most tab more than one original page on each and toward the right. In this way, the application page. Pages of HUD forms (g) Section J: Rating Factor 7, RC/EZ/ information that the applicant provides and certification formats furnished by EC–IIs. will automatically be inserted to the HUD must remain as numbered by (3) Attachments: right into other worksheets as needed. (a) Section K: HOPE VI Main Street HUD. (2) List of Match and Leverage Application Data Sheet, form HUD– (ii) The maximum total length of all Resources. To meet the leverage 52861; narrative sections, including the resources threshold stated in Section (b) Section L: Program Schedule; III.C.1 of this NOFA, the applicant must Executive Summary and the Rating (c) Section M: Map of Main Street provide a leverage amount equal to or Factor responses, is 15 pages. Area; (iii) The maximum length of (d) Section N: Main Street greater than the applicant’s requested attachments is as follows: Rejuvenation Master Plan; grant amount. Allowable resources may (A) HUD forms will not be counted (e) Section O: HOPE VI Budget, form be cash contributions or contributions of toward the attachment page total; HUD–52825A; in-kind services. For each of the (B) For the Program Schedule, a (f) Section P: 5-Year Cash Flow applicant’s leverage resources, the maximum of one page; Proforma; applicant’s list of leverage resources (C) For the Map of the Main Street (g) Section Q: America’s Affordable must include: Area, one page. The map must be Communities Initiative, form HUD– (a) The name of the entity providing scalable and may be shrunk to fit one 27300, and related documentation; the resource; page from a standard size blueprint. The (h) Section R: Logic Model, form (b) The name of a contact for the map must be legible when viewed in HUD–96010; entity providing the resource that is Adobe Acrobat (.pdf), which has the (i) Section S: Race and Ethnic Data familiar with the contribution toward ability to zoom to over 1600%; Reporting, form HUD–27061; this application; (D) Main Street Rejuvenation Master (j) Section T: Applicant/Recipient (c) The telephone number of a contact Plan (Master Plan), a maximum of 20 Disclosure/Update Report, form HUD– for the resource who is familiar with the pages. Master Plan documents should be 2880, if applicable; contribution toward this application; scanned and converted into one or more (k) Section U: Certification of (d) The leverage amount; PDF files. In order to meet the size Consistency with the RC/EZ/EC-IIs (e) Whether the leverage amount is limitation, the applicant may submit Strategic Plan, form HUD–2990, if cash or in-kind services; and only the portions of the Master Plan that applicable; and (f) The period in which the leverage pertain to subjects that are listed in (l) Section V: Disclosure of Lobbying resource was expended or will be Section III of this NOFA, under Activities, Standard Form LLL, if received, e.g., expended during 2003, or, ‘‘Thresholds’’ and ‘‘Program applicable. for a future leverage resource, the period Requirements,’’ and Section V of this 4. Documentation Information. in which it will be furnished, e.g., over NOFA. If those portions of the Master a. Executive Summary. the next two years. Plan exceed 20 pages, the applicant may (1) Provide an Executive Summary, c. Program Schedule. The application summarize information that is included not to exceed two pages. Describe your must include a program schedule for the in those portions of the Master Plan. By affordable housing plan. State whether applicant’s Project. applying for this NOFA, the applicant is you have procured a developer or (1) The schedule must include, at a certifying that submitted summaries of whether you will act as your own minimum: the Master Plan accurately represent the developer. Briefly describe: (a) Grant Agreement Execution Date. original Master Plan; (a) The type of housing, e.g., walk-up Assume that the Grant Agreement (E) Text submitted at the request of above retail space, detached house, etc.; Execution Date will be within 90 days HUD to correct technical deficiencies (b) The number of units and of the grant award notification date; will not be counted in the page limit. buildings; (b) Date of closing of financing of the c. List of Mandatory Application (c) The specific plans for the Main first phase, in months after the grant Sections and Related Documents. Street Area that surrounds the Main award date; (1) Summary Information: Street Affordable Housing Project. (c) Date of the start of construction of (a) Section A: Application for Federal Include income mix, basic features the first housing unit, in months after Assistance, form SF–424; (such as restoration of streets), and a the grant award date; and (b) Section B: Application Table of general description of mixed-use and (d) Date of the completion of Contents; non-housing Main Street rejuvenation construction of the last housing unit, in (c) Section C: Executive Summary; components. months after the grant award date.
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(2) The Program Schedule must reflect separate proformas may include committed’’ in Section I.D. of this the Reasonable Time-Frame and viability documentation for: NOFA; Development Proposal time (1) All buildings together; h. Historic preservation requirements requirements stated in Section VI.B.1. of (2) Separately for each building in the in Section 106 of the National Historic this NOFA. The Program Schedule must project; or Preservation Act of 1966 (NHPA) will be also state that grant activities will be (3) Separately for each owner entity in fulfilled, where applicable. completed within the 30-month term of the project. i. Environmental requirements stated the grant. g. HOPE VI Budget. Enter the amount in the NOFA will be fulfilled; d. Map of Main Street Area. The you are requesting through this NOFA. j. Building standards stated in the drawing must show the boundaries of a In ‘‘Part I: Summary,’’ it is not necessary NOFA will be fulfilled; Main Street Area and denote each to fill in the columns entitled, ‘‘Previous k. Relocation requirements under the housing site that is included in the Authorized Amounts of Funds in Uniform Relocation Assistance and Real applicant’s project. The boundaries may LOCCS,’’ ‘‘Changes Requested in this Property Acquisition Policies Act of include streets, highways, railroad Revision,’’ and ‘‘HUD-Approved Total 1970 (URA) will be fulfilled; l. Fair Housing requirements will be tracks, etc., and natural boundaries such Authorized Amount of Funds in followed and fulfilled; and as streams, hills, and ravines, etc. LOCCS.’’ In ‘‘Part II: Supporting Pages,’’ m. The ‘‘Certification of Consistency e. Main Street Rejuvenation Master it is necessary only to fill in columns 2 and 3. with RC/EZ/EC Strategic Plan’’ (form Plan. The applicant’s Main Street HUD–2990), if included in the Rejuvenation Master Plan must address, h. Logic Model. It is not necessary to fill in columns 6, 7, 8 and 9. This application, applies. at a minimum, the eight subjects listed 6. Rating Factor Format. The narrative in ‘‘Main Street Rejuvenation Master information will be collected at the end of the grant term. See Section VI.C.3. of portion of the application is the Plan,’’ in Section I.D.13. of this NOFA. executive summary and the applicant’s The Master Plan must be as it existed on this NOFA. i. Appropriateness of Application. response to the rating factors. To ensure or before the application submission Section 24(e)(1) of the 1937 Act requires proper credit for information applicable date of this NOFA. It is not necessary to that the application demonstrate the to each rating factor, the applicant include a market analysis for affordable appropriateness of the proposal in the should include application Section housing that is needed in the Main context of the local housing market references, as listed in Section IV.B.3.c. Street Area or applications to the relative to other alternatives. An of this NOFA, with key words or Historic Registry or list of Historic example of an alternative proposal phrases searchable to supporting Districts. The applicant may submit would be proposing a range of resident documentation and language, as only the portions of the Master Plan that incomes, housing types (rental, appropriate for rating factor responses. pertain to subjects that are listed in homeownership, market-rate, The applicant’s rating factor responses Section III of this NOFA, under townhouse, detached house, etc.), or should be as descriptive as possible, ‘‘Thresholds,’’ ‘‘Program Requirements,’’ costs which cannot be supported by the ensuring that every requested item is and Section V of this NOFA. If those existing neighborhood demographics. addressed. The applicant should make portions of the Master Plan exceed 20 Briefly, contrast your proposal and an sure to include all information pages, the applicant may summarize alternative, and include the discussion requested in the instructions of this information that is included in those in the executive summary. NOFA. Although information from all portions of the Master Plan. By applying 5. Certifications: By manually or parts of the application will be taken for this NOFA, the applicant is electronically signing the SF–424, the into account in rating the various certifying that submitted summaries of applicant certifies to the following: factors, if supporting information cannot the Master Plan accurately represent the a. The Main Street Rejuvenation be found by the reviewer, it cannot be original Master Plan. See Section IV.B.5. Master Plan that is included as part of used to support a factor’s rating. of this NOFA for certifications that the this application existed for three years 7. Rating Factor Documentation. applicant is making when the applicant prior to the application submission date, a. References to the Main Street applies for funds from this NOFA. and is mentioned in the applicant’s Rejuvenation Master Plan. (1) The f. Cash Flow Proforma. The applicant Consolidated Plan, if one exists; purpose of referencing the Main Street must include a five-year estimate of b. Prior to the publication date of this Rejuvenation Master Plan is to decrease project income, expenses, and cash flow NOFA, the Main Street Affordable the amount of rating factor narrative that (‘‘proforma’’) that shows that the project Housing Project was, and continues to the applicant finds necessary to achieve will be financially viable over the long be, included in the Main Street its maximum rating. It is NOT necessary term. In the proforma, the applicant Rejuvenation Master Plan; to repeat in the rating factor narratives should assume that the initial c. Submitted summaries of the Master the information that the applicant occupancy period is a minimum of two Plan accurately represent the original included in its Master Plan. years. Note that initial funding of Master Plan; (2) Each reference to the Master Plan reserves with grant funds is NOT an d. The applicant or its developer should be specific, including the page allowable use of funds from this NOFA. entity recognized by the applicant has number of the Master Plan where the Reserves may be funded through site control of all properties where information can be found and a leverage resources. Viability must be affordable housing will be developed; reference to identify its location on the shown for the entire project, i.e., all e. All project sites have zoning that page. More than one specific reference buildings that include affordable allows for residential development; to the Master Plan may be included for housing units that are partially or f. All Match resources included in the any one subject or rating factor wholly funded with HOPE VI funds. application are ‘‘firmly committed.’’ See narrative. The applicant may include one the definition of ‘‘firmly committed’’ in b. Team Experience and Key proforma for the entire project, or Section I.D. of this NOFA; Personnel Knowledge. Documentation several proformas, broken out for the g. All leverage resources included in that demonstrates knowledge and various portions of the project, as fits the application are ‘‘firmly committed.’’ experience may include, but is not the circumstances best. For example, See the definition of ‘‘firmly limited to:
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(1) A list and short description of independent audit, including findings, allows each state to designate an entity affordable housing projects that the if any; to perform a state review function. The members of the applicant’s team have (4) A list of any findings issued or official listing of State Points of Contact completed; material weaknesses found by HUD or (SPOCs) for this review process can be (2) A list and short description of other federal or state agencies. A found at http://www.whitehouse.gov/ contracts or grants completed by the description of how the applicant omb/grants/spoc.html. States not listed members of the applicant’s team for addressed the findings and/or on the Web site have chosen not to similar housing development or weaknesses. If no findings or material participate in the intergovernmental services; weaknesses were exposed or existed on review process and, therefore, do not (3) Third-party evaluation reports; or before the publication date of this have a SPOC. If the applicant’s state has (4) Re´sume´s of key personnel; and NOFA, include a statement to that effect a SPOC, the applicant should contact it (5) Other documentation showing in the narrative; and to see if it is interested in reviewing the knowledge and experience of affordable (5) A description of the applicant’s application prior to submission to HUD. housing development or construction. management control structure, The applicant should allow ample time c. Need for Affordable Housing. including management roles and for this review process when developing Documentation of need for affordable responsibilities and evidence that the and submitting the applications. If the housing is based on a comparison of applicant’s management is results- applicant’s state does not have a SPOC, HUD’s Fair Market Rent (FMR) for the oriented, e.g., existing production, the applicant may send applications applicant’s Primary Metropolitan rental, and maintenance goals. directly to HUD. Statistical Area/Metropolitan Statistical e. Incentive Criteria on Regulatory Area (‘‘PMSA/MSA’’) or Barrier Removal. E. Funding Restrictions nonmetropolitan county/parish and the (1) The applicant must include the 1. Grant funds shall be used only to maximum amount of rent that a low- completed form HUD–27300 in the provide assistance to carry out eligible income family living in that PMSA/ application, along with background affordable housing activities, as stated MSA or nonmetropolitan county/parish documentation where required by the in Section I.E. of this NOFA. can afford to pay. form. 2. Non-allowable Costs and Activities. (1) PMSA/MSAs and nonmetropolitan f. RC/EZ/EC–IIs. Although leverage resources may be counties are as listed in HUD’s (1) To receive the two bonus points used to fund the following activities or document titled ‘‘FY 2004 State List of for performing the NOFA activities in a expenses, grant funds from this NOFA Counties (and New England Towns) RC/EZ/EC–II area, the applicant must CANNOT be used for: Identified by Metropolitan and include the ‘‘Certification of a. Total demolition of a building Nonmetropolitan Status’ at http:// Consistency with RC/EZ/EC Strategic (including where a building foundation www.huduser.org/datasets/il/IL04/ Plan’’ (form HUD–2990) in the is retained); Definitions04.doc. application. The form HUD–2990 needs b. Sale or lease of the Main Street (2) The FMRs are listed at http:// to be filled out, but does not need to be Affordable Housing Project site www.huduser.org/intercept.asp?loc=/ signed. See Section IV.B.5. of this (excluding lease or transfer of title for Datasets/FMR/FMR2005F/ NOFA, ‘‘Certifications.’’ the purposes of obtaining tax credits, Final_FY2005_SCHEDULEB1.pdf provided that the recipient owner entity (3) The maximum, affordable low- C. Submission Dates and Times of the title or lease includes the income rent is based on HUD’s Income 1. Application submission date. The applicant); Limits, as listed at http:// application submission date is c. Funding of reserves; www.huduser.org/datasets/il/IL04/ September 6, 2005. Section8_IncomeLimits_2004.doc for 2. No Facsimiles or Videos. HUD will d. Payment of administrative costs of low-income families. The maximum, not accept for review, evaluation, or the applicant; affordable low-income rent is equal to funding, any entire application sent by e. Payment of legal fees; the Median Family Income for low- facsimile (fax). However, third-party f. Development of public housing income families, divided by 12, divided documents or other materials sent by replacement units (defined as units that further by 0.3 (30 percent). facsimile in compliance with the replace disposed of or demolished (4) In performing the comparison, the instructions under Section IV. F., public housing) or use as Housing applicant must use the 4-person family ‘‘Other Submission Requirements,’’ and Choice Vouchers; size and the 3-bedroom unit size. The received by the application submission g. Transitional security activities; application must include the income date will be accepted. Facsimile h. Main Street technical assistance limit and maximum, affordable low- corrections to technical deficiencies will consultants or contracts; and income rent for a 4-person family, and be accepted. Also, videos submitted as i. Costs incurred prior to grant award, the Fair Market Rent for a 3-bedroom part of an application will not be including the cost of application unit. viewed. preparation. d. Program Administration and Fiscal 3. Cost Controls. D. Intergovernmental Review Management. Documentation that a. The total amount of HOPE VI funds demonstrates program administration 1. Executive Order 12372, expended shall not exceed the Total and fiscal management MUST include: Intergovernmental Review of Federal Development Cost (‘‘TDC’’), as (1) A description of the procurement Programs. Executive Order 12372 was published by HUD in NOTICE PIH system structure that the applicant has issued to foster intergovernmental 2003–8 (HA), ‘‘Public Housing in place, including internal controls; partnership and strengthen federalism Development Cost Limits,’’ for the (2) A description of the fiscal by relying on state and local processes number of affordable housing units that management structure that the applicant for the coordination and review of will be developed through this NOFA. has in place, including fiscal controls federal financial assistance and direct The TDC limits can be found at and internal controls; federal development. HUD http://www.hudclips.org/sub_nonhud/ (3) A summary of the results of the implementing regulations are published cgi/nph-brs.cgi?d=PIHN&s1=2003–8 last available annual external, in 24 CFR part 52. The executive order &op1=AND&l=100&SECT1=TXT_
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HITS&SECT5=HEHB&u=./hudclips. www.grants.gov. HUD will not accept or credential provider. All applicants filing cgi& p=1&r=2&f=G. consider any applications that have electronically must register with the b. Cost Control Safe Harbors apply. been submitted through any other Central Contractor Registry and receive Safe Harbors may be found at http:// method, unless a waiver is granted. See credentials from the grants.gov www.hud.gov/utilities/intercept.cfm? Section IV of the General Section. credential provider in order to apply /offices/pih/programs/ph/hope6/ 2. What to Expect on grants.gov. The online. Failure to register with the grants/admin/safe_harbor.pdf. following describes what to expect Central Contractor Registry and 4. Community and Supportive when you go to apply online using credential provider will result in your Services (‘‘CSS’’). Furnishing CSS to grants.gov/Apply: application being rejected by the residents is voluntary, except for a. Getting Started. Once on the site, grants.gov portal. homeownership counseling when the you will find easy-to-follow, step-by- The registration process is a separate application includes development of step instructions that will enable you to process from submitting an application. homeownership units. If the applicant apply for HUD funds. The http:// Applicants are, therefore, encouraged to chooses to furnish CSS, expenditures www.grants.gov feature includes a register early. The registration process are limited to 15 percent of the grant simple, unified application process to can take approximately two weeks to be amount. enable applicants to apply for grants completed. Therefore, registration 5. Statutory time limit for award, online. There are six ‘‘Get Started’’ steps should be done in sufficient time to obligation, and expenditure. to complete at grants.gov. The ensure it does not impact your ability to a. The estimated award date will be information applicants need to meet required submission deadlines. September 30, 2005. understand and execute the steps is at You will be able to submit your b. Funds available through this NOFA http://www.grants.gov/GetStarted. application online anytime after you must be obligated on or before Applicants should read the Get Started receive your e-authentication September 30, 2005. steps carefully. The site also contains credentials. c. In accordance with 31 U.S.C. 1552 registration checklists to help you walk e. Authorized Organization (Pub. L. 97–258, Sept. 13, 1982, 96 Stat. through the process. HUD recommends Representative (AOR) Electronic 935; Pub. L. 101–510, div. A, title XIV, that you download the checklists and Signature. Applications submitted Sec. 1405(a)(1), Nov. 5, 1990, 104 Stat. prepare the information requested through grants.gov constitute 1676.), all HOPE VI funds that were before beginning the registration submission as electronically signed appropriated in FY 2004 must be process. Reviewing information applications. The registration and expended by September 30, 2010. Any required and assembling it before e-authentication process establishes the funds that are not expended by that date beginning the registration process will AOR. When you submit the application will be cancelled and recaptured by the save you time and make the process through grants.gov, the name of your Treasury, and thereafter will not be faster and smoother. authorized organization representative available for obligation or expenditure b. DUNS Requirement. All applicants on file will be inserted into the for any purpose. applying for funding, including renewal signature line of the application. 6. Withdrawal of Funding. If a grantee funding, must have a Dun and Applicants must register the individual under this NOFA does not proceed Bradstreet Universal Data Numbering who is able to make legally binding within a reasonable time frame, HUD System (DUNS) number. The DUNS commitments for the applicant shall withdraw any grant amounts that number must be included in the data organization as the AOR. have not been obligated. HUD shall entry field labeled ‘‘Organizational 3. Instructions. Instructions on how to redistribute any withdrawn amounts to Duns’’ on the form SF–424. Instructions submit an electronic application to HUD one or more other applicants eligible for for obtaining a DUNS number can be via grants.gov: assistance. found at either of the following Web a. Applying using grants.gov. 7. Transfer of Funds. HUD has the sites: http://www.hud.gov/offices/adm/ Grants.gov has a full set of instructions discretion to transfer funds available grants/duns.cfm or on how to apply for funds on its Web through this NOFA to any other HOPE http://www.grants.gov/GetStarted. site at http://www.grants.gov/ VI program. c. Faulty Registration Warning. HUD CompleteApplication. The following 8. Limitation on Eligible Expenditures. has found that the primary reason for provides simple guidance on what you Expenditures on services, equipment, application submission problems will find on the http://www.grants.gov/ and physical improvements must through grants.gov is faulty or Apply site. Applicants are encouraged directly relate to project activities incomplete registration by the applicant. to read through the page entitled, allowed under this NOFA. The applicant must register as an entity/ ‘‘Complete Application Package’’ before 9. Pre-Award Activities. Award funds organization with the Federal Central getting started. Grants.gov allows may not be used to reimburse pre-award Contractor Registry. The applicant must applicants to download the application expenses. also register its Authorized Organization package, instructions, and forms that are Representative (AOR), who is the incorporated in the instructions, and F. Other Submission Requirements electronic signatory. work offline. In addition to forms that Application Submission and Receipt d. Central Contractor Registry and are part of the application instructions, Procedures. This section provides the Credential Provider Registration. In there will be a series of electronic forms application submission and receipt addition to having a DUNS number, that are provided utilizing a PureEdge instructions for HUD program applicants applying electronically reader. The PureEdge Reader is applications. Please read the following through grants.gov must register with available free for download from the instructions carefully and completely, the Federal Central Contractor Registry grants.gov/Get Started site. The as failure to comply with these and with a Credential Provider. The PureEdge Reader allows applicants to procedures may disqualify your http://www.grants.gov Web site at read the electronic files in a format application. http://www.grants.gov/GetStarted identical to any other Standard or HUD 1. Electronic Delivery. HUD requires provides step-by-step instructions for form. The PureEdge forms have content- applicants to submit their applications registering in the Central Contractor sensitive help. To use this feature you electronically through http:// Registry and registering with a will need to click on the icon at the top
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of the page that features an arrow with documentation such as third-party The form HUD–96011 is an electronic a question mark. This engages the letters, certifications, or program form and is part of the applicant’s content-sensitive help for each field you narrative statements. This section downloaded electronic application will need to complete on the electronic discusses how you should submit this obtained from http://www.grants.gov/ form. The PureEdge forms can be additional information electronically as Apply. Applicants must fax their downloaded and saved on your hard part of your application: information to the following fax drive, network drive(s), or compact (1) Narrative Statements to the Factors number: 800–HUD–1010. Each disks (CDs). Because of the size of the for Award. If you are required to submit document must be faxed as a separate application, HUD recommends narrative statements, you should submit submission to avoid fax transmission downloading the application to your them as an electronic file. Each response problems. When faxing several computer hard drive. The instructions to a Factor for Award should be documents, applicants must use the include this NOFA and any required developed as a separate file labeled with form HUD–96011 as the cover sheet for forms that have not been converted into the appropriate factor name, e.g., Factor each document (e.g., Letter of Matching PureEdge forms. The instructions will 1 Capacity and submitted as part of your or Leveraging Funds, Memorandum of also include a checklist to ensure that electronic application. Understanding, Certification of you are provided all the required (2) Third-Party Letters, Certifications Consistency with the Consolidated Plan, information for submitting your Requiring Signatures, and Other etc.). Your facsimile machine should application. Please review the checklist Documentation. The following two provide you with a record of whether to ensure that your application contains options, (a) and (b), apply to applicants your transmission was received by all the required materials. who are required to submit HUD. If you get a negative response or b. Mandatory Fields on PureEdge documentation from organizations a transmission error, you should Forms. In the PureEdge forms you will providing matching or leveraging funds; resubmit the document until you note fields that will appear with a documentation of 501(c)(3) status or confirm that HUD has received your yellow background color on the data incorporation papers; documents that transmission. HUD will not fields to be completed. These fields are support the need for the program; acknowledge that a fax was received mandatory fields and must be Memoranda of Understanding (MOUs); successfully. HUD will electronically completed to successfully submit your or documentation to support your receive the fax, read it with an optical application. organization’s claims regarding work character reader, and attach it to the c. Completion of SF–424 Fields First. that has been done to remove regulatory application submitted via grants.gov. The PureEdge forms are designed to fill barriers to affordable housing: Electronic facsimile transmissions may in common required fields such as the (a) Scanning Documents to Create be sent at any time before the applicant name and address, DUNS Electronic Files. Of the two third-party application submission date. HUD will number, etc., on all PureEdge electronic document submission options, scanning store the information and attach it to the forms. To trigger this feature, an of documents into PDF format and electronic application when HUD applicant must first complete the including them as attachment files is receives it from grants.gov. SF–424 information. Once it is HUD’s preferred method for this NOFA. e. Customer Support. The grants.gov completed the information will transfer Electronic files must be labeled so the Web site provides customer support via to the other forms. This is an important reader will know what the file contains. (800) 518–GRANTS (this is a toll-free feature to remember, particularly if you Match or leveraging letters can be number) or through e-mail at plan on submitting documents using the scanned into a single folder or the [email protected]. The customer electronic facsimile feature discussed applicant can create a separate file for support center is open from 7 a.m. to 9 below. HUD will rely on the name, each scanned letter and label them p.m. eastern time, Monday through address, CFDA, and DUNS number accordingly. All scanned files should be Friday, except federal holidays, to fields on the electronic facsimile cover placed together in a zipped folder and address grants.gov technology issues. page populated from the completed then attached to the application package For technical assistance on program- SF–424, to route documents received by submitted to grants.gov as part of the related questions, contact the number facsimile to the proper application. To application submission; or listed in Section VII.B. of this NOFA. ensure that your materials are properly (b) Electronic Facsimile Required f. Internet Connections, Time-outs routed, first complete the SF–424 cover Documentation. Applicants without and Submission Errors. page. After the SF–424 is complete, available scanning equipment may (1) HUD highly suggests that the download the Facsimile Transmittal submit the required documentation to applicant use broadband Internet cover page to use the electronic HUD via facsimile (fax). The electronic connections to submit the application, facsimile feature described below if you facsimile method may only be used to as opposed to dial-up service. need to use this feature. If you are submit attachments that are part of your Broadband connections may be ISDN, relying on third parties to transmit electronic application. HUD will not DSL, Cable, T1, etc. Submission matching fund letters or certifications, accept entire applications via fax. problems are likely to decrease as the you can complete the SF–424, then Applications submitted entirely via fax speed of the applicant’s broadband download the Facsimile Transmittal will be disqualified. connection increases. If the applicant cover page and provide a hard copy or To submit documents using the organization does not have a broadband electronic copy to the third party. Third electronic facsimile method, applicants connection, the PureEdge program and parties can then directly submit the MUST USE form HUD–96011, Facsimile the application may be copied to a CD, information to HUD using the pre-filled Transmittal, as the cover page for each transferred to a computer that has such Facsimile Transmittal cover page, faxed document. The HUD–96011 a connection, and submitted from that provided they use the correct fax MUST NOT be covered by the computer. Libraries and office support number provided for the program. applicant’s own fax cover sheet. If the stores (Kinko’s, etc.) are likely to have d. Submission of Third Party Letters, HUD–96011 is not the first page faxed, broadband connections. Certifications, or Narrative Statements. the document may not be able to be (2) If the actual submission of your In addition to forms, the NOFA may identified and may not be made part of application, i.e., uploading to require the submission of other the electronically submitted application. grants.gov, exceeds one hour, the
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applicant should request ‘‘second-level’’ program under which you are seeking 424. Proof of Timely Submission shall help at the above grants.gov support funding. To ensure time for processing, be the date and time that grants.gov line. On a dial-up connection, after an the waiver request must be submitted to receives your application submittal and hour has gone by, it is likely that the HUD in writing at least 5 days prior to the date HUD receives those portions of applicant’s Internet Service Provider the application submission date. your application submitted by fax. All (ISP) has timed out and cut the To avoid a delay in the process, fax transmissions must be received by applicant’s Internet connection. waiver requests should be sent by the application submission date and (3) If the applicant’s browser states United States Postal Service Express time. that an MEC error has occurred, the Mail. You, the applicant, should retain Applications received by grants.gov, applicant should request second-level a receipt for the mailing showing the after the established due date for the help from grants.gov. date submitted to the Postal Service. Via program, will be considered late and g. Grants.gov Tips and Tools. Tips on e-mail, HUD will acknowledge receipt will not be considered for funding by applying through grants.gov and of the waiver request, if an e-mail HUD. Similarly, applications will be Frequently Asked Questions concerning address is provided, or will do so via considered late if information submitted grants.gov may be found at HUD’s HOPE United States Postal Service Express by facsimile as part of the application is VI Web site, http://www.hud.gov/offices Mail or other means available. HUD will not received by HUD by the established /pih/programs/ph/hope6/, and HUD’s not make determinations or respond to due date. Please take into account the Grants Administration Web sites, http:/ waiver requests via the telephone. Each transmission time required for /www.hud.gov/offices/adm/grants/ waiver request will be reviewed and a submitting your application via the egrants/grantsgovfaqs.pdf and http:// determination made to the applicant Internet and the time required to submit www.hud.gov/offices/adm/grants/ that indicates whether or not the waiver any related documents via electronic egrants/faqs52305.pdf. Applicants also has been granted. In the event a waiver facsimile. HUD suggests that applicants may consult the FAQ link at the top of is granted, the due date for the mailed submit their applications during the the Grants.gov Web page. Additionally, application delivery shall not be later operating hours of the grants.gov on the ‘‘Apply for Grants’’ section of the than the due date for electronic Support Desk, so that if there are Grants.gov Web site (http:// applications. Applicants receiving a questions concerning transmission, www.grants.gov/Apply), links to tips on waiver will be expected to follow the operators will be available to walk you application submission (‘‘Application submission instructions immediately through the process. Submitting your Submission Tips’’) and error messages below. application during the Support Desk (‘‘Application Error Tips’’) are posted on a. Submission Instructions for hours will also ensure that you have the left-hand side of the webpage under Applicants Receiving Waiver of sufficient time for the application to the header ‘‘Tips and Tools.’’ Please Electronic Submission. Applicants complete its transmission prior to the note the additional helpful information receiving a waiver of the electronic application deadline. posted here such as ‘‘Convert submission requirements must submit Applicants using dial-up connections Documents to PDF’’ and ‘‘Download their complete applications in paper should be aware that transmission PureEdge Viewer.’’ Applicants should copy as follows: should take some time before grants.gov also review any alerts posted under the (1) Submission Using the United receives it. Grants.gov will provide ‘‘Alerts’’ header, which is also found on States Postal Service. Beginning in FY either an error or a successfully received the left-hand side of the page. 2005, HUD will no longer accept hand transmission message. The grants.gov 4. Waiver of Electronic Submission deliveries of applications. Applicants Support Desk reports that some Requirement. During FY2005, HUD will who receive a waiver and are therefore applicants abort the transmission require electronic applications to be allowed to submit paper applications because they think that nothing is submitted through www.grants.gov must submit them via the United States occurring during the transmission unless the applicant has received a Postal Service using Express Mail. process. Please be patient and give the waiver from the Department. HUD 5. Timely Receipt Requirements and system time to process the application. regulations at 24 CFR 5.110 permit Proof of Timely Submission. Uploading and transmitting many files, waivers of regulatory requirements to be a. Electronic Submission. All particularly electronic forms with granted for cause. If you are unable to applications must be fully received by associated XML schemas, will take some submit your application electronically, http://www.grants.gov by 11:59:59 p.m. time to be processed. you may, in writing, request a waiver eastern time on the due date established b. Applications Receiving Waivers to from this requirement. Your waiver for each program NOFA. Submit a Paper Copy Application. request must state the basis for the Proof of timely submission is Applicants granted a wavier to the request and explain why electronic automatically recorded by grants.gov. electronic submission requirement must submission is not possible. The basis for An electronic time stamp is generated use the United States Postal Service waivers for cause may include but are within the system when the application (USPS) Express Mail to submit their not limited to: (a) Lack of available is successfully received by grants.gov. applications to HUD. Applicants must Internet access in the geographic The applicant will receive an take their application to a Post Office to location in which the applicant is acknowledgement of receipt and a get a receipt of mailing that provides the located or, (b) a physical disability of tracking number from grants.gov with date and time the package was the applicant prevents the applicant the successful transmission of the submitted to the USPS. The due date from accessing or responding to the application. Applicants should print and time is the same for paper copies as electronic application. this receipt and save it, along with for electronic copies. The USPS no The waiver request should also facsimile receipts for information longer allows large packages to be include an e-mail and/or name and provided by fax, as proof of timely dropped in a mailbox. USPS rules now mailing address where responses can be submission. When HUD successfully require that large packages be brought to directed. Applicants must submit retrieves the application from the postal facility for mailing. The waiver requests to the Assistant grants.gov, HUD will provide an USPS, in many areas, has made a Secretary for Public and Indian electronic acknowledgment of receipt to practice of returning large packages to Housing, who is responsible for the the e-mail address provided on the SF– the sender that have been dropped in a
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mail collection box. Packages submitted has extensive experience of affordable personnel have at least adequate by due date and time and received by housing development and historic knowledge, gained over the past three HUD no later than five days from the preservation requirements, and is on years, of housing development and established due date will receive schedule in implementing the Main historic preservation requirements. funding consideration. If the USPS does Street Master Plan. That is, the c. Tracking and Reporting System for not have a digital time stamp to record applicant’s team has developed or Production Milestones (up to 5 points). the submission time, HUD will accept a rehabilitated more than 5 affordable (1) The applicant will earn a receipt that has been obtained from the housing projects and 3 Historic Register maximum of 5 points if the applicant USPS with a postmark or dates receipt or traditional architecture projects over demonstrates that a tracking and showing receipt by the Postal Service no the past three years. reporting system for key production later than the application submission (2) The applicant will earn a milestones has existed and has been in date. Applicants will not receive maximum of 10 points if the applicant use continuously for the Main Street funding consideration if their demonstrates that the applicant’s team Area rejuvenation effort, and the applications are determined to be late, has adequate experience of affordable applicant demonstrates how the and who cannot furnish HUD with a housing development and historic tracking and reporting system will be receipt from the USPS that verifies the preservation requirements, and is on used to implement a grant awarded package was submitted to the USPS schedule in implementing the Main through this NOFA. prior to the deadline date and time. Street Master Plan. That is, the (2) The applicant will earn a c. Late applications. Late applicant’s team has developed or maximum of 3 points if a tracking and applications, whether received rehabilitated more than 2 affordable reporting system exists as of the electronically or in hard copy, will not housing projects and 1 Historic Register application submission date (i.e., was receive funding consideration. HUD will or traditional architecture projects over developed as a result of this NOFA), but not be responsible for directing or the past three years. has not been used on the Main Street forwarding applications to the (3) The applicant will earn a Area rejuvenation effort, provided that appropriate location. Applicants should maximum of 6 points if the applicant the applicant demonstrates how it will pay close attention to these submission demonstrates that the applicant team be used to implement a grant awarded and timely receipt instructions as they has extensive experience, gained over through this NOFA. can make a difference in whether HUD the past three years, of affordable (3) The applicant will earn a will accept your application for funding housing development and historic maximum of 1 point if a tracking and consideration. preservation requirements, but is behind reporting system does not exist, and has d. No Facsimiles of Entire schedule in implementing the Main not existed in the past, as of the Application. HUD will not accept fax Street Master Plan. application submission date, but the (4) The applicant will earn a transmissions from applicants who applicant demonstrates how such a maximum of 3 points if the applicant receive a waiver to submit a paper copy system will be used to implement a demonstrates that the applicant team application. Paper applications must be grant awarded through this NOFA. has adequate experience, gained over complete and submitted in their (4) The applicant will receive 0 points the past three years, of housing entirety, via USPS Express Mail. if: development and historic preservation 6. General Section References. The (a) A tracking and reporting system requirements, but is behind schedule in following sub-sections of Section IV of does not exist; or implementing the Main Street Master the General Section are hereby (b) The applicant does not incorporated by reference: Plan. (5) The applicant will earn a demonstrate how one will be used to a. Addresses to Request Application implement a grant awarded through this Package; maximum of 0 points if the applicant cannot demonstrate that its team has at NOFA. b. Application Kits; 2. Rating Factor 2: Need for c. Guidebook and Further Information least adequate experience of housing development and historic preservation Affordable Housing (up to 10 points). d. Forms. The following HUD a. For the applicant’s PMSA/MSA or standard forms are not required as part requirements, whether implementation of the Main Street Master Plan is on nonmetropolitan county/parish, if the of the application for this NOFA: ratio of the maximum affordable rent for (1) Grant Application Detailed Budget schedule or not. b. Knowledge of Key Personnel (up to a 4-person family to the FMR of a 3- (HUD–424–CB); bedroom size unit (affordable rent (2) Grant Application Detailed Budget 10 points). (1) The applicant will earn a divided by FMR) is equal to or less than Worksheet (HUD–424–CBW); maximum of 10 points if the applicant 0.4, the applicant will receive 10 points. e. Certifications and Assurances; demonstrates that its key personnel b. For the applicant’s PMSA/MSA or f. Submission Dates and Times; have extensive knowledge, gained over nonmetropolitan county/parish, if the V. Application Review Information the past three years, of affordable ratio of the maximum affordable rent for housing development and historic a 4-person family to the FMR of a 3- A. Selection Criteria (Rating Factors) preservation requirements. bedroom unit (affordable rent divided 1. Rating Factor 1: Capacity (up to 30 (2) The applicant will earn a by FMR) is greater than 0.4, and is equal points). maximum of 5 points if the applicant to or less than 0.6, the applicant will This factor addresses whether the demonstrates that the applicant team’s receive 7 points. Applicant Team has the capacity and key personnel have adequate c. For the applicant’s PMSA/MSA or organizational resources necessary to knowledge, gained over the past three nonmetropolitan county/parish, if the successfully implement the proposed years, of affordable housing ratio of the maximum affordable rent for activities within the grant period. development and historic preservation a 4-person family to the FMR of a 3- a. Past Experience (up to 15 points). requirements. bedroom size unit (affordable rent (1) The applicant will earn a (3) The applicant will earn a divided by FMR) is greater than 0.6, but maximum of 15 points if the applicant maximum of 0 points if the applicant is equal to or less than 0.8, the applicant demonstrates that the applicant’s team cannot demonstrate that its key will receive 4 points.
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d. For the applicant’s PMSA/MSA or described in Section III.C.2. of this involved in the rejuvenation effort and nonmetropolitan county/parish, if the NOFA. to possible future residents of the Main ratio of the maximum affordable rent for (b) The applicant will receive 1 point Street Affordable Housing Project, a 4-person family to the FMR of a 3- if the Master Plan contains general including (in accordance with bedroom size unit (affordable rent design guidelines. affirmative fair housing marketing divided by FMR) is greater than 0.8, the (c) The applicant will receive 0 points requirements) the population that is applicant will receive 0 points. if the Master Plan does not contain least likely to apply. 3. Rating Factor 3: Appropriateness of design guidelines. (c) The applicant will receive 1 point the Main Street Master Plan (up to 20 (3) Mission Statement. if the applicant’s Master Plan includes points). (a) The applicant will receive up to 1 a discussion of either promotion or a. Master Plan Requirements (up to 6 point if the applicant’s Master Plan marketing of the Main Street Area points). contains a well-defined mission rejuvenation effort to parties that may be (1) The applicant will receive 6 points statement that addresses the needs of involved in the rejuvenation effort and if the application demonstrates that the the Main Street Area and includes, and to possible future residents of the Main Master Plan includes all 6 elements is relevant to, local community Street Affordable Housing Project, required, as listed below. One point will conditions. The applicant should including (in accordance with be deducted from the maximum of 6 evidence this by making specific affirmative fair housing marketing points for each element that is not references to pages in the Master Plan. requirements) the population that is included in the Master Plan. The (b) The applicant will receive 0 points least likely to apply. applicant should evidence this by if the applicant’s Master Plan does not (d) The applicant will receive 0 points making specific references to pages in include a well-defined mission if the applicant’s Master Plan does not the Master Plan. The Master Plan must statement. includes a discussion of promotion or at a minimum: (4) Public and Private Support. marketing of the Main Street Area (a) Have been prepared by an (a) The applicant will receive 3 points rejuvenation effort. architect, land planner, or qualified if the applicant’s Master Plan has 4. Rating Factor 4: Appropriateness of planning professional for the applicant received strong local public and private the Main Street Affordable Housing or its recognized developer entity. sector support demonstrated by long- Project (up to 20 points). (b) Describe the proposed Main Street term (at least two years of) financial and a. Main Street Affordable Housing Rejuvenation redevelopment strategies; in-kind service leverage commitments to Project Leverage (up to 10 points). (c) Include a map indicating the Main the Main Street Area equal to or greater (1) In this NOFA, there are three Street Area; than 200 percent of the applicant’s categories of cash and in-kind (d) Include a narrative that refers to requested grant amount. contributions (‘‘leverage’’), Main Street the map and describes the various (b) The applicant will receive 2 points Area Leverage, Main Street Housing planned redevelopment actions; if the applicant’s Master Plan has Project Leverage, and match: (e) Include the development of received strong local public and private (a) Main Street Area Leverage affordable housing; and sector support demonstrated by long- includes all types of leverage as (f) Include a list of properties where term (at least two years of) financial and described in Section III.C. of this NOFA, affordable housing will be rehabilitated in-kind service leverage commitments to entitled, ‘‘Main Street Area Leverage,’’ or developed. The list of properties the Main Street Area equal to or greater and is used for activities related to the must have been included in the Main than 150 percent, but less than 200 Main Street Area rejuvenation effort. Street Master Plan on or before the percent of the applicant’s requested Note that long-term Main Street Area application submission date. The grant amount. Leverage is rated above in Section properties must be described by lot/ (c) The applicant will receive 1 point V.A.3.b.4. of this NOFA, entitled block number, street address, legal if the applicant’s Master Plan has ‘‘Public and Private Support.’’ description, or other exact description. received strong local public and private (b) Main Street Affordable Housing b. Master Plan Qualities (up to 14 sector support demonstrated by long- Project Leverage includes all types of points). term (at least two years of) financial and leverage as described in Section III.C. of (1) Commitment to Historic or in-kind service leverage commitments to this NOFA, but is specifically used only Traditional Architecture. the Main Street Area equal to or greater for development of the Main Street (a) The applicant will receive 5 points than 100 percent, but less than 150 Affordable Housing Project. if the applicant’s Master Plan percent of the applicant’s requested (c) Match is a separate, statutorily demonstrates a strong commitment to grant amount. required sub-group of Main Street the preservation of historic or (5) Promotion and Marketing. Affordable Housing Project Leverage. traditional architecture. (a) The applicant will receive 3 points Match requirements are described in (b) The applicant will receive 3 points if the applicant’s Master Plan sets forth Section III.B. of this NOFA. if the applicant’s Master Plan addresses a plan to promote and market the Main (2) This rating factor measures Main the preservation of historic or Street Area rejuvenation effort to parties Street Affordable Housing Project traditional architecture but does not that may be involved in the rejuvenation Leverage only. The amount of Main convey a strong commitment to it. effort and to possible future residents of Street Affordable Housing Project (c) The applicant will receive 0 points the Main Street Affordable Housing Leverage includes the match amount. if the applicant Master Plan does not Project, including (in accordance with Points will be assigned based on the address the preservation of historic or affirmative fair housing marketing following scale: traditional architecture. requirements) the population that is (2) Design Guidelines. least likely to apply. Points Leverage as percent of grant awarded (a) The applicant will receive 2 points (b) The applicant will receive 2 points amount (points) if the applicant’s Master Plan contains if the applicant’s Master Plan includes specific design guidelines that relate to a discussion of both promotion and Less than 20 percent ...... 0 historic or traditional architecture, and marketing of the Main Street Area Greater than or equal to 20 per- that promote universal design, as rejuvenation effort to parties that may be cent but less than 40 percent ... 2
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a. Program Schedule (up to 5 points). Allocations,’’ Federal Register Docket Leverage as percent of grant Points amount awarded (1) The applicant may receive a Number FR–4882–N–03, published on (points) maximum of 5 points if the program March 22, 2004, provides that most schedule reflects that each of the HUD competitive NOFAs will include Greater than or equal to 40 per- milestone activities will take place cent but less than 60 percent ... 4 an incentive for local and state Greater than or equal to 60 per- within the stipulated time frames governments to decrease their regulatory cent but less than 80 percent ... 6 required under Section VI.B.1. of this barriers to the development of Greater than or equal to 80 per- NOFA and the applicant demonstrates affordable housing. cent but less than 100 percent 8 that the planned time frames are (2) Form HUD–27300 contains 100 percent or more ...... 10 realistic and achievable, i.e., there are questions that explore the applicant’s no known impediments to unit efforts to decrease regulatory barriers. b. Retention of historic or traditional development, e.g., litigation, and the b. Scoring. architecture (up to 5 points). applicant’s team has prepared a chart (1) If the applicant is considered a (1) The applicant will receive 5 points that states estimated production local unit of government with land use if the application demonstrates that the milestones, their relative time frames, and building regulatory authority, an buildings in the project will maintain all and each milestone’s time to agency or department of a local unit of of the historic or traditional architecture completion, e.g., Gantt Chart. One point government, a nonprofit organization, or and design features on all floors of the will be deducted from the 5 points for other qualified applicant applying for buildings. each milestone activity listed in Section funding for a project located in the (2) The applicant will receive 2 points VI.B.1. and IV.B.4.c. that is: jurisdiction of the local unit of if the application demonstrates that the (a) Omitted from the program government, the applicant is invited to buildings in the project will retain some schedule; answer the 20 questions in Part A of of the historic or traditional architecture (b) Not indicated to occur within the form HUD–27300. For those and design features on some or all of the time frame required in this NOFA, or applications in which regulatory floors of the buildings. (c) Is not demonstrated to be realistic authority is split between jurisdictions (3) The applicant will receive 0 points and achievable. (e.g., county/parish and town), the if the application does not demonstrate b. Fiscal Management (up to 13 applicant should answer the question that the buildings in the project will points). for that jurisdiction that has regulatory retain historic or traditional architecture (1) If the applicant shows fiscal authority over the issue at question. and design features. management controls, a procurement (a) If the applicant checked Column 2 c. Reservation for Very Low-Income system, and a results-oriented for five to ten questions from Part A, the Families (up to 4 points). management structure that are adequate applicant will receive 1 point in the (1) The applicant will receive 5 points to manage a grant from this NOFA, and NOFA evaluation. if the number of units reserved for very the applicant demonstrates that their (b) If the applicant checked Column 2 low-income initial residents is greater management structure and controls are for 11 or more questions from Part A , than 20 percent of the total affordable results-oriented, the applicant will the applicant will receive 2 points in the housing units in the project. receive 13 points; NOFA evaluation. (2) The applicant will receive 3 points (2) If the applicant shows fiscal (2) Part B of the form is for an if the number of units reserved for very management controls, a procurement applicant that is considered to be a state low-income initial residents is greater system, and management structure and government or an agency or department than 10 percent, but less than or equal controls that are adequate to manage a of a state government. State to 20 percent of the total affordable grant from this NOFA, but the applicant governments are not eligible to apply for housing units in the project. does not demonstrate that the this NOFA and, as such, Part B of the (3) The applicant will receive 0 points applicant’s management structure and form is not applicable. if the number of units reserved for very controls are results-oriented, the (3) In no case will an applicant low-income initial residents is 10 applicant will receive 8 points; receive greater than two points for percent or less of the total affordable (3) If the applicant shows fiscal barrier removal activities. An applicant housing units in the project. management controls, but the applicant must submit the documentation d. Energy Star (up to 1 point). does not demonstrate that the applicant requested in the questionnaire or (1) Promotion of Energy Star has a procurement system and it does provide a Web site address (URL) where compliance is a HOPE VI Main Street not demonstrate that its management the documentation can be readily found, program requirement. See Section structure and controls are results- to receive the bonus points for this III.C.4.g. of this NOFA. oriented, the applicant will receive 4 policy priority. (2) You will receive 1 point if your points; 7. Rating Factor 7: RC/EZ/EC–IIs—(up application demonstrates that you will: (4) If the applicant does not describe to 2 points). (a) Use Energy Star-labeled products; its program management structure and a. RC/EZ/EC–IIs. This NOFA provides (b) Promote Energy Star design of fiscal management controls and does for the award of two bonus points for affordable units; and not show that they are adequate, the eligible activities/projects that the (c) If you elect to include Community applicant will receive 0 points. applicant proposes to locate in federally and Supportive Services in your grant 6. Rating Factor 6: Incentive Criteria designated Empowerment Zones (EZs), activities, include Energy Star in on Regulatory Barrier Removal—(up to Renewal Communities (RCs), or homeownership counseling. 2 points). Enterprise Communities, designated by (2) You will receive 0 points if your a. Description. the United States Department of application does not demonstrate that (1) HUD’s Notice, ‘‘America’s Agriculture in round II (EC–IIs), that are you will perform (a) and (b) above, and, Affordable Communities Initiative, intended to serve the residents of these if applicable, (c) above. HUD’s Initiative on Removal of areas, and that are certified to be 5. Rating Factor 5: Program Regulatory Barriers: Announcement of consistent with the area’s strategic plan Administration and Fiscal Management Incentive Criteria on Barrier Removal in or RC Tax Incentive Utilization Plan (up to 18 points). HUD’s FY 2004 Competitive Funding (TIUP). (For ease of reference in this
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notice, all of the federally designated (5) Minimum Score. Applications that feasibly fund the next eligible areas are collectively referred to as ‘‘RC/ do not have a preliminary score of at application. In this case, the funds that EZ/EC–IIs’’ and residents of any of these least 50 will not be eligible for funding. have not been awarded will be federally designated areas as ‘‘RC/EZ/ b. Ranking. considered remaining funds. EC–II residents.’’) This NOFA contains (1) After preliminary review, 9. The following sub-sections of a certification, ‘‘Certification of applications with a minimum score of Section V. of the General Section are Consistency with RC/EZ/EC Strategic 50 or above will be ranked in score hereby incorporated by reference: Plan’’ (form HUD–2990), that must be order. a. HUD’s Strategic Goals; completed for the applicant to be 4. Final Panel Review. b. Policy Priorities; considered for RC/EZ/EC–II bonus a. A Final Review Panel made up of c. Threshold Compliance; points. A list of RC/EZ/EC–-IIs can be HUD staff will: d. Corrections to Deficient obtained from HUD’s Web page at http:/ (1) Review the Preliminary Rating and Applications; /www.hud.gov/cr. Applicants can Ranking documentation to: e. Rating; and determine if their program/project (a) Ensure that any inconsistencies f. Ranking. activities are located in one of these between preliminary reviewers have VI. Award Administration Information designated areas by using the locator on been identified and rectified; and HUD’s Web site at http://www.hud.gov/ (b) Ensure that the Preliminary Rating A. Award Notices crlocator. and Ranking documentation accurately 1. Initial Announcement. The HUD reflects the contents of the application. Reform Act prohibits HUD from B. Review and Selection Process (2) Assign a final score to each notifying the applicant as to whether or 1. HUD’s selection process is designed application; and not the applicant has been selected to to ensure that grants are awarded to (3) Recommend for selection the most receive a grant until HUD has eligible local governments with the most highly rated applications, subject to the announced all grant recipients. If the meritorious applications. amount of available funding, in application has been found to be 2. Application Screening. accordance with the allocation of funds ineligible or if it did not receive enough a. HUD will screen each application described in Section II of this NOFA. points to be funded, the applicant will to determine if: 5. HUD reserves the right to make not be notified until the successful (1) It meets the threshold criteria reductions in funding for any ineligible applicants have been notified. HUD will listed in Section III.C of this NOFA; and items included in an applicant’s provide written notification to all (2) It is deficient, i.e., contains any proposed budget. applicants, whether or not they have technical deficiencies. 6. In accordance with the FY 2004 b. Corrections to Deficient been selected for funding. HOPE VI appropriation, HUD may not 2. Authorizing Document. The notice Applications. The subsection entitled, use HOPE VI funds to grant competitive ‘‘Corrections to Deficient Applications,’’ of award signed by the Assistant advantage in awards to settle litigation Secretary for Public and Indian Housing in Section V.B of the General Section or pay judgments. applies, except that clarifications or (grants officer) is the authorizing 7. Tie Scores. If two or more document. This notice will be delivered corrections of technical deficiencies in applications have the same score and accordance with the information via the United States Postal Service. there are insufficient funds to select all 3. Applicant Debriefing. For a period provided by HUD must be submitted of them, HUD will select for funding the of at least 120 days, beginning 30 days within 5 calendar days of the date of application(s) with the highest score for receipt of the HUD notification, not 14 after the awards for assistance are the Master Plan Qualities Rating Factor. publicly announced, HUD will provide days. If a tie remains, HUD will select for c. Applications that will not be rated a debriefing to an application that funding the application(s) with the requests one. All debriefing requests or ranked. highest score for the Capacity Rating (1) HUD will not rate or rank must be made in writing by the Factor. HUD will select further tied applications that are deficient at the end authorized official whose signature applications with the highest score for of a 5 calendar day cure period, as appears on the SF–424 or his/her the Need Rating Factor. described in Section V.B.2.b. of this successor in office, and submitted to the 8. Remaining Funds. person or organization identified for NOFA. a. HUD reserves the right to reallocate (2) HUD will not rate or rank ‘‘Technical Assistance’’ in Section VII.B. remaining funds from this NOFA to applications that have not met the of this NOFA. Information provided other eligible activities under Section 24 thresholds described in Section III.C. of during a debriefing will include, at a of the Act. this NOFA. Such applications will not minimum, the final score you received (1) If the total amount of funds be eligible for funding. for each rating factor. 3. Preliminary Rating and Ranking. requested by all applications found 4. General Section References. The a. Rating. eligible for funding under Section V.B. following sub-sections of Section VI.A. (1) HUD staff will preliminarily rate of this NOFA is less than the amount of of the General Section are hereby each eligible application, SOLELY on funds available from this NOFA, all incorporated by reference: the basis of the rating factors described eligible applications will be funded and a. Adjustments to Funding. in Section V.A of this NOFA. those funds in excess of the total (2) When rating applications, HUD requested amount will be considered B. Administrative and National Policy reviewers will not use any information remaining funds. Requirements included in any application submitted (2) If the total amount of funds 1. Administrative Requirements: for another NOFA. requested by all applications found a. Grant Agreement Execution. The (3) HUD will assign a preliminary eligible for funding under Section V.B. grantee must execute the Grant score for each rating factor and a of this NOFA is greater than the amount Agreement within 90 days after HUD preliminary total score for each eligible of funds available from this NOFA, mails the Grant Agreement to the application. eligible applications will be funded grantee. (4) The maximum number of points until the amount of non-awarded funds b. Grant term. The time period for for each application is 102. is less than the amount required to completion shall not exceed 30 months
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from the date the NOFA award is i. Flood Insurance. In accordance with be in accordance with the Program executed. the Flood Disaster Protection Act of Schedule time frames as identified in c. Sub-Grants and Contracts. Grant 1973 (42 U.S.C. 4001–4128), the the application and Grant Agreement. funds may be expended directly by the application may not propose to provide 6. Information for Research and applicant or they may be granted or financial assistance for acquisition or Evaluation Studies. As a condition of loaned by the applicant to a third party construction (including rehabilitation) the receipt of financial assistance under who is undertaking the development of of properties located in an area a HUD Program NOFA, all successful the project. Loans may be amortized or identified by the Federal Emergency applicants will be required to cooperate forgiven. Management Agency (FEMA) as having with all HUD staff or contractors d. Reasonable Time Frame. Grantees special flood hazards, unless: performing HUD-funded research and must proceed within a reasonable time (1) The community in which the area evaluation studies. frame to complete several milestone is situated is participating in the 7. Final Audit. Grantees are required activities, as indicated below. In National Flood Insurance program (see to obtain a complete final closeout audit determining reasonableness of such 44 CFR parts 59 through 79), or less of the grantee financial statements for time frame, HUD will take into than one year has passed since FEMA the grant funds. The audit must be consideration those delays caused by notification regarding such hazards; and completed by a certified public factors beyond the applicant’s control. (2) Where the community is accountant (CPA) in accordance with These time frames must be stated in a participating in the National Flood generally accepted government audit program schedule, in accordance with Insurance Program, flood insurance is standards, and a written report of the the threshold requirement obtained as a condition of execution of audit must be forwarded to HUD within documentation at Section IV.B.4.c. of a Grant Agreement. 60 days of issuance. Grant recipients this NOFA. j. Coastal Barrier Resources Act. In must comply with the requirements of e. Development Proposal. Grantees accordance with the Coastal Barrier 24 CFR part 84 or 24 CFR part 85 as must submit a development proposal for Resources Act (16 U.S.C. 3501), the stated in OMB Circulars A–110, A–87, the project within 6 months after the application may not target properties in and A–122, as applicable. grant award date or, if State Historic the Coastal Barrier Resources System. 8. Final Report. Preservation Officer approval is 2. National Policy Requirements. a. The grantees shall submit a final necessary, 9 months after the grant a. See references to the General report, which will include a financial award date. Section in Section III of this NOFA. report and a narrative evaluating overall (1) Development proposals must 3. Reporting. performance against its HOPE VI Main include the following information: a. Quarterly Administrative and Street application and Main Street (a) Identification of parties to the Compliance Checkpoints Report Quarterly Progress Report. Grantees project development; (Quarterly Report). shall use quantifiable data to measure (b) Activities and relationships of (1) If the applicant is selected for performance against goals and parties, e.g., Party A will loan $50,000 funding, the applicant must submit a objectives outlined in its application. to Party C via a hard loan with an Main Street Quarterly Report to HUD. The financial report shall contain a interest rate of 6 percent, with a 30-year The report will be filled out on-line and summary of all expenditures made from amortization and a 15-year term. will consist of administrative and the beginning of the grant agreement to (c) Financing, i.e., Sources and Uses production milestones, called ‘‘Locked the end of the grant agreement and shall in the form HUD–52861 format; Checkpoints,’’ and a short status include any unexpended balances. (d) Unit description, i.e., unit number narrative. b. Racial and Ethnic Data. HUD and sizes. (2) HUD will provide training and requires that funded recipients collect (e) Site locations, i.e., lot and block, technical assistance on the filing and racial and ethnic beneficiary data. It has street address, or legal description; submitting of Main Street Quarterly adopted the Office of Management and (f) Development construction cost Reports. Budget’s Standards for the Collection of estimate; and (3) Filing of Quarterly Reports is Racial and Ethnic Data. In view of these (g) Certification that open competition mandatory for all grantees, and failure requirements, you should use form will be used by the grantee to select a to do so within the required quarterly HUD–27061, Racial and Ethnic Data development partner and/or owner time frame will result in suspension of Reporting Form (instructions for its entity, if applicable. grant funds until the report is filed and use), found on www.HUDclips.org; a f. Preliminary Environmental approved by HUD. comparable program form; or a Approval Only. HUD’s notification of (4) Grantees will be held to the comparable electronic data system. award to a selected applicant constitutes milestones that are reported on the c. The final narrative and financial a preliminary approval by HUD subject Quarterly Report, as approved by HUD. to the completion of an environmental 4. LOCCS. Grantees must report all report shall be due to HUD 90 days after review of the proposed sites in obligations and expenditures in HUD’s either the full expenditure of funds, or accordance with 24 CFR part 50. See Line of Credit Control System (LOCCS), when the grant term expires, whichever Section III.C.2.k. of this NOFA for or its successor system, on a quarterly comes first. information about environmental basis. VII. Agency Contacts requirements. 5. Logic Model Reporting. g. First Construction Start. Grantees a. The reporting shall include A. Technical Corrections to the NOFA must start housing unit construction submission of a completed logic model 1. Technical corrections to this NOFA within 12 months after the grant award indicating results achieved against the will be posted to the grants.gov Web date or, if SHPO approval is necessary, proposed output goal(s) for output and site. 15 months after grant award date. proposed outcome(s) which the 2. Any technical corrections will also h. Last Construction Completion. applicant stated in the applicant’s be published in the Federal Register. Grantees must complete construction approved application and agreed upon 3. The applicant is responsible for within 30 months from the grant award with HUD. The submission of the logic monitoring these sites during the date. model and required information should application preparation period.
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B. Technical Assistance. Before the at http://www.hud.gov/offices/pih/ Act of 1995 (44 U.S.C. 3501–3520) and application submission date, HUD staff programs/ph/hope6/. assigned OMB Control Number 2577– 0208. In accordance with the Paperwork will be available to provide the VIII. Other Information applicant with general guidance and Reduction Act, HUD may not conduct or technical assistance on this NOFA. A. General Section References. The sponsor, and a person is not required to However, HUD staff is not permitted to following sub-sections of Section VIII. of respond to, a collection of information assist in preparing the application. If the the General Section are hereby unless the collection displays a incorporated by reference: applicant has a question or needs currently valid OMB control number. 1. Executive Order 13132, Federalism; Public reporting burden for the clarification, the applicant may call Lar 2. Public Access, Documentation and Gnessin at (202) 708–0614, ext. 2676, collection of information is estimated to Disclosure; average 68 hours per annum per send an e-mail to 3. Section 103 of the HUD Reform respondent for the application and grant [email protected], or the Act; and applicant may contact Mr. Milan 4. The FY 2005 HUD NOFA Process administration. This includes the time Ozdinec, Deputy Assistant Secretary for and Future HUD Funding Processes. for collecting, reviewing, and reporting Public Housing Investments, B. Environmental Impact. A ‘‘Finding the data for the application, quarterly reports, and final report. The Department of Housing and Urban of No Significant Impact’’ (FONSI) with information will be used for grantee Development, 451 Seventh Street, SW., respect to the environment has been selection and monitoring the Room 4130, Washington, DC 20410– made for this notice in accordance with administration of funds. Response to 5000; telephone (202) 401–8812; fax HUD regulations at 24 CFR part 50 that this request for information is required (202) 401–2370 (these are not toll-free implement Section 102(2)(C) of the National Environmental Policy Act of in order to receive the benefits to be numbers). Persons with hearing and/or derived. speech impairments may access these 1969 (42 U.S.C. 4332). The FONSI is telephone numbers via text telephone available for public inspection between D. Sense of Congress. It is the sense (TTY) by calling the toll-free Federal 8 a.m. and 5 p.m. in the Office of the of Congress, as published in Section 410 Information Relay Service at (800) 877– General Counsel, Regulations Division, of the Consolidated Appropriations Act U.S. Department of Housing and Urban 8339. For technical support for of 2004, that, to the greatest extent Development, 451 Seventh Street, SW., downloading an application or practicable, all equipment and products Room 10276, Washington, DC 20410– submitting an application, please call purchased with funds made available in 0500. this NOFA should be American-made. grants.gov Customer Support at 800– C. Paperwork Reduction Act 518–GRANTS (This is a toll-free Statement. The information collection Dated: July 15, 2005. number). requirements contained in this Paula O. Blunt, C. General Information. General document have been approved by the General Deputy Assistant Secretary for Public information about HUD’s HOPE VI Office of Management and Budget and Indian Housing. programs can be found on the Internet (OMB), under the Paperwork Reduction BILLING CODE 4210–33–P
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[FR Doc. 05–14299 Filed 7–15–05; 4:17 pm] BILLING CODE 4210–33–C
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Part III
Securities and Exchange Commission 17 CFR Parts 230, 239, 240, and 249 Use of Form S–8, Form 8–K, and Form 20–F by Shell Companies; Final Rule
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SECURITIES AND EXCHANGE of the form by shell companies. We also Form 8–K under the Exchange Act to COMMISSION are amending the requirements of Form require a shell company, when reporting 8–K 4 under the Securities Exchange Act an event that causes it to cease being a 17 CFR Parts 230, 239, 240 and 249 of 1934 as they apply to shell shell company, to file with the [Release Nos. 33–8587; 34–52038; companies. In addition, we are Commission the same type of International Series Release No. 1293; File amending Rule 405 5 under the information that it would be required to No. S7–19–04] Securities Act and Rule 12b–2 6 under file in registering a class of securities the Exchange Act to define the terms under the Exchange Act. RIN 3235–AH88 ‘‘business combination related shell In response to these proposals, we Use of Form S–8, Form 8–K, and Form company’’ and ‘‘shell company,’’ and received approximately 30 comment 20–F by Shell Companies amending Rule 12b–2 under the letters from various interested parties, Exchange Act to revise the definition of including investors, issuers, AGENCY: Securities and Exchange the term ‘‘succession.’’ Further, we are accountants, lawyers, and organizations. Commission. amending Rule 13a–14 7 and Rule 15d– We have considered all of the comment ACTION: Final rule. 14 8 under the Exchange Act, adding letters and have incorporated certain of new Rule 13a–19 9 and new Rule 15d– the suggestions in those letters in the SUMMARY: The Securities and Exchange 19 10 under the Exchange Act, and final rules. Commission is adopting rules and rule amending Form 20–F 11 under the The provisions we adopt today amendments relating to filings by Exchange Act to address the reporting address the inappropriate use of Form reporting shell companies. We are obligations of foreign private issuers S–8 registration statements by reporting defining a ‘‘shell company’’ as a that are shell companies. Finally, we are shell companies to circumvent the registrant with no or nominal operations amending Form 10–Q,12 Form 10– registration and prospectus delivery and either no or nominal assets, assets QSB,13 Form 10–K,14 Form 10–KSB,15 requirements of the Securities Act. consisting solely of cash and cash and Form 20–F under the Exchange Act Because shell companies do not operate equivalents, or assets consisting of any to require companies to indicate on the businesses and, hence, rarely have amount of cash and cash equivalents cover page of those forms whether they employees, we see little legitimate basis and nominal other assets. The rules and fall within the definition of ‘‘shell for shell companies to use Form S–8. rule amendments prohibit the use of company.’’ For this reason, and because of the Form S–8 under the Securities Act of The rules and rule amendments we history of abuse of Form S–8 by 1933 by shell companies. In addition, are adopting today do not address the reporting shell companies, we are they require a shell company that is relative merits of shell companies. We prohibiting shell companies from using reporting an event that causes it to cease recognize that companies and their Form S–8 until 60 days after they cease being a shell company to disclose the professional advisors often use shell being shell companies and file required same type of information that it would companies for many legitimate information. We have, however, be required to provide in registering a corporate structuring purposes. included limited exceptions to this class of securities under the Securities Similarly, our definition and use of the prohibition for shell companies that are Exchange Act of 1934. These provisions term ‘‘shell company’’ is not intended to used in certain change of domicile or are intended to protect investors by imply that shell companies are business combination transactions. deterring fraud and abuse in our inherently fraudulent. Rather, these The provisions we adopt today also securities markets through the use of rules target regulatory problems that we address the use of Form 8–K to report reporting shell companies. have identified where shell companies ‘‘reverse merger’’ and other transactions DATES: Effective August 22, 2005, except have been used as vehicles to commit in which a reporting shell company Item 5.06 of Exchange Act Form 8–K fraud and abuse our regulatory ceases being a shell company, generally (referenced in § 249.308) will take effect processes. by combining with a formerly private operating business. Through such a on November 7, 2005. I. Introduction FOR FURTHER INFORMATION CONTACT: transaction, the private operating Kevin M. O’Neill, Special Counsel, On April 15, 2004, we proposed rules business, in effect, becomes a reporting Office of Small Business Policy, and rule amendments related to filings company. These transactions generally by reporting shell companies.16 We take one of two forms: Division of Corporation Finance, • Securities and Exchange Commission, proposed to define the term ‘‘shell In the most common type of 100 F Street, NE., Washington, DC company.’’ We also proposed to prohibit transaction, a ‘‘reverse merger,’’ the 20549, at (202) 551–3260. the use of Form S–8 under the private business merges into the shell Securities Act by shell companies. company, with the shell company SUPPLEMENTARY INFORMATION: We are Additionally, we proposed to amend surviving and the former shareholders adopting rules and rule amendments of the private business controlling the designed to protect investors by 4 17 CFR 249.308. surviving entity. deterring fraud and abuse in our 5 17 CFR 230.405. • In another common type of securities markets through the use of 6 17 CFR 240.12b–2. 1 transaction, a ‘‘back door registration,’’ reporting shell companies. We are 7 17 CFR 240.13a–14. the shell company merges into the 2 8 amending Form S–8 under the 17 CFR 240.15d–14. formerly private company, with the Securities Act of 1933 3 to prohibit use 9 17 CFR 240.13a–19. 10 17 CR 240.15d–19. formerly private company surviving and 11 the shareholders of the shell company 1 In this release, we use the term reporting shell 17 CFR 249.220f. companies to refer to shell companies that have an 12 17 CFR 249.308a. becoming shareholders of the surviving obligation to file reports under Section 13 (15 13 17 CFR 249.308b. entity.17 U.S.C. 78m) or Section 15(d) (15 U.S.C. 78o(d)) of 14 17 CFR 249.310. the Securities Exchange Act of 1934 (15 U.S.C. 78a 15 17 CFR 249.310b. 17 This was the type of transaction involved in the et seq.). 16 Release No. 33–8407, Use of Form S–8 and Lisa Roberts, Director of NASDAQ Listing 2 17 CFR 239.16b. Form 8–K by Shell Companies (Apr. 15, 2004) [69 Qualifications interpretive letter, which is 3 15 U.S.C. 77a et seq. FR 21650]. discussed in footnote 36, below.
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In these transactions, the reporting S–8, Form 8–K, and Form 20–F for calendar days after it ceases being a company has an obligation to file business combination related shell shell company and files information current reports on Form 8–K to report companies; equivalent to what it would be required both the entry into a material non- • We have added new Item 5.06 to to file if it were registering a class of ordinary course agreement providing for Form 8–K to require shell companies securities on Form 10,22 Form 10–SB,23 the transaction and the completion of (other than business combination or Form 20–F under the Exchange Act. the transaction. Specifically, in both related shell companies) to report We are adopting a limited exception to types of transactions, the entry into the transactions that cause them to cease the Form S–8 prohibition that permits a agreement would require a report under being shell companies; former business combination related Item 1.01 of Form 8–K (Entry Into a • We have added a check box to Form shell company to use Form S–8 Material Definitive Agreement) by the 10–Q, Form 10–QSB, Form 10–K, Form immediately after it ceases being a shell shell company. The completion of the 10–KSB, and Form 20–F to identify company and files the required transaction would be reportable under shell companies filing those forms; and information. • either or both of Item 2.01 of Form 8– We have adopted rules and rule The amendments to Form 8–K that we K (Completion of Acquisition or amendments requiring a foreign private are adopting today apply to reporting Disposition of Assets) and Item 5.01 of issuer shell company to file a ‘‘shell shell companies, other than those that Form 8–K (Changes in Control of company report’’ on Form 20–F to are foreign private issuers. The Registrant) by the surviving entity.18 report a transaction that causes it to amendments require such a company, Audited financial statements and pro cease being a shell company.21 when reporting on Form 8–K an event forma financial information would be We are adopting the definition of the that causes it to cease being a shell required to be filed under Item 9.01 of term ‘‘shell company’’ substantially as company, to include in that report the Form 8–K (Financial Statements and proposed. The adopted definition information that it would be required to Exhibits) for transactions reportable includes minor modifications, file to register a class of securities under under Item 2.01.19 including: 24 • Section 12 of the Exchange Act using An exclusion for asset-backed Form 10 or Form 10–SB. The report is II. Adopted Rules and Rule issuers that might inadvertently fall Amendments required to be filed within the same within the definition; filing period as generally is required for • A clarification that a company We are adopting the rules and rule other Form 8–K reports, which is within would still be a shell company if its amendments substantially as proposed. four business days after completion of The substantive changes to the assets consist of any amount of cash and the transaction. Further, the extension proposals, as discussed below, are: cash equivalents, as well as nominal of time that otherwise may be permitted • We have revised the definition of other assets; and ‘‘shell company’’ to specify the manner • A clarification that the to file financial statements and pro in which assets are to be determined determination of the company’s assets forma financial information reflecting and to exclude asset-backed issuers; 20 (including cash and cash equivalents) the new financial profile of the • We have added a definition of the for purposes of the definition must be company following completion of a term ‘‘business combination related limited to the amount of assets that significant acquisition would be shell company’’ to specify those shell would be reflected on the company’s eliminated for shell companies. We are companies that are used to effect certain balance sheet prepared in accordance adopting similar reporting requirements change in domicile and business with U.S. generally accepted accounting for foreign private issuers on Form 20– combination transactions; principles on the date of that F. • We have provided limited determination. Finally, we are adding a check box to exceptions to the amendments to Form We have defined the term ‘‘business Form 10–Q, Form 10–QSB, Form 10–K, combination related shell company.’’ Form 10–KSB, and Form 20–F to allow 18 In a back door registration transaction where We have adopted this definition to market participants and regulators to time elapses between the entry into the agreement identify shell companies more easily. and the completion of the transaction, the shell identify the subset of shell companies company would incur the obligation to file the Item for which certain of the amendments to A. Definition of ‘‘Shell Company’’ 1.01 Form 8–K at the time of entry into the Form S–8, Form 8–K, and Form 20–F agreement and either the shell company or the will not apply. We also have revised the 1. Discussion of the Proposal issuer that succeeds to the reporting obligation of the shell company by operation of either Rule 12g– definition of ‘‘succession’’ under the We proposed to define the term ‘‘shell 3 (17 CFR 240.12g–3) or Rule 15d–5 (17 CFR Exchange Act, as proposed, to capture company’’ as a company with no or 240.15d–5) under the Exchange Act would be certain transactions involving shell nominal operations, and with no or obligated to file the Item 2.01 or Item 5.01 (or both) companies. nominal assets or assets consisting Form 8–K at the time of completion of the 25 transaction. In a back door registration transaction We are adopting amendments to Form solely of cash and cash equivalents. that is simultaneously entered into and completed, S–8 that prohibit shell companies from We proposed that this definition be or where the shell company has not yet satisfied its using that form to register offerings of added to Rule 405 under the Securities Item 1.01 obligation at the time of completion of the securities. A former shell company will transaction, either the shell company or the issuer Act and Rule 12b–2 under the Exchange that succeeds to the reporting obligation of the shell become eligible to use Form S–8 to Act. We indicated in the proposing company by operation of either Rule 12g–3 or Rule register offerings of securities 60 release that we intentionally were not 15d–5 under the Exchange Act would be required proposing to use the term ‘‘blank check to satisfy the shell company’s obligation to file a 21 The term ‘‘foreign private issuer’’ is defined in Form 8–K under Item 1.01, as well as any other Exchange Act Rule 3b–4(c) [17 CFR 240.3b–4(c)]. A 22 reporting obligations of the shell company foreign private issuer is a non-government foreign 17 CFR 249.210. (including obligations to file reports on Form 8–K issuer, except for a company that (1) has more than 23 17 CFR 249.210b. pursuant to other Items of that Form). 50% of its outstanding voting securities directly or 24 15 U.S.C. 78l. 19 Other than new Item 5.06 of Form 8–K, the rule indirectly held of record by U.S. residents and (2) 25 As discussed in the proposing release, we and form amendments adopted today are not has either a majority of its executive officers or intended that a shell company formed solely for the intended to impose any new event filing directors residing in or being citizens of the United purpose of changing a company’s domicile or requirements under Form 8–K. States, more than 50% of its assets located in the completing a business combination transaction with 20 ‘‘Asset-backed issuer’’ is defined in Item United States, or its business principally another company would fall within the definition 1101(b) of Regulation AB [17 CFR 229.1101(b)]. administered in the United States. of shell company.
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company’’ used in Rule 419 26 under the language ‘‘or assets consisting of any 4. Definition of ‘‘Business Combination Securities Act because we believe the amount of cash and cash equivalents Related Shell Company’’ term ‘‘shell company’’ and our proposed and nominal other assets’’ to further The definition of ‘‘shell company’’ definition of the term better describe the clarify the definition. This clarification includes a shell company that is used to type of company involved in the is consistent with the intended meaning change an entity’s domicile and a shell schemes that we are attempting to of the proposed definition. company that is formed to effect a address, use criteria that are more After considering the comments on business combination transaction. As specific, and would be easier to apply. our proposed definition of shell proposed, a shell company formed company, we continue to believe that 2. Comments on the Proposal solely for the purpose of changing the the proposed definition best describes domicile of a non-shell entity would Approximately ten commenters the types of companies involved in the expressed their views regarding the have been permitted to use Form S–8 schemes we are attempting to address immediately after it ceased being a shell proposed definition of ‘‘shell company.’’ 31 and can be applied with certainty. We company and filed required Three commenters asked that the terms do not believe that the suggestions in ‘‘nominal operations’’ and ‘‘nominal information. In this regard, we received the comment letters would result in a comment expressing the view that assets’’ be defined.27 These commenters significantly improved definition of sought more guidance as to the meaning public companies formed to effect shell company. Further, we believe that mergers, acquisitions, and public spin- of these terms and quantitative the definition reflects the traditional thresholds for the term ‘‘nominal.’’ One off transactions also should be understanding of the term ‘‘shell permitted to use Form S–8 within that of these commenters requested an company’’ in the area of corporate 33 objective test, such as specific timeframe. finance. We believe that there is a subset of quantitative thresholds tied to specific We are not defining the term dollar amounts.28 shell companies for which the delay in ‘‘nominal,’’ as we believe that this term the use of Form S–8, as well as certain Another commenter suggested that embodies the principle that we seek to the proposed definition be modified to of the reporting requirements under apply and is not inappropriately vague Form 8–K and Form 20–F, as discussed clarify that nominal assets appearing on 32 or ambiguous. We have considered the below, are not necessary. Accordingly, a balance sheet prepared other than in comment that a quantitative threshold accordance with generally accepted we have defined the term ‘‘business would improve the definition of shell combination related shell company’’ to accounting principles do not qualify as company; however, we believe that assets for purposes of avoiding identify those entities that we believe quantitative thresholds would, in this fall within this subset of shell classification as a shell company.29 Two context, present a serious potential commenters expressed support for a companies. As adopted today, a problem, as they would be more easily ‘‘business combination related shell definition based on the term ‘‘blank circumvented. We believe further check company’’ in Securities Act Rule company’’ is: specification of the meaning of • 419 to describe the types of entities that A shell company formed by an ‘‘nominal’’ in the definition of ‘‘shell entity that is not a shell company solely should be subject to the Form S–8 and company’’ is unnecessary and would Form 8–K proposals.30 for the purpose of changing that entity’s make circumventing the intent of our domicile solely within the United 3. Final Rules regulations and the fraudulent misuse of States; 34 or shell companies easier. As adopted, Securities Act Rule 405 • A shell company formed by an entity that is not a shell company solely and Exchange Act Rule 12b–2 define a 31 One commenter discussed the application of ‘‘shell company’’ as a company, other the proposals to ‘‘living dead’’ companies. See letter for the purpose of completing a business than an asset-backed issuer, with: from Mike Liles, Jr. As described in this comment combination transaction among one or • No or nominal operations; and letter, a ‘‘living dead’’ company is a former more entities other than the shell • Either: operating company with minimal or limited company, none of which is a shell operations. We believe that a former operating 35 —No or nominal assets; company that meets the assets and operations company. —Assets consisting solely of cash and standards in the definition of shell company would B. Definition of ‘‘Succession’’ cash equivalents; or be subject to the rules and rule amendments that —Assets consisting of any amount of we are adopting today. We are adopting as proposed the cash and cash equivalents and 32 We have become aware of a practice in which amendment to the definition of the term a promoter of a company and/or affiliates of the nominal other assets. promoter appear to place assets or operations ‘‘succession’’ in Exchange Act Rule For purposes of this definition, the within an entity with the intent of causing that 12b–2 to include a change in control of determination of a company’s assets entity to fall outside of the definition of ‘‘blank a shell company that is required to be check company’’ in Securities Act Rule 419. The reported on Form 8–K pursuant to Item (including cash and cash equivalents) promoter will then seek a business combination must be based on the amounts that transaction for the company, with the assets or would be reflected on the company’s operations being returned to the promoter or 33 See letter from Association of the Bar of the balance sheet prepared in accordance affiliate upon the completion of that business City of New York. combination transaction. It is likely that similar 34 The language in this definition referring to a with U.S. generally accepted accounting schemes will be undertaken with the intention of shell company formed ‘‘solely for the purpose of principles on the date of that evading the definition of shell company that we are changing that entity’s domicile solely within the determination. We have added the adopting today. In our view, where promoters (or United States’’ is intended to have the same their affiliates) of a company that would otherwise meaning as the language ‘‘the sole purpose of the be a shell company place assets or operations in transaction is to change an issuer’s domicile solely 26 17 CFR 230.419. that company and those assets or operations are within the United States’’ in Securities Act Rule 27 See letters from L. Stephen Albright, North returned to the promoter or its affiliates (or an 145(a)(2) [17 CFR 230.145(a)(2)]. American Securities Administrators Association, agreement is made to return those assets or 35 For purposes of this definition, the term Inc., and Stoecklein Law Group. operations to the promoter or its affiliates) before, ‘‘business combination transaction’’ will have the 28 See letter from North American Securities upon completion of, or shortly after a business same meaning as in Securities Act Rule 165(f)(1) [17 Administrators Association, Inc. combination transaction by that company, those CFR 230.165(f)(1)], which defines a ‘‘business 29 See letter from Simon M. Lorne. assets or operations would be considered combination transaction’’ as any transaction 30 See letters from David N. Feldman and Conrad ‘‘nominal’’ for purposes of the definition of shell specified in Securities Act Rule 145(a) [17 CFR C. Lysiak. company. 230.145(a)] or exchange offer.
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5.01 of that Form or on Form 20–F company. As proposed, a company that shortened.42 Another commenter pursuant to new Exchange Act Rule ceased being a shell company would expressed the view that we should 13a–19 or 15d–19. This amendment become eligible to use Form S–8 to exclude public companies formed to will, in most cases, require a non-public register offerings of securities 60 effect mergers, acquisitions, and public acquiring company to succeed to the calendar days after it filed information spin-off transactions, as it is critical that reporting obligations of a shell company equivalent to what it would be required such companies be able to use Form S– and become a reporting company.36 For to file if it were registering a class of 8 to register offerings of securities under a shell company with securities securities under Section 12 of the employee benefit plans immediately registered under Section 12 of the Exchange Act through the use of Form after the closing of such transactions.43 Exchange Act, this will occur because 10, Form 10–SB, or Form 20–F, as This same commenter stated that the 60- Exchange Act Rule 12g–3 will, with applicable to that company.38 On most day waiting period in the Form S–8 limited exceptions, impose Section 12 occasions, this would occur upon the proposal would be an unnecessary registration on the securities of the completion of a reverse merger or back restriction on such a successor acquiror without the necessity of filing door registration transaction, and the company’s ability to sell shares in an Exchange Act registration statement. information would be filed in a current registered offerings pursuant to Similarly, for a shell company with a report on Form 8–K reporting the employee benefit plans.44 The reporting obligation under Section 15(d) transaction that causes the company to commenter proposed that shell of the Exchange Act, the acquiror may cease being a shell company. In some companies be permitted to use Form S– be deemed to have assumed the circumstances the information could be 8 immediately after their conversion to reporting obligation of the shell filed in a Form 10, Form 10–SB, or Form an operating company, particularly company by operation of Exchange Act 20–F, or in a Securities Act registration where another filing has been made that Rule 15d–5. Because of the interaction statement covering the transaction. meets the disclosure requirements. of the revised definition of ‘‘succession’’ A registration statement on Form 10, 3. Final Rule and Exchange Act Rules 12g–3 and 15d– Form 10–SB, or Form 20–F provides A registration statement on Form S– 5, a private entity that acquires a investors with important information 8 becomes effective upon filing with the reporting shell company generally will about the company in which they are Commission and does not require a report the transaction on Form 8–K, considering investing. The 60-day delay prospectus to be filed as part of the which in this case calls for Exchange between the filing of that information registration statement.45 Some shell Act registration-level disclosure, in and the use of Form S–8 was intended companies seeking to distribute their accordance with the requirements of to give employees and the markets securities and raise capital Form 8–K rather than filing an Exchange sufficient time to absorb the information inappropriately use Form S–8. As we Act registration statement.37 We believe provided by the company in its Form 8– discussed in the proposing release, we this Form 8-K reporting requirement K or other filing. The 60-day period is provides the appropriate timing, continue to see the misuse of Form S– consistent with the 60-day period 8 to register the sale of shares to method, and level of disclosure to between the filing and effectiveness of investors. purported employees or other nominees, a company’s registration of a class of who often are designated as C. Amendments to Securities Act Form securities on Form 10, Form 10–SB, or ‘‘consultants’’ but who often do not S–8 Form 20–F under Section 12(g) of the provide services for which the company Exchange Act.39 1. Discussion of the Proposal may offer securities in a transaction 2. Comments on the Proposal registered on Form S–8.46 These We proposed amendments to prohibit schemes lead to unregistered resales of the use of Form S–8 by any shell Most commenters expressed support securities into the public market by for our initiative, through the Form S– these purported ‘‘employees’’ or 36 This definition, along with today’s 8 proposal, to deter fraud and abuse in ‘‘consultants,’’ denying the protections amendments to Form 8–K, supersedes the Lisa our securities markets by the use of of the Securities Act to the real public Roberts, Director of NASDAQ Listing Qualifications shell companies. Eight commenters interpretive letter (Apr. 7, 2000). As explained in purchasers of the company’s this interpretive letter, the procedure sometimes expressed the view that shell companies securities.47 called ‘‘back door registration’’ under the Exchange should, at least under certain We are adopting the amendments to Act did not, in the Commission staff’s view at the circumstances, continue to be eligible to time, constitute a ‘‘succession’’ of the surviving Form S–8 essentially as proposed, as we use Form S–8 for offering securities to continue to believe that prohibiting the entity to the rights and obligations of the reporting 40 shell company because the definition of officers, directors, and employees. use of Form S–8 by shell companies ‘‘succession’’ in Exchange Act Rule 12b–2 requires Three commenters proposed permitting that the acquiring company acquire a ‘‘going a shell company to use Form S–8 to 42 See letters from L. Stephen Albright, Jay Sanet, business’’ and a shell company was not considered register offerings up to a percentage of and Stoecklein Law Group. a ‘‘going business.’’ Nevertheless, the staff 41 43 permitted non-reporting acquiring companies to file its outstanding public float. Three See letter from Association of the Bar of the Form 8–K reports and enter our reporting system, commenters agreed that the proposed City of New York. so long as specified information was included, 60-day waiting period should not be 44 See id. rather than requiring these companies to file 45 See Securities Act Rules 462(a) and 428 [17 registration statements under Section 12 of the Act CFR 230.462(a) and 230.428]. on Form 10 or Form 10–SB to become reporting 38 The amendments to Form S–8 that we are 46 General Instruction A.1.(a)(1) to Form S–8 companies. adopting today will apply to foreign private issuers. states that the form may be used to register 37 Foreign private issuers that do not report on For a further discussion of the application of the securities to be offered and sold to consultants only domestic issuer forms, such as Form 10–K and Form S–8 amendments to foreign private issuers, if they are natural persons who provide bona fide Form 10–Q, are not subject to this requirement to see the discussion in Section II.E., below. services to the registrant that ‘‘are not in connection report the transaction on Form 8–K. Rather, foreign 39 15 U.S.C. 78l(g). with the offer or sale of securities in a capital private issuers will report the transaction on Form 40 See letters from L. Stephen Albright, American raising transaction, and do not directly or indirectly 20–F. See the discussion in Section II.E., below, Society of Corporate Secretaries, David N. Feldman, promote or maintain a market for the registrant’s with regard to the Exchange Act reporting Conrad C. Lysiak, James B. Parsons, John L. securities.’’ requirements for a foreign private issuer that is a Petersen, Jay Sanet, and Michael T. Williams. 47 See Release No. 33–7646, Registration of shell company and completes a transaction that 41 See letters from James B. Parson, John L. Securities on Form S–8 (Feb. 26, 1999) [64 FR causes it to cease being a shell company. Petersen, and Michael T. Williams. 11103].
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justifies the burdens or costs that might companies will help to deter fraud and period of time between the date the be incurred. Accordingly, an entity may abuse. Further, the commenters that registrant files its initial Form 8–K use Form S–8 to register offerings of indicated that shell companies should reporting the event and the date when securities pursuant to employee benefit be eligible to use Form S–8 for offering the registrant is required to file financial plans only if: securities to officers, directors, and information about the transaction. We • Immediately before the time of employees provided only limited believed that the elimination of the 71- filing the registration statement, the explanation as to why this practice day window would provide investors in entity is subject to the requirement to should continue for all shell companies. operating businesses newly merged with file reports pursuant to Section 13 or The prohibitions on the use of Form shell companies with a level of Section 15(d) of the Exchange Act; S–8 that we are adopting today will not information that is equivalent to the • The entity has filed all reports and prevent a shell company from information provided to investors in other materials required to be filed by registering offers and sales of securities reporting companies that did not Section 13 or Section 15(d) of the pursuant to employee benefit plans originate as shell companies. The Exchange Act during the preceding 12 under the Securities Act; rather, they purpose for requiring this financial months (or for such shorter period that will require the shell company to information at the time of the initial the registrant was required to file such register those transactions on a filing of the Form 8–K report was to reports and materials); registration statement form other than decrease opportunities to engage in • The entity is not a shell company Form S–8. In addition, the shell fraudulent and manipulative activity and has not been a shell company for at company may be able to offer and sell during the 71-day window period. least 60 days before filing the those securities without registration 2. Comments on the Proposal registration statement; and pursuant to an available exemption • If the entity has been a shell under the Securities Act. We are aware The comments responding to the company at any time, it has filed current that a different registration statement Form 8–K proposal were varied. Four ‘‘Form 10 information’’ with the form may not provide the same ease of commenters expressed concern with the Commission at least 60 days previously registration as Form S–8 and that the difficulty of preparing the required reflecting its status as an entity that is resale of securities originally sold in a information and completing the filing of not a shell company.48 the required disclosure on Form 8–K transaction that is exempt from 52 We have included exceptions to the Securities Act registration likely would within four days. Three commenters Form S–8 prohibition to permit its use be treated differently under Securities also expressed concern over the amount of disclosure that was proposed to be by certain shell companies that appear Act Rule 144 50 than securities sold to included in the Form 8–K.53 Each of to present less potential for abuse. We employees in a registered transaction. those commenters believed that less proposed to permit certain shell We believe that the benefits of this information than the information companies that were used to change amendment in preventing misuse of equivalent to that required in a Form 10 corporate domicile to use Form S–8 Form S–8, deterring fraud, and or Form 10–SB would be adequate. Two immediately after they cease being shell protecting investors substantially justify of the commenters suggested that a level companies and file ‘‘Form 10 the potential disadvantages for shell of information similar to that required information.’’ We are maintaining this companies. provision. In response to comments, we under Exchange Act Schedule 14A 54 also are permitting certain shell D. Exchange Act Form 8–K would be adequate,55 with the other commenter expressing the view that it companies that were formed solely to 1. Discussion of the Proposal effect business combination transactions would be appropriate to require only to use Form S–8 immediately after they We proposed amendments to Form 8– certain of the Form 10 or Form 10–SB cease being shell companies and file K to require a shell company (other than information.56 Two commenters ‘‘Form 10 information.’’ We have taken a foreign private issuer) to make a more suggested that the shell company be two steps to accomplish these prompt and detailed filing upon permitted to delay filing its required exceptions. First, we have defined completion of a transaction otherwise disclosure if there was no trading in its ‘‘business combination related shell required to be reported on that form that securities.57 One of these commenters company,’’ as discussed previously, to causes it to cease being a shell company. suggested retaining the 71-day window, identify the subset of shell companies Specifically, the shell company would but limiting the trading in the shell that qualify for the exception. Second, have been required to file a current company’s securities by specified we are providing in Form S–8 that a report on Form 8–K containing the persons during that window.58 business combination related shell information that would be required in a Eight commenters supported the company may use Form S–8 registration statement on Form 10 or adoption of the Form 8–K proposal to immediately upon ceasing to be a shell Form 10–SB to register a class of provide information to investors and securities under Section 12 of the deter fraud and abuse by shell company and filing ‘‘Form 10 59 information.’’ 49 Exchange Act. We proposed that a companies. The commenters We believe the amendments we are company be required to file this report 52 adopting today are appropriate, as we on Form 8–K within four business days See letters from L. Stephen Albright, David N. after completion of the transaction, Feldman, Mike Liles, Jr., and James B. Parsons. continue to see misuse of Form S–8 by 53 See letters from L. Stephen Albright, David N. shell companies and believe that consistent with the timeframe for most Feldman, and James M. Schneider. prohibiting the use of Form S–8 by shell Form 8–K filings. 54 17 CFR 240.14a–101. We proposed elimination of the 55 See letters from L. Stephen Albright and James 48 For purposes of Form S–8, we define the term additional 71-day ‘‘window’’ for filing M. Schneider. ‘‘Form 10 information’’ to mean the information required financial information in a Form 56 See letter from David N. Feldman. that is required by Form 10, Form 10–SB, or Form 57 See letters from David N. Feldman and Mike 8–K report filed pursuant to Item 2.01 Liles, Jr. 20–F, as applicable to the registrant, to register 51 under the Exchange Act each class of securities of that form. This window is the 58 See letter from Mike Liles, Jr. being registered on the Form S–8. 59 See letters from L. Stephen Albright, Nathan 49 See new General Instruction A.1.(a)(7) to Form 50 17 CFR 230.144. Garnett, Simon M. Lorne, North American S–8. 51 See Item 9.01 of Form 8–K. Securities Administrators Association, Inc., James
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supported the proposed rulemaking as These transactions will fall within the obtaining audited financial statements an opportunity for the Commission to requirements of either or both of Item for the operating business in such a provide a disincentive for shell 2.01 and Item 5.01 of Form 8–K.65 Upon transaction should not present the company abuse. Four commenters completion of this type of transaction, difficulties that caused us to provide the supported closing the 71-day window, the surviving entity will be required to extended filing window for business on the grounds that this would deter file a current report on Form 8–K combinations involving reporting fraud and abuse.60 Two of these containing the information, including companies with operations.68 commenters suggested that the financial information, that would be We believe that prompt and proper Commission consider a compromise of required in a registration statement on disclosure of Exchange Act registration- between 15 and 45 days.61 One of these Form 10 or Form 10–SB to register a level information at the time of shell commenters stated that the financial class of securities under Section 12 of company transactions will deter abuse statements are ‘‘vital to an the Exchange Act, with that information and provide investors with information understanding’’ of the transaction and reflecting the surviving entity and its necessary for their investment that the closing of the merger securities upon consummation of the decisions. Accordingly, we believe it is transaction should be delayed until transaction.66 appropriate to require Form 10 or Form such time as the financial statements are We are requiring that the surviving 10–SB information, as applicable, in the properly prepared.62 entity file its report on Form 8–K within Form 8–K. This level of disclosure will four business days after completion of 3. Final Rule provide investors in operating the transaction that it is required to businesses newly merged with shell We are adopting the Form 8–K report. While we understand the companies with prompt and detailed amendments substantially as proposed. concerns of commenters regarding this disclosure that is equivalent to the The amendments to Form 8–K will timeframe, we believe the timeframe is 63 information provided to investors in require the surviving entity in a appropriate because shell companies reporting companies that register under transaction where a shell company and their counsel control the pace and the Exchange Act rather than reaching ceases being a shell company to make a timing of these transactions. Given the the same result through a transaction more specific and detailed filing upon concerns unique to shell company with a reporting shell company. completion of such a transaction that is transactions, we believe shell We are adding new Item 5.06 to Form required to be reported on that form.64 companies should complete a 8–K.69 New Item 5.06 will require a transaction that is required to be shell company that completes a B. Parsons, John Peterson, Stoecklein Law Group, reported only when they can timely transaction in which it ceases being a and Michael T. Williams. provide investors with adequate 60 shell company to file a report under that See letters from L. Stephen Albright, James B. information to make informed Parsons, North American Securities Administrators Item reporting the material terms of the investment decisions.67 Moreover, Association, Inc., and Stoecklein Law Group. transaction. If the shell company is not 61 See letters from L. Stephen Albright and James the surviving entity in the transaction in B. Parsons. we are adopting today, it also could occur when the 62 See letter from Stoecklein Law Group. shell company acquires more than nominal assets which it ceases to be a shell company, 63 If a class of securities of an issuer succeeds, by (other than cash or cash equivalents). Requiring the surviving entity would succeed to operation of Exchange Act Rule 12g–3, to the prompt and detailed disclosure in a Form 8–K filing the shell company’s obligation to registration under Exchange Act Section 12 of a will provide investors in operating businesses comply with Item 5.06.70 New Item 5.06 class of the shell company’s securities, thus causing newly merged with shell companies with a level of that successor issuer to succeed to the registrant’s information that is equivalent to the information will allow market participants and reporting obligation under Exchange Act Section provided to investors in reporting companies that regulators to more easily identify Form 13, or if an issuer succeeds, by operation of did not originate as shell companies. 8–K filings regarding shell company Exchange Act Rule 15d–5, to the shell company’s 65 Where an operating company acquires a shell transactions and to more completely reporting obligation under Exchange Act Section company and the operating company survives the 15(d), the successor issuer will then succeed to the transaction, the operating company will have understand the terms of those shell company’s obligation to file the required acquired control of the shell for purposes of the transactions. information in a report on Form 8–K. If neither of definition of ‘‘succession’’ under amended Business combination related shell the events described in the previous sentence occur, Exchange Act Rule 12b–2. The operating company, the shell company will be obligated to file the as the surviving entity, will be required to file a companies will not be subject to the required information in a report on Form 8–K. For Form 8–K under Item 5.01. The transaction will requirements of Item 5.06. We believe ease of discussion in this section, we refer to the constitute a change in control of the shell company this will enhance the use of Item 5.06 entity that is obligated to file the required whether or not shareholders of the operating as a means by which market information in a report on Form 8–K as the company before the transaction control the ‘‘surviving entity.’’ In the back door registration surviving entity following the transaction. participants and regulators may identify context, the surviving entity’s securities must meet 66 That Form 8–K need not, however, contain filings on Form 8–K relating to shell all of the conditions of Exchange Act Rule 12g–3 registration-level information if that information company transactions that are not for those securities to be deemed registered under previously has been included in an effective change in domicile transactions or the same paragraph of Exchange Act Section 12 registration statement under the Securities Act. In under which the shell company’s securities were that instance, the Form 8–K could merely reference registered. For example, if the number of record the Securities Act registration statement that 68 See Release No. 33–6578, Business holders of the surviving entity’s securities is less contains the required information. This same Combination Transactions; Adoption of than 300, the securities of the surviving entity will principle will apply to information that previously Registration Form (Apr. 23, 1985) [50 FR 18990]. not succeed automatically by operation of Exchange was included in a filing under the Exchange Act. 69 Foreign private issuers generally are not Act Rule 12g–3 to the reporting status of the shell We have amended Form 8–K to make this clear. required to file reports on Form 8–K. See Exchange company’s securities. Instead, the surviving entity 67 As suggested by commenters, we considered Act Rule 13a–11(b) [17 CFR 240.13a–11(b)] and would be required to file a Form 10 or 10–SB if it imposing a trading ban on the securities of shell Exchange Act Rule 15d–11(b) [17 CFR 240.15d– wishes to register the securities under Exchange Act companies that have ceased being shell companies 11(b)]. Accordingly, we have not extended the Section 12. Similarly, under Exchange Act Rule and have not filed the required financial statements, requirements of Item 5.06 to foreign private issuers. 15d–5, the surviving entity will be considered the with the trading ban imposed until the converted For a discussion of the reporting requirements of successor issuer by operation of Exchange Act Rule shell company files its audited financial statements. foreign private issuers, see Section II.E., below. 15d–5 unless the surviving entity is exempt from We have not included such a provision in the final 70 The surviving entity in a transaction where a filing reports or the duty to file reports is suspended rule, as we believe that the information required in shell company ceases being a shell company most under Section 15(d) of the Exchange Act. the Form 8–K will have the same effect of informing likely will have to comply with other Items of Form 64 In most cases, this will occur when the shell the market before trading and will not present the 8–K, as discussed above, in addition to Item 5.06. company acquires or is acquired by an operating practical implementation issues that would be The registrant could file a single Form 8–K business. Under the definition of ‘‘shell company’’ presented by a trading ban. responding to all applicable Items.
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business combination transactions periodic reporting requirements under above regarding the application of Item among non-shell companies. the Exchange Act generally are not 5.06 of Form 8–K, we are not extending We solicited comment as to whether required to file current reports on Form the requirements of Exchange Act Rule we should take steps to make shell 8–K.74 Instead, these issuers submit 13a–19 or Rule 15d–19 to foreign company transactions more easily material current information on Form 6– private issuers that are business identifiable. One commenter responded K.75 In the proposing release, we combination related shell companies. to this request.71 That commenter requested comment on alternative Exchange Act Rule 12b–25 permits a supported improved identification of approaches with respect to disclosure foreign private issuer, subject to certain shell company transactions and requirements for foreign private issuer conditions, to extend the due date of its expressed the view that it would be shell companies, including the filing of an annual or transition report beneficial to ‘‘establish a mechanism appropriate form on which they should on Form 20–F.79 Exchange Act Rule that identifies those reporting disclose a transaction with an operating 12b–25 does not provide an extension of companies that fall into the definition of business. We did not receive comments the due date for filing a current report shell company * * *’’ 72 Because in response to this request. on Form 8–K. As the reports on Form companies other than shell companies While we believe that foreign private 20–F that are to be filed under Exchange may file reports on Form 8–K under issuer shell companies should be Act Rule 13a–19 or Rule 15d–19 are Item 2.01 or Item 5.01, we believe that subject to the disclosure and timing neither annual reports nor transition it is appropriate to add an Item requirements of the rules relating to reports, Exchange Act Rule 12b–25 does requirement to Form 8–K that is specific shell companies, we believe those not provide an extension of the due date to shell companies other than business issuers should report on Form 20–F for their filing. Because the reports on combination related shell companies. rather than Form 8–K. Accordingly, we Form 20–F that are to be filed under are adopting new Exchange Act Rules Exchange Act Rule 13a–19 or Rule 15d– E. Shell Companies That Are Foreign 13a–19 and 15d–19. Under these new 19 are more in the nature of a current Private Issuers rules, a foreign private issuer that was report, we believe that the extension 1. Form S–8 a shell company immediately before permitted under Exchange Act Rule entering into a transaction that causes it 12b–25 should not be available to those Some foreign private issuers that are to cease being a shell company must Form 20–F reports and we have not registered with the Commission may fall report that transaction on a current basis added language to Exchange Act Rule within the definition of shell company on Form 20–F.76 That report must 12b–25 to provide such an extension.80 that we are adopting today. A shell contain the same information that Exchange Act Rules 13a–14(a) and company that is a foreign private issuer would be required in a registration 15d–14(a) currently require, among is subject to the new rules regarding the statement on Form 20–F used to register other things, that ‘‘each report’’ on Form use of Form S–8. We proposed that, as the classes of the foreign private issuer’s 20–F must include, as an exhibit, with a domestic shell company, a securities that are subject to the specified certifications of the foreign foreign private issuer shell company reporting requirements of Section 13 or private issuer’s principal executive and would be ineligible to file a registration Section 15(d) of the Exchange Act, and principal financial officers. Form 20–F statement on Form S–8 until 60 days must be filed within four business days is a multi-function form that may be after ceasing to be a shell company and of the completion of the transaction used as a registration statement or a filing the ‘‘Form 10 information’’ that being reported.77 Because we believe report. We believe that a Form 20–F the issuer would file if that issuer were that better identification of shell required to be filed under new Exchange registering a class of securities under the company transactions is a key element Act Rule 13a–19 or new Exchange Act Exchange Act. For a foreign private in deterring fraud, we are adding a Rule 15d–19 is more similar to a issuer, the proposal defined ‘‘Form 10 check box to the cover page of Form 20– registration statement on that Form than information’’ to mean the information F that a foreign private issuer must mark a report on that Form, and that the required by Form 20–F to register the when filing a Form 20–F under information is being provided on a class of securities under the Exchange Exchange Act Rule 13a–19 or Rule 15d– current basis in a manner similar to that Act. 19.78 For the same reasons discussed required by Form 8–K. As such, we have We did not receive comments on the added language to Exchange Act Rules proposed amendments to Form S–8 as 74 See Exchange Act Rules 13a–11(b) and 15d– 13a–14(a) and 15d–14(a) excluding from they relate to foreign private issuers. For 11(b). A foreign private issuer shell company that the requirements of those paragraphs purposes of Form S–8, we are adopting engages in a transaction that causes it to lose its status as a foreign private issuer at the same time reports that are filed on Form 20–F the definition of ‘‘Form 10 information,’’ it ceases to be a shell company would have to under either new Exchange Act Rule when applicable to foreign private comply with the requirements of Form 8-K that are 13a–19 or new Exchange Act Rule 15d– issuers, to mean information required by applicable to domestic companies. 19. Form 20–F.73 75 17 CFR 249.306. See Exchange Act Rule 13a– 16 [17 CFR 240.13a–16] and Exchange Act Rule F. Shell Company Check Box on 2. Exchange Act Reporting of 15d–16 [17 CFR 240.15d–16]. Exchange Act Reports Transactions That Cause a Foreign 76 Foreign private issuers that have elected to In the proposing release, we asked Private Issuer To Cease Being a Shell report on domestic issuer forms, such as Form 10– K and Form 10–Q, should file the required specifically for comment on whether we Company information on Form 8–K and not Form 20–F. should make reports on Form 8–K Unlike domestic issuers, foreign 77 See the discussion in footnotes 18, 63, and 70 reporting shell company transactions regarding the reporting obligation of successor private issuers that are subject to the issuers. 78 As with the periodic report forms for shell include any transition reports on that Form. In this 71 See letter from North American Securities companies that are not foreign private issuers, we regard, see the discussion in Section II.F., below. Administrators Association, Inc. also have included a check box on the cover of 79 17 CFR 240.12b–25. 72 See id. Form 20–F that requires a foreign private issuer to 80 We have included language in Form 20–F to 73 As with domestic issuers, the amendment to indicate, in any annual report on that form, that it make clear that Exchange Act Rule 12b–25 does not Form S–8 makes clear that this ‘‘Form 10 is a shell company. The new check box indicates apply to reports required to be filed on that form information’’ of the foreign private issuer may be that it is required where the report on Form 20–F under new Exchange Act Rule 13a–19 or new included in any filing with the Commission. is an ‘‘annual report.’’ This requirement would Exchange Act Rule 15d–19.
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easier for market participants and requirement unless it displays a companies,87 but a third commenter regulators to identify. In response to this currently valid control number. stated that the proposed amendments to request, one commenter indicated that Form 8–K would not increase costs.88 A. Summary of Amendments rulemaking to accomplish this purpose One of these commenters indicated would be appropriate.81 That We are adopting rules and rule that the acceleration of work by legal commenter also expressed the view that amendments relating to filings by and accounting professionals would the cover page of periodic report forms reporting shell companies. Under the substantially increase costs, but did not should include a means, such as a check new rules, we define a ‘‘shell company’’ clearly explain why acceleration of the box, by which filers would be required as a registrant (other than an asset- work would have this effect.89 Another to identify themselves as shell backed issuer) with no or nominal commenter expressed the view that the companies.82 We believe better operations and either no or nominal Form 8–K cost burden estimate was too identification of shell companies and assets, assets consisting solely of cash low.90 This commenter stated that, in its shell company transactions is a key and cash equivalents, or assets experience, outside counsel performs element to deterring fraud. Accordingly, consisting of any amount of cash and 75% of the work to complete a Form 8– we are adopting amendments to Form cash equivalents and nominal other K report, not the 25% estimate in the 10–Q, Form 10–QSB, Form 10–K, Form assets. We also prohibit the use of Form proposing release.91 This commenter 10–KSB, and Form 20–F to add a box on S–8 by shell companies. We are estimated that the Form 8–K cost the cover page of those forms that the amending Form 8–K to require a shell burden would triple but did not believe registrant must mark to indicate company, when reporting an event that that the higher cost burden would create whether or not it is a ‘‘shell causes it to cease being a shell company, an unnecessary obstacle to legitimate company.’’ 83 The identification of shell to file with the Commission the same transactions.92 This commenter did not company or non-shell company status type of information that it would be provide evidence to suggest that its on the cover page of these forms will required to file to register a class of estimates would apply to all shell constitute required disclosure that is securities under the Exchange Act. In companies. Our estimates of the average subject to all applicable federal addition, we are amending Form 8–K to number of hours each entity spends securities laws. add new Item 5.06. Item 5.06 will completing the affected forms, require a registrant that is a shell allocation of burden between outside III. Paperwork Reduction Act company (other than a business counsel and internal personnel, and the The amendments affect Securities Act combination related shell company) to average hourly rate for outside securities Form S–8, Form SB–2, Form S–1, and report under that Item when it ceases counsel were obtained by contacting a Form F–1 and Exchange Act Form 8–K, being a shell company. We are adding number of law firms and other persons Form 10–Q, Form 10–QSB, Form 10–K, new Exchange Act Rules 13a–19 and regularly involved in completing the Form 10–KSB, and Form 20–F, which 15d–19 to require disclosure on Form forms. Therefore, we are not modifying contain ‘‘collection of information’’ 20–F when a foreign private issuer that the proposed cost burden estimate for requirements within the meaning of the is a shell company (other than a Form 8–K. Paperwork Reduction Act of 1995.84 In business combination related shell C. Form S–8 the proposing release, we requested company) completes a transaction that comments on the proposed changes to causes it to cease to be a shell The amendment prohibiting shell these collection of information company.86 Finally, we are adding companies from using Securities Act requirements,85 and the Office of check boxes to the cover pages of Form Form S–8 will require these companies Management and Budget (‘‘OMB’’) has 10–Q, Form 10–QSB, Form 10–K, Form to use a less streamlined form, such as approved the changes. The titles of the 10–KSB, and Form 20–F for the Form SB–2, Form S–1, or Form F–1 to affected collections of information registrant to identify itself as a shell register offerings that they otherwise requirements are: Form S–8 (OMB company. might have registered on Form S–8. A Control No. 3235–0066), Form SB–2 These amendments are intended to company that ceases to be a shell (OMB Control No. 3235–0418), Form S– protect investors by deterring fraud and company will be eligible to file a Form 1 (OMB Control No. 3235–0065), Form abuse in our public securities markets S–8 registration statement 60 days after F–1 (OMB Control No. 3235–0258), through the use of shell companies. it ceases to be a shell company and files Form 8–K (OMB Control No. 3235– Compliance with the amended information equivalent to the 0060), Form 10–Q (OMB Control No. disclosure requirements is mandatory. information that it would be required to 3235–0070), Form 10–QSB (OMB There is no mandatory retention period file if the company were registering a Control No. 3235–0416), Form 10–K for the information disclosed and class of securities under the Exchange (OMB Control No. 3235–0063), Form responses to the disclosure Act. In the proposing release, we 10–KSB (OMB Control No. 3235–0420), requirements will not be kept estimated that this change would reduce and Form 20–F (OMB Control No. 3235– confidential. the number of Form S–8 registration 0288). An agency may not conduct or statements by approximately 5%, and sponsor, and a person is not required to B. Summary of Comment Letters and would increase the number of Form SB– respond to, a collection of information Revisions to Proposals 2 and Form S–1 registration statements We requested comment on the PRA filed by a corresponding amount. We 81 See letter from North American Securities analysis contained in the proposing received no comments on these Administrators Association, Inc. release. Two commenters stated their estimates. With respect to Form S–8, we 82 See id. belief that the proposed amendments estimate that 50% of the burden of 83 Further, as discussed above, we have added new Item 5.06 to Form 8–K to allow market would increase costs to shell 87 participants and regulators to identify transactions See letters from L. Stephen Albright and Stoecklein Law Group. by shell companies, other than business 86 We believe that a foreign private issuer shell 88 combination related shell companies. company merging with a domestic operating See letter from Nathan Garnett. 89 84 44 U.S.C. 3501 et seq. business rarely will be able to keep its foreign See letter from L. Stephen Albright. 85 Release No. 33–8407, Use of Form S–8 and private issuer status. We do not expect the number 90 See letter from Stoecklein Law Group. Form 8–K by Shell Companies (Apr. 15, 2004) [69 of these transactions to have any quantifiable effect 91 See id. FR 21650]. on the estimates included in this section. 92 See id.
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preparing the form is borne by the D. Form 8–K The amendments to Item 2.01 and company’s internal staff and that the Item 5.01 will increase the amount of Form 8–K prescribes information other 50% represents work performed information that a former shell company about important corporate events that a by outside securities counsel retained must include in the form, but not the company must disclose on a current by the company at an average rate of number of filings. In our fiscal year basis. Form 8–K also may be used, at a 2004, companies that categorized $300 per hour. With respect to Form company’s option, to report any event SB–2, Form S–1, and Form F–1, we that the company deems to be of themselves as ‘‘blank check companies’’ estimate that 25% of the burden of importance to its shareholders. using the relevant SEC Standard preparing the form is borne by the Industrial Classification (SIC) Code We currently estimate that Form 8–K company’s internal staff and that 75% of disclosed 31 transactions under Item results in a total annual compliance the burden represents work performed 2.01 of Form 8–K. We also have burden of 311,565 hours and an annual by outside securities counsel at the rate identified 63 back door registration cost of $31,156,500. We estimate the of $300 per hour. number of Form 8–K filers to be filings during fiscal year 2004 that We do not expect that shell approximately 12,000, based on the would be required to be filed on an companies that are prohibited from actual number of Form 10–K and Form expanded Form 8–K under the new using Form S–8 are likely to register 10–KSB filers during the Commission’s requirements. We believe the combined securities that they otherwise would 2004 fiscal year. For purposes of this total of 94 of these filings is a proper have registered on Form S–8 on a analysis, we estimate that the number of estimate of the total number of Item 2.01 registration form that does not become reports on Form 8–K filed annually is and Item 5.01 filings and have used that effective automatically and requires the 83,084. We estimate that each entity number of filings for purposes of this filing of substantially more complete currently spends, on average, analysis. information. However, shell companies approximately five hours to complete We believe that the additional that wish to register offerings of their Form 8–K. We estimate that 75% of the information we are requiring shell securities under the Securities Act burden is borne by the company and companies to include in a Form 8–K could instead file on Form SB–2, Form that 25% of the burden is borne by filed under Item 2.01 or Item 5.01 of S–1, or Form F–1. We estimate that a outside securities counsel retained by Form 8–K is analogous to information maximum of 5% of the number of Form the company at an average cost of $300 required by Form 10–SB because the S–8 registration statements filed in our per hour. substantial majority of shell companies fiscal year 2004 (4,000 × .05 = 200 We are amending Form 8–K to add will be small business issuers. filings) will be filed on Form SB–2, Item 5.06, which will require a Currently, we estimate that it takes 133 Form S–1, or Form F–1 instead. We also registrant that is a shell company (other hours to complete a Form 10–SB. expect 95% of these 200 filings by shell than a business combination related Therefore, we estimate that it will take companies that choose to file another shell company) that engages in a a shell company 133 hours to prepare registration statement in lieu of Form S– transaction that changes its status as a the information that we are requiring 8 will use Form SB–2, thereby shell company to file a report on Form the company to provide in a Form 8–K increasing the number of Form SB–2 8–K. As noted below, we estimate that report when it reports a transaction that filings by 190 (200 filings × .95). We 94 of these transactions occurred in causes it to cease being a shell company. further estimate that the number of fiscal year 2004. All of these 94 We estimate that the company will bear Form S–1 registration statements will transactions would be required to be 75% of the burden and that 25% of the reported pursuant to Item 5.06 of Form increase by 8 (200 filings × .04). We burden will be borne by outside 8–K. Because each of these transactions estimate that the number of Form F–1 securities counsel retained by the already would have been required to be registration statements will increase by company at an average rate of $300 per × reported on Form 8–K pursuant to Item hour. We estimate that the burden in 2 (200 filings .01). As a result, we 2.01 or Item 5.01 of that Form, we do this type of Form 8–K filing will estimate that the Form S–8 reporting not believe that Item 5.06 will add increase by 12,502 hours (133 hours per burden will decrease by 2,400 hours additional burdens or costs. (200 filings × 24 hours per filing × .50) filing × 94 required filings). Therefore, Under the revisions to Item 2.01 and and the annual cost will decrease by the annual Form 8–K reporting burden Item 5.01 of Form 8–K that we are $720,000 (200 filings × 24 hours per will increase by 9,377 hours (12,502 adopting today, a shell company will be filing × $300 per hour × .50). The Form total hours × .75) and the annual cost required to make a more specific and SB–2 reporting burden will increase by burden will increase by approximately × detailed filing on Form 8–K when it $937,650 (12,502 total hours × $300 per 28,168 hours (190 filings 593 hours reports a transaction that causes it to per filing × .25), with an annual cost hour × .25). × cease being a shell company. increase of $25,350,750 (190 filings Specifically, the shell company will We are adopting several modifications × × 593 hours per filing $300 per hour need to file a Form 8–K that contains to our proposals, but none of these .75). We estimate that the Form S–1 the information that would be required affects our burden estimates associated reporting burden will increase by 2,204 in an initial registration statement on with the amendments. One modification × hours (8 filings 1,102 hours per filing Form 10 or Form 10–SB to register a is that a registrant will be required to × .25) with an annual cost increase of class of securities under Section 12 of check a box on its Form 10–Q, Form 10– $1,983,600 (8 filings × 1,102 hours per the Exchange Act. The company will be QSB, Form 10–K, Form 10–KSB, or filing × $300 per hour × .75). Finally, we required to file the Form 8–K within Form 20–F indicating whether or not it estimate that the Form F–1 reporting four business days after the closing of is a shell company as defined in Rule burden will increase by 905 hours (2 the transaction. This amendment will 12b–2 under the Exchange Act. We filings × 1,809 hours per filing × .25) eliminate the 71-day window during believe that this and other changes that with an annual cost increase of which financial information required to we have made to the proposals do not $814,050 (2 filings × 1,809 hours per be included in the report can be filed by affect the total amount of burden hours filing × $300 per hour × .75). a shell company currently. or costs imposed by the forms.
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E. Form 20–F A. Form S–8 • Decreased cost from decreasing the number of Form S–8 filings by 200 = 1. Costs of Form S–8 Amendments The amendments to Form 20–F $1,140,000 98 equals require a foreign private issuer that is a A shell company no longer will be • Total cost of amendments to Form shell company to file a report on Form eligible to use Form S–8 to register S–8 = $32,481,701 20–F after completion of a transaction offerings of securities in connection 2. Benefits of Form S–8 Amendments that causes it to cease being a shell with employee benefit plans. We believe company. The Form 20–F is a multi- it generally is inconsistent with shell Shell companies often have used function form used by foreign private company status to have a legitimate use offerings registered on Form S–8 for issuers. for employee benefit plans. However, fraudulent and manipulative purposes. where such a plan exists, a shell These amendments disqualify shell We estimate that there were 1,240 company will continue to be eligible to companies from using Form S–8. The foreign private issuers that were use Form SB–2, Form S–1, or amendments also require a shell registered and reporting with the Form F–1 to offer securities in company (other than a business Commission as of December 31, 2004.93 connection with an employee benefit combination related shell company) that We estimate that each entity currently plan. A shell company also may be ceases to be a shell company to wait 60 spends, on average, approximately 2,615 entitled to rely on certain exemptions days after it ceases to be a shell hours to complete Form 20–F (3,242,600 from the registration requirements of the company and files information that is total hours / 1,240 filings = 2,615 hours Securities Act. Thus, shell companies equivalent to the information contained per filing). We estimate that 25% of the will continue to be able to offer in an Exchange Act registration burden is borne by the company and securities under employee benefit plans. statement before it becomes eligible to that 75% of the burden is borne by They cannot, however, take advantage use Form S–8. This amendment will outside securities counsel retained by of Form S–8, which is a streamlined make it more difficult for shell the company at an average cost of $300 registration statement form with companies to use Form S–8 for per hour. automatic effectiveness. Moreover, the fraudulent purposes, and is consistent securities that are offered and sold in with the full disclosure purpose of the We estimate that Form 20–F results in reliance on an exemption from federal securities laws. a total annual compliance burden of Securities Act registration may be 810,650 hours (2,615 hours per filing × B. Form 8–K × subject to restrictions on resale. This 1,240 filings .25) and an annual cost may impose costs on shell companies 1. Costs of Form 8–K Amendments of $729,585,000 (2,615 hours × 1,240 that are difficult to quantify. a. New Item 5.06 of Form 8–K filings × $300 × .75%). As we discuss We estimate that the cost of shell above, we have estimated that there will companies no longer being eligible to We are amending Form 8–K to add be 94 shell company transactions use Form S–8 in connection with Item 5.06, which will require a reported annually on Form 8–K. As employee benefit plans is the difference registrant that is a shell company (other approximately 10% of reporting between the cost of 200 Form S–8 filings than a business combination related companies are foreign private issuers, and the cost of filing those 200 shell company) that engages in a transaction that changes its status as a we estimate that foreign private issuer registration statements on Form SB–2, shell company to file a report on Form shell companies will file 10 reports on Form S–1, or Form F–1. Based on the × estimates presented above, these 8–K. As noted above, we estimate that Form 20–F (94 filings .10). As a result, 94 of these transactions occurred in we estimate that the Form 20–F amounts are: • Cost of increasing the number of fiscal year 2004. All of these 94 reporting burden will increase by 6,538 transactions would be required to be hours (10 filings × 2,615 hours per filing Form SB–2 filings by 190 = 95 reported pursuant to Item 5.06 of Form × .25), with an annual cost increase of $30,280,063; plus • Cost of increasing the number of 8–K. Because each of these transactions $5,883,750 (10 filings × 2,615 hours per Form S–1 filings by 8 = $2,369,300 96 already would have been required to be filing × $300 per hour × .75).94 plus reported on Form 8–K pursuant to Item 2.01 or Item 5.01 of that Form, we do IV. Costs and Benefits • Cost of increasing the number of Form F–1 filings by 2 = $972,338 97 not believe that Item 5.06 will add Today’s amendments are intended to minus measurable additional costs. protect investors by deterring fraud and b. Revised Items 2.01 and 5.01 of Form abuse in our securities markets through 95 We have estimated the company’s internal 8–K the use of reporting shell companies. costs at $175 per hour. Accordingly, we have calculated the cost of the increased burden that is We are revising Item 2.01 and Item However, we are sensitive to the costs borne by the registrant by multiplying the total 5.01 of Form 8–K. Under these × and benefits that result from our rules. number of hours for the 190 filings (190 filings revisions, a shell company will be In this section, we examine the costs 593 hours per filing × $175 per hour × .25 = $4,929,313). We have then added this amount to the required to make a more specific and and benefits of the amendments. $25,350,750 cost to the company (190 filings × 593 hours per filing × $300 × .75). number of hours for the 2 filings (2 filings × 1,809 93 See SEC Web site at http://www.sec.gov/ 96 We have estimated the company’s internal hours per filing × $175 per hour × .25 = $158,288). divisions/corpfin/internatl/companies.shtml. costs at $175 per hour. Accordingly, we have We have then added this amount to the $814,050 94 The estimate of 2,615 hours per filing for Form calculated the cost of the increased burden that is cost to the company (2 filings × 1,809 hours per 20–F reflects the fact that the form is used by borne by the registrant by multiplying the total filing × $300 × .75). foreign private issuers, regardless of the size of the number of hours for the 8 filings (8 filings × 1,102 98 We have estimated the company’s internal issuer. In estimating the increased annual burden hours per filing × $175 per hour × .25 = $385,700). costs at $175 per hour. Accordingly, we have and cost, we have continued to use this estimate of We have then added this amount to the $1,983,600 calculated the cost of the decreased burden that is 2,615 hours per filing, even though it is likely an cost to the company (8 filings × 1,102 hours per borne by the registrant by multiplying the total overstatement of the time necessary for a shell filing × $300 × .75). number of hours for the 200 filings (200 filings × company to complete the form, because we do not 97 We have estimated the company’s internal 24 hours per filing × $175 per hour × .50 = have a better estimate of the amount of time a costs at $175 per hour. Accordingly, we have $420,000). We have then added this amount to the smaller, less complex foreign private issuer would calculated the cost of the increased burden that is $720,000 decreased cost to the company (200 filings require to complete the form. borne by the registrant by multiplying the total × 24 hours per filing × $300 × .50).
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detailed filing on Form 8–K when it combined these amounts to determine that the company will bear 75% of the reports a transaction that causes it to that the annual increased cost of the burden at an average rate of $175 per cease being a shell company. requirements in revised Item 2.01 and hour and that 25% of the burden will Specifically, the shell company will Item 5.01 will be $2,578,625 ($1,640,975 be borne by outside securities counsel need to file a Form 8–K that contains + $937,650). retained by the company at an average the information that would be required rate of $300 per hour. Therefore, the 2. Benefits of Form 8–K Amendments in an initial registration statement on annual Form 20–F reporting burden Form 10 or Form 10–SB to register a The benefit of the Form 8–K being borne by the company will result class of securities under Section 12 of amendments is more timely and in an increased annual cost for Form the Exchange Act. The company will be enhanced disclosure for the protection 20–F of $1,144,150.103 As estimated required to file the Form 8–K within of investors and increased integrity of previously, the revisions to Form 20–F four business days after the closing of the securities markets, especially the will result in an annual increased cost the transaction. This amendment also markets for securities of smaller of $5,883,750 (2,615 hours per filing × will eliminate the current 71-day companies. The Form 8–K amendments 10 filings × $300 per hour × .75). We window during which the financial are based on the premise that federal have combined these amounts to information can be filed by a shell securities regulation should promote determine that the annual increased cost company that is filing a report on Form full disclosure. The more timely and of the revisions to Form 20–F will be 8–K pursuant to Item 2.01.99 enhanced disclosure in Form 8–K filings $7,027,900 ($1,144,150 + $5,883,750). The amendments to Item 2.01 and is designed to provide investors in Item 5.01 will increase the amount of operating businesses that are newly 2. Benefits of Form 20–F Amendments information that a former shell company merged with shell companies with a Some foreign private issuers that are must include in the form but not the level of information that is equivalent to registered with the Commission may fall number of filings. As discussed above, the information provided to investors in within the definition of ‘‘shell we have estimated that there will be 94 reporting companies that register rather company.’’ We have decided to subject filings subject to these new than reaching a similar result through a foreign private issuer shell companies to requirements. transaction with a shell company. The essentially the same requirements as are We believe that the additional filing of this Form 8–K report is applied to domestic shell companies for information we are requiring shell intended to decrease the opportunity to the same reasons discussed above. The companies to include in a Form 8–K engage in fraudulent and manipulative benefit of this amendment is more filed under Item 2.01 or Item 5.01 of activity. timely and enhanced disclosure for the Form 8–K is analogous to information C. Form 20–F protection of investors. required by Form 10–SB. Currently, we estimate that it takes 133 hours to 1. Costs of Form 20–F Amendment V. Consideration of Impact on the Economy, Burden on Competition and complete a Form 10–SB. Therefore, we We estimate that 1,240 foreign private estimate that it will take a shell Promotion of Efficiency, Competition issuers were registered and filing reports and Capital Formation company 133 hours to prepare the with the Commission as of December information that we are requiring the 31, 2004.101 The amendments to Form Section 23(a)(2) of the Exchange 104 company to provide in a Form 8–K 20–F require a foreign private issuer that Act requires us to consider the anti- report when it reports a transaction that is a shell company (other than a competitive effects of any rules that we causes it to cease being a shell company. business combination related shell adopt under the Exchange Act. We estimate that the company will bear company) to file a report on Form 20– Exchange Act Section 23(a)(2) prohibits 75% of the burden at an average rate of F after completion of a business us from adopting any rule that would $175 per hour and that 25% of the combination with a formerly private impose a burden on competition not burden will be borne by outside operating business. While we do not necessary or appropriate in furtherance securities counsel retained by the believe it is likely that any foreign of the purposes of the Exchange Act. company at an average rate of $300 per private issuers that are shell companies Furthermore, Section 2(b) of the hour. Therefore, the annual Form 8–K would file a Form 20–F to register Securities Act 105 and Section 3(f) of the reporting burden being borne by the securities, it is possible. As discussed Exchange Act 106 require us, when we company will result in an increased above, we have estimated that there will are engaging in rulemaking that requires annual cost for Form 8–K of be 94 shell company transactions us to consider or determine whether an 100 $1,640,975. As estimated previously, reported on Form 8–K. As action is necessary or appropriate in the the revisions to Item 2.01 and Item 5.01 approximately 10% of reporting public interest, to consider whether the will result in an annual increased cost companies are foreign private issuers, for Form 8–K of $937,650 (12,502 total we estimate that foreign private issuer overstatement of the time necessary for a shell hours × $300 per hour × .25). We have company to complete the form, because we do not shell companies will file 10 reports on have a better estimate of the amount of time a Form 20–F as a result of the new 99 smaller, less complex foreign private issuer would Because this revision will affect only the timing requirements (94 filings × .10). require to complete the form. of filing and not the amount of financial 103 information required to be filed, we do not estimate As discussed above, we estimate that We calculated this amount in the following any additional costs as a result of the elimination each entity currently spends, on manner. First, we estimated that there would be a of the 71-day window. total annual increase in the Form 20–F burden of average, approximately 2,615 hours to 26,150 hours (2,615 filings × 10 filings). We 100 We calculated this amount in the following complete a Form 20–F.102 We estimate estimated that 25% of this annual increase in the manner. First, we estimated that there would be a Form 20–F burden would be borne by the company. total annual increase in the Form 8–K burden of 101 This portion of the increased burden equals 6,538 12,502 hours (133 hours per filing × 94 filings). We See SEC web site at http://www.sec.gov/ hours (26,150 total hours × .25). We multiplied this estimated that 75% of this annual increase in the divisions/corpfin/internatl/companies.shtml. 102 amount by $175 per hour to arrive at the annual Form 8–K burden would be borne by the company. The estimate of 2,615 hours per filing for Form × This portion of the increased burden equals 9,377 20–F reflects the fact that the form is used by increased cost of $1,144,150 (6,538 hours $175 hours (12,502 total hours × .75). We multiplied this foreign private issuers, regardless of the size of the per hour). amount by $175 per hour to arrive at the annual issuer. In estimating the increased annual burden 104 15 U.S.C. 78w(a)(2). increased cost of $1,640,975 (9,377 hours × $175 and cost, we have continued to use this estimate of 105 15 U.S.C 77b(b). per hour). 2,615 hours per filing, even though it is likely an 106 15 U.S.C. 78c(f).
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action will promote efficiency, A. Reasons for and Objectives of the requirements, the primary impact of the competition, and capital formation. Amendments Form 8–K amendments relates to the The purpose of these amendments is The purpose of the amendments is to timing of the filing. The amendments to deter fraud and reduce abuse of Form protect investors in shell companies and require foreign private issuers that are shell companies (other than business S–8 in shell company transactions and to deter fraud and abuse in our public combination related shell companies) to to enhance our reporting requirements securities markets through the use of shell companies. file reports on Form 20–F that are on Form 8–K (and Form 20–F with substantially similar to the reports on respect to foreign private issuers) with B. Significant Issues Raised by Public Form 8–K required by shell companies respect to transactions involving shell Comment that are not foreign private issuers. The companies. We anticipate that these The IRFA appeared in the proposing amendments also require shell amendments will improve the proper release. We requested comment on any companies to mark check boxes on the functioning of the capital markets. We aspect of the IRFA, including the cover sheet on Form 10–Q, Form 10– believe the amendments will enhance number of small entities that would be QSB, Form 10–K, Form 10–KSB, and investor confidence in the securities affected by the proposed amendments to Form 20–F. No other new reporting, markets and promote efficiency and Form S–8 and Form 8–K, and whether record keeping or compliance capital formation. We do not expect the these amendments would increase the requirements are imposed. The amendments to have any anti- reporting, record keeping and other amendments prohibit shell companies competitive effects. compliance requirements for small from using Form S–8. We solicited comment on these businesses. We did not receive any E. Agency Action To Minimize Effect on matters in the proposing release. We comments responding to this request. Small Entities received no comments on whether the C. Small Entities Subject to the The Regulatory Flexibility Act directs adoption of the proposals would have Amendments us to consider significant alternatives an adverse effect on competition that is The amendments will affect that would accomplish the stated neither necessary nor appropriate in companies that are small entities. objectives, while minimizing any furtherance of the purposes of the Exchange Act Rule 0–10(a) 109 defines significant adverse impact on small Securities Act or the Exchange Act. We an issuer, other than an investment businesses. In connection with the also did not receive any comments on company, to be a ‘‘small business’’ or proposal, we considered the following whether the proposed amendments, if ‘‘small organization’’ if it had total alternatives: adopted, would promote efficiency, assets of $5 million or less on the last (1) Establishment of differing competition, and capital formation. day of its most recent fiscal year. We compliance or reporting requirements or estimate that there are approximately timetables that take into account the VI. Final Regulatory Flexibility 2,500 issuers, other than investment resources available to small entities; Analysis companies, that would be considered (2) Clarification, consolidation, or simplification of compliance and This Final Regulatory Flexibility small entities as of the end of fiscal year 2004. The amendments will prohibit the reporting requirements for such small Analysis has been prepared in use of Securities Act Form S–8 by shell entities; accordance with the Regulatory (3) Use of performance rather than 107 companies and require shell companies Flexibility Act. This FRFA involves to have specific and detailed design standards; and amendments to Form S–8 under the information on file before being (4) An exemption from coverage of the Securities Act, Form 8–K, Form 10–Q, permitted to use Form S–8 when they amendments, or any part thereof, for Form 10–QSB, Form 10–K, Form 10– become an operating business and cease small entities. KSB, and Form 20–F under the being a shell company. We believe that With respect to Alternative (1), the Exchange Act, Rule 405 under the only a small percentage of the 2,500 amendment to Form S–8 will prohibit Securities Act and Rule 12b–2, Rule issuers that are small entities are shell shell companies from using the form. 13a–14, and Rule 15d–14 under the companies. The amendments will affect The amendments to Form 8–K will Exchange Act, as well as new Rule 13a– only shell companies. Because a shell shorten the time within which shell 19 and Rule 15d–19 under the Exchange company may have significant assets companies must file their required Act. The amendments will prohibit the consisting of cash and cash equivalents, financial disclosures from 71 calendar use of Form S–8 by shell companies and it is not certain that all shell companies days after the initial Form 8–K filing to four business days after completion of require a shell company that is reporting will be ‘‘small entities.’’ the transaction that causes them to cease an event that causes it to cease being a D. Reporting, Record Keeping, and being shell companies. It would be shell company to disclose the same type Other Compliance Requirements inappropriate to establish a more liberal of information that it would be required The amendments impose additional compliance standard for small to provide in registering a class of disclosure requirements on shell businesses given that the current securities under the Exchange Act. The companies by requiring them to provide standard applies to all public amendments also will define ‘‘shell additional business disclosure on Form companies; it is the current delay in the company.’’ An Initial Regulatory 8–K in addition to currently required filing of the required financial Flexibility Analysis was prepared in financial information. The amendments statements that permits and facilitates accordance with the Regulatory also require a company to report on abuse by shell companies. The Flexibility Act 108 in conjunction with Form 8–K when it becomes a shell amendments will increase costs only to the proposing release. The proposing company or when it ceases being a shell shell companies, not to all small release included the IRFA and solicited company (other than a business entities, by requiring former shell comments on it. combination related shell company). companies, upon making a significant Other than the additional disclosure acquisition, to file a Form 8–K 107 5 U.S.C. 604. containing the information that would 108 5 U.S.C. 603. 109 17 CFR 240.0–10(a). be required in an initial registration
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statement on Form 10 or Form 10–SB to small percentage of the total number of (iii) Assets consisting of any amount register a class of its securities under small entities. An exemption for small of cash and cash equivalents and Section 12 of the Exchange Act. entities would not achieve the desired nominal other assets. Most shell companies also will have result. to wait at least 60 days after ceasing to Note: For purposes of this definition, the VII. Statutory Basis and Text determination of a registrant’s assets be a shell company and filing required (including cash and cash equivalents) is information before using Form S–8 to The amendments are being adopted based solely on the amount of assets that register securities. Form S–8 is a pursuant to Sections 6, 7, 8, 10, 19, and would be reflected on the registrant’s balance registration statement used for employee 28 of the Securities Act, Sections 3, 10, sheet prepared in accordance with generally benefit plans, and shell companies 12, 13, 15, and 23 of the Exchange Act, accepted accounting principles on the date of typically have few, if any, employees. and Sections 3(a) and 302 of the that determination. Sarbanes-Oxley Act of 2002. Accordingly, the amendment does not * * * * * impose any inappropriate burdens on List of Subjects in 17 CFR Parts 230, small entities. 239, 240 and 249 PART 239—FORMS PRESCRIBED With regard to Alternative (2), the UNDER THE SECURITIES ACT OF 1933 amendments are clear and concise. Reporting and recordkeeping Prohibiting the use of Form S–8 by shell requirements, Securities. I 3. The authority citation for part 239 companies does not increase the Text of Amendments continues to read in part as follows: disclosure required unless a shell I Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s, company wants to offer employees In accordance with the foregoing, Title 77z–2, 77sss, 78c, 78l, 78m, 78n, 78o(d), securities pursuant to an employee 17, Chapter II of the Code of Federal 78u–5, 78w(a), 78ll(d), 79e, 79f, 79g, 79j, 79l, benefit plan. If the shell company has Regulations is amended as follows: 79m, 79n, 79q, 79t, 80a–8, 80a–24, 80a–26, employees and wants to offer them 80a–29, 80a–30, and 80a–37, unless securities under an employee benefit PART 230—GENERAL RULES AND otherwise noted. plan, it will have to comply with the REGULATIONS, SECURITIES ACT OF * * * * * substantially increased disclosure 1933 I 4. Amend § 239.16b by revising the requirements of Form SB–2, Form S–1, I 1. The authority citation for part 230 introductory text of paragraph (a) to read or Form F–1. We believe that most shell continues to read in part as follows: as follows: companies, given the limitations in the Authority: 15 U.S.C. 77b, 77c, 77d, 77f, definition of shell company on § 239.16b Form S–8, for registration under 77g, 77h, 77j, 77r, 77s, 77z–3, 77sss, 78c, 78d, the Securities Act of 1933 of securities to operations and assets, will not need to 78j, 78l, 78m, 78n, 78o, 78t, 78w, 78ll(d), be offered to employees pursuant to offer securities to employees pursuant to 78mm, 79t, 80a–8, 80a–24, 80a–28, 80a–29, employee benefit plans. employee benefit plans. The 80a–30, and 80a–37, unless otherwise noted. (a) Any registrant that, immediately amendment to Form S–8 requires most * * * * * prior to the time of filing a registration former shell companies to wait 60 days I 2. Amend § 230.405 by adding the statement on this form, is subject to the after ceasing to be a shell company and following definitions of Business requirement to file reports pursuant to filing the required disclosure before combination related shell company and section 13 (15 U.S.C. 78m) or 15(d) (15 becoming eligible to use Form S–8. Shell company in alphabetical order to U.S.C. 78o(d)) of the Securities During this 60-day period, the markets read as follows: Exchange Act of 1934; has filed all can absorb disclosure that has been reports and other materials required to provided by the newly merged operating § 230.405 Definitions of terms. be filed by such requirements during the company. This disclosure is comparable * * * * * preceding 12 months (or for such to that required of other reporting Business combination related shell shorter period that the registrant was companies, including ‘‘small entities.’’ company: The term business required to file such reports and The amendment to Form 8–K requiring combination related shell company materials); is not a shell company (as the filing of additional information means a shell company (as defined in defined in § 230.405 of this chapter) and within four business days increases the § 230.405) that is: has not been a shell company for at least amount of disclosure required and (1) Formed by an entity that is not a 60 calendar days previously (subject to accelerates the deadline for filing shell company solely for the purpose of Instruction A.1.(a)(7) to Form S–8); and certain of this disclosure. We require changing the corporate domicile of that if it has been a shell company at any certain information, which was not entity solely within the United States; or time previously, has filed current Form specifically required previously by (2) Formed by an entity that is not a 10 information (as defined in Form 8–K, to be included for shell shell company solely for the purpose of Instruction A.1.(a)(6) to Form S–8) with companies. completing a business combination the Commission at least 60 calendar Alternatives (3) and (4) are not transaction (as defined in § 230.165(f)) days previously reflecting its status as appropriate because the purpose of the among one or more entities other than an entity that is not a shell company amendments is to deter fraud. It would the shell company, none of which is a (subject to Instruction A.1.(a)(7) to Form be difficult under Alternative (3) to shell company. design performance standards that S–8), may use this form for registration * * * * * under the Securities Act of 1933 (the would fulfill the Commission’s statutory Shell company: The term shell mandate to ensure adequate disclosure Act) (15 U.S.C. 77a et seq.) of the company means a registrant, other than following securities: about shell companies and subsequent an asset-backed issuer as defined in business combinations in a prompt Item 1101(b) of Regulation AB * * * * * manner. Alternative (4) is inappropriate (§ 229.1101(b) of this chapter), that has: I 5. Amend Form S–8 (referenced in because it is likely that a substantial (1) No or nominal operations; and § 239.16b) by revising the introductory percentage of shell companies will be (2) Either: text to General Instruction A.1. and small entities. We note again that these (i) No or nominal assets; adding paragraphs (a)(6) and (a)(7) to amendments apply only to shell (ii) Assets consisting solely of cash General Instruction A.1., to read as companies, which constitute only a and cash equivalents; or follows:
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Note —The text of Form S–8 does not, and PART 240—GENERAL RULES AND acquisition of control of a shell this amendment will not, appear in the Code REGULATIONS, SECURITIES company in a transaction required to be of Federal Regulations. EXCHANGE ACT OF 1934 reported on Form 8–K (§ 249.308 of this chapter) in compliance with Item 5.01 FORM S–8 I 6. The authority citation for part 240 of that Form or on Form 20–F REGISTRATION STATEMENT UNDER continues to read in part as follows: (§ 249.220f of this chapter) in THE SECURITIES ACT OF 1933 Authority: 15 U.S.C. 77c, 77d, 77g, 77j, compliance with Rule 13a–19 77s, 77z–2, 77z–3, 77eee, 77ggg, 77nnn, (§ 240.13a–19) or Rule 15d–19 * * * * * 77sss, 77ttt, 78c, 78d, 78e, 78f, 78g, 78i, 78j, (§ 240.15d–19). Except for an 78j–1, 78k, 78k–1, 78l, 78m, 78n, 78o, 78p, acquisition of control of a shell GENERAL INSTRUCTIONS 78q, 78s, 78u–5, 78w, 78x, 78ll, 78mm, 79q, company, the term does not include the A. Rule as to Use of Form S–8 79t, 80a–20, 80a–23, 80a–29, 80a–37, 80b–3, acquisition of control of a business 80b–4, 80b–11, and 7201 et seq.; and 18 unless followed by the direct 1. Any registrant that, immediately U.S.C. 1350, unless otherwise noted. acquisition of its assets. The terms prior to the time of filing a registration * * * * * succeed and successor have meanings statement on this Form, is subject to the I 7. Amend § 240.12b–2 by adding the correlative to the foregoing. requirement to file reports pursuant to following definitions of Business * * * * * Section 13 (15 U.S.C. 78m) or 15(d) (15 combination related shell company and U.S.C. 78o(d)) of the Securities Shell company in alphabetical order and § 240.13a–14 [Amended] Exchange Act of 1934 (‘‘Exchange Act’’); revising the definition of Succession to I 8. Amend § 240.13a–14, paragraph (a), has filed all reports and other materials read as follows: to revise the text ‘‘§ 229.1101 of this required to be filed by such chapter), must include certifications’’ to requirements during the preceding 12 § 240.12b–2 Definitions. read ‘‘§ 229.1101 of this chapter) or a months (or for such shorter period that * * * * * report on Form 20–F filed under the registrant was required to file such Business combination related shell § 240.13a–19, must include reports and materials); is not a shell company: The term business certifications’’. company (as defined in § 230.405 of this combination related shell company I 9. Add § 240.13a–19 to read as follows: chapter) and has not been a shell means a shell company (as defined in company for at least 60 calendar days § 240.12b–2) that is: § 240.13a–19 Reports by shell companies previously (subject to the exception in (1) Formed by an entity that is not a on Form 20–F. paragraph (a)(7) of this Instruction A.1.); shell company solely for the purpose of Every foreign private issuer that was and if it has been a shell company at changing the corporate domicile of that a shell company, other than a business any time previously, has filed current entity solely within the United States; or combination related shell company, Form 10 information with the (2) Formed by an entity that is not a immediately before a transaction that Commission at least 60 calendar days shell company solely for the purpose of causes it to cease to be a shell company previously reflecting its status as an completing a business combination shall, within four business days of entity that is not a shell company transaction (as defined in § 230.165(f) of completion of that transaction, file a (subject to the exception in paragraph this chapter) among one or more entities report on Form 20–F (§ 249.220f of this (a)(7) of this Instruction A.1.), may use other than the shell company, none of chapter) containing the information that this Form for registration under the which is a shell company. would be required if the issuer were Securities Act of 1933 (‘‘Act’’) (15 U.S.C. * * * * * filing a form for registration of securities 77a et seq.) of the following securities: Shell company: The term shell on Form 20–F to register under the Act company means a registrant, other than all classes of the issuer’s securities (a) * * * an asset-backed issuer as defined in subject to the reporting requirements of (6) The term ‘‘Form 10 information’’ Item 1101(b) of Regulation AB section 13 (15 U.S.C. 78m) or section means the information that is required (§ 229.1101(b) of this chapter), that has: 15(d) (15 U.S.C. 78o(d)) of the Act upon by Form 10, Form 10–SB, or Form 20– (1) No or nominal operations; and consummation of the transaction, with F (§ 249.210, § 249.210b, or § 249.220f of (2) Either: such information reflecting the this chapter), as applicable to the (i) No or nominal assets; registrant and its securities upon registrant, to register under the (ii) Assets consisting solely of cash consummation of the transaction. Securities Exchange Act of 1934 each and cash equivalents; or § 240.15d–14 [Amended] class of securities being registered using (iii) Assets consisting of any amount this form. A registrant may provide the of cash and cash equivalents and I 10. Amend § 240.15d–14, paragraph Form 10 information in another nominal other assets. (a), to revise the text ‘‘§ 229.1101 of this Commission filing with respect to the chapter), must include certifications’’ to Note: For purposes of this definition, the registrant. read ‘‘§ 229.1101 of this chapter) or a determination of a registrant’s assets report on Form 20–F filed under (7) Notwithstanding the last two (including cash and cash equivalents) is § 240.15d–19, must include clauses of the first paragraph of this based solely on the amount of assets that would be reflected on the registrant’s balance certifications’’. Instruction A.1., a business combination I 11. Add § 240.15d–19 to read as related shell company may use this form sheet prepared in accordance with generally accepted accounting principles on the date of follows: immediately after it: that determination. (i) Ceases to be a shell company; and § 240.15d–19 Reports by shell companies * * * * * on Form 20–F. (ii) Files current Form 10 information Succession: The term succession Every foreign private issuer that was with the Commission reflecting its means the direct acquisition of the a shell company, other than a business status as an entity that is not a shell assets comprising a going business, combination related shell company, company. whether by merger, consolidation, immediately before a transaction that * * * * * purchase, or other direct transfer; or the causes it to cease to be a shell company
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shall, within four business days of Note: The text of Form 20–F does not, and I 15. Amend Form 8–K (referenced in completion of that transaction, file a this amendment will not, appear in the Code § 249.308) under the caption report on Form 20–F (§ 249.220f of this of Federal Regulations. ‘‘Information to Be Included in the chapter) containing the information that Report’’ by: FORM 20–F would be required if the issuer were I a. Removing the word ‘‘and’’ at the end filing a form for registration of securities * * * * * of Item 2.01(d); on Form 20–F to register under the Act I OR b. Removing the period at the end of all classes of the issuer’s securities Item 2.01(e)(2) and in its place adding ‘‘; subject to the reporting requirements of b Shell Company Report Pursuant to and’’; section 13 (15 U.S.C. 78m) or section Section 13 or 15(d) of the Securities I c. Adding paragraph (f) to Item 2.01; 15(d) (15 U.S.C. 78o(d)) of the Act upon Exchange Act of 1934 I d. Removing the word ‘‘and’’ at the end consummation of the transaction, with Date of event requiring this shell of Item 5.01(a)(6); such information reflecting the company report I e. Removing the period at the end of registrant and its securities upon * * * * * Item 5.01(a)(7) and in its place adding ‘‘; consummation of the transaction. If this is an annual report, indicate by and’’; I PART 249—FORMS, SECURITIES check mark whether the registrant is a f. Adding paragraph (a)(8) to Item 5.01; I EXCHANGE ACT OF 1934 shell company (as defined in Rule 12b– g. Adding Item 5.06; 2 of the Exchange Act). b Yes I h. Redesignating paragraph (c) of Item I 12. The authority citation for part 249 b No 9.01 as paragraph (d); and continues to read in part as follows: * * * * * I i. Adding new paragraph (c) to Item 9.01. Authority: 15 U.S.C. 78a et seq. and 7201 GENERAL INSTRUCTIONS et seq.; and 18 U.S.C. 1350, unless otherwise The additions read as follows: A. Who May Use Form 20–F and noted. Note: The text of Form 8–K does not, and * * * * * When It Must be Filed. this amendment will not, appear in the Code * * * * * I 13. Amend § 249.220f by: of Federal Regulations. I (d) A foreign private issuer that was a. Revising the section heading; and a shell company, other than a business FORM 8–K CURRENT REPORT I b. Revising in paragraph (a) the text combination related shell company, as * * * * * ‘‘(15 U.S.C. 77a et seq.) or as an annual those terms are defined in Rule 12b–2 or transition report filed under section under the Exchange Act (17 CFR INFORMATION TO BE INCLUDED IN 13(a) or 15(d) of the Exchange Act (15 240.12b–2), immediately before a THE REPORT U.S.C. 78m(a) or 78o(d)).’’ to read ‘‘(15 transaction that causes it to cease to be * * * * * U.S.C. 78a et seq.), as an annual or a shell company must file a report on transition report filed under section this form in accordance with the Item 2.01 Completion of Acquisition 13(a) or 15(d) of the Exchange Act (15 requirements set forth in Rule 13a–19 or or Disposition of Assets U.S.C. 78m(a) or 78o(d)), or as a shell Rule 15d–19 under the Exchange Act * * * * * company report required under Rule (17 CFR 240.13a–19 and 240.15d–19). (f) If the registrant was a shell 13a–19 or Rule 15d–19 under the Issuers filing such reports shall provide company, other than a business Exchange Act (§ 240.13a–19 or 240.15d– all information required in, and follow combination related shell company, as 19 of this chapter).’’ all instructions of, Form 20–F relating to those terms are defined in Rule 12b–2 The revision reads as follows: an Exchange Act registration statement under the Exchange Act (17 CFR § 249.220f Form 20–F, registration of of all classes of the registrant’s securities 240.12b–2), immediately before the securities of foreign private issuers subject to the reporting requirements of transaction, the information that would pursuant to section 12(b) or (g), annual and Section 13 (15 U.S.C. 78m) or Section be required if the registrant were filing transition reports pursuant to sections 13 15(d) (15 U.S.C. 78o(d)) of such Act a general form for registration of and 15(d), and shell company reports upon consummation of the transaction, securities on Form 10 or Form 10–SB required under Rule 13a–19 or 15d–19 with such information reflecting the (17 CFR 249.210 or 17 CFR 249.210b), (§ 240.13a–19 or § 240.15d–19 of this registrant and its securities upon chapter). as applicable, under the Exchange Act consummation of the transaction. Rule reflecting all classes of the registrant’s * * * * * 12b–25 under the Exchange Act (17 CFR securities subject to the reporting I 14. Amend Form 20–F (referenced in 240.12b–25) is not available to extend requirements of Section 13 (15 U.S.C. § 249.220f) by: the due date of the report required 78m) or Section 15(d) (15 U.S.C. 78o(d)) I a. Adding a check box on the cover under this subparagraph (d). of such Act upon consummation of the page preceding the text ‘‘Commission file * * * * * transaction, with such information number’’; Instructions to Item 4.A.4: reflecting the registrant and its I b. Adding a check box on the cover 1. *** securities upon consummation of the page preceding the text that begins 2. If you are filing a report under Rule transaction. Notwithstanding General ‘‘(APPLICABLE ONLY TO ISSUERS 13a–19 or Rule 15d–19 under the Instruction B.3. to Form 8–K, if any INVOLVED IN BANKRUPTCY Exchange Act (17 CFR 240.13a–19 or disclosure required by this Item 2.01(f) PROCEEDINGS * * *’’); 240.15d–19), you must disclose the is previously reported, as that term is I c. Adding paragraph (d) to General material terms of the transaction as a defined in Rule 12b–2 under the Instruction A.; result of which you ceased to be a shell Exchange Act (17 CFR 240.12b–2), the I d. Designating the existing Instruction company and you should file as an registrant may identify the filing in to Item 4.A.4 as ‘‘1’’; and exhibit under Item 4(a) of the Exhibits which that disclosure is included I e. Adding Instruction 2 to Item 4.A.4. to Form 20–F any contracts relating to instead of including that disclosure in The additions and revision read as the transaction. this report. follows: * * * * * * * * * *
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Item 5.01 Changes in Control of (c) Shell company transactions. The Note: The text of Form 10–QSB does not, Registrant provisions of paragraph (a)(4) and (b)(2) and this amendment will not, appear in the of this Item shall not apply to the Code of Federal Regulations. (a) * * * financial statements or pro forma (8) if the registrant was a shell financial information required to be FORM 10–QSB company, other than a business filed under this Item with regard to any * * * * * combination related shell company, as transaction required to be described in those terms are defined in Rule 12b–2 Indicate by check mark whether the answer to Item 2.01 of this Form by a registrant is a shell company (as defined under the Exchange Act (17 CFR registrant that was a shell company, 240.12b–2), immediately before the in Rule 12b–2 of the Exchange Act). other than a business combination b b change in control, the information that Yes No related shell company, as those terms * * * * * would be required if the registrant were are defined in Rule 12b–2 under the filing a general form for registration of Exchange Act (17 CFR 240.12b–2), I 18. Amend Form 10–K (referenced in securities on Form 10 or Form 10–SB immediately before that transaction. § 249.310) by adding a check box on the (17 CFR 249.210 or 17 CFR 249.210b), Accordingly, with regard to any cover page preceding the text that begins as applicable, under the Exchange Act transaction required to be described in ‘‘State the aggregate market value of the reflecting all classes of the registrant’s answer to Item 2.01 of this Form by a voting and non-voting common equity securities subject to the reporting registrant that was a shell company, held by non-affiliates * * *,’’ to read as requirements of Section 13 (15 U.S.C. other than a business combination follows: 78m) or Section 15(d) (15 U.S.C. 78o(d)) related shell company, immediately of such Act upon consummation of the Note: The text of Form 10–K does not, and before that transaction, the financial this amendment will not, appear in the Code change in control, with such statements and pro forma financial of Federal Regulations. information reflecting the registrant and information required by this Item must its securities upon consummation of the be filed in the initial report. FORM 10–K transaction. Notwithstanding General Notwithstanding General Instruction * * * * * Instruction B.3. to Form 8–K, if any B.3. to Form 8–K, if any financial Indicate by check mark whether the disclosure required by this Item statement or any financial information registrant is a shell company (as defined 5.01(a)(8) is previously reported, as that required to be filed in the initial report in Rule 12b–2 of the Exchange Act). term is defined in Rule 12b–2 under the by this Item 9.01(c) is previously b Yes b No Exchange Act (17 CFR 240.12b–2), the reported, as that term is defined in Rule registrant may identify the filing in 12b–2 under the Exchange Act (17 CFR * * * * * which that disclosure is included 240.12b–2), the registrant may identify I 19. Amend Form 10–KSB (referenced instead of including that disclosure in the filing in which that disclosure is in § 249.310b) by: this report. included instead of including that I a. Adding a check box on the cover * * * * * disclosure in the initial report. page preceding the text ‘‘State issuer’s Item 5.06 Change in Shell Company * * * * * revenues for its most recent fiscal year’’; Status I 16. Amend Form 10–Q (referenced in and § 249.308a) by adding a check box on the I b. Removing the text ‘‘is not’’ in the If a registrant that was a shell cover page preceding the text that begins sentence on the cover page that begins company, other than a business ‘‘APPLICABLE ONLY TO ISSUERS ‘‘Check if there is no disclosure of combination related shell company, as INVOLVED IN BANKRUPTCY delinquent filers in response to Item 405 those terms are defined in Rule 12b–2 PROCEEDINGS * * *,’’ to read as of Regulation S–B ***’’ under the Exchange Act (17 CFR follows: The revision reads as follows: 240.12b–2), has completed a transaction that has the effect of causing it to cease Note: The text of Form 10–Q does not, and Note: The text of Form 10–KSB does not, being a shell company, as defined in this amendment will not, appear in the Code and this amendment will not, appear in the Rule 12b–2, disclose the material terms of Federal Regulations. Code of Federal Regulations. of the transaction. Notwithstanding FORM 10–Q General Instruction B.3. to Form 8–K, if FORM 10–KSB any disclosure required by this Item * * * * * * * * * * 5.06 is previously reported, as that term Indicate by check mark whether the Indicate by check mark whether the is defined in Rule 12b–2 under the registrant is a shell company (as defined registrant is a shell company (as defined Exchange Act (17 CFR 240.12b–2), the in Rule 12b–2 of the Exchange Act). in Rule 12b–2 of the Exchange Act). registrant may identify the filing in b Yes b No b Yes b No which that disclosure is included * * * * * * * * * * instead of including that disclosure in I 17. Amend Form 10–QSB (referenced By the Commission. this report. in § 249.308b) by adding a check box on Dated: July 15, 2005. * * * * * the cover page preceding the text that begins APPLICABLE ONLY TO ISSUERS J. Lynn Taylor, Item 9.01 Financial Statements and INVOLVED IN BANKRUPTCY Assistant Secretary. Exhibits PROCEEDINGS * * *,’’ to read as [FR Doc. 05–14311 Filed 7–20–05; 8:45 am] * * * * * follows: BILLING CODE 8010–01–P
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Federal Register/Code of Federal Regulations At the end of each month, the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. 95...... 41608 Presidential Documents 3 CFR Proposed Rules: Executive orders and proclamations 741–6000 Proclamations: 391...... 41635 7913...... 41931 The United States Government Manual 741–6000 590...... 41635 Executive Orders: 592...... 41635 Other Services 12139 (Amended by Electronic and on-line services (voice) 741–6020 EO 13383)...... 41933 10 CFR Privacy Act Compilation 741–6064 12735 (See EO 72...... 40879 Public Laws Update Service (numbers, dates, etc.) 741–6043 13382) ...... 38567 110...... 37985, 41937 12938 (Amended by TTY for the deaf-and-hard-of-hearing 741–6086 625...... 39364 EO 13382)...... 38567 12949 (Amended by Proposed Rules: ELECTRONIC RESEARCH EO 13383)...... 41933 72...... 40924 World Wide Web 13094 (See EO 11 CFR 13382) ...... 38567 Full text of the daily Federal Register, CFR and other publications 114...... 41939 is located at: http://www.gpoaccess.gov/nara/index.html 13348 (See Notice of July 19, 2005) ...... 41935 12 CFR Federal Register information and research tools, including Public 13382...... 38567 Inspection List, indexes, and links to GPO Access are located at: 13383...... 41933 201...... 39411 http://www.archives.gov/federallregister/ Administrative Orders: 620...... 40635 E-mail Memorandums: 621...... 40635 650...... 40635 FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is Memorandum of June 29, 2005 ...... 39173 651...... 40635 an open e-mail service that provides subscribers with a digital 652...... 40635 form of the Federal Register Table of Contents. The digital form Memorandum of April 21, 2005 (Amended 653...... 40635 of the Federal Register Table of Contents includes HTML and 654...... 40635 PDF links to the full text of each document. by Memorandum of July 1, 2005) ...... 41341 655...... 40635 To join or leave, go to http://listserv.access.gpo.gov and select Memorandum of July Proposed Rules: Online mailing list archives, FEDREGTOC-L, Join or leave the list 1, 2005 ...... 41341 Ch. VII ...... 39202, 40924 (or change settings); then follow the instructions. Notices: 13 CFR PENS (Public Law Electronic Notification Service) is an e-mail Notice of July 19, service that notifies subscribers of recently enacted laws. 2005 ...... 41935 Proposed Rules: 106...... 39667 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html Presidential Determinations: No. 2005-26 of July 4, and select Join or leave the list (or change settings); then follow 14 CFR the instructions. 2005 ...... 40181 No. 2005-27 of July 4, 11...... 40156 FEDREGTOC-L and PENS are mailing lists only. We cannot 2005 ...... 40183 21...... 40166 respond to specific inquiries. No. 2005-28 of July 23...... 37994 Reference questions. Send questions and comments about the 12, 2005 ...... 41929 25...... 39908, 39910 Federal Register system to: [email protected] 36...... 38742, 41610 5 CFR 39 ...... 38573, 38575, 38578, The Federal Register staff cannot interpret specific documents or 38580, 38751, 38753, 38755, regulations. Ch. XIV ...... 41605 39412, 39559, 39639, 39642, 7 CFR 39644, 39647, 39651, 39912, FEDERAL REGISTER PAGES AND DATE, JULY 305...... 41092 40187, 40651, 40656, 41944, 318...... 40879 41946, 41948, 42148 37985–38570...... 1 319...... 40879, 41092 43...... 40872 38571–38750...... 5 400...... 41822 71 ...... 37997, 38740, 39175, 38751–39172...... 6 946...... 41129 39914, 39915, 39916, 39917, 39173–39410...... 7 955...... 41605 41610, 41611, 41613, 41948, 39411–39638...... 8 983...... 39905, 40185 41949, 41950 39639–39904...... 11 1469...... 41608 73...... 38740 39905–40184...... 12 4274...... 38571 91 ...... 38742, 40168, 41610 40185–40634...... 13 4280...... 41264 93...... 39610 40635–40878...... 14 Proposed Rules: 97...... 39652 40879–41128...... 15 97...... 40921 121 ...... 40156, 40168, 41134 125...... 40168 41129–41340...... 18 319...... 39194 129...... 40168 41341–41604...... 19 868...... 39199 2902...... 38612 382...... 41482 41605–41934...... 20 Proposed Rules: 41935–42250...... 21 9 CFR 39 ...... 38625, 38627, 38630, 93...... 41608 38632, 38636, 38817, 38819, 94...... 41608 38821, 38823, 39204, 39433,
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39435, 41350, 41352, 41354, 20 CFR 504...... 42012 39974, 40946, 41166, 41652, 42003, 42005, 42008 1...... 41340 631...... 41641 42019, 42021 71 ...... 38053, 38055, 38056, 55...... 38840 30...... 41340 33 CFR 38826, 39973 404...... 38582, 41954 60...... 39870 100 ...... 38010, 39654, 39656, 62...... 39974 15 CFR 416...... 41135 646...... 40870 40882 63 ...... 38554, 39441, 39457 740...... 41094 110...... 40885 80...... 40949 Proposed Rules: 81...... 38073, 39215 742...... 41094 416...... 39689 117 ...... 38593, 38594, 40887 743...... 41094 155...... 41614 85...... 39870 772...... 41094 21 CFR 156...... 41614 89...... 39870 94...... 39870 774...... 41094, 41952 Ch. I ...... 40880 165 ...... 38013, 38015, 39176, 155...... 40251 Proposed Rules: 20...... 41956 39923, 40885, 40888, 41343, 194...... 38642 303...... 38828 101...... 41958 41345 228...... 41167 710...... 42010 520...... 40880, 41139 Proposed Rules: 261...... 41358 711...... 42010 522...... 39918 100...... 39697 300 ...... 38845, 39217, 41653 712...... 42010 529...... 41139 117...... 41648, 42017 1039...... 39870 713...... 42010 556...... 39918 165...... 40944 1065...... 39870 714...... 42010 558...... 41958 167...... 38061 715...... 42010 1068...... 39870 Proposed Rules: 34 CFR 716...... 42010 Ch. 1 ...... 41356 41 CFR 717...... 42010 230...... 38017 310...... 40232 Proposed Rules: 718...... 42010 341...... 40232, 40237 719...... 42010 36 CFR 51-2...... 38080 51-3...... 38080 720...... 42010 22 CFR 7...... 38759 51-4...... 38080 721...... 42010 126...... 39919 722...... 42010 37 CFR 42 CFR 723...... 42010 23 CFR 2...... 38768 414...... 39022 724...... 42010 Proposed Rules: 7...... 38768 Proposed Rules: 725...... 42010 630...... 39692 201...... 38022 52...... 40946 726...... 42010 251...... 38022 80...... 40949 727...... 42010 25 CFR 252...... 38022 484...... 40788 728...... 42010 124...... 40660, 41963 257...... 38022 1001...... 38081 729...... 42010 258...... 39178 26 CFR 259...... 38022 16 CFR 43 CFR 1 ...... 39653, 39920, 40189, Proposed Rules: Proposed Rules: Proposed Rules: 40661, 40663, 41343 201...... 41650 3000...... 41532 23...... 38834 26...... 41140 2563...... 41650 3100...... 41532 301...... 40669, 41144 3120...... 41532 17 CFR 602 ...... 39920, 40189, 40663 38 CFR 3130...... 41532 230...... 42150 Proposed Rules: Proposed Rules: 3150...... 41532 239...... 42150 1 ...... 38057, 39695, 40675 3...... 39213 3160...... 41532 240...... 40614, 42150 31...... 38057 3200...... 41532 249...... 42150 40 CFR 35...... 40675 3470...... 41532 270...... 39390 54...... 40675 51...... 39104, 39413 3500...... 41532 Proposed Rules: 301...... 40675, 41165 52 ...... 38023, 38025, 38028, 3600...... 41532 36...... 39672 27 CFR 38029, 38774, 38776, 39658, 3800...... 41532 37...... 39672 39926, 40193, 40195, 41146, 3830...... 41532 38...... 39672 9 ...... 37998, 38002, 38004 41963 3833...... 41532 39...... 39672 Proposed Rules: 62...... 39927 3835...... 41532 40...... 39672 4...... 38058 63 ...... 38554, 38780, 39426, 3836...... 41532 39662, 40672 18 CFR 28 CFR 3860...... 41532 80...... 40889 3870...... 41532 35...... 38757 Proposed Rules: 81...... 38029 Proposed Rules: 16...... 39696 85...... 40420 44 CFR 35...... 40941 45...... 39206 86...... 40420 64...... 38038, 41347 131...... 40941 89...... 40420 29 CFR 65...... 40909, 40913 154...... 40941 90...... 40420 67...... 40915 157...... 40941 4022...... 40881 91...... 40420 Proposed Rules: 250...... 40941 4044...... 40881 92...... 40420 67 ...... 39457, 40951, 40953, 281...... 40941 Proposed Rules: 94...... 40420 40955, 40956 284...... 40941 1404...... 39209, 42011 180 ...... 38780, 38785, 38786, 300...... 40941 1610...... 38060 40196, 40199, 40202, 40899, 45 CFR 341...... 40941 41618, 41619 30 CFR 2510...... 39562 342...... 40943 300 ...... 38789, 39180, 41625 2520...... 39562 344...... 40941 250...... 41556 372...... 39931 2521...... 39562 346...... 40941 Proposed Rules: 799...... 39624, 39630 2522...... 39562 347...... 40941 934...... 38639 1039...... 40420 2540...... 39562 348...... 40941 1048...... 40420 2550...... 39562 375...... 40941 31 CFR 1051...... 40420 385...... 40941 Ch. V...... 38256 1065...... 40420 46 CFR 1068...... 40420 Proposed Rules: 32 CFR 19 CFR 1506...... 41148 Ch. I...... 39699, 41261 Proposed Rules: 321...... 38009 Proposed Rules: 101...... 38637 Proposed Rules: 52 ...... 38064, 38068, 38071, 47 CFR 122...... 38637 285...... 40249 38073, 38837, 38839, 38840, 1 ...... 38794, 38795, 41967
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15...... 38800 2115...... 41149 220...... 38804 Proposed Rules: 20...... 38794 2116...... 41149 221...... 38804 23...... 40973 43...... 38794 2131...... 41149 222...... 38804 192...... 41174 63...... 38795 2132...... 41149 223...... 38804 193...... 41174 64...... 38795 2137...... 41149 225...... 38804 195...... 41174 73 ...... 39182, 40212, 40213, 2144...... 41149 228...... 38804 571...... 40280, 40974 40214, 40215, 41629, 41630 2146...... 41149 229...... 38804 572...... 40281 76...... 40216 2149...... 41149 230...... 38804, 41995 90...... 41631 2152...... 41149 231...... 38804 50 CFR Proposed Rules: Proposed Rules: 232...... 38804 300...... 41159 Ch. 1 ...... 41654 Ch. II ...... 39975 233...... 38804 600...... 40225 15...... 38845 52...... 40279 234...... 38804 622...... 39187, 41161 22...... 40276 204...... 39976 235...... 38804 648 ...... 39190, 39192, 39970, 52...... 41655 222...... 39978 236...... 38804 41348 54...... 41658 225...... 39980 238...... 38804 660...... 38596, 41163 73 ...... 39217, 40277, 40278 235...... 39976 239...... 38804 679 ...... 38052, 38815, 39664, 76...... 38848 249...... 39980 240...... 38804 40231, 41163, 41164 252...... 39976 241...... 38804 Proposed Rules: 48 CFR 244...... 38804 17 ...... 38849, 39227, 39981, 2101...... 41149 49 CFR 375...... 39949 41183 2102...... 41149 209...... 38804 571 ...... 38040, 39959, 40917, 32...... 40108 2103...... 41149 213...... 38804 41631 216...... 41187 2104...... 41149 214...... 38804 573...... 38805 223...... 38861, 39231 2105...... 41149 215...... 38804 575...... 39970 224...... 39231 2106...... 41149 216...... 38804 577...... 38805 229...... 40301 2109...... 41149 217...... 38804 1520...... 41586 600...... 39700 2110...... 41149 218...... 38804 1540...... 41586 648...... 41189 2114...... 41149 219...... 38804 1562...... 41586 660...... 40302, 40305
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REMINDERS Grapes grown in California Conservation Security approval; comments due The items in this list were and imported grapes; Program; comments due by 7-25-05; published 5- editorially compiled as an aid comments due by 7-25-05; by 7-25-05; published 3- 24-05 [FR 05-10225] to Federal Register users. published 5-25-05 [FR 05- 25-05 [FR 05-05894] DEFENSE DEPARTMENT 10440] Inclusion or exclusion from Reports and guidance Engineers Corps Prunes (dried) produced in— documents; availability, etc.: this list has no legal Danger zones and restricted California; comments due by significance. National Handbook of areas: 7-26-05; published 5-27- Conservation Practices; 05 [FR 05-10469] Open for comments until Parris Island, SC; Marine RULES GOING INTO Tomatoes grown in— further notice; published Corps Recruit Depot; EFFECT JULY 21, 2005 Florida; comments due by 5-9-05 [FR 05-09150] comments due by 7-25- 7-26-05; published 5-27- 05; published 6-23-05 [FR ARCHITECTURAL AND 05-12461] COMMERCE DEPARTMENT 05 [FR 05-10468] TRANSPORTATION Navigation regulations: Industry and Security AGRICULTURE BARRIERS COMPLIANCE Bureau DEPARTMENT BOARD Lake Washington Ship Canal, Hiram M. Export administration Animal and Plant Health Americans with Disabilities Chittenden Locks, WA; regulations: Inspection Service Act; implementation: scheduled operational Commerce Control List— Exportation and importation of Accessibility guidelines— animals and animal hours; modification Nuclear grade graphite Large and small products: procedures; comments exports; licensing passenger vessels; Tuberculosis in cattle and due by 7-25-05; published jurisdiction change; comments due by 7-28- 5-25-05 [FR 05-10432] published 7-21-05 bison; movement without 05; published 3-22-05 individual tuberculin test; EDUCATION DEPARTMENT HEALTH AND HUMAN [FR 05-05636] comments due by 7-25- Grants and cooperative SERVICES DEPARTMENT COMMERCE DEPARTMENT 05; published 5-24-05 [FR agreements; availability, etc.: Food and Drug National Oceanic and 05-10308] Vocational and adult Administration Atmospheric Administration Plant-related quarantine, education— Animal drugs, feeds, and domestic: Endangered and threatened related products: species: Smaller Learning Pine shoot beetle; Communities Program; Oregon Coast evolutionary Roxarsone and comments due by 7-25- Open for comments significant unit of coho semduramicin; published 05; published 5-26-05 [FR until further notice; salmon; listing 7-21-05 05-10551] published 2-25-05 [FR determination; comments Organization, functions, and AGRICULTURE E5-00767] authority delegations: DEPARTMENT due by 7-28-05; published ENERGY DEPARTMENT Center for Food Safety and Commodity Credit 6-28-05 [FR 05-12350] Applied Nutrition; change Corporation Status review— Meetings: of address; published 7- Loan and purchase programs: North American green Environmental Management 21-05 Conservation Security sturgeon; southern Site-Specific Advisory NUCLEAR REGULATORY Program; comments due distinct population; Board— COMMISSION by 7-25-05; published 3- comments due by 7-27- Oak Ridge Reservation, 05; published 7-6-05 Nuclear equipment and 25-05 [FR 05-05894] TN; Open for comments [FR 05-13264] material; export and import: Cottonseed Payment until further notice; West Coast Oncorhynchus published 11-19-04 [FR Nuclear grade graphite for Program; comments due mykiss; listing 04-25693] non-nuclear end use; by 7-25-05; published 6- determinations; comments export licensing 24-05 [FR 05-12485] ENERGY DEPARTMENT due by 7-28-05; published requirements removed; AGRICULTURE Energy Efficiency and 6-28-05 [FR 05-12348] published 7-21-05 DEPARTMENT Renewable Energy Office COURT SERVICES AND SOCIAL SECURITY Food and Nutrition Service Commercial and industrial OFFENDER SUPERVISION ADMINISTRATION Child nutrition programs: equipment; energy efficiency AGENCY FOR THE Social security benefits: Senior Farmers’ Market program: Nutrition Program; DISTRICT OF COLUMBIA Federal old age, survivors, Test procedures and comments due by 7-25- Semi-annual agenda; Open for and disability insurance— efficiency standards— 05; published 5-26-05 [FR comments until further Commercial packaged Divided retirement 05-10388] notice; published 12-22-03 systems coverage list [FR 03-25121] boilers; Open for and technical coverage AGRICULTURE comments until further DEFENSE DEPARTMENT corrections; update; DEPARTMENT notice; published 10-21- published 7-21-05 Food Safety and Inspection Acquisition regulations: 04 [FR 04-17730] Service Capital assets manufactured ENERGY DEPARTMENT Meat and poultry inspection: in United States; purchase COMMENTS DUE NEXT Hazard analysis and critical incentive program; Federal Energy Regulatory WEEK control point (HACCP) comments due by 7-25- Commission system— 05; published 5-24-05 [FR Electric rate and corporate AGRICULTURE Mechanically tenderized 05-10233] regulation filings: DEPARTMENT beef products; Pilot Mentor-Protege Virginia Electric & Power Agricultural Marketing compliance; comments Program; comments due Co. et al.; Open for Service due by 7-25-05; by 7-25-05; published 5- comments until further Cotton classing, testing and published 5-26-05 [FR 24-05 [FR 05-10226] notice; published 10-1-03 standards: 05-10471] Quality assurance; [FR 03-24818] Classification services to AGRICULTURE comments due by 7-25- Natural Gas Policy Act; growers; 2004 user fees; DEPARTMENT 05; published 5-24-05 [FR natural gas companies Open for comments until Natural Resources 05-10234] (Natural Gas Act): further notice; published Conservation Service Service contracts and task Natural gas reporting 5-28-04 [FR 04-12138] Loan and purchase programs: and delivery orders regulations; modification;
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comments due by 7-25- Interconnection— and testing, and related INTERIOR DEPARTMENT 05; published 6-10-05 [FR Incumbent local exchange labeling; comments due by Fish and Wildlife Service 05-11543] carriers unbounding 7-25-05; published 5-25-05 Endangered and threatened ENVIRONMENTAL obligations; local [FR 05-10583] species permit applications PROTECTION AGENCY competition provisions; Reports and guidance Recovery plans— Air quality implementation wireline services documents; availability, etc.: Paiute cutthroat trout; plans; approval and offering advanced Evaluating safety of Open for comments promulgation; various telecommunications antimicrobial new animal until further notice; States; air quality planning capability; Open for drugs with regard to their published 9-10-04 [FR purposes; designation of comments until further microbiological effects on 04-20517] notice; published 12-29- bacteria of human health areas: INTERIOR DEPARTMENT Washington; comments due 04 [FR 04-28531] concern; Open for Price cap local exchange comments until further Surface Mining Reclamation by 7-29-05; published 6- and Enforcement Office 29-05 [FR 05-12713] carriers; special access notice; published 10-27-03 [FR 03-27113] Permanent program and Air quality implementation rates; comments due by 7-29-05; published 7-20- Medical devices— abandoned mine land plans; approval and reclamation plan 05 [FR 05-14420] Dental noble metal alloys promulgation; various submissions: States: Telephone Consumer and base metal alloys; Alaska; comments due by Ohio; comments due by 7- Protection Act of 1991; Class II special implementation— controls; Open for 7-25-05; published 6-23- 27-05; published 6-27-05 05 [FR 05-12439] [FR 05-12659] Interstate telemarketing comments until further notice; published 8-23- NATIONAL CREDIT UNION Pennsylvania; comments calls; declaratory ruling 04 [FR 04-19179] ADMINISTRATION due by 7-25-05; published petitions; comments due 6-24-05 [FR 05-12581] by 7-29-05; published HEALTH AND HUMAN Credit unions: 6-29-05 [FR 05-12466] Federal credit unions; fidelity Environmental statements; SERVICES DEPARTMENT bond and insurance availability, etc.: Interstate telemarketing Health care programs; fraud calls; declaratory ruling coverage; comments due Coastal nonpoint pollution and abuse: petitions; comments due by 7-25-05; published 5- control program— Health Insurance Portability by 7-29-05; published 25-05 [FR 05-10380] Minnesota and Texas; and Accountability Act— 6-29-05 [FR 05-12467] NUCLEAR REGULATORY Open for comments Data collection program; Radio frequency devices: COMMISSION until further notice; final adverse actions published 10-16-03 [FR Digital television receiver reporting; correction; Environmental statements; 03-26087] tuner requirements; comments due by 7-25- availability, etc.: comments due by 7-27- Hazardous waste program 05; published 6-24-05 Fort Wayne State 05; published 7-6-05 [FR authorizations: [FR 05-12481] Developmental Center; 05-13029] Open for comments until Maine; comments due by 7- HEALTH AND HUMAN HEALTH AND HUMAN SERVICES DEPARTMENT further notice; published 25-05; published 6-23-05 5-10-04 [FR 04-10516] [FR 05-12453] SERVICES DEPARTMENT Inspector General Office, PERSONNEL MANAGEMENT Vermont; comments due by Centers for Medicare & Health and Human Services OFFICE 7-25-05; published 6-23- Medicaid Services Department 05 [FR 05-12454] Medicaid and Medicare: Health care programs; fraud Training: Water pollution control: Hospice care; participation and abuse: Reporting requirements; comments due by 7-26- National Pollutant Discharge conditions; comments due Health Insurance Portability 05; published 5-27-05 [FR Elimination System— by 7-26-05; published 5- and Accountability Act— 27-05 [FR 05-09935] 05-10641] Concentrated animal Data collection program; SMALL BUSINESS feeding operations in Medicare: final adverse actions ADMINISTRATION New Mexico and Cost reports; electronic reporting; correction; Oklahoma; general submission; comments comments due by 7-25- Disaster loan areas: permit for discharges; due by 7-26-05; published 05; published 6-24-05 Maine; Open for comments Open for comments 5-27-05 [FR 05-10570] [FR 05-12481] until further notice; until further notice; HEALTH AND HUMAN HOMELAND SECURITY published 2-17-04 [FR 04- published 12-7-04 [FR SERVICES DEPARTMENT DEPARTMENT 03374] 04-26817] Food and Drug Coast Guard OFFICE OF UNITED STATES Water pollution; effluent Administration Anchorage regulations: TRADE REPRESENTATIVE guidelines for point source Food for human consumption: Maryland; Open for Trade Representative, Office categories: Food labeling— comments until further of United States Meat and poultry products notice; published 1-14-04 Dietary noncariogenic Generalized System of processing facilities; Open [FR 04-00749] carbohydrate Preferences: for comments until further sweeteners and dental Drawbridge operations: 2003 Annual Product notice; published 9-8-04 caries; health claims; Virginia; comments due by Review, 2002 Annual [FR 04-12017] comments due by 7-27- 7-25-05; published 6-8-05 Country Practices Review, FEDERAL 05; published 5-13-05 [FR 05-11397] and previously deferred COMMUNICATIONS [FR 05-09608] Regattas and marine parades: product decisions; COMMISSION Salmonella; shell egg Pasquotank River, Elizabeth petitions disposition; Open Committees; establishment, producers to implement City, NC; marine events; for comments until further renewal, termination, etc.: prevention measures; comments due by 7-28- notice; published 7-6-04 Technological Advisory comments due by 7-25- 05; published 6-28-05 [FR [FR 04-15361] Council; Open for 05; published 6-8-05 [FR 05-12730] TRANSPORTATION comments until further 05-11407] Thunder over the DEPARTMENT notice; published 3-18-05 Human cells, tissues, and Boardwalk; comments due Federal Aviation [FR 05-05403] cellular and tissue-based by 7-26-05; published 7- Administration Common carrier services: products; donor screening 11-05 [FR 05-13576] Airworthiness directives:
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Airbus; comments due by 7- precious metal, stones, Florida, as the ‘‘Arthur Stacey located at 12433 Antioch 29-05; published 6-29-05 or jewels; comments Mastrapa Post Office Road in Overland Park, [FR 05-12839] due by 7-25-05; Building’’. (July 12, 2005; 119 Kansas, as the ‘‘Ed Eilert Post Boeing; comments due by published 6-9-05 [FR Stat. 367) Office Building’’. (July 12, 7-29-05; published 6-14- 05-11431] H.R. 504/P.L. 109–25 2005; 119 Stat. 374) 05 [FR 05-11708] To designate the facility of the H.R. 1542/P.L. 109–32 Bombardier; comments due United States Postal Service LIST OF PUBLIC LAWS To designate the facility of the by 7-26-05; published 5- located at 4960 West United States Postal Service 27-05 [FR 05-10536] Washington Boulevard in Los This is a continuing list of located at 695 Pleasant Street Burkhart Grob; comments Angeles, California, as the public bills from the current in New Bedford, due by 7-25-05; published ‘‘Ray Charles Post Office session of Congress which Massachusetts, as the 6-21-05 [FR 05-12178] Building’’. (July 12, 2005; 119 have become Federal laws. It ‘‘Honorable Judge George N. Fokker; comments due by Stat. 368) may be used in conjunction Leighton Post Office Building’’. 7-29-05; published 6-29- with ‘‘PLUS’’ (Public Laws H.R. 627/P.L. 109–26 05 [FR 05-12838] (July 12, 2005; 119 Stat. 375) Update Service) on 202–741– To designate the facility of the Rolls-Royce plc; comments H.R. 2326/P.L. 109–33 6043. This list is also United States Postal Service due by 7-26-05; published available online at http:// located at 40 Putnam Avenue To designate the facility of the 5-27-05 [FR 05-10635] www.archives.gov/ in Hamden, Connecticut, as United States Postal Service Turbomeca S.A.; comments federal—register/public—laws/ the ‘‘Linda White-Epps Post located at 614 West Old due by 7-26-05; published public—laws.html. Office’’. (July 12, 2005; 119 County Road in Belhaven, 5-27-05 [FR 05-10295] The text of laws is not Stat. 369) North Carolina, as the ‘‘Floyd Airworthiness standards: published in the Federal H.R. 1072/P.L. 109–27 Lupton Post Office’’. (July 12, Special conditions— 2005; 119 Stat. 376) Register but may be ordered To designate the facility of the Diamond Aircraft in ‘‘slip law’’ (individual Industries; comments United States Postal Service S. 1282/P.L. 109–34 pamphlet) form from the located at 151 West End due by 7-28-05; To amend the Superintendent of Documents, Street in Goliad, Texas, as published 6-28-05 [FR Communications Satellite Act U.S. Government Printing the ‘‘Judge Emilio Vargas Post 05-12720] of 1962 to strike the Office, Washington, DC 20402 Office Building’’. (July 12, Class E airspace; comments privatization criteria for (phone, 202–512–1808). The 2005; 119 Stat. 370) due by 7-25-05; published text will also be made INTELSAT separated entities, 6-8-05 [FR 05-11326] available on the Internet from H.R. 1082/P.L. 109–28 remove certain restrictions on TRANSPORTATION GPO Access at http:// To designate the facility of the separated and successor DEPARTMENT www.gpoaccess.gov/plaws/ United States Postal Service entities to INTELSAT, and for National Highway Traffic index.html. Some laws may located at 120 East Illinois other purposes. (July 12, Safety Administration not yet be available. Avenue in Vinita, Oklahoma, 2005; 119 Stat. 377) as the ‘‘Francis C. Goodpaster Civil monetary penalties; Last List July 13, 2005 H.R. 120/P.L. 109–22 Post Office Building’’. (July 12, inflation adjustment; To designate the facility of the 2005; 119 Stat. 371) comments due by 7-25-05; United States Postal Service published 5-25-05 [FR 05- H.R. 1236/P.L. 109–29 located at 30777 Rancho Public Laws Electronic 10366] California Road in Temecula, To designate the facility of the TREASURY DEPARTMENT California, as the ‘‘Dalip Singh United States Postal Service Notification Service Internal Revenue Service Saund Post Office Building’’. located at 750 4th Street in (PENS) Income taxes: (July 12, 2005; 119 Stat. 365) Sparks, Nevada, as the ‘‘Mayor Tony Armstrong Limitations on benefits and H.R. 289/P.L. 109–23 Memorial Post Office’’. (July PENS is a free electronic mail contributions under To designate the facility of the 12, 2005; 119 Stat. 372) notification service of newly qualified plans; comments United States Postal Service enacted public laws. To due by 7-25-05; published located at 8200 South H.R. 1460/P.L. 109–30 subscribe, go to http:// 5-31-05 [FR 05-10268] Vermont Avenue in Los To designate the facility of the listserv.gsa.gov/archives/ TREASURY DEPARTMENT Angeles, California, as the United States Postal Service publaws-l.html Currency and foreign ‘‘Sergeant First Class John located at 6200 Rolling Road transactions; financial Marshall Post Office Building’’. in Springfield, Virginia, as the ‘‘Captain Mark Stubenhofer Note: This service is strictly reporting and recordkeeping (July 12, 2005; 119 Stat. 366) for E-mail notification of new requirements: H.R. 324/P.L. 109–24 Post Office Building’’. (July 12, 2005; 119 Stat. 373) laws. The text of laws is not USA PATRIOT Act; To designate the facility of the available through this service. implementation— United States Postal Service H.R. 1524/P.L. 109–31 PENS cannot respond to Anti-money laundering located at 321 Montgomery To designate the facility of the specific inquiries sent to this programs for dealers in Road in Altamonte Springs, United States Postal Service address.
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