12–02–03 Tuesday Vol. 68 No. 231 Dec. 2, 2003
Pages 67357–67584
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1 II Federal Register / Vol. 68, No. 231 / Tuesday, December 2, 2003
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2 III
Contents Federal Register Vol. 68, No. 231
Tuesday, December 2, 2003
Agricultural Marketing Service Corporation for National and Community Service PROPOSED RULES NOTICES Organic producers and marketers; exemption from Agency information collection activities; proposals, assessments for market promotion activities, 67381– submissions, and approvals; correction, 67404 67385 Council on Environmental Quality NOTICES Agriculture Department Meetings: See Agricultural Marketing Service National Environmental Policy Act Task Force, 67437 See Forest Service See Natural Resources Conservation Service Defense Department NOTICES See Army Department Privacy Act: See Navy Department Systems of records, 67392–67397 Drug Enforcement Administration Alcohol and Tobacco Tax and Trade Bureau NOTICES RULES Applications, hearings, determinations, etc.: Alcohol; viticultural area designations: Abbott Laboratories, 67473 Russian River Valley, Sonoma County, CA, 67367–67371 American Radiolabeled Chemical, Inc., 67473 PROPOSED RULES Cambrex Charles City, Inc., 67473–67474 Alcoholic beverages: Cambrex North Brunswick, Inc., 67474 Flavored malt beverages Cambridge Isotope Laboratories, Inc., 67474–67475 Comments received; Internet posting, 67388–67389 Dinozzi, Anthony D., D.D.S., 67475 Lifepoint, Inc., 67475–67476 Lin-Zhi International, Inc., 67476 Army Department Lusman, Jules M., M.D., 67476–67477 NOTICES National Center for Development of Natural Products, Patent licenses; non-exclusive, exclusive, or partially University of Mississippi, 67477 exclusive: Normaco Inc., 67477–67478 Material compositions of microbial and chemical Novus Fine Chemicals, LLC, 67478 protection, 67404–67405 Penick, Corp., 67478 Reversible garment, 67405 Perry, Anthony, M.D., 67478–67479 Senior Executive Service: Sigma Aldrich Research Biochemicals, Inc., 67479–67480 Performance Review Board; membership, 67405–67406 Stepan Co., 67480 Wildlife Laboratories, Inc., 67480 Centers for Disease Control and Prevention NOTICES Education Department Grants and cooperative agreements; availability, etc.: NOTICES Human immunodeficiency virus (HIV)— Agency information collection activities; proposals, Capacity building assistance to improve delivery and submissions, and approvals, 67407–67408 effectiveness of HIV prevention services for racial/ Employment and Training Administration ethnic minority populations, 67557–67566 NOTICES Prevention projects for community based organizations, Adjustment assistance: 67565–67575 Alcoa Composition Foils, 67484 Youth Violence Prevention Through Community-Level Amerbelle Corp., 67484 Change Program, 67450–67455 Art Leather Manufacturing Co., Inc., 67484 Dillon Floral Corp., 67484–67485 Citizenship and Immigration Services Bureau Fishing Vessels— NOTICES LADA SANDRA, 67485 Agency information collection activities; proposals, NEW VIKING, 67485 submissions, and approvals, 67463–67464 J.P. Berringer, 67485 Metal Process Assistance, 67485 Coast Guard MT Picture Display Corp. of America, 67485 RULES Star Machine Shop, 67485–67486 Ports and waterways safety: Employment Standards Administration Bogue Sound, NC; safety zone, 67371–67372 NOTICES Agency information collection activities; proposals, Commerce Department submissions, and approvals, 67486 See Foreign-Trade Zones Board See International Trade Administration Energy Department See National Oceanic and Atmospheric Administration See Federal Energy Regulatory Commission
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See Western Area Power Administration Federal Reserve System NOTICES NOTICES Grants and cooperative agreements; availability, etc.: Banks and bank holding companies: National Energy Technology Laboratory— Change in bank control, 67442 Developing coal energy resources; development of Formations, acquisitions, and mergers, 67442 technologies and capabilities, 67408–67409 Meetings; Sunshine Act, 67442
Environmental Quality Council Federal Trade Commission See Council on Environmental Quality NOTICES Franchising and business opportunity ventures; disclosure Equal Employment Opportunity Commission requirements and prohibitions; exemptions: NOTICES Paccar, Inc., 67442–67443 Agency information collection activities; proposals, Rolls-Royce Corp., 67443–67444 submissions, and approvals, 67437–67439 Premerger notification waiting periods; early terminations, Executive Office of the President 67444–67447 Prohibited trade practices: See Council on Environmental Quality Memorial Hermann Health Network Providers, 67447– Federal Aviation Administration 67449 RULES Fish and Wildlife Service Class E airspace, 67357–67362 Standard instrument approach procedures, 67363–67364 NOTICES PROPOSED RULES Endangered and threatened species permit applications, Airworthiness directives: 67465–67467 Hamilton Sundstrand Corp., 67385–67388 NOTICES Food and Drug Administration Agency information collection activities; proposals, RULES submissions, and approvals, 67502–67503 Medical devices: Airport noise compatibility program: Dental devices— Noise exposure maps— Dental sonography and jaw tracking devices; Jackson Hole Airport, WY, 67503–67504 classification, 67365–67367 Exemption petitions; summary and disposition, 67504– NOTICES 67505 Human drugs: Passenger facility charges; applications, etc.: Patent extension; regulatory review period Glynn County Airport Commission; GA, et al., 67505– determinations— 67506 ELOXATIN, 67456–67457 Waterloo Municipal Airport, IA, 67506 INVANZ, 67457–67458 LEXAPRO, 67455–67456 Federal Communications Commission Meetings: RULES Foodborne Listeria monocytogenes among selected Digital television stations; table of assignments: categories of ready-to-eat foods, relative risk to public Florida, 67378 health; risk assessment; correction, 67458 Radio stations; table of assignments: Reports and guidance documents; availability, etc.: Georgia, 67378–67379 Dental devices— PROPOSED RULES Dental sonography and jaw tracking devices; Class II Radio stations; table of assignments: special controls, 67458–67459 Ohio, 67390 Drugs of abuse screening tests; premarket submission and Pennsylvania, 67389 labeling recommendations, 67460–67461 NOTICES Foodborne listeria monocytogenes among selected Agency information collection activities; proposals, categories of ready-to-eat foods, relative risk to public submissions, and approvals, 67439–67441 health; risk assessment document, etc., 67461 Meetings: North American Numbering Council, 67441 Foreign-Trade Zones Board Rulemaking proceedings; petitions filed, granted, denied, NOTICES etc., 67441–67442 Applications, hearings, determinations, etc.: Kentucky, 67400 Federal Energy Regulatory Commission Michigan NOTICES Wacker Chemical Corp.; silicone and ceramics products Electric rate and corporate regulation filings: manufacturing and warehousing, 67400 Trunkline Gas Co., LLC, et al., 67410–67412 Mississippi Wisconsin Electric Power Co., et al., 67412–67414 Chevron Products Co.; oil refinery complex, 67400 Applications, hearings, determinations, etc.: Missouri CenterPoint Energy Gas Transmission Co., 67409 Bayer CropScience; agricultural chemical products Indicated Shippers et al., 67410 manufacturing facilities, 67401 Federal Maritime Commission Forest Service PROPOSED RULES NOTICES Ocean common carriers and marine terminal operators Environmental statements; notice of intent: agreements, 67509–67555 Helena National Forest, MT, 67397–67399
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Meetings: Land Management Bureau Lake Tahoe Basin Federal Advisory Committee, 67399 NOTICES Resource Advisory Committees— Environmental statements; availability, etc.: Plumas County, 67399 Northwest National Petroleum Reserve, AK; Alaska Final Integrated Activity Plan, 67467–67468 Health and Human Services Department Meetings: See Centers for Disease Control and Prevention Steens Mountain Advisory Council, 67468 See Food and Drug Administration See Substance Abuse and Mental Health Services Legal Services Corporation Administration RULES NOTICES Outside practice of law by full-time legal services attorneys, Scientific misconduct findings; administrative actions: 67372–67378 Blackwell, Sheila, 67449 Creek, Khalilah, 67449–67450 Maritime Administration Woodward, Lajuane, 67450 NOTICES Coastwise trade laws; administrative waivers: Homeland Security Department FOREVER YOUNG, 67506–67507 See Citizenship and Immigration Services Bureau LET IT RIDE, 67507 See Coast Guard See Immigration and Customs Enforcement Bureau Minerals Management Service RULES Nonimmigrant classes: NOTICES Agency information collection activities; proposals, Aliens— submissions, and approvals, 67468–67470 Special registration requirements; 30-day and annual interview requirements suspended, 67577–67584 National Aeronautics and Space Administration Housing and Urban Development Department RULES NOTICES Grant and Cooperative Agreement Handbook: Agency information collection activities; proposals, Photographs and illustrations in reports or publications; submissions, and approvals, 67465 public acknowledgements, 67364–67365 NOTICES Immigration and Customs Enforcement Bureau Agency information collection activities; proposals, NOTICES submissions, and approvals, 67486–67487 Agency information collection activities; proposals, submissions, and approvals, 67464–67465 National Oceanic and Atmospheric Administration RULES Interior Department Fishery conservation and management: See Fish and Wildlife Service Alaska; fisheries of Exclusive Economic Zone— See Land Management Bureau Pacific cod, 67379–67380 See Minerals Management Service PROPOSED RULES See National Park Service Fishery conservation and management: Alaska; fisheries of Exclusive Economic Zone— International Trade Administration Gulf of Alaska groundfish, 67390–67391 NOTICES NOTICES Antidumping: Committees; establishment, renewal, termination, etc.: Brake rotors from— Channel Islands National Marine Sanctuary Advisory China, 67402–67403 Council, 67403–67404 Antidumping and countervailing duties: Fishery conservation and management: Administrative review requests, 67401–67402 West Coast States and Western Pacific fisheries— Pacific Coast groundfish; vessel monitoring systems; International Trade Commission correction, 67404 NOTICES Import investigations: National Park Service Malleable iron pipe fittings from— NOTICES China, 67472–67473 National Register of Historic Places: Pending nominations, 67470–67472 Justice Department See Drug Enforcement Administration Natural Resources Conservation Service See Justice Programs Office NOTICES Field office technical guides; changes: Justice Programs Office Michigan, 67399–67400 NOTICES Agency information collection activities; proposals, Navy Department submissions, and approvals, 67480–67484 NOTICES Inventions, Government-owned; availability for licensing, Labor Department 67406–67407 See Employment and Training Administration Meetings: See Employment Standards Administration Ocean Research Advisory Panel, 67407
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Nuclear Regulatory Commission Railroad services abandonment: NOTICES Burlington Northern & Santa Fe Railway Co., 67508 Agency information collection activities; proposals, submissions, and approvals, 67488–67489 Transportation Department Environmental statements; availability, etc.: See Federal Aviation Administration Energy Nuclear Operations, Inc., 67490–67491 See Maritime Administration Regulatory guides; issuance, availability, and withdrawal, See Surface Transportation Board 67491–67492 Reports and guidance documents; availability, etc.: Alternative Dispute Resolution Pilot Program; policies Treasury Department and procedures development; comment request and See Alcohol and Tobacco Tax and Trade Bureau public workshop, 67492 Applications, hearings, determinations, etc.: Western Area Power Administration Dominion Nuclear North Anna, LLC, 67489–67490 NOTICES Pick-Sloan Missouri Basin Program, Eastern Division; post Securities and Exchange Commission 2005 resource pool; power allocation procedures and NOTICES call for applications Agency information collection activities; proposals, Response to comments, 67414–67417 submissions, and approvals, 67492–67494 Public Utility Holding Company Act of 1935 filings, 67495– Power marketing plans: 67496 Sierra Nevada Region; post-2004 operations; operational Self-regulatory organizations; proposed rule changes: alternatives, 67417–67437 American Stock Exchange LLC, 67496–67498 Chicago Board Options Exchange, Inc., 67498–67499 International Securities Exchange, Inc., 67499–67500 Separate Parts In This Issue Pacific Exchange, Inc., 67500–67501 Applications, hearings, determinations, etc.: Preferred Income Fund Inc., 67494 Part II Preferred Income Opportunity Fund Inc., 67494–67495 Federal Maritime Commission, 67509–67555
Small Business Administration Part III NOTICES Health and Human Services Department, Centers for Disaster loan areas: Disease Control and Prevention, 67557–67575 Puerto Rico, 67501–67502 West Virginia, 67502 Part IV Substance Abuse and Mental Health Services Homeland Security Department, 67577–67584 Administration NOTICES Organization, functions, and authority delegations: Reader Aids Office of the Administrator et al., 67461–67463 Consult the Reader Aids section at the end of this issue for Senior Executive Service: Performance Review Board; membership, 67463 phone numbers, online resources, finding aids, reminders, and notice of recently enacted public laws. Surface Transportation Board To subscribe to the Federal Register Table of Contents NOTICES LISTSERV electronic mailing list, go to http:// Railroad operation, acquisition, construction, etc.: listserv.access.gpo.gov and select Online mailing list Burlington Northern & Santa Fe Railway Co., 67507– archives, FEDREGTOC-L, Join or leave the list (or change 67508 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.
7 CFR Proposed Rules: 900...... 67381 8 CFR 264...... 67578 14 CFR 71 (5 documents) ...... 67357, 67358, 67359, 67360, 67361 97...... 67363 1260...... 67364 Proposed Rules: 39...... 67385 21 CFR 872...... 67365 27 CFR 9...... 67367 Proposed Rules: 7...... 67388 25...... 67388 33 CFR 165...... 67371 45 CFR 1604...... 67372 46 CFR Proposed Rules: 501...... 67510 535...... 67510 47 CFR 73 (2 documents) ...... 67378 Proposed Rules: 73 (2 documents) ...... 67389, 67390 50 CFR 679...... 67379 Proposed Rules: 679...... 67390
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Rules and Regulations Federal Register Vol. 68, No. 231
Tuesday, December 2, 2003
This section of the FEDERAL REGISTER Office between 9 a.m. and 5 p.m., adverse comments or objections. Unless contains regulatory documents having general Monday through Friday, except Federal a written adverse or negative comment, applicability and legal effect, most of which holidays. The Docket Office (telephone or a written notice of intent to submit are keyed to and codified in the Code of 1–800–647–5527) is on the plaza level an adverse or negative comment is Federal Regulations, which is published under of the Department of Transportation received within the comment period, 50 titles pursuant to 44 U.S.C. 1510. NASSIF Building at the above address. the regulation will become effective on The Code of Federal Regulations is sold by FOR FURTHER INFORMATION CONTACT: the date specified above. After the close the Superintendent of Documents. Prices of Kathy Randolph, Air Traffic Division, of the comment period, the FAA will new books are listed in the first FEDERAL Airspace Branch, ACE–520C, DOT publish a document in the Federal REGISTER issue of each week. Regional Headquarters Building, Federal Register indicating that no adverse or Aviation Administration, 901 Locust, negative comments were received and Kansas City, MO 64106; telephone: confirming the date on which the final DEPARTMENT OF TRANSPORTATION (816) 329–2525. rule will become effective. If the FAA does receive, within the comment Federal Aviation Administration SUPPLEMENTARY INFORMATION: This amendment to 14 CFR 71 modifies the period, an adverse or negative comment, or written notice of intent to submit 14 CFR Part 71 Class E airspace area extending upward from 700 feet above the surface at such a comment, a document [Docket No. FAA–2003–16498; Airspace Mount Pleasant, IA. A review of withdrawing the direct final rule will be Docket No. 03–ACE–82] controlled airspace at Mount Pleasant, published in the Federal Register, and IA indicates 700 feet Above Ground a notice of proposed rulemaking may be Modification of Class E Airspace; Level (AGL) airspace required for published with a new comment period. Mount Pleasant, IA diverse departures, as specified in FAA Comments Invited AGENCY: Federal Aviation Order 7400.2E, Procedures for Handling Interested parties are invited to Administration (FAA), DOT. Airspace Matters, for Mount Pleasant Municipal Airport does not comply participate in this rulemaking by ACTION: Direct final rule; request for with the Order. The criteria in FAA submitting such written data, views, or comments. Order 7400.2E for an aircraft to reach arguments, as they may desire. Comments that provide the factual basis SUMMARY: A review of controlled 1200 feet AGL is based on a standard airspace for Mount Pleasant, IA climb gradient of 200 feet per mile plus supporting the views and suggestions indicates it does not comply with the the distance from the Airport Reference presented are particularly helpful in criteria for 700 feet Above Ground Level Point (ARP) to the end of the outermost developing reasoned regulatory (AGL) airspace required for diverse runway. Any fractional part of a mile is decisions on the proposal. Comments departures. The review also revealed a converted to the next higher tenth of a are specifically invited on the overall discrepancy in the Mount Pleasant, IA mile. The area is enlarged to conform to regulatory, aeronautical, economic, Class E airspace area southeast the criteria in FAA Order 7400.2E. This environmental, and energy-related extension. This action enlarges the Class action also modifies the southeast aspects of the proposal. E airspace area to provide adequate extension of the Mount Pleasant, IA Communications should identify both protection for diverse departures, Class E airspace area by defining it with docket numbers and be submitted in corrects the discrepancy in the the 147° bearing from the Mount triplicate to the address listed above. southeast extension and brings the legal Pleasant NDB versus the current 144° Commenters wishing the FAA to description into compliance with FAA bearing. It brings the legal description of acknowledge receipt of their comments Orders. this airspace area into compliance with on this notice must submit with those FAA Order 7400.2E. The area will be comments a self-addressed, stamped DATES: This direct final rule is effective depicted on appropriate aeronautical postcard on which the following on 0901 UTC, February 19, 2004. charts. Class E airspace areas extending statement is made: Comments for inclusion in the Rules upward from 700 feet or more above the ‘‘Comments to Docket No. FAA– Docket must be received on or before surface of the earth are published in 2003–16498/Airspace Docket No. 03– December 31, 2003. paragraph 6005 of FAA Order 7400.9L, ACE–82.’’ The postcard will be ADDRESSES: Send comments on this dated September 2, 2003, and effective date/time stamped and returned to the proposal to the Docket Management September 16, 2003, which is commenter. System, U.S. Department of incorporated by reference in 14 CFR Agency Findings Transportation, Room Plaza 401, 400 71.1. The Class E airspace designation Seventh Street, SW., Washington, DC listed in this document will be The regulations adopted herein will 20590–0001. You must identify the published subsequently in the Order. not have a substantial direct effect on docket number FAA–2003–16498/ the States, on the relationship between Airspace Docket No. 03–ACE–82, at the The Direct Final Rule Procedure the national Government and the States, beginning of your comments. You may The FAA anticipates that this or on the distribution of power and also submit comments on the Internet at regulation will not result in adverse or responsibilities among the various http://dms.dot.gov. You may review the negative comment and, therefore, is levels of government. Therefore, it is public docket containing the proposal, issuing it as direct final rule. Previous determined that this final rule does not any comments received, and any final actions of this nature have not been have federalism implications under disposition in person in the Dockets controversial and have not resulted in Executive Order 13132.
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The FAA has determined that this DEPARTMENT OF TRANSPORTATION from 700 feet above the surface of the regulation is noncontroversial and earth at Oskaloosa, IA. An examination unlikely to result in adverse or negative Federal Aviation Administration of controlled airspace for Oskaloosa comments. For the reasons discussed in Municipal Airport reveals it does not the preamble, I certify that this 14 CFR Part 71 meet the criteria for 700 AGL airspace regulation (1) is not a ‘‘significant [Docket No. FAA–2003–16500; Airspace required for diverse departures as regulatory action’’ under Executive Docket No. 03–ACE–84] specified in FAA Order 7400.2E. The Order 12866; (2) is not a ‘‘significant criteria in FAA Order 7400.2E for an rule’’ under Department of Modification of Class E Airspace; aircraft to reach 1,200 feet AGL is based Transportation (DOT) Regulatory Oskaloosa, IA on a standard climb gradient of 200 feet Policies and Procedures (44 FR 11034, per miles plus the distance from the February 26, 1979); and (3) if AGENCY: Federal Aviation Airport Reference Point (ARP) to the promulgated, will not have a significant Administration (FAA), DOT. end of the outermost runway. Any economic impact, positive or negative, ACTION: Direct final rule; request for on a substantial number of small entities comments. fractional part of a mile is converted to under the criteria of the Regulatory the next higher tenth of a miles. The SUMMARY: Flexibility Act. This action modifies the Class examination also reveals that the north E airspace area at Oskaloosa, IA. A extension to the Class E airspace area is List of Subjects in 14 CFR Part 71 review of controlled airspace for larger than required to protect existing Airspace, Incorporation by reference, Oskaloosa Municipal Airport indicates IAPs serving Oskaloosa Municipal Navigation (air). it does not comply with the criteria for Airport. This amendment enlarges the 700 feet Above Ground Level (AGL) radius of the controlled airspace area Adoption of the Amendment airspace required for diverse departures around Oskaloosa Municipal Airport, ■ Accordingly, the Federal Aviation as specified in FAA Order 7400.2E, decreases the length of the north Administration amends 14 CFR part 71 Procedures for Handling Airspace extension of this airspace area and as follows: Matters. The review also reveals that the brings the legal description into north extension to the Class E airspace compliance with FAA Order 7400.2E. PART 71—DESIGNATION OF CLASS A, area is larger than required to protect This area will be depicted on CLASS B, CLASS C, CLASS D, AND existing Instrument Approach appropriate aeronautical charts. Class E CLASS E AIRSPACE AREAS; Procedures (IAPs) serving Oskaloosa airspace areas extending upward from AIRWAYS; ROUTES; AND REPORTING Municipal Airport. The area is modified 700 feet or more above the surface of the to conform to the criteria in FAA Order ■ 1. The authority citation for part 71 earth are published in paragraph 6005 of 7400.2E. continues to read as follows: FAA Order 7400.9L, dated September 2, DATES: This direct final rule is effective 2003, and effective September 16, 2003, Authority: 49 U.S.C. 106(g), 40103, 40113, on 0901 UTC, April 15, 2004. Comments 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– which is incorporated by reference in 14 for inclusion in the Rules Docket must 1963 Comp., p. 389. CFR 71.1. The Class E airspace be received on or before January 15, designation listed in this document will § 71.1 [Amended] 2004. be published subsequently in the Order. ■ 2. The incorporation by reference in 14 ADDRESSES: Send comments on this CFR 71.1 of Federal Aviation proposal to the Docket Management The Direct Final Rule Procedure Administration Order 7400.9L, dated System, U.S. Department of The FAA anticipates that this September 2, 2003, and effective Transportation, Room Plaza 401, 400 regulation will not result in adverse or September 16, 2003, is amended as Seventh Street, SW., Washington, DC follows: 20590–0001. You must identify the negative comment and, therefore, is docket number FAA–2003–16500/ issuing it as a direct final rule. Previous Paragraph 6005 Class E airspace areas actions of this nature have not been extending upward from 700 feet or more Airspace Docket No. 03–ACE–84, at the above the surface of the earth. beginning of your comments. You may controversial and have not resulted in adverse comments or objections. Unless * * * * * also submit comments on the Internet at http://dms.dot.gov. You may review the a written adverse or negative comment, ACE IA E5 Mount Pleasant, IA public docket containing the proposal, or a written notice of intent to submit Mount Pleasant Municipal Airport, IA an adverse or negative comment is ° ′ ″ ° ′ ″ any comments received, and any final (Lat. 40 56 56 N., long. 91 30 40 W.) disposition in person in the Dockets received within the comment period, Mount Pleasant NDB the regulation will become effective on (Lat. 40°56′34″ N., long. 91°30′34″ W.) Office between 9 a.m. and 5 p.m., Monday through Friday, except Federal the date specified above. After the close That airspace extending upward from 700 feet above the surface within a 6.4-mile holidays. The Docket Office (telephone of the comment period, the FAA will radius of Mount Pleasant Municipal Airport; 1–800–647–5527) is on the plaza level publish a document in the Federal and within 2.6 miles each side of the 147° of the Department of Transportation Register indicating that no adverse or bearing from the Mount Pleasant NDB NASSIF Building at the above address. negative comments were received and extending from the 6.4-miles radius to 7 FOR FURTHER INFORMATION CONTACT: confirming the date on which the final miles southeast of the airport. Kathy Randolph, Air Traffic Division, rule will become effective. If the FAA * * * * * Airspace Branch, ACE–520C, DOT does receive, within the comment Issued in Kansas City, MO on November Municipal Headquarters Building, period, an adverse or negative comment, 21, 2003. Federal Aviation Administration, 901 or written notice of intent to submit Paul J. Sheridan, Locust, Kansas City, MO 64106; such a comment, a document Acting Manager, Air Traffic Division, Central telephone: (816) 329–2525. withdrawing the direct final rule will be Region. SUPPLEMENTARY INFORMATION: This published in the Federal Register, and [FR Doc. 03–30014 Filed 12–1–03; 8:45 am] amendment to 14 CFR 71 modifies the a notice of proposed rulemaking may be BILLING CODE 4910–13–M Class E airspace area extending upward published with a new comment period.
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Comments Invited PART 71—DESIGNATION OF CLASS A, Above Ground Level (AGL) airspace CLASS B, CLASS C, CLASS D, AND required for diverse departures as Interested parties are invited to CLASS E AIRSPACE AREAS; specified in FAA Order 7400.2E, participate in this rulemaking by AIRWAYS; ROUTES; AND REPORTING Procedures for Handling Airspace submitting such written data, views, or POINTS Matters. The review also reveals that the augments as they may desire. Comments north extension to the Class E airspace that provide the factual basis supporting ■ 1. The authority citation for part 71 area is not required to protect existing the views and suggestions presented are continues to read as follows: Instrument Approach Procedures (IAPs) particularly helpful in developing Authority: 49 U.S.C. 106(g), 40103, 40113, serving Osceola Municipal Airport. The reasoned regulatory decisions on the 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– area is modified to conform to the proposal. Comments are specifically 1963 Comp., p. 389. criteria in FAA Order 7400.2E. invited on the overall regulatory, § 71.1 [Amended] DATES: This direct final rule is effective aeronautical, economic, environmental, on 0901 UTC, April 15, 2004. Comments and energy-related aspects of the ■ 2. The incorporation by reference in 14 for inclusion in the Rules Docket must proposal. Communications should CFR 71.1 of Federal Aviation be received on or before January 14, identify both docket numbers and be Administration Order 7400.9L, dated 2004. September 2, 2003, and effective submitted in triplicate to the address ADDRESSES: Send comments on this listed above. Commenters wishing the September 16, 2003, is amended as follows: proposal to the Docket Management FAA to acknowledge receipt of their System, U.S. Department of comments on this notice must submit * * * * * Transportation, Room Plaza 401, 400 with those comments a self-addressed, Seventh Street, SW., Washington, DC stamped postcard on which the Paragraph 6005 Class E, Airspace areas extending upward from 700 feet or more 20590–0001. You must identify the following statement is made: above the surface of the earth. docket number FAA–2003–16499/ ‘‘Comments to Docket No. FAA–2003– * * * * * Airspace Docket No. 03–ACE–83, at the 16500/Airspace Docket No. 03–ACE– beginning of your comments. You may 84.’’ The postcard will be date/time ACE IA E5 Oskaloosa, IA also submit comments on the Internet at stamped and returned to the Oskaloosa Municipal Airport, IA http://dms.dot.gov. You may review the commenter. (Lat. 41°13′34″N., long 92°29′ 38″W.) public docket containing the proposal, Oskaloosa NDB any comments received, and any final Agency Findings (Lat. 41°13′32″N., long 92°29′ 15″W.) disposition in person in the Dockets The regulations adopted herein will That airspace extending upward from 700 Office between 9 a.m. and 5 p.m., feet above the surface within a 6.4-mile not have a substantial direct effect on Monday through Friday, except Federal radius of Oskaloosa Municipal Airport; and holidays. The Docket Office (telephone the States, on the relationship between within 2.6 miles each side of the 018° bearing the national Government and the States, 1–800–647–5527) is on the plaza level from the Oskaloosa NDB extending from the of the Department of Transportation or on the distribution of power and 6.4-mile radius to 7 miles north of the NDB, NASSIF Building at the above address. responsibilities among the various excluding that airspace within the Ottumwa, levels of government. Therefore, it is IA Class E airspace area. FOR FURTHER INFORMATION CONTACT: determined that this final rule does not * * * * * Kathy Randolph, Air Traffic Division, Airspace Branch, ACE–520C, DOT have federalism implications under Issued in Kansas City, MO, on November Municipal Headquarters Building, Executive Order 13132. 20, 2003. Federal Aviation Administration, 901 The FAA has determined that this David W. Hope, Locust, Kansas City, MO 64106; regulation is noncontroversial and Acting Manager, Air Traffic Division, Central telephone: (816) 329–2525. Region. unlikely to result in adverse or negative SUPPLEMENTARY INFORMATION: This comments. For the reasons discussed in [FR Doc. 03–30016 Filed 12–1–03; 8:45 am] amendment to 14 CFR 71 modifies the the preamble, I certify that this BILLING CODE 4910–13–M Class E airspace area extending upward regulation (1) is not a ‘‘significant from 700 feet above the surface of the regulatory action’’ under Executive earth at Osceola, IA. An examination of Order 12866; (2) is not a ‘‘significant DEPARTMENT OF TRANSPORTATION controlled airspace of Osceola rule’’ under Department of Federal Aviation Administration Municipal Airport reveals it does not Transportation (DOT) Regulatory meet the criteria for 700 AGL airspace Policies and procedures (44 FR 11034, required for diverse departures as 14 CFR Part 71 February 26, 1979); and (3) if specified in FAA Order 7400.2E. The promulgated, will not have a significant [Docket No. FAA–2003–16499; Airspace criteria in FAA Order 7400.2E for an economic impact, positive or negative, Docket No. 03–ACE–83] aircraft to reach 1200 feet AGL is based on a substantial number of small entities on a standard climb gradient of 200 feet Modification of Class E Airspace; under the criteria of the Regulatory per mile plus the distance from the Osceola, IA Flexibility Act. Airport Reference Point (ARP) to the AGENCY: Federal Aviation end of the outermost runway. Any List of Subjects in 14 CFR Part 71 Administration (FAA), DOT. fractional part of a mile is converted to Airspace, Incorporation by reference, ACTION: Direct final rule; request for the next higher tenth of a mile. The examination also reveals that the north Navigation (air). comments. extension to the Class E airspace area is Adoption of the Amendment SUMMARY: This action modifies the Class not required to protect existing IAPs E airspace area at Osceola, IA. A review serving Osceola Municipal Airport. This ■ Accordingly, the Federal Aviation of controlled airspace for Osceola amendment enlarges the radius of the Administration amends 14 CFR part 71 Municipal Airport indicates it does not controlled airspace area around Osceola as follows: comply with the criteria for 700 feet Municipal Airport, deletes the north
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extension of this airspace area and will be date/time stamped and returned That airspace extending upward from 700 brings the legal description into to the commenter. feet above the surface with in a 6.4-mile compliance with FAA Order 7400.2E. radius of Osceola Municipal Airport. Agency Findings This area will be depicted on * * * * * appropriate aeronautical charts. Class E The regulations adopted herein will Issued in Kansas City, MO, on November airspace areas extending upward from not have a substantial direct effect on 20, 2003. 700 feet or more above the surface of the the States, on the relationship between David W. Hope, the national Government and the States, earth are published in paragraph 6005 of Acting Manager, Air Traffic Division, Central FAA Order 7400.9L, dated September 2, or on the distribution of power and Region. responsibilities among the various 2003, and effective September 16, 2003, [FR Doc. 03–30017 Filed 12–1–03; 8:45 am] which is incorporated by reference in 14 levels of government. Therefore, it is CFR 71.1 The Class E airspace determined that this final rule does not BILLING CODE 4910–13–M designation listed in this document will have federalism implications under be published subsequently in the Order. Executive Order 13132. DEPARTMENT OF TRANSPORTATION The FAA has determined that this The Direct Final Rule Procedure regulation is noncontroversial and Federal Aviation Administration The FAA anticipates that this unlikely to result in adverse or negative regulation will not result in adverse or comments. For the reasons discussed in 14 CFR Part 71 negative comment and, therefore, is the preamble, I certify that this issuing it as a direct final rule. Previous regulation (1) is not a ‘‘significant [Docket No. FAA–2003–16502; Airspace Docket No. 03–ACE–86] actions of this nature have not been regulatory action’’ under Executive controversial and have not resulted in Order 12866; (2) is not a ‘‘significant Modification of Class E Airspace; adverse comments or objections. Unless rule’’ under Department of Waverly, IA a written adverse or negative comment, Transportation (DOT) Regulatory or a written notice of intent to submit Policies and Procedures (44 FR 11034, AGENCY: Federal Aviation an adverse or negative comment is February 26, 1979); and (3) if Administration (FAA), DOT. received within the comment period, promulgated,will not have a significant ACTION: Direct final rule; request for the regulation will become effective on economic impact, positive or negative, comments. 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 SUMMARY: This action modifies the Class publish a document in the Federal Flexibility Act. E airspace area at Waverly, IA. A review Register indicating that no adverse or of controlled airspace for Waverly negative comments were received and List of Subjects in 14 CFR Part 71 Municipal Airport, Waverly, IA, confirming the date on which the final Airspace, Incorporation by reference, indicates it does not comply with the rule will become effective. If the FAA Navigation (air). criteria for 700 feet Above Ground Level does receive, within the comment (AGL) airspace required for diverse period, an adverse or negative comment, Adoption of the Amendment departures as specified in FAA Order or written notice of intent to submit ■ Accordingly, the Federal Aviation 7400.2E, Procedures for Handling such a comment, a document Administration amends 14 CFR part 71 Airspace Matters. The area is enlarged withdrawing the direct final rule will be as follows: to conform to the criteria in FAA Order published in the Federal Register, and 7400.2E. a notice of proposed rulemaking may be PART 71—DESIGNATION OF CLASS A, DATES: This direct final rule is effective published with a new comment period. CLASS B, CLASS C, CLASS D, AND on 0901 UTC, April 15, 2004. Comments Comments Invited CLASS E AIRSPACE AREAS; for inclusion in the Rules Docket must AIRWAYS; ROUTES; AND REPORTING be received on or before January 20, Interested parties are invited to POINTS 2004. participate in this rulemaking by submitting such written data, views, or ■ 1. The authority citation for part 71 ADDRESSES: Send comments on this arguments, as they may desire. continues to read as follows: proposal to the Docket Management Comments that provide the factual basis Authority: 49 U.S.C. 106(g), 40103, 40113, System, U.S. Department of supporting the views and suggestions 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– Transportation, Room Plaza 401, 400 presented are particularly helpful in 1963 Comp., p. 389. Seventh Street, SW., Washington, DC developing reasoned regulatory 20590–0001. You must identify the decisions on the proposal. Comments § 71.1 [Amended] docket number FAA–2003–16502/ are specifically invited on the overall ■ 2. The incorporation by reference in 14 Airspace Docket No. 03–ACE–86, at the regulatory, aeronautical, economic, CFR 71.1 of Federal Aviation beginning of your comments. You may environmental, and energy-related Administration Order 7400.9L, dated also submit comments on the Internet at aspects of the proposal. September 2, 2003, and effective http://dms.dot.gov. You may review the Communications should identify both September 16, 2003, is amended as public docket containing the proposal, docket numbers and be submitted in follows: any comments received, and any final triplicate to the address listed above. disposition in person in the Dockets Commenters wishing the FAA to * * * * * Office between 9 a.m. and 5 p.m., Paragraph 6005 Class E airspace areas acknowledge receipt of their comments Monday through Friday, except Federal extending upward from 700 feet or more holidays. The Docket Office (telephone on this notice must submit with those above the surface of the earth. comments a self-addressed, stamped 1–800–647–5527) is on the plaza level * * * * * postcard on which the following of the Department of Transportation statement is made: ‘‘Comments to ACE IA E5 Osceola, IA NASSIF Building at the above address. Docket No. FAA–2003–16499/Airspace Osceola Municipal Airport, IA FOR FURTHER INFORMATION CONTACT: Docket No. 03–ACE–83.’’ The postcard (Lat. 41°03′08″ N., long. 93°41′23″ W.) Kathy Randolph, Air Traffic Division,
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Airspace Branch, ACE–520C, DOT Comments Invited PART 71—DESIGNATION OF CLASS A, Municipal Headquarters Building, CLASS B, CLASS C, CLASS D, AND Federal Aviation Administration, 901 Interested parties are invited to CLASS E AIRSPACE AREAS; Locust, Kansas City, MO 64106; participate in this rulemaking by AIRWAYS; ROUTES; AND REPORTING telephone: (816) 329–2525. submitting such written data, views, or POINTS arguments, as they may desire. SUPPLEMENTARY INFORMATION: This Comments that provide the factual basis ■ 1. The authority citation for part 71 amendment to 14 CFR 71 modifies the continues to read as follows: Class E airspace area extending upward supporting the views and suggestions from 700 feet above the surface of the presented are particularly helpful in Authority: 49 U.S.C. 106(g), 40103, 40113, earth at Waverly, IA. An examination of developing reasoned regulatory 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– controlled airspace for Waverly decisions on the proposal. Comments 1963 Comp., p. 389. are specifically invited on the overall Municipal Airport reveals it does not § 71.1 [Amended] regulatory, aeronautical, economic, meet the criteria for 700 AGL airspace ■ required for diverse departures as environmental, and energy-related 2. The incorporation by reference in 14 specified in FAA Order 7400.2E. The aspects of the proposal. Comments CFR 71.1 of Federal Aviation criteria in FAA Order 7400.2E for an should identify both docket numbers Administration Order 7400.9L, dated aircraft to reach 1200 feet AGL is based and be submitted in triplicate to the September 2, 2003, and effective on a standard climb gradient of 200 feet address listed above. Commenters September 16, 2003, is amended as per mile plus the distance from the wishing the FAA to acknowledge follows: Airport Reference Point (ARP) to the receipt of their comments on this notice * * * * * end of the outermost runway. Any must submit with those comments a Paragraph 6005 Class E airspace areas fractional part of a mile is converted to self-addressed, stamped postcard on extending upward from 700 feet or more the next higher tenth of a mile. This which the following statement is made: above the surface of the earth. amendment enlarges the radius of the ‘‘Comments to Docket No. FAA–2003– * * * * * controlled airspace area around Waverly 16502/Airspace Docket No. 03–ACE– ACE IA E5 WAVERLY, IA Municipal Airport and brings the legal 86.’’ The postcard will be date/time Waverly Municipal Airport, IA description into compliance with FAA stamped and returned to the ° ′ ″ ° ′ ″ Order 7400.2E. This area will be commenter. (Lat. 42 44 31 N., long. 92 30 29 W.) depicted on appropriate aeronautical That airspace extending upward from 700 Agency Findings feet above the surface within a 6.3-mile charts. Class E airspace areas extending radius of Waverly Municipal Airport, upward from 700 feet or more above the The regulations adopted herein will excluding that airspace with the Waterloo, IA surface of the earth are published in not have a substantial direct effect on Class E airspace area. paragraph 6005 of FAA Order 7400.9L, the States, on the relationship between * * * * * dated September 2, 2003, and effective the national Government and the States, Issued in Kansas City, MO, on November September 16, 2003, which is or on the distribution of power and incorporated by reference in 14 CFR 20, 2003. responsibilities among the various David W. Hope, 71.1. The Class E airspace designation levels of government. Therefore, it is Acting Manager, Air Traffic Division, Central listed in this document will be determined that this final rule does not published subsequently in the Order. Region. have federalism implications under [FR Doc. 03–30018 Filed 12–1–03; 8:45 am] The Direct Final Rule Procedure Executive Order 13132. BILLING CODE 4910–13–M The FAA anticipates that this The FAA has determined that this regulation will not result in adverse or regulation is noncontroversial and negative comment and, therefore, is unlikely to result in adverse or negative DEPARTMENT OF TRANSPORTATION issuing it as a direct final rule. Previous comments. For the reasons discussed in actions of this nature have not been the preamble, I certify that this Federal Aviation Administration controversial and have not resulted in regulation (1) is not a ‘‘significant adverse comments or objections. Unless regulatory action’’ under Executive 14 CFR Part 71 a written adverse or negative comment, Order 12866; (2) is not a ‘‘significant or a written notice of intent to submit rule’’ under Department of [Docket No. FAA–2003–16501; Airspace an adverse or negative comment is Transportation (DOT) Regulatory Docket No. 03–ACE–85] received within the comment period, Policies and Procedures (44 FR 11034, Modification of Class E Airspace; the regulation will become effective on February 26, 1979); and (3) if Tipton, IA the date specified above. After the close promulgated, will not have a significant of the comment period, the FAA will economic impact, positive or negative, AGENCY: Federal Aviation publish a document in the Federal on a substantial number of small entities Administration (FAA), DOT. Register indicating that no adverse or under the criteria of the Regulatory ACTION: Direct final rule; request for negative comments were received and Flexibility Act. comments. confirming the date on which the final rule will become effective. If the FAA List of Subjects in 14 CFR Part 71 SUMMARY: This action modifies the Class does receive, within the comment Airspace, Incorporation by reference, E airspace area at Tipton, IA. A review period, an adverse or negative comment, of controlled airspace for Mathews Navigation (air). or written notice of intent to submit Memorial Airport, Tipton, IA, indicates such a comment, a document Adoption of the Amendment it does not comply with the criteria for withdrawing the direct final rule will be 700 feet Above Ground Level (AGL) published in the Federal Register, and ■ Accordingly, the Federal Aviation airspace required for diverse departures a notice of proposed rulemaking may be Administration amends 14 CFR part 71 as specified in FAA Order 7400.2E, published with a new comment period. as follows: Procedures for Handling Airspace
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Matters. The area is enlarged to conform The Direct Final Rule Procedure The FAA has determined that this to the criteria in FAA Order 7400.2E. The FAA anticipates that this regulation is noncontroversial and DATES: This direct final rule is effective regulation will not result in adverse or unlikely to result in adverse or negative on 0901 UTC, April 15, 2004. Comments negative comment and, therefore, is comments. For the reasons discussed in for inclusion in the Rules Docket must issuing it as a direct final rule. Previous the preamble, I certify that this be received on or before January 16, actions of this nature have not been regulation (1) is not a ‘‘significant 2004. controversial and have not resulted in regulatory action’’ under Executive ADDRESSES: Send comments on this adverse comments or objections. Unless Order 12866; (2) is not a ‘‘significant proposal to the Docket Management a written adverse or negative comment, rule’’ under Department of System, U.S. Department of or a written notice of intent to submit Transportation (DOT) Regulatory Transportation, Room Plaza 401, 400 an adverse or negative comment is Policies and Procedures (44 FR 11034, Seventh Street, SW., Washington, DC received within the comment period, February 26, 1979); and (3) if 10590–0001. You must identify the the regulation will become effective on promulgated, will not have a significant docket number FAA–2003–16501/ the date specified above. After the close economic impact, positive or negative, Airspace Docket No. 03–ACE–85, at the of the comment period, the FAA will on a substantial number of small entities beginning of your comments. You may publish a document in the Federal under the criteria of the Regulatory also submit comments on the Internet at Register indicating that no adverse or Flexibility Act. http://dms.dot.gov. You may review the negative comments were received and List of Subjects in 14 CFR Part 71 public docket containing the proposal, confirming the date on which the final any comments received, and any final rule will become effective. If the FAA Airspace, Incorporation by reference, disposition in person in the Dockets does receive, within the comment Navigation (air). Office between 9 a.m. and 5 p.m., period, an adverse or negative comment, Adoption of the Amendment Monday through Friday, except Federal or written notice of intent to submit holidays. The Docket Office (telephone such a comment, a document ■ Accordingly, the Federal Aviation 1–800–647–5527) is on the plaza level withdrawing the direct final rule will be Administration amends 14 CFR part 71 of the Department of Transportation published in the Federal Register, and as follows: NASSIF Building at the above address. a notice of proposed rulemaking may be FOR FURTHER INFORMATION CONTACT: published with a new comment period. PART 71—DESIGNATION OF CLASS A, Kathy Randolph, Air Traffic Division, Comments Invited CLASS B, CLASS C, CLASS D, AND Airspace Branch, ACE–520C, DOT CLASS E AIRSPACE AREAS; Municipal Headquarters Building, Interested parties are invited to AIRWAYS; ROUTES; AND REPORTING Federal Aviation Administration, 901 participate in this rulemaking by POINTS Locust, Kansas City, MO 64106; submitting such written data, views, or telephone: (816) 329–2525. arguments, as they may desire. ■ 1. The authority citation for part 71 SUPPLEMENTARY INFORMATION: This Comments that provide the factual basis continues to read as follows: supporting the views and suggestions amendment to 14 CFR 71 modifies the Authority: 49 U.S.C. 106(g), 40103, 40113, Class E airspace area extending upward presented are particularly helpful in 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– from 700 feet above the surface of the developing reasoned regulatory 1963 Comp., p. 389. earth at Tipton, IA. An examination of decisions on the proposal. Comments controlled airspace for Mathews are specifically invited on the overall § 71.1 [Amended] Memorial Airport reveals it does not regulatory, aeronautical, economic, ■ meet the criteria for 700 AGL airspace environmental, and energy-related 2. The incorporation by reference in 14 required for diverse departures as aspects of the proposal. CFR 71.1 of Federal Aviation specified in FAA Order 7400.2E. The Communications should identify both Administration Order 7400.9L, dated criteria in FAA Order 7400.2E for an docket numbers and be submitted in September 2, 2003, and effective aircraft to research 1200 feet AGL is triplicate to the address listed above. September 16, 2003, is amended as based on a standard climb gradient of Commenters wishing the FAA to follows: 200 feet per mile plus the distance from acknowledge receipt of their comments * * * * * the Airport Reference Point (ARP) to the on this notice must submit with those end of the outermost runway. Any comments a self-addressed, stamped Paragraph 6005 Class E airspace areas fractional part of a mile is converted to postcard on which the following extending upward from 700 feet or more above the surface of the earth. the next higher tenth of a mile. This statement is made: ‘‘Comments to amendment enlarges the radius of the Docket No. FAA–2003–16501/Airspace * * * * * controlled airspace area around Docket No. 03–ACE–85.’’ The postcard ACE IA E5 Tipton, IA Mathews Memorial Airport and brings will be date/time stamped and returned Tipton, Mathews Memorial Airport, IA the legal description into compliance to the commenter. (Lat. 41° 45′ 48″ N., long. 91° 09′ 11″ W.) with FAA Order 7400.2E. This area will Agency Findings That airspace extending upward from 700 be depicted on appropriate aeronautical feet above the surface within a 6.3-mile charts. Class E airspace areas extending The regulations adopted herein will radius of Mathews Memorial Airport. upward from 700 feet or more above the not have a substantial direct effect on * * * * * surface of the earth are published in the States, on the relationship between paragraph 6005 of FAA Order 7400.9L, the national Government and the States, Issued in Kansas City, MO, on November dated September 2, 2003, and effective or on the distribution of power and 20, 2003. September 16, 2003, which is responsibilities among the various David W. Hope, incorporated by reference in 14 CFR levels of government. Therefore, it is Acting Manager, Air Traffic Division, Central 71.1. The Class E airspace designation determined that this final rule does not Region. listed in this document will be have federalism implications under [FR Doc. 03–30015 Filed 12–1–03; 8:45 am] published subsequently in the Order. Executive Order 13132. BILLING CODE 4910–13–M
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DEPARTMENT OF TRANSPORTATION by the Superintendent of Documents, remaining SIAPs, an effective date at U.S. Government Printing Office, least 30 days after publication is Federal Aviation Administration Washington, DC 20402. provided. FOR FURTHER INFORMATION CONTACT: Further, the SIAPs contained in this 14 CFR Part 97 Donald P. Pate, Flight Procedure amendment are based on the criteria [Docket No. 30398; Amdt. No. 3084] Standards Branch (AMCAFS–420), contained in the U.S. Standard for Flight Technologies and Programs Terminal Instrument Procedures Standard Instrument Approach Division, Flight Standards Service, (TERPS). In developing these SIAPs, the Procedures; Miscellaneous Federal Aviation Administration, Mike TERPS criteria were applied to the Amendments Monroney Aeronautical Center, 6500 conditions existing or anticipated at the South MacArthur Blvd. Oklahoma City, affected airports. Because of the close AGENCY: Federal Aviation OK. 73169 (Mail Address: P.O. Box and immediate relationship between Administration (FAA), DOT. 25082 Oklahoma City, OK. 73125) these SIAPs and safety in air commerce, ACTION: Final rule. telephone: (405) 954–4164. I find that notice and public procedure before adopting these SIAPs are SUMMARY: This amendment establishes, SUPPLEMENTARY INFORMATION: This amendment to part 97 of the Federal impracticable and contrary to the public amends, suspends, or revokes Standard interest and, where applicable, that Instrument Approach Procedures Aviation Regulations (14 CFR part 97) establishes, amends, suspends, or good cause exists for making some (SIAPs) for operations at certain SIAPs effective in less than 30 days. airports. These regulatory actions are revokes Standard Instrument Approach needed because of the adoption of new Procedures (SIAPs). The complete Conclusion or revised criteria, or because of changes regulatory description of each SIAP is contained in official FAA form The FAA has determined that this occurring in the National Airspace regulation only involves an established System, such as the commissioning of documents which are incorporated by reference in this amendment under 5 body of technical regulations for which new navigational facilities, addition of frequent and routine amendments are new obstacles, or changes in air traffic U.S.C. 552(a), 1 CFR part 51, and § 97.20 of the Federal Aviation Regulations necessary to keep them operationally requirements. These changes are current. It, therefore—(1) is not a designed to provide safe and efficient (FAR). The applicable FAA Forms are identified as FAA Forms 8260–3, 8260– ‘‘significant regulatory action’’ under use of the navigable airspace and to Executive Order 12866; (2) is not a promote safe flight operations under 4, and 8260–5. Materials incorporated by reference are available for ‘‘significant rule’’ under DOT instrument flight rules at the affected Regulatory Policies and Procedures (44 airports. examination or purchase as stated above. FR 11034; February 26, 1979); and (3) DATES: This rule is effective December 2, The large number of SIAPs, their does not warrant preparation of a 2003. The compliance date for each complex nature, and the need for a regulatory evaluation as the anticipated SIAP is specified in the amendatory special format make their verbatim impact is so minimal. For the same provisions. publication in the Federal Register reason, the FAA certifies that this The incorporation by reference of expensive and impractical. Further, amendment will not have a significant certain publications listed in the airmen do not use the regulatory text of economic impact on a substantial regulations is approved by the Director the SIAPs, but refer to their graphic number of small entities under the of the Federal Register as of December depiction on charts printed by criteria of the Regulatory Flexibility Act. 2, 2003. publishers of aeronautical materials. List of Subjects in 14 CFR Part 97 ADDRESSES: Availability of matters Thus, the advantages of incorporation incorporated by reference in the by reference are realized and Air Traffic Control, Airports, amendment is as follows: publication of the complete description Incorporation by reference, and For Examination— of each SIAP contained in FAA form Navigation (Air). 1. FAA Rules Docket, FAA documents is unnecessary. The Issued in Washington, DC on November 21, Headquarters Building, 800 provisions of this amendment state the 2003. Independence Avenue, SW., affected CFR (and FAR) sections, with James J. Ballough, Washington, DC 20591; the types and effective dates of the Director, Flight Standards Service. 2. The FAA Regional Office of the SIAPs. This amendment also identifies region in which the affected airport is the airport, its location, the procedure Adoption of the Amendment located; identification and the amendment ■ Accordingly, pursuant to the authority 3. The Flight Inspection Area Office number. delegated to me, part 97 of the Federal which originated the SIAP; or, The Rule Aviation Regulations (14 CFR part 97) is 4. The Office of Federal Register, 800 amended by establishing, amending, North Capitol Street, NW., Suite 700, This amendment to part 97 is effective suspending, or revoking Standard Washington, DC. upon publication of each separate SIAP Instrument Approach Procedures, For Purchase—Individual SIAP as contained in the transmittal. Some effective at 0901 UTC on the dates copies may be obtained from: SIAP amendments may have been specified, as follows: 1. FAA Public Inquiry Center (APA– previously issued by the FAA in a 200), FAA Headquarters Building, 800 National Flight Data Center (NFDC) PART 97—STANDARD INSTRUMENT Independence Avenue, SW., Notice to Airmen (NOTAM) as an APPROACH PROCEDURES Washington, DC 20591; or emergency action of immediate flight 2. The FAA Regional Office of the safety relating directly to published ■ 1. The authority citation for part 97 region in which the affected airport is aeronautical charts. The circumstances continues to read as follows: located. which created the need for some SIAP Authority: 49 U.S.C. 106(g), 40103, 40106, By Subscription—Copies of all SIAPs, amendments may require making them 40113, 40114, 40120, 44502, 44514, 44701, mailed once every 2 weeks, are for sale effective in less than 30 days. For the 44719, 44721–44722.
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■ 2. Part 97 is amended to read as Newport News, VA, Newport News/ SUPPLEMENTARY INFORMATION: follows: Williamsburg Intl, RNAV (GPS) RWY 20, Orig. A. Background * * * Effective December 25, 2003 New Richmond, WI, New Richmond In publications generated from North Little Rock, AR, North Little Rock Muni, NDB RWY 14, Amdt. 2 NASA’s award of grants and cooperative Muni, RNAV (GPS) RWY 5, Orig. New Richmond, WI, New Richmond agreements, principal investigators North Little Rock, AR, North Little Rock Muni, RNAV (GPS) RWY 14, Orig. sometimes fail to acknowledge NASA’s Muni, GPS RWY 5, Amdt. 1, New Richmond, WI, New Richmond photographs and illustrations. This final Cancelled Muni, RNAV (GPS) RWY 32, Orig. Searcy, AR, Searcy Muni, LOC RWY 1, New Richmond, WI, New Richmond rule sets forth NASA’s desire for Orig. Muni, GPS RWY 32, Orig., Cancelled acknowledgement in 14 CFR 1260.22. NASA published a proposed rule in the Daytona Beach, FL, Daytona Beach Intl, * * * Effective January 22, 2004 LOC BC RWY 25R, Amdt. 15 Federal Register on August 15, 2003 (68 Daytona Beach, FL, Daytona Beach Intl, Ada, OK, Ada Muni, VOR/DME-A, FR 48837). No comments were received. ILS RWY 7L, Amdt. 29 Orig.-D Therefore, the proposed rule is being adopted as final without change. Sandersville, GA, Kaolin Field, NDB OR * * * Effective February 19, 2004 GPS RWY 12, Amdt. 3, Cancelled B. Regulatory Flexibility Act Sandersville, GA, Kaolin Field, NDB Chevak, AK, Chevak, RNAV (GPS) RWY RWY 12, Orig. 14, Orig. NASA certifies that this final rule will Chevak, AK, Chevak, RNAV (GPS) RWY St. Cloud, MN, St. Cloud Regional, ILS not have a significant economic impact OR LOC RWY 31, Amdt. 3 32, Orig. Kivalina, AK, Kivalina, RNAV (GPS) on a substantial number of small entities St. Cloud, MN, St. Cloud Regional, within the meaning of the Regulatory VOR/DME RWY 13, Orig. RWY 12, Orig. Kivalina, AK, Kivalina, RNAV (GPS) Flexibility Act, 5 U.S.C. 601 et seq., St. Cloud, MN, St. Cloud Regional, VOR because (a) few grants and cooperative RWY 31, Orig. RWY 30, Orig. Kotlik, AK, Kotlik, RNAV (GPS) RWY agreements under 14 CFR part 1260 are St. Cloud, MN, St. Cloud Regional, NDB 02, Orig. awarded to small businesses, (b) it will RWY 31, Amdt. 3 Kotlik, AK, Kotlik, RNAV (GPS) RWY only affect the few recipients of awards St. Cloud, MN, St. Cloud Regional, 20, Orig. that make use of NASA photographs VOR/DME RWY 13, Amdt. 8C, Fort Worth, TX, Fort Worth Meacham and illustrations in their publications, Cancelled Intl, NDB RWY 16, Amdt. 6 and (c) this final rule has no economic St. Cloud, MN, St. Cloud Regional, VOR Fort Worth, TX, Fort Worth Meacham impact on award recipients since it only RWY 31, Amdt. 11, Cancelled Intl, RNAV (GPS) RWY 16, Orig. requests acknowledgment of the source Berlin, NH, Berlin Muni, RNAV (GPS) Quinton, VA, New Kent County, RNAV RWY 18, Orig. of photographs and illustrations in the (GPS) RWY 10, Orig. recipients’ publications. Berlin, NH, Berlin Muni, GPS RWY 18, Quinton, VA, New Kent County, RNAV Orig, Cancelled (GPS) RWY 28, Orig. C. Paperwork Reduction Act Berlin, NH, Berlin Muni, VOR-B, Amdt. Quinton, VA, New Kent County, VOR- 2A A, Amdt. 1 The Paperwork Reduction Act does New York, NY, John F. Kennedy Intl, not apply because this rule does not ILS RWY 22L, Amdt. 24 [FR Doc. 03–29844 Filed 12–1–03; 8:45 am] impose any new recordkeeping or Liberty, NC, Causey, RNAV (GPS) RWY BILLING CODE 4910–13–P information collection requirements, or 2, Orig. collection of information from offerors, Liberty, NC, Causey, RNAV (GPS) RWY contractors, or members of the public 20, Orig. NATIONAL AERONAUTICS AND that require the approval of the Office of Liberty, NC, Causey, VOR RWY 2, SPACE ADMINISTRATION Management (OMB) and Budget under Amdt. 5 44 U.S.C. 3501, et. seq. Zanesville, OH, Zanesville Muni, ILS 14 CFR Part 1260 OR LOC/DME RWY 22, Orig. RIN 2700–AC75 List of Subjects in 14 CFR Part 1260 Ponca City, OK, Ponca City Rgnl, RNAV Grant Programs—Science and (GPS) RWY 17, Orig. NASA Grant and Cooperative Ponca City, OK, Ponca City Rgnl, GPS Agreement Handbook—Public Technology. RWY 17, Orig., Cancelled Acknowledgements Tom Luedtke, Ponca City, OK, Ponca City Rgnl, RNAV AGENCY: Assistant Administrator for Procurement. (GPS) RWY 35, Orig. National Aeronautics and Ponca City, OK, Ponca City Rgnl, GPS Space Administration. ■ Accordingly, 14 CFR Part 1260 is RWY 35, Orig-A, Cancelled ACTION: Final rule. amended as follows: Wagoner, OK, Hefner-Easley, RNAV SUMMARY: This final rule amends the ■ 1. The authority citation for 14 CFR (GPS) RWY 18, Orig. NASA Grant and Cooperative Wagoner, OK, Hefner-Easley, RNAV 1260 continues to read as follows: Agreement Handbook to include public (GPS) RWY 36, Orig. Authority: 42 U.S.C. 2473(c)(1), Pub. L. 97– acknowledgement of NASA’s Newport News, VA, Newport News/ 258, and 96 Stat. 1003 (31 U.S.C. 6301, et photographs and illustrations in reports Williamsburg Intl, NDB RWY 2, seq.). or publications generated by NASA’s Amdt. 5 award of grants or cooperative Newport News, VA, Newport News/ PART 1260—GRANTS AND agreements. Williamsburg Intl, NDB RWY 20, COOPERATIVE AGREEMENTS Amdt. 4 EFFECTIVE DATE: December 2, 2003. Newport News, VA, Newport News/ FOR FURTHER INFORMATION CONTACT: Paul ■ 2. Amend the provision at section Williamsburg Intl, RNAV (GPS) RWY Brundage, Code HK, (202) 358–0481, e– 1260.22 by revising the date and adding 2, Orig. mail: [email protected]. paragraph (a)(3) to read as follows:
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§ 1260.22 Technical publications and 1997 (FDAMA) and the Medical Device procedures as delineated in section reports. User Fee and Modernization Act of 2002 510(k) of the act (21 U.S.C. 360(k)) and Technical Publications and Reports (MDUFMA). part 807 of the regulations (21 CFR part December 2003 DATES: This rule is effective January 2, 807). 2004. Through premarket notification (a) * * * procedures, a person may, without FOR FURTHER INFORMATION CONTACT: (3) As a courtesy, any release of a submission of a premarket approval NASA photograph or illustration should Mary S. Runner, Center for Devices and Radiological Health (HFZ–480), Food application (PMA), market a list NASA first on the credit line preamendments type device that has and Drug Administration, 9200 followed by the name of the Principal been classified into class III until FDA Corporate Blvd., Rockville, MD 20850, Investigator’s Institution. An example issues a final regulation under section 301–827–5283. follows: 515(b) of the act (21 U.S.C. 360e(b)) ‘‘Photograph
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goes beyond a simple display of raw requirements, if FDA determines that 601–612), and the Unfunded Mandates data should provide clinical information premarket notification is not necessary Reform Act of 1995 (2 U.S.C. 1501 et and verification that the information to provide reasonable assurance of seq.). Executive Order 12866 directs provided by these devices has clinical safety and effectiveness. FDA concludes agencies to assess all costs and benefits and diagnostic validity, sensitivity, and that premarket notification is necessary. of available regulatory alternatives. If specificity and, therefore, the special FDA has identified the following risks regulation is necessary, a regulatory control, in addition to the general to health associated with the class II agency must plot a course that controls, is necessary to provide devices as follows: (1) Electrical maximizes net benefits (including reasonable assurance of safety and interference. Electrical interference potential economic, environmental, effectiveness. generated by these devices may affect public health and safety, and other diagnostic and therapeutic medical advantages; distributive impacts; and III. Summary of Final Rule devices, such as certain types of cardiac equity). The agency believes this final FDA concurs that the dental pacemakers; (2) Improper treatment. rule is consistent with the regulatory sonography device and the jaw tracking There is no general consensus or philosophy and principles identified in device, used to monitor established standard of care regarding the Executive order. Additionally, as temporomandibular joint sounds and the interpretation of the output of these defined by the Executive order the final mandibular jaw positions relative to the devices. Therefore, a misdiagnosis of rule does not constitute a significant maxilla, respectively, should be temporomandibular joint disorders and regulatory action. As a result, the final classified into class I (general controls). associated orofacial pain may lead to rule is not subject to review under the General controls would provide improper treatment. Executive order. reasonable assurance of safety and The Regulatory Flexibility Act effectiveness for these devices for these IV. Special Controls Guidance requires agencies to analyze regulatory intended uses. FDA, however, believes Document options that would minimize any that the dental sonography device and Elsewhere in this issue of the Federal significant impact of a rule on small the jaw tracking device used to interpret Register, FDA is announcing the entities. The class I devices are already temporomandibular joint sounds and availability of the guidance document subject to the general controls mandibular jaw positions relative to the entitled ‘‘Class II Special Controls provisions of the act. The special maxilla, respectively, for the diagnosis Guidance Document: Dental controls guidance does not impose any of temporomandibular joint disorders Sonography and Jaw Tracking Devices.’’ new requirements on manufacturers of and associated orofacial pain should be This guidance document will serve as class I devices. Manufacturers of the classified into class II (special controls). the special control for the class II dental class II dental sonography and jaw Premarket notification for dental sonography and jaw tracking devices. tracking devices currently are required sonography and jaw tracking devices FDA believes that review of to submit premarket notifications. The with these intended uses should include performance characteristics described in guidance document reflects existing clinical information to demonstrate the special controls guidance and FDA practice in the review of these performance, as well as labeling appropriate labeling can ensure that premarket notifications. FDA expects instructing the user on proper acceptable levels of performance for that manufacturers of cleared dental technique, interpretation of the device both safety and effectiveness are sonography and jaw tracking devices outputs, and appropriate warnings and addressed before marketing clearance. will not have to take any additional precautions. FDA concurs with the Thus, persons who intend to market this action in response to this rule. This rule Panel’s recommendation that these device must submit to FDA a premarket will help expedite the review process devices should be subject to sale by or notification submission before for any new manufacturers of these on the order of a licensed practitioner. marketing the device. Following the devices. The agency therefore certifies FDA disagrees with the Panel that the effective date of the final classification that the final rule will not have a class I devices should require premarket rule, any firm submitting a 510(k) significant economic impact on a notification because they meet the premarket notification for these class II substantial number of small entities. In reserved criteria of section 510(l) of the devices will need to address the issues addition, this final rule will not impose act. FDA believes that the intended uses covered in the special control guidance. costs of $100 million or more on either of monitoring sounds emanated from However, the firm need only show that the private sector or State, local, and the temporomandibular joint or its device meets the recommendations tribal governments in the aggregate, and monitoring mandibular jaw positions of the guidance or in some other way therefore a summary statement of relative to the maxilla should be exempt provides equivalent assurances of safety analysis under section 202(a) of the from premarket notification. FDA and effectiveness. Unfunded Mandates Reform Act of 1995 believes these devices for these is not required. intended uses are not of substantial V. Environmental Impact VII. Federalism importance in preventing impairment of The agency has determined under 21 human health, nor do they present an CFR 25.34(b) that this classification FDA has analyzed this final rule in unreasonable risk of illness or injury. action is of a type that does not accordance with the principles set forth FDA, however, is classifying into individually or cumulatively have a in Executive Order 13132. FDA has class II, the dental sonography device significant effect on the human determined that the rule does not and the jaw tracking device used to environment. Therefore, neither an contain policies that have substantial interpret temporomandibular joint environmental assessment nor an direct effects on the States, on the sounds and mandibular jaw positions environmental impact statement is relationship between the National relative to the maxilla, respectively, for required. Government and the States, or on the the diagnosis of temporomandibular distribution of power and joint disorders and associated orofacial VI. Analysis of Impacts responsibilities among the various pain. Section 510(m) of the act provides FDA has examined the impacts of the levels of government. Accordingly, the that a class II device may be exempted final rule under Executive Order 12866, agency has concluded that the rule does from the premarket notification the Regulatory Flexibility Act (5 U.S.C. not contain policies that have
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federalism implications as defined in Guidance Document: Dental DEPARTMENT OF THE TREASURY the Executive order and, consequently, Sonography and Jaw Tracking Devices.’’ Alcohol and Tobacco Tax and Trade a federalism summary impact statement ■ 3. Section 872.2060 is added to subpart Bureau is not required. B to read as follows: VIII. Paperwork Reduction Act of 1995 § 872.2060 Jaw tracking device. 27 CFR Part 9 FDA concludes that the final rule [T.D. TTB–7; Re Notice No. 965] contains no collections of information. (a) Jaw tracking device for monitoring Therefore, clearance by the Office of mandibular jaw positions relative to the RIN: 1513–AA68 Management and Budget, according to maxilla—(1) Identification. A jaw the Paperwork Reduction Act of 1995 tracking device for monitoring Expansion of the Russian River Valley (44 U.S.C. 3501–3520) is not required. mandibular jaw positions relative to the Viticultural Area (2002R–421P) maxilla is a nonpowered or electrically AGENCY: Alcohol and Tobacco Tax and List of Subjects in 21 CFR Part 872 powered device that measures and Trade Bureau (TTB), Treasury. Medical devices. records anatomical distances and angles ACTION: Final rule (Treasury decision). ■ Therefore, under the Federal Food, in three dimensional space, to Drug, and Cosmetic Act and under determine the relative position of the SUMMARY: This final rule expands by authority delegated to the Commissioner mandible with respect to the location 767 acres the eastern boundary of the of Food and Drugs, 21 CFR part 872 is and position of the maxilla, while at rest Russian River Valley viticultural area in amended as follows: and during jaw movement. Sonoma County, California. The (2) Classification. Class I (general Alcohol and Tobacco Tax and Trade PART 872—DENTAL DEVICES controls). The device is exempt from the Bureau believes the use of viticultural ■ 1. The authority citation for 21 CFR premarket notification provisions of area names as appellations of origin in part 872 continues to read as follows: subpart E of part 807 of this chapter wine labeling and advertising helps subject to § 872.9. consumers identify the wines they may Authority: 21 U.S.C. 351, 360, 360c, 360e, purchase. It also allows wineries to 360j, 371. (b) Jaw tracking device for better designate the specific grape- ■ 2. Section 872.2050 is added to subpart interpretation of mandibular jaw growing area in which their wine grapes B to read as follows: positions for the diagnosis—(1) were grown. Identification. A jaw tracking device for EFFECTIVE DATE: This final rule is § 872.2050 Dental sonography device. interpretation of mandibular jaw effective on February 2, 2004. (a) Dental sonography device for positions relative to the maxilla for the FOR FURTHER INFORMATION CONTACT: monitoring—(1) Identification. A dental diagnosis of temporomandibular joint N.A. Sutton, Specialist, Regulations and sonography device for monitoring is an disorders and associated orofacial pain Procedures Division, Alcohol and electrically powered device, intended to is a nonpowered or electrically powered Tobacco Tax and Trade Bureau (TTB), be used to monitor temporomandibular device that measures and records 6660 Delmonico Drive, #D422, Colorado joint sounds. The device detects and anatomical distances and angles to records sounds made by the Springs, CO 80919; telephone 415–271– determine the relative position of the 1254. temporomandibular joint. mandible in three dimensional space, SUPPLEMENTARY INFORMATION: (2) Classification. Class I. The device with respect to the location and position is exempt from the premarket of the maxilla, while at rest and during Homeland Security Act Impact on Rule notification provisions of subpart E of jaw movement. The device records, Making part 807 of this chapter subject to displays, and stores information about § 872.9. Effective January 24, 2003, the jaw position. The device interprets jaw Homeland Security Act of 2002 divided (b) Dental sonography device for position to generate meaningful output, interpretation and diagnosis—(1) the Bureau of Alcohol, Tobacco and either directly or by connection to a Identification. A dental sonography Firearms (ATF) into two agencies, the personal computer. The device may be device for interpretation and diagnosis Alcohol and Tobacco Tax and Trade is an electrically powered device, a part of a system of devices, Bureau (TTB) in the Department of the intended to interpret contributing jaw position information to Treasury and the Bureau of Alcohol, temporomandibular joint sounds for the be considered with data from other Tobacco, Firearms and Explosives in the diagnosis of temporomandibular joint diagnostic components. Department of Justice. Regulation of disorders and associated orofacial pain. (2) Classification. Class II (special wine labeling, including viticultural The device detects, records, displays, controls). The special control for this area designations, is the responsibility and stores sounds made by the device is FDA’s guidance document of the new TTB. References to ATF in this document relate to events that temporomandibular joint during jaw entitled ‘‘Class II Special Controls occurred prior to January 24, 2003, or to movement. The device interprets these Guidance Document: Dental functions that the Bureau of Alcohol, sounds to generate meaningful output, Sonography and Jaw Tracking Devices.’’ either directly or by connection to a Tobacco, Firearms and Explosives personal computer. The device may be Dated: October 23, 2003. continues to perform. part of a system of devices, contributing Linda S. Kahan, Background on Viticultural Areas joint sound information to be Deputy Director, Center for Devices and considered with data from other Radiological Health. TTB Authority diagnostic components. [FR Doc. 03–29863 Filed 12–1–03; 8:45 am] The Federal Alcohol Administration (2) Classification. Class II (special BILLING CODE 4160–01–S Act (FAA Act) at 27 U.S.C. 205(e) controls). The special control for this requires that alcohol beverage labels device is FDA’s guidance document provide the consumer with adequate entitled ‘‘Class II Special Controls information regarding a product’s
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identity, while prohibiting the use of the named area. The FAA Act and our Name Evidence misleading information on such labels. regulations also prohibit the misleading The 767-acre expansion area was The FAA Act also authorizes the use of a viticultural area name on a wine commonly considered to be part of the Secretary of the Treasury to issue label in a context other than an original Russian River Valley regulations to carry out its provisions. appellation of origin. (See 27 CFR viticultural area. A Wine Country Living The Secretary has delegated this 4.33(b), 4.39(i), and 4.39(j). magazine map of viticultural areas, authority to the Alcohol and Tobacco Bottlers who use brand names, dated July 2002, shows the expansion Tax and Trade Bureau. including trademarked names, similar to area as being within the established Regulations in 27 CFR Part 4, Labeling ‘‘Russian River Valley’’ must ensure that Russian River Valley viticultural area’s and Advertising of Wine, allow the their existing products are eligible to borders. A June 2002, Wine Spectator establishment of definitive viticultural use the viticultural area’s name as an Online article states that the Vintners areas and the use of their names as appellation of origin. For a wine to be Inn hotel, which lies in the expansion appellations of origin on wine labels eligible, at least 85 percent of the grapes area, is within the originally established and in wine advertisements. Title 27 in the wine must have been grown boundaries. The Russian River Wine CFR part 9, American Viticultural within the viticultural area, and the Road Web site (1998–2002) locates the Areas, contains the list of approved wine must meet the other requirements Vintners Inn and Siduri Wines inside viticultural areas for American wines. of 27 CFR 4.25(e)(3). If a wine is not the Russian River viticultural area, Definition eligible for the appellation, the bottler although both are in the expansion area. must change the brand name or other In August 2002, the Russian River Title 27 CFR 4.25a(e)(1) defines an label reference and obtain approval of a Valley Winegrape Growers Association American viticultural area as a new label. Different rules apply if a Web site listed several members who are delimited grape-growing region wine in this category has a brand name in the expansion area. Also, road signs distinguishable by geographic features used prior to July 7, 1986. See 27 CFR indicate that the expanded boundary whose boundaries have been delineated 4.39(i) for details. area is locally associated with the in subpart C of part 9. These Russian River area. designations allow consumers and Russian River Valley Expansion vintners to attribute a given quality, Petition Boundary Evidence reputation, or other characteristic of ATF received a petition from Donald Historically, according to Mr. John wine made from grapes grown in an area L. Carano of the Ferrari-Carano Marcucci, whose family has owned to its geographic origin. Vineyards and Winery in Healdsburg, thirty acres in the area for four Requirements California, in August 2002, proposing a generations, the land in the expansion 767-acre expansion of the established area was used for prune orchards and Section 4.25(e)(2) outlines the 96,000-acre Russian River Valley vineyards. He recalls that, prior to 1918, procedure for proposing an American viticultural area (see 27 CFR 9.66). On the acreage was planted to Petite Syrah, viticultural area. Anyone interested may January 8, 2003, ATF published a Notice Zinfandel, and Pinot Noir wine grapes. petition TTB to establish a grape- of Proposed Rulemaking requesting Mr. Marcucci and Mr. Henry Bisordi, growing region as a viticultural area. comments on the expansion of the both life long residents of the area, also The petition must include— Russian River area. (See Notice No. 965, • Evidence that the proposed recollect that years ago prune orchards 68 FR 1020). TTB received six viticultural area is locally and/or were more profitable than vineyards, comments, which are described and nationally known by the name specified but when the market changed, some evaluated in the Notice of Proposed in the petition; orchards were replaced with vineyards. • Historical or current evidence that Rulemaking section of this document. The previous owner of the Vintners Inn the boundaries of the proposed Located approximately 55 miles north land claims that approximately 50 acres viticultural area are as specified in the of San Francisco, the Russian River were devoted to French Colombard ° petition; Valley expansion area fits into a 90 wine grapes and orchards. The orchards • Evidence that the proposed area’s angle in the original eastern boundary at were removed about 25 years ago for growing conditions, such as climate, the village of Fulton, which is just Chardonnay, Pinot Blanc, and soils, elevation, physical features, etc., northwest of the city of Santa Rosa in Sauvignon Blanc wine grape plantings. distinguish it from surrounding areas; Sonoma County, California. The Currently, 48 percent, or almost half of • A description of the proposed expansion area has the same climate the 767-acre expansion area, is used for viticultural area’s specific boundaries, and other characteristics as the viticulture. based on features found on United originally established Russian River Growing Conditions States Geological Survey (USGS)- Valley viticultural area. The added land Treasury Decision ATF–159 of approved maps; and accounts for less than a one percent • Copies of the appropriate USGS- increase in the original size of the October 21, 1983, 48 FR 48813, approved map(s) with the boundaries viticultural area. In the past, some established the Russian River Valley as prominently marked. winegrape growers in the expansion a viticultural area. This Treasury area erroneously believed their Decision stated: Impact on Current Wine Labels vineyards to be within the boundaries of The Russian River viticultural area As appellations of origin, viticultural the Russian River Valley viticultural includes those areas through which flow the area names have geographic significance area. The newly expanded boundaries Russian River or some of its tributaries and and, under the FAA Act, may not be include Fulton Road on the west, River where there is a significant climate effect used in a misleading manner on wine Road on the north, U.S. Highway 101 on from coastal fogs. The specific growing climate is the principal distinctive labels. Our 27 CFR part 4 label the east, and two locally known streets, characteristic of the Russian River Valley regulations prohibit the use of brand Dennis Lane and Francisco Avenue, on viticultural area. The area designated is a names with geographic significance on the south. Within these boundaries cool growing coastal area because of fog a wine unless the wine meets the approximately 365 acres are currently intruding up the Russian River and its appellation of origin requirements for planted to grapes. tributaries during the early morning hours.
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Climate Russian River Valley viticultural area, vineyards from April 2001 through both refer to the Winkler degree-day October 2001, which coincides with The term ‘‘Russian River,’’ as it (accumulated heat units) system used to Winkler’s growing season. Two of these applies to viticulture, refers to the cool classify grape-growing climatic regions vineyards are within the original temperatures and coastal fog that (see ‘‘General Viticulture,’’ Albert J. Russian River Valley viticultural area, influence portions of the Russian River Winkler, University of California Press, Valley. The expansion area has heavy while the other is in the newly 1975). As noted in Treasury Decision approved expansion area. This study fog, as noted on an undated map titled ATF–159, ‘‘The Russian River Valley ‘‘Lines of Heaviest and Average measured air temperature, wind speed, viticultural area is termed ‘coastal cool’ precipitation, and humidity at the three Maximum Fog Intrusion for Sonoma with a range of 2000 to 2800 County.’’ area vineyards. Documentation is accumulated heat units.’’ provided in the following table: The petition and Treasury Decision The 767-acre expansion petition ATF–159, which established the documented a degree-day study of three
Degree-Days Vineyard (accumulated heat units)
In the established viticultural area: Vino Farms Vineyard ...... 2,477 Storey Creek Vineyard ...... 2,736 In the proposed expansion area: LeCarrefour Vineyards ...... 2,636
The results from the three vineyards Watershed the boundaries of the originally studied show that all three are within Both the original Russian River Valley established Russian River Valley the 2,000 to 2,800 accumulated heat viticultural area and the expanded area viticultural area. This commenter notes units range found in the Russian River are in the large Russian River Valley that in the future he will not hesitate to Valley viticultural area, as stated in watershed, as noted on the (California) buy winegrapes from the expansion area Treasury Decision ATF–159. We Department of Fish and Game Inland and include them in his Russian River independently confirmed that Fisheries Division’s ‘‘Russian River Valley-labeled wines. LeCarrefour Vineyards, at 4350 Barnes Watershed’’ map of April 1, 1997. This The second favorable comment Road, Santa Rosa, California, is within watershed includes the Russian River requested approval of the proposed the approved expansion. and the tributaries noted in Treasury expansion and notes that the expansion Decision ATF–159. area ‘‘satisfies all the criteria outlined in Elevation Title 27 CFR 4.25a(e)(2) for proposing Notice of Proposed Rulemaking Elevations in the expansion area range an American viticultural area (AVA).’’ The commenter states that the from 130 feet to 160 feet, with a gentle Comments expansion area satisfies the principal rise from southwest to northeast, The Notice of Proposed Rulemaking, distinctive characteristic of the Russian according to the two USGS topographic Notice No. 965, requested comments River Valley viticultural area with its maps covering the expansion area. from all interested persons concerning ‘‘significant climatic effect from coastal These elevations are similar to those the expansion of the Russian River fogs.’’ found in the portion of the established Valley viticultural area by March 10, A comment, neither in favor or Russian River Valley viticultural area 2003. TTB received six comments. Two opposed to the Russian River Valley immediately adjacent to the expansion comments supported the petitioned viticultural area expansion petition, area. expansion, three opposed the expansion as petitioned, and one stated that this states that this type of ruling is ‘‘not in Soil type of Government ruling is not in the the public interest and the government public interest. These comments are has no business in this.’’ The comment The predominant soils of the posted on the TTB Web site under continues that such rulings are for expanded Russian River Valley Notice No. 965 at http://www.ttb.gov/ commercial purposes, do not directly viticultural area are Huichica Loam, alcohol/rules/index.htm. benefit the public, and argues that the Yolo Clay Loam, and Yolo Silt Loam, as After careful evaluation of each wine industry should be responsible for depicted on the Sonoma County Soil comment, TTB has approved the 767- this action. Survey map (USDA, 1972), sheet 74. acre expansion of the Russian River The FAA Act requires that alcohol These soils are also found within the Valley viticultural area in accordance beverage labels provide the consumer originally-established Russian River with the August 2002 petition’s with adequate information regarding, Valley viticultural area in vineyards to proposed boundaries. among other things, a product’s identity. the north of the expansion area, as noted The first supporting comment, from a TTB believes the use of viticultural area on pages 57 and 66 of the maps winemaker with 18 years of experience, names as appellations of origin in wine developed by the USDA’s, Forest states ‘‘the area between Fulton road labeling and advertising helps Service and Soil Conservation Service and Hwy 101, proposed for inclusion in consumers identify the wines they may in May 1972. Treasury Decision ATF– the RRV [Russian River Valley] in purchase. 159, which established the Russian Notice 965 is very true-to-type for the The first opposing comment states, ‘‘If River Valley viticultural area, does not RRV [Russian River Valley].’’ The anything, the Russian River Valley AVA identify any predominant soils or commenter explains that the quality of should be made smaller to reflect the indicate unique soils of the viticultural grapes grown in the expansion area is uniqueness of that area.’’ The area. on par with the nearby vineyards inside commenter adds that since the 767-acre
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expansion area falls outside the original area complies with the 27 CFR part 9 and Procedures Division, Alcohol and Russian River Valley viticultural area, and is similar to the established Russian Tobacco Tax and Trade Bureau. the expansion’s approval will mislead River Valley area, with the same List of Subjects in 27 CFR Part 9 wine buyers. The commenter concludes distinguishing cool, foggy climate. The that the petitioning winery should not Russian River Valley Winegrowers’ Wine. be allowed to purchase land outside the January 2003 petition to expand the established viticultural area’s Russian River Valley viticultural area by Authority and Issuance boundaries and then propose the area’s 30,200 acres includes the 767-acre ■ expansion to include its purchased expansion area approved in this rule. For the reasons discussed in the land. Because of the five months between preamble, we amend title 27, chapter I, In response, TTB notes that its 27 CFR receipt of the 767-acre expansion part 9, Code of Federal Regulations, as part 9 regulations state that TTB shall petition in August 2002 and the follows: receive and process petitions to winegrowers’ expansion petition in PART 9—AMERICAN VITICULTURAL establish viticultural areas and that such January 2003, we will continue to AREAS areas are found with the territorial process the January 2003 petition extent of the entire United States, separately. ■ 1. The authority citation for part 9 including the Russian River Valley. Therefore, through this final ruling, continues to read as follows: There is no regulatory provision to TTB incorporates the 767-acre prohibit petitioners, who have expansion area into 27 CFR 9.66, Authority: 27 U.S.C. 205. purchased property outside the Russian River Valley. ■ 2. Amend § 9.66, Russian River Valley boundaries of an established American Regulatory Analyses and Notices viticultural area by removing ‘‘Road’’ viticultural area, from proposing an and adding in its place ‘‘Avenue’’ at the expansion of the viticultural area’s Paperwork Reduction Act end of paragraph (c)(9), by redesignating boundary line to include their property. This rule imposes no requirement to paragraphs (c)(12) through (c)(24) as We have also determined that the collect information. Therefore, the (c)(14) through (c)(26), by revising petition supports the requirements in provisions of the Paperwork Reduction paragraphs (c)(10) and (c)(11), and by 4.25a(e)(2) for the expansion of this Act of 1995, 44 U.S.C. 3507, and its adding new paragraphs (c)(12) and viticultural area. implementing regulations, 5 CFR part (c)(13) to read as follows: Two commenters oppose the Carano 1320, do not apply. petition to expand the Russian River Subpart C—Approved American Valley viticultural area. Both argue that Regulatory Flexibility Act Viticultural Areas the expansion area does not comply The Regulatory Flexibility Act, 5 with the American Viticultural Area U.S.C. 601 et seq., requires an agency to § 9.66 Russian River Valley. regulations in 27 CFR part 9 because conduct a regulatory flexibility analysis * * * * * there is ‘‘substantial acreage outside the on any proposed rule that may have a (c) * * * proposed expanded boundaries that is significant economic impact on a (10) Proceed north on Wright Avenue, not significantly different, and in many substantial number of small entities. We which becomes Fulton Road, for cases is identical, to land within the certify that this regulation will not have approximately 3.8 miles to an unnamed proposed area of addition.’’ Also, they a significant economic impact on a unimproved road running to the east in explain there is no difference in climate, substantial number of small entities. Section 5 of T7W, R8W, which becomes soils, or elevation in the areas This regulation imposes no new a light duty road locally known as immediately beyond the Carano reporting, recordkeeping, or other Francisco Avenue, and continue boundary line expansion. One of the administrative requirements. commenters separately states the Carano The establishment of viticultural areas generally east on Francisco Avenue for petition is ‘‘incomplete.’’ represents neither our endorsement nor about 0.6 mile to its intersection with Both comment letters indicate that on approval of the quality of wine made the eastern boundary line of Section 5 January 17, 2003, the Russian River in T7W, R8W, at a point where from grapes grown in the areas. The use ° Valley Winegrowers group submitted a of viticultural names as appellations of Francisco Avenue makes a 90 turn to petition to expand the Russian River origin merely allow vintners to better the south. Valley viticultural area boundaries by describe the origin of their wines to (11) Proceed north along that section 30,200 acres. This group’s expansion consumers and helps consumers line for about 500 feet to a point due petition includes the subject area of this identify the wines they purchase. Thus, west of the intersection of Barnes Road final rule and, as discussed in the two any benefit derived from using a and an unnamed light duty road locally comments, other areas with similar viticultural area name results from a known as Dennis Lane. climate, soil and elevation. Both proprietor’s own efforts and consumer (12) Proceed straight east 1.2 miles, commenters requested that Carano’s acceptance of wines from that area. following Dennis Lane to its end, and August 2002 petition for the 767-acre Therefore, no regulatory flexibility continuing straight east to U.S. Highway expansion of the Russian River Valley analysis is required. 101, passing onto the Santa Rosa map in viticultural area, which is approved by the process. this ruling, be joined with the January Executive Order 12866 2003 expansion petition of the Russian This rule is not a significant (13) Proceed 1.3 miles straight River Valley Winegrowers group. regulatory action as defined by northwest along U.S. Highway 101, In response to the opposition to the Executive Order 12866, 58 FR 51735. passing onto the Sebastopol map, to its Carano petition, TTB notes that the two Therefore, it requires no regulatory intersection with an unnamed medium comments do not disagree with the assessment. duty road locally known as River Road petitioned 767-acre expansion, but west of U.S. Highway 101 and as Mark believe that the expansion should be Drafting Information West Springs Road east of U.S. Highway larger. The petitioner provided The principal author of this document 101. convincing evidence that the expansion is N.A. Sutton (Oregon), Regulations * * * * *
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Signed: September 3, 2003. effective less than 30 days after dominant in their fields, and John J. Manfreda, publication in the Federal Register. governmental jurisdictions with Acting Administrator. Publishing an NPRM and delaying the populations of less than 50,000. Approved: September 24, 2003. effective date of this rule would be The Coast Guard certifies under 5 Timothy E. Skud, contrary to the public interest since U.S.C. 605(b) that this rule will not have Deputy Assistant Secretary (Tax, Trade, and immediate action is necessary to a significant economic impact on a Tariff Policy). minimize potential danger to the public substantial number of small entities. [FR Doc. 03–29906 Filed 12–1–03; 8:45 am] and required to ensure the safety of persons and vessels operating on the This rule will affect the following BILLING CODE 4810–31–P AICW in this area at the times specified. entities, some of which may be small entities: the owners or operators of Background and Purpose vessels intending to transit or anchor in DEPARTMENT OF HOMELAND Naval gunfire will be conducted a portion of the AICW from 8 a.m. to 12 SECURITY crossing the AICW and impacting areas p.m. and 2 p.m. to 6 p.m. on December in Camp Lejeune from 8 a.m. to 12 p.m. 4, 5, 10 & 11, 2003. The Coast Guard Coast Guard and 2 p.m. to 6 p.m. on December 4, 5, expects a minimal economic impact on 10 & 11, 2003. The Safety Zone is in a substantial number of small entities 33 CFR Part 165 effect to ensure the safety of persons and due to this rule because little [CGD05–03–181] vessels operating on the AICW in this commercial traffic transits this area of area. the AICW. RIN 1625–AA00 Discussion of Rule Assistance for Small Entities Safety Zone; Bogue Sound, NC The safety zone will cover the AICW Under section 213(a) of the Small AGENCY: Coast Guard, DHS. extending from Bogue Sound-New River Business Regulatory Enforcement Daybeacon 58 (LLNR 39210) southeast ACTION: Temporary final rule. Fairness Act of 1996 (Public Law 104– to Bogue Sound-New River Light 64 121), we offered to assist small entities SUMMARY: The Coast Guard is (LLNR 39230). This safety zone will be in understanding the rule so that they establishing a safety zone in the Atlantic in effect to ensure the safety of persons could better evaluate its effects on them Intracoastal Waterway (AICW) in the and vessels operating on the AICW in vicinity of Marine Corps Base Camp this area. Entry into this safety zone is and participate in the rulemaking Lejeune, NC. Naval gunfire will be prohibited unless authorized by the process. Small Entities requesting conducted crossing the AICW from Captain of the Port or his/her designated guidance or exemption from this rule offshore in the vicinity of N–1/BT3 representative. A Coast Guard or U.S. may contact LCDR Chuck Roskam, impact area and impacting areas in Navy vessel will patrol each end of the Chief, Port Operations, USCG Marine Camp Lejeune. This safety zone is Safety Zone to ensure that the public is Safety Office Wilmington at (910) 772– needed to ensure the safety of persons aware that the firing exercises are in 2207. and vessels operating on the AICW in progress and that the firing area is clear Small businesses may send comments this area during the specified periods. of traffic before firing commences. on the actions of Federal employees Entry into this safety zone is prohibited who enforce, or otherwise determine Regulatory Evaluation unless authorized by the Captain of the compliance with, Federal regulations to Port or his/her designated This rule is not a ‘‘significant the Small Business and Agriculture representative. regulatory action’’ under section 3(f) of Regulatory Enforcement Ombudsman Executive Order 12866, Regulatory DATES: This rule is effective from 8 a.m. and the Regional Small Business on December 4, to 6 p.m. on December Planning and Review, and does not Regulatory Fairness Boards. The 11, 2003. require an assessment of potential costs Ombudsman evaluates these actions and benefits under section 6(a)(3) of that annually and rates each agency’s ADDRESSES: Documents indicated in this Order. The Office of Management and preamble as being available in the responsiveness to small business. If you Budget has not reviewed it under that wish to comment on actions by docket are part of docket CGD05–03– Order. It is not ‘‘significant’’ under the 181 and are available for inspection or employees of the Coast Guard, call 1– regulatory policies and procedures of 888–REG–FAIR (1–888–734–3247). copying at Coast Guard Marine Safety the Department of Homeland Security Office Wilmington, 721 Medical Center (DHS). This rule only affects a small Collection of Information Drive, Wilmington, NC 28401 between 8 portion, less than two miles, of the This rule calls for no new collection a.m. and 3 p.m., Monday through AICW in North Carolina for a limited of information under the Paperwork Friday, except Federal holidays. time. The regulation is tailored in scope Reduction Act of 1995 (44 U.S.C. 3501– FOR FURTHER INFORMATION CONTACT: to impose the least impact on maritime 3520). LCDR Chuck Roskam, Chief, Port interests, yet provide the level of safety Operations, USCG Marine Safety Office necessary for such an event. Federalism Wilmington, telephone number (910) 772–2207. Small Entities A rule has implications for federalism SUPPLEMENTARY INFORMATION: Under the Regulatory Flexibility Act under Executive Order 13132, (5 U.S.C. 601–612), we have considered Federalism, if it has a substantial direct Regulatory Information whether this rule would have a effect on State or local governments and We did not publish a notice of significant economic impact on a would either preempt State law or proposed rulemaking (NPRM) for this substantial number of small entities. impose a substantial direct cost of regulation. Under 5 U.S.C. 553(b)(B) and The term ‘‘small entities’’ comprises compliance on them. We have analyzed 5 U.S.C. 553(d)(3), the Coast Guard finds small businesses, not-for-profit this rule under that Order and have that good cause exists for not publishing organizations that are independently determined that it does not have an NPRM and for making this rule owned and operated and are not implications for federalism.
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Unfunded Mandates Reform Act require a Statement of Energy Effects LEGAL SERVICES CORPORATION The Unfunded Mandates Reform Act under Executive Order 13211. 45 CFR Part 1604 of 1995 (2 U.S.C. 1531–1538) requires Environment Federal agencies to assess the effects of Outside Practice of Law their discretionary regulatory actions. In We have analyzed this rule under particular, the Act addresses actions Commandant Instruction M16475.lD, AGENCY: Legal Services Corporation. that may result in the expenditure by a which guides the Coast Guard in ACTION: Final rule. State, local, or tribal government, in the complying with the National aggregate, or by the private sector of Environmental Policy Act of 1969 SUMMARY: The Legal Services $100,000,000 or more in any one year. (NEPA)(42 U.S.C. 4321–4370f), and Corporation amends its regulation Though this rule will not result in such have concluded that there are no factors relating to the outside practice of law by an expenditure, we do discuss the in this case that would limit the use of full-time legal services attorneys. The effects of this rule elsewhere in this a categorical exclusion under section rule is substantively restructured and preamble. 2.B.2 of the Instruction. Therefore, this revised to clarify the scope of the restrictions on outside practice. The Taking of Private Property rule is categorically excluded, under figure 2–1, paragraph (34)(g), of the final rule also amends several This rule will not affect a taking of Instruction, from further environmental definitions and allows for the separate private property or otherwise have documentation. A final ‘‘Environmental treatment of court appointments. taking implications under Executive Analysis Check List’’ and a final DATES: This final rule is effective Order 12630, Governmental Actions and ‘‘Categorical Exclusion Determination’’ February 2, 2004. Interference with Constitutionally are available in the docket where FOR FURTHER INFORMATION CONTACT: Protected Property Rights. indicated under ADDRESSES. Mattie C. Condray, Senior Assistant Civil Justice Reform General Counsel, Office of Legal Affairs, List of Subjects in 33 CFR Part 165 Legal Services Corporation, 3333 K This rule meets applicable standards Harbors, Marine Safety, Navigation Street, NW., 3rd Floor, Washington, DC in sections 3(a) and 3(b)(2) of Executive 20007–3522; (202) 295–1624 (phone); Order 12988, Civil Justice Reform, to (water), Reporting and recordkeeping requirements, Security measures, (202) 337–6519 (fax); [email protected] minimize litigation, eliminate (email). ambiguity, and reduce burden. Waterways. SUPPLEMENTARY INFORMATION: On Protection of Children ■ For the reasons discussed in the January 17, 1995, the Legal Services preamble, the Coast Guard amends 33 We have analyzed this rule under Corporation (LSC or the Corporation) CFR part 165 as follows: Executive Order 13045, Protection of published for public comment proposed Children from Environmental Health revisions to 45 CFR part 1604, LSC’s PART 165—REGULATED NAVIGATION regulation on the outside practice of Risks and Safety Risks. This rule is not AREAS AND LIMITED ACCESS AREAS an economically significant rule and law. 60 FR 3367. Although LSC received public comment on the proposed does not create an environmental risk to ■ 1. The authority citation for part 165 revisions, no final action was ever taken health or risk to safety that may continues to read as follows: disproportionately affect children. on the rule. Many of the issues Authority: 33 U.S.C. 1226, 1231; 46 U.S.C. outstanding in 1995 remain important Indian Tribal Governments Chapter 701; 50 U.S.C. 191; 33 CFR 1.05–1(g), today and LSC has been interested in This rule does not have tribal 6.04–1, 6.04–6, and 160.5; Pub. L. 107–295, adopting final revisions to Part 1604 for implications under Executive Order 116 Stat. 2064; Department of Homeland some time. Because it had been more 13175, Consultation and Coordination Security Delegation No. 0170.1. than seven years since the publication with Indian Tribal Governments, ■ of the 1995 Notice of Proposed 2. From 8 a.m. on December 4, to 6 Rulemaking (NPRM), LSC reissued the because it does not have a substantial p.m. on December 11, 2003, in § 165.514, direct effect on one or more Indian NPRM for comment rather than issuing temporarily suspend paragraph (c)(2) a final rule. The NPRM, published on tribes, on the relationship between the and add a new paragraph (c)(3). Federal Government and Indian tribes, September 11, 2002 (67 FR 57550), or on the distribution of power and § 165.514 Safety Zone: Atlantic specifically invited comment on the responsibilities between the Federal Intracoastal Waterway and connecting impact of the restriction on claiming Government and Indian tribes. waters, vicinity of Marine Corps Base Camp and accepting attorneys’ fees, other Lejeune, North Carolina. restrictions stemming from the 1996 Energy Effects * * * * * appropriations act, program integrity We have analyzed this rule under requirements, and timekeeping (c) * * * Executive Order 13211, Actions requirements on the proposals Concerning Regulations That (3) The Safety Zone in paragraph (a) contained therein and other issues Significantly Affect Energy Supply, of this section will be enforced from 8 related to the regulation of the outside Distribution, or Use. We have a.m. to 12 p.m. and 2 p.m. to 6 p.m. practice of law by LSC recipient determined that it is not a ‘‘significant each day on December 4, 5, 10 & 11, attorneys which may have developed energy action’’ under that order because 2003. since the publication of the original it is not a ‘‘significant regulatory action’’ * * * * * NPRM in 1995. under Executive Order 12866 and is not LSC received five comments on the Dated: November 21, 2003. likely to have a significant adverse effect NPRM. After reviewing the comments, on the supply, distribution, or use of Jane M. Hartley, LSC drafted a Final Rule for the energy. The Administrator of the Office Captain, U.S. Coast Guard, Captain of the consideration of the Board of Directors of Information and Regulatory Affairs Port, Wilmington, NC. and its Operations and Regulations has not designated it as a significant [FR Doc. 03–29926 Filed 12–1–03; 8:45 am] Committee. Upon the recommendation energy action. Therefore, it does not BILLING CODE 4910–15–P of the Operations and Regulations
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Committee, the Board of Directors bono practice among the private bar, confusion, LSC believes it is appropriate adopted this Final Rule at its meeting of another program was of the opinion that to clarify that LSC does indeed intend November 22, 2003. their program attorneys and program that whatever definition of ‘‘full-time’’ resources were already strained, and the program applies for the purpose of Section-by-Section Analysis that encouraging program attorneys to its outside practice of law policies be Section 1604.1 Purpose engage in additional legal work outside the same as it uses for other purposes, The NPRM, as a whole, reflected a the office was not in the program’s or such as employee benefits. LSC, proposed change in approach from clients’ best interest. LSC respects both accordingly, adopts the definition as emphasizing the limitations on of these approaches and believes that proposed. recipients’ full-time attorneys regarding the regulation should set forth the Section 1604.2(b) ‘‘Outside Practice of the outside practice of law to focusing parameters in which the outside Law’’ on the situations in which outside practice of law is permissible under the LSC Act and leave it to the discretion of LSC proposed to amend this practice may be approved and on definition to explain what outside recipients’ rights and responsibilities in programs to determine how the outside practice of law by their full-time practice is, rather than what it is not. regulating the outside practice of law by The regulation is intended, and their full-time attorneys. LSC proposed attorneys comports with their needs regarding providing service to their currently applies only, to the outside to revise the language of this section to practice of law by recipients’ employees reflect this proposed change in clients. Accordingly, LSC is revising the and not to other outside activities by approach. Specifically, LSC proposed to recipients’ employees that do not amend the existing section 1604.1 to purpose section to state that it is intended to provide guidance to constitute the outside practice of law. authorize a recipient to adopt written LSC further proposed to substitute the policies to permit its program attorneys recipients in adopting written policies relating to the outside practice of law by words ‘‘receiving that’’ for ‘‘entitled to to engage in pro bono legal assistance receive’’ to make clear that an attorney and to comply with their obligations as recipients’ full-time attorneys and to make clear that recipients are could represent a client in an outside members of the Bar and officers of the practice case who is eligible for court where those demands do not authorized, but not required, to permit attorneys, to the extent that such representation from the recipient even if interfere with the attorneys’ overriding the client is also receiving legal responsibility to serve the program’s activities do not hinder fulfillment of their overriding responsibility to serve assistance from the recipient, as long as clients. LSC further proposed to clarify the recipient is representing the client that this part should not be construed to those eligible for assistance under the Act, to engage in pro bono legal on a different matter. permit recipients to unduly restrict legal In the NPRM, LSC noted that the assistance and comply with the services attorneys from engaging in proposed definition was Judge Advocate reasonable demands made upon them as those activities. The use of the word General (JAG) Corps attorneys. Although members of the Bar and as officers of the ‘‘unduly’’ was intended to acknowledge LSC chose not to include language on Court. that there may be some restrictions this issue in the proposed rule, the imposed by the LSC Act, LSC Section 1604.2 Definitions NPRM noted LSC’s intent to continue appropriations or other legislation and/ the policy established in prior General Section 1604.2(a) ‘‘Full-time Attorney’’ or LSC regulations, or by recipients that Counsel opinions, which have are necessary to comply with applicable LSC proposed to delete the definition consistently found that an attorney is law or accomplish the overriding goals of ‘‘attorney,’’ because it is inconsistent not engaged in the outside practice of of the LSC Act. with the definition of ‘‘attorney’’ in Part law while serving as a JAG Corps Two of the comments LSC received 1600 of the Corporation’s regulations, reserve officer and solicited comments supported the proposed changes as Definitions. Instead, LSC proposed to as to whether the rule should include written. One commenter from the field substitute a definition which language expressly stating this policy. appeared not to oppose the specific incorporates the definition of ‘‘attorney’’ LSC received two comments language proposed, but stated a firm in Part 1600, such that ‘‘full-time supporting including a specific belief that outside practice should attorney’’ would be defined as an reference to JAG Corps attorneys in the generally not be permitted. The Office of attorney who is a full-time employee of rule and one comment which stated that Inspector General opposed the proposed a recipient. the commenter had no objection to such changes, believing that the focus of the LSC received no objections to this a reference. None of the commenters rule should remain on the statutory definition, although the OIG stated that had any other objections to the prohibition on the outside practice of the preamble should make clear that proposed changes. LSC believes that law. In particular, the OIG argued that LSC intends that the term ‘‘full-time’’ adding a reference to JAG Corps practice the last sentence of the proposed section should be defined by the program for and the other proposed amendments implied that LSC’s policy favors the purpose of the outside practice of will clarify the rule and aid in the permitting the outside practice of law law as the program defines ‘‘full-time’’ comprehension and usability of the and should, therefore, be deleted as generally; that is as the term is used for regulation. Accordingly, LSC is inconsistent with the Act. other purposes, such as employee adopting the definition as proposed, Weighing the comments, LSC believes benefits. LSC agrees. LSC believes that except for the addition of language that the general change in approach the statement in the NPRM ‘‘LSC did which specifies that the outside practice reflected in the proposed language not proposed a separate definition for of law does not include the performance remains appropriate, but agrees with the the term ‘‘full-time,’’ preferring to leave of duties as a JAG Corps attorney in the OIG that the regulation should not the decision as to what constitutes ‘‘full- United States armed forces reserves. imply that LSC favors the outside time’’ to the recipient’s own personnel practice of law. While one comment and outside practice policies and to any Section 1604.2(c) ‘‘Court Appointment’’ from the field noted that encouraging appropriate statutory definitions found LSC proposed to add a definition for their employees to engage in pro bono elsewhere’’ was intended to convey that the term ‘‘court appointment.’’ The activities was helpful in attracting pro meaning. However, to avoid any proposed definition, ‘‘an appointment
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in a criminal or civil case made by a would be permitted to permit the requirements (45 CFR Part 1610). One court or administrative agency under a outside practice of law by full-time other commenter supported proposed statute or court rule or practice,’’ is attorneys only to the extent permitted paragraph (c) as written. based on the language relating to court by Part 1604, but would be permitted to While LSC disagrees that the appointments currently found in contain additional limitations not proposed paragraph (c) implied a policy sections 1604.4 and 1604.5 of the imposed by Part 1604. preference for stricter outside practice of regulation, rather than the following LSC received one comment law policies, LSC does agree that the language in § 1006(d)(6) of the Act: supporting this section as proposed and rule should not reference part-time Attorneys employed by a recipient two comments recommending attorneys. The statutory mandate shall be appointed to provide legal conflicting changes. One commenter applies only to full-time attorneys; LSC, assistance without reasonable recommended deleting the language therefore, believes that the regulation compensation only when such expressly authorizing programs to adopt should address itself only to full-time appointment is made pursuant to a more stringent limitations out of a attorneys. Recipients would have the statute, rule, or practice applied concern that such language would discretion to include part-time generally to attorneys practicing in the imply that LSC was encouraging employees in its policies even without court where the appointment is made. programs to adopt such limitations. The such express language in the regulation. The proposed definition on other commenter, however, opposed the LSC disagrees with the OIG that appointments is broader than the proposed revision as implying that LSC program integrity concerns require statutory one, which applies only to was encouraging the outside practice of including part-time attorneys in the uncompensated appointments; but LSC law. ambit of 1604. Part-time attorneys are believes it is appropriate because it is LSC does not believe that paragraphs not limited by the LSC Act or applicable more protective of program resources. (a) and (b), as proposed, imply a policy appropriations laws in what they can do Two of the field commenters preference on the part of LSC either in on their own time and with their own supported the definition as proposed. favor of or against the outside practice resources. As such, LSC does not The OIG suggested that the phrase of law. LSC recognizes that there are consider it appropriate to require ‘‘under a statute or court rule or demands of the profession occasionally regulation of the outside activities of practice’’ should be changed to ‘‘statute, imposed upon all attorneys and that these attorneys. To the extent that there rule or practice applied generally to some attorneys desire to do outside could be program integrity concerns, attorneys practicing in the court or work, while also noting that recipient LSC believes that the program integrity before the administrative agency where programs have scant resources and that and timekeeping rules provide all the the appointment is made.’’ The OIG the needs of the community served by protection necessary to ensure that the noted that the language suggested programs require a significant programs remain in compliance with follows the statutory language more commitment of time and effort by full- the program integrity requirements. closely and make it clear that it refers time program attorneys. LSC believes to statutes, rules or practices of general that paragraphs (a) and (b) represent an Accordingly, LSC is adopting applicability and applies to acknowledgement and balancing of paragraphs (a) and (b) as written, with administrative agencies in addition to these concerns. Indeed, LSC believes the addition of explicit reference to the courts. LSC believes that the change that the provisions in the LSC Act LSC Act, but declines to adopt proposed suggested by the OIG is appropriate concerning the outside practice of law, paragraph (c). without changing the intent of the which provide the basis for this Section 1604.4 Permissible Outside original language proposed in the regulation, recognize and dictate such a Practice NPRM. Accordingly, LSC is adopting a balance. However, LSC does believe that revised definition of court appointment the language as proposed can be LSC proposed to combine and revise as an appointment in a criminal or civil improved by adding an explicit the provisions currently in sections case made by a court or administrative reference to the LSC Act to ensure that 1604.4, Compensated Outside Practice, agency under a statute, rule or practice the statutory basis for the parameters of and 1604.5, Uncompensated Outside applied generally to attorneys practicing permissible and impermissible outside Practice, into one section retitled in the court or before the administrative practice of law are clearly understood. Permissible Outside Practice. Except as agency where the appointment is made. The restrictions of this part, as noted below, all of the comments currently applicable and as proposed, generally supported this section as Section 1604.3 General Policy apply only to full-time attorneys. proposed and LSC adopts it as LSC proposed to expand and amend Although LSC did not propose to proposed, with some modifications. this section to require recipients to address the outside practice of law by Under the current structure of the adopt written policies relating to the part-time attorneys, the NPRM expressly regulation, the general rule on the outside practice of law, rather than proposed to provide that recipients’ outside practice of law is stated in the permitting programs to determine on an policies may include restrictions on negative; that is, the outside practice of ad hoc basis, whether outside practice is outside practice by part-time attorneys. law is prohibited except as provided. to be permitted in a particular instance One commenter from the field LSC proposed, instead, to state the rule (as is the case under the existing rule). specifically urged LSC to eliminate the in the affirmative, providing guidance LSC intended that such policies would reference to part-time employees from on the terms under which the outside give the recipient’s executive director the rule as unnecessary and, again, practice of law may be approved. LSC substantial discretion in making outside implying that LSC was encouraging is retaining this structure, but modifying practice of law determinations to ensure programs to adopt more stringent the language proposed to refer to a that recipients can adopt policies that policies. The OIG, on the other hand, recipient’s policies to underscore the balance the demands of the profession, recommended that part-time attorneys requirement that recipient will have to the attorney’s desire to do outside work, be specifically covered by this Part adopt policies relating to the outside and the needs of the community served because of the increased incidence of practice of law and that the regulation by the program. To this end, LSC part-time employment and the provides guidance on what the policies proposed that the required policies implications on program integrity must require and may permit.
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The revision also refers to a full-time when the attorney is participating in a noted that they did not view this attorney’s responsibilities to clients, mandatory pro bono program or a category as essential and requested that rather than simply ‘‘full-time voluntary pro bono or legal referral the preamble make clear that program responsibilities.’’ LSC intends an program affiliated with or sponsored by policies could restrict such practice. As executive director (or that person’s a bar association, other legal with all of the provisions in this section, designee) to make a case-by-case organization or religious, community or recipients’ written policies are determination as to whether charitable group. permitted to allow for the approval of involvement in a specific case or matter With respect to newly employed outside practice through a referral would be consistent with a full-time attorneys, paragraph (c)(1) is intended to program, but need not do so. This is a attorney’s responsibilities to the make explicit what has always been matter committed to the discretion of program’s clients. A full-time attorney’s implicit under the current Part 1604, the program. responsibilities to program clients i.e., that work for a client from a LSC proposed to add a paragraph, should be determined by reference to previous practice should not be done on (c)(5), to make it clear that legal services the program’s definition of ‘‘full-time’’ program time. attorneys should be permitted to act in (such as used for the determination of The revised rule will expressly permit the same way as other attorneys with employee benefits), not by reference to an attorney to represent another member respect to pro bono work that is a specific attorney’s working habits. of the recipient’s staff without having to undertaken to meet professional Thus, an attorney in the habit of prove that the individual is a close obligations, whether the obligation is working substantial amounts of friend. LSC is also adding language to aspirational, as under state rules that are overtime on program activities should make it clear that the attorney may modeled on Rule 6.1 of the American not be penalized for deciding to allot represent him or herself. LSC received Bar Association’s (‘‘ABA’’) Model Rules some of that attorney’s own time to an one comment urging LSC to require of Professional Conduct, or mandatory, outside practice case rather than to recipients’ policies to permit an attorney as is now the case in a few local program activities. In addition, an to represent him or herself. LSC sees no jurisdictions across the country. LSC attorney should be permitted to take justification for treating this situation received one comment from a program reasonable amounts of leave to engage different than other potential outside noting that they did not view this in permitted outside practice. practice situations in terms of the category as essential and requesting that LSC also includes language intended program’s discretion to permit or restrict the preamble make clear that program to address a concern that, if a program such outside practice. LSC can imagine policies could restrict such practice. attorney handled outside practice cases a situation in which a recipient’s The OIG suggested that this section that were controversial or dealt with director would have no problem apply only to ‘‘mandatory’’ pro bono areas prohibited to the recipient (e.g., permitting a full-time employee to and that the phrase ‘‘and practices’’ abortion litigation), the employing represent him or herself. At the same should be deleted as too vague. recipient would be seen as handling the time, LSC can imagine a situation in LSC believes that the reference to cases and viewed as using outside which the recipient’s executive director other than mandatory pro bono would practice as a way to get around is concerned that the attorney’s be redundant in light of paragraphs (3) applicable restrictions. The language, activities representing him or herself and (4) which already address voluntary which is similar to language in the could be so time consuming as to pro bono activities. Moreover, LSC regulation on prohibited political interfere with the attorney’s believes that a separate paragraph activities, would require the attorney to responsibilities to the programs clients. referencing mandatory pro bono is not make it clear that this was not a program In such a situation, the program needs required as mandatory pro bono is case, and to do whatever was necessary the discretion to disallow that outside covered under section 1604.7, Court to ensure that it not be perceived as practice. Accordingly, LSC declines to Appointments. Accordingly, LSC is not such. In practical terms, the restriction require recipients’ policies to permit an adopting proposed paragraph (5). As might require the attorney to use a home attorney to represent him or herself. with all of the provisions in this section, address or post office box for LSC is amending the current recipients’ written policies are correspondence, or a home telephone provision permitting representation of permitted to allow for the approval of number or direct dial number that religious, community or charitable outside practice as set forth herein, but would not go through the recipient’s groups, to permit the representation of need not do so, and where permitting it, switchboard or voice mail greeting, or an individual client who has been may address circumstances and other similar processes to ensure that referred to the attorney by such a group limitations thereon. This is a matter the recipient was not identified as the through a formal pro bono or referral committed to the discretion of the sponsor of the representation. The program that does regular referrals. For program. restriction on identification would not example, under the revised rule it Section 1604.5 Compensation apply to court appointments or to cases would permissible for an attorney to which are undertaken to fulfill a represent a client who has been referred The 1995 NPRM contained a new mandatory pro bono obligation, which by the ACLU, NAACP or Catholic proposed provision on compensation, are treated separately in the regulation. Charities. Prior General Counsel providing, among other things, that a Paragraph (c) sets forth the specific opinions have permitted outside recipient would be allowed to permit an situations under which recipients’ practice both on behalf of organizations attorney to accept attorneys’ fees for policies may permit the outside practice as well as on behalf of individuals certain cases, as long as the fees would of law: a newly employed attorney referred by those organizations and LSC be remitted to the recipient. While this closing cases from a previous law believes that it is appropriate to proposed provision was clearly practice; when the attorney is acting on incorporate these interpretations into permissible at the time it was proposed, behalf of him or herself, a close friend, the rule. LSC has determined that it is no longer family member or another member of LSC received one comment consistent with the current statutory the recipient’s staff; when the attorney specifically addressing this provision. and regulatory restrictions on the is acting on behalf of a religious, Although the commenter did not object claiming, collection and retention of community, or charitable group; or to the proposed revision, the commenter attorney’s fees. Accordingly, LSC is not
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adopting proposed paragraphs (b) and the impact of the 1996 restrictions, Under the de minimis standard, an (c). LSC’s program integrity rules at 45 CFR attorney could make a brief phone call LSC is, instead, adopting language part 1610 and LSC’s timekeeping rules or use the fax machine during working stating that except as provided in at 45 CFR part 1635 on the proposals set hours, but would have to take leave for paragraph (b) of this section and section forth therein. court appearances. Under the ‘‘limited’’ 1604.7(a) (relating to compensation Four of the five comments LSC standard, in addition to whatever an provided to an attorney pursuant to received address this issue. Two of the attorney could do under the de minimis court appointment and remitted to the comments from the field supported the standard, the attorney could, for recipient), a recipient’s written policies NPRM as proposed. These comments example, make a brief court appearance shall not permit a full-time attorney to noted that the proposed language during normal working hours without receive any compensation for the prohibiting the use of recipient taking leave. An attorney could also be outside practice of law. The revised resources (LSC and non-LSC) for permitted to use a program computer or paragraph (b) would require that activities for which the use of such typewriter to prepare pleadings or other recipients’ written policies which funds is prohibited would ensure that documents, within reason. However, if permit a full-time attorney who meets no there were no violations of the the attorney participated in a long trial the criteria set forth in § 1604.4(c)(1) to program integrity standards and was or extended negotiation, he or she engage in the outside practice of law consistent with the requirements of the would normally be required to take shall permit full-time attorneys to seek timekeeping rules. One field commenter leave to do so. If a recipient has a and receive personal compensation for stated their opposition to any use of procedure to identify copying, postage work performed pursuant to that recipient resources for outside practice and similar costs, and the attorney section. Although the statute prohibits activities, given the scarcity of program reimbursed the recipient, the use of all compensated outside practice, the resources available for program those resources would also be exception in proposed paragraph (a) for purposes. It was unclear from the permissible under either standard. This work on cases held over from a previous comment, however, whether this position is consistent with the private practice is justified under the commenter believed that LSC should longstanding LSC policy. general principle that neither LSC nor prohibit the use of all program the recipient can interfere with an resources, or if it would be sufficient to Section 1604.7 Court Appointments attorney’s professional responsibilities permit programs the authority to This proposed section would treat to a client. Since the representation was prohibit the use of program resources. In court appointments and mandatory pro undertaken before the lawyer became a contrast, the OIG argues that the rule bono representation separately from legal services attorney, fairness dictates should only permit recipients’ written outside practice, because there are that the attorney should be permitted to policies to permit the de minimis use of substantially different considerations for take fees for completion of the work. recipient in all circumstances. Any court appointments and mandatory pro This exception is carried over from the other use, the OIG contends risks bono than there are for pro bono or current rule. running afoul not only of the other outside cases that an attorney appropriations act restrictions, but also undertakes on a strictly voluntary basis. Section 1604.6 Use of Recipient the allowable costs requirements of part Proposed paragraph (a)(1) simply Resources 1630. The OIG argues that outside restated a general rule that applies to LSC proposed to add a new section to practice activities should be subject to court appointments as well as to outside the rule governing the use of recipient requirements of 1635 and other practice under the current part 1604 resources in the course of permitted limitations applicable to any other regarding the permissibility of a full- outside practice activities. Specifically, personal activities. time attorney accepting a court LSC proposed to permit recipients’ LSC agrees that use of recipient appointment to provide representation. written policies to permit a recipient to resources to support restricted activities Two of the comments supported the allow its attorneys to use only a de is prohibited by law. LSC also agrees, language as proposed. The OIG, minimis amount of program resources, however, with the field recipients that however, suggested that the language of including time, in cases when newly the specific limitation on the use of this paragraph be revised to read ‘‘Such employed attorneys are closing old resources for prohibited activities that an appointment is consistent with the cases, and, for other permitted outside was included in the proposed rule recipient’s primary responsibility to practice situations, to allow its attorneys would prevent recipients from adopting provide legal assistance to eligible to use a limited amount of program written policies which would permit clients in civil matters’’ to bring this resources, including time. As with other prohibited uses in connection with provision into harmony with 45 CFR aspects of this rule, LSC proposed to outside practice of law activities. LSC part 1613.4(a), relating to appointments authorize recipients to adopt written has amended the proposed language in criminal proceedings. LSC considers policies more restrictive so as to permit slightly to make this point even more the OIG’s suggestion to be well taken the recipient to determine whether its explicit. With respect to non-restricted and not inconsistent with the intent of attorneys could use recipient resources activities, LSC acknowledges that if a the proposed language. Accordingly, for a specific case to the extent allowed program permitted a significant enough LSC is revising paragraph (a)(1) in this by this rule. These proposals were based amount of their LSC funded resources to final rule. on longstanding LSC policy and were be used in connection with outside LSC received no objections to intended to codify the accepted practice activities, the program could proposed paragraphs (a)(2) or (3) and practice. run into a 1630 disallowed costs adopts them as proposed. Paragraph The NPRM solicited comments on the problem. However, LSC notes that the (a)(2) is based on section 1006(d)(6) of appropriateness of using recipient standards proposed reflect the the LSC Act. It is intended to protect resources for any outside practice, and longstanding practice and LSC has not, recipients from efforts that have been whether or not the distinction between in fact, found this to present significant made by some judges to appoint legal ‘‘de minimis’’ and ‘‘limited’’ use of 1630 problems. Accordingly, LSC services attorneys to handle court resources makes sense and is workable. adopts section 1604.6 as proposed appointments in lieu of private In particular, LSC invited comment on except as noted above. attorneys, and/or to refuse to provide
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compensation for appointed cases program’s executive director should in the court or before the administrative handled by legal services attorneys, include the executive director’s agency where the appointment is made. when private attorneys appointed to designee. LSC agrees that this language similar cases would have been paid. is consistent both with its usage § 1604.3 General policy. Paragraph (a)(3) is also a requirement elsewhere in this rule and with other (a) A recipient shall adopt written carried over from the current Part 1604. rules under consideration for adoption policies governing the outside practice LSC notes that, in the case of court by LSC. of law by full-time attorneys that are appointments, recipients are permitted consistent with the LSC Act, this part to retain attorneys’ fees made to a List of Subjects in 45 CFR Part 1604 and applicable rules of professional recipient or employee of a recipient Legal services. responsibility. notwithstanding the general attorneys’ (b) A recipient’s policies may permit ■ For the reasons set forth in the fees ban because such fees are excluded the outside practice of law by full-time preamble, LSC revises 45 CFR part 1604 from the definition of attorneys’ fees in attorneys only to the extent allowed by to read as follows: 45 CFR section 1642.2(b)(1). the LSC Act and this part, but may LSC proposed to add a new paragraph PART 1604—OUTSIDE PRACTICE OF impose additional restrictions as (d) providing that, if an attorney is LAW necessary to meet the recipient’s mandated to engage in pro bono responsibilities to clients. representation by applicable state or Sec. local court rules or practices or by rules 1604.1 Purpose. § 1604.4 Permissible outside practice. of professional responsibility, such 1604.2 Definitions. A recipient’s written policies may representation shall be treated in the 1604.3 General policy. permit a full-time attorney to engage in same manner as court appointments for 1604.4 Permissible outside practice. a specific case or matter that constitutes the purposes of paragraphs (a)(1), (a)(3), 1604.5 Compensation. the outside practice of law if: 1604.6 Use of recipient resources. (a) The director of the recipient or the (b) and (c) of this section. While LSC 1604.7 Court appointments. recognizes that the ABA Model Rules do director’s designee determines that not currently mandate pro bono services Authority: 42 U.S.C. 2996e(b)(3), representation in such case or matter is for any attorney, LSC also recognizes 2996e(d)(6), 2996f(a)(4), 2996g(e). consistent with the attorney’s that mandatory pro bono has been § 1604.1 Purpose. responsibilities to the recipient’s clients; considered in a number of states and is (b) Except as provided in § 1604.7, the This part is intended to provide a reality in certain local jurisdictions. It attorney does not intentionally identify guidance to recipients in adopting is the intent of LSC that legal services the case or matter with the Corporation attorneys be permitted to undertake written policies relating to the outside or the recipient; and outside representation to fulfill any practice of law by recipients’ full-time (c) The attorney is— mandatory professional obligations to attorneys. Under the standards set forth (1) Newly employed and has a provide pro bono assistance to which in this part, recipients are authorized, professional responsibility to close cases they are now or may be subject in the but not required, to permit attorneys, to from a previous law practice, and does future. Two comments concurred in the extent that such activities do not so on the attorney’s own time as paragraph (d) as proposed, while the hinder fulfillment of their overriding expeditiously as possible; or OIG recommends making it clear that responsibility to serve those eligible for (2) Acting on behalf of him or herself, attorneys may not receive compensation assistance under the Act, to engage in a close friend, family member or another for mandatory pro bono activities and pro bono legal assistance and comply member of the recipient’s staff; or adding a requirement that mandatory with the reasonable demands made (3) Acting on behalf of a religious, pro bono activities must be in cases or upon them as members of the Bar and community, or charitable group; or matters that are not prohibited because as officers of the Court. (4) Participating in a voluntary pro of the use of LSC resources permitted by § 1604.2 Definitions. bono or legal referral program affiliated the rule. LSC believes that the rule as As used in this part— with or sponsored by a bar association, proposed would not permit an attorney other legal organization or religious, (a) Full-time attorney means an performing mandatory pro bono service community or charitable group. to receive compensation, but has no attorney who is employed full-time by objection to making this point clearer in a recipient in legal assistance activities § 1604.5 Compensation. this preamble or the regulatory text. In supported in major part by the (a) Except as provided in paragraph addition, LSC agrees with the OIG Corporation, and who is authorized to (b) of this section and § 1604.7(a), a regarding limitation on mandatory pro practice law in the jurisdiction where recipient’s written policies shall not bono activities to cases or matters not assistance is provided. permit a full-time attorney to receive otherwise prohibited and clarifies the (b) Outside practice of law means the any compensation for the outside rule on this point. provision of legal assistance to a client practice of law. Finally, this section allows a full-time who is not receiving that legal (b) A recipient’s written policies attorney to use program resources to assistance from the employer of the full- which permit a full-time attorney who undertake representation required by time attorney rendering assistance, but meets the criteria set forth in court appointment or mandatory pro does not include court appointments § 1604.4(c)(1) to engage in the outside bono, and allows the attorney to identify except where specifically stated or the practice of law shall permit full-time the recipient as his or her employer performance of duties as a Judge attorneys to seek and receive personal when engaged in such representation. Advocate General Corps attorney in the compensation for work performed LSC received no objections to these United States armed forces reserves. pursuant to that section. provisions (paragraphs (b) and (c)) and (c) Court appointment means an adopts them as proposed. appointment in a criminal or civil case § 1604.6 Use of recipient resources. LSC received one other comment on made by a court or administrative (a) For cases undertaken pursuant to this section, suggesting that the agency under a statute, rule or practice § 1604.4(c)(1), a recipient’s written reference in this section to the applied generally to attorneys practicing policies may permit a full-time attorney
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to use de minimis amounts of the prohibited by the LSC Act, applicable PART 73—[AMENDED] recipient’s resources for permissible appropriations laws, or LSC regulation. ■ outside practice if necessary to carry out 1. The authority citation for part 73 Victor M. Fortuno, the attorney’s professional continues to read as follows: responsibilities, as long as the Vice President for Legal Affairs and General Authority: 47 U.S.C. 154, 303, 334 and 336. Counsel. recipient’s resources, whether funded § 73.622 [Amended] with Corporation or private funds, are [FR Doc. 03–29874 Filed 12–1–03; 8:45 am] not used for any activities for which the BILLING CODE 7050–01–P ■ 2. Section 73.622(b), the Table of use of such funds is prohibited. Digital Television Allotments under (b) For cases undertaken pursuant to Florida, is amended by removing DTV § 1604.4(c) (2) through (4), a recipient’s FEDERAL COMMUNICATIONS channel 25 and adding DTV channel 50 written policies may permit a full-time COMMISSION at Fort Walton Beach. attorney to use limited amounts of the Federal Communications Commission. recipient’s resources for permissible 47 CFR Part 73 Barbara A. Kreisman, outside practice if necessary to carry out Chief, Video Division, Media Bureau. the attorney’s professional [DA 03–3640, MM Docket No. 00–233, RM– 9996] [FR Doc. 03–30011 Filed 12–1–03; 8:45 am] responsibilities, as long as the BILLING CODE 6712–01–P recipient’s resources, whether funded Digital Television Broadcast Service; with Corporation or private funds are Fort Walton Beach, FL not used for any activities for which the FEDERAL COMMUNICATIONS use of such funds is prohibited. AGENCY: Federal Communications COMMISSION Commission. § 1604.7 Court appointments. ACTION: Final rule. 47 CFR Part 73 (a) A recipient’s written policies may [DA 03–3651; MB Docket No. 03–161; RM– permit a full-time attorney to accept a SUMMARY: The Commission, at the 10708] court appointment if the director of the request of Television Fit-For-Life, Inc., recipient or the director’s designee substitutes DTV channel 50 for DTV Radio Broadcasting Services; determines that: channel 25 at Fort Walton Beach. See 65 Tallapoosa, GA (1) Such an appointment is consistent FR 75221, December 1, 2000. DTV AGENCY: Federal Communications with the recipient’s primary channel 50 can be allotted to Fort Commission. responsibility to provide legal assistance Walton Beach, Florida, in compliance to eligible clients in civil matters; with the principle community coverage ACTION: Final rule. requirements of Section 73.625(a) at (2) The appointment is made and the SUMMARY: In this document, the reference coordinates 30–24–12 N. and attorney will receive compensation for Commission allots Channel 255A at 86–59–34 W. with a power of 1000, the court appointment under the same Tallapoosa, Georgia, in response to a HAAT of 221 meters and with a DTV terms and conditions as are applied petition filed by SSR Communications, service population of 567 thousand. generally to attorneys practicing in the Inc. See 68 FR 43703 (July 24, 2003). With this action, this proceeding is court where the appointment is made; Channel 255A can be allotted to terminated. and Tallapoosa, Georgia, with a site (3) Subject to the applicable law and DATES: Effective January 5, 2004. restriction 10.3 kilometers (6.4 miles) rules of professional responsibility, the FOR FURTHER INFORMATION CONTACT: Pam south of the community at coordinates attorney agrees to remit to the recipient Blumenthal, Media Bureau, (202) 418– 33–39–20 and 85–15–27. With this any compensation received. 1600. action, this proceeding is terminated. A filing window for channel 255A at (b) A recipient’s written policies may SUPPLEMENTARY INFORMATION: This is a Tallapoosa will not be opened at this permit a full-time attorney to use synopsis of the Commission’s Report time. Instead, the issue of opening this program resources to undertake and Order, MM Docket No. 00–233, allotment for auction will be addressed representation pursuant to a court adopted November 13, 2003, and by the Commission in a subsequent appointment. released November 19, 2003. The full order. (c) A recipient’s written policies may text of this document is available for permit a full-time attorney to identify public inspection and copying during DATES: Effective January 8, 2004. the recipient as his or her employer regular business hours in the FCC FOR FURTHER INFORMATION CONTACT: when engaged in representation Reference Information Center, Portals II, Kathleen Scheuerle, Media Bureau, pursuant to a court appointment. 445 12th Street, SW., Room CY–A257, (202) 418–2180. (d) If, under the applicable State or Washington, DC. This document may SUPPLEMENTARY INFORMATION: This is a local court rules or practices or rules of also be purchased from the synopsis of the Commission’s Report professional responsibility, legal Commission’s duplicating contractor, and Order, MB Docket No. 03–161, services attorneys are mandated to Qualex International, Portals II, 445 November 14, 2003, and released provide pro bono legal assistance in 12th Street, SW., CY–B402, Washington, November 17, 2003. The full text of this addition to the attorneys’ work on DC 20554, telephone 202–863–2893, Commission decision is available for behalf of the recipient’s clients, the facsimile 202–863–2898, or via e-mail inspection and copying during normal recipient’s written policies shall treat [email protected]. business hours in the Commission’s such legal assistance in the same List of Subjects in 47 CFR Part 73 Reference Center, 445 12th Street, SW., manner as court appointments under Washington, DC. The complete text of paragraphs (a)(1), (a)(3), (b) and (c) of Digital television broadcasting, this decision may also be purchased this section, provided that the policies Television. from the Commission’s copy may only permit mandatory pro bono ■ Part 73 of title 47 of the Code of Federal contractors, Qualex International, activities that are not otherwise Regulations is amended as follows: Portals II, 445 12th Street SW., Room
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CY–B402, Washington, DC, 20554, BSAI exclusive economic zone cod allocated to those vessels under telephone (202) 863–2893, facsimile according to the Fishery Management 679.20(a)(7)(i)(B). Therefore, in (202) 863–2898, or via e-mail Plan for the Groundfish Fishery of the accordance with § 679.20(a)(7)(ii), [email protected]. Bering Sea and Aleutian Islands Area NMFS apportions 17,500 mt of Pacific (FMP) prepared by the North Pacific cod from trawl gear to catcher/processor List of Subjects in 47 CFR Part 73 Fishery Management Council under vessels using hook-and-line gear and Radio, Radio broadcasting. authority of the Magnuson-Stevens vessels using pot gear. ■ Part 73 of title 47 of the Code of Federal Fishery Conservation and Management The Regional Administrator has Regulations is amended as follows: Act. Regulations governing fishing by determined that vessels using jig gear U.S. vessels in accordance with the FMP will not harvest 3,600 mt of their Pacific PART 73—RADIO BROADCAST appear at subpart H of 50 CFR part 600 cod allocation by the end of the year. SERVICES and 50 CFR part 679. Therefore, in accordance with ■ On October 3, 2003, NMFS § 679.20(a)(7)(ii), NMFS is reallocating 1. The authority citation for part 73 reallocated the projected unused continues to read as follows: the unused amount of 3,600 mt of amount of Pacific cod from vessels Pacific cod allocated to vessels using jig Authority: 47 U.S.C. 154, 303, 334 and 336. using trawl, jig, and pot gear to vessels gear to catcher/processor vessels using ■ 2. Section 73.202(b), the Table of FM using hook-and-line gear in the BSAI hook-and-line gear and vessels using pot Allotments under Georgia, is amended (68 FR 59748, October 3, 2003), gear. by adding Tallapoosa, Channel 255A. reducing the amount available to pot gear by 500 metric tons. As of November In accordance with Federal Communications Commission. 6, 2003, NMFS has determined that § 679.20(a)(7)(i)(C)(2), the combined John A. Karousos, vessels using pot gear will be able to reallocation of unused Pacific cod from Assistant Chief, Audio Division, Media harvest the total amount originally jig gear and trawl gear, 21,100 mt is Bureau. apportioned to them by the final 2003 apportioned so that catcher/processor [FR Doc. 03–30010 Filed 12–1–03; 8:45 am] harvest specifications for groundfish in vessels using hook-and-line gear will BILLING CODE 6712–01–P the BSAI (68 FR 9907, March 3, 2003), receive 95 percent and vessels using pot and the amount available to pot gear gear will receive 5 percent of the pursuant to § 679.20(a)(7)(i)(C)(2). reallocation. DEPARTMENT OF COMMERCE NMFS also reallocated 200 mt to catcher The harvest specifications for Pacific vessels using hook-and-line gear in the cod included in the harvest National Oceanic and Atmospheric BSAI. Effort by catcher vessels using specifications for groundfish in the Administration hook-and-line gear has not materialized, BSAI (68 FR 9907, March 3, 2003) are nor is it expected to by the end of the revised as follows: 293 mt to vessels 50 CFR Part 679 fishing year. Therefore, NMFS is using jig gear, 97,956 mt to catcher [Docket No. 021212307–3037–02; I.D. rescinding the previous action and processor vessels using hook-and-line 111803B] reallocating the projected unused gear, 18,877 mt to vessels using pot gear, amount of Pacific cod as follows. 33,605 mt to trawl catcher/processors, Fisheries of the Exclusive Economic The 2003 BSAI Pacific cod TAC was and 39,105 mt to trawl catcher vessels. Zone off Alaska; Recision and established by the final 2003 harvest Classification Reallocation of Pacific Cod in the specifications for groundfish in the Bering Sea and Aleutian Islands BSAI (68 FR 9907, March 3, 2003) as This action responds to the best Management Area 191,938 metric tons. Pursuant to available information recently obtained § 679.20(a)(7)(i)(A), 3,893 mt was from the fishery. The Assistant AGENCY: National Marine Fisheries allocated to vessels using jig gear, Administrator for Fisheries, NOAA, Service (NMFS), National Oceanic and 97,388 mt to vessels using hook-and- (AA), finds good cause to waive the Atmospheric Administration (NOAA), line or pot gear directed fishing Commerce. requirement to provide prior notice and allowance, and 90,211 mt to vessels opportunity for public comment ACTION: Reallocation. using trawl gear. The share of the Pacific pursuant to the authority set forth at 5 SUMMARY: NMFS is rescinding a cod TAC allocated to trawl gear was U.S.C. 553(b)(B) as such requirement is previous action reallocating Pacific cod further allocated 50 percent to catcher contrary to the public interest. This and is reallocating the projected unused vessels and 50 percent to catcher/ requirement is contrary to the public amount of Pacific cod from vessels processor vessels (§ 679.20(a)(7)(i)(B)). interest as it would delay the using trawl and jig gear to catcher/ The share of the Pacific cod TAC implementation of these measures in a processor vessels using hook-and-line allocated to hook-and-line or pot gear timely fashion in order to allow full gear and vessels using pot gear in the was further allocated 80 percent to utilization of the Pacific cod TAC, and Bering Sea and Aleutian Islands catcher/processor vessels using hook- therefore reduce the public’s ability to management area (BSAI). These actions and-line gear; 0.3 percent to catcher use and enjoy the fishery resource. are necessary to allow the 2003 total vessels using hook-and-line gear; 18.3 The AA also finds good cause to percent to vessels using pot gear; and allowable catch (TAC) of Pacific cod to waive the 30–day delay in the effective 1.4 percent to catcher vessels less than be harvested in accordance with date of this action under 5 U.S.C. 60 ft LOA that use either hook-and-line regulations at 50 CFR part 679. 553(d)(3). This finding is based upon or pot gear (§ 679.20(a)(7)(i))). DATES: the reasons provided above for waiver of Effective November 26, 2003, As of November 6, 2003, the prior notice and opportunity for public until 2400 hours, A.l.t., December 31, Administrator, Alaska Region, NMFS comment. 2003. (Regional Administrator), has FOR FURTHER INFORMATION CONTACT: determined that trawl catcher/ This action is taken under 50 CFR Andrew N. Smoker, 907–586–7228. processors will not be able to harvest 679.20 and is exempt from OMB review SUPPLEMENTARY INFORMATION: NMFS 11,500 mt and trawl catcher vessels will under Executive Order 12866. manages the groundfish fishery in the not be able to harvest 6,000 mt of Pacific Authority: 16 U.S.C. 1801 et seq.
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Dated: November 25, 2003. Bruce C. Morehead, Acting Director, Office of Sustainable Fisheries, National Marine Fisheries Service. [FR Doc. 03–29911 Filed 11–26–03; 11:18 am] BILLING CODE 3510–22–S
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Proposed Rules Federal Register Vol. 68, No. 231
Tuesday, December 2, 2003
This section of the FEDERAL REGISTER comments received will be made or to be exempted therefrom. The contains notices to the public of the proposed available for public inspection in the petitioner is afforded the opportunity issuance of rules and regulations. The Office of the Docket Clerk at the for a hearing on the petition. After the purpose of these notices is to give interested Marketing Order Administration hearing, the Secretary will make a ruling persons an opportunity to participate in the Branch, AMS, USDA, Room 2525-South; on the petition. The Act provides that rule making prior to the adoption of the final rules. 1400 Independence Avenue, SW., the district courts of the United States Washington, DC 20250–0237 during in any district in which the person is an regular business hours. A copy of this inhabitant, or has his principal place of DEPARTMENT OF AGRICULTURE proposed rule may be found at http:// business, has jurisdiction to review the www.ams.usda.gov/fv/moab.html. Secretary’s ruling, provided a complaint Agricultural Marketing Service FOR FURTHER INFORMATION CONTACT: is filed within 20 days from the date of George Kelhart or Jay Guerber, the entry of the ruling. 7 CFR Part 900 Marketing Order Administration The authority for this proposed rule is [Docket Number FV03–900–1 PR] Branch, Fruit and Vegetable Programs, specified in section 10607 of the Farm Agricultural Marketing Service, U.S. Security and Rural Investment Act (Pub. Proposed Rule To Exempt Organic Department of Agriculture, 1400 L. 107–171; 2002 Farm Bill). The 2002 Producers and Marketers From Independence Avenue, SW., STOP Farm Bill was enacted May 13, 2002. Assessments for Market Promotion 0237, Room 2525-South; Washington, Section 501 of the Federal Agriculture Activities Under Marketing Order DC 20250–0237; Telephone: (202) 720– Improvement and Reform Act of 1996 Programs 2491; Fax: (202) 720–8938; or E-mail: (FAIR Act; 7 U.S.C. 7401) was amended [email protected]. by the 2002 Farm Bill. This amendment AGENCY: Agricultural Marketing Service, Small businesses may request exempts any person that produces and USDA. information on complying with this markets solely 100 percent organic ACTION: Proposed rule. regulation by contacting Jay Guerber, products, and that does not produce any Marketing Order Administration conventional or non-organic products, SUMMARY: This proposed rule would Branch, Fruit and Vegetable Programs, from paying assessments under a exempt any person producing and AMS, USDA, 1400 Independence commodity promotion law with respect marketing solely 100 percent organic Avenue, SW., Stop 0237, Washington, to any agricultural commodity that is products from paying assessments for DC 20250–0237; telephone: (202) 720– produced on a certified organic farm as market promotion, including paid 2491; Fax: (202) 720–8938; or E-mail: defined in section 2103 of the Organic advertising, activities to marketing order [email protected]. Foods Production Act of 1990 (7 U.S.C. programs administered by the SUPPLEMENTARY INFORMATION: 6502). The amendment further requires Agricultural Marketing Service (AMS). the Secretary of Agriculture to amend AMS has identified 28 marketing order Executive Order 12866 any market research and promotion programs for which assessment regulations to reflect this exemption. exemptions may be established. The This proposed rule is being issued by the Department of Agriculture (USDA) USDA is proposing amendments to authority for this proposal is section general regulations affecting 28 10607 of the Farm Security and Rural in conformance with Executive Order 12866. marketing order programs established Investment Act (2002 Farm Bill). The under the Act for which it has oversight. 2002 Farm Bill also covers 16 national Executive Order 12988 These amendments would establish research and promotion programs. The This proposed rule has been reviewed provisions for organic producers and research and promotion programs will under Executive Order 12988, Civil marketers meeting the specified criteria be addressed separately at a later date. Justice Reform. It is not intended to to be exempt from paying assessments DATES: Comments must be received by have retroactive effect. This proposed for market promotion, including paid January 2, 2004. Pursuant to the rule would not preempt any state or advertising, activities. Paperwork Reduction Act, comments on local laws, regulations, or policies, The FAIR Act amendment covers 28 the information collection burden that unless they present an irreconcilable marketing order programs established would result from this proposal must be conflict with this rule. under the Act (Texas citrus—7 CFR part received by February 2, 2004. The Agricultural Marketing 906; Florida avocados—7 CFR part 915; ADDRESSES: Interested persons are Agreement Act of 1937 (7 U.S.C. 601– California nectarines—7 CFR part 916; invited to submit written comments 674)(Act), under which the 28 California peaches and pears—7 CFR concerning this proposed rule. marketing order programs are part 917; Washington apricots—7 CFR Comments must be sent to the Docket established, provides that part 922; Washington sweet cherries—7 Clerk, Marketing Order Administration administrative proceedings must be CFR part 923; Washington/Oregon fresh Branch, Fruit and Vegetable Programs, exhausted before parties may file suit in prunes—7 CFR part 924; Southeastern AMS, USDA, 1400 Independence court. Under the Act, any person subject California grapes—7 CFR part 925; Avenue, SW., STOP 0237, Washington, to an order may file a petition with the Oregon/Washington winter pears—7 DC 20250–0237; Fax: (202) 720–8938; or Secretary of Agriculture stating that the CFR part 927; cranberries grown in E-mail: [email protected]. All order, any provision of the order, or any States of Massachusetts, et al.—7 CFR comments should reference the docket obligation imposed in connection with part 929; tart cherries grown in States of number and the date and page number the order is not in accordance with law Michigan, et al.—7 CFR part 930; of this issue of the Federal Register. All and request a modification of the order Oregon/Washington Bartlett pears—7
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CFR part 931; California olives—7 CFR Within 30 days following the applicable shells, slices, processes, or in some part 932; Oregon/California potatoes—7 assessment period, the committee or other way alters) the commodity and CFR part 947; Colorado potatoes—7 CFR board would re-compute the assessment pays marketing order assessments. The part 948; Georgia Vidalia onions—7 CFR rate for persons exempt under the handler is eligible for an exemption for part 955; Washington/Oregon Walla section, based on the actual the portion of the assessments used for Walla onions—7 CFR part 956; Idaho- expenditures incurred during the marketing promotion. Eastern Oregon onions—7 CFR part 958; assessment period. The exempt person • A grower who produces and Texas onions—7 CFR part 959; Florida would pay an additional assessment or markets (handles) both certified organic tomatoes—7 CFR part 966; Texas be reimbursed or credited by the and conventional commodities is not melons—7 CFR part 979; California committee or board for the amount eligible for the exemption because that almonds—7 CFR part 981; Oregon- overpaid. person is not producing and marketing Washington hazelnuts—7 CFR part 982; solely 100 percent certified organic Who Is Eligible for Exemption? California walnuts—7 CFR part 984; Far commodities. West spearmint oil—7 CFR part 985; To be eligible for an exemption, the • A handler receives 100 percent of a California dates—7 CFR part 987; person must be subject to an assessment commodity that is organic, and the California raisins—7 CFR part 989; and under a designated marketing order handler is certified as an organic California dried prunes—7 CFR part program. All of the marketing order handling operation. The handler sorts, 993). programs assess handlers; i.e., persons packages, markets, and pays These marketing order programs that handle the regulated commodity. assessments on the commodity. The allow for promotion activities designed The FAIR Act amendment specifies handler is not eligible for the exemption to assist, improve, or promote the that to be exempt from a commodity because the handler did not alter (e.g., marketing, distribution, or consumption promotion assessment, a person— shell, slice, process, or in some other of the commodity covered under the meaning an individual, group of way alter) the commodity. marketing order program. Some of these individuals, corporation, association, The FAIR Act amendment also covers programs also authorize market cooperative, or other business entity— 16 national research and promotion promotion in the form of paid must produce and market solely 100 programs. The research and promotion advertising. Promotion, including paid percent organic products and must not programs will be addressed separately at advertising, activities are paid for by produce any non-organic or a later date. The 16 programs cover assessments levied on handlers conventional products. For purposes of blueberries, beef, cotton, dairy, eggs, regulated under the various marketing this proposed rule, ‘‘produce’’ means to fluid milk, Hass avocados, honey, lamb, orders. grow or produce food, feed, livestock, or mushrooms, peanuts, popcorn, pork, Under this proposal, a new subpart fiber or to receive food, feed, livestock, potatoes, soybeans, and watermelons. would be added in 7 CFR part 900 or fiber, and alter that product by means Initial Regulatory Flexibility Analysis General Regulations to specify the of feeding, slaughtering, or processing. criteria for identifying persons eligible Under this proposed rule, handlers, and Pursuant to requirements set forth in to obtain an assessment exemption for processors and producers acting as the Regulatory Flexibility Act (5 U.S.C. market promotion, including paid handlers may be eligible for exemption 601 et seq.) (RFA), the Agricultural advertising; procedures for persons to if they meet the definition of ‘‘produce’’ Marketing Service (AMS) has apply for an exemption; procedures for as outlined in this proposed rule. This considered the economic impact of this calculating the assessment exemption; proposed rule provides for assessment rule on small entities. Accordingly, and other procedural details for the exemptions for those regulated under AMS has prepared this initial regulatory applicable marketing orders. marketing orders for domestic flexibility analysis. Prior to or during the assessment commodities. Thus, importers subject The purpose of the RFA is to fit period, the person would submit an only to section 8e import regulations regulatory actions to the scale of application for exemption to the would not pay marketing order business subject to such actions in order applicable committee or board. The assessments and would not be eligible that small businesses will not be unduly application would be reviewed by the for an assessment exemption. or disproportionately burdened. committee or board to determine Additionally, to be exempt, such Marketing orders issued pursuant to the whether the applicant is eligible for an persons must possess certification from Act, and the rules issued thereunder, are assessment exemption. If the a USDA-accredited certifying agent that unique in that they are brought about application is disapproved, the the farm or handling operation meets through group action of essentially marketing order committee or board will the requirements of 100 percent organic small entities acting on their own notify the handler of the reason(s) for as defined in section 2103 of the behalf. Thus, both statutes have small disapproval. The Secretary may review Organic Foods Production Act of 1990 entity orientation and compatibility. any decisions made by the committees (7 U.S.C. 6502). As previously mentioned, or boards at his/her discretion. assessments under the 28 marketing The marketing order’s committee or Examples order programs are paid by handlers board would compute the assessment • A grower who produces and regulated under the various marketing rate for any person approved for an markets (handles) 100 percent certified orders. There are approximately 850 organic exemption. The exempt rate organic, is certified as an organic handlers regulated under the 28 would be computed by dividing the handling operation, and pays the marketing orders. USDA does not have committee’s or board’s estimated non- marketing order assessments, is eligible precise numbers, but believes there may marketing promotion expenditures by for an exemption for the portion of the be approximately 84 persons who the committee’s or board’s estimated assessments used for marketing produce and market solely 100 percent total expenditures for the same promotion. organic products that might be exempt assessment period, as approved by the • A handler receives 100 percent of from paying assessments for market Secretary, and applying that percentage the commodity as certified organic and promotion, including paid advertising, to the assessment rate applicable to all is certified as an organic handling under the 28 marketing order programs persons for the assessment period. operation. The handler alters (e.g., administered by AMS. Thus, the
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estimated number of prospective Regarding the impact of this proposed allocated for marketing promotion as a applicants eligible for the assessment rule on affected entities, this rule would percentage of the total marketing order exemption may only represent impose minimal additional costs budgets range from less than 5 percent approximately 9.9 percent of the total incurred in filing the exemption to almost 60 percent. handler population. application and in maintaining records In accordance with the Paperwork Small agricultural service firms are needed to verify the applicant’s Reduction Act of 1995 (44 U.S.C. defined by the Small Business exemption status during applicable chapter 35), the reporting and Administration (13 CFR 121.201) as assessment period. Such applicants will recordkeeping provisions that would be those whose annual receipts are less be required to submit an application generated by this proposed rule will be than $5,000,000. Although the exact size and receive approval from the submitted to the Office of Management of the potential applicants is not known, applicable committee or board to obtain and Budget (OMB) under OMB No. USDA believes that the majority of the assessment exemption. USDA 0581–NEW. As explained later, USDA persons who might qualify for an estimates that each applicant will plans to request emergency approval. exemption may be classified as small submit one application annually. The As with all Federal marketing order entities. annual burden for all of the marketing programs, reports and forms are Section 501 of the Federal Agriculture order industries is estimated to total periodically reviewed to reduce Improvement and Reform Act of 1996 about 42 hours. information requirements and (FAIR Act) was amended on May 13, The cost burden associated with the duplication by industry and public 2002 (7 U.S.C 7401). The amendment information collection would be $420 sector agencies. In addition, USDA has provides that notwithstanding any for all applicants, or $5.00 per not identified any relevant Federal rules provision of a commodity promotion applicant. The total cost has been that duplicate, overlap, or conflict with law, a person that produces and markets estimated by multiplying the burden this rule. There are no viable alternatives to solely 100 percent organic products, and hours associated with the exemption proposing these organic assessment that does not produce any conventional application by $10.00 per hour, a sum exemption procedures. The FAIR Act or non-organic products, shall be deemed reasonable should the requires USDA to take this action to exempt from paying assessments under applicants be compensated for their lessen the assessment costs for persons a commodity promotion law with time. Since this action potentially exempts who produce and market solely 100 respect to any agricultural commodity from assessments agricultural producers percent organic products. In drafting the that is produced on a certified organic and marketers, AMS believes that this exemption procedures, every effort has farm as defined in section 2103 of the rule would have a beneficial economic been made to minimize the burden on Organic Foods Production Act of 1990 effect on exempted entities by reducing the persons impacted, and to simplify (7 U.S.C. 6502). The amendment further their assessment payments. During the the process. The anticipated assessment requires the Secretary of Agriculture to 2001–2002 marketing season, reductions for eligible persons are amend any research and promotion assessments for the 28 marketing orders expected to greatly outweigh the regulations to reflect this exemption. totaled $44,400,000. Of that amount, additional costs related to the reporting USDA is proposing amendments to about $29,900,000 (or 65 percent) was required. the general regulations affecting 28 made available for marketing A small business guide on complying marketing order programs established promotion, including paid advertising, with fruit, vegetable, and specialty crop under the Act for which it has oversight. activities. USDA does not have precise marketing agreements and orders may These amendments would establish information, but believes that about 1 be viewed at: http://www.ams.usda.gov/ provisions for organic producers and percent on average of the total fv/moab.html. Any questions about the marketers meeting the specified criteria assessments are for certified organic compliance guide should be sent to Jay to be exempt from paying assessments commodities. Thus, assessments on Guerber at the previously mentioned for market promotion, including paid organic commodities could total about address in the FOR OTHER INFORMATION advertising. $440,000. Of that amount, about CONTACT section. The 28 marketing order programs $299,000 for marketing promotion, A 30-day comment period is provided allow for promotion activities designed including paid advertising, might be for interested persons to submit written to assist, improve, promote, the exempt under this proposed rule if all comments on the criteria for identifying marketing, distribution, or consumption of the approximate 84 handlers of the persons eligible to obtain an assessment of the commodity covered under the regulated commodities were eligible for exemption, and the procedural details marketing order. Some of the orders also the assessment exemption as specified for obtaining an assessment exemption include authority for paid advertising in the proposed rule. under the various marketing orders. activities. Market promotion, including Based on our estimate that there Thirty days is deemed appropriate paid advertising, activities are paid for might be a total of 84 handlers exempt because this action was mandated by by assessments levied on handlers from assessments for marketing Congress under the 2002 Farm Bill and regulated under the various marketing promotion activities conducted under is intended to provide relief to orders. the various marketing orders, the producers and marketers of solely 100 Under this proposal, a new subpart assessments for eligible persons would percent organic products. Pursuant to would be added in 7 CFR Part 900 be reduced by an average of almost the Paperwork Reduction Act, General Regulations to specify criteria $3,600 ($299,000 divided by 84) on an comments on the information collection for identifying persons eligible to obtain annual basis. burden must be received within 60 days an assessment exemption for marketing There is some variation among the 28 after the date of publication of this promotion, including paid advertising; marketing orders on the percent of proposal in the Federal Register. procedures for applying for an assessments used for marketing exemption; procedures for calculating promotion, including paid advertising. Paperwork Reduction Act the assessment exemption; and other Thus, the actual reduction in In accordance with the Paperwork procedural details for the applicable assessments would vary among the Reduction Act of 1995 (44 U.S.C. marketing orders. various orders. In fact, the amounts chapter 35), this notice also announces
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that AMS is seeking emergency include the applicant’s name, name and is estimated to average 30 minutes per approval for a new information address of the company, telephone and response. collection request enabling organic fax numbers, a copy of the applicant’s Respondents: Eligible Certified producers and marketers to apply for organic farm or organic handling Organic Producers and Marketers. exemptions from paying market operation certificate provided by a Estimated Number of Respondents: promotion assessments under the USDA-accredited certifying agent under 84. following 28 Federal marketing orders: the Organic Foods Production Act of 7 CFR parts 906, 915, 916, 917, 922, 923, 1990 (7 U.S.C. 6502), and a signed Estimated Number of Responses per 924, 925, 927, 929, 930, 931, 932, 947, certification that the applicant meets all Respondent: 1 948, 955, 956, 958, 959, 966, 979, 981, of the requirements specified for an Estimated Total Annual Burden on 982, 984, 985, 987, 989, and 993. The assessment exemption. The burdens Respondents: 42 hours. emergency request is necessary because associated with obtaining the Comments: Comments are invited on: insufficient time is available to follow certifications under the Organic Foods (1) Whether the collection of normal clearance procedures. Production Act of 1990 have already information is necessary for the proper Title: Organic Producer and Marketer been approved by OMB under OMB performance of the functions of the Market Promotion Assessment Control No. 0581–0181. agency, including whether the Exemption under 28 Federal Marketing If the applicant complies with these information will have practical utility; Orders. requirements and is eligible for a market (2) the accuracy of the agency’s estimate OMB Number: 0581–NEW. promotion assessment exemption, the of the burden of the collection of Type of Request: New collection. committee or board would approve the information, including the validity of Abstract: Marketing order programs exemption and notify the applicant the methodology and assumptions used; provide an opportunity for producers of within 30 days of receiving the (3) ways to enhance the quality, utility, fresh fruits, vegetables and specialty applicant’s application. The Secretary and clarity of the information to be crops to solve marketing problems that may review any decisions made by the collected; and (4) ways to minimize the cannot be solved individually. Order committees or boards at his/her burden of the collection of information regulations help ensure adequate discretion. on those who are to respond, including supplies of high quality products for The respective marketing orders (e.g., the use of appropriate automated, consumers and adequate returns to 7 CFR 932.61 and 7 CFR 981.70) also electronic, mechanical, or other producers. Under the Act, orders may provide that handlers maintain, and technological collection techniques of authorize production and marketing make available, all records necessary to other forms of information technology. research, including paid advertising, as demonstrate compliance with order A sixty-day period is provided to mentioned earlier. Production and requirements for two years. The burdens comment on the information collection marketing research and development, on handlers for such recordkeeping burden. Comments should reference including paid advertising, activities to requirements are included in the OMB No. 0581–NEW and be sent to promote the various commodities are information collection requests [email protected]. All paid for with assessments levied on previously approved by OMB for the comments received will be available for handlers regulated under the 28 Federal respective marketing orders under the public inspection during regular marketing orders. following OMB Control Numbers: OMB business hours at the same address. On May 13, 2002, section 501 of the No. 0581–0178 for marketing order Nos. FAIR Act was amended (7 U.S.C. 7401) 947, 948, 955, 956, 958, 959, 966, 979, All responses to this rule will be to exempt any person that produces and 982, 984, 987, 989, and 993; OMB No. summarized and included in the request markets solely 100 percent organic 0581–0189 for marketing order Nos. for OMB approval. All comments will products, and that does not produce any 906, 915, 916, 917, 922, 923, 924, 925, become a matter of public record. As conventional or non-organic products, 927, 929, 930, and 931; OMB No. 0581– with all Federal marketing order from paying assessments under a 0142 for marketing order No. 932; OMB programs, reports and forms are commodity promotion law with respect No. 0581–0071 for marketing order No. periodically reviewed to reduce to any agricultural commodity that is 981; and OMB No. 0581–0065 for information requirements and produced on a certified organic farm as marketing order No. 985. duplication by industry and public defined in Section 2103 of the Organic The information collection would be sector agencies. Foods Production Act of 1990 (7 U.S.C. used only by authorized representatives List of Subjects in 7 CFR Part 900 6502). of USDA, including AMS, Fruit and To be exempt from paying Vegetable Programs’ regional and Administrative practices and assessments for marketing promotion, headquarters staff, and authorized procedures, Freedom of information, including paid advertising expenses, Committee and Board employees. Marketing agreements, Reporting and under the specified marketing orders, Authorized Committee and Board recordkeeping requirements. the certified organic producer and employees will be the primary users of For the reasons set forth in the marketer would submit an application, the information, and AMS will be the preamble, 7 CFR part 900 is proposed to ‘‘Certified Organic Producer and secondary user. be amended to read as follows: Marketer Application for Exemption The request for approval of the new from Market Promotion Assessments information collection under the 28 PART 900—GENERAL REGULATIONS Paid Under Federal Marketing Orders’’ Federal marketing orders is as follows: to the marketing order committee or 1. The authority citation for part 900 board. The application would need to be Form FV–649, Certified Organic is revised to read as follows: Producer and Marketer Application for submitted to the committee or board Authority: 7 U.S.C. 610 and 7 U.S.C. 7401. prior to or during the applicable Exemption From Marketing Promotion assessment period, and annually Assessments Paid Under Federal 2. Add a new subpart heading thereafter, as long as the applicant Marketing Orders ‘‘Assessment Exemptions’’ after continues to be eligible for the Estimate of Burden: Public reporting § 900.601, and add a new § 900.700 to exemption. This application would burden for this collection of information read as follows:
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§ 900.700 Exemption from assessments. provided in this section. The handler DEPARTMENT OF TRANSPORTATION (a) This section specifies criteria for shall file the application with the identifying persons eligible to obtain an committee or board, prior to or during Federal Aviation Administration assessment exemption for marketing the applicable assessment period, and promotion, including paid advertising, annually thereafter as long as the 14 CFR Part 39 and procedures for applying for an handler continues to be eligible for the [Docket No. 2003–NE–48–AD] exemption for 7 CFR parts 906, 915, exemption. If the handler complies with 916, 917, 922, 923, 924, 925, 927, 929, these requirements and is eligible for an RIN 2120–AA64 930, 931, 932, 947, 948, 955, 956, 958, assessment exemption, the committee or 959, 966, 979, 981, 982, 984, 985, 987, board will approve the exemption and Airworthiness Directives; Hamilton 989, and 993. For the purposes of this notify the handler within 30 days of Sundstrand Corporation (Formerly section, the term ‘‘assessment period’’ receiving the handler’s application. If Hamilton Standard Division) Model 568F Propellers means fiscal period, fiscal year, crop the application is disapproved, the year, or marketing year as defined under committee or board will notify the AGENCY: Federal Aviation these parts; the term ‘‘marketing handler of the reason(s) for disapproval. Administration (FAA), DOT. promotion expenditures’’ mean The Secretary may review any decisions expenses incurred under the various ACTION: Notice of proposed rulemaking made by the committees or boards at marketing order for marketing research (NPRM). his/her discretion. and development projects, and SUMMARY: The FAA proposes to adopt a marketing promotion, including paid (d) The applicable assessment rate for new airworthiness directive (AD) for advertising, designed to assist, improve, any handler approved for an exemption certain serial numbered (SN) propeller or promote the marketing, distribution, shall be computed by dividing the blades installed in Hamilton Sundstrand and consumption of the applicable committee’s or board’s estimated non- Corporation (formerly Hamilton commodity. marketing promotion expenditures by Standard Division) 568F propellers. (b) Any handler that produces and the committee’s or board’s estimated This proposed AD would require markets solely 100 percent organic total expenditures approved by the replacement of propeller blades, part products produced on a certified Secretary and applying that percentage numbers (P/N’s) R815505–3 and organic farm as defined in section 2103 to the assessment rate applicable to all R815505–4 that have a serial number of the Organic Foods Production Act of persons for the assessment period. The (SN) of FR1699 to FR20021010, with 1990 (7 U.S.C. 6502) and the regulations Secretary shall review the assessment serviceable blades. This proposed AD is issued under that Act, is subject to rate for eligible persons and, if prompted by reports of these composite assessments under a part or parts appropriate, approve the assessment propeller blades found at inspection, specified in paragraph (a) of this rate. with random areas of missing adhesive section, and does not produce or market under the compression wrap, which any conventional or non-organic (e) Within 30 days following the applicable assessment period, the exposed the steel tulip part of the blade. products shall be exempt from the We are proposing this AD to prevent portion of the assessment applicable to committee or board shall re-compute the applicable assessment rate for handlers propeller blade failure due to corrosion- marketing promotion, including paid induced fatigue, which could result in advertising. For purposes of this section, exempt under this section based on the actual expenditures incurred during the blade separation and possible loss of produce means to grow or produce food, airplane control. feed, livestock, or fiber or to receive applicable assessment period. The food, feed, livestock, or fiber and alter Secretary shall review, and if DATES: We must receive any comments that product by means of feeding, appropriate, approve any change in the on this proposed AD by February 2, slaughtering, or processing. Any handler rate applicable to exempt handlers. 2004. so exempted shall be obligated to pay (f) When the requirements of this ADDRESSES: Use one of the following the portion of the assessment for other section for exemption no longer apply to addresses to submit comments on this authorized activities under such part or a handler, the handler shall inform the proposed AD: parts. • committee or board immediately and By mail: Federal Aviation (c) To be exempt from paying Administration (FAA), New England pay the full assessment on all remaining assessments for these purposes under a Region, Office of the Regional Counsel, assessable product for all committee or part or parts, the handler shall submit Attention: Rules Docket No. 2003–NE– an application to the committee or board assessments from the date the 48–AD, 12 New England Executive Park, board established under the applicable handler no longer is eligible to the end Burlington, MA 01803–5299. part or parts prior to or during the of the assessment period. • By fax: (781) 238–7055. assessment period. This application Dated: November 25, 2003. • By e-mail: 9-ane- shall include the handler’s name and A.J. Yates, [email protected]. address, the name and address of the Administrator, You can get the service information company, telephone and fax numbers, a identified in this proposed AD from copy of the organic farm or organic Agricultural Marketing Service. Hamilton Sundstrand, A United handling operation certificate(s) [FR Doc. 03–29958 Filed 12–1–03; 8:45 am] Technologies Company, Publications provided by a USDA-accredited BILLING CODE 3410–02–P Manager, Mail Stop 2AM–EE50, One certifying agent under the Organic Hamilton Road, Windsor Locks, CT Foods Production Act of 1990 (7 U.S.C. 06096. 6502) for the purposes specified in You may examine the AD docket, by paragraph (b) of this section, and the appointment, at the FAA, New England handler’s certification that the handler Region, Office of the Regional Counsel, meets all of the applicable requirements 12 New England Executive Park, for an assessment exemption as Burlington, MA.
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FOR FURTHER INFORMATION CONTACT: manufacturing process for new blades, figures, we estimate the total labor cost Frank Walsh, Aerospace Engineer, beginning with blade SN 20021011, and of the proposed AD to U.S. operators to Boston Aircraft Certification Office, higher. Upon further investigation, the be $6,240. FAA, Engine and Propeller Directorate, manufacturer has identified two serial Regulatory Findings 12 New England Executive Park, number groups of blades that are Burlington, MA 01803–5299; telephone suspect for missing adhesive. They are We have determined that this (781) 238–7158; fax (781) 238–7170. 568F propeller blades, P/Ns R815505–3 proposed AD would not have federalism SUPPLEMENTARY INFORMATION: and R815505–4, SNs FR1699 through implications under Executive Order FR2625 inclusive (877 blades), and SNs 13132. This proposed AD would not Comments Invited FR20010610 through FR20021010 have a substantial direct effect on the We invite you to submit any written inclusive (713 blades). States, on the relationship between the relevant data, views, or arguments FAA’s Determination and Requirements national Government and the States, or regarding this proposal. Send your of the Proposed AD on the distribution of power and comments to an address listed under responsibilities among the various ADDRESSES. Include ‘‘AD Docket No. We have evaluated all pertinent levels of government. 2003–NE–48–AD’’ in the subject line of information and identified an unsafe For the reasons discussed above, I your comments. If you want us to condition that is likely to exist or certify that the proposed regulation: develop on other products of this same acknowledge receipt of your mailed 1. Is not a ‘‘significant regulatory type design. Therefore, we are comments, send us a self-addressed, action’’ under Executive Order 12866; stamped postcard with the docket proposing this AD, which would require 2. Is not a ‘‘significant rule’’ under the number written on it; we will date- replacement of propeller blades, P/Ns DOT Regulatory Policies and Procedures stamp your postcard and mail it back to R815505–3 and R815505–4, that have a you. We specifically invite comments SN of FR1699 to FR20021010, with (44 FR 11034, February 26, 1979); and on the overall regulatory, economic, serviceable blades. A calendar-based 3. Would not have a significant environmental, and energy aspects of schedule has been established for the economic impact, positive or negative, the proposed AD. If a person contacts us removal of blades based on a safety on a substantial number of small entities verbally, and that contact relates to a evaluation of the blade population. The under the criteria of the Regulatory substantive part of this proposed AD, schedule takes into consideration the Flexibility Act. we will summarize the contact and age of the blade, availability of spare We prepared a summary of the costs place the summary in the docket. We blades and the repair capabilities to comply with this proposal and placed will consider all comments received by necessary to restore removed blades to it in the AD Docket. You may get a copy the closing date and may amend the a serviceable condition. Since corrosion of this summary by sending a request to proposed AD in light of those is an age-related process, the oldest us at the address listed under comments. blades are to be replaced first. In ADDRESSES. Include ‘‘AD Docket No. We are reviewing the writing style we addition, the specialized tooling 2003–NE–48–AD’’ in your request. currently use in regulatory documents. necessary to remove and replace the List of Subjects in 14 CFR Part 39 We are interested in your comments on composite material on the blade during whether the style of this document is repair is only available at one repair Air transportation, Aircraft, Aviation clear, and your suggestions to improve facility. The calendar-based schedule safety, Safety. the clarity of our communications that provides airplane owners and operators The Proposed Amendment affect you. You can get more with compliance dates to accommodate information about plain language at scheduling for blade removal within the Accordingly, under the authority http://www.faa.gov/language and http:// safety evaluation. delegated to me by the Administrator, www.plainlanguage.gov. the Federal Aviation Administration Changes to 14 CFR Part 39—Effect on proposes to amend 14 CFR part 39 as Examining the AD Docket the Proposed AD follows: You may examine the AD Docket On July 10, 2002, we issued a new (including any comments and service version of 14 CFR part 39 (67 FR 47998, PART 39—AIRWORTHINESS information), by appointment, between July 22, 2002), which governs the FAA’s DIRECTIVES 8 a.m. and 4:30 p.m., Monday through AD system. This regulation now Friday, except Federal holidays. See includes material that relates to altered 1. The authority citation for part 39 ADDRESSES for the location. products, special flight permits, and continues to read as follows: alternative methods of compliance. This Authority: 49 U.S.C. 106(g), 40113, 44701. Discussion material previously was included in § 39.13 [Amended] The manufacturer has recently each individual AD. Since this material notified us that while investigating is included in 14 CFR part 39, we will 2. The FAA amends § 39.13 by adding corrosion indications on some blade not include it in future AD actions. the following new airworthiness tulip counterweight areas of 568F directive: Costs of Compliance composite propeller blades, random Hamilton Sundstrand Corporation areas of missing adhesive under the We estimate that 24 Hamilton (formerly Hamilton Standard Division): compression wrap were discovered, Sundstrand Corporation 568F propellers Docket No. 2003–NE–48–AD. exposing the steel tulip part of the with suspect blades installed on Comments Due Date blade. This missing adhesive is airplanes of U.S. registry, would be determined to be the result of a affected by this proposed AD. We also (a) The Federal Aviation Administration manufacturing operation designed to estimate that it would take (FAA) must receive comments on this airworthiness directive (AD) action by remove resin flashing from this area of approximately 8 work hours per February 2, 2004. the blade interface, during original airplane to remove and replace suspect manufacture. The manufacturer has blades, and that the average labor rate is Affected ADs implemented a corrective action in the $65 per work hour. Based on these (b) None.
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Applicability compression wrap, which exposed the steel (1) Blades listed by SN in the following (c) This AD applies to Hamilton tulip part of the blade. We are issuing this Table 1 of this AD must be removed no later Sundstrand Corporation (formerly Hamilton AD to prevent propeller blade failure due to than the date listed in Table 1 of this AD. See Standard Division) 568F propellers with corrosion-induced fatigue, which could Table 2 of this AD for blade SNs that are propeller blades, part numbers (P/Ns) result in blade separation and possible loss excluded from the compliance times R815505–3 and R815505–4, serial numbers of airplane control. specified in Table 1 of this AD. (SNs) FR1699 through FR2625 inclusive (877 Compliance (2) Remove the blades that are listed by SN blades), and SNs FR20010610 through in Table 2 of this AD no later than December FR20021010 inclusive (713 blades), installed. (e) You are responsible for having the These composite propeller blades are actions required by this AD performed within 31, 2007. installed on, but not limited to, Aerospatiale the compliance times specified unless the (3) In some instances an ‘‘RT’’ reference ATR42–400, ATR42–500, ATR72–212, and actions have already been done. immediately follows the numeric portion of ATR72–500 airplanes. the serial number on the blade. For purposes Removal From Service of Affected Propeller of this AD, the ‘‘RT’’ reference has been Unsafe Condition Blades omitted when specifying affected serial (d) This AD is prompted by reports of (f) Remove propeller blades, P/Ns numbers. propeller blades found at inspection, with R815505–3 and R815505–4 from service as random areas of missing adhesive under the follows:
TABLE 1.—PROPELLER BLADE REMOVAL SCHEDULE
Remove propeller blades For propeller blades SNs: from service for rework, no later than:
FR1699 through FR1765 ...... December 31, 2003. FR1766 through FR1776 ...... March 31, 2004. FR1777 through FR1855 ...... June 30, 2004. FR1856 through FR1956 ...... September 30, 2004. FR1957 through FR2132 ...... December 31, 2004. FR2133 through FR2230 ...... March 31, 2005. FR2231 through FR2315 ...... June 30, 2005. FR2316 through FR2390 ...... September 30, 2005. FR2391 through FR2433 ...... December 31, 2005. FR2434 through FR2553 ...... March 31, 2006. FR2554 through FR2625 ...... June 30, 2006. FR20010610 through FR20010729 ...... June 30, 2006. FR20010730 through FR20011018 ...... September 30, 2006. FR20011019 through FR20011218 ...... December 31, 2006. FR20011219 through FR20020511 ...... March 31, 2007. FR20020512 through FR20020757 ...... June 30, 2007. FR20020758 through FR20020842 ...... September 30, 2007. FR20020843 through FR20021010 ...... December 31, 2007.
TABLE 2.—BLADE SNS EXCLUDED FROM TABLE 1
FR1720 FR1887 FR1962 FR2163 FR1740 FR1888 FR1963 FR2164 FR1742 FR1889 FR2013 FR2165 FR1752 FR1892 FR2022 FR2166 FR1777 FR1893 FR2032 FR2167 FR1791 FR1927 FR2037 FR2168 FR1796 FR1928 FR2038 FR2173 FR1841 FR1929 FR2039 FR2177 FR1843 FR1930 FR2047 FR2179 FR1858 FR1931 FR2058 FR2180 FR1860 FR1932 FR2059 FR2183 FR1865 FR1933 FR2060 FR2204 FR1869 FR1934 FR2063 FR2205 FR1871 FR1935 FR2064 FR2206 FR1872 FR1936 FR2067 FR2207 FR1873 FR1937 FR2068 FR2208 FR1874 FR1938 FR2099 FR2233 FR1875 FR1942 FR2108 FR2234 FR1877 FR1943 FR2134 FR2467 FR1878 FR1957 FR2135 FR20010626 FR1879 FR1960 FR2136 FR20010936 FR1880 FR1961 FR2137 FR20011218
Installation of Propeller Blades That Have a 3 or R815505–4 and SN listed in Table 1 or Alternative Methods of Compliance SN Listed in Table 1 or Table 2 of This AD Table 2 of this AD, and that has exceeded the (h) The Manager, Boston Aircraft (g) After the effective date of this AD, do date for replacement. Certification Office, has the authority to not install any blade that has P/N R815505– approve alternative methods of compliance
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for this AD if requested using the procedures Trade Bureau, P.O. Box 50221, about 9,900 e-mail comments and about found in 14 CFR 39.19. Washington, DC 20091–0221; 4,800 comment letters by mail or • Related Information 202–927–8525 (facsimile); or facsimile transmission. In contrast, • [email protected] (e-mail). other TTB notices of proposed (i) Hamilton Sundstrand Service Bulletin You may view copies of this notice, No. 568F–61–A45, Revision 1, dated October rulemaking issued during 2003 7, 2003, provides information to rework and Notices No. 4 and 10, and any generated an average of less than 20 remark the affected blades for return to comments received concerning Notice comments each. The unusually large service. No. 4 by appointment at our Reference number of comments received on Notice Library, 1350 G Street NW., Issued in Burlington, Massachusetts, on No. 4 has made it difficult to remove all November 24, 2003. Washington, DC 20005; phone 202–927– street addresses, telephone numbers, 8210. Copies of this notice and Notices Jay J. Pardee, and e-mail addresses from the No. 4 and 10 are currently posted on our comments for posting on our Internet Manager, Engine and Propeller Directorate, Internet Web site at http://www.ttb.gov. Aircraft Certification Service. Web site in a timely manner. We will post copies of the comments Therefore, to ensure that the public [FR Doc. 03–29904 Filed 12–1–03; 8:45 am] received in response to Notice No. 4 on BILLING CODE 4910–13–P has Internet access to the thousands of our Web site as soon as practicable. comments received on Notice No. 4 at See the ‘‘Submitting Requests for the earliest practicable time, we will Removal of Address Information’’ post comments received on that notice DEPARTMENT OF THE TREASURY section of this notice for specific on our Web site in full, including any instructions and requirements for street addresses, telephone numbers, or Alcohol and Tobacco Tax and Trade submitting your request to remove e-mail addresses contained in the Bureau identifying addresses, telephone comments. numbers, and e-mail addresses from the 27 CFR Parts 7 and 25 posted version of your comment. However, since commenters may have responded to Notice No. 4 with the [Notice No. 23; Re: Notice Nos. 4 and 10] FOR FURTHER INFORMATION CONTACT: Charles N. Bacon, Alcohol and Tobacco understanding that their street RIN 1513–AA11 Tax and Trade Bureau, Regulations and addresses, telephone numbers, and e- Procedures Division, P.O. Box 5056, mail addresses would not be posted on Flavored Malt Beverages and Related the TTB Web site, we will remove any Proposals; Posting of Comments Beverly Farms, MA 01915; telephone 978–921–1840. such information from a posted Received on the TTB Internet Web Site comment if the original, individual SUPPLEMENTARY INFORMATION: AGENCY: Alcohol and Tobacco Tax and commenter contacts us on or before Trade Bureau (TTB), Treasury. Notice No. 4 and Internet Posting of December 23, 2003. As noted earlier, the Comments Received full comment, including any street ACTION: Notice of proposed rulemaking; On March 24, 2003, the Alcohol and addresses, telephone numbers, or e-mail modification to conditions for posting of addresses within the comment is subject comments on the TTB Internet Web site. Tobacco Tax and Trade Bureau published Notice No. 4, a notice of to public disclosure and will remain SUMMARY: The Alcohol and Tobacco Tax proposed rulemaking entitled ‘‘Flavored available for public viewing in our and Trade Bureau announces that all Malt Beverages and Related Proposals’’ reference library. comments submitted in response to (see 68 FR 14292). We later extended Submitting Requests for Removal of Notice No. 4, Flavored Malt Beverages the comment period for Notice No. 4 Address Information and Related Proposals, published in the until October 21, 2003 (see Notice No. Federal Register on March 24, 2003, 10, 68 FR 32698, June 2, 2003). We will only accept requests to will be posted on our Internet Web site In Notice No. 4 we advised the public remove street addresses, telephone with the commenter’s street address, that comments made in response to the numbers, and e-mail addresses from the telephone number, and e-mail address notice and the names of commenters posted version of a comment on Notice included, unless the commenter were not confidential, and were subject No. 4 from the original, individual requests within the next 3 weeks that to public disclosure in our reference commenter. We will not accept such such information be removed from the library and in the preamble of any final requests from an organization or posted comment. rulemaking on flavored malt beverages. company on behalf of a group of DATES: If you commented on Notice No. Notice No. 4 added that we would post individual commenters. 4 published in the Federal Register on copies of the comments received on the In your request to remove such March 24, 2003 (68 FR 14292), you have TTB Internet Web site at http:// information from the posted version of until December 23, 2003 to request www.ttb.gov. Notice No. 4 also included your comment on Notice No. 4, please removal of any street address, telephone the following statement: include information that will allow us number, or e-mail address from the All comments posted on our Web site will to identify your original comment. For posted comment. show the name of the commenter but will not example, your request should include ADDRESSES: You may contact us at the show street addresses, telephone numbers, or your name, address, date of your following addresses to request the e-mail addresses. original comment, and the name of any removal of any street address, telephone Notice No. 4 noted that ‘‘in all cases’’ letterhead your original comment was number, or e-mail address from your the full comments would be available in written on. In all cases, please reference comment on Notice No. 4. Please our reference library. We used similar ‘‘Notice No. 4—I.D. Removal’’ in the include information to identify your language in all of our notices of subject line of your request. original comment and reference ‘‘Notice proposed rulemaking published before You may submit your request to No. 4—I.D. Removal’’ in the subject line October 1, 2003. remove any street address, telephone of your request. In response to Notice No. 4, we have number, and e-mail address from your • Chief, Regulations and Procedures received approximately 14,700 original comment on Notice No. 4 by Division, Alcohol and Tobacco Tax and comments. Of that total, we received one of these methods:
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• By mail: You may send your written ACTION: Proposed rule. Allen G. Moskowitz, Kay Scholer LLP, request to TTB at the address listed in 901 Fifteenth Street, NW., Suite 1100, the ADDRESSES section above. SUMMARY: This document sets forth a Washington, DC 20005. • proposal to amend the FM Table of By facsimile: You may submit your FOR FURTHER INFORMATION CONTACT: Allotments, Section 73.202(b) of the request by facsimile transmission to Deborah A. Dupont, Media Bureau (202) Commission’s rules, 47 CFR 73.202(b). 202–927–8525. Your faxed request 418–7072. The Commission requests comment on must— SUPPLEMENTARY INFORMATION: This is a 1 a petition filed by Megahertz Licenses, (1) Be on 8 ⁄2 by 11-inch paper; synopsis of the Commission’s Notice of (2) Contain a legible, written LLC, licensee of Station WXMJ(FM), Proposed Rule Making, MB Docket No. signature; and Mount Union, Pennsylvania, and of 03–231, adopted November 12, 2003 (3) Be five or less pages long in order Station WWLY(FM), Huntingdon, and released November 14, 2003. The to ensure access to our fax equipment. Pennsylvania. Petitioner proposes to full text of this Commission decision is We will not accept faxes that exceed delete Channel 292A at Huntingdon, available for inspection and copying five pages. Pennsylvania, to allot Channel 292A at • By e-mail: You may e-mail your Mount Union, Pennsylvania, and to during normal business hours in the request to [email protected]. Comments modify the license of Station FCC Reference Information Center transmitted by electronic-mail must— WWLY(FM) accordingly. Petitioner also (Room CY–A257), 445 12th Street, SW., (1) Contain your e-mail address; requests the substitution of Channel Washington, DC. The complete text of 1 this decision may also be purchased (2) Be legible when printed on 8 ⁄2 x 258B1 for Channel 258A and the 11-inch size paper. reallotment of that channel from Mount from the Commission’s copy contractor, Union to Centre Hall, Pennsylvania, and Qualex International, Portals II, 445 Please note: Do not submit additional 12th Street, SW., Room CY–B402, comments on Notice No. 4. The comment the modification of the license of period for Notice No. 4 closed on October 21, Station WXMJ(FM) accordingly. In order Washington, DC 20554, telephone (202) 2003. to accomplish these allotment changes, 863–2893. Petitioner further proposes to change The Provisions of the Regulatory Drafting Information the transmitter site for Station Flexibility Act of 1980 do not apply to WZXR(FM), South Williamsport, this proceeding. Members of the public Michael D. Hoover of the Regulations should note that from the time a Notice and Procedures Division, Alcohol and Pennsylvania, operating on Channel 257A. The transmitter site for Channel of Proposed Rule Making is issued until Tobacco Tax and Trade Bureau, drafted the matter is no longer subject to this notice. 257A at South Williamsport can be changed, in compliance with the Commission consideration or court List of Subjects Commission’s minimum distance review, all ex parte contacts are prohibited in Commission proceedings, 27 CFR Part 7 separation requirements, to 41–14–06 NL and 76–51–02 WL. Those reference such as this one, which involve channel Advertising, Beer, Customs duties and coordinates reflect a site restriction of allotments. See 47 CFR 1.1204(b) for inspection, Imports, Labeling, Reporting 12.5 km (7.8 miles) east of South rules governing permissible ex parte and recordkeeping requirements, Trade Williamsport. That change in reference contacts. practices. For information regarding proper coordinates for Channel 257A at South filing procedures for comments, see 47 27 CFR Part 25 Williamsport permits the allotment CFR 1.415 and 1.420. Beer, Claims, Electronic fund changes proposed at Mount Union and transfers, Excise taxes, Exports, Centre Hall. Channel 258B1 can be List of Subjects in 47 CFR Part 73 Labeling, Liquors, Packaging and allotted to Centre Hall in compliance Radio, Radio broadcasting. with the Commission’s minimum containers, Reporting and recordkeeping For the reasons discussed in the distance separation requirements with a requirements, Research, Surety bonds. preamble, the Federal Communications site restriction of 14.0 km (8.7 miles) Commission proposes to amend 47 CFR Authority and Issuance southwest of Centre Hall. The part 73 as follows: This notice is issued under the coordinates for Channel 258B1 at Centre authority in 27 U.S.C. 205. Hall are 40–46–39 North Latitude and PART 73—RADIO BROADCAST 77–49–26 West Longitude. Channel SERVICES Approved: November 21, 2003. 292A can be allotted to Mount Union in Arthur J. Libertucci, compliance with the Commission’s 1. The authority citation for part 73 Administrator. minimum distance separation continues to read as follows: [FR Doc. 03–29905 Filed 12–1–03; 8:45 am] requirements with a site restriction of Authority: 47 U.S.C. 154, 303, 334 and 336. BILLING CODE 4810–31–P 14.5 km (9.0 miles) south of Mount Union. The coordinates for Channel § 73.202 [Amended] 292A at Mount Union are 40–15–18 2. Section 73.202(b), the Table of FM FEDERAL COMMUNICATIONS North Latitude and 77–51–41 West Allotments under Pennsylvania, is COMMISSION Longitude. See Supplementary amended by adding Centre Hall, Information infra. Channel 258B1, by removing Channel 47 CFR Part 73 DATES: Comments must be filed on or 292A at Huntingdon, and by removing [DA 03–3552; MB Docket No. 03–231, RM– before January 5, 2004, and reply Channel 258A and adding Channel 10818] comments on or before January 20, 292A at Mount Union. 2004. Federal Communications Commission. Radio Broadcasting Services; Centre John A. Karousos, Hall, Huntingdon, Mt. Union, and South ADDRESSES: Federal Communications Assistant Chief, Audio Division, Media Williamsport, PA Commission, Washington, DC 20554. In addition to filing comments with the Bureau. AGENCY: Federal Communications FCC, interested parties should serve [FR Doc. 03–29860 Filed 12–1–03; 8:45 am] Commission. counsel for the petitioner as follows: BILLING CODE 6712–01–P
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FEDERAL COMMUNICATIONS one, which involve channel allotments. and objectives of the Magnuson-Stevens COMMISSION See 47 CFR 1.1204(b) for rules Fishery Conservation and Management governing permissible ex parte contacts. Act (Magnuson-Stevens Act), the FMP, 47 CFR Part 73 For information regarding proper and other applicable laws. Comments [DA 03–3648; MB Docket No. 03–238; RM– filing procedures for comments, see 47 from the public are welcome. 10820] CFR 1.415 and 1.420. DATES: Comments on Amendment 63 List of Subjects in 47 CFR Part 73 must be submitted by February 2, 2004. Radio Broadcasting Services; ADDRESSES: Comments on the FMP Lancaster and Pickerington, OH Radio, Radio broadcasting. amendment should be sent to Sue For the reasons discussed in the Salveson, Assistant Regional AGENCY: Federal Communications preamble, the Federal Communications Commission. Administrator, Sustainable Fisheries Commission proposes to amend 47 CFR Division, Alaska Region, NMFS, P.O. ACTION: Proposed rule. Part 73 as follows: Box 21668, Juneau, AK 99802, Attn: SUMMARY: This document requests Lori Durall, or delivered to room 420 of PART 73—RADIO BROADCAST the Federal Building, 709 West 9th comment on a petition for rulemaking SERVICES filed on behalf of Franklin Street, Juneau, AK. Comments also may Communications Inc., licensee of 1. The authority citation for Part 73 be sent via facsimile (fax) to 907–586– Station WJZA(FM), Lancaster, Ohio, continues to read as follows: 7557. Comments will not be accepted if submitted via e-mail or Internet. Copies requesting the reallotment of Channel Authority: 47 U.S.C. 154, 303, 334 and 336. 278A from Lancaster, Ohio, to of Amendment 63 and the Pickerington, Ohio, as the community’s § 73.202 [Amended] Environmental Assessment/Regulatory Impact Review/Initial Regulatory first local transmission service, and the 2. Section 73.202(b), the Table of FM Flexibility Analysis (EA/RIR/IRFA) for modification of the license for Station Allotments under Ohio, is amended by the amendment may be obtained from WJZA(FM) to reflect the changes. removing Channel 278A at Lancaster the same address. Channel 278A can be reallotted at and adding Pickerington, Channel 278A. FOR FURTHER INFORMATION CONTACT: Pickerington at a site 8.8 kilometers (5.4 Federal Communications Commission. miles) northeast of the community at Melanie Brown, 907–586–7228 or John A. Karousos, coordinates 39–56–39 NL and 82–41–14 [email protected]. Assistant Chief, Audio Division, Media WL. SUPPLEMENTARY INFORMATION: The Bureau. DATES: Comments must be filed on or Magnuson-Stevens Act requires that [FR Doc. 03–29861 Filed 12–1–03; 8:45 am] before January 15, 2004, and reply each Regional Fishery Management comments on or before January 30, BILLING CODE 6712–01–P Council submit any FMP amendment it 2004. prepares to NMFS for review and approval, disapproval, or partial ADDRESSES: Secretary, Federal DEPARTMENT OF COMMERCE approval. The Magnuson-Stevens Act Communications Commission, also requires that NMFS, upon receiving Washington, DC 20554. National Oceanic and Atmospheric an FMP amendment, immediately FOR FURTHER INFORMATION CONTACT: Administration publish a notice in the Federal Register Victoria M. McCauley, Media Bureau, that the amendment is available for (202) 418–2180. 50 CFR Part 679 public review and comment. SUPPLEMENTARY INFORMATION: This is a [I.D. 111903A] The Council unanimously adopted synopsis of the Commission’s Notice of Amendment 63 in October 2003. If Proposed Rule Making, MB Docket No. RIN 0648–AR73 approved by NMFS, this amendment 03–238, adopted November 14, 2003, Fisheries of the Exclusive Economic would move skates from the ‘‘other and released November 17, 2003. The Zone Off Alaska; Skates Management species’’ list to the ‘‘target species’’ list, full text of this Commission decision is in the Groundfish Fisheries of the Gulf allowing the management of skates as a available for inspection and copying of Alaska target species. NMFS trawl survey and during normal business hours in the catch information show that of the 14 FCC’s Reference Information Center at AGENCY: National Marine Fisheries skate species occurring in the Gulf of Portals II, CY–A257, 445 Twelfth Street, Service (NMFS), National Oceanic and Alaska, the majority of the catch is made SW., Washington, DC. This document Atmospheric Administration (NOAA), up of big and longnose skate species. may also be purchased from the Commerce. The big skates and longnose skates Commission’s duplicating contractors, ACTION: Notice of availability; request would be listed under the skates Qualex International, Portals II, 445 for comments. category in the target species list to 12th Street, SW., Room CY–B402, allow for management of these Washington, DC 20554, telephone 202– SUMMARY: The North Pacific Fishery individual species. 863–2893, or via e-mail Management Council (Council) has Skates currently are managed as part [email protected]. submitted Amendment 63 to the Fishery of the other species complex with Provisions of the Regulatory Management Plan for Groundfish of the sharks, sculpins, octopus, and squid. Flexibility Act of l980 do not apply to Gulf of Alaska (FMP). If approved, The total allowable catch limit (TAC) for this proceeding. Amendment 63 would move skates from this complex is five percent of the Members of the public should note the ‘‘other species’’ list to the ‘‘target aggregate of all TACs for target that from the time a Notice of Proposed species’’ list in the FMP. By listing groundfish species or species groups of Rule Making is issued until the matter skates as a target species, a directed the GOA. Target species TACs are is no longer subject to Commission fishery for skates in the Gulf of Alaska established for an individual species or consideration or court review, all ex (GOA) may be managed to reduce the species group, and NMFS manages the parte contacts are prohibited in potential for overfishing skates. This directed fishery for these species to Commission proceedings, such as this action is intended to promote the goals avoid exceeding the specified TACs.
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TACs usually are set at or below the specifications, allowing for more period on the amendment in order to be acceptable biological catch (ABC) limits, effective management of skates based on considered in the approval/disapproval which are below the overfishing levels the best available scientific information. decision on the amendment. All (OFLs) for each target species or species The development of OFL, ABC, and comments received by the end of the group. The other species complex does TAC amounts for the 2004 harvest comment period on the amendment, not have an OFL or ABC limit due to the specifications for skates would be based whether specifically directed to the lack of stock assessment information for on scientific survey and harvest amendment or to the proposed rule, will most of the species in the complex. information from 2003 and prior years. be considered in the approval/ In 2003, a directed fishery for skates Managing a directed fishery for skates so disapproval decision. Comments rapidly developed in the GOA. The that OFL, ABC, and TAC amounts are received after that date will not be 2003 skates harvest was 3,042 metric not exceeded would reduce the considered in the approval/disapproval tons (mt) compared to 782 mt of skates potential for overfishing and would decision on the amendment. To be harvested in 2002. Because skates are meet the conservation objectives of the considered, comments must be received managed within the other species Magnuson-Stevens Act. not just postmarked or otherwise complex, the full TAC for the other Public comments are being solicited transmitted by close of business on the species complex is available for a on proposed Amendment 63 through last day of the comment period. directed fishery for skates. the end of the comment period stated Dated: November 25, 2003. To reduce the potential for (see DATES). A proposed rule that overfishing, the Council recommended would implement the amendment may Bruce C. Morehead, that skates be managed as a target be published in the Federal Register for Acting Director, Office of Sustainable species. As a target species, OFL, ABC, public comment at a later date. Public Fisheries, National Marine Fisheries Service. and TAC amounts for skates would be comments on the proposed rule must be [FR Doc. 03–29940 Filed 12–1–03; 8:45 am] established by annual harvest received by the end of the comment BILLING CODE 3510–22–S
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Notices Federal Register Vol. 68, No. 231
Tuesday, December 2, 2003
This section of the FEDERAL REGISTER individuals covered by the system, Senate; and the Chairman, Committee contains documents other than rules or purpose, record storage, retrievability, on Government Reform and Oversight, proposed rules that are applicable to the safeguards, notification procedures, and U.S. House of Representatives. public. Notices of hearings and investigations, record access procedures; (4) delete Signed at Washington, DC, on November committee meetings, agency decisions and three routine uses no longer necessary rulings, delegations of authority, filing of 20, 2003. or compatible with the purpose for petitions and applications and agency Ann M. Veneman, statements of organization and functions are which information was collected; and Secretary of Agriculture. examples of documents appearing in this (5) add a new routine use. section. 2. USDA/CSREES–2, ‘‘International Privacy Act System ‘‘Current Research Programs Recruitment Roster.’’ The Information System,’’ USDA/CSREES–1 purposes of this revision to the system Report DEPARTMENT OF AGRICULTURE of records are to (1) change the designation from USDA/ES–1 to USDA/ The purpose of this system of records Office of the Secretary CSREES–2; (2) reflect organizational is to document the research activities of changes; (3) identify changes to system Privacy Act of 1974; System of the USDA/State agricultural research name and location, categories of records Records system for various reporting purposes as in the system, addresses for system well as to provide ready access to AGENCY: Office of the Secretary, USDA. manager and notification procedures, research information. retention and disposal, and delete one ACTION: Notice of revision of Privacy Act The revisions to the system of records routine use that is not a required routine systems of records. are to change the designation from use. SUMMARY: Notice is hereby given that 3. USDA/CSREES–3, ‘‘State USDA/CSRS–1 to USDA/CSREES–1; the United States Department of Cooperative Extension Service reflect organizational changes; identify Agriculture (USDA) is revising three Employees.’’ The purposes of this changes to system location, categories of Privacy Act (PA) systems of records, is revision to the system of records are to individuals covered by the system, deleting one system of records, and (1) change the designation from USDA/ purpose, record storage, retrievability, proposes to create a new system of ES–3 to USDA/CSREES–3; (2) reflect safeguards, notification procedures, and records entitled ‘‘Current Research organizational changes; (3) identify record access procedures; delete three Information System,’’ USDA/CSREES–4, changes to system location, categories of routine uses no longer necessary or maintained by the Cooperative State records in the system, safeguards, compatible with the purpose for which Research, Education, and Extension system manager address, and storage; information was collected, and add a Service (CSREES). and (4) add three routine uses. new routine use. EFFECTIVE DATE: This notice will be II. One System of Records is being The authorities for maintaining this adopted without further publication in added as follows: system of records are 7 U.S.C. 361 a–i; the Federal Register on January 12, 1. USDA/CSREES–4, ‘‘CSREES Grants 7 U.S.C. 3222; 7 U.S.C. 450; 7 U.S.C. 2004 unless modified by a subsequent System.’’ The purpose of this new 7621; 7 U.S.C. 7626; 7 U.S.C. 3152; 7 notice to incorporate comments system of records is to enable program U.S.C. 3241; 7 U.S.C. 5811; and 7 U.S.C. received from the public. Comments offices to reference reviewers and 343. must be received by the contact person maintain appropriate files and Use of this system, as established, listed below on or before January 2, supporting material in processing, should not result in infringement of any 2004. evaluating, and managing applications individual’s right to privacy. FOR FURTHER INFORMATION CONTACT: for grants or other support, including Valerie N. Herberger, FOIA/PA completing awards and distributing Access to technical records are Coordinator, ARS, USDA, 5601 funds. maintained on the CRIS Web site (http:/ Sunnyside Avenue, Beltsville, MD III. One System of Records is being /cris.csrees.usda.gov) and available to 20705–5128; Telephone (301) 504–1640; deleted as follows: anyone. Financial records will be in a Facsimile (301) 504–1648; Electronic 1. USDA/ES–2, ‘‘Cooperative safeguarded environment with access mail [email protected]. Extension Personnel Records System.’’ only by authorized personnel. SUPPLEMENTARY INFORMATION: Pursuant This system is being deleted because The system provides for one new to the PA, 5 U.S.C. 552a, USDA hereby these records are no longer relevant and routine use release, as follows: necessary to accomplish a purpose of takes the following action: Routine use 1 permits disclosure of I. Three systems of records the Agency and the records are no the technical records in this system to maintained by CSREES are being longer maintained by USDA. the general public in order to inform revised for the following reasons: A Privacy Act Systems Report relating 1. USDA/CSREES–1, ‘‘Current to the proposed changes and new them of agricultural related research, Research Information System.’’ The system required by 5 U.S.C. 552a(r), as plan future research activities, avoid purposes of this revision to the system implemented by OMB Circular A–130, costly duplication of research, and of records are to (1) change the was sent to the Administrator, Office of establish valuable contacts within the designation from USDA/CSRS–1 to Information and Regulatory Affairs, research community. USDA/CSREES–1; (2) reflect Office of Management and Budget; the The revised system of records will not organizational changes; (3) identify Chairwoman, Committee on be exempt from any provisions of the changes to system location, categories of Governmental Affairs, United States Privacy Act.
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USDA/CSREES–1 violation of law, whether civil, criminal, Manager or can access the CRIS Web or regulatory in nature, and whether site. SYSTEM NAME: arising by general statute or particular RECORD ACCESS PROCEDURES: Current Research Information System program statute, or by rule, regulation, (CRIS), USDA/CSREES–1. or order issued pursuant to such statute; Any individual may gain access to a (5) in response to a request for discovery record in the system that pertains to SYSTEM LOCATION: such individual by submitting a written USDA, CSREES/ISTM/CRIS, or appearance of a witness, to the extent that what is disclosed is relevant to the request to the System Manager or by Waterfront Centre, 800 9th Street, SW, accessing the CRIS Web site. Washington, DC 20024. subject matter involved in a pending judicial or criminal proceeding or in CONTESTING RECORD PROCEDURES: CATEGORIES OF INDIVIDUALS COVERED BY THE response to a subpoena issued in a Any individual may contest a record SYSTEM: proceeding before a court or in the system that pertains to such Scientists listed on research projects adjudicative body, to the extent that the individual by submitting written entered into the CRIS. records requested are relevant to the information to the System Manager. proceedings; (6) a Member of Congress CATEGORIES OF RECORDS IN THE SYSTEM: or to a Congressional staff member in RECORD SOURCE CATEGORIES: The system consists of research response to an inquiry of the Information in this system comes projects of USDA agencies and CSREES Congressional office made at the written from USDA research agencies and other grant recipients, and research projects of request of the constituent about whom institutions receiving CSREES those State institutions receiving the record is maintained. administered funds for research. CSREES administered funds in support of research. POLICIES AND PRACTICES FOR STORING, EXEMPTIONS CLAIMED FOR THE SYSTEM: RETRIEVING, ACCESSING, RETAINING, AND None. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: DISPOSING OF RECORDS IN THE SYSTEM: 7 U.S.C. 361 a–i; 7 U.S.C. 3222; 7 Privacy Act System ‘‘International STORAGE: Programs Recruitment Roster,’’ USDA/ U.S.C. 450; 7 U.S.C. 7621; 7 U.S.C. 7626; Technical records are maintained on CSREES–2 Report 7 U.S.C. 3152; 7 U.S.C. 3241; 7 U.S.C. the CRIS Web site (http:// 5811; and 7 U.S.C. 343. The purpose of this system of records cris.csrees.usda.gov). Financial records is to have access to information on ROUTINE USES OF RECORDS MAINTAINED IN THE are maintained on computer tapes and university personnel at cooperating SYSTEM, INCLUDING CATEGORIES OF USERS AND on other electronic media at the CRIS institutions who have expressed an THE PURPOSES OF SUCH USES: offices, the National Archives, and at interest in participating in international Technical records in this system may the USDA National Computer Center, activities carried out through CSREES. be disclosed to: (1) The general public Kansas City. The computerized roster will allow in order to inform them of agricultural RETRIEVABILITY: CSREES, International Programs to related research, plan future research quickly identify qualified candidates for activities, avoid costly duplication of Records can be retrieved by name or overseas assignments and/or to utilize research, and establish valuable contacts project leader or co-investigator or any them as resources for International within the research community. other data field. Programs office to search records Technical and financial records in this SAFEGUARDS: according to skills and experience in system may be disclosed to: (2) research Access to the technical records in this order to meet staffing needs for foreign scientists and Administrators of all system is available, via the Web site, to technical assistance activities. The governmental agencies and affiliated anyone. The financial records will be in revisions to the system of records are to institutions in connection with a safeguarded environment with access change the designation from USDA/ES– information retrieval requests in special only by authorized personnel. 1 to USDA/CSREES–2; reflect subject areas; (3) the Department of organizational changes; identify changes Justice when: (a) The agency or any RETENTION AND DISPOSAL: to system name and location, categories component thereof; or (b) any employee Financial and classification records of records in the system, address for of the agency in his or her official are maintained indefinitely by CRIS and system manager and notification capacity where the Department of the National Archives. Project procedures, retention and disposal, and Justice has agreed to represent the information is maintained for two years delete one routine use which is not a employee; or (c) the United States following termination of the project. required routine use. Government is a party to litigation or The authorities for maintaining this has an interest in such litigation, and by SYSTEM MANAGER(S) AND ADDRESS: system of records are sections 296 and careful review, the agency determines Deputy Administrator, ISTM, USDA– 297 of the Foreign Assistance Act of that the records are both relevant and CSREES, Stop 2270, 1400 Independence 1961, Pub. L. 87–195, 75 Stat. 424; and necessary to the litigation and the use of Avenue, SW, Washington, DC 20250– section 1458 of the National such records by the Department of 2270. The address for express mail or Agricultural Research, Extension, and Justice is therefore deemed by the overnight courier service is: Deputy Teaching Policy Act of 1977, 7 U.S.C. agency to be for a purpose that is Administrator, ISTM, USDA–CSREES, 301 et seq. compatible with the purpose for which Waterfront Centre, 800 9th Street, SW, Use of the system, as established, the agency collected the records; (4) an Washington, DC 20024. should not result in infringement of any appropriate agency, whether Federal, individual’s right to privacy. While the State, or local, charged with the NOTIFICATION PROCEDURES: information in this system will be made responsibility of investigating or Any individual may request available to international organizations, prosecuting a violation of law or rule, information regarding this system of Department of Justice, Federal, State, regulation, or order issued pursuant records or information as to whether the and local agencies, and Members of thereto, when information available system contains records pertaining to Congress as necessary, all individuals indicates a violation or potential such individual from the System about whom information in this system
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is maintained will voluntarily submit projects and assignments; (2) the these records will be limited to the information for the expressed Department of Justice when: (a) The authorized personnel. interest in participating in international agency or any component thereof; or (b) activities carried out through CSREES. any employee of the agency in his or her RETENTION AND DISPOSAL: On-line access to International official capacity where the Department Applicant information will remain on Programs Recruitment Roster data is of Justice has agreed to represent the the system for a period of 3 years. At the controlled by password protection. employee; or (c) the United States end of each year the applicant will have Information stored in file folders will be Government is a party to litigation or the option to remain on the system for stored in locked file cabinets. Access to has an interest in such litigation, and by the following year, and make any these records will be limited to careful review, the agency determines needed changes in his/her file, or be authorized personnel. that the records are both relevant and dropped from the roster. At anytime The revised system of records will not necessary to the litigation and the use of during the year, the applicant may be exempt from any provisions of the such records by the Department of request that his/her files be removed Privacy Act. Justice is therefore deemed by the from the system. Data for disposal is deleted from the computer memory. USDA/CSREES–2 agency to be for a purpose that is compatible with the purpose for which SYSTEM MANAGER(S) AND ADDRESS: SYSTEM NAME: the agency collected the records; (3) an Director, International Programs, appropriate agency, whether Federal, International Programs Recruitment USDA–CSREES–SERD, Stop 2203, 1400 State, or local, charged with the Roster, USDA/CSREES–2. Independence Avenue, SW., responsibility of investigating or Washington, DC 20250–2203. The SYSTEM LOCATION: prosecuting a violation of law or rule, address for express mail or overnight Cooperative State Research, regulation, or order issued pursuant courier service is: Director, International Education, and Extension Service thereto, when information available Programs, USDA–CSREES–SERD, (CSREES), International Programs, indicates a violation or potential Waterfront Centre, 800 9th Street, SW., USDA, Waterfront Centre, 800 9th violation of law, whether civil, criminal, Washington, DC 20024. Street, SW., Washington, DC 20024. or regulatory in nature, and whether CATEGORIES OF INDIVIDUALS COVERED BY THE arising by general statute or particular NOTIFICATION PROCEDURE: SYSTEM: program statute, or by rule, regulation, An individual may request Cooperating university personnel or order issued pursuant to such statute; information regarding this system of interested in overseas assignments. (4) in response to a request for discovery records or information as to whether the or appearance of a witness, to the extent system contains records pertaining to CATEGORIES OF RECORDS IN THE SYSTEM: that what is disclosed is relevant to the such individual from the System Personal data identifying the subject matter involved in a pending Manager. A request for information individual, such as name, address, judicial or criminal proceeding or in regarding an individual should include university, telephone number, and e- response to a subpoena issued in a the individual’s full name and address. mail address; summary background proceeding before a court or Before any information about an information categorized under headings, adjudicative body, to the extent that the individual is released, the System such as subject matter experience, records requested are relevant to the Manager may require the individual to commodity experience, functional proceedings; and (5) a Member of provide proof of identity or require the experience, clientele experience, Congress or to a Congressional staff requester to furnish an authorization ecosystems experience, production member in response to an inquiry of the from the individual to permit release of systems experience, scope of Congressional office made at the written information. experience, international experience, request of the constituent about whom education and language proficiency; the record is maintained. RECORD ACCESS PROCEDURES: preferred length of assignment (short-, An individual may gain access to a mid- or long-term); and personal POLICIES AND PRACTICES FOR STORING, record in the system that pertains to RETRIEVING, ACCESSING, RETAINING, AND resume. such individual by submitting a written DISPOSING OF RECORDS IN THE SYSTEM: request to the System Manager. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: STORAGE: Sections 296 and 297 of the Foreign CONTESTING RECORD PROCEDURES: International Programs Recruitment Assistance Act of 1961, Pub. L. 87–195, Same as notification procedures. 75 Stat. 424, as added by section 312 of Roster records are stored on a shared the International Development and Food office computer drive and in file folders. RECORD SOURCE CATEGORIES: Assistance Act of 1975, Pub. L. 94–161, RETRIEVABILITY: Records in this system come from 89 Stat. 849; and section 1458 of the documents submitted by the individual Records can be accessed on the National Agricultural Research, directly for the purpose of inclusion in computer by individual name, Extension, and Teaching Policy Act of the International Programs Recruitment university affiliation, preferred length of 1977, 7 U.S.C. 301 et seq., as amended Roster. duty or keywords and phrases under by section 1436 of the Agriculture and any of the experience categories. EXEMPTIONS CLAIMED FOR THE SYSTEM: Food Act of 1981, Pub. L. 97–98, 95 Resumes will be filed by name in Stat. 1213. None. alphabetical order in file folders. ROUTINE USES OF RECORDS MAINTAINED IN THE Privacy Act System ‘‘State Cooperative SYSTEM, INCLUDING CATEGORIES OF USERS AND SAFEGUARDS: Extension Service Employees,’’ USDA/ THE PURPOSES OF SUCH USES: On-line access to International CSREES–3 Report Records in this system may be Programs Recruitment Roster data is The purpose of this system of records disclosed to: (1) To international controlled by password protection. is to generate the annual Salary organizations seeking university Information stored in file folders will be Analyses Report that is used as a personnel for placement in overseas stored in locked file cabinets. Access to management tool for salary and pay
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purposes, as well as for historical proceeding before a court or response to a subpoena issued in a purposes. Cooperative Extension adjudicative body, to the extent that the proceeding before a court or Service (CES) employee records are records requested are relevant to the adjudicative body, to the extent that the permanently maintained in the CES proceedings. records requested are relevant to the Personnel Information System database The revised system of records will not proceedings; and (4) a Member of of CSREES. This database contains be exempt from any provisions of the Congress or to a Congressional staff personnel information dated since 1922 Privacy Act. member in response to an inquiry of the and is maintained by the Agricultural Congressional office made at the written USDA/CSREES–3 Research Service, Human Resources request of the constituent about whom Division. SYSTEM NAME: the record is maintained. The purposes of this revision to the State Cooperative Extension Service POLICIES AND PRACTICES FOR STORING, system of records are to change the Employees, USDA–CSREES–3. designation from USDA/ES–3 to USDA/ RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: CSREES–3; reflect organizational SYSTEM LOCATION: changes; identify changes to system USDA–ARS–HRD–MSB, CES Team, STORAGE: location, categories of records in the Portals Building, 1280 Maryland Records are maintained in an system, safeguards, system manager Avenue, SW, Washington, DC 20024. electronic database at the USDA-ARS- address, and storage; and add three HRD-MSB, Portals Building, 1280 routine uses. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Maryland Avenue, SW, Washington, DC The authorities for maintaining this 20024. system of records are 7 U.S.C. 341, et All professional employees of the seq. State Cooperative Extension Service RETRIEVABILITY: Use of this system, as established, from 1968 to present. Records can be retrieved by social should not result in infringement of any CATEGORIES OF RECORDS IN THE SYSTEM: security number or other unique State individual’s right to privacy. While the Personnel and payroll information on identifying number. information in this system will be made professional Cooperative Extension available to MSB–HRD staff, Department SAFEGUARDS: Service employees. of Justice, Federal, State and local Authorization must be obtained from agencies, and Members of Congress as AUTHORITY FOR MAINTENANCE OF THE SYSTEM: the Administrator, CSREES, or the necessary, all individuals about whom 7 U.S.C. 341, et seq. Chief, MSB–HRD, ARS, before information in this system is maintained information is released. All printed will voluntarily submit the information ROUTINE USES OF RECORDS MAINTAINED IN THE matter is kept in locked rooms. SYSTEM, INCLUDING CATEGORIES OF USERS AND for the purpose of generating the annual THE PURPOSES OF SUCH USES: Salary Analyses Report. RETENTION AND DISPOSAL: Authorization must be obtained from Records in this system may be Records are retained indefinitely. the Administrator, CSREES, or the Chief disclosed to: (1) The Department of SYSTEM MANAGER(S) AND ADDRESS: Metropolitan Services Branch (MSB), Justice when: (a) The agency or any Human Resources Division (HRD), component thereof; or (b) any employee Personnel and Data Information Agricultural Research Service, before of the agency in his or her official Specialist, USDA–ARS–HRD–MSB, CES information is released. All printed capacity where the Department of Team, Portals Building, 1280 Maryland matter is kept in locked rooms. Justice has agreed to represent the Avenue, SW, Washington, DC 20024. employee; or (c) the United States The system provides for three new NOTIFICATION PROCEDURES: routine use releases, as follows: Government is a party to litigation or Routine use 1 permits disclosure to has an interest in such litigation, and by Any individual may gain access to a the Department of Justice when the careful review, the agency determines record in the system that pertains to agency or any component thereof, or that the records are both relevant and such individual by submitting a written any employee of the agency in his or her necessary to the litigation and the use of request to the System Manager. official capacity where the Department such records by the Department of RECORD ACCESS PROCEDURES: of Justice has agreed to represent the Justice is therefore deemed by the agency to be for a purpose that is Any individual may obtain employee, or the United States information as to the procedures for Government is a party to a litigation or compatible with the purpose for which the agency collected the records; (2) an gaining access to a record in the system has an interest in such litigation and it that pertains to such individual by is determined that the records are both appropriate agency, whether Federal, State, or local, charged with the submitting a written request to the relevant and necessary to the litigation. System Manager. Routine use 2 permits disclosure to an responsibility of investigating or appropriate agency, whether Federal, prosecuting a violation of law or rule, CONTESTING RECORD PROCEDURES: State, or local, charged with the regulation, or order issued pursuant Any individual may contest a record responsibility of investigating or thereto, when information available in the system that pertains to such prosecuting a violation of law or rule, indicates a violation or potential individual by submitting written regulation, or order issued when violation of law, whether civil, criminal, information to the System Manager. information available indicates a or regulatory in nature, and whether violation or potential violation of law. arising by general statute or particular RECORD SOURCE CATEGORIES: Routine use 3 permits disclosure in program statute, or by rule, regulation, Information in this system comes response to a request for discovery or or order issued pursuant to such statute; primarily from the employee with appearance of a witness, to the extent (3) in response to a request for discovery additional data provided by the that what is disclosed is relevant to the or appearance of a witness, to the extent employee’s personnel office. subject matter involved in a pending that what is disclosed is relevant to the judicial or criminal proceeding or in subject matter involved in a pending EXEMPTIONS CLAIMED FOR THE SYSTEM: response to a subpoena issued in a judicial or criminal proceeding or in None.
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Privacy Act System ‘‘CSREES Grants prosecuting a violation of law or rule, ROUTINE USES OF RECORDS MAINTAINED IN THE System,’’ USDA/CSREES–4 Report regulation, or order issued when SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: The purpose of this new system of information available indicates a records is to enable program offices to violation or potential violation of law. Records in this system may be reference reviewers and maintain Routine use 6 permits disclosure in disclosed to (1) federal agencies needing appropriate files and supporting response to a request for discovery or names of potential reviewers or material in processing, evaluating, and appearance of a witness, to the extent specialists in particular fields; (2) managing applications for grants or that what is disclosed is relevant to the individuals assisting CSREES staff, other support, including completing subject matter involved in a pending either through grant or contract, in the awards and distributing funds. CSREES judicial or criminal proceeding or in performance of their duties; (3) federal employees may access the system to response to a subpoena issued in a agencies as part of the Presidential make decisions regarding proposals and proceeding before a court or Management Initiative, E-Grants; (4) the to perform any other authorized internal adjudicative body, to the extent that the Department of Justice when: (a) The duties. records requested are relevant to the agency or any component thereof; or (b) The authority for maintaining this proceedings. any employee of the agency in his or her system of records is the National Routine use 7 permits disclosure to a official capacity where the Department Agricultural Research, Extension, and Member of Congress or to a of Justice has agreed to represent the Teaching Policy Act of 1977; 7 U.S.C. Congressional staff member in response employee; or (c) the United States 3318. to an inquiry of the Congressional office Government is a party to litigation or Use of this system, as established, made at the written request of the has an interest in such litigation, and by should not result in infringement of any constituent about whom the record is careful review, the agency determines individual’s right to privacy. While the maintained. that the records are both relevant and information in this system will be made This new system of records will not necessary to the litigation and the use of available to Federal, State, and local be exempt from any provisions of the such records by the Department of agencies, individuals assisting CSREES Privacy Act. Justice is therefore deemed by the agency to be for a purpose that is staff, Department of Justice, and USDA/CSREES–4 Members of Congress as necessary, all compatible with the purpose for which individuals about whom information in SYSTEM NAME: the agency collected the records; (5) an appropriate agency, whether Federal, this system is maintained will CSREES Grants Systems, USDA– State, or local, charged with the voluntarily submit the information for CSREES–4. the purpose of submitting proposals to responsibility of investigating or CSREES and for evaluating applicants SYSTEM LOCATION: prosecuting a violation of law or rule, and their proposals. Records are maintained in Program, regulation, or order issued pursuant The records are maintained on system Grants, and Funds Management offices thereto, when information available file servers and paper files. All records and in a computerized system at the indicates a violation or potential containing personal information are Cooperative State, Research, Education, violation of law, whether civil, criminal, maintained in secured file cabinets or and Extension Service (CSREES), or regulatory in nature, and whether are accessed by unique passwords and Waterfront Centre, 800 9th Street, SW, arising by general statute or particular log-on procedures. Washington, DC 20024. program statute, or by rule, regulation, The system provides for seven types or order issued pursuant to such statute; CATEGORIES OF INDIVIDUALS COVERED BY THE (6) in response to a request for discovery of routine use releases, as follows: SYSTEM: Routine use 1 permits disclosure to or appearance of a witness, to the extent Individuals that have submitted federal agencies needing names of that what is disclosed is relevant to the proposals to CSREES, either potential reviewers or specialists in subject matter involved in a pending individually or through an academic or particular fields. judicial or criminal proceeding or in other institution, and peer reviewers Routine use 2 permits disclosure to response to a subpoena issued in a that evaluate CSREES applicants and individuals assisting CSREES staff, proceeding before a court or their proposals. either through grant or contract, in the adjudicative body, to the extent that the records requested are relevant to the performance of their duties. CATEGORIES OF RECORDS IN THE SYSTEM: Routine use 3 permits disclosure to proceedings; and (7) a Member of The system contains records of the Congress or to a Congressional staff federal agencies as part of the project director, the authorized Presidential Management Initiative, E- member in response to an inquiry of the organizational representative, potential Congressional office made at the written Grants. proposal reviewers, the proposal and its Routine use 4 permits disclosure to request of the constituent about whom identifying number, supporting data the record is maintained. the Department of Justice when the from the academic institution or other agency or any component thereof, or applicant, proposal evaluations from POLICIES AND PRACTICES FOR STORING, any employee of the agency in his or her peer reviewers, a review record, RETRIEVING, ACCESSING, RETAINING, AND official capacity where the Department financial data, and other related DISPOSING OF RECORDS IN THE SYSTEM: of Justice has agreed to represent the material such as, committee or panel STORAGE: employee, or the United States discussion summaries and other agency Records are maintained on system file Government is a party to a litigation or records containing or reflecting servers and paper files in the program has an interest in such litigation and it comments on the proposal or the offices at CSREES, Waterfront Centre, is determined that the records are both applicants from peer reviewers. 800 9th Street, SW, Washington, DC relevant and necessary to the litigation. 20024. Routine use 5 permits disclosure to an AUTHORITY FOR MAINTENANCE OF THE SYSTEM: appropriate agency, whether Federal, National Agricultural Research, RETRIEVABILITY: State, or local, charged with the Extension, and Teaching Policy Act of Records can be retrieved by name, responsibility of investigating or 1977 (NARETPA), 7 U.S.C. 3318. project leader, co-investigator, and any
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other data field such as institution or necessary to accomplish a purpose of Background Information title. the Agency and the records are no During August and September of longer maintained by USDA. SAFEGUARDS: 2003, the Snow Talon Fire burned All records containing personal [FR Doc. 03–29990 Filed 12–1–03; 8:45 am] 37,706 acres, with 34,362 of these acres information are maintained in secured BILLING CODE 3410–22–P on National Forest Lands. file cabinets or are accessed by unique Approximately 26,500 acres burned passwords and log-on procedures. Only with high severity (as defined in the DEPARTMENT OF AGRICULTURE those employees with a need-to-know in USFS Burned Area Emergency Response Handbook FSH 2509.13, Amendment order to perform their duties will be Forest Service able to access the information. No. 2509.13–95–7). Helena National Forest, Montana, Purpose and Need for Action RETENTION AND DISPOSAL: Snow Talon Fire Salvage; Intent To The Data File is cumulative and is The purpose of this project is to Prepare an Environmental Impact salvage timber in response to the Snow maintained indefinitely, and documents Statement are disposed according to agency file Talon Fire. The immediate need is to recover the value of the burned plan and disposition schedule. Non- AGENCY: Forest Service, USDA. funded proposals are maintained onsite commercial timber products before they for 1 year and then disposed after 3 ACTION: Notice of intent to prepare an decay and have no commercial viability years. Funded proposals are maintained environmental impact statement. (Helena National Forest Land and onsite for 1 year after completion of the Resource Plan [Forest Plan] II–1, Goal award, and then transferred to the SUMMARY: The USDA, Forest Service, #11 and Goal #16). The proposed National Archive and Records will prepare an Environmental Impact commercial timber salvage harvest Administration. Statement (EIS) for the Snow Talon Fire would provide economic opportunities Salvage. The Snow Talon Fire Salvage for rural communities and is consistent SYSTEM MANAGER(S) AND ADDRESS: EIS will disclose the environmental with Forest Plan goals to provide a Deputy Administrator, Information effects of a salvage harvest of trees sustained timber yield that is responsive Systems and Technology Management burned in the Snow Talon Fire on the to local industry and national needs (ISTM), USDA–CSREES, Stop 2216, Lincoln Ranger District of the Helena (Forest Plan Forest-Wide Goal #11). 1400 Independence Avenue, SW, National Forest. The 2003 Snow Talon Management Area direction for the Washington, DC 20250–2216. The Fire burned 37,706 acres in the Copper majority of the proposed for harvest address for express mail or overnight Creek, Landers Fork, and Falls Creek areas designates goals emphasizing cost- courier service is: Deputy drainages, approximately 10 miles effective timber production while Administrator, ISTM, USDA–CSREES, northeast of Lincoln, Montana. The protecting the soil productivity (Forest Waterfront Centre, 800 9th Street, SW, proposed action includes commercial Plan Management Areas T–1, T–3, T–4). Washington, DC 20024. harvest of approximately 20 to 25 While some of the actions proposed will million board feet of trees over 2700 help restore resources affected by the NOTIFICATION PROCEDURE: acres in the wildfire area, roadwork to fire, the intent of including these actions Any individual may request meet Best Management Practices (BMP) with this salvage harvest project is to information regarding this system of standards, and rehabilitation of 105 mitigate for the effects of salvage records or information as to whether the acres of jammer trails. Harvest is not activities. Jammer trail reclamation is system contains records pertaining to proposed within Inventoried Roadless included in the proposed action to such individual from the System Areas (IRAs), Riparian Habitat mitigate for the overall effects of salvage Manager. Conservation Areas (RHCAs), or activities to soils. It is not the intent of RECORD ACCESS PROCEDURE: Research Natural Areas (RNAs). An EIS this project to fully address all the will be prepared displaying alternatives effects of the Snow Talon Fire. Any individual may gain access to a Currently, a restoration team is record in the system that pertains to and the anticipated effects of the above activities to the resources and human addressing long-term restoration needs such individual by submitting a written through a variety of other projects. request to the System Manager. uses of the analysis area. DATES: Comments concerning the scope Proposed Action CONTESTING RECORD PROCEDURES: of the analysis must be postmarked by The Helena National Forest proposes Any individual may contest a record January 15, 2004. The draft EIS is to harvest 20 to 25 million board feet of in the system that pertains to such expected March 2004 and the final EIS commercial timber over approximately individual by submitting written is expected June 2004. 2700 acres. The following yarding information to the System Manager. ADDRESSES AND FOR FURTHER methods, by percentage of proposed RECORD SOURCE CATEGORIES: INFORMATION CONTACT: For further harvest acreage, would be utilized: 55% Information in this system is obtained information, to be placed on the project helicopter, 20% skyline, 25% tractor. To from the individuals submitting the mailing list, or to provide comment facilitate harvest, approximately 1⁄2 mile proposals and from peer reviewers. addressing this proposed action, please of temporary roads and 30 helicopter e-mail, call, or mail correspondence to landing areas are proposed and would EXEMPTIONS CLAIMED FOR THE SYSTEM: Dan Seifert—Snow Talon Fire Salvage be rehabilitated following harvest. Two None. Interdisciplinary Team Leader, Lincoln temporary bridges would also be Privacy Act System ‘‘Cooperative Ranger District, 1569 Highway 200, needed, and would be removed Extension Personnel Records System,’’ Lincoln, MT 59639; phone number is following harvest and rehabilitation USDA/ES–2 (406) 362–4265; e-mail address is activities. Only dead or dying trees The purpose of this notice is to delete [email protected]. would be removed; however, a few this system of records because the green trees may have to be cut to meet records are no longer relevant and SUPPLEMENTARY INFORMATION: safety requirements in helicopter
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landing areas and skyline corridors. To ends January 15, 2004. A scoping • Federal Clean Water Act Section minimize impacts to burned soils, the document will be mailed to Federal, 404 Permit. proposed action specifies that all tractor State, and local agencies, tribal Comment Requested and skyline logging would occur under governements, and other individuals or winter conditions (either 4 inches of organizations who may be interested in This notice of intent initiates the frozen soil and/or 6 inches of packed or affected by the proposed project. The scoping process which guides the snow). Reclamation of 105 acres of scoping document will also be posted development of the EIS. Scoping jammer trails originally constructed for on the Helena National Forest Web site comments addressing this proposed logging in the 1960s is included in the on the Internet at http://www.fs.fed.us/ action are due to the Forest Service by proposed action to mitigate for harvest r1/helena/. A public open-house January 15, 2004. Concerns or issues activities by improving soil quality. scoping meeting is tentatively should display points of dispute or BMPs that promote long-term water scheduled from 4:30 to 6:30 p.m., debate relevant to the proposed action. quality, maintain existing road systems, December 17, 2003 in Lincoln, Montana. Identifying significant issues is key in and minimize erosion are also proposed. Draft Environmental Impact Statement the process of developing alternatives. BMP activities would include, but not release, 45-day comment period and Early Notice of Importance of Public be limited to, improving road drainage public meetings—begins in March 2004. Participation in Subsequent features, installing and replacing ditch- Final Environmental Impact Environmental Review: A draft EIS will relief culverts, gravelling portions of the Statement and Record of Decision—June be prepared for comment. The 45-day road system, re-vegetation, and other 2004. comment period on the draft EIS will begin in March 2004 from the date the practices to minimize erosion. The Preliminary Issues proposed action does not include timber Environmental Protection Agency publishes the notice of availability in harvest or temporary road construction The Snow Talon Interdisciplinary the Federal Register. in IRAs, RNAs, or RHCAs. Team has identified the following preliminary issues to be addressed in The Forest Service believes, at this Responsible Official the EIS: early stage, it is important to give Thomas J. Clifford, Forest • Copper Creek is the most heavily reviewers notice of several court rulings Supervisor—2880 Skyway Drive, used yearlong recreational areas on the related to public participation in the Helena, MT 59602. Lincoln Ranger District, both for non- environmental review process. First, commercial and permitted commercial reviewers of draft EISs must structure Nature of Decision To Be Made recreational activities. Public safety their participation in the environmental The decision framework refers to the concerns may necessitate delays and/or review of the proposal so that it is scope of the decision that will be issued temporary closures of portions of the meaningful and alerts an agency to the at the conclusion of this analysis by the Copper Creek drainage to public use reviewer’s position and contentions, responsible official. The responsible when proposed activities are occurring. Vermont Yankee Nuclear Power Corp. v. official’s decision will be based on • The analysis area provides habitat NRDC, 435 U.S. 519, 553 (1978). Also, information disclosed in the for the grizzly bear and lynx, which are environmental objections that could be environmental document, information both species listed as threatened under raised at the draft EIS stage but that are contained in the Project Analysis File, the Endangered Species Act. The not raised until after completion of the comments submitted during the scoping analysis area is within the Northern final EIS may be waived or dismissed by of the proposed action and the comment Continental Divide Ecosystem grizzly the courts, City of Angoon v. Hodel, 803 period, comment responses, and bear recovery area. F.2d 1016, 1022 (9th Cir. 1986) and applicable laws, regulations, and • Copper Creek provides critical Wisconsin Heritages, Inc. v. Harris, 490 policies in making the decision and spawning habitat for upper Blackfoot F. Supp. 1334, 1338 (E.D. Wis. 1980). stating the rationale in the Record of River fluvial bull trout, a species listed Because of these court rulings, it is very Decision. as threatened under the Endangered important that those interested in this The responsible official may decide Species Act. proposed action participate by the close whether or not to • Other animal and plant species of the 45-day DEIS comment period so • Select the proposed action, listed as sensitive by the U.S. Forest that substantive comments and • Select an alternative to the Service and the State of Montana are objections are made available at a time proposed action, or known to be present in the Copper when the Forest Service can • Select portions from the developed Creek area. meaningfully consider and respond to range of alternatives and combine them them in the final EIS. in a logical package. Possible Alternatives To assist the Forest Service in In selecting one of the above options, Alternatives being considered at this identifying and considering issues and the terms and conditions of the time are this proposed action and the no concerns on the proposed action, selection will be fully displayed and action alternative (not to conduct a comments on the draft EIS should be as understood. Within the parameters of salvage harvest). specific as possible. It is also helpful if this decision space, it will also be comments refer to specific pages or determined if a Helena Land and Permits or Licenses Required chapters of the draft statement. Resource Management Plan amendment In order to proceed, the proposed Comments may also address the would be necessary. The responsible action may require the following adequacy of the draft EIS or the merits official will take into consideration permits: of the alternatives formulated and relationships of alternatives to the • State of Montana Floodplain discussed in the statement. Reviewers identified significant issues. Development Permit. may wish to refer to the Council on • Short-Term Exemption from Environmental Quality Regulations for Scoping Process Montana’s Surface Water Quality implementing the procedural provisions Proposed Action scoping period— Standard (3A Authorization). of the National Environmental Policy Scoping begins the day this notice is • State of Montana Stream Protection Act at 40 Code of Federal Regulations published in the Federal Register and Act 124 Permit. (CFR) 1503.3 in addressing these points.
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Comments received, including the before or after the meeting. Please refer and stewardship contracting; and, (3) names and addresses of those who any written comments to the Lake Future meeting schedule/logistics/ comment, will be considered part of the Tahoe Basin Management Unit at the agenda. The meetings are open to the public record on this proposal and will contact address stated above. public and individuals may address the be available for public inspection. Dated: November 24, 2003. Committee after being recognized by the (Authority: 40 CFR 1501.7 and 1508.22; Rex Norman, Chair. Other RAC information may be Forest Service Handbook 1909.15, Section obtained at http://wwww.fs.fed.us/ Acting Forest Supervisor. 21). pay2states. [FR Doc. 03–29869 Filed 12–1–03; 8:45 am] Dated: November 20, 2003. Dated: November 25, 2003. BILLING CODE 3410–11–M Thomas J. Clifford, David C. Stone, Forest Supervisor. Ecosystem Staff Officer. [FR Doc. 03–29909 Filed 12–1–03; 8:45 am] DEPARTMENT OF AGRICULTURE [FR Doc. 03–29868 Filed 12–1–03; 8:45 am] BILLING CODE 3410–11–M BILLING CODE 3410–11–P Forest Service Plumas County Resource Advisory DEPARTMENT OF AGRICULTURE DEPARTMENT OF AGRICULTURE Committee (RAC) Forest Service AGENCY: Forest Service, USDA. Natural Resources Conservation Service Lake Tahoe Basin Federal Advisory ACTION: Notice of meetings. Notice of Proposed Changes to Committee SUMMARY: The Plumas County Resource Advisory Committee (RAC) will hold Section IV of the Field Office Technical AGENCY: Forest Service, USDA. Guide (FOTG) of the Natural Resources ACTION: Notice of meeting. meetings on December 5, in Quincy, California, and another in Blairsden, CA Conservation Service in Michigan SUMMARY: The Lake Tahoe Basin Federal on January 16. The purpose of the AGENCY: Natural Resources Advisory Committee will hold a December 5 meeting is to review Forest Conservation Service (NRCS) in meeting on January 9, 2004, at the U.S. Supervisor decisions related to Cycle 3 Michigan, U.S. Department of Forest Service Office, Emerald Bay approved projects, elect a Chair for Agriculture. Conference Room, 35 College Drive, 2004, and to plan the Cycle 4 funding ACTION: Notice of availability of South Lake Tahoe, CA. This Committee, process under the Title 2 provisions of proposed changes in NRCS–Michigan established by the Secretary of the Secure Rural Schools and FOTG, Section IV for review and Agriculture on December 15, 1998, (64 Community Self-Determination Act of comment. FR 2876) is chartered to provide advice 2000. The purpose of the January 16 to the Secretary on implementing the meeting is to review presentations by SUMMARY: It is the intention of NRCS in terms of the Federal Interagency previously funded project proponents Michigan to issue revised conservation Partnership on the Lake Tahoe Region and to discuss an on-going monitoring practice standards in Section IV of the and other matters raised by the effort for funded projects. FOTG. The revised standards include: Secretary. DATES AND ADDRESSES: The December 5 Surface Drainage, Main or Lateral (608) DATES: The meeting will be held January meeting will take place from 9 a.m.–3 Dike (356) 9, 2004, beginning at 10 a.m. and ending p.m., in the Mineral Building at the Aquaculture Ponds (397) at 11 a.m. Plumas-Sierra County Fairgrounds, 204 Irrigation Storage Reservoir (436) Irrigation System, Surface and ADDRESSES: The meeting will be held at Fairgrounds Road, Quincy, California. Subsurface (443) the U.S. Forest Service Office, Emerald The January 16 meeting will take place from 9 a.m.–2 p.m., at the Graeagle Land Smoothing (466) Bay Conference Room, 35 College Drive, Obstruction Removal (500) South Lake Tahoe, CA. Firehall, 7620 Highway 89, Blairsden, CA. Surface Drainage, Field Ditch (607) FOR FURTHER INFORMATION CONTACT: Clearing and Snagging (326) Maribeth Gustafson or Jeannie Stafford, FOR FURTHER INFORMATION CONTACT: Lee Agrichemical Containment Facility Lake Tahoe Basin Management Unit, Anne Schramel Taylor, Forest (702) Forest Service, 35 College Drive, South Coordinator, USDA, Plumas National DATES: Comments will be received on or Lake Tahoe, CA 96150, (530) 543–2642. Forest, P.O. Box 11500/159 Lawrence before January 2, 2004. SUPPLEMENTARY INFORMATION: The Street, Quincy, CA 95971; (530) 283– FOR FURTHER INFORMATION CONTACT: committee will meet jointly with the 7850; or by E–MAIL [email protected]. Inquire in writing to Kevin Wickey, Lake Tahoe Basin Executives Committee SUPPLEMENTARY INFORMATION: Agenda Assistant State Conservationist- via conference call. Items to be covered items for the December 5 meeting Technology, Natural Resources on the agenda include: (1) include: (1) Report on the CA RAC Conservation Service, 3001 Coolidge Recommendations for Southern Nevada meeting; (2) 2004 Chair election; (3) Road, Suite 250, East Lansing, MI Public Lands Management Act Funding Forest Supervisor feedback on Cycle 3 48823. Copies of these standards will be Proposals and (2) public comment. All approved projects; (4) Update on forest made available upon written request. Lake Tahoe Basin Federal Advisory and fuels initiatives; (5) Discuss You may submit electronic requests and Committee meetings are open to the stewardship contracting legislation; (6) comments to public. Interested citizens are Update from the Plumas County [email protected]. encouraged to attend at the above FireSafe Council; and, (7) Future address. Issues may be brought to the meeting schedule/logistics/agenda. FOR FURTHER INFORMATION CONTACT: attention of the Committee during the Agenda items for the January 16 meeting Kevin Wickey (517) 324–5279. open public comment period at the include: (1) Review presentations from SUPPLEMENTARY INFORMATION: Section meeting or by filing written statements previously funded project proponents; 393 of the Federal Agriculture with the secretary for the Committee (2) Continue discussion on monitoring Improvement and Reform Act of 1996
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states that revisions made after Signed at Washington, DC, this 20th day of 92, has requested authority on behalf of enactment of the law, to NRCS state November 2003. Chevron Products Company (Chevron), technical guides used to carry out James J. Jochum, to expand the scope of authority under highly erodible land and wetland Assistant Secretary of Commerce for Import zone procedures within the Chevron provisions of the law, shall be made Administration, Alternate Chairman, Foreign- refinery in Pascagoula, Mississippi (FTZ available for public review and Trade Zones Board. Docket 15–2003, filed 3/11/2003); comment. For the next 30 days, the [FR Doc. 03–29857 Filed 12–1–03; 8:45 am] Whereas, notice inviting public NRCS in Michigan will receive BILLING CODE 3510–DS–P comments relative to the proposed comment has been given in the Federal changes. Following that period, a Register (68 FR 13255, 3/19/03); determination will be made by the DEPARTMENT OF COMMERCE Whereas, the Board adopts the NRCS in Michigan regarding disposition findings and recommendations of the Foreign-Trade Zones Board of those comments and a final examiner’s report, and finds that the determination of change will be made. [Docket 29–2003] requirements of the FTZ Act and Board’s regulations would be satisfied, Dated: November 18, 2003. Wacker Chemical Corporation— Ronald C. Williams, and that approval of the application Application for Subzone Status; would be in the public interest if State Conservationist, East Lansing, Extension of Comment Period Michigan. approval is subject to the conditions [FR Doc. 03–30000 Filed 12–1–03; 8:45 am] The comment period for the listed below; BILLING CODE 3410–16–P application for subzone status at the Now, therefore, the Board hereby Wacker Chemical Corporation in orders: Adrian, Michigan, submitted by the The application to expand the scope DEPARTMENT OF COMMERCE Greater Detroit Foreign-Trade Zone, Inc. (68 FR 38009, 6/26/03), is being of authority under zone procedures Foreign-Trade Zones Board extended again, to December 12, 2003 to within Subzone 92D, is approved, allow interested parties additional time subject to the FTZ Act and the Board’s [Order No. 1305] in which to comment. Rebuttal regulations, including § 400.28, and subject to the following conditions: Expansion of Foreign-Trade Zone 29, comments may be submitted during the Louisville, Kentucky, Area subsequent 15 day period, until 1. Foreign status (19 CFR 146.41, December 29, 2003. Submissions 146.42) products consumed as fuel for Pursuant to its authority under the Foreign- (original and 3 copies) shall be the petrochemical complex shall be Trade Zones Act of June 18, 1934, as addressed to the Board’s Executive subject to the applicable duty rate. amended (19 U.S.C. 81a–81u), the Foreign- Secretary at one of the following Trade Zones Board (the Board) adopts the addresses: 2. Privileged foreign status (19 CFR following Order: 1. Submissions Via Express/Package 146.41) shall be elected on all foreign Whereas, the Louisville and Jefferson Delivery Services: Foreign-Trade-Zones merchandise admitted to the subzone, County Riverport Authority, grantee of Board, U.S. Department of Commerce, except that non-privileged foreign (NPF) Foreign-Trade Zone 29, submitted an Franklin Court Building—Suite 4100W, status (19 CFR 146.42) may be elected application to the Board for authority to 1099 14th St. NW., Washington, DC on refinery inputs covered under include two new sites at the Henderson 20005; or HTSUS Subheadings #2709.00.10, County Riverport Authority facilities 2. Submissions Via the U.S. Postal #2709.00.20, #2710.11.25, #2710.11.45, (Site 7) in Henderson, Kentucky and at Service: Foreign-Trade-Zones Board, #2710.19.05, #2710.19.10, #2710.19.45, the Owensboro Riverport Authority U.S. Department of Commerce, FCB— #2710.91.00, #2710.99.05, #2710.99.10, facilities (Site 8) in Owensboro, Suite 4100W, 1401 Constitution Ave. #2710.99.16, #2710.99.21 and Kentucky, within the Evansville/ NW., Washington, DC 20230. #2710.99.45 which are used in the Owensboro Customs port of entry (FTZ Dated: November 21, 2003. production of: Docket 18–2003; filed 4/4/03); Dennis Puccinelli, —petrochemical feedstocks (examiners Whereas, notice inviting public Executive Secretary. comment was given in the Federal report, Appendix ‘‘C’’); [FR Doc. 03–29856 Filed 12–1–03; 8:45 am] Register (68 FR 18196, 4/15/03) and the —products for export; BILLING CODE 3510–DS–P application has been processed —and, products eligible for entry under pursuant to the FTZ Act and the Board’s HTSUS # 9808.00.30 and # 9808.00.40 regulations; and, DEPARTMENT OF COMMERCE (U.S. Government purchases). Whereas, the Board adopts the findings and recommendations of the Foreign-Trade Zones Board Signed at Washington, DC, this 20th day of examiner’s report, and finds that the November 2003. requirements of the FTZ Act and the [Order No. 1307] James J. Jochum, Board’s regulations are satisfied, and Approval for Expansion of Subzone Assistant Secretary for Import that the proposal is in the public 92D, Chevron Products Company (Oil Administration, Alternate Chairman, Foreign- interest; Refinery), Pascagoula, MS Trade Zones Board. Now, Therefore, the Board hereby Attest. orders: Pursuant to its authority under the Foreign- Dennis Puccinelli, The application to expand FTZ 29 is Trade Zones Act of June 18, 1934, as approved, subject to the Act and the amended (19 U.S.C. 81a-81u), the Foreign- Executive Secretary. Board’s regulations, including Section Trade Zones Board (the Board) adopts the [FR Doc. 03–29858 Filed 12–1–03; 8:45 am] 400.28, and further to the Board’s following Order: BILLING CODE 3510–DS–P standard 2,000-acre activation limit for Whereas, the Mississippi Coast the overall zone project. Foreign-Trade Zone, Inc., grantee of FTZ
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DEPARTMENT OF COMMERCE of Bayer Cropscience LP, located in the DEPARTMENT OF COMMERCE St. Louis, Missouri area (FTZ Docket Foreign-Trade Zones Board 21–2003, filed 4/29/2003); International Trade Administration [Order No. 1308] Whereas, notice inviting public Antidumping or Countervailing Duty comment has been given in the Federal Order, Finding, or Suspended Grant of Authority for Subzone Status Register (68 FR 23953, 5/6/2003); and, Investigation; Opportunity To Request Bayer Cropscience LP (Agricultural Whereas, the Board adopts the Administrative Review Chemical Products); St. Louis, findings and recommendations of the Missouri Area AGENCY: Import Administration, examiner’s report, and finds that the International Trade Administration, Pursuant to its authority under the Foreign- requirements of the FTZ Act and the Department of Commerce. Trade Zones Act of June 18, 1934, as Board’s regulations are satisfied, and ACTION: Notice of opportunity to request amended (19 U.S.C. 81a–81u), the Foreign- that approval of the application would administrative review of antidumping or Trade Zones Board (the Board) adopts the be in the public interest; following Order: countervailing duty order, finding, or Now, therefore, the Board hereby Whereas, the Foreign-Trade Zones Act suspended investigation. grants authority for subzone status at the provides for ‘‘* * * the establishment agricultural chemical products facilities * * * of foreign-trade zones in ports of Background entry of the United States, to expedite of Bayer Cropscience LP, located in the Each year during the anniversary and encourage foreign commerce, and St. Louis, Missouri area, (Subzone month of the publication of an for other purposes,’’ and authorizes the 102D), at the locations described in the antidumping or countervailing duty Foreign-Trade Zones Board to grant to application, subject to the FTZ Act and order, finding, or suspension of qualified corporations the privilege of the Board’s regulations, including investigation, an interested party, as establishing foreign-trade zones in or § 400.28. defined in section 771(9) of the Tariff adjacent to U.S. Customs ports of entry; Signed at Washington, DC, this 20th day of Act of 1930, as amended, may request, Whereas, the Board’s regulations (15 November 2003. in accordance with section 351.213 CFR part 400) provide for the James J. Jochum, (2002) of the Department of Commerce establishment of special-purpose (the Department) Regulations, that the Assistant Secretary of Commerce for Import subzones when existing zone facilities Administration, Alternate Chairman, Foreign- Department conduct an administrative cannot serve the specific use involved, Trade Zones Board. review of that antidumping or and when the activity results in a countervailing duty order, finding, or significant public benefit and is in the Dennis Puccinelli, suspended investigation. public interest; Executive Secretary. Opportunity to Request a Review: Not Whereas, the St. Louis County Port [FR Doc. 03–29859 Filed 12–1–03; 8:45 am] later than the last day of December Authority, grantee of Foreign-Trade BILLING CODE 3510–DS–P 2003, interested parties may request Zone 102, has made application to the administrative review of the following Board for authority to establish special- orders, findings, or suspended purpose subzone status at the investigations, with anniversary dates in agricultural chemical products facilities December for the following periods:
Period
Antidumping Duty Proceedings Argentina: Honey, A–357–812 ...... 12/1/02–11/30/03 Brazil: Certain Carbon Steel Butt-Weld Pipe Fittings, A–351–602 ...... 12/1/02–11/30/03 Silicomanganese, A–351–824 ...... 12/1/02–11/30/03 Chile: Certain Preserved Mushrooms, A–337–804 ...... 12/1/02–11/30/03 India: Certain Hot-Rolled Carbon Steel Flat Products, A–533–820 ...... 12/1/02–11/30/03 Stainless Steel Wire Rod, A–533–808 ...... 12/1/02–11/30/03 Indonesia: Certain Hot-Rolled Carbon Steel Flat Products, A–560–812 ...... 12/1/02–11/30/03 Japan: Drafting Machines and Parts Thereof, A–588–811 ...... 12/1/02–11/30/03 Polychloroprene Rubber, A–588–046 ...... 12/1/02–11/30/03 P.C. Steel Wire Strand, A–588–068 ...... 12/1/02–11/30/03 Welded Large Diameter Line Pipe, A–588–857 ...... 12/1/02–11/30/03 Republic of Korea: Welded ASTM A–312 Stainless Steel Pipe, A–580–810 ...... 12/1/02–11/30/03 Taiwan: Carbon Steel Butt-Weld Pipe Fittings, A–583–605 ...... 12/1/02–11/30/03 Porcelain-On-Steel Cooking Ware, A–583–508 ...... 12/1/02–11/30/03 Welded ASTM A–312 Stainless Steel Pipe, A–583–815 ...... 12/1/02–11/30/03 The People’s Republic of China: Cased Pencils, A–570–827 ...... 12/1/02–11/30/03 Honey, A–570–863 ...... 12/1/02–11/30/03 Porcelain-on-Steel Cooking Ware, A–570–506 ...... 12/1/02–11/30/03 Silicomanganese, A–570–828 ...... 12/1/02–11/30/03 Countervailing Duty Proceedings Argentina: Honey, C–357–813 ...... 1/1/03–12/31/03 India: Certain Hot-Rolled Carbon Steel Flat Products, C–533–821 ...... 1/1/02–12/31/02 Indonesia: Certain Hot-Rolled Carbon Steel Flat Products, C–560–813 ...... 1/1/02–12/31/02
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Period
South Africa: Certain Hot-Rolled Carbon Steel Flat Products, C–791–810 ...... 1/1/02–12/31/02 Thailand: Certain Hot-Rolled Cabon Steel Flat Products, C–549–818 ...... 1/1/02–12/31/02 Suspension Agreements Mexico: Fresh Tomatoes, A–201–820 ...... 12/1/02–11/30/03
In accordance with section 351.213(b) of Administrative Review of Administration, International Trade of the regulations, an interested party as Antidumping or Countervailing Duty Administration, U.S. Department of defined by section 771(9) of the Act may Order, Finding, or Suspended Commerce, 14th Street and Constitution request in writing that the Secretary Investigation’’ for requests received by Avenue, N.W., Washington, D.C. 20230; conduct an administrative review. For the last day of December 2003. If the telephone (202) 482–1766 or (202) 482– both antidumping and countervailing Department does not receive, by the last 0588, respectively. duty reviews, the interested party must day of December 2003, a request for SUPPLEMENTARY INFORMATION: specify the individual producers or review of entries covered by an order, exporters covered by an antidumping finding, or suspended investigation Background finding or an antidumping or listed in this notice and for the period In October 2003, the Department countervailing duty order or suspension identified above, the Department will received timely requests from: (1) agreement for which it is requesting a instruct the Customs Service to assess Shenyang Yinghao Machinery Co., Ltd. review, and the requesting party must antidumping or countervailing duties on (‘‘Shenyang Yinghao’’); and (2) Longkou state why it desires the Secretary to those entries at a rate equal to the cash Jinzheng Machinery Co. (‘‘Longkou review those particular producers or deposit of (or bond for) estimated Jinzheng’’), in accordance with 19 CFR exporters. If the interested party intends antidumping or countervailing duties 351.214(c), for a new shipper review of for the Secretary to review sales of required on those entries at the time of the antidumping duty order on brake merchandise by an exporter (or a entry, or withdrawal from warehouse, rotors from the PRC, which has an producer if that producer also exports for consumption and to continue to October semi-annual anniversary merchandise from other suppliers) collect the cash deposit previously month. which were produced in more than one ordered. Shenyang Yinghao identified itself as country of origin and each country of This notice is not required by statute the exporter and producer of the subject origin is subject to a separate order, then but is published as a service to the merchandise for which it requested a the interested party must state international trading community. new shipper review. As required by 19 specifically, on an order-by-order basis, Dated: November 25, 2003. CFR 351.214(b)(2)(i), and (iii)(A), which exporter(s) the request is Holly A. Kuga, Shenyang Yinghao certified that it did intended to cover. Acting Deputy Assistant Secretary, Group II not export certain preserved mushrooms As explained in Antidumping and for Import Administration. to the United States during the period Countervailing Duty Proceedings: [FR Doc. 03–30002 Filed 12–1–03; 8:45 am] of investigation (‘‘POI’’), and that it has Assessment of Antidumping Duties, 69 never been affiliated with any exporter BILLING CODE 3510–DS–P FR 23954 (May 6, 2003), the Department or producer which did export certain has clarified its practice with respect to preserved mushrooms during the POI. the collection of final antidumping DEPARTMENT OF COMMERCE Shenyang Yinghao further certified that duties on imports of merchandise where its export activities are not controlled by intermediate firms are involved. The International Trade Administration the central government of the PRC, satisfying the requirements of 19 CFR public should be aware of this [A-570–846] clarification in determining whether to 351.214(b)(2)(iii)(B). Pursuant to 19 CFR request an administrative review of Brake Rotors from the People’s 351.214(b)(2)(iv)(A), Shenyang Yinghao merchandise subject to antidumping Republic of China: Initiation of Tenth provided the date of the first sale to an findings and orders. See also the Import New Shipper Antidumping Duty unaffiliated customer in the United Administration Web site at Review States. Shenyang Yinghao submitted www.ia.ita.doc.gov. documentation establishing the date on Six copies of the request should be AGENCY: Import Administration, which it first shipped the subject submitted to the Assistant Secretary for International Trade Administration, merchandise to the United States, and Import Administration, International Department of Commerce. the volume and date of entry of that Trade Administration, Room 1870, U.S. SUMMARY: The Department of Commerce shipment. Department of Commerce, 14th Street & received two requests in October 2003 In accordance with section Constitution Avenue, NW., Washington, to conduct a new shipper review of the 751(a)(2)(B) of the Tariff Act of 1930 DC 20230. The Department also asks antidumping duty order on brake rotors (‘‘the Act’’), as amended, and 19 CFR parties to serve a copy of their requests from the People’s Republic of China 351.214(b), and based on our analysis of to the Office of Antidumping/ (‘‘PRC’’). In accordance with 19 CFR the information and documentation Countervailing Duty Enforcement, 351.214(d), we are initiating a new provided with Shenyang Yinghao’s new Attention: Sheila Forbes, in room 3065 shipper review for one of the two shipper review request, as well as our of the main Commerce Building. companies that requested such a review: analysis of proprietary import data from Further, in accordance with section Shenyang Yinghao Machinery Co., Ltd., U.S. Customs and Border Protection 351.303(f)(l)(i) of the regulations, a copy a producer and exporter of brake rotors (‘‘Customs’’), we find that Shenyang of each request must be served on every from the PRC. Yinghao has met the requirements party on the Department’s service list. EFFECTIVE DATE: December 2, 2003. under which the Department can The Department will publish in the FOR FURTHER INFORMATION CONTACT: initiate a new shipper review (for more Federal Register a notice of ‘‘Initiation Brian Smith or Sophie Castro, Import details, see New Shipper Initiation
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Checklist for Shenyang Yinghao). producer combination subject to this days for response.1 If the response from Therefore, we are initiating a new new shipper review request. the respondent provides sufficient shipper review for Shenyang Yinghao. Consequently, based on our analysis indication that it is not subject to either While Longkou Jinzheng identified of the information and documentation de jure or de facto government control itself as both an exporter and producer provided with Longkou Jinzheng’s new with respect to its exports of brake of brake rotors from the PRC in its new shipper review request, we find that rotors, the review will proceed. If the shipper review request, the Longkou Jinzheng did not properly respondent does not demonstrate its certifications it provided in conjunction identify the exporter and producer of eligibility for a separate rate, then it will with its request under 19 CFR the subject merchandise and therefore be deemed to be affiliated with other 357.214(b)(2) did not comport with this does not meet the requirements under companies that exported during the POI claim. Specifically, while Longkou which the Department can initiate a and that it did not establish entitlement Jinzheng did provide the certification new shipper review. Thus, we are not to a separate rate, and the review of that required by 19 CFR 351.214(b)(2)(i) and initiating a new shipper review for respondent will be rescinded. See 19 351.214(b)(2)(iii)(A) and (B), it also Longkou Jinzheng (for more details, see CFR 351.214(f)(2). provided a similar certification for a New Shipper Initiation Checklist for Initiation of Review company named Longkou City Longkou Jinzheng). Zhengzhuang Foundry Plant. Longkou In cases involving non-market In accordance with section Jinzheng, however, failed to identify the economies (‘‘NMEs’’), it is the 751(a)(2)(B)(ii) of the Act and 19 CFR role of this company with respect to the Department’s normal practice to require 351.214(d)(1), we are initiating a new transaction for which Longkou Jinzheng that a company seeking to establish shipper review of the antidumping duty requested the new shipper review, eligibility for an antidumping duty rate order on brake rotors from the PRC. We thereby confusing the identity of the separate from the country-wide rate intend to issue the preliminary results exporter and producer relevant to this provide de jure and de facto evidence of of this review not later than 180 days new shipper review request. In addition, an absence of government control over after the date on which the review is Longkou Jinzheng also provided a third the company’s export activities (see initiated. certification that appeared to reflect the Natural Bristle Paintbrushes and Brush In accordance with 19 CFR requirement for a non-producing Heads from the PRC, 68 FR 57875 351.214(g)(1)(i)(B), the POR for a new exporter under 19 CFR (October 7, 2003), see also Honey from shipper review, initiated in the month 351.214(b)(2)(ii)(B) and the PRC, 68 FR 47537 (August 11, following the semi-annual anniversary 351.214(b)(2)(iii)(A) and (B), further 2003)). Accordingly, we will issue a month, will be the six-month period confusing the identity of the producer. questionnaire to Shenyang Yinghao immediately proceeding the semi- As a result, we were unable to (including a complete separate rates annual anniversary month. Therefore, determine the appropriate exporter/ section), allowing approximately 37 the POR for this new shipper review is:
Antidumping Duty New Shipper Review Proceeding Period to be Reviewed
PRC: Brake Rotors, A-570–846:. Shenyang Yinghao Machinery Co., Ltd...... 4/01/03 - 09/30/03
We will instruct Customs to allow, at the Act (19 USC 1675(a)) and 19 CFR ACTION: Notice and request for the option of the importer, the posting, 351.214(d). application. until the completion of the review, of a Dated: November 25, 2003. bond or security in lieu of a cash SUMMARY: The Channel Islands National deposit for each entry of the subject Jeffrey May, Marine Sanctuary (CINMS or Sanctuary) merchandise from the above-listed Deputy Assistant Secretary for Import is seeking applicants for the following company. This action is in accordance Administration. vacant seats on its Sanctuary Advisory with section 751(a)(2)(B)(iii) of the Act, [FR Doc. 03–30001 Filed 12–01–02; 8:45 am] Council (Council): Recreational Fishing member and alternate, and Public At- as amended, and 19 CFR 351.214(e). BILLING CODE 3510–DS–S Because Shenyang Yinghao has certified Large alternate. Applicants are chosen that it both produces and exports the based upon their particular expertise subject merchandise, the sale of which DEPARTMENT OF COMMERCE and experience in relation to the seat for was the basis for its new shipper review which they are applying; community request, we will apply the bonding National Oceanic and Atmospheric and professional affiliations; views privilege only to entries of subject Administration regarding the conservation and merchandise for which it is both the management of marine resources; and producer and exporter. Availability of Seats for the Channel the length of residence in the area Interested parties that need access to Islands National Marine Sanctuary affected by the Sanctuary. Applicants proprietary information in this new Advisory Council who are chosen as members should shipper review should submit expect to serve two-year terms, pursuant applications for disclosure under AGENCY: National Marine Sanctuary to the Council’s Charter. administrative protective order in Program (NMSP), National Ocean DATES: Applications are due by accordance with 19 CFR 351.305 and Service (NOS), National Oceanic and December 20, 2003. 351.306. Atmospheric Administration, ADDRESSES: Application kits may be This initiation and notice are in Department of Commerce (DOC). obtained on line at http:// accordance with section 751(a)(2)(B) of channelislands.noaa.gov, or from
1 While Shenyang Yinghao has preliminarily questionnaire (separate rates section) in Exhibit 3 of nonetheless issue Shenyang Yinghao a complete responded to Section A of the Department’s NME its October 31, 2003 initiation request, we will NME questionnaire subsequent to this initiation.
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Rebecca Young at 115 Harbor Way, DEPARTMENT OF COMMERCE CORPORATION FOR NATIONAL AND Suite 150, Santa Barbara, CA 96825. COMMUNITY SERVICE Completed applications should be sent National Oceanic and Atmospheric to the same address. Administration Renewal of Two Currently Approved Information Collections; Comment FOR FURTHER INFORMATION CONTACT: Request; Correction Rebecca Young at (805) 966–7107, or [I.D. 110503A] [email protected], or visit the AGENCY: Corporation for National and Vessel Monitoring Systems; Approved Community Service. CINMS Web site at http:// Mobile Transmitting Units for Use in ACTION: Notice; correction. channelislands.noaa.gov. the Fisheries Off the West Coast States SUPPLEMENTARY INFORMATION: The and in the Western Pacific; Pacific SUMMARY: The Corporation for National CINMS Advisory Council was originally Coast Groundfish Fishery; Correction and Community Service published a established in December 1998 and has a document in the Federal Register of AGENCY: broad representation consisting of 21 National Marine Fisheries November 21, 2003, concerning a members, including ten government Service (NMFS), National Oceanic and request for public comments on two agency representatives and eleven Atmospheric Administration (NOAA), information collection activities. The members from the general public. The Commerce. document contained an incorrect telephone number. Council functions in an advisory ACTION: Correction to notification of capacity to the Sanctuary Manager. The approval of Vessel Monitoring System FOR FURTHER INFORMATION CONTACT: Council works in concert with the units (VMS). Bruce Kellogg, (202) 606–5000, ext. 256. Sanctuary Manager by keeping him or Correction her informed about issues of concern SUMMARY: This document corrects the In the Federal Register of November throughout the Sanctuary, offering Federal Register citation in the type- 21, 2003, in 68 FR 65681, on page recommendations on specific issues, approval notice which was published 65682, in the first column, correct the and aiding the Manager in achieving the on November 17, 2003. FOR FURTHER INFORMATION CONTACT goals of the Sanctuary program. DATES: caption to read: Specifically, the Council’s objectives are Effective December 2, 2003. FOR FURTHER INFORMATION CONTACT: to provide advice on: (1) Protecting SUPPLEMENTARY INFORMATION: Bruce Kellogg, (202) 606–5000, ext. 526. natural and cultural resources, and Background identifying and evaluating emergent or Dated: November 25, 2003. critical issues involving Sanctuary use The notification of approval VMS William L. Hudson, Jr., or resources; (2) Identifying and units was published in the Federal Law Office Manager. realizing the Sanctuary’s research Register on November 17, 2003 (68 FR [FR Doc. 03–29862 Filed 12–1–03; 8:45 am] objectives; (3) Identifying and realizing 64860). The notice contained an BILLING CODE 6050–$$–P educational opportunities to increase incorrect Code of Federal Regulations the public knowledge and stewardship citation. of the Sanctuary environment; and (4) DEPARTMENT OF DEFENSE Assisting to develop an informed Correction Department of the Army constituency to increase awareness and In FR Doc. 03–28663, in the issue of understanding of the purpose and value Monday, November 17, 2003 (68 FR Intent To Grant an Exclusive License of the Sanctuary and the National 64860), make the following correction: Marine Sanctuary Program. AGENCY: Department of the Army, DoD. 1. On page 64863, in the first column, ACTION: Notice. Authority: 16 U.S.C. Section 1431 et seq. under the heading C. INMARSAT-C Dated: November 25, 2003. Communications Providers, the second SUMMARY: In accordance with 35 U.S.C. (Federal Domestic Assistance Catalog paragraph is corrected to read as 209(e) and 37 CFR 404.7(a)(l)(i), Number 11.429 Marine Sanctuary Program) follows: announcement is made of the intent to grant an exclusive, royalty-bearing, Jamison S. Hawkins, ‘‘The final rule implementing the VMS was published in the Federal revocable license for the U.S. Patent Deputy Assistant Administrator for Application listed below to ICET, Inc. Management, Ocean Services and Coastal Register on November 4, 2003 (68 FR 62374). This rule will not be effective with its principal place of business at Zone Management, National Oceanic and 916 Pleasant Street, Unit 12, Norwood, until January 1, 2004. Pursuant to 50 Atmospheric Administration. Massachusetts 02062. [FR Doc. 03–29912 Filed 12–1–03; 8:45 am] CFR 660.359(d(2), OLE will provide an FOR FURTHER INFORMATION CONTACT: Mr. BILLING CODE 3510–NK–M installation and activation checklist which the vessel owner must follow’’. Robert Rosenkrans at U.S. Army Soldier and Biological Chemical Command, Authority: 16 U.S.C. 1801, et seq. Kansas Street, Natick, MA 01760, Dated: November 25, 2003. Phone; (508) 233–4928 or E-mail: Bruce C. Morehead, [email protected]. Acting Director, Office of Sustainable DATES: File written objections by Fisheries, National Marine Fisheries Service. December 17, 2003. [FR Doc. 03–29941 Filed 12–1–03; 8:45 am] SUPPLEMENTARY INFORMATION: The BILLING CODE 3510–22–S exclusive license will be royalty bearing and will comply with the terms and conditions of 35 U.S.C. 209 and 37 CFR 404.7. The exclusive licenses may be
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granted, unless within fifteen (15) days EFFECTIVE DATE: November 25, 2003. 14. Ms. Vicky Jefferis, Deputy Chief of from the date of this published notice, FOR FURTHER INFORMATION CONTACT: Staff for Resource Management, SBCCOM receives written evidence and Marilyn Ervin, U.S. Army Senior Headquarters, Forces Command. argument to establish that the grant of Executive Service Office, Assistant 15. LTG Anthony R. Jones, DCG/Chief the license would not be consistent with Secretary of the Army, Manpower & of Staff, U.S. Army Training and the requirements of 35 U.S.C. 209 and Reserve Affairs, 111 Army Pentagon, Doctrine Command. 37 CFR 404.7. The following Patent Washington, DC 20310–0111. 16. MG Terry E. Juskowiak, Application Number, Title and File date Commander, U.S. Army Combined SUPPLEMENTARY INFORMATION: Section are provided: Arms Support Command. Patent Application: 09/886,613. 4314(c)(1) through (5) of Title 5, U.S.C., 17. Ms. Jeanne Karstens, Deputy Chief Title: ‘‘Material Compositions for requires each agency to establish, in of Staff for Resource Management, Microbial and Chemical Protection.’’ accordance with regulations, one or Headquarters, U.S. Army, Europe. Filed: June 21, 2001. more Senior Executive Service 18. Mr. J. Stephen Koons, Assistant performance review boards. The boards Deputy Chief of Staff for Logistics, Luz D. Ortiz, shall review and evaluate the initial Headquarters, Forces Command. Army Federal Register Liaison Officer. appraisal of senior executives’ 19. Mr. Darell G. Lance, Chief of Staff, [FR Doc. 03–29979 Filed 12–1–03; 8:45 am] performance by supervisors and make U.S. Intelligence and Security BILLING CODE 3710–08–M recommendations to the appointing Command. authority or rating official relative to the 20. Dr. Michael J. Lavan, Director, performance of these executives. Advanced Technology Directorate, U.S. DEPARTMENT OF DEFENSE The members of the Performance Army Space and Missile Defense Review Board for the U.S. Army Command. Department of the Army Consolidated Commands are: 21. BG Robert P. Lennox, Deputy Commanding General, U.S. Army Space Availability of Non-Exclusive, 1. MG Raymond D. Barrett Jr., Deputy Chief of Staff for Operations and Command/Deputy Commanding Exclusive License or Partially General for Operations, U.S. Army Exclusive Licensing of U.S. Patent Training, U.S. Army Training and Doctrine Command. Space and Missile Defense Command. Concerning Reversible Garment 22. Mr. William R. Lucas, Jr., Deputy 2. Mr. Michael F. Bauman, Director, to the Commander, Military Traffic AGENCY: Department of the Army, DoD. U.S. Army Training and Doctrine ACTION: Notice. Management Command. Command Analysis Center. 23. Mr. Mark J. Lumer, Principal 3. Mr. Laurence H. Burger, Director, SUMMARY: In accordance with 37 CFR Assistant Responsible for Contracting/ Part 404.6, announcement is made of Space and Missile Defense Battle Contracting & Acquisition Office, U.S. the availability for licensing of U.S. Laboratory, U.S. Army Space and Army Space and Missile Defense Patent No. US 6,647,551 B2 entitled Missile Defense Command. Command. ‘‘Reversible Garment’’ issued November 4. Mr. William H. Campbell, III, 24. Mr. Ronald G. Magee, Director of 18, 2003. This patent has been assigned Director of Operations and Support, Operations, U.S. Army Training and to the United States Government as OASA (Financial Management and Doctrine Command Analysis Center. represented by the Secretary of the Comptroller). 25. Mr. Maxie L. McFarland, Deputy Army. 5. Mr. William J. Cooper, Special Chief of Staff for Intelligence, U.S. Army Assistant for Transportation Training and Doctrine Command. FOR FURTHER INFORMATION CONTACT: Mr. Engineering, Military Traffic 26. Mr. Thomas V. Meeks, Technical Robert Rosenkrans at U.S. Army Soldier Management Command. Advisor-Sustaining Base/Quality of Life and Biological Chemical Command, 6. LTG Joseph M. Cosumano, Jr., Affairs. Kansas Street, Natick, MA 01760, Commanding General, U.S. Army Space 27. Mr. John C. Metzler, Jr., Director Phone; (508) 233–4928 or E-mail: and Missile Defense Command. of Cemetery Operations, Arlington [email protected]. 7. Dr. Charles N. Davidson, Director, National Cemetery, Military District of SUPPLEMENTARY INFORMATION: Any U.S. Army Nuclear and Chemical Washington. licenses granted shall comply with 35 Agency. 28. MG Robert W. Mixon, Jr., Deputy U.S.C. 209 and 37 CFR part 404. 8. Ms. Jeannie A. Davis, Assistant Chief of Staff for Developments, U.S. Deputy Chief of Staff for Personnel and Army Training and Doctrine Command. Luz D. Ortiz, 29. Mr. Robert L. Moore, Deputy Army Federal Register Liaison Officer. Installation Management (Civilian Personnel). Director, Logistics and Security [FR Doc. 03–29978 Filed 12–1–03; 8:45 am] Assistance, Headquarters, U.S. 9. Dr. Henry C. Dubin, Chief Scientist, BILLING CODE 3710–08–M European Command. U.S. Army Space and Missile Defense 30. BG Roger A. Nadeau, Program Command. Executive Officer, Combat Support/ DEPARTMENT OF DEFENSE 10. MG Ann Dunwoody, Commander, Combat Service Support. Military Traffic Management Command. 31. Mr. Jerry V. Proctor, Deputy for Department of the Army 11. Mr. Thomas J. Edwards, Deputy to Futures, U.S. Army Intelligence Center the Commander, U.S. Army Combined and Fort Huachuca. Performance Review Board Arms Support Command. 32. Mr. William C. Reeves, Jr., Membership for the U.S. Army 12. Mr. Jess F. Granone, Director, Director, Integration/Interoperability for Consolidated Commands Space and Missile Defense Technical Missile Defense/Director, IIMD RDA, AGENCY: Department of the Army, DoD. Center, U.S. Army Space and Missile U.S. Army Space and Missile Defense Defense Command. ACTION: Notice. Command. 13. Mr. Robert J. Jefferis, Assistant 33. Mr. Allan M. Resnick, Assistant SUMMARY: Notice is given of the names Deputy Chief of Staff for Resource Deputy Chief of Staff for Combat of members of a Performance Review Management, U.S. Army Training and Developments, U.S. Army Training and Board for the Department of the Army. Doctrine Command. Doctrine Command.
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34. Mr. Rodney Robertson, Director, 4. MG William Santo Crupe, represented by the Secretary of the Navy Sensors Directorate, U.S. Army Space Commander, 143rd Transportation and are available for licensing by the and Missile Defense Command. Command, Orlando, Florida, Office of Department of the Navy. U.S. Patent No. 35. BG Mark Scheid, Deputy the Chief, Army Reserve. 5,352,760: Polymerization of Oligomeric Commanding General/Director of 5. Mr. Thomas Dillon, Director, Multiple Aromatic Ether-Containing Operations, Military Traffic Counterintelligence, Foreign Disclosure, Phthalonitriles, Navy Case No. 73,258// Management Command. and Security, Office of the Deputy Chief U.S. Patent No. 5,464,926: Synthesis 36. Mr. Robert E. Seger, Assistant of Staff, G–2. and Polymerization of Oligomeric Deputy Chief of Staff for Training 6. Mr. James Gunlicks, Deputy Multiple Aromatic Ether-Containing Policy, Plans and Programs, U.S. Army Director of Training, Office of the Phthalonitrile, Navy Case No. 76,155// Training and Doctrine Command. Deputy Chief of Staff, G–3. U.S. Patent No. 5,965,268: Carbon-Based 37. Ms. Donna K. Vargas, Director of 7. Ms. Lois O. Hickey, Director for Composites Derived from Phthalonitrile Operations, U.S. Army Training and Army Personnel Transformation, Office Resins, Navy Case No. 78,474//Navy Doctrine Command Analysis Center. of the Deputy Chief of Staff, G–1. Case No. 83,013: Synthesis of Novel 38. MG David P. Wherley, Jr., 8. Mr. Robert N. Kittel, Special Oligomeric Hydroxy Arylethers, Commander, DC National Guard. Assistant to The Judge Advocate Conversion to Oligomeric Arylether Luz D. Ortiz, General for Regulatory Law and Containing Phthalonitrile and Army Federal Register Liaison Officer. Intellectual Property, U.S. Army Legal Polymerization Thereof. Services Agency. ADDRESSES: Requests for copies of the [FR Doc. 03–29980 Filed 12–1–03; 8:45 am] 9. MG Thomas J. Matthews, Vice BILLING CODE 3710–08–M inventions cited should be directed to Commander for Joint Warfighting Center the Naval Research Laboratory, Code (IMA) and Vice Director of Training, 1004, 4555 Overlook Avenue SW., DEPARTMENT OF DEFENSE U.S. Joint Forces Command, Office of Washington, DC 20375–5320, and must the Chief, Army Reserve. include the Navy Case number. 10. Mr. John B. Nerger, Director, Department of the Army FOR FURTHER INFORMATION CONTACT: Facilities, Housing and Environment, Jane F. Kuhl, Technology Transfer Office, Performance Review Board Office of the Assistant Chief of Staff for NRL Code 1004, 4555 Overlook Avenue, Membership for Chief of Staff of the Installation Management. SW, Washington, DC 20375–5320, Army 11. Mr. Eric A. Orsini, Special Assistant to the Deputy Chief of Staff, telephone (202) 767–7230. Due to AGENCY: Department of the Army, DoD. G–4, Office of the Deputy Chief of Staff, temporary U.S. Postal Service delays, ACTION: Notice. G–4. please fax (202) 404–7920, E-Mail: 12. Mr. Harold C. Pasini, Jr., [email protected] or use courier SUMMARY: Notice is given of the names Technical Director, U.S. Army delivery to expedite response. of members of a Performance Review Operational Test Command. (Authority: 35 U.S.C. 207, 37 CFR Part 404.) Board for the Department of the Army. 13. Mr. Dean E. Pfoltzer, Deputy DATES: November 26, 2003. Dated: November 25, 2003. Director, Program Analysis and J.T. Baltimore, FOR FURTHER INFORMATION CONTACT: Evaluation, Office of the Deputy Chief of Lieutenant Commander, Judge Advocate Marilyn Ervin, U.S. Army Senior Staff, G–8. Executive Service Office, Assistant General’s Corps, U.S. Navy, Alternate Federal 14. Mr. Brian M. Simmons, Deputy to Register Liaison Officer. Secretary of the Army, Manpower & the Commander and Technical Director, [FR Doc. 03–29893 Filed 12–1–03; 8:45 am] Reserve Affairs, 111 Army Pentagon, U.S. Army Developmental Test Washington, DC 20310–0111. Command. BILLING CODE 3810–FF–P SUPPLEMENTARY INFORMATION: Section 15. Dr. Zita M. Simutis, Director, 4314(c)(1) through (5) of title 5, U.S.C., Army Research Institute and Chief DEPARTMENT OF DEFENSE requires each agency to establish, in Psychologist, U.S. Army Research accordance with regulations, one or Institute. Department of the Navy more Senior Executive Service 16. Mr. Lewis S. Steenrod, Director of performance review boards. The boards Modernization, Office of the Deputy Notice of Availability of Government- shall review and evaluate the initial Chief of Staff, G–8. Owned Invention; Available for appraisal of senior executives’ Licensing Luz D. Ortiz, performance by supervisors and make recommendations to the appointing Army Federal Register Liaison Officer. AGENCY: Department of the Navy, DOD. authority or rating official relative to the [FR Doc. 03–29981 Filed 12–1–03; 8:45 am] ACTION: Notice. performance of these executives. BILLING CODE 3710–08–M SUMMARY: The members of the Performance The following invention is Review Board for the U.S. Army, Chief assigned to the U.S. Government as of Staff of the Army, are: DEPARTMENT OF DEFENSE represented by the Secretary of the Navy 1. Mr. Joseph R. Billman, Director of and is available for licensing by the Program Development, Office of the Department of the Navy Department of the Navy. U.S. Invention Disclosure Navy Case Number 95,919 Deputy Chief of Staff, G–4, Office of the Notice of Availability of Government- Chief of Staff of the Army. entitled ‘‘Integrated Maritime Portable Owned Inventions; Available for Acoustic Scoring and Simulator Control 2. Dr. Jeffrey J. Clarke, Chief Historian, Licensing U.S. Army Center of Military History. and Improvements.’’ 3. Ms. Kathryn A. Condon, Assistant AGENCY: Department of the Navy, DOD. ADDRESSES: Requests for copies of the Deputy Chief of Staff, G–3, Homeland ACTION: Notice. invention cited should be directed to Security, Training and Simulation, the Naval Surface Warfare Center, Code Office of the Deputy Chief of Staff, G– SUMMARY: The inventions listed below 05T, 101 Strauss Avenue, Indian Head, 3. are assigned to the U. S. Government as MD 20640–5035.
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FOR FURTHER INFORMATION CONTACT: Dr. DEPARTMENT OF EDUCATION Title: PEQIS Survey on Dual J. Scott Deiter, Head, Technology Enrollment Programs and Courses for Transfer Office, Naval Surface Warfare Submission for OMB Review; High School Students. Center Indian Head Division, Code 05T, Comment Request Frequency: One time. 101 Strauss Avenue, Indian Head, MD Affected Public: Not-for-profit 20640–5035, telephone (301) 744–6111. AGENCY: Department of Education. institutions; State, Local, or Tribal Dated: November 20, 2003. SUMMARY: The Leader, Regulatory Gov’t, SEAs or LEAs. Reporting and Recordkeeping Hour S.K. Melancon, Information Management Group, Office of the Chief Information Officer invites Burden: Paralegal Specialist, Office of the Judge comments on the submission for OMB Responses: 10,518. Advocate General, Alternate Federal Register Burden Hours: 7,889. Liaison Officer. review as required by the Paperwork Reduction Act of 1995. Abstract: The Postsecondary [FR Doc. 03–29908 Filed 12–1–03; 8:45 am] Education Quick Information System BILLING CODE 3810–FF–P DATES: Interested persons are invited to (PEQIS) is for surveys that are quick submit comments on or before January turnaround, short and policy relevant. 2, 2004. The surveys go to colleges, universities DEPARTMENT OF DEFENSE ADDRESSES: Written comments should and other postsecondary institutions. Department of the Navy be addressed to the Office of This survey will go to 1,600 institutions Information and Regulatory Affairs, to determine whether they offer dual Meeting of the Ocean Research Attention: Melanie Kadlic, Desk Officer, enrollment for high school students in Advisory Panel Department of Education, Office of which these students can earn college Management and Budget, 725 17th credit while they are still enrolled in AGENCY: Department of the Navy, DOD. Street, NW, Room 10235, New high school. Among the issues to be addressed are whether students are ACTION: Notice of open meeting. Executive Office Building, Washington, DC 20503 or should be electronically allowed to enroll in individual classes or whether institutions offer dual SUMMARY: The Ocean Research Advisory mailed to the Internet address Panel (ORAP) will meet to discuss [email protected]. enrollment programs, where the classes National Oceanographic Partnership are offered and who teaches them. SUPPLEMENTARY INFORMATION: Requests for copies of the submission Program (NOPP) activities. All sessions Section for OMB review; comment request may of the meeting will remain open to the 3506 of the Paperwork Reduction Act of be accessed from http:// public. 1995 (44 U.S.C. Chapter 35) requires that the Office of Management and edicsweb.ed.gov, by selecting the DATES: The meeting will be held on Budget (OMB) provide interested ‘‘Browse Pending Collections’’ link and Tuesday, January 6, 2004, from 8:30 Federal agencies and the public an early by clicking on link number 2419. When a.m. to 5 p.m. In order to maintain the opportunity to comment on information you access the information collection, meeting time schedule, members of the collection requests. OMB may amend or click on ‘‘Download Attachments’’ to public will be limited in their time to waive the requirement for public view. Written requests for information speak to the Panel. Members of the consultation to the extent that public should be addressed to Vivian Reese, public should submit their comments participation in the approval process Department of Education, 400 Maryland one week in advance of the meeting to would defeat the purpose of the Avenue, SW, Room 4050, Regional the meeting Point of Contact. information collection, violate State or Office Building 3, Washington, DC ADDRESSES: The meeting will be held at Federal law, or substantially interfere 20202–4651 or to the e-mail address Jurys Washington Hotel, 1500 New with any agency’s ability to perform its [email protected]. Requests may also Hampshire Ave., NW., Washington, DC statutory obligations. The Leader, be electronically mailed to the internet _ 20036. Regulatory Information Management address OCIO [email protected] or faxed to Group, Office of the Chief Information 202–708–9346. Please specify the FOR FURTHER INFORMATION CONTACT: Dr. Officer, publishes that notice containing complete title of the information Melbourne G. Briscoe, Office of Naval proposed information collection collection when making your request. Research, 800 North Quincy Street, requests prior to submission of these Comments regarding burden and/or Arlington, VA 22217–5660, telephone: requests to OMB. Each proposed the collection activity requirements (703) 696–4120. information collection, grouped by should be directed to Kathy Axt at her SUPPLEMENTARY INFORMATION: This office, contains the following: (1) Type e-mail address [email protected]. notice of open meeting is provided in of review requested, e.g. new, revision, Individuals who use a accordance with the Federal Advisory extension, existing or reinstatement; (2) telecommunications device for the deaf Committee Act (5 U.S.C. App. 2). The Title; (3) Summary of the collection; (4) (TDD) may call the Federal Information purpose of this meeting is to discuss Description of the need for, and Relay Service (FIRS) at 1–800–877– NOPP activities. The meeting will proposed use of, the information; (5) 8339. include discussions on ocean Respondents and frequency of [FR Doc. 03–29918 Filed 12–1–03; 8:45 am] collection; and (6) Reporting and/or observations, current and future NOPP BILLING CODE 4000–01–P activities, and other current issues in Recordkeeping burden. OMB invites the ocean sciences community. public comment. Dated: November 25, 2003. Dated: November 25, 2003. DEPARTMENT OF EDUCATION J.T. Baltimore, Angela C. Arrington, Notice of Proposed Information Leader, Regulatory Information Management Lieutenant Commander, Judge Advocate Collection Requests General’s Corps, U.S. Navy, Alternate Federal Group, Office of the Chief Information Officer. Register Liaison Officer. Institute of Education Sciences AGENCY: Department of Education. [FR Doc. 03–29897 Filed 12–1–03; 8:45 am] SUMMARY: The Leader, Regulatory BILLING CODE 3810–FF–P Type of Review: Revision. Information Management Group, Office
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of the Chief Information Officer, invites Reporting and Recordkeeping Hour Technologies and Capabilities for comments on the proposed information Burden: Developing Coal Energy Resources.’’ collection requests as required by the Responses: 54. The Department of Energy (DOE), Paperwork Reduction Act of 1995. Burden Hours: 5,400. National Energy Technology Laboratory DATES: Interested persons are invited to Abstract: The information contained (NETL), is conducting this funding submit comments on or before February in the Consolidated Annual opportunity announcement to 2, 2004. Performance Report for Vocational competitively seek cost-shared SUPPLEMENTARY INFORMATION: Section Technical Education is needed to applications for research and 3506 of the Paperwork Reduction Act of monitor State performance of the development of technologies enabling 1995 (44 U.S.C. Chapter 35) requires activities and services funded under the development of energy resources that the Office of Management and Carl D. Perkins Vocational and needed to ensure the availability of Budget (OMB) provide interested Technical Education Act of 1998. The affordable energy for the Nation’s future. Federal agencies and the public an early respondents include eligible agencies in Through this funding opportunity opportunity to comment on information 54 states and insular areas. This revision announcement, DOE/NETL seeks collection requests. OMB may amend or clarifies instructions and definitions applications for energy research and waive the requirement for public and eliminates the collection of some development related activities that consultation to the extent that public data elements. promote the efficient and sound participation in the approval process Requests for copies of the proposed production and use of fossil fuel (coal). would defeat the purpose of the information collection request may be Related information on the Fossil information collection, violate State or accessed from http://edicsweb.ed.gov, Energy Areas of Interest can be found on Federal law, or substantially interfere by selecting the ‘‘Browse Pending the NETL Web site (http:// with any agency’s ability to perform its Collections’’ link and by clicking on www.netl.doe.gov) under statutory obligations. The Leader, link number 2420. When you access the ‘‘Technologies.’’ information collection, click on Regulatory Information Management DATES: The funding opportunity ‘‘Download Attachments ‘‘to view. Group, Office of the Chief Information announcement will be available on the Written requests for information should Officer, publishes that notice containing ‘‘Industry Interactive Procurement be addressed to Vivian Reese, proposed information collection System’’ (IIPS) webpage located at Department of Education, 400 Maryland requests prior to submission of these http://e-center.doe.gov on or about Avenue, SW, Room 4050, Regional requests to OMB. Each proposed November 21, 2003. Applicants can Office Building 3, Washington, DC information collection, grouped by obtain access to the funding opportunity 20202–4651 or to the e-mail address office, contains the following: (1) Type announcement from the address above [email protected]. Requests may also of review requested, e.g. new, revision, or through DOE/NETL’s Web site at be electronically mailed to the internet extension, existing or reinstatement; (2) http://www.netl.doe.gov/business. The address [email protected] or faxed to Title; (3) Summary of the collection; (4) deadline for submission of applications 202–708–9346. Please specify the Description of the need for, and will be February 24, 2004, not later than complete title of the information proposed use of, the information; (5) 8 p.m. Eastern Time. Respondents and frequency of collection when making your request. ADDRESSES: collection; and (6) Reporting and/or Comments regarding burden and/or Questions and comments Recordkeeping burden. OMB invites the collection activity requirements regarding the content of the public comment. The Department of should be directed to Sheila Carey at her announcement should be submitted Education is especially interested in e-mail address [email protected]. through the ‘‘Submit Question’’ feature public comment addressing the Individuals who use a of IIPS at http://e-center.doe.gov. Locate following issues: (1) Is this collection telecommunications device for the deaf the announcement on IIPS and then necessary to the proper functions of the (TDD) may call the Federal Information click on the ‘‘Submit Question’’ button Department; (2) will this information be Relay Service (FIRS) at 1–800–877– at the top. Enter required information. processed and used in a timely manner; 8339. DOE will try to respond to a question (3) is the estimate of burden accurate; within 3 days, unless a similar question [FR Doc. 03–29919 Filed 12–1–03; 8:45 am] and answer have already been posted on (4) how might the Department enhance BILLING CODE 4000–01–P the quality, utility, and clarity of the the website. You will receive an information to be collected; and (5) how electronic notification that your might the Department minimize the question has been answered. burden of this collection on the DEPARTMENT OF ENERGY Responses to questions may be viewed through the ‘‘View Questions’’ respondents, including through the use National Energy Technology of information technology. feature. If no questions have been Laboratory; Notice of Availability of a answered, a statement to that effect will Dated: November 25, 2003. Financial Assistance Funding appear. You should periodically check Angela C. Arrington, Opportunity Announcement ‘‘View Questions’’ for new questions Leader, Regulatory Information Management and answers. Group, Office of the Chief Information Officer. AGENCY: National Energy Technology Laboratory, Department of Energy Questions regarding how to submit Office of Vocational and Adult (DOE). questions or view responses can be e- mailed to the IIPS Help Desk at Education ACTION: Notice of availability of a [email protected] or by calling 1– Type of Review: Revision. financial assistance funding opportunity 800–683–0751. Title: Vocational Technical Education announcement. Annual Performance and Financial FOR FURTHER INFORMATION CONTACT: Reports. SUMMARY: Notice is hereby given of the Debra A. Duncan, MS 921–107, U.S. Frequency: Annually. intent to issue Financial Assistance Department of Energy, National Energy Affected Public: State, Local, or Tribal Funding Announcement No. DE–PS26– Technology Laboratory, P.O. Box 10940, Gov’t, SEAs or LEAs. 04NT42023–0 entitled, ‘‘Development of MS 921–107, Pittsburgh, PA 15236, E-
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mail Address: [email protected], mail requests, or facsimile requests for various CEGT delivery point facilities in Telephone Number: 412–386–5700. a copy of the funding opportunity the State of Louisiana as described more SUPPLEMENTARY INFORMATION: Through announcement package will not be fully in the request. CEGT further this funding opportunity accepted and/or honored. Applications proposes to sell and transfer these announcement, NETL expects to must be prepared and submitted in facilities to CenterPoint Energy Arkla support applications in the Coal and accordance with the instructions and (Arkla), a distribution division of Environmental Systems Program. Coal forms contained in the funding CenterPoint Energy, Incorporated, at the and Environmental Systems Program opportunity announcement. The actual estimated net book value of has the following five separate (i.e., funding opportunity announcement $123,345.98. CEGT states that no stand alone) Program Areas of Interest: document will allow for requests for services would be abandoned as a result explanation and/or interpretation. of the proposed sale and transfer. The Area of Interest 1—Environmental and request states that Arkla would own and Water Resources Issued in Pittsburgh, PA on November 20, 2003. operate these facilities as part of its Subtopic 1A Increased Utilization of Dale A. Siciliano, distribution system. the By-Products from Coal Director, Acquisition and Assistance Division. CEGT avers that a review of its Gasification [FR Doc. 03–29985 Filed 12–1–03; 8:45 am] certificates, initiated in conjunction with the proposed abandonment, has Area of Interest 2—Carbon BILLING CODE 6450–01–P raised the possibility that certain of Sequestration CEGT’s facilities may require certificate Subtopic 2A Direct Capture DEPARTMENT OF ENERGY authorization. CEGT, therefore, also Technologies seeks Commission authorization for the Subtopic 2B Indirect Capture Federal Energy Regulatory continued operation of certain existing Technologies Commission facilities known as Line FM–47 and the Subtopic 2C Technologies for Sibley-Dubberly town border meter [Docket No. CP04–17–000] Mitigating Non-CO2 Greenhouse station in Webster Parish, Louisiana. Gas Emissions CenterPoint Energy Gas Transmission Any person or the Commission’s Staff Subtopic 2D Monitoring, Verification Company; Notice of Request Under may, within 45 days after the issuance and Risk Assessment for Carbon Blanket Authorization of the instant notice by the Commission, Sequestration Options file pursuant to Rule 214 of the November 24, 2003. Commission’s Procedural Rules (18 CFR Area of Interest 3—Power Systems 385.214) a motion to intervene or notice Advanced Research Take notice that on November 14, 2003, CenterPoint Energy Gas of intervention and, pursuant to Subtopic 3A Advanced Sensors and Transmission Company (CEGT), 1111 § 157.205 of the Commission’s Controls Louisiana Street, Houston, Texas Regulations under the Natural Gas Act Subtopic 3B Advanced Materials 77002–5231, filed in Docket No. CP04– (NGA) (18 CFR 157.205) a protest to the request. If no protest is filed within the Area of Interest 4—Coal Fuels and 17–000, a request pursuant to time allowed therefor, the proposed Hydrogen §§ 157.205 and 157.216 of the Commission’s Regulations under the activity shall be deemed to be Subtopic 4A Coal Derived Hydrogen Natural Gas Act (18 CFR 157.205 and authorized effective the day after the Area of Interest 5—Gasification 157.216) for authorization to abandon time allowed for protest. If a protest is certain facilities and to continue to filed and not withdrawn within 30 days Subtopic 5A Advanced Gasification operate certain other facilities in after the time allowed for filing a Systems Webster Parish in the State of Louisiana, protest, the instant request shall be Applicants must select and submit to under CEGT’s blanket certificate issued treated as an application for only one Subtopic in a Program Area of in Docket Nos. CP82–384–000 and authorization pursuant to section 7 of Interest for each application submitted. CP82–384–001 pursuant to section 7(C) the NGA. Comments, protests and Multiple applications are welcome, of the Natural Gas Act, all as more fully interventions may be filed electronically however, each application must have its described in the request. via the Internet in lieu of paper. See, 18 own unique content and title on the The request is on file with the CFR 385.2001(a)(1)(iii) and the subject line. Identical applications Commission and is available for public instructions on the Commission’s Web under more than one Subtopic will be inspection at the Commission or may be site under the ‘‘e-Filing’’ link. rejected. viewed on the Commission’s Web site at Any questions regarding this Once released, the funding http://www.ferc.gov using the application should be directed to opportunity announcement will be ‘‘eLibrary’’ link. Enter the docket Lawrence O. Thomas, Director-Rates & available for downloading from the IIPS number excluding the last three digits in Regulatory, CenterPoint Energy Gas Internet page. At this Internet site you the docket number field to access the Transmission Company, P.O. Box will also be able to register with IIPS, document. For assistance, please contact 21734, Shreveport, Louisiana 71151, or enabling you to submit an application. FERC Online Support at call (318) 429–2804. The funding opportunity announcement [email protected] or toll- Comment Date: January 8, 2004. will only be made available in IIPS, no free at (866) 208–3676, or for TTY, hard (paper) copies of the funding contact (202) 502–8659. Magalie R. Salas, opportunity announcement and related CEGT proposes to abandon, by sale Secretary. documents will be made available. and transfer, certain above-ground [FR Doc. E3–00417 Filed 12–01–03; 8:45 am] Telephone requests, written requests, E- facilities that are currently a part of BILLING CODE 6717–01–P
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DEPARTMENT OF ENERGY instructions on the Commission’s Web Enter the docket number excluding the site under the ‘‘e-Filing’’ link. The last three digits in the docket number Federal Energy Regulatory Commission strongly encourages field to access the document. For Commission electronic filings. assistance, please contact FERC Online [Docket No. RP04–64–000] Comment Date: December 11, 2003. Support at [email protected] or toll- Magalie R. Salas, Indicated Shippers, Complainant, v. free at (866) 208–3676, or for TTY, Secretary. Trunkline Gas Company, Respondent; contact (202) 502–8659. The answer to Notice of Complaint Requesting Fast- [FR Doc. E3–00418 Filed 12–01–03; 8:45 am] the complaint, comments, protests and Track Processing BILLING CODE 6717–01–P interventions may be filed electronically via the Internet in lieu of paper; see 18 November 24, 2003. CFR 385.2001(a)(1)(iii) and the DEPARTMENT OF ENERGY Take notice that on November 21, instructions on the Commission’s Web 2003, pursuant Rule 206 of the Federal site under the ‘‘e-Filing’’ link. The Energy Regulatory Commission’s Federal Energy Regulatory Commission Commission strongly encourages (Commission) Rules of Practice and electronic filings. Procedure, 18 CFR 385.206 (2003), the [Docket No. RP04–65–000] Comment Date: December 11, 2003. Indicated Shippers filed a Complaint Requesting Fast Track Processing Indicated Shippers, Complainant, v. Magalie R. Salas, against Trunkline Gas Company ANR Pipeline Company, Respondent; Secretary. (Trunkline). The Indicated Shippers Notice of Complaint Requesting Fast- [FR Doc. E3–00419 Filed 12–01–03; 8:45 am] allege that Trunkline has failed to Track Processing BILLING CODE 6717–01–P comply with Section 4 of the Natural Gas Act as well as the Commission’s November 24, 2003. regulations, 18 CFR 154.1(b), 18 CFR Take notice that on November 21, DEPARTMENT OF ENERGY 154.204, 18 CFR 284.7(c), by posting 2003, pursuant Rule 206 of the Federal quality limitations through a long-term Energy Regulatory Commission’s Federal Energy Regulatory Critical Notice in lieu of proposing (Commission) Rules of Practice and Commission changes to its tariff through a filing with Procedure, 18 CFR 385.206 (2003), the the Commission. Indicated Shippers filed a Complaint [Docket No. AC04–4–000, et al.] The Indicated Shippers request that Requesting Fast Track Processing the Commission order Trunkline to against ANR Pipeline Company (ANR). Trunkline Gas Company, LLC, et al.; cease and desist from its current The Indicated Shippers allege that ANR Electric Rate and Corporate Filings practice of posting long-term OFOs to has failed to comply with Section 4 of impose quality specifications. the Natural Gas Act as well as the November 20, 2003. Any person desiring to intervene or to Commission’s regulations, 18 CFR The following filings have been made protest this filing should file with the 154.1(b), 18 CFR 154.204 and 18 CFR with the Commission. The filings are Federal Energy Regulatory Commission, 284.7(c), by posting quality limitations listed in ascending order within each 888 First Street, NE., Washington, DC through a long-term Operational Flow docket classification. 20426, in accordance with Rules 211 Order in lieu of proposing changes to its 1. Trunkline Gas Company, LLC and 214 of the Commission’s Rules of tariff through a filing with the Practice and Procedure (18 CFR 385.211 Commission. [Docket No. AC04–4–000] and 385.214). Protests will be The Indicated Shippers request that Take notice that on November 18, considered by the Commission in the Commission order ANR to cease and 2003, Trunkline Gas Company, LLC, determining the appropriate action to be desist from its current practice of submitted a compliance filing, pursuant taken, but will not serve to make posting long-term OFOs to impose to the accounting and reporting protestants parties to the proceeding. quality specifications. requirements set forth by the Any person wishing to become a party Any person desiring to intervene or to Commission in Order 631, journal must file a motion to intervene. The protest this filing should file with the entries and supporting information for answer to the complaint and all Federal Energy Regulatory Commission, any adjustments made that affect net comments, interventions or protests 888 First Street, NE., Washington, DC income as a result of implementing the must be filed on or before the comment 20426, in accordance with Rules 211 accounting rules contained in Order date. This filing is available for review and 214 of the Commission’s Rules of 631. at the Commission in the Public Practice and Procedure (18 CFR 385.211 Comment Date: December 9, 2003. Reference Room or may be viewed on and 385.214). Protests will be 2. Sea Robin Pipeline Company the Commission’s Web site at http:// considered by the Commission in www.ferc.gov using the ‘‘eLibrary’’ link. determining the appropriate action to be [Docket No. AC04–5–000] Enter the docket number excluding the taken, but will not serve to make Take notice that on November 18, last three digits in the docket number protestants parties to the proceeding. 2003, Sea Robin Pipeline Company, field to access the document. For Any person wishing to become a party submitted a compliance filing, pursuant assistance, please contact FERC Online must file a motion to intervene. The to the accounting and reporting Support at answer to the complaint and all requirements set forth by the [email protected] or toll- comments, interventions or protests Commission in Order 631, journal free at (866) 208–3676, or for TTY, must be filed on or before the comment entries and supporting information for contact (202) 502–8659. The answer to date. This filing is available for review any adjustments made that affect net the complaint, comments, protests and at the Commission in the Public income as a result of implementing the interventions may be filed electronically Reference Room or may be viewed on accounting rules contained in Order via the Internet in lieu of paper; see 18 the Commission’s Web site at http:// 631. CFR 385.2001(a)(1)(iii) and the www.ferc.gov using the ‘‘eLibrary’’ link. Comment Date: December 9, 2003.
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3. Atlantic City Electric Company and 6. New York State Electric & Gas interconnect Pastoria’s 750 MW of Atlantic Generation, LLC Corporation generation to the California Independent [Docket No. EC04–12–000] [Docket No. ER03–587–005] System Operator Controlled Grid pursuant to SCE’s Transmission Owner Take notice that on November 14, Take notice that, on November 14, Tariff, FERC Electric Tariff, Second 2003, New York State Electric & Gas 2003, Atlantic City Electric Company Revised Original Volume No. 6. SCE Corporation (NYSEG) submitted for (ACE) and Conectiv Atlantic Generation, further states that the Amended IFA will filing First Revised Rate Schedule FERC LLC (CAG) (collectively, the replace, in its entirety, the No. 32 a Borderline Agreement between Applicants), tendered for filing a change Interconnection Facilities Agreement NYSEG and Central Hudson Gas & to their October 31, 2003 filing in the between SCE and Pastoria accepted as Electric Corporation in compliance with above-captioned proceeding stating that, Service Agreement No. 12 under SCE’s the Commission’s April 28, 2003 Order depending upon the outcome of analysis Transmission Owner Tariff in Docket being conducted by their tax in Docket No. ER03–587–000. Comment Date: December 5, 2003. No. ER01–3114–000, as amended in consultants, the price of the transfer will Docket No. ER02–2554–000. SCE be at either book or appraised value. 7. California Independent System requests that the Amended IFA become Applicants state that copies of the Operator Corporation effective one day after filing. filing were served on the Delaware [Docket Nos. ER03–1221–002] SCE states that copies of this filing Public Service Commission, the were served upon the Public Utilities Take notice that on November 17, Maryland Public Service Commission, Commission of the State of California 2003, the California Independent the New Jersey Board of Public Utilities, and Pastoria. System Operator Corporation (ISO) the Virginia State Corporation Comment Date: December 5, 2003. Commission, the District of Columbia submitted a filing to comply with the Public Service Commission and the Order issued in Docket No. ER03–1221– 11. American Transmission Company Securities and Exchange Commission. 000 on October 17, 2003, 105 FERC LLC Comment Date: November 28, 2003. ¶ 61,074. [Docket No. ER04–192–000] The ISO states that the compliance 4. KeySpan Corporation, KeySpan filing has been served all on parties to Take notice that on November 14, Generation, LLC, KeySpan-Port this proceeding. 2003, American Transmission Company Jefferson Energy Center, LLC, KeySpan- Comment Date: December 8, 2003. LLC (ATCLLC) tendered for filing a Glenwood Energy Center, LLC, and Generation-Transmission KeySpan Energy Development 8. Orange and Rockland Utilities, Inc. Interconnection Agreement between Corporation [Docket No. ER03–1373–001] ATCLLC and Power Ventures Group, LLC. ATCLLC requests an effective date [Docket No. EC04–24–000] Take notice that on November 14, 2003, Orange and Rockland Utilities, of October 15, 2002. Take notice that on November 17, Inc. (Orange and Rockland), amended Comment Date: December 5, 2003. 2003, pursuant to Section 203 of the its September 23, 2003 filing in Docket 12. Commonwealth Edison Company Federal Power Act, KeySpan No. ER03–1373–000 in order to file a Corporation, KeySpan Generation, LLC, Notice of Cancellation form that due to [Docket No. ER04–193–000] KeySpan-Glenwood Energy Center, LLC, inadvertent administrative error had Take notice that on November 14, KeySpan-Port Jefferson Energy Center, been omitted from Orange and 2003, Commonwealth Edison Company LLC, and KeySpan Energy Development Rockland’s initial filing. (ComEd) tendered for filing with the Corporation (collectively, Applicants) Orange and Rockland states that a Federal Energy Regulatory Commission filed a joint application for approval of copy of this filing has been served by (Commission) amendments to a corporate reorganization. Applicants mail upon the New York Power Interconnection Agreements entered state that the proposed reorganization Authority and the Public Power into between ComEd and Midwest will not change the ultimate ownership Association of New Jersey. Generation, LLC (Midwest). ComEd of the facilities. Comment Date: December 5, 2003. requests an effective date of August 12, A copy of the application has been 2003 and accordingly seeks waiver of served on the New York Public Service 9. Worthington Generation L.L.C. the Commission’s notice requirements. Commission. The Applicants have [Docket No. ER04–45–001] ComEd states that copies of the filing requested waivers of the Commission’s Take notice that on November 14, were served on Midwest and the Illinois regulations so that the filing may 2003, Worthington Generation L.L.C. Commerce Commission. become effective at the earliest possible submitted for filing an amendment to Comment Date: December 5, 2003. date, but no later than as of the date the their Notice of Cancellation filed on New York Public Service Commission 13. Midwest Independent Transmission October 15, 2003. System Operator, Inc. approves the corporate reorganization. Comment Date: December 5, 2003. Comment Date: December 8, 2003. [Docket No. ER04–194–000] 10. Southern California Edison Take notice that on November 14, 5. Pacific Gas and Electric Company Company 2003, the Midwest Independent [Docket No. EL04–19–000] [Docket No. ER04–184–000] Transmission System Operator, Inc. Take notice that on November 10, Take notice that on November 14, (Midwest ISO) pursuant to section 205 2003, Pacific Gas and Electric Company 2003, Southern California Edison of the Federal Power Act and § 35.13 of (PG&E) submitted for filing a Petition for Company (SCE) tendered for filing an the Commission’s regulations, 18 CFR Declaratory Order requesting that the amended Interconnection Facilities 35.13 (2002), submitted for filing Commission extend the terms of its Agreement (Amended IFA) between revisions to Exhibit B (Interconnection Order Granting in Part Petition For Pastoria Energy Facility, LLC (Pastoria) Points) of the Network Integration Declaratory Order issued March 29, and SCE. SCE states that the Amended Transmission Service Agreement under 2000. IFA specifies the terms and conditions the Midwest ISO’s Open Access Comment Date: December 1, 2003. pursuant to which SCE will Transmission Tariff, FERC Electric
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Tariff, Second Revised Volume No.1, Commission strongly encourages 3. Bangor Hydro-Electric Company, between the City of Hart and the electronic filings. Central Maine Power Company, NSTAR Electric & Gas Corporation, on Midwest ISO. Linda L. Mitry, Midwest ISO states that a copy of this Behalf of Its Affiliates: Boston Edison Acting Secretary. Company, Commonwealth Electric filing has been served on all parties. [FR Doc. E3–00415 Filed 12–01–03; 8:45 am] Company, Cambridge Electric Light Comment Date: December 5, 2003. BILLING CODE 6717–01–P Company, Canal Electric Company, 14. Mirant Las Vegas, LLC, Duke New England Power Company, Northeast Utilities Service Company, Energy Moapa, LLC, Gen West, LLC, DEPARTMENT OF ENERGY on Behalf of Its Operating Company Las Vegas Cogeneration II, LLC, Reliant Affiliates: The Connecticut Light and Federal Energy Regulatory Energy Bighorn, LLC, and Nevada Power Company, Western Commission Power Company Massachusetts Electric Company, [Docket Nos. TX03–1–003, ER02–1741–003, Public Service Company of New and ER02–1742–003] [Docket No. EL94–16–003, et al.] Hampshire, Holyoke Power and Electric Company, Holyoke Water Take notice that on November 10, Wisconsin Electric Power Company, et Power Company, The United 2003, Nevada Power Company and on al.; Electric Rate and Corporate Filings Illuminating Company, Vermont November 12, 2003, Mirant Las Vegas, November 21, 2003. Electric Power Company, Central LLC; Reliant Energy Bighorn, LLC; Duke Vermont Public Service Corporation, The following filings have been made Energy Moapa, LLC; GenWest; Diamond and Green Mountain Power with the Commission. The filings are Generating Corp.; and the Los Angeles Corporation Department of Water and Power, in its listed in ascending order within each [Docket No. ER04–157–001] capacity as operating agent for the docket classification. McCullough Substation filed 1. Wisconsin Electric Power Company Take notice that on November 18, informational responses to the 2003, Bangor-Hydro Electric Company, [Docket No. EL94–16–003] Central Maine Power Company, Boston Commission’s September 12, 2003 Edison Company, Cambridge Electric Order in this proceeding. Mirant Las Take notice that on November 12, Light Company, Canal Electric Vegas, et al., 104 FERC ¶ 61,275 (2003). 2003 as amended on November 13, 2003, Wisconsin Electric Power Company, Commonwealth Electric Comment Date: December 8, 2003. Company (WEPCO) submitted a Company, New England Power Company, The Connecticut Light and Standard Paragraph compliance filing pursuant to the Commission’s Order issued October 1, Power Company, Western Any person desiring to intervene or to 2003, (105 FERC ¶ 61,002). WEPCO Massachusetts Electric Company, Public protest this filing should file with the states that the purpose of the amended Service Company of New Hampshire, Federal Energy Regulatory Commission, filing was to correct a minor error in the Holyoke Power and Electric Company, 888 First Street, NE., Washington, DC calculation of the refund to Oconto Holyoke Water Power Company, The 20426, in accordance with Rules 211 Power & Light Cooperative reflected in United Illuminating Company, Vermont and 214 of the Commission’s Rules of an earlier compliance filing dated Electric Power Company, Green Practice and Procedure (18 CFR 385.211 November 12, 2003. The amended filing Mountain Power Corporation, and Central Vermont Public Service and 385.214). Protests will be constitutes a complete and corrected Corporation (collectively, the ‘‘New considered by the Commission in filing in compliance with the October 1, England Transmission Owners’’) filed determining the appropriate action to be 2003 Order. Comment Date: December 3, 2003. an amendment to their November 4, taken, but will not serve to make 2003 filing in this proceeding. protestants parties to the proceeding. 2. California Independent System New England Transmission Owners Any person wishing to become a party Operator Corporation state that the November 4, 2003 filing must file a motion to intervene. All such [Docket No. EL04–24–000] concerns a request by them for approval motions or protests should be filed on of a return on common equity or before the comment date, and, to the Take notice that on November 14, component of the regional and local extent applicable, must be served on the 2003, the California Independent transmission rates under the Regional applicant and on any other person System Operator Corporation (California Transmission Organization for New designated on the official service list. ISO) filed a Petition for Review of England (RTO–NE) open access This filing is available for review at the Arbitrator’s Award, pursuant to Rule transmission tariff. Commission or may be viewed on the 207 of the Commission’s Rules of The New England Transmission Practice and Procedure, 18 CFR 385.207. Commission’s Web site at http:// Owners state that they are serving a The petition states that the California www.ferc.gov, using the ‘‘FERRIS’’ link. copy of the filing on the Governors and ISO is requesting review of the Final Enter the docket number excluding the utility regulatory commissions of Order and Award issued on October 23, last three digits in the docket number Connecticut, Maine, Massachusetts, 2003, in American Arbitration New Hampshire, Rhode Island, and filed to access the document. For Association Case No. 71 198 00711 00. assistance, call (202) 502–8222 or TTY, Vermont. A copy of the filing is being The California ISO states that this (202) 502–8659. Protests and served electronically on Participants in filing has been served upon all parties New England Power Pool (NEPOOL), interventions may be filed electronically to the arbitration, the Public Utilities and in addition, the filing has been via the Internet in lieu of paper; see 18 Commission of the State of California electronically posted on the RTO–NE CFR 385.2001(a)(1)(iii) and the and the California Electricity Oversight website (http://www.rto-ne.com/) under instructions on the Commission’s Web Board. The petition is being served via the heading ‘‘Legal Filings,’’ and those site under the ‘‘e-Filing’’ link. The email to the arbitrator. New England transmission customers Comment Date: December 5, 2003. (including customers under the local
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tariffs of the New England Transmission members have been furnished with an market-based rates; and (4) granting Owners) that are not Participants in electronic copy of this filing. waiver of the 60-day notice period. NEPOOL have been provided notice of Comment Date: December 8, 2003. Comment Date: December 8, 2003. such posting. The New England 6. Avista Corporation 9. Ameren Services Company Transmission Owners state that they will provide a hard copy of the [Docket No. ER04–196–000] [Docket No. ER04–198–000] amendment filing to any interested Take notice that on November 17, Take notice that on November 18, party upon request. 2003, Avista Corporation (Avista), 2003, Ameren Services Company (ASC) Comment Date: December 9, 2003. tendered for filing with the Federal tendered for filing a Service Agreement 4. Consolidated Edison Company of Energy Regulatory Commission an for Network Integration Transmission New York, Inc. executed Long Term Service Agreement, Service and a Network Operating Rate Schedule No. 304, under Avista(s Agreement between ASC and Central [Docket Nos. ER04–191–000 and ER02–1820– FERC Electric Tariff First Revised Illinois Light Company, d/b/a 000] Volume No. 9, with NorthWestern AmerenCILCO (Customer). ASC asserts Take notice that on November 12, Energy, Puget Sound Energy, Inc., that the purpose of the Agreement is to 2003, Consolidated Edison Company of Portland General Electric Company, permit ASC to provide transmission New York, Inc. (Con Edison) tendered PacifiCorp, and PPL Montana, LLC, service to the Customer pursuant to for filing an amendment to it Open whereby Avista will provide the energy Ameren’s Open Access Transmission Access Transmission Tariff (OATT) to operate pumps at the Nichols Tariff. which is a retail transmission service Pumping Station for the Colstrip Project. Comment Date: December 9, 2003. agreement entitled ‘‘Economic Avista states that included with this 10. Portland General Electric Company Development Operating Agreement and filing are Certificates of Concurrence for Retail Transmission Service Agreement’’ each party to the Agreement in the event [Docket No. ER04–199–000] designated as Attachment N to the a Party elects to make exchanges. Avista Take notice that on November 17, OATT. requests waiver of the prior notice Con Edison states that the proposed 2003, Portland General Electric requirement and requests that Rate amendment would allow the County of Company (Portland) filed with the Schedule No. 304 be accepted for filing Westchester Public Service Agency Federal Energy Regulatory Commission effective November 1, 2003. (COWPUSA) to receive retail delivery a proposed revision to Portland’s Comment Date: December 8, 2003. service of up to 10 mw of power through market-based rate tariff, imposing a cost- Con Edison’s transmission and 7. Avista Corporation based cap that will apply to new sales transactions entered into and delivered distribution facilities. COWPUSA will [Docket No. ER04–196–000] purchase the power from the New York by Portland during the specified twelve- Power Authority (NYPA) for resale to its Take notice that on November 17, month period. Portland requests that the customers. 2003, Avista Corporation (Avista), Commission make the amended tariff Con Edison advises that the proposed tendered for filing with the Federal sheets effective as of the day following service agreement with COWPUSA is Energy Regulatory Commission an the date the Offer of Settlement and the intended to supersede an amendment to executed Long Term Service Agreement, Agreement and Stipulation (collectively, the 1987 Agreement submitted in a May Rate Schedule No. 304, under Avista(s the ‘‘Settlement’’), filed by Portland and 14, 2002 filing in Docket No. ER02– FERC Electric Tariff First Revised the other signing parties in Docket No. 1820–000. Accordingly, Con Edison Volume No. 9, with NorthWestern EL02–114, are approved by the requests that it be permitted, pursuant Energy, Puget Sound Energy, Inc., Commission. Portland states that in the to the Commission’s regulations at 18 Portland General Electric Company, event that the Commission does not CFR 35.15, to cancel the May 14, 2002 PacifiCorp, and PPL Montana, LLC, approve the Settlement or that it does filing in Docket No. ER02–1820. whereby Avista will provide the energy not become effective pursuant to its Con Edison states that a copy of this to operate pumps at the Nichols terms, this amendment will also not filing has been served on COWPUSA, Pumping Station for the Colstrip Project. become effective and will be null and NYPA, and the New York Public Service Avista states that included with this void. Commission. filing are Certificates of Concurrence for Comment Date: December 8, 2003. each party to the Agreement in the event Comment Date: December 3, 2003. 11. American Electric Power Service a Party elects to make exchanges. Avista Corporation 5. New England Power Pool requests waiver of the prior notice [Docket Nos. ER04–195–000] requirement and requests that Rate [Docket No. ER04–200–000] Take notice that on November 17, Schedule No. 304 be accepted for filing Take notice that on November 18, 2003, the New England Power Pool effective November 1, 2003. 2003, the American Electric Power (NEPOOL) Participants Committee Comment Date: December 8, 2003. Service Corporation (AEPSC) tendered submitted an informational filing to 8. Forest Energy Partners, LLC for filing pursuant to § 35.15 of the notify the Commission that as of Federal Energy Regulatory November 15, 2003, NEPOOL, ISO New [Docket No. ER04–197–000] Commission’s regulations, 18 CFR England Inc. and NRG Power Marketing Take notice that on November 17, Section 35.15, a Notice of Termination Inc. (NRG Power), acting on behalf of 2003, Forest Energy Partners, LLC of an executed Interconnection and itself and several affiliates, entered into (Forest) petitioned the Commission for Operation Agreement between Kentucky a Restated Weekly Billing Agreement. an order: (1) Accepting Forest’s Power Company and Kentucky The NEPOOL Participants Committee proposed FERC rate schedule for Mountain Power, LLC. designated as states that copies of these materials were market-based rates; (2) granting waiver Service Agreement No. 312 under served on the governors and electric of certain requirements under Subparts American Electric Power Operating utility regulatory agencies for the six B and C of Part 35 of the regulations; (3) Companies’ Open Access Transmission New England states. In addition, all granting the blanket approvals normally Tariff. AEP requests an effective date of NEPOOL Participants Committee accorded sellers permitted to sell at January 16, 2004.
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AEPSC states that a copy of the filing that borrowings would be pursuant to DEPARTMENT OF ENERGY was served upon Kentucky Mountain agreements with the National Rural Power, L.L.C. and the Kentucky Public Cooperative Financing Corporation. Western Area Power Administration Service Commission. Inland also requests a waiver from the Comment Date: December 9, 2003. Post-2005 Resource Pool, Pick-Sloan Commission’s competitive bidding and Missouri Basin Program—Eastern 12. Southwest Power Pool, Inc. negotiated placement requirements at 18 Division CFR 34.2. [Docket Nos. ER04–202–000] Comment Date: December 11, 2003. AGENCY: Western Area Power Take notice that on November 18, Administration, DOE. 2003, Southwest Power Pool, Inc. (SPP) 16. Kandiyohi Power Cooperative ACTION: Notice of final procedures. tendered for filing a Notice of [Docket No. ES04–6–000] Cancellation of Service Agreement No. SUMMARY: The Western Area Power 890 between SPP and Kansas Municipal Take notice that on November 14, Administration (Western), Upper Great Energy Agency. 2003, the Kandiyohi Power Cooperative Plains Customer Service Region, a SPP states that it has served a copy of (Kandiyohi) submitted an application Federal power marketing agency of the this filing to Kansas Municipal Energy pursuant to Section 204 of the Federal Department of Energy (DOE), hereby Agency. Power Act seeking authorization to announces its Post-2005 Resource Pool Comment Date: December 9, 2003. make long-term borrowings in an Allocation Procedures. The Energy amount up to $2.5 million with the Planning and Management Program 13. Kentucky Utilities Company National Rural Cooperative Finance (Program) provides for project-specific [Docket No. ER04–203–000] Corporation. resource pools and power allocations Take notice that on November 18, Kandiyohi also requests a waiver from from these pools to new preference 2003, Kentucky Utilities Company (KU) the Commission’s competitive bidding customers and/or other appropriate pursuant to section 205 of the Federal and negotiated placement requirements purposes as determined by Western. Power Act, 16 U.S.C. 24 (2000) and at 18 CFR 34.2. Western, under the Program, is § 35.11 of the Federal Energy Regulatory Comment Date: December 5, 2003. finalizing procedures to administer a Commission’s regulations, 18 CFR 35.11 Federal power resource pool increment (2003), filed an Amendment to the Standard Paragraph of up to 1 percent (approximately 20 megawatts) of the long-term marketable Contract for Electric Service by and Any person desiring to intervene or to between Kentucky Utilities Company resource of the Pick-Sloan Missouri protest this filing should file with the Basin Program—Eastern Division (P– and the City of Providence; KU Federal Energy Regulatory Commission, requested waiver of the Commission’s SMBP—ED) that will become available 888 First Street, NE., Washington, DC January 1, 2006. Western proposed regulations to permit it to establish an 20426, in accordance with Rules 211 effective date of November 18, 2003 for procedures in the Federal Register on and 214 of the Commission’s Rules of March 4, 2003, and responses to public the Amendment. Practice and Procedure (18 CFR 385.211 Comment Date: December 9, 2003. comments received pertaining to the and 385.214). Protests will be proposed procedures are included in 14. Xcel Energy Inc. and NRG Energy, considered by the Commission in this notice. Western will publish a Inc. and Its Public Utility Subsidiaries determining the appropriate action to be notice of proposed allocations in the taken, but will not serve to make [Docket No. ES03–59–002] Federal Register after the effective date protestants parties to the proceeding. of this notice. Take notice that on November 18, Any person wishing to become a party DATES: 2003, NRG Energy, Inc. (NRG) filed with must file a motion to intervene. All such The Post-2005 Resource Pool the Federal Energy Regulatory motions or protests should be filed on Allocation Procedures will become Commission (Commission) an or before the comment date, and, to the effective January 2, 2004. amendment to the Section 204 authority extent applicable, must be served on the ADDRESSES: Information regarding the granted to NRG in this proceeding. The applicant and on any other person Post-2005 Resource Pool Allocation filing requests that the Commission designated on the official service list. Procedures, including comments, authorize NRG to issue up to $2.715 This filing is available for review at the letters, and other supporting documents billion in debt as part of its proposed Commission or may be viewed on the made or kept by Western for the refinancing package, which would Commission’s Web site at http:// purpose of developing the final represent an increase of $500 million www.ferc.gov, using the ‘‘FERRIS’’ link. procedures, are available for public over the $2.215 billion the Commission Enter the docket number excluding the inspection and copying at the Upper approved in its October 22, 2003 Letter last three digits in the docket number Great Plains Customer Service Region, Order. See NRG Energy, Inc., 105 FERC filed to access the document. For Western Area Power Administration, ¶ 62,037 (2003). assistance, call (202) 502–8222 or TTY, located at 2900 4th Avenue North, P.O. Comment Date: December 9, 2003. (202) 502–8659. Protests and Box 35800, Billings, MT 59107–5800. Public comments are available for 15. Inland Power & Light Company interventions may be filed electronically via the Internet in lieu of paper; see 18 viewing at http://www.wapa.gov/ugp/ [Docket No. ES04–5–000] CFR 385.2001(a)(1)(iii) and the contracts/post2005/comments.htm. Take notice that on November 14, instructions on the Commission’s Web SUPPLEMENTARY INFORMATION: On 2003, the Inland Power & Light site under the ‘‘e-Filing’’ link. The October 20, 1995, Western published Company (Inland) submitted an Commission strongly encourages the Final Program Rule (Final Rule) that application pursuant to section 204 of electronic filings. became effective on November 20, 1995. the Federal Power Act seeking As described in 10 CFR 905, subpart C authorization to: (1) Issue long-term Linda L. Mitry, of the Final Rule provides for project- debt in an amount not to exceed $20 Acting Secretary. specific resource pools and power million; and (2) enter into a $10 million [FR Doc. E3–00416 Filed 12–01–03; 8:45 am] allocations from these pools to eligible unsecured line-of-credit. Inland states BILLING CODE 6717–01–P new customers and/or for other
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appropriate purposes as determined by consumer-owned electric utilities are receiving benefits, directly or indirectly, Western. Under the Final Rule, resource best able to determine the needs and from a current P–SMBP—ED firm power pool increments shall be established by economics of developing renewable allocation.’’ Western agrees with this pro rata withdrawals, on 2 years’ notice, energy resources. comment that all Federal benefits from then-existing customers. Response: Western believes renewable received by an entity in the Upper Great Specifically, 10 CFR 905.32 (b) resources can best be supported by Plains Region (UGPR) should be provides: allowing existing customers to retain the considered when making new At two 5-year intervals after the effective power that may be available after allocations. The intent of the new date of the extension to existing customers, allocating to new customers. This will resource pool was to allocate to new Western shall create a project-specific allow all preference entities across the customers who are not currently resource pool increment of up to * * * 1 marketing area to leverage this power receiving the benefit of Federal power percent of the long-term marketable resource and use existing allocations to support unless otherwise provided for in the under contract at the time. The size of the renewable resources. Several customers general eligibility criteria listed below. additional resource pool increment shall be are already demonstrating support of In the past, other regions of Western determined by Western based on consideration of the actual fair-share needs of renewable resources through their have allowed preference entities to eligible new customers and other appropriate investments in various wind projects receive power from more than one purposes. across the P–SMBP—ED. project when marketing areas overlap. Comment: Western received many Given the new customer load that exists Western held public information and comments that all new customers in portions of the UGPR service comment forums on April 8–10, 2003, to should be subject to the same territory, and consistent with the intent accept oral and written comments on contractual provisions as existing of the Program, the UGPR is not willing the proposed procedures and call for Western customers. Specifically, all to establish this practice. An existing applications. The formal comment contracts should contain the provision customer will not be eligible to receive period ended June 2, 2003. The Post- which prohibits the resale of Federal power from a resource pool unless 2005 Resource Pool Allocation power. Western also received comments Western provides otherwise on a Procedures in this Federal Register that all new customers should be subject project-specific basis. In these final notice explain in detail how Western to future withdrawal provisions in the procedures, Western will change the intends to implement Subpart C-Power same manner as existing customers. general eligibility criteria to state: Marketing Initiative of the Energy Response: Western agrees with this ‘‘Qualified applicants must not be Planning and Management Program comment. All contracts with new currently receiving benefits, directly or Final Rule in the P–SMBP—ED. customers will contain Western’s indirectly, from a current P–SMBP—ED Response to Comments Regarding Post- existing general contract principles and allocation or other firm Federal power 2005 Resource Pool Allocation will be subject to future resource pool commitment. Qualified Native Procedures withdrawals. American applicants, who did not Comment: Western received many receive an allocation from the Post-2000 I. Comments and Responses comments suggesting that power Resource Pool, are not subject to this Comment: Western received many allocations should not be used for requirement.’’ comments supporting the general developing ‘‘cash registers’’ to generate Comment: Western received comment eligibility and allocation criteria, profits, which may or may not flow back that allocations should be used for end indicating that Western properly scoped to retail customers in the region. users. Western also received one the best use of the resource pool, and Response: Western agrees with this comment suggesting that full that allocations should be made to new comment. It is contrary to Western’s requirements should be offered to new preference entities and new Native policy and undermines Reclamation preference entities, if available. American tribes. Law to allow a customer to resell power Response: Western plans to make Response: Western appreciates the at a profit to third parties. allocations from the up to 1 percent response with respect to the proposed Comment: Western received many resource pool to qualified applicants general eligibility and allocation comments that the same procedures based upon the Post-1985 Marketing criteria, proposed use of the resource should be followed that were used in Plan Criteria and the Program Criteria, pool, and intent to make allocations the Post-2000 Resource Pool for new which do not allow for Western to available to new preference entities and Native American tribes. allocate to customers for full new Native American tribes. Response: Western agrees with this requirements. Comment: Western received many comment. Western intends to follow the Comment: Western received comments that it should not allocate framework of Post-2000 Resource Pool comments that anything unallocated power for other appropriate purposes. procedures for new Native American should go back to the existing customers Western also received a comment that tribes as further clarified in this Federal following the contract provisions on a any renewable resource program should Register notice. pro rata share. be supported by Western’s customers Comment: Western received many Response: Western agrees with this and that Western should not mandate a comments that the resource pool should comment. If power is reserved for new specific program for other appropriate not be used for existing beneficiaries, customers but not allocated, or purposes. One comment was directly or indirectly. Western also resources are offered but not placed specifically against allocating power to received many comments that all under contract, this power will be support renewable energy resources. Federal power benefits should be offered on a pro rata basis to customers Western received a comment that the considered when determining new that contributed to the resource pool by preference entities purchasing Pick- allocations. applying the extension formula in the Sloan power are in the best position to Response: The Proposed Post-2005 contract. In these final procedures, determine the best use of Pick-Sloan Allocation Procedures published in the Western will clarify the general power in combination with their Federal Register at 68 FR 10233 allocation criteria to state: ‘‘The supplemental power supplier. Western provide, in part, that ‘‘Qualified resource pool will be dissolved received one comment that the applicants must not be currently subsequent to the closing date of the last
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qualified applicant to execute their ‘‘Native American tribes are not subject power directly or be able to sell it respective firm power contract. Firm to this requirement’’ is discriminatory. directly to retail customers. power not under contract will be used Response: Western will make Federal E. Qualified utility applicants that in accordance with the Program.’’ power available to preference entities desire to purchase power from Western Comment: Western received a that are public bodies and nonprofit for resale to consumers, including comment that did not support the up to entities entitled to priority in the cooperatives, municipalities, public 1 percent withdrawal. purchase of Federal power under utility districts, and public power Response: Western will withdraw up Reclamation Law. The Program changed districts must have met utility status by to 1 percent as determined in Subpart C, Western’s policy such that the Program January 1, 2003. Utility status means the Power Marketing Initiative, 10 CFR allowed Western to allocate to Native entity has responsibility to meet load 905.32(e)(1). American tribes. Western’s change in growth, has a distribution system, and is Comment: Western received a policy is in keeping with the spirit of ready, willing, and able to purchase comment supporting increasing DOE’s Indian policy and recognizes the Federal power from Western on a allocations awarded to the Lower Brule special and unique relationship between wholesale basis. Sioux and Flandreau Santee Sioux the United States and the tribal tribes in the Post-2000 Resource Pool governments. F. Qualified Native American Allocation Process due to omissions in Comment: Western received a applicants must be a Native American applications for power. comment that to maximize the political tribe as defined in the Indian Self Response: If Western were to entertain benefits they would like to see as many Determination Act of 1975, 25 U.S.C. requests for increases or adjustments to new retail customers as possible. 450b, as amended. allocations, all customers would need to Response: It is not Western’s intent to III. General Allocation Criteria be afforded the opportunity to submit try to gain political benefits with this new applications. It is likely Western resource pool. It is Western’s policy to Western will apply the following would receive significant modification promote widespread use of its general allocation criteria to applicants requests. These would be extremely hydropower resources. Western will seeking an allocation of firm power difficult to substantiate and likely not be market hydroelectric power on a under the Post-2005 Resource Pool supportable with the limited amount of wholesale basis to preference entities Allocation Procedures. power available from this resource pool. who qualify under the Post-2005 A. Allocations of firm power will be Therefore, Western will not support Resource Pool Allocation Process. made in amounts as determined solely additional allocations for the Lower Final Post-2005 Resource Pool by Western in exercising its discretion Brule Sioux and Flandreau Santee Sioux Allocation Procedures under Reclamation Law. tribes. B. An allottee will have the right to Comment: Western received one I. Amount of Pool Resources purchase such firm power only upon comment that existing statutory Western will allocate up to 1 percent executing an electric service contract obligations were not followed and that (approximately 20 megawatts) of the P– between Western and the allottee, and Western violated its trust SMBP—ED long-term firm hydroelectric satisfying all conditions in that contract. responsibilities and refused to consider resource available as of January 1, 2006, C. Firm power allocated under these securing additional power for the Lower as firm power to eligible new preference procedures will be available only to new Brule Sioux and Flandreau Santee Sioux customers. Firm power means capacity preference customers in the existing P– tribes. and associated energy allocated by SMBP—ED marketing area. The Response: Under its statutory Western and subject to the terms and marketing area of the P–SMBP—ED is obligations, Western will allocate power conditions specified in the Western Montana east of the Continental Divide, to new customers that meet preference electric service contract. all of North Dakota and South Dakota, status. Western has discretion as Nebraska east of the 101 ° meridian, defined by Reclamation Law to II. General Eligibility Criteria Iowa west of the 941⁄2 ° meridian, and determine the eligibility of Indian tribes Western will apply the following Minnesota west of a line on the 941⁄2 ° and other entities entitled to preference general eligibility criteria to applicants meridian from the southern boundary of in allocating Federal power. seeking an allocation of firm power the state to the 46° parallel and then Comment: Western received one under the Post-2005 Resource Pool northwesterly to the northern boundary comment that suggests Western has no Allocation Procedures. of the state at the 961⁄2 ° meridian. intention to follow criteria established A. All qualified applicants must be in the sale of Federal hydropower. preference entities as defined by section D. Allocations made to Native Response: Within its statutory 9(c) of the Reclamation Project Act of American tribes will be based on the guidelines, Western has wide discretion 1939, 43 U.S.C. 485h(c), as amended actual load experienced in calendar year as to whom and on what terms it will and supplemented. 2002. Western has the right to use contract for the sale of Federal power. B. All qualified applicants must be estimated load values for calendar year Power must be sold to preference located within the currently established 2002 should actual load data not be entities in such a manner as to P–SMBP—ED marketing area. available. Western will adjust encourage the most widespread use C. All qualified applicants must not inconsistent estimates during the thereof at the lowest possible rates be currently receiving benefits, directly allocation process. consistent with sound business or indirectly, from a current P–SMBP— E. Allocations made to qualified principles. Western will market this ED allocation or other firm Federal utility and non-utility applicants will be resource pool consistent with power commitment. Qualified Native based on actual loads in calendar year Reclamation Law and the procedures American applicants, who did not 2002. Western will apply the Post-1985 outlined in this Federal Register notice. receive an allocation from the Post-2000 Marketing Plan and the Program criteria Comment: Western received one Resource Pool, are not subject to this to these loads. Western will carry comment that suggested it is unlawful to requirement. forward key principles and criteria adjust allocation guidelines for D. Qualified utility and non-utility established in the Post-2000 Resource discrimination purposes. The statement applicants must be able to use the firm Pool, except as modified here.
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F. Energy provided with firm power planning and the general power contract Sierra Nevada Region (SNR). Western will be based upon the customer’s provisions. published its Notice of Intent monthly system load pattern. F. Contracts entered into will include announcing the operational alternatives G. Any electric service contract provisions for a reduction of up to 1 it was considering for post-2004 offered to a new customer will be percent of the current contracted rate of operations in the Federal Register on executed by the customer within 6 delivery effective January 1, 2011, in June 24, 2003. Western held public months of a contract offer by Western, accordance with the Program. meetings in July 2003 and accepted unless otherwise agreed to in writing by comments through August 8, 2003. V. Review Under the Regulatory Western. Western reviewed the comments and H. The resource pool will be Flexibility Act assessed the feasibility of implementing dissolved subsequent to the closing date The Regulatory Flexibility Act, 5 each alternative to reach its proposed of the last qualified applicant to execute U.S.C. 601, et seq., requires Federal decision. Western’s proposed decision their respective firm power contract. agencies to perform a regulatory is to implement a contract-based sub- Firm power not under contract will be flexibility analysis if a final rule is likely control area. Western will approach the used in accordance with the Program. to have a significant economic impact California Independent System Operator I. The minimum allocation will be on a substantial number of small entities (ISO) and the Sacramento Municipal 100 kilowatts (kW). and there is a legal requirement to issue Utility District (SMUD) to collect data J. The maximum allocation for a general notice of proposed and initiate discussions to develop a qualified utility and non-utility rulemaking. Western has determined contract. applicants will be 5,000 kW. this action does not require a regulatory DATES: To ensure they are considered, K. Contract rates of delivery will be flexibility analysis since it is a written comments from entities subject to adjustment in the future as rulemaking about rates or services for interested in commenting on this Notice provided for in the Program. public property. of Proposed Decision must be received L. If unanticipated obstacles arise to no later than 4 p.m., January 2, 2004. delivering hydropower benefits to VI. Small Business Regulatory Western will accept written comments Native American tribes, Western retains Enforcement Fairness Act received via regular mail through the the right to provide the economic Western determined this rule is U.S. Postal Service if they are benefits of its resources directly to these exempt from congressional notification postmarked at least 3 days before such tribes. requirements under 5 U.S.C. 801 date. Entities are encouraged to hand IV. General Contract Principles because the action is a rulemaking of deliver, use certified mail, or e-mail to particular applicability relating to rates deliver comments. Western will apply the following or services and involves matters of ADDRESSES: general contract principles to all procedure. Written comments should applicants receiving an allocation of be sent to Tom Carter, Power Operations firm power under the Post-2005 VII. Determination Under Executive Manager, Sierra Nevada Region, Resource Pool Allocation Procedures. Order 12866 Western Area Power Administration, A. Western will reserve the right to DOE has determined this is not a 114 Parkshore Drive, Folsom, CA reduce a customer’s summer season significant regulatory action because it 95630–4710, or by e-mail to contract rate of delivery by up to 5 does not meet the criteria of Executive [email protected]. percent for new project pumping Order 12866, 58 FR 51735. Western has SUPPLEMENTARY INFORMATION: requirements, by giving a minimum of an exemption from centralized Authorities 5 years’ written notice in advance of regulatory review under Executive such action. Order 12866; so, this notice requires no The selection of an alternative for B. Western, at its discretion and sole clearance by the Office of Management post-2004 operations is made under the determination, reserves the right to and Budget. authorities contained in the Department adjust the contract rate of delivery on 5 of Energy Organization Act (42 U.S.C. Dated: November 17, 2003. years’ written notice in response to 7101–7352); the Reclamation Act of changes in hydrology and river Michael S. Hacskaylo, June 17, 1902 (ch. 1093, 32 Stat. 388) as operations. Any such adjustments will Administrator. amended and supplemented by only take place after a public process by [FR Doc. 03–29986 Filed 12–1–03; 8:45 am] subsequent enactments, particularly Western. BILLING CODE 6450–01–P section 9(c) of the Reclamation Act of C. Each allottee is ultimately 1939 (43 U.S.C. 485h(c)); and other acts responsible for obtaining its own third- specifically applicable to the projects party delivery arrangements, if DEPARTMENT OF ENERGY involved. necessary. Western may assist allottees in obtaining third-party transmission Western Area Power Administration Public Process Western published its Notice of Intent arrangements for delivering firm power Operational Alternative for Post-2004 to consider certain post-2004 allocated under these procedures to new Operations customers. operational alternatives in the Federal D. Contracts entered into under the AGENCY: Western Area Power Register (68 FR 37484) on June 24, 2003. Post-2005 Resource Pool Allocation Administration, DOE. The notice described each alternative Procedures provide for Western to ACTION: Notice of proposed decision. and the factors Western would use in furnish firm electric service effective making a decision on which alternative from January 1, 2006, through December SUMMARY: The Western Area Power to select. On July 9, 2003, Western held 31, 2020. Administration (Western), a Federal a Public Information Forum where each E. Contracts entered into as a result of power marketing administration within alternative was described, and the these procedures will incorporate the Department of Energy (DOE), evaluation factors that would be used by Western’s standard provisions for power markets Federal power from the Central Western when making its proposed sales contracts, integrated resource Valley and Washoe projects through the decision were presented. Navigant
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Consulting, Inc., (Navigant) presented Organization (RTO) in the future and to Valley Power (SVP), the Trinity Public results from its comparative economic adapt to ongoing changes in the electric Utilities District (TPUD), and the City of benefits study performed on behalf of utility industry. At the July 9, 2003, Redding, indicate a preference for the Bureau of Reclamation Public Information Forum, Western selecting an alternative that is the most (Reclamation) and Western. Following stated that whatever alternative was flexible, durable, and cost-effective. The the presentations, Western and Navigant chosen, Western must retain its ability Lawrence Livermore National staff answered questions from the to be able to adapt its operations to Laboratory (LLNL) commented that attendees. A summary of the questions future changes in the electric utility Western should further define the above and answers at the July 9, 2003, Public industry to minimize business criteria and provide interested parties Information Forum are at http:// uncertainty and impacts to Western’s with the relative weighting Western www.wapa.gov/sn/initiatives/post2004/ customers. would use in selecting the operational opScenarios/July9P1responses.pdf. Certainty assures cost-of-service rates alternative. Western received additional questions remain stable and predictable. Western The ISO commented: after July 9, 2003, and posted responses further defined certainty at the July 9, Western initially stated that the decision to at http://www.wapa.gov/sn/initiatives/ 2003, Public Information Forum as form its own control area would be cost post2004/opScenarios/pifq-as1.pdf. having stable rates and charges so based. Now that the real impact of the costs Western held a Public Comment Western and its customers will be able of the various Market Plan options is being Forum in Folsom, California, on July 30, to continue engaging in long-term understood more clearly, the criteria for this 2003, during which representatives from business planning and to undertake decision seems to have changed. It wasn’t 12 entities commented on the proposed prudent long-term commitments under until the June 24, 2003, Federal Register alternatives and decision-making a reasonable risk management planning notice that the public learned for the first factors. As individual stakeholders horizon. time that the factors that it [SNR] will use in asked more detailed questions about Durability assures operating protocols its decision-making process are now are well established and subject to flexibility, certainty, durability, operating Navigant’s comparative economic transparency and cost-effectiveness. benefit analysis, responses were minimal changes over time. Western prepared and posted to Western’s stated at the July 9, 2003, Public The ISO and several other external Web site throughout the Information Forum that this definition commentors also indicated concerns comment period, which closed on also included business processes and with grid reliability and complexity of August 8, 2003. Western received observed that major changes in business operations and expressed a desire to written comments from twenty-six (26) processes can significantly impair the include reliability as an additional different entities. Western posted the efficiency and the ability of individual evaluation category. Western did not comment letters at http:// organizations to respond effectively receive any other suggested additions or www.wapa.gov/sn/initiatives/post2004/ because of the need for increased changes to its proposed evaluation opScenarios/Comments08–08–03/ on staffing and resources. criteria. Operating transparency minimizes August 13, 2003. Western’s Response Throughout the public comment operating impacts to third parties. period, Western received and Western defined this factor as the ability The decision-making factors outline considered comments from existing for Western to change the operation of the business reasons Western must power and transmission customers, joint the Federal system with minimal consider as it analyzes impacts powers agencies, water districts, impacts to third parties. associated with implementing each irrigation districts, the ISO, the Cost-effectiveness minimizes cost specific alternative. These business California Electricity Oversight Board, shifts and considers the relative cost reasons include the ability to respond to the ISO’s Market Surveillance and benefits to SNR’s customers. industry changes, having a voice in its Committee, an investor-owned utility, Western stated at the July 9, 2003, own future, providing customers with as and an independent consumer group. Public Information Forum that cost stable an environment as possible as The comments provided the unique effectiveness included the concept of industry wide changes occur, and perspective of each entity on the various ensuring that the overall cost of providing customers with products and alternatives, provided suggestions operation of the system and that the services at the lowest possible rates concerning the selection of an delivery of Federal power is kept as low consistent with sound business alternative, commented on the decision- as possible consistent with sound principles. Consequently, when making making factors proposed by Western, business principles. a decision on its future operations, it is not wise for Western to rely on a single and raised issues and concerns about Public Comments implementing an operational factor. Thus, Western developed alternative. Several comments indicated support additional factors to allow it to continue for Western using the above criteria. meeting its statutory requirements and Decision-Making Criteria Some comments also provided address its long-term strategic goals and The criteria used by Western to reach information concerning the relative objectives. its proposed decision are described in weighting of the criteria that Western Western considered the request to the June 24, 2003, Federal Register should use. The Transmission Agency include reliability as an additional notice and were described in further of Northern California (TANC) evaluation category. Western decided detail at the July 9, 2003, Public commented that, given the relative not to include reliability as a separate Information Forum. The five criteria are instability of the electric utility evaluation category because, under flexibility, certainty, durability, industry, it is important for Western not existing Western Electricity operating transparency, and cost- to use costs as the only criteria for Coordinating Council (WECC) and effectiveness. evaluating each post-2004 operational North American Electric Reliability Flexibility preserves the ability of alternative. Comments from other public Council (NERC) operating guidelines, SNR to join a Federal Energy Regulatory agencies such as the Calaveras Public Western must demonstrate negative Commission (Commission) approved Power Agency, the Modesto Irrigation impacts will either not occur or will be and certified Regional Transmission District (MID), the SMUD, the Silicon mitigated before a selected alternative is
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implemented. Because implementing an California could compromise the requirements to procure and install new alternative must not decrease reliability reliable operation of the electric power business systems that would provide the under WECC/NERC operating grid. Specifically, these commentors needed tools for doing business in the guidelines, adopting this evaluation expressed reservations that under a business environment under the new factor as an additional factor in this control area option, this option could marketing plan. The new systems process is redundant. increase the complexity of operations needed to support the new marketing Western assumes the ISO reference to and potentially affect reliability. plan, regardless of which operational Western’s initial position that the Western views these two concerns as configuration is selected, include the decision on a post-2004 operational implementation issues, rather than Scheduling system, the Power Billing alternative would be based only on cost evaluation issues associated with system, the Load Forecasting system, was the result of a meeting between forming a control area, and would be the Generation Optimization system, the Western and the ISO in December 2002. ordinarily resolved as part of the WECC Enterprise Architecture Integration At the meeting, Western indicated that and NERC certification process for system, the Meter Data Repository any decision related to its future formation of a new control area. system, and the Settlements system. operational configuration would have to The Scheduling system software be supported by a business case. Implementing the Post-2004 Power supports two functional areas, the Western did not intend by its comments Marketing Plan merchant function and the reliability that its decision on a post-2004 For Western to implement its post- function, because Western has chosen to operational configuration would be 2004 Power Marketing Plan, significant follow the spirit and intent of the FERC based solely on cost. investment in new business Order Nos. 888 and 889, which require In addition to the December 2002 infrastructure and systems is necessary. separation of the merchant function meeting, Western participated with the This new investment in business from the reliability function. The ISO in a joint meeting with the Pacific infrastructure and systems is merchant function portion of the Gas and Electric Company (PG&E), the independent of Western’s selection of a scheduling system enables the merchant Southern California Edison Company, post-2004 operational alternative. Since to schedule transactions in the day- and the San Diego Gas and Electric 1967, Western has operated as a ahead markets to deliver Federal power Company in February 2003. On April 8, separate, but integrated, subsystem of to Project Use loads and Preference 2003, Western met with the ISO to the PG&E system under the terms and Power customers, including the discuss the ISO’s Metered Subsystem conditions of Contract 14–06–200– necessary transmission reservations (MSS) proposal. At the time of these 2948A (Contract 2948A). PG&E has required by Western’s energy deliveries meetings, Western had not yet fully indicated it is unwilling to continue the and Western’s transmission customers. developed all of the evaluation factors it terms of that contract. Western, in The reliability function portion of the intended to use in its decision-making formulating the new marketing plan for system provides for real-time process. the post-2004 period, based on PG&E’s implementation of the day-ahead An oral request by a representative positions, assumed that Contract 2948A schedules and any real-time from the LLNL to further define the would expire and services such as modifications to schedules required to criteria and to identify the weighting firming energy and ancillary services balance the control area, sub-control Western would use in making a decision previously provided by PG&E would area, MSS, or to accommodate schedule was received at the July 9, 2003, Public have to be either self-provided or changes by Western’s customers, Information Forum and considered. purchased in the market. Under including changes to transmission Western provided its definition of each Contract 2948A, PG&E provides these schedules. This new system is needed to criterion at the Public Information services and bills Western monthly. accommodate hourly scheduling and Forum and requested written comments With the increased complexity of the accounting required under the new on the definitions and the relative markets and the need to schedule, restructured energy markets, rather than importance of each factor. Western did account for, and settle transactions with the monthly scheduling and accounting not receive any written comments on the ISO on a 10-minute to hourly basis, previously required under the terms of any specific modifications to the Western needs to acquire replacement Contract 2948A. definitions and their relative business systems to provide the same The Power Billing system allows importance. level of technical support for the post- Western to gather and process meter Throughout the comment period, 2004 period now provided by PG&E. data and information from the Western did not receive any adverse One of the biggest changes that Scheduling system, bill customers, and comments to its proposed evaluation Western will face in implementing its generate reports within administratively criteria, although it received several post-2004 Marketing Plan is that and contractually required time frames. requests to consider reliability as a Western and its customers will be The Power Billing system used by separate factor. Western received many exposed directly to real-time changes in Western under Contract 2948A requires written comments supporting the the market. Previously, under Contract extensive modifications to criteria. Western concludes that the 2948A, Western and its customers accommodate hourly market settlements evaluation criteria and their respective settled with PG&E on a monthly after- under current utility settlement definitions are appropriate. Therefore, the-fact basis. This change represents a standards. This major upgrade will the evaluation criteria are now final. significant departure from Western’s allow Western to accurately bill and This decision is based on Western’s current business practices and will account for any of the alternatives under evaluation of the comments and the fact require a substantial increase in work consideration. that Western did not receive a single effort to implement Western’s post-2004 The Load Forecasting system will written comment recommending any marketing program. enable Western’s merchant function to changes to the definitions of the existing Western recognized its need for new forecast the load of customers who have factors. business systems and infrastructure requested portfolio management The ISO and a number of other during the development of its new services under the Full Load Service commentors expressed concerns that marketing plan. Western embarked option in the new marketing plan. As forming a new control area in northern upon an effort to identify the the portfolio manager for these
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customers, Western will need the ability continue to operate reliably and in questioned some of the underlying to accurately forecast load requirements conformance with all applicable NERC assumptions used in the Navigant study. to optimize power purchases and and WECC operating criteria. In The ISO submitted a separate economic minimize costs. Under Contract 2948A, addition, the metered data quantities analysis showing the PTO and MSS since Western was not the load serving will be used in Western’s power rates options were the least-cost options. entity for these customers, it had no function to support cost-of-service Navigant reviewed the assumptions responsibility to meet customer loads determinations. used in the ISO’s studies and the other than to reduce load whenever The Settlements system will allow comments received on its study energy deliveries to its customers Western to keep track of its transactions assumptions. As a result, a number of exceeded Contract 2948A’s maximum with the ISO for each commodity assumptions in Navigant’s initial simultaneous demand level. purchased or sold in the ISO markets. economic comparative benefits study The Generation Optimization system Western’s existing system is inadequate were changed. The revised study is another new system that will enable for post-2004 operations since indicates from an overall comparative Western and Reclamation to maximize significant amounts of data need to be economic standpoint, the PTO option the value of the hydropower generation entered manually, and the current continues to remain the least cost- from each Central Valley Project (CVP) application is not easily integrated with effective of the three alternatives being power plant. Using the required daily other business applications/systems. A water releases and hourly energy price replacement system capable of considered. forecasts, the Generation Optimization automatically integrating data from The revised comparative benefits system will develop a water release other business information systems is study incorporated the following schedule, which still allows required. recommended changes to the Reclamation to meet its daily water Western requires each identified assumptions: (1) Changing the treatment delivery obligations, while system to meet the statutory obligations for self-provided ancillary services to simultaneously maximizing the value of associated with implementing its post- correct a misinterpretation of the ISO the hydropower generation. When 2004 Marketing Plan regardless of Tariff, (2) changing the operating reserve Contract 2948A expires, PG&E will no which operational alternative it selects. requirement under the Federal control longer integrate CVP’s hydropower Because of the projected cost of the area option to be the greater of 5 percent generation with its own resource identified systems and resultant budget or the largest single contingency, (3) portfolio. Consequently, Western will impact, Western worked with its increasing Western expenses to escalate need to have the optimization capability customers during calendar year 2001 to these costs at the rate of inflation, (4) to maximize the value of the secure additional funds to implement its changing the assumption to include all hydropower generated from the project’s new marketing plan. Customers transmission revenues on the 94-mile facilities. recognized this need and provided more section of the Pacific AC Intertie (PACI) The Enterprise Architecture than $19 million to develop and line between Malin and Round Integration (EAI) is a software implement these new business systems Mountain substations, (5) changing the integration system and serves as the in fiscal years 2002–2004. assumptions regarding reliability communications backbone for the Comparative Economic Benefits Study services charges to eliminate charges for different software packages. EAI allows direct-connected customer loads, and Navigant prepared a comparative data sharing and coordinates/integrates (6) changing the congestion charges economic analysis of each post-2004 the interaction between other software applied to Western loads to reduce net operational alternative under programs to develop reports and congestion charges to 80 percent of the consideration as part of this public analytical studies that support day-to- total charges. day business operations. process on behalf of Reclamation and The Meter Data Repository system Western. Navigant’s initial comparative The comparative economic benefit will allow Western to collect metered analysis showed that, of the three analysis estimated the comparative costs quantities from its delivery and alternatives, the comparative net Western would incur under each interconnection points. Collecting this benefits of Western operating as either proposed post-2004 operating data will allow Western to analyze an MSS in the ISO control area or as a alternative over a 15-year analysis system performance and support its new control area were similar. period. The nominal values identified in day-to-day operations. The information Navigant’s analysis indicated the the Navigant comparative economic stored in the data repository will be Participating Transmission Owner benefit study were discounted at a used by the maintenance, operations, (PTO) Alternative was the least cost- Federal discount rate of 5.6250 percent and power billing functions to conduct effective option. to determine annualized benefits and day-to-day operations to ensure that During the public comment period, costs. The annualized results of the Western’s transmission facilities the ISO and other commentors study are summarized below:
ANNUALIZED COSTS ASSOCIATED WITH IMPLEMENTING AND OPERATING EACH POST-2004 ALTERNATIVE [In millions of dollars]
Participating transmission Metered sub- Federal control FCA option B FCA option C FCA option D owner option system option area option A
Total Benefits...... 88.1 76.7 81.6 81.6 81.6 81.6 Total Costs...... 98.8 85.6 91.1 90.5 90.4 63.1 Net Benefits...... (10.7) (8.9) (9.5) (8.9) (8.8) 18.5 Net Benefits Normalized to PTO Option ... 0.0 1.8 1.2 1.8 1.9 29.2
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The benefit calculation included this cost normalization approach, the following three other direct- estimates for sales of ancillary services, avoided costs associated with connected customers: the Turlock payments for transmission access implementing each post-2004 operating Irrigation District (TID), the MID, and charges, and transmission capacity scenario show avoided annual costs of the SMUD. Scenario D assumed the sales. The cost components included approximately $1.8 million for the MSS inclusion of all other Preference Power estimates for the following ISO charges: option and a range of $1.2 million to customers. The avoided costs increase ISO grid management charges, ISO $29.2 million in avoided annual costs across the scenarios as the fixed costs of transmission services, purchases of for the control area option. The cost forming and operating the proposed ancillary services from the ISO markets, avoidance range for the control area control area are spread over a larger transmission congestion charges, formation options result from base, and the amount of charges that reliability services charges, energy decreasing ISO charges levied as more control area participants are responsible imbalance/deviation charges, CVP customers join the new control unaccounted for energy charges, area. The control area option analyzed for paying to the ISO decrease. neutrality charges, and grid operation four alternative scenarios. Scenario A Excluding baseline operation and charges. The study also includes assumed formation of a control area maintenance expenses, which would be Western’s estimates of the capitalized which included only the direct- the same under all post-2004 infrastructure investment costs, annual connected Reclamation Project Use operational alternatives, an estimate of operating expenses, and estimated loads. Scenario B assumed formation of annual operating expenses associated transmission revenue requirements. The a control area which included Scenario with each alternative was developed. comparative economic analysis A and three direct-connected Preference The table below summarizes Western’s normalized the net benefits under each customers (Cities of Redding, Roseville, estimated cost for each post-2004 alternative against the cost of and Shasta Lake). Scenario C assumed operational alternative. implementing the PTO option. Under all elements from Scenario B and added
POST-2004 OPERATIONAL ALTERNATIVES COST SUMMARY ESTIMATED ANNUAL EXPENSES [In millions of dollars]
Participating Federal control transmission Metered sub- area options owner option system option (A–D)
Annual Operating Expenses ...... 10.1 16.2 17.5 Annualized Capital Expenses: Information Technology ...... 2.8 2.8 3.2 Other Infrastructure ...... 0.2 0.2 0.3 Substation Costs ...... 0.0 0.7 2.8
Subtotal ...... 3.0 3.7 6.0
Other One-Time Expenses: Western Metering ...... 0.0 0.0 1.0 Reclamation Metering ...... 1.3 1.3 0.9
Subtotal ...... 1.3 1.3 1.9
As discussed previously under the successfully negotiate a contract-based Under the MSS and the control area section entitled ‘‘Implementing the post- path to the Pacific Northwest. formation options, Western assumed 2004 Power Marketing Plan,’’ much of Although Western may ultimately that to perfect its existing rights under the Information Technology need part of both Cottonwood and Contract 14–06–200–2947A (Contract infrastructure is required to implement Round Mountain substations to 2947A) it would be required to either the post-2004 Power Marketing Plan. implement the MSS Alternative, acquire or invest in constructing The only differences relate to capital Western decided to take a more alternative facilities at, or in the vicinity investments required to support specific conservative cost approach for the of, Cottonwood and Round Mountain functionality in software, metering initial comparative cost studies. If substations. This would assure a equipment, and substations. Operating Western decides to implement the MSS contiguous path between Western’s expenses are significantly lower under Alternative in the future, Western may transmission system and the Pacific the PTO option because there is no need Northwest. to incur additional expenses in the consider including Round Mountain maintenance and operations functions. Substation as a northern boundary Executing a PTO agreement would Specifically, the MSS and control area point. Finally, the MSS and control area result in blending the relatively low options require two additional 24-hour options require additional staff to costs of Federal transmission facilities desks (Transmission Scheduling and handle settlements with the ISO. The with the higher statewide costs of Security and Automatic Generation Navigant study only analyzed the costs California’s three investor-owned Control) and additional expenses that Western would incur as a utilities. This would result in an associated with maintaining facilities at transmission provider under each post- increase in costs to Western’s Preference Cottonwood (MSS Alternative) or 2004 operations alternative and, Power customers and Reclamation’s Cottonwood and Round Mountain consequently, did not estimate the costs Project Use loads without a substations (Control Area Alternative) in that individual customers would incur corresponding increase in benefits. the event Western is unable to under each operating scenario.
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Description of Alternatives to Contract 2947A at Round Mountain term business arrangements, Western and Cottonwood substations. would have no basis for requiring the The No Action Alternative Since Western would not undertake ISO or PG&E to deliver power to Under the No Action Alternative, actions to implement a post-2004 Western’s off-system Project Use loads Western would not undertake any successor operational alternative, it or Preference Power customers served actions before January 1, 2005, to would continue to reside within the ISO using the ISO-controlled grid. On establish a successor operational control area. Under the No Action January 1, 2005, Western would not configuration or to develop and Alternative, Western would not have have negotiated long-term mutually establish permanent new business long-term business arrangements that beneficial business arrangements with arrangements with the ISO or PG&E, would allow it to deliver Federal power the ISO or PG&E and, consequently, based on PG&E’s position that it will not to Project Use loads, First Preference, would have to undertake short-term and extend the terms of Contract 2948A. and Preference Power customer loads potentially unstable business Under Reclamation law, Western is not directly connected to Western’s arrangements to deliver Federal power responsible for marketing and transmission system. Western would to Project Use and Preference Power transmitting Federal power, but because execute short-term (non-firm) loads not interconnected to the Federal it would not have a long-term business transmission arrangements with the transmission system. There would be no arrangement in place with the ISO or ISO, typically one day at a time, and long-term rate certainty and, in the PG&E, Western would not be able to would be subject to curtailments event rates increase faster than guarantee delivery of Federal power to whenever congestion or other Western’s ability to undertake changes Project Use loads from delivery points operational constraints arise. through its formal rate-setting process, in the ISO control area. Without long-term business Western would face the potential of Deliveries on the California-Oregon arrangements, the ISO would not be significantly reducing its power Intertie (COI) lines could also be obligated to provide services to Western. deliveries to avoid any potential affected negatively as successor The converse is also true for Western. In violations of the Federal Anti- interconnection and/or transmission the absence of long-term arrangements, Deficiency Act. The underlying arrangements would not be in place. Reclamation would not execute a uncertainty would also inhibit long- Western recognized the problems Participating Generator Agreement term business planning and, as a result, associated with this alternative before (PGA) with the ISO. Revenues Western concludes that the No Action publishing its June 24, 2003, Federal associated with generation or ancillary Alternative does not meet the certainty Register notice. With no successor services excess to the needs of direct- criteria. interconnection and/or transmission connected Project Use loads and Evaluation of the Durability Criteria arrangements in place, under the No Preference Power customers and sold to Under the No Action Alternative Action Alternative, the parties may have the ISO for its needs would not be available to Western. Western would no other alternative but to seek the Under the No Action Alternative, exist within the ISO control area clarification and resolution of their Western would not have any operational without specific boundaries, and respective interests through litigation. protocols or business processes in place without the ability to collect revenues The June 24, 2003, notice stated: as of January 1, 2005. Effective this date, associated with services provided to the Western would put interim business Since a basis for transactions or business ISO, or to deliver power on a sustained procedures in place to continue relationships necessary to carry out basis to meet Western’s statutory and operating in the ISO control area. deliveries of power to customers does not contractual obligations to off-system exist, substantial business uncertainty would Because short-term arrangements are by Project Use loads, First Preference result. One or more of the parties could their nature unstable, given the unique customers, and Preference Power pursue litigation to determine the respective nature of the CVP hydropower system, customers, respectively. positions of Western and its individual unsettled rights on the COI, and the lack customers, Reclamation, CAISO, and PG&E. Evaluation of the Flexibility Criteria of a northern boundary for Western’s This alternative creates business uncertainty and operational impediments which would Under the No Action Alternative transmission system, Western concludes result from not having successor agreements The No Action Alternative would give that the No Action Alternative does not in place with PG&E and the CAISO. Western very little certainty in meet the durability criteria. Operating Scenario To Evaluate the No conducting its day-to-day business Evaluation of the Operating Action Alternative operations. Without long-term business Transparency Criteria Under the No arrangements, Western would have to Action Alternative Under the No Action Alternative, rely on short-term arrangements with Western would be a contiguous the ISO and others after January 1, 2005, Under the No Action Alternative, as electrical system with most of to continue to do its business. Although of January 1, 2005, Western would have Reclamation’s generation and these short-term arrangements do not no long-term business arrangement with Reclamation’s single largest Project Use commit Western to a long-term the ISO for operation of Western’s load (Tracy Pumping Plant), as well as relationship and allow Western to transmission system within the ISO some Preference customer loads directly modify its operations, the arrangements control area. Since Western would not connected to the Federal transmission are inherently unstable and create have a long-term business arrangement system. Reclamation’s off-system significant business uncertainty. Thus, with the ISO, every transaction would generation at San Luis and New the No Action Alternative does not meet be accomplished on an interim, short- Melones would continue to operate the flexibility criteria. term basis. Under this scenario, Western under terms of existing contracts with would not be able to guarantee delivery PG&E that do not expire until 2016 and Evaluation of the Certainty Criteria of Federal power to Project Use loads 2028, respectively. Western’s northern Under the No Action Alternative and meet its contractual commitments boundary for its transmission system The No Action Alternative does not to First Preference and Preference Power would be uncertain because of the lack assure a stable business environment for customers to deliver energy to delivery of successor transmission arrangements Western or its customers. With no long- points on the ISO-controlled grid since
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it could buy transmission on only a non- Summary Analysis of the No Action NO ACTION ALTERNATIVE EVALUATION firm basis. Alternative SUMMARY—Continued In addition to the uncertainty The No Action Alternative outlined associated with Western’s business during this public process is unlike Evaluation fac- Almost Does relationship with the ISO, other Meets not other no action alternatives usually tors meets meet uncertainties include the lack of associated with a proposed project or successor transmission arrangements to policy. In a normal no action Durability ...... XX Contract 2947A for continued alternative, the status quo is preserved Operating Trans- transmission access to the PACI line, and proposed project/policy alternatives parency ...... XX lack of successor operational are compared with the status quo. In Cost-Effective- arrangements (Coordinated Operations this case, the status quo does not ness ...... XX Agreement) for the coordinated represent the no action alternative as operations of the three-line COI, and existing contracts with PG&E terminate The Participating Transmission Owner potential new business arrangements on while Western is simultaneously Alternative the California-Oregon Transmission implementing a new marketing plan. Western would execute a Project (COTP). As a result of these PG&E has explicitly stated that it is not Transmission Control Agreement (TCA) business uncertainties under the No interested in extending or renewing with the ISO under the PTO Alternative. Action Alternative, Western cannot these contracts. With the status quo not Executing a TCA would transfer guarantee that its operations will not available as an option, Western must operational control over Western’s negatively impact the operations of move toward establishing a new transmission system to the ISO. third parties and, consequently, Western business identity and/or business Reclamation would execute a PGA with concludes that this alternative does not operating arrangement that will allow it the ISO. Executing a PGA would allow meet the operating transparency criteria. to continue doing its day-to-day the ISO to control Reclamation’s Evaluation of the Cost-Effectiveness business. Taking no action prior to generation and allow Western to fully Criteria Under the No Action January 1, 2005, will require Western to participate in the ISO markets by Alternative put in place some type of arrangement receiving revenues associated with any to operate within the ISO control area as excess generation. Under the No Action Alternative, soon as possible after January 1, 2005. The CVP was authorized primarily as since Western will not have long-term The No Action Alternative will place an irrigation project. Therefore, Project successor business arrangements with Western in a highly undesirable Use energy requirements have first the ISO or others, the cost of conducting business posture. Without long-term priority for the hydropower generated its day-to-day business activities is business arrangements in place, Federal from the facilities. Hydropower highly uncertain. In addition, since no power resources cannot be delivered generation in excess of Project Use business relationship exists with the reliably and cost-effectively to Project energy requirements is available to be ISO, Western may not be able to realize Use, First Preference Power, and sold to CVP Preference Power the benefits of providing products for Preference Power delivery points customers. This legislative requirement use in the ISO’s markets. For instance, located on the ISO-controlled grid and would need to be appropriately because of the lack of a long-term not directly connected to the Federal accommodated in any future agreement business arrangement such as a PGA, transmission system. Lack of any executed between Reclamation, revenues associated with excess permanent business arrangements Western, and the ISO. The specific generation and ancillary services would not allow Western to participate terms and conditions relating to ISO provided to, and which may be used by in the ISO markets and allow excess operational jurisdiction over Federally the ISO, may not be fully realized by generation and ancillary services to be owned generation and transmission Western. The ISO may furnish products sold and the revenues used to accelerate facilities would also need to be carefully and services to Western and its repayment on the Federal investment. evaluated to assure that as a result of customers without a contractual The No Action Alternative impacts implementing this alternative, the relationship that would allow the ISO to Western’s ability to meet its statutory authorized project purposes of the CVP bill Western for the use of such products obligations to provide energy to Project are not impaired. and services. Use loads on the ISO-controlled grid If the appropriate arrangements were Other business arrangements and meet its contractual obligations to worked out with the ISO, at a minimum, including the acknowledgment of deliver Federal power to First Western would need to retain Western’s rights to transmission Preference and Preference Power responsibility and operational control capacity on the PACI, potential new customers who use the ISO-controlled over switching operations and the business arrangements on the COTP, grid. Western has determined that it is maintenance and replacement of its successor arrangements for the not prudent to implement the No Action transmission facilities. Similarly, coordinated operations of the COI, as Alternative. Reclamation would also, at a minimum, well as receiving credits associated with Western’s analysis of the five need to retain responsibility and self-provision of ancillary services evaluation factors is summarized in the operational control over its hydropower remain uncertain under the No Action table below: facilities/operations and the Alternative. Without a vehicle to bill or maintenance and replacement of its to be paid for services, the economics of NO ACTION ALTERNATIVE EVALUATION generating facilities. Under existing Western’s operations associated with SUMMARY authorizations, the responsibility and this alternative are unknown. Because of operational control over the water and the uncertainty associated with the cost Does power operations of the CVP cannot be Evaluation fac- Meets Almost not structure that Western would tors meets meet impaired. experience under the No Action The ISO would become responsible Alternative, this alternative does not Flexibility ...... XX for scheduling the use of the CVP meet the cost-effectiveness criteria. Certainty ...... XX transmission system and Western’s
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Malin-Round Mountain transmission and breakers) for maintenance, repair, or and Western could choose to either line. Western currently is the operating replacement, or to assist the ISO in undertake the necessary changes in their agent for COTP. Depending on the restoring the system following a respective business processes or choose arrangements that would ultimately be disturbance. Since the ISO would to terminate the PGA and TCA, made for this line, the ISO may also schedule the use of Western’s respectively. Because of the notice assume operational control of this transmission system, Western would not requirement, the effective date of the transmission line. Under its current have to maintain a 24-hour termination would not be immediate. In COTP agreements with TANC, Western Transmission Scheduling Desk. Western the interim, as a PTO, Western and would retain responsibility for would also not have to maintain a 24- Reclamation would need to conform furnishing technical services associated hour Automatic Generation Control their business practices to the extent not with the long-term maintenance and (AGC) Desk because Reclamation’s precluded by Federal law. replacement of these facilities. The ISO generation would be dispatched by the The electric utility industry is in a would assume scheduling responsibility ISO under a PGA. As a third party to state of ongoing change. New policies, for the entire three-line COI system this transaction, Western could face procedures, and practices are being south of the Oregon border and would increased risk and uncertainty as it adopted to reform and restructure the continue in its role as the single path implements its new marketing plan energy markets. NERC and WECC are operator. since it would not necessarily have coordinating industry wide changes to direct real-time knowledge about the existing operating standards and Operating Scenario To Evaluate the PTO operation and generation status of protocols to ensure the continued Alternative Reclamation’s hydropower facilities. reliable operation of the electric power Under the PTO Alternative, Western From an organizational perspective, grid. As industry wide consensus is would not have a physically discrete Western would still need to retain its achieved, under the PTO Alternative, and defined transmission system. From power accounting, billing, and the ISO would presumably modify its an operational perspective, Western’s settlements functions to monitor and tariff as needed. transmission system would be credit/bill for products and services The flexibility to join whatever RTO integrated with the ISO control area. purchased and sold under to its that Western chooses is of concern to Western would schedule energy marketing plan, as well as to reconcile some of the commentors. For instance, deliveries for Project Use loads, First ISO billings. Staff would be required to the TID commented ‘‘A [Federal Control Preference customers, and other verify the accuracy and integrity of the Area] FCA allows for choice concerning Preference Power customers with the accounting records and issue invoices to which Regional Transmission ISO under generation schedules Western’s customers and the ISO as Organization (RTO) Western [Sierra developed by Reclamation and Western. appropriate. The ISO now has more Nevada Region] SNR joins. Other Western would act as the Scheduling than 100 separate charge types. alternatives require that Western joins Coordinator (SC) for these deliveries Depending on the nature and the RTO that the CAISO desires.’’ and pass through ISO charges associated complexity of the future financial The TID continued: with generation, including imbalance settlements, this function may require TID believes that the customers of Western energy charges, reserve charges, and additional staffing above current levels. should be able to choose what business other charges required to meet the ISO’s environment they prefer to operate within. costs of operating the control area. Evaluation of the Flexibility Criteria Customer choice was the linchpin in many Western’s customers, including those Under the PTO Alternative arguments advocating competitive markets that are directly connected to the Implementing the PTO Alternative and California’s electric industry Federal transmission system and those would subject Reclamation and Western restructuring. A Western FCA will give served through PG&E facilities, would to the terms of the ISO Tariff for the customers a choice between operating under the volatile CAISO market structure and a be billed all of the appropriate ISO term of the PGA and the TCA, cost based, relatively predictable model. charges associated with those energy respectively. Western and Reclamation Under a Western FCA, customers will have deliveries. Western would identify its would conform their business practices the choice of participating and being a part transmission revenue requirements to those required under the ISO Tariff. of the CAISO if they choose. If Western which would be collected by the ISO. If a new RTO is established and the ISO chooses any of the options that make it From an operational perspective, chooses to join, any changes that the subordinate to the CAISO or the CAISO Western would need a 24-hour ISO would need to make to its existing Tariff, Western will have made the choice for Merchant Desk to purchase energy operating and business protocols would many Western customers. required to support Project Use energy also have to be made by Reclamation Under Contract 2948A, transmission requirements, as well as to meet the and Western. Western and Reclamation and ancillary services are provided by supplemental energy needs of Western’s would have to either comply with any the ISO to PG&E on behalf of Western. Variable and Full Load Service changes required within the time frames Western’s off-system customers receive customers under its post-2004 established by the ISO or choose to transmission service from the ISO and Marketing Plan. Western would provide terminate the TCA and PGA, through Western under Contract 2948A. SC services for Variable or Full Load respectively. Because of the present 2- Direct-connected customers receive Service customers requesting this year notice requirement, the effective transmission service and ancillary service, as well as for Reclamation’s date of the termination is not services from Western and the ISO generation facilities. Under its current immediate. In the interim, as a PTO, through PG&E, respectively, under operating procedures, the ISO requires Western and Reclamation would need to Contract 2948A. When Contract 2948A each SC to maintain a 24-hour Merchant conform their business practices to the terminates on January 1, 2005, under Desk in order to maintain SC extent not precluded by Federal law. this alternative, these services would be certification status. If the ISO is certified by the provided by the ISO to all of Western’s Western would also have to maintain Commission as an RTO, any changes customers unless the customer can self- a 24-hour Switching Desk to perform that the ISO would need to make as a provide some of these services. In switching for outages of system result of its new role would presumably essence, all of Western’s customers will elements (such as transmission lines be incorporated in its tariff. Reclamation be, by default, subject to the charges
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associated with the ISO Tariff. The TID PTO option, the cost of power from of the CAISO. As the largest CVP load, appears to equate the lack of choice generation to load will be set by a Reclamation does not want the CVP with a lack of flexibility to choose when market that cannot be forecast with any beneficiaries to be exposed to CAISO they enter or leave the ISO environment. certainty. The TID also commented that operational costs beyond what the historical CVP cost of operations have been. Western believes that choosing the the Western rate process is open and PTO Alternative would give it the short- generally results in a fair allocation of The ISO commented: term flexibility needed to adapt to NERC costs based on cost causation principles. The ISO’s transmission rates are based on and WECC policy changes. The long- The TID contrasts the Western process Commission approved cost-of-service basis term flexibility of joining whatever RTO with the ISO stakeholder process as and on an open and non-discriminatory basis Western chooses is minimally follows: to all market participants * * * the only constrained by the current 2-year TCA volatility Western would experience is This can be contrasted to the CAISO through buying and selling in the ISO’s termination notice. Western, therefore, method of allocating costs, which does not Ancillary Services and Real-Time Imbalance concludes that the PTO option meets accept meaningful direction from Energy markets. However, this volatility is the flexibility criteria. stakeholders representing consumers. Rather, present regardless of whether or not Western the CAISO seems willing only to socialize Evaluation of the Certainty Criteria becomes a control area, and the degree of costs in order to make it seem that the costs Under the PTO Alternative volatility is based on Western’s need to of CAISO services are less prohibitive. procure additional resources. If Western has Under the PTO Alternative, Western The TID also states that transmission sufficient resources, the volatility of these would be subject to all of the ISO allocation based on firm physical markets would not impact Western and its charges associated with being the SC for transmission rights adds certainty to customers. Reclamation to schedule Base Resource long-term and short-term planning. and Custom Product to its customers. Under the PTO Alternative, although TANC commented: The SC for each customer would be Western may retain its ability to subject to all of the ISO charges Firm physical transmission rights are a purchase power in the forward markets associated with scheduling and prerequisite to a stable forward energy to reduce energy imbalance charges delivering power to the customer’s market. With known physical rights there is during real-time operations, since delivery point and the associated no need for unpredictable congestion Western would not be able to load management schemes, multiple markets, and follow, it would not have the ability to ancillary services. Many of the ISO there is no fictitious congestion. Without firm charges, such as imbalance energy and respond to significant changes during physical transmission rights it is real-time operations. Consequently, to reserves, fluctuate on a daily basis with commercially imprudent to contract in the spot market price variations. Although a forward markets. The CAISO provides the extent that Western is short portion of this risk may be minimized transmission for a maximum period of one resources, Western would be subject to through forward purchases, this day, and those who are willing to pay the any volatility in the ISO’s ancillary alternative does not provide Western most get to use the transmission grid. services and real-time energy imbalance with the ability to load follow. The City of Palo Alto stated: markets. Unanticipated energy imbalance charges Western must set its rates at the The City values long-term transmission may still arise as a result of normal lowest possible level consistent with contracts for establishing firm transmission sound business practices, but must project operations. Transmission and rights and obligations of load serving entities. delivery-related charges as well as Western has always utilized this approach to cover all of its costs, including amounts overhead charges of the ISO may change deliver Western energy to its customers. This to repay the project investment over the less frequently, but based on historical provides cost and operational certainty that prescribed repayment period. In the trends, these costs are expected to the CAISO Tariff, and market cost based past, Western’s costs have been stable change more frequently than Western’s. approach to service, does not provide. with rate adjustments made on an The ISO is in the midst of The TPUD commented: average of once every 3 years. Western’s implementing new operating guidance rates are set in an open public process for its Market Redesign (MD02). The The Cal ISO prepares rate amendments on designed to assure that customer an average of one every three to four weeks. proposed new initiative would By contrast, Western ratemaking occurs an concerns are accommodated through an implement the concept of locational average of once every three to four years. The appropriate rate design and cost marginal pricing to deal with Cal ISO has some 250 different rates. Even allocation methodology. transmission congestion. If MD02 is with a Federal control area it is doubtful that The rate certainty associated with implemented in its current format, Western will have a tenth as many. each of the operational alternatives is during periods of congestion, the ISO The Arvin-Edison Water Storage important in the post-2004 time period. would redispatch all generation based District stated: Rate changes could occur more on economic factors. Under this frequently if Western chose an alternative, during periods of Despite the best of intentions and a operational alternative where it is talented staff, the California Independent subject to more frequent changes in cost. congestion, affected CVP Preference System Operator (CAISO) is mired in Power customers and Project Use loads unwieldy governance that results in Under the PTO option, Western would could end up paying a different price perpetual tariff revisions and market be subject to changes in ISO costs that than the actual cost-of-service rates redesigns. Each revision results in added are not within Western’s ability to associated with Federal hydropower costs and complexity that bog the CAISO control. For example, between 1999– resources. These rates may not be with some of the highest overhead expenses, 2002, the ISO revenue requirement for consistent with Reclamation law and and hence the highest grid management costs grid management charges increased policy, and Western may need to of any current ISO or RTO in the nation. from $158.7 million to an estimated consider mitigation strategies. Reclamation stated: $239.2 million, an increase of more than Several of Western’s customers are Costs of CVP operation have not changed 50 percent. Western’s customers have concerned with the predictability and significantly except due to escalation or expressed an intense interest in assuring stability of any alternative selected by increased maintenance as the facilities have that the post-2004 operational Western. The TID summarized its view aged. This situation would change alternative selected is responsive to cost of certainty by stating that under the significantly should the CVP become a part containment principles so that to the
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maximum extent practicable, the rates relationship with the ISO is the ISO the ISO has filed four tariff amendments for products and services are stable and Tariff. Because the ISO is a tariff-based since this public process began on June business certainty is maintained. organization, after a PTO executes a 24, 2003. Although it is important to The commentors quoted previously TCA, the operating terms, conditions, distinguish between procedural and also equated certainty with having rates, and other pertinent aspects substantive changes to the ISO Tariff, physical long-term transmission rights. governing a PTO’s business the underlying ability of the ISO to These physical rights are unavailable arrangements with the ISO can change undertake changes to its business and from the ISO under the PTO Alternative. with the filing of new ISO Tariff operating protocols and procedures As pointed out by TANC, transmission amendments. In the event Western and creates business uncertainty and risk. service is only available on a day-to-day the ISO cannot agree upon potential Based on the affected term or basis and is allocated to those willing to changes to its existing agreement(s), the condition, these changes could pay the highest price. There is no ISO can submit its proposed changes to materially affect the relationship business certainty associated with a the Commission for resolution. between the benefits and burdens that forward purchase that requires Many commentors expressed each party would receive and impart transmission to get power to load if, reservations about the durability of any from being a PTO. Stakeholders day-to-day, the price of transmission arrangement with the ISO because it continue to have ongoing concerns varies significantly. A forward purchase uses a tariff-based approach. Many of related to the frequency and number of of energy believed to be economical the comments equated stable, long-term ISO Tariff amendments. Although many under one set of assumed transmission business relationships occurring of these changes would parallel changes costs can rapidly become uneconomical through contract- and not tariff-based that other control area operators must if the cost of transmission increases relationships. implement in response to ongoing significantly over a short period of time. For instance, the TANC stated: industry changes, because of their Under the PTO Alternative, customers frequency and the number of We believe in the durability of long-term would be subject to these variable contracts for establishing rights and substantive changes made, Western changes in transmission service costs obligations of load serving entities. Western concludes that the PTO Alternative because the use of Western’s has always utilized this approach to doing almost meets the durability criteria. transmission system would be governed business. The CAISO has historically Evaluation of the Operating by the ISO and would be subject to all attempted to alter the rights and obligations Transparency Criteria Under the PTO of the ISO charges. To the extent of existing contracts. The CAISO utilizes Alternative existing right holders may be eligible to tariffs that can and have been frequently receive congestion revenues, they may changed. The CAISO files amendments too As a PTO, Western’s transmission be able to mitigate some of this price frequently to consider the CAISO Tariff system would be scheduled and uncertainty but not to the same extent durable or predictable. dispatched by the ISO as a part of the provided by physical transmission Others including the MID, the TID, ISO-controlled grid. Assuming that the rights. and the SVP cite the 55 amendments operational jurisdictional issues Under the PTO Alternative, Western that the ISO filed at the Commission in identified earlier in the description of would also be responsible for paying the last 5 years as evidence that a the PTO Alternative are satisfactorily ISO overhead charge increases as the SC relationship with the ISO is not durable. resolved, Western and Reclamation for Base Resource and Custom Product The ISO commented: would operate its system under the schedules. If Western does not incur The ISO’s operating protocols have operating protocols and procedures significant energy imbalance or remained substantially the same since the established by the ISO. Because the ISO ancillary service charges from the ISO, ISO start-up date in 1998. The only changes is a NERC- and WECC-certified control Western’s costs may not escalate as in operating protocols are based on the need area, the ISO would, in the ordinary rapidly and be as variable as the ISO’s to comply with changing operational criteria course of its business, coordinate in the recent past. However, Western’s from the NERC and WECC. However, every changes to its system operations with customers could experience additional control area, including the Western Control bordering control areas or provide costs associated with the transmission Area, would have to make similar changes over time. Admittedly, the ISO has appropriate mitigation measures to and delivery of their energy due to necessarily changed the protocols associated minimize the impacts of such changes market-based charges for congestion and with markets, market implementation, and to neighboring control areas. With ancillary services. Although prices are market rules a number of times over the past respect to impacts to third parties, the relatively stable now, Western and its 6 years. Given that the ISO was the first of PTO Alternative meets the requirements customers may still be subject to its kind in the United States, an evolutionary of the operating transparency criteria. uncontrollable market-based risk, as process has been necessary when it comes to well as the uncertainties associated with markets. Thus Western’s concern with Cost-Effectiveness Criteria Under the the implementation of MD02. Western durability with respect to operating protocols PTO Alternative concludes that this alternative does not has been met, but market durability is still Navigant prepared a comparative evolving and will continue to evolve for a economic analysis of each post-2004 meet the certainty criteria. number of years to come. Western cannot disguise its concern regarding ‘‘operating operational alternative under Evaluation of the Durability Criteria consideration on behalf of Reclamation Under the PTO Alternative protocol durability’’ as an off-hand reference to the energy crisis and changing market and Western. Navigant’s comparative In general, operating and business rules. Moreover, the ISO’s ongoing market analysis showed that, of the three protocols and practices are established modifications are designed to promote alternatives, the comparative net and defined by the agreements which stability based on experience, best practices, benefits of Western operating as either create the relationship. These and coordination of operations to the benefit an MSS in the ISO control area or as a agreements establish obligations and of all California consumers and market new control area were similar. responsibilities of the parties and participants. Navigant’s analysis indicated that the allocate the burdens and benefits of Fifty-seven ISO Tariff amendments PTO option was the least cost-effective. each business relationship. Under the have been filed since the ISO became During the public comment period, PTO option, the basis for Western’s operational in 1998. Western notes that the ISO and other commentors
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questioned some of the underlying effective than the others. The study loads and Preference customers after assumptions used in the Navigant study. looked at the cost of delivering power to January 1, 2005. Unless successor The ISO submitted a separate economic Federal Base Resource and Custom arrangements can be successfully analysis showing that both the PTO and Product customers to the customers’ negotiated with PG&E, and/or other cost MSS options were the least cost options. delivery point(s). Western believes that allocation arrangements undertaken, Navigant reviewed the assumptions the study used reasonable assumptions these cost shifts are unavoidable not used in its initial comparative economic and cost data based on information only under the PTO, but also for the benefits study. A number of the available at the time. Western analyzed MSS, sub-control area, and control area suggested changes were accepted and the comments and determined that alternatives. Western will consider incorporated into a revised comparative since the PTO Alternative is the most alternatives to minimize these cost economic benefits study. The revised expensive from the comparative shifts to its customers as part of its study continues to indicate that from an economic benefits perspective, the PTO formal rate process. overall comparative economic Alternative almost meets the cost- For Project Use loads and Preference standpoint, the PTO option continues to effectiveness criteria. customers directly connected to the remain the least cost-effective of the Under the terms and conditions of Federal transmission system, the cost- three alternatives. Contract 2948A, PG&E agreed to provide of-service rates would increase During the public process, some transmission service to Federal Project substantially, as transmission access views expressed on the comparative Use and Preference Power customers charges would increase from cost-of- economic benefit studies performed by instead of the Federal Government service rates associated with Federal Navigant and the importance of the cost- constructing its own transmission transmission facilities to include the effectiveness criteria included: system. Although this contract contains cost of statewide transmission. This The TANC commented: an expiration date, since PG&E’s actions would result in a significant cost shift precluded the Federal Government from to these users without a corresponding * * * given the rapid escalation of the CAISO costs, numerous inaccuracies of constructing its own facilities, Western increase in service or benefits. CAISO settlements, and extreme complexity asserts that PG&E is responsible for As the SC for Reclamation’s and variability of CAISO market design, assuring the delivery of Federal power generation and for customers who have assumption-based cost forecasts in the at rates consistent with its embedded contracted for this service, Western’s CAISO environment are difficult to estimate cost of service. Therefore, any cost overall cost to deliver Federal power to and cannot be the most important evaluation increases for transmission service the ISO grid may not significantly criteria for Western and its Customers. beyond those already established under increase if it is able to operate to The TPUD stated: the terms and conditions of Contract minimize the need to purchase 2948A constitute a cost shift to significant amounts of imbalance energy The Navigant study and the forthcoming Cal ISO study, which will no doubt repudiate Reclamation’s Project Use loads and and/or ancillary services under the PTO most, if not all, of Navigant’s work, are a Western’s Preference Power customers. Alternative. From an infrastructure waste of time, money and effort. A prediction Since PG&E is presently paying these standpoint, the PTO Alternative will of how many tariff amendments the Cal ISO costs, costs to statewide ratepayers still require development and will file over the next twenty years would be would not increase if the current implementation of all of the systems more certain than anyone’s prediction of the arrangements continue. described previously in the section Cal ISO costs just two years from now. entitled, ‘‘Implementing the Post-2004 Summary Analysis of the PTO The TID commented: Power Marketing Plan,’’ except for the Alternative reliability support function portion of Western should not be persuaded to forego The PTO Alternative integrates the the Scheduling system. Implementing the FCA [Federal Control Area] option Federal generation and transmission because some indicate that it may not be the the PTO Alternative would eliminate low cost option. If, as the CAISO, and system with the ISO-controlled grid. the need for a scheduling system to perhaps others, purport, participating in the Under this alternative, Western’s support the reliability function. CAISO is the most cost effective approach, customers would be subject to all of the However, additional programming then over time, Western customers will ISO charges associated with would be required to assure that data migrate to the CAISO market. The CAISO has transmission and delivery of Federal would be appropriately collected and a mission of being the preferred transmission power at their delivery points. For off- shared between Western’s Power provider. If they meet the goal, Western system Project Use loads and Preference Marketing and Power Operations customers will find ways to participate and customers, the resulting increase in ISO functions and the ISO. join the CAISO. transmission and related charges would From a staffing standpoint, Western The ISO and a number of other result in a cost shift from the would have to maintain a 24-hour commentors were concerned that transmission service now provided by Merchant Desk and a 24-hour Western has the information it needs to PG&E under Contract 2948A. These Transmission Switching Desk, requiring make a fully informed decision, and that customers are currently provided an estimated 15 positions. The the decision recognize and incorporate transmission service by PG&E for Transmission Switching Desk already the needs of all the parties, and not just Federal power at embedded cost rates. exists. Western intends to hire the a small subset of users. Although Western’s off-system Project Use and Merchant Desk positions from within Western is aware of the issue of impacts Preference customers would be subject the organization to the maximum extent to statewide ratepayers, under to all of the ISO charges associated with possible to minimize the need for new Reclamation law, Western’s legal transmission and delivery of Federal staff and to continue transforming its obligations are to Project Use and power to them. These charges represent organization to meet the needs of its Preference Power customers. Western a significant increase in costs to off- new Marketing Plan. In addition, views the Navigant study as a screening system Project Use loads and Western’s Western may need to add staff to the study to determine the comparative Preference customers. These costs are Settlements function to reconcile ISO differences between the alternatives and now being paid to the ISO by PG&E charges and issue bills to customers for to determine which alternatives, if any, under terms of Contract 2948A but will SC services provided to some of the were significantly more or less cost- be charged to off-system Project Use customers as charged by the ISO to
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Western. Under the PTO alternative, the loads to be aggregated together and subject to charges for use of the ISO grid intent is to use existing staff to the incorporated into an aggregated MSS, to deliver Federal power. However, off- maximum extent possible. because of possible resource constraints system Project Use loads and Preference This table summarizes the relative associated with following the loads of customers would incur all of the ISO ratings of each evaluation criteria for the individual participants, Western would transmission and related charges PTO Alternative: need to retain operational flexibility associated with the net energy deliveries over the ultimate size of the MSS and to the MSS. Western would market PTO ALTERNATIVE EVALUATION the timing of when new participants transmission service to its customers in SUMMARY would be added. Initially, Western a similar fashion as is done today. would limit the size of the MSS to First From an operational perspective, Evaluation Almost Does Preference, Project Use loads, and Western would have a 24-hour Meets not direct-connected Preference Power Merchant Desk to purchase energy factors meets meet customers wishing to participate. Other required for Western’s Variable Flexibility ...... XX ...... Preference Power customers may be Resource and Full Load Service Certainty ...... XX added, as Western gains operational customers and would be the SC for Durability ...... XX ...... experience. The aggregated MSS would those customers. The 24-hour staffing of Operating Trans- be similar in concept to dynamic the Merchant Desk is required by the parency ...... XX ...... scheduling from one control area to ISO for Western to maintain SC status. Cost-Effective- another. Western’s system would be Western would also have to maintain a ness ...... XX ...... integrated within the ISO control area, 24-hour Switching Desk to perform but Western would manage the net switching for outages of system The Metered Subsystem Alternative power flows through the elements (such as transmission lines The ISO defines an MSS as the system interconnection points with the ISO. and breakers) for maintenance, repair, or of a transmission owner bounded by Western would be responsible for replacement, or to assist the ISO in ISO-certified revenue quality meters at scheduling energy deliveries to Project restoring the system following a each interface point and generating Use load, First Preference customers, disturbance. Since Western would be units internal to that metered system. and other Preference customers within scheduling the use of its transmission Upon execution of an MSS agreement or the MSS. For customers not system and those elements of the COI it an MSS aggregator agreement with the participating in the MSS, Western owns or is responsible for under ISO, the agreement would establish would schedule deliveries with the ISO contract, Western would maintain a 24- Western’s transmission system under generation schedules developed hour Transmission Scheduling Desk. boundaries and identify which direct by Reclamation and Western. Western would also maintain a 24-hour and non-direct connected entities would Western could self-provide imbalance AGC Desk to self-provide ancillary be included within Western’s MSS. energy and ancillary services to the MSS services and to minimize imbalance Western would remain responsible for and could participate fully within the energy purchases. operating, maintaining, and replacing ISO markets if excess generation or From an organizational perspective, the CVP transmission facilities. reserves were available. Under the MSS Western would continue to need a Reclamation would not be required to Alternative, Western would operate the power accounting, billing, and execute a PGA with the ISO. contiguous Federal system as a sub- settlements function to account for Reclamation would remain responsible control area within the ISO control area. services purchased and sold, reconcile for switching, maintaining, and Off-system customers that are billings from the ISO and others to the replacing the CVP’s generating facilities. participants in Western’s MSS would be accounting records, and issue invoices Under this alternative, Western could included, from an accounting to Western’s customers and the ISO. operate as a sub-control area within the standpoint, as if they were inside that Western would also perform the ISO control area and would be sub-control area, in a similar fashion to accounting and settlements function for responsible for scheduling the use of the Western dynamically scheduling to off- the MSS, as aggregated, to reconcile the CVP transmission system and Western’s system participants. Under the MSS services purchased and delivered to Malin-Round Mountain transmission Alternative, the aggregated MSS net individual MSS members. This could line. Assuming that Western remained scheduled interchange with the ISO require the addition of settlements staff as the COTP operating agent, this line would be followed on a 10-minute basis above current levels. would also be under the operational (or possibly 5-minute basis) by Western. Evaluation of the Flexibility Criteria The imbalance energy provided by the control of Western, with Western Under the MSS Alternative continuing to be responsible for ISO would be determined as the maintenance and replacement of these deviation from net scheduled Implementing the MSS Alternative, facilities. Western would have the interchange of the aggregated MSS like the PTO Alternative, would subject scheduling responsibility for use of the participants, integrated over a 10- Western to the terms and conditions of CVP transmission system, the COTP, minute period (or 5-minute period). the ISO Tariff. Notwithstanding a and the Malin-Round Mountain This is different from dynamic contractual agreement, Western would transmission line. The ISO would scheduling in that Western would need to conform its business practices remain as the single path operator for follow deviations from net scheduled every time the ISO Tariff is revised. If the entire COI. interchange on a 4-second basis. a new RTO is established and the ISO Western would pay all the ISO chooses to join, any changes that the Operating Scenario To Evaluate the charges associated with the aggregated ISO would need to make to its existing MSS Alternative net flows into the MSS. Off-system operating and business protocols would Under the MSS Alternative, Western Project Use loads and Preference also need to be made by Reclamation would have a physically defined customers participating in the MSS and Western. Western would either contiguous system that includes those would also be charged for use of the ISO comply with any changes required customers wishing to participate. grid. Western’s customers directly within the time frame required by the Although the ISO allows off-system connected to Western would not be ISO or choose to terminate the MSS
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agreement. Because of the 6-month Alternative could create business not be consistent with Reclamation law notice requirement, the effective date of uncertainty and unforeseen impacts for and policy and Western may need to the termination is not immediate. In the off-system Western customers should consider mitigation strategies. Unlike interim, as an MSS, Western and Western decide it would need to the PTO Alternative, where all CVP Reclamation would need to conform terminate its MSS agreement. Since the Preference Power customers are their business practices to the extent not MSS participant continues to retain its potentially impacted, under this precluded by Federal law. ability to provide a notice to terminate alternative, those Preference Power If the ISO is certified by the the MSS agreement at its discretion, customers and Project Use loads, which Commission as an RTO, any changes Western concludes that this option are contained within Western’s that the ISO would need to make as a meets the flexibility criteria. interconnected generation and result of its new role would presumably transmission system (known as the be incorporated in its tariff. Western Evaluation of the Certainty Criteria bubble), may be able to mitigate some of could choose to either undertake the Under the MSS Alternative these impacts. necessary changes in its business The MSS Alternative provides Under the MSS Alternative, Western processes or choose to terminate the participants the ability to avoid some and its customers would avoid certain MSS agreement. As with the PTO ISO charges because the ISO will base ISO charges. Although Western views Alternative, because of a specific notice its charges on net flows into the MSS, the MSS Alternative as providing some requirement (several existing MSS not gross flows as under the PTO relief from ISO charges, to the extent agreements have a 6-month termination option. The ISO indicated charges for that some of these charges continue to notice requirement) the effective date of power deliveries to off-system be market-based and subject to changes the termination is not immediate. In the customers would be based on ‘‘cost from tariff amendments, the MSS interim, as an MSS, Western and causation’’ principles that would Alternative continues to present Reclamation would need to conform recover the cost for providing the business risk and uncertainty. their business practices to the extent not product or service. Western interpreted Notwithstanding a contractual precluded by Federal law. this statement to mean that individual agreement, Western would need to Since Reclamation is not required to customers would be charged for power conform its business practices every sign a PGA under the MSS agreement, deliveries based on their use of the ISO time the ISO Tariff is revised. Although to the extent that Reclamation chooses grid. Some commentors have raised the MSS Alternative provides some not to be party to Western’s MSS questions related to the meaning of relief from costs, to the extent that the agreement, potential concerns may arise ‘‘cost causation.’’ For instance, the charges are subject to potential ISO from liability that Western could incur TPUD commented: Tariff revisions and the differential from the lack of a contractual MD02 impacts between the direct and During the July 30 hearing, the Cal ISO’s relationship between the ISO and use of the term ‘‘cost causation’’ was non-direct connected Preference Power Reclamation. For example, as the illustrative of their mind set. This term and Project Use loads, Western control area operator, the ISO could should not be confused with ‘‘cost based’’ as determined that this alternative almost direct that certain generators undertake it seemed the Cal ISO wanted to imply. Cost meets the certainty criteria. specific actions. To the extent that such based charges are based on the cost to actions are inconsistent with the project provide a service. ‘‘Cost causation’’ is an Evaluation of the Durability Criteria authorization for the CVP, or other attempt to appropriately divvy up whatever Under the MSS Alternative Federal law or regulation, Western charges a particular provider can get away In general, operating business would need to negotiate exceptions to with under whatever the ‘‘Market’’ rules are protocols and practices are established at the time. take care of Federal legal and and defined by the agreements which jurisdictional issues. The specific terms The TID commented on the cost basis create the relationship. These and conditions relating to the ISO’s for rates under a Federal control area agreements establish obligations and operational jurisdiction over Federally- and said: responsibilities of the parties and owned generation and transmission Under an alternative CAISO approach, the allocate the burdens and benefits of facilities would need to be carefully cost of transmission from generation to load each business relationship. In a evaluated to assure that, as the result of will be set by a market that cannot be forecast contractual relationship, these practices implementing this alternative, the with any certainty. Although there may be and procedures are established for the authorized project purposes of the CVP ways to partially hedge the uncertainty, there duration of the agreement and normally would not be impaired. are costs associated with the hedges and allow the parties to modify parts of the Because the MSS Alternative hedges are not perfect. agreement over time to properly account specifically requires Western to define The ISO is in the midst of for any significant changes in the its physical boundaries, it provides implementing new operating guidance benefits and burdens that may be future flexibility to move its system for its MD02 initiative. The proposed experienced by either party. intact to another control area or an RTO. new initiative would implement the Under the MSS option, although the While Western is under an MSS concept of locational marginal pricing relationship between Western and the arrangement, any operating changes as a means to deal with congestion of ISO will be based upon an agreement necessitated by NERC and WECC would transmission pathways. If MD02 is entered into between the parties, presumably be translated into ISO Tariff implemented in its current format because the ISO’s business operating revisions or operational protocol during periods of congestion, the ISO protocols and procedures are tariff changes. would re-dispatch all generation based based, and not contract-based, the Since Western would have its on economic factors. Under this terms, conditions, rates, and other boundaries formed under the MSS alternative, affected CVP Preference pertinent aspects of interacting with the Alternative, Western believes that this Power customers and the Project Use ISO can be changed through new ISO alternative provides for short-term and loads could end up paying a different Tariff amendments. Notwithstanding a long-term flexibility, restricted only by price than the actual cost-of-service contractual agreement, Western would the termination provisions of the MSS rates associated with Federal need to conform its business practices agreement. However, the MSS hydropower resources. These rates may every time the ISO Tariff is revised. In
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the event Western and the ISO cannot conform its business practices every operation of the Federal system agree upon potential changes to its time the ISO Tariff is revised. Although unilaterally. Western acknowledges that existing agreement(s), the ISO can it is important to distinguish between changes in the operation of the Federal submit its proposed changes to the procedural and substantive changes to system would have to be structured to Commission for resolution. the ISO Tariff, the underlying ability of assure that unintended impacts to third Many of the commentors in this the ISO to undertake changes to its parties do not occur. Because of these public process expressed concerns with business and operating protocols and considerations, Western concludes that the long-term durability of any procedures creates business uncertainty the MSS Alternative meets the arrangement with the ISO because the and risk. operational transparency criteria. agreement would be tariff-based. Many Based on the affected term or of the comments equated stable, long- condition, these changes can materially Evaluation of the Cost-Effectiveness term business relationships as occurring affect the relationship between the Criteria Under the MSS Alternative through contract-based and not tariff- benefits and burdens that each party Navigant prepared a revised based relationships. would receive and impart as a result of comparative economic benefit analysis For instance, the TANC stated: being an MSS. Stakeholders continue to for each post-2004 operational We believe in the durability of long-term have ongoing concerns related to the alternative considered on behalf of contracts for establishing rights and frequency and number of amendments Reclamation and Western incorporating obligations of load serving entities. Western to the ISO Tariff. Although many of comments received from the ISO and has always utilized this approach to doing these changes would parallel changes others related to the underlying business. The CAISO has historically that other control area operators must assumptions used in the study. The attempted to alter the rights and obligations implement in response to ongoing revised study shows that, of existing contracts. The CAISO utilizes industry changes, because of their comparatively, the cost of the MSS and tariffs that can and have been frequently frequency and the number of control area alternatives remain similar changed. The CAISO files amendments too substantive changes, Western concludes and that the PTO option continues to be frequently to consider the CAISO Tariff that the PTO Alternative almost meets durable or predictable. the least cost-effective of the three post- the durability criteria. 2004 alternatives being considered. Others such as the MID, the TID, and Evaluation of the Operating Commentors during the public the SVP cite the 55 amendments filed by process expressed their views about the the ISO at the Commission in the last 5 Transparency Criteria Under the MSS Alternative comparative economic study performed years as evidence that a relationship by Navigant and the importance of the with the ISO is not durable. Under the MSS Alternative, Western cost effectiveness criteria. The ISO commented: would operate its system as a sub- The TANC commented: control area within the ISO control area. The ISO’s operating protocols have * * * given the rapid escalation of the remained substantially the same since the Western would dispatch the internal generation of Reclamation, as needed, to CAISO costs, numerous inaccuracies of ISO start-up date in 1998. The only changes CAISO settlements, and extreme complexity in operating protocols are based on the need satisfy the needs of the sub-control area and variability of CAISO market design, to comply with changing operational criteria and to maintain the net scheduled assumption-based cost forecasts in the from the NERC and WECC. However, every interchange with the ISO. Western CAISO environment are difficult to estimate control area, including the Western Control would schedule the use of its and cannot be the most important evaluation Area, would have to make similar changes transmission system to meet its criteria for Western and its Customers. over time. Admittedly, the ISO has necessarily changed the protocols associated statutory obligations to Project Use The TPUD stated: loads and contractual obligations to its with markets, market implementation and The Navigant study and the forthcoming market rules a number of times over the past customers as well as to meet the needs of the sub-control area and MSS Cal ISO study, which will no doubt repudiate 6 years. Given that the ISO was the first of most, if not all, of Navigant’s work, are a its kind in the United States, an evolutionary participants in aggregate. Operation of waste of time, money and effort. A prediction process has been necessary when it comes to the Federal system would not be a of how many tariff amendments the Cal ISO markets. Thus Western’s concern with concern to the ISO as long as Western will file over the next twenty years would be durability with respect to operating protocols maintains its scheduled flows with the more certain than anyone’s prediction of the has been met, but market durability is still ISO. Cal ISO costs just two years from now. evolving and will continue to evolve for a Scheduling the use of Western’s number of years to come. Western cannot The TID commented: ownership in the Malin-Round disguise its concern regarding ‘‘operating Western should not be persuaded to forego protocol durability’’ as an off-hand reference Mountain transmission line and the COTP would remain Western’s the FCA [Federal Control Area] option to the energy crisis and changing market because some indicate that it may not be the rules. Moreover, the ISO’s ongoing market responsibility and would be performed low cost option. If, as the CAISO, and modifications are designed to promote under NERC and WECC protocols and perhaps others, purport, participating in the stability based on experience, best practices, operating procedures developed by the CAISO is the most cost effective approach, and coordination of operations to the benefit Bonneville Power Administration then over time, Western customers will of all California consumers and market (BPA), the ISO, Western, and others. migrate to the CAISO market. The CAISO has participants. Under the MSS Alternative, and unless a mission of being the preferred transmission From a durability standpoint, the otherwise desired, the ISO would provider. If they meet the goal, Western MSS Alternative is only as durable as continue to remain the single path customers will find ways to participate and the ISO Tariff is over time. Fifty-seven operator for the COI south of the join the CAISO. ISO Tariff amendments have been filed California-Oregon Border (COB). A number of Western’s customers since the ISO became operational in Because operation of the Federal were especially concerned about 1998. Western notes the ISO has filed system would have to meet the terms of increases in their internal costs four tariff amendments since this public the MSS agreement and operating associated with meeting the billing and process began on June 24, 2003. procedures for the COI developed under settlements requirements associated Notwithstanding a contractual NERC and WECC operating criteria, with participating in the ISO markets. agreement, Western would need to Western would not be able to change the Increased complexity and the need for
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additional investment in software and delivery of Federal power to them. This table summarizes the relative other associated equipment and These charges represent a significant ratings of each evaluation criteria for the infrastructure, as well as additional staff increase in costs to Western’s off-system MSS Alternative: to handle ISO business requirements, customers. Under Contract 2948A, are all concerns. PG&E has an obligation to serve the MSS ALTERNATIVE EVALUATION Western views the Navigant study as combined PG&E/Western load under the SUMMARY what it was intended to be; a screening terms and conditions of the contract. study to determine if any one of the These costs are now being paid to the Evaluation Almost Does alternatives were more or less cost- ISO by PG&E under terms of Contract factors Meets meets not effective than the other alternatives. The 2948A but will be charged to Western’s meet revised comparative economic studies off-system customers after January 1, Flexibility ...... XX containing updated assumptions, 2005. The ‘‘net’’ settlement treatment, if Certainty ...... XX referenced above, continue to indicate these Project Use loads and Preference Durability ...... XX that the MSS and Control Area customers are MSS participants, may Operating Trans- alternatives are comparable. Western, reduce the total cost impact but some parency ...... XX therefore, concludes that the MSS cost shifting will occur. Unless Cost-Effective- Alternative meets the cost-effectiveness successor arrangements can be ness ...... XX criteria. successfully negotiated with PG&E, and/ Under the terms and conditions of or other cost allocation arrangements The Control Area Alternative Contract 2948A, PG&E agreed to provide undertaken, these cost shifts are Under this alternative, Western would transmission service to Federal Project unavoidable under the PTO, MSS, sub- initiate the control area certification Use loads and Preference customers control area, and control area process by submitting an application to instead of the Federal Government alternatives. As part of its formal rate NERC and WECC. This process requires constructing its own transmission process, Western is considering up to 6 months to complete and requires system. Although this contract expires, alternatives to minimize these cost Western to document its ability to since PG&E’s actions precluded the shifts to its customers. Federal Government from constructing operate its system reliably under all its own facilities, Western asserts that From an infrastructure standpoint, the applicable NERC and WECC policies PG&E is responsible for assuring the MSS Alternative will still require the and guidelines. In addition, Western delivery of Federal power at rates development and implementation of all must demonstrate its operations will not consistent with its embedded cost of of the systems described previously in affect neighboring control areas. In the service. Any cost increases for the section entitled, ‘‘Implementing the event impacts to neighboring control transmission service beyond those post-2004 Power Marketing Plan.’’ In areas are identified, Western must already established under the terms and addition to these systems, Western will identify and implement sufficient conditions of Contract 2948A constitute have to upgrade its Supervisory Control remedial measures to mitigate such a cost-shift to Reclamation’s Project Use and Data Acquisition (SCADA) system impacts. loads and Western’s Preference to include an AGC module. From a Once an application is submitted, a customers. Since PG&E is now paying staffing standpoint, Western would have review team is selected from the WECC those costs, costs to statewide ratepayers to maintain a 24-hour Merchant Desk membership. The review process would not increase if the current and a 24-hour Transmission Switching includes interviews and/or arrangement continues. Desk, requiring an estimated 15 questionnaires of neighboring control positions. The Transmission Switching areas. This process is designed to Summary Analysis of the MSS Desk already exists. Western intends to identify issues that may arise from Alternative hire the Merchant Desk positions from Western forming a control area. Any The MSS Alternative includes within the organization to the maximum issues that are identified during the operation of the Federal system as a sub- extent possible to minimize the need for review process must be resolved to the control area within the ISO control area new staff and to continue transforming satisfaction of WECC before a new and provides, through accounting its organization to meet the needs of its control area is certified. When the mechanisms with the ISO, for Western new Marketing Plan. Western would review team is satisfied that Western to follow the loads of Western’s MSS have to maintain a 24-hour AGC desk can operate its system reliably within participants. Through the ‘‘net’’ and a 24-hour Transmission Scheduling applicable NERC and WECC criteria, the settlements treatment of the MSS by the and Security Desk requiring another review team will recommend to the ISO, some of the ISO charges for estimated 14 positions. Because of the NERC and WECC Boards of Directors imbalance energy and reserves could be existing staffing levels, Western that certification status be approved. avoided by MSS participants. However, anticipates that it will need to hire only Western would receive certification to off-system Project Use loads and eight new positions to staff these three operate as a control area only when the Preference customers would still be desks (AGC, Transmission Scheduling, review team’s recommendation is subject to transmission and related and Transmission Security) above what approved by the NERC and WECC charges by the ISO. With the expiration is required for the PTO Alternative. Boards of Directors. of Contract 2948A, the expenses Western may also need to add Under this alternative, Western would previously paid by PG&E would be additional staff to the Settlements continue to be responsible for operating, shifted to off-system customers. These function to account for and reconcile maintaining, and replacing the CVP customers would see a significant ISO and Western charges and issue bills transmission facilities. Reclamation increase in their costs for transmission to MSS participants for services would remain responsible for switching, service. provided in following load and maintaining, and replacing the CVP Western’s off-system Project Use loads providing reserves for MSS participants. generating facilities. Under this and Preference customers would be Western estimates it will need an alternative, Western would operate as a subject to all of the ISO charges additional two positions to control area and establish control area associated with transmission and accommodate these activities. boundaries with the ISO, the BPA, and
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SMUD. Western would schedule the use customers and would act as the SC for any agreement. The operating of the CVP transmission system and Reclamation’s generation and Project agreements between Western and the Western’s Malin-Round Mountain Use loads, as well as for interested neighboring control areas would not transmission line. If Western continues customers. The 24-hour staffing of the change, because from a physical in its roles as the operating agent for Merchant Desk is required by the ISO standpoint, nothing changes if Western COTP, this line would also be included for Western to maintain its SC status, as joins an RTO. Operational protocols within the Western control area and well as to implement its post-2004 may change, but the physical operation Western would assume responsibility Marketing Plan. Western would also of the system must continue. Changes in for its operational control. As long as it maintain a 24-hour Switching Desk to operational protocols would still have to continues as COTP’s operating agent, perform switching for outages of system comply with the applicable NERC and Western would continue to provide elements (such as transmission lines WECC reliability standards. services to maintain and replace these and breakers) for maintenance, repair, or Because of the absence of the need to facilities. Western would schedule use replacement, or to assist the terminate any agreement, and the of the CVP transmission system, the interconnected systems in restoring the intended construct of the inter-control COTP, and the Malin-Round Mountain system following a disturbance. Since area agreements with neighboring transmission line. The ISO would Western would schedule the use of its control areas, Western concludes the remain as the single path operator for transmission system and those elements Control Area Alternative meets the the entire COI. of the COI it owns or is responsible for flexibility criteria. under contract, Western would have to Operating Scenario To Evaluate the Evaluation of the Certainty Criteria maintain a 24-hour Transmission Control Area Alternative Under the Control Area Alternative Scheduling Desk. To regulate the Under the Control Area Alternative, control area, Western would maintain a Under the Control Area Alternative, Western would establish a physically 24-hour AGC Desk. neither Western nor the direct- defined contiguous system. As a control From an organizational perspective, connected customers would be subject area operator, Western would manage Western would continue to need a to ISO charges except for those services the net power flows through its power accounting, billing, and purchased from the ISO. Western, interconnection points with the ISO, settlements function to account for however, would charge the direct- BPA, and SMUD under NERC and services purchased and sold, reconcile connected customers for capacity, WECC criteria and guidelines. Western billings from the ISO and others to the energy, transmission, and ancillary would schedule energy deliveries to accounting records, and issue invoices services with rates determined through Project Use load, First Preference to Western’s customers and the ISO. a public process. Western’s off-system customers, and other customers, match Current staffing levels in the settlements Project Use loads and Preference its generation and load, provide function would need to increase by an customers would be subject to ISO reserves, and provide frequency support additional two positions to support the charges for transmission and delivery of for the WECC interconnection under additional workload for the Control Federal power and ancillary services. NERC and WECC criteria and generation Area Alternative. Under this alternative, Western intends schedules developed by Reclamation to implement dynamic scheduling after and Western. Evaluation of the Flexibility Criteria it has sufficient experience operating as Western would self-provide Under the Control Area Alternative a control area. Consequently, non-direct imbalance energy and ancillary services Under the Control Area Alternative, connected customers may be able to and could participate in the ISO markets Western would be required to avoid some of the imbalance energy and whenever excess generation or reserves physically establish its boundaries and reserve charges of the ISO shortly after are available. Although off-system become a stand-alone unit within the the control area is established and customers would not be included in the WECC interconnection. In forming a operational. initial control area formation phase, control area, Western would need to Costs associated with the Control Western contemplates discussing the have operational agreements with Area Alternative are expected to be possibility of dynamically scheduling to neighboring control areas to assure it fairly predictable and include charges off-system customers with the ISO after would operate its system in concert for labor and equipment to operate, sufficient experience is gained as a with neighboring systems. These maintain, and replace the CVP control area operator and the ability of arrangements typically include metering transmission facilities of Western and Reclamation’s generation to follow loads and communication agreements, the costs allocated to hydropower dynamically is ascertained. emergency operations procedures, generation facilities owned and Western’s customers directly normal operating procedures, data operated by Reclamation. These costs connected to Western’s system would exchange arrangements, and power have historically been included in CVP not be subject to use of the ISO grid for accounting procedures. These power rates established by Western. deliveries of Federal power. However, arrangements comply with NERC and CVP rates are cost based and established off-system Project Use loads and WECC standards. at the lowest possible rates consistent Preference customers would incur all of As NERC and WECC industry wide with sound business principles. the ISO transmission and related standards change, Western would have Additional costs associated with charges associated with the deliveries of to change its procedures and structure operating a control area are purchased Federal power. Western would market its inter-control area agreements to power costs necessary to balance the transmission service to its customers on accommodate such industry wide control area during the fall and winter an open access and non-discriminatory changes. Therefore, short-term months when insufficient generation is basis. flexibility would be provided for within available to meet Project Use and First From an operational perspective, the construct of the inter-control area Preference loads. Power purchased for Western would have a 24-hour agreements. these purposes is expected to be Merchant Desk to purchase energy When, and if, Western chooses to join purchased in the forward markets as required for Western’s Variable an RTO, it could do so as a stand-alone blocks, rather than purchased on the Resource and Full Load Service entity, without the need to terminate spot market, to reduce price volatility
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and ensure stable rates. With the which is scheduled to start February associated with the cost of off-system ongoing development of generation 2004. deliveries to its Project Use loads and optimization tools, Western expects the Preference customers served via the Evaluation of the Durability Criteria timing and quantity of purchased power ISO-controlled grid. The intent of Under the Control Area Alternative amounts can be predicted with Congress, when it authorized the reasonable certainty after Contract Under the Control Area Alternative, construction of the PACI, was to assure 2948A expires. Western would be subject to industry that Federal Project Use loads and Using the forward purchase approach, wide changes in operating protocols and Preference customers would receive the Control Area Alternative should business practices coordinated by NERC power as if Federal facilities had been limit Western’s exposure to the spot and WECC. These changes generally constructed. Although this cost would market. Because the preponderance of result from policy or standards changes in effect result in rate pancaking for Western’s costs are within Western’s made through industry consensus and PACI users, Western believes these costs control, CVP rates should remain approved by the NERC and WECC are relatively minor and assures the reasonably stable over time, and rate Boards of Directors and, historically, intent of Congress continues to be met. adjustments should not be needed more have not occurred with great frequency. These costs are outside the scope of this Changes in Western’s business often than that which has historically process and will be discussed as part of practices are generally determined by occurred, approximately every 3 years. the rate process for implementation of changes in Federal or industry wide As a control area, Western would be the post-2004 Marketing Plan and the policies and may be made through a required to meet WECC and NERC post-2004 Operational Alternative, public process designed to assure that operating criteria. To the extent Western which is scheduled to start February the impacts of these changes are fully is not able to fully comply with such 2004. understood by the agency prior to criteria, it will be subject to financial Navigant prepared a revised implementing them. Western penalties for non-compliance. Western comparative economic benefit analysis contemplates executing contracts with has considered this risk in its decision- for each post-2004 operational intra-control area participants. These making process. alternative, which incorporated contracts would recognize physical The ISO is in the midst of comments received from the ISO and rights and should assure reasonable implementing new operating guidance others related to the underlying predictability and allow the participants for its MD02 initiative. This new assumptions used in the study. The to manage their risks and make the initiative would implement the concept revised study shows that, appropriate long-term business of locational marginal pricing to deal comparatively, the relative cost of the decisions. Because the operating with transmission congestion. If MD02 MSS and Control Area alternatives protocols and business practices under is implemented in its current format remain similar. The PTO option the Control Area Alternative are during congestion periods, the ISO continues to be the least desirable from controlled by industry consensus or would re-dispatch all generation based a cost standpoint of the three post-2004 Western’s own actions, Western on economic factors. Under this alternatives under consideration. concludes that the Control Area alternative, CVP Preference customers Western reviewed the comments on Alternative meets the durability criteria. and Project Use loads that remain in the the Navigant study referenced above ISO control area could end up paying a Evaluation of the Operating provided by the ISO and others and different price than the cost-of-service Transparency Criteria Under the Control made a number of changes to the study rates associated with Federal Area Alternative which are described in the section entitled ‘‘Comparative Economic hydropower resources. These rates may To become a certified control area, not be consistent with Reclamation law Benefits Study.’’ The revised study Western would have to operate under continues to indicate that the MSS and and policy and Western may need to NERC and WECC operating criteria and consider mitigation strategies. Western Control Area alternatives are guidelines. These criteria and guidelines comparable. concludes that for control area require that the operation of Western’s participants, the Control Area During the public process, system cannot impact other control commentors offered some views relative Alternative meets the certainty criteria. areas. If Western were to change the In addition to implementing a new to the economic studies performed by operation of the Federal system, as a Navigant and the importance of the cost control area, Western is also considering control area, it would have to assure the possibility of assessing charges on effectiveness criteria. such changes would not impact third The TANC commented: the PACI associated with the cost of off- parties or its operation would not system deliveries to its customers violate NERC and WECC requirements * * * given the rapid escalation of the served via the ISO-controlled grid. The CAISO costs, numerous inaccuracies of and consequently be subject to financial CAISO settlements, and extreme complexity intent of Congress, when it authorized penalties under the WECC Reliability and variability of CAISO market design, the construction of the PACI, was to Management System agreement. assumption-based cost forecasts in the assure that Federal Preference Because of the requirements within CAISO environment are difficult to estimate customers would receive power as if NERC and WECC criteria and guidelines and cannot be the most important evaluation Federal facilities had been constructed. to assure no impacts on third parties criteria for Western and its customers. Although this cost would in effect result occur as a result of Western’s control The TPUD stated: in rate pancaking users of the PACI, area operations, Western concludes that The Navigant study and the forthcoming Western believes these costs are the Control Area Alternative meets the Cal ISO study, which will no doubt repudiate relatively minor and assures that the operating transparency criteria. most, if not all, of Navigant’s work, are a intent of Congress continues to be met. waste of time, money and effort. A prediction These costs are outside the scope of this Evaluation of the Cost-Effectiveness of how many tariff amendments the Cal ISO process and will be discussed as part of Criteria Under the Control Area will file over the next twenty years would be the rate process for implementation of Alternative more certain than anyone’s prediction of the the post-2004 Marketing Plan and the Western is considering the possibility Cal ISO costs just two years from now. post-2004 Operational Alternative, of assessing charges on the PACI The TID commented:
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Western should not be persuaded to forego Summary Analysis of the Control Area and a 24-hour Transmission Scheduling the FCA [Federal Control Area] option Alternative and Security Desk requiring another because some indicate that it may not be the Implementing the Control Area estimated 14 positions. Because of low cost option. If, as the CAISO, and existing staffing levels, Western perhaps others, purport, participating in the Alternative would allow the Federal transmission system to be operated as a anticipates that it will need to hire only CAISO is the most cost effective approach, eight new positions to staff these three then over time, Western customers will NERC and WECC certified control area. desks (AGC, Transmission Switching, migrate to the CAISO market. The CAISO has Customers directly connected to a mission of being the preferred transmission Western’s system would avoid ISO and Transmission Security) above what provider. If they meet the goal, Western charges for transmission and related is required for the PTO Alternative. customers will find ways to participate and services but would incur similar charges Staffing within the settlements function join the CAISO. from Western. Off-system Project Use to account for, reconcile ISO and loads and Preference customers would, Western charges, and issue bills to The ISO and a number of other however, incur ISO transmission and customers is expected to increase by commentors expressed concern that related charges. This would represent a two additional positions. Western has the information it needs to cost shift from the transmission service The comparative economics of the make a fully informed decision, and that presently provided to off-system Project Control Area Alternative are described the decision recognize and incorporate Use loads and Preference customers above in the analysis of the PTO the needs of all the parties, and not just under Contract 2948A. As discussed Alternative and will not be repeated a small subset. Western views the under the PTO option, these customers here. That discussion showed that the Navigant study as a screening study to are currently provided such Control Area Alternative is comparable determine the comparative differences transmission service by PG&E for to the MSS Alternative. between the alternatives and to Federal power at embedded cost rates. The relative ratings for the Control determine which alternatives, if any, are Off-system Project Use loads and Area are summarized: clearly better or worse than the others. Preference customers would be subject The study looked at the cost of to all of the ISO charges associated with CONTROL AREA ALTERNATIVE delivering Federal Base Resource to transmission and delivery of Federal EVALUATION SUMMARY Variable Resource customers, and power to them. These charges represent Federal Base Resource and Custom a significant increase in costs to off- Evaluation fac- Almost Does Product power for Full Load Service Meets not system Project Use loads and Preference tors meets meet customers to the customers’ delivery customers. These costs are now being point(s). Western believes that the study paid to the ISO by PG&E currently Flexibility ...... XX used reasonable assumptions and cost under terms of Contract 2948A but will Certainty ...... XX data based on information available at be charged to Western’s off-system Durability ...... XX the time. As a comparative benefit customers after January 1, 2005. Unless Operating Trans- study, the results were never intended successor arrangements can be parency ...... XX to be used to identify and allocate cost Cost-Effective- successfully negotiated with PG&E, and/ ness ...... XX repayment responsibilities. Western is or other cost allocation arrangements undertaking a separate rate process to undertaken, these cost shifts are Other Operational Alternatives support the post-2004 operations unavoidable under the PTO, MSS, sub- alternative. The rate process is the control area, and control area A number of commentors appropriate forum to discuss cost alternatives. As part of its formal rate recommended Western consider the allocation and financial repayment process, Western is considering possibility of integrating its operations obligations. Western has analyzed the alternatives to minimize these cost within an already established WECC comments and determined that the shifts to Project Use loads and certified control area such as SMUD. Control Area Alternative meets the cost- Preference customers. Commentors suggested that such an effectiveness criteria. From an infrastructure standpoint, the alternative would be similar in concept Under the terms and conditions of Control Area Alternative would still to the ISO’s MSS template, except the Contract 2948A, PG&E agreed to provide require the development and arrangement would be contract-based, transmission service to Federal Project implementation of all of the systems and not tariff-based. Western discussed Use and Preference customers instead of described earlier in the section entitled, the possibility of a contract-based sub- the Federal Government constructing its ‘‘Implementing the post-2004 Power control area with SMUD. SMUD own transmission system. Although this Marketing Plan.’’ In addition to these indicated an interest in pursuing contract expires, since PG&E’s actions systems, Western would have to additional discussions. As part of precluded the Federal Government from upgrade its SCADA system to include Western’s proposed decision, Western constructing its own facilities, Western an AGC module. From a staffing will continue discussions with SMUD asserts that PG&E is responsible for standpoint, Western would have to on forming a contract-based sub-control assuring the delivery of Federal power maintain a 24-hour Merchant Desk and area. Reclamation, as well as the City of at rates consistent with its embedded a 24-hour Transmission Switching Desk. Palo Alto, suggested that Western cost of service. Therefore, any cost This requires an estimated 15 positions. consider approaching the ISO to ask increases for transmission service The Transmission Switching Desk about the possibility of getting a beyond those already established under already exists. Western intends to hire contract-based sub-control area the terms and conditions of Contract the Merchant Desk positions from agreement. 2948A constitute a cost-shift to Project within the organization to the maximum Sufficient detailed information is not Use loads and Preference customers. extent possible to minimize the need for now available to make a fully informed Since PG&E is now paying those costs, new staff and to continue transforming judgment to determine how the costs to statewide ratepayers would not its organization to meet the needs of its evaluation criteria would apply to this increase if the current arrangements new Marketing Plan. Western would specific alternative and the relative continue. have to maintain a 24-hour AGC desk benefits and burdens associated with its
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implementation. Western intends to intends to initiate discussions with the the ISO, and SMUD under NERC and approach the ISO and SMUD to initiate ISO to investigate the feasibility of WECC criteria and guidelines. Direct- discussions and collect additional data pursuing this type of an agreement. connected customers would avoid all to determine the feasibility of this ISO charges associated with delivery of Comparison of the Operational alternative. If either alternative is Federal power, but the off-system Alternatives feasible, Western will then initiate the Project Use loads and Preference appropriate steps to implement it. As Implementing each alternative under customers would not avoid these part of an initial overall review, the consideration would result in a different charges. following general statements can be operational configuration and would From an infrastructure viewpoint, all made. result in a different relationship with of the systems necessary to support the From a flexibility viewpoint, the the ISO. Each alternative also subjects post-2004 Marketing Plan are needed analysis of a contract-based sub-control Western to different staffing levels and are independent of the alternative area would be similar to the analysis for because of the needs for different chosen. The MSS, control area, or sub- the MSS Alternative. Flexibility would functions associated with that control area alternatives all require the be limited to the termination provisions alternative. addition of an AGC module to Western’s of the agreement putting this alternative The No Action Alternative may create SCADA system. The MSS, control area, in place. Therefore, this alternative a situation where Western is unable to and sub-control area options also would probably satisfy the flexibility perform under its power contracts and require the creation of two new 24-hour criteria. places Western in a position of desks (AGC and the Transmission From a certainty viewpoint, the rates scrambling to put arrangements in place Scheduling and Security Desks) as well and charges for products and services to operate the Federal system within the as the addition of two staff positions in purchased from either control area ISO control area. Western may also not the settlements function. These operator are assumed to be contract- and be able to assure project repayment positions would not be required under cost-based, rather than market- and under this alternative. Western would the PTO option. tariff-based. Therefore, rates should be essentially be a price and service taker During the public comment period, generally stable and predictable. From without the ability to negotiate favorable Western received numerous comments that perspective, this alternative would terms and conditions because of the from customers and interested probably meet the certainty criteria. impermanent nature of the operational stakeholders indicating their respective Since this alternative is contingent agreements. Western has determined preferences for, or against, a specific upon executing a contract-based that this is not a preferable alternative. post-2004 operational alternative. A agreement, and not dependent on The PTO Alternative would result in common thread of the comments changes to a tariff, the terms and Western’s system being integrated with received from Western’s customers conditions should be relatively stable the ISO control area and all of Western’s encouraged Western to choose an and participants should be able to customers being subject to all of the ISO alternative that did not place Western’s engage and commit to long-range charges for scheduling and delivery of relationship with the ISO under the ISO planning activities. This alternative Federal power to their delivery points. Tariff. Reasons cited were the frequency would probably meet the durability Western’s transmission revenue of changes to the ISO Tariff and the criteria. requirement would be met, and its costs associated with possible litigation The operating transparency of an staffing levels under this alternative over proposed ISO Tariff modifications. arrangement with either control area would be the lowest of any of the The PTO option subjects Project Use under this alternative should be alternatives. Western’s rates would have loads and Preference customers to all seamless. As a contract-based sub- to be set to cover all of the ISO charges ISO charges. While this option requires control area, Western would operate its associated with Western’s role as the SC the least amount of Federal investment facilities within a host control area. The for Reclamation generation. in infrastructure and staffing, it subjects host control area must conform its The MSS Alternative would allow all of the Project Use loads and operations to the reliability standards Western to operate within the ISO Preference customers to all ISO charges. outlined by NERC and WECC. control area as a sub-control area and This substantially increases cost-of- Consequently, any changes in would provide accounting mechanisms service rates because the relatively low operational protocols and procedures for Western to include all customers cost of Federal transmission facilities would have to minimize and/or mitigate desiring to participate in the MSS to be would be blended with higher statewide any impacts and be accomplished in included in the MSS. Western’s transmission facility costs under this close coordination with neighboring customers may avoid some ISO alternative. This option also raises control area operators. This alternative ancillary service charges depending on concerns related to the operation and would probably meet the operating the ability of the CVP generation to control over Federal facilities. transparency criteria. follow the combined load of Western’s Specifically, Reclamation and Western Insufficient information is available to MSS participants. The direct-connected would have to assure the operation of make a preliminary determination as to Project Use loads and Preference CVP water and hydropower facilities the relative cost-effectiveness of this customers would also be able to avoid would be consistent with the project’s alternative. However, since the SMUD some transmission and related charges, statutory authorizations. Based on these control area operates on a cost-based but the off-system Project Use loads and factors, Western is removing the PTO orientation, we assume that, at a Preference customers would not avoid option from further consideration. minimum, it probably meets the cost- transmission and other ISO charges. The The MSS option presents some effectiveness criteria. charges for the MSS Alternative may be favorable characteristics for Project Use A number of commentors suggested lower than under the PTO Alternative loads, Preference customers, and that Western consider a contract-based because of the ‘‘net’’ settlements feature Western. The ability to provide some MSS arrangement with the ISO. The ISO of the MSS. ancillary services to Project Use loads currently operates under a tariff-based The Control Area Alternative would and Preference customers that system. However, consistent with allow Western to function as an participate in the MSS, subject to the Western’s proposed decision, Western interconnected control area with BPA, availability of CVP generation, and the
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ability to pay ISO charges based on the contract. Because of the seasonal nature and uncertainty while establishing a ‘‘net’’ settlements feature appear of the CVP generation resource, a new post-2004 operational configuration desirable. Western is concerned with contractual approach to either upon the termination of existing the frequent number of amendments to integrated or segregated operation may contracts, Western is proposing to the ISO Tariff. Numerous commentors contain benefits for Project Use loads, operate its Federal transmission raised concerns about the number of Preference customers, and Western. facilities within an existing control area. ISO Tariff amendments during the Western will pursue this further with Western will initiate discussions with public comment period. If Western were SMUD. the ISO and SMUD to implement a able to develop a contractual agreement contract-based sub-control area. This with the ISO which does not Other Issues Raised During the Public option is practical and preserves specifically reference the ISO Tariff, and Process Western’s ability to respond flexibly to if the contractual agreement contained The ISO and a number of other ongoing changes in the electric utility terms and conditions which would not commentors raised the following three industry. change during the life of the contract, additional issues during the public Other Considerations Western would be interested in process. The commentors were pursuing such an arrangement. Such an specifically concerned about the Consistency With Federal Law arrangement would recognize the alternative for a new control area and Western will evaluate how Federal unique legislated purposes and raised the following three issues: (1) law will affect each alternative. Western characteristics of the CVP and would Adverse implications to grid reliability is governed by numerous Federal laws maintain an appropriate balance and and operations, (2) increased such as the Federal Reclamation Law. separation between a State-controlled complexity of operating the COI, and (3) The Federal Reclamation Law requires and Federal entity. A contract-based inconsistency of Western’s proposal Federal power be sold to Preference MSS option structured under these with existing Federal policy and customers. Western implements such principles, if offered by the ISO, will be proposed direction. sales through a Federal marketing plan considered. The impact of the ISO’s Commentors were concerned that the under the Administrative Procedure MD02 activities will need to be creation of a new control area was Act. The sale of Federal power must not addressed also. If the ISO cannot inconsistent with existing Federal impair the primary purposes of the CVP. accommodate such principles, the MSS policy, which would result in additional The marketing plans have the full force option will not be considered further. complexity and could cause the and effect of law. The alternatives must The control area option meets all of electrical transmission grid to be be consistent with Western’s obligations the decision-making criteria outlined by operated less reliably. Since the under Federal law including Western’s Western. However, operation as a sub- proposed decision does not contemplate Marketing Plan. For instance, if Western control area within the SMUD control formation of a new control area at this were to become a PTO, it is conceivable area also appears to meet these criteria. time, these issues need not be addressed that situations could arise where The direct-connected customers would as part of this Federal Register notice. Western would be unable to deliver avoid ISO charges for delivery of Western’s position is that in the event Federal Preference Power to Federal Federal power and would pay Western the control area alternative is ever customers even where adequate Federal or the host control area for ancillary selected, as part of the WECC/NERC services associated with such delivery. transmission capability was available to control area certification process, many serve the Federal customer. While the There are two different approaches for of the operating issues (grid reliability sub-control area operations that could ISO Tariff provides a waiver for Federal and increased complexity of operations) entities, if a provision of the Tariff provide benefits for Western and the raised by the commentors would be host control area. The first is called conflicts with Federal law, Western identified, analyzed, and mitigated, if must still work out the specific details integrated operations and would allow appropriate, as part of the control area Western to operate within the host on a case-by-case basis whenever such certification process. These issues conflicts arise. control area and provide its share of would normally be handled as a matter regulation and reserves associated with of meeting specific technical Regulatory Procedure Requirements the combined load of Western and the performance criteria rather than policy. host control area. Accounting Regulatory Flexibility Analysis mechanisms would be put in place to Conclusion The Regulatory Flexibility Act of 1980 account for services rendered. Western’s Proposed Action (5 U.S.C. 601, et seq.) requires Federal Essentially, this would resemble agencies to perform a regulatory integrated operation with the host Based upon the analysis done with flexibility analysis if a final rule is likely control area. The second arrangement is respect to the decision-making factors to have a significant economic impact called segregated operations and would outlined by Western in the June 24, on a substantial number of small entities allow Western to provide reserves and 2003, Federal Register notice and and there is a legal requirement to issue regulation associated with its direct- further explained at the July 9, 2003, a general notice of proposed connected customers and firm exports Public Information Forum, Western rulemaking. Western has determined and regulate hourly to a net scheduled proposes to proceed with its effort to that this action does not require a interchange quantity with the host establish a contract-based sub-control regulatory flexibility analysis since it is control area. This operation resembles area within either the ISO or SMUD a rulemaking of particular applicability interconnected control area operation, control area. Western is not proposing to involving services applicable to public but Western would not be accountable form a new control area at this time. The property. to the WECC and NERC. complexity and uncertainty of The SMUD has expressed interest in implementing a new marketing plan as Environmental Compliance establishing a sub-control area under a well as creating a new control area has Under the National Environmental contractual agreement that would caused Western to conclude it is not Policy Act (NEPA) (42 U.S.C. 4321. et contain terms and conditions prudent to try accomplishing both tasks seq.), Council on Environmental Quality established for the duration of the simultaneously. To reduce business risk NEPA implementing regulations (40
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CFR 1500–1508), and DOE NEPA COUNCIL ON ENVIRONMENTAL and 12. The December 11 session will implementing regulations (10 CFR QUALITY begin at 9 a.m. and interested members 1021), Western completed an of the public will have an opportunity environmental impact statement (EIS) National Environmental Policy Act to present their views at 3:30 p.m. on its Energy Planning and Management Task Force; Meeting following the roundtable discussion. Program. The Record of Decision was AGENCY: Council on Environmental That session will end in the evening published in the Federal Register (60 Quality. after the publics’ views have been presented. The session on December 12 FR 53181, October 12, 1995). ACTION: Notice of public meeting. will begin at 9 a.m. and interested Western also completed the 2004 SUMMARY: The Council on members of the public will have an Power Marketing Program EIS (2004 Environmental Quality (CEQ) opportunity to present their views at 11 EIS), and the Record of Decision was established a National Environmental a.m. following the roundtable published in the Federal Register (62 Policy Act (NEPA) Task Force to review discussion. FR 22934, April 28, 1997). The the current NEPA implementing ADDRESSES: Interested parties can Marketing Plan falls within the range of practices and procedures in the review the Task Force report via the alternatives considered in the 2004 EIS. following areas: Technology and CEQ Web site at http:// This NEPA review identified and information management; federal and www.whitehouse.gov/ceq/ or the NEPA analyzed environmental effects related intergovernmental collaboration; Task Force Web site at http:// to the Marketing Plan. Available programmatic analyses and subsequent www.ceq.eh.doe.gov/nft/. If you would reservoir storage and water releases tiered documents; and adaptive like a printed copy, please mail a controlled by Reclamation influences management and monitoring. In request to The NEPA Task Force, 722 marketable CVP and Washoe project addition, the NEPA Task Force Jackson Place, NW., Washington, DC electrical capacity and energy. reviewed other NEPA implementation 20585, or contact Bill Perhach at (202) Reclamation completed a programmatic issues such as the level of detail 395–0826 to request a copy. included in agencies’ procedures and Environmental Impact Statement (PEIS) Dated: September 25, 2003. under the CVP Improvement Act of documentation for promulgating James L. Connaughton, 1992 (Pub. L. 102–575, Title 34) on categorical exclusions; the structure and documentation of environmental Chairman, Council on Environmental October 1999. Actions based on the Quality. assessments; and other implementation PEIS may result in modifications to CVP [FR Doc. 03–29873 Filed 12–1–03; 8:45 am] facilities and operations that would practices that would benefit federal BILLING CODE 3125–01–M affect the timing and quantity of electric agencies. power generated by the CVP. Such ‘‘The Task Force Report to the changes may affect electric power Council on Environmental Quality— Modernizing NEPA Implementation’’ EQUAL EMPLOYMENT OPPORTUNITY products and services marketed by SNR. was published and presented to CEQ on COMMISSION The Marketing Plan has the flexibility to September 24, 2003. The Report accommodate these changes. Western contains recommendations designed to Agency Information Collection was a cooperating agency in improve federal agency decision making Activities: Proposed Collection; Reclamation’s PEIS process. by modernizing the NEPA process. To Comment Request Determination Under Executive Order further the work of the NEPA Task AGENCY: Equal Employment 12866 Force, CEQ is holding a series of Opportunity Commission. regional public roundtables to raise ACTION: Notice of information Western has an exemption from public awareness of the NEPA Task collection—new: The Equal centralized regulatory review under Force draft recommendations and Employment Opportunity Commission’s Executive Order 12866. No clearance of discuss the recommendations and their ‘‘Freedom to Compete’’ Award. this notice by the Office of Management implementation. The Southern Regional and Budget is required. Roundtable will be held on December SUMMARY: In accordance with the 11 and 12 at the historic Cadre Building, Paperwork Reduction Act of 1995 (Pub. Small Business Regulatory Enforcement 149 Monroe Ave, Memphis, Tennessee. L. 104–13, 44 U.S.C. chapter 35), the Fairness Act Information about the location is at Commission announces its intent to http://www.cadrebuilding.com/. The submit to the Office of Management and Western has determined that this rule Memphis Roundtable is co-hosted by Budget (OMB) a request to approve a is exempt from congressional the Southern Environmental Law new information collection as described notification requirements under 5 U.S.C. Center, Duke Environmental Leadership below. 801 because the action is a rulemaking Program at Duke University’s Nicholas DATES: Written comments on this notice of particular applicability relating to School of the Environment and Earth must be submitted on or before February services and involves matters of Sciences, and The Environmental Policy 2, 2004. procedure. Information Center at Jacksonville State ADDRESSES: Comments should be Dated: November 21, 2003. University. Representatives from submitted to Frances M. Hart, Executive Michael S. Hacskaylo, important constituent groups that have Officer, Executive Secretariat, Equal worked on NEPA issues have been Administrator. Employment Opportunity Commission, invited to participate in a discussion of 10th Floor, 1801 L Street, NW., [FR Doc. 03–29984 Filed 12–1–03; 8:45 am] the recommendations. Announcements Washington, DC 20507. As a BILLING CODE 6450–01–P of future roundtables will be published convenience to commentators, the on the NEPA Task Force web site and Executive Secretariat will accept in the Federal Register. comments transmitted by facsimile DATES: The southern regional public (‘‘FAX’’) machine. The telephone roundtable will be held on December 11 number of the FAX receiver is (202)
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663–4114 (this is not a toll-free This notice concerns the nomination to go as far as their talent and abilities number). Only comments of six or fewer form which constitutes a collection of will allow regardless of race, color, pages will be accepted via FAX information under the Paperwork gender, age, national origin, religion or transmittal. This limitation is necessary Reduction Act. disability. Award winners will be given to assure access to the equipment. Pursuant to the Paperwork Reduction the Commission’s ‘‘Freedom to Receipt of FAX transmittals will not be Act of 1995, 44 U.S.C. chapter 35, and Compete’’ Award, which will be acknowledged, except that the sender OMB regulation 5 CFR 1320.8(d)(1), the presented by the Chair of the may request confirmation of receipt by Commission solicits public comment on Commission at an annual ceremony in calling the Executive Secretariat staff at its proposed nomination form to enable Washington, DC. All nominees will be (202) 663–4070 (voice) or (202) 663– it to: required to disclose any charges and 4074 (TTY) (these are not toll-free (1) Evaluate whether the proposed litigation involving the statutes enforced telephone numbers). Copies of collection of information is necessary by the Commission. Receipt of the comments submitted by the public will for the proper performance of the ‘‘Freedom to Compete’’ Award does not be available to review at the functions of the agency, including constitute a waiver by the Commission Commission’s library, Room 6502, 1801 whether the information will have nor will it be considered with respect to L Street, NW., Washington, DC 20507 practical utility; any future charges and investigations between the hours of 9:30 a.m. and 5 (2) Evaluate the accuracy of the against nominees or award recipients. p.m. agency’s estimate of the burden of the Background: In 2002, under the FOR FURTHER INFORMATION CONTACT: Lisa proposed collection of information, leadership of Chair Cari M. Dominguez, Fisher, Acting Director, Office of including the validity of the EEOC launched the ‘‘Freedom to Communications and Legislative methodology and assumptions used; Compete’’ (FTC) initiative, a national Affairs, 1801 L Street, NW., Washington, (3) Enhance the quality, utility, and outreach, education and coalition- DC 20507, (202) 663–4056 (voice). This clarity of the information to be building strategy designed to notice is available in the following collected; and complement the agency’s enforcement formats: Large print, braille, audio tape (4) Minimize the burden of the and litigation efforts by identifying EEO and electronic file on computer disk. collection of information on those who practices and programs worthy of Requests for this notice in an alternative are to respond, including through the emulation. The Commission has built format should be made to the use of appropriate automated, and seeks to further build partnerships Publications Center at 1–800–699–3362. electronic, mechanical, or other and strategic alliances with various technological collection techniques or stakeholders that can directly and SUPPLEMENTARY INFORMATION: The Equal other forms of information technology, indirectly influence positive change in Employment Opportunity Commission e.g., permitting electronic submission of the nation’s workplaces. The Award (EEOC) enforces title VII of the Civil responses. will be presented to individuals and Rights Act of 1964, the Equal Pay Act, The remainder of this SUPPLEMENTARY organizations that have demonstrated the Age Discrimination in Employment INFORMATION section provides the public exemplary efforts in promoting free and Act, the Rehabilitation Act, title I of the with information it will need to unfettered access to opportunities in the Americans with Disabilities Act, and the comment on the EEOC proposal. It workplace. The Award will be called Pregnancy Employment Discrimination contains an overview of the information the ‘‘Freedom to Compete’’ Award. Act. Pursuant to its authority under collection and the proposed nomination Eligibility Criteria: The following those statutes, EEOC launched the form. criteria apply to the Freedom to ‘‘Freedom to Compete’’ (FTC) initiative, Compete Award Nominees: a national outreach, education and Overview of This Information A. The nominees must be public or coalition-building strategy designed to Collection private employers, corporations, complement the agency’s enforcement Collection Title: Nomination for the associations, organizations, or others and litigation efforts by identifying EEO Equal Employment Opportunity whose activities exemplify the goals of practices and programs worthy of Commission’s ‘‘Freedom to Compete’’ the Chair’s ‘‘Freedom to Compete’’ emulation. The Commission has built Award. initiative. Nominees may self-nominate and seeks to further build partnerships OMB Number: None. or be nominated by others. and strategic alliances with various Description of Affected Public: B. Nominees must have implemented stakeholders that can directly and Individuals or households; Businesses a program or practice that has indirectly ensure equal opportunity in or other for profit, Not-for-profit successfully removed barriers that the nation’s workplaces. One institutions; State or local governments. hinder free and fair workplace component of this initiative is the Equal Number of Responses: 100. competition and increased access, Employment Opportunity Commission’s Estimated Reporting Time Per inclusion, and/or promotional ‘‘Freedom to Compete’’ Award. The Respondent: 10 hours. opportunities for qualified workers. The Award is designed to recognize Total Burden Hours: 1,000 hours. program or practice must involve one or employers, organizations and entities Federal Cost: None more of the following components: whose extraordinary efforts embody the Form—Nomination Form for the U.S. innovative leadership, outreach, EEOC’s mission of ensuring individuals Equal Employment Opportunity education, recruitment, training/ the freedom to compete in the Commission’s ‘‘Freedom To Compete’’ development, promotion, retention, workplace on a level playing field Award. and/or mentoring. regardless of race, color, gender, age, The Equal Employment Opportunity C. Nominees must report any national origin, religion or disability. Commission’s ‘‘Freedom to Compete’’ unresolved violations of state of Federal The Award will be presented to entities Award is designed to recognize law, or any pending Federal or state that have demonstrated exemplary organizations and individuals whose enforcement actions, any corrective efforts in promoting free and unfettered extraordinary efforts embody the actions or consent decrees that have access to opportunities in the EEOC’s mission of ensuring individuals resulted from litigation under the laws workplace. The Award will be based on the freedom to compete in the enforced by the Equal Employment nominations received from the public. workplace on a level playing field and Opportunity Commission.
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D. Recipients of this Award agree to staff, with final award determinations opportunity to comment on the participate in programs, meetings, and/ made by the EEOC Chair. following information collection(s), as or other collaborative efforts with the Location: The awards ceremony will required by the Paperwork Reduction Commission for the purpose of generally be held during the month of Act of 1995, Pub. L. No. 104–13. An publicizing the award-winning ____at a location to be determined by agency may not conduct or sponsor a program/effort, and agree to share the EEOC Chair. collection of information unless it information to assist other entities displays a currently valid control Paperwork Reduction Act Notice (Public seeking to replicate the program/effort. number. No person shall be subject to Law 104–13) Recipients agree to take part in any penalty for failing to comply with Commission efforts to promote the Persons are not required to respond to a collection of information subject to the ‘‘Freedom to Compete’’ Award and the a collection of information unless it Paperwork Reduction Act (PRA) that principles of free and fair workplace displays a currently valid Office of does not display a valid control number. competition that underlie the award. Management and Budget (OMB) control Comments are requested concerning (a) number. This collection of information whether the proposed collection of Nomination Submission Requirements is approved under OMB information is necessary for the proper This is an essay format (1,000 words number___(Expiration Date: ___). The performance of the functions of the or less) application. Programs/activities obligation to respond to this information Commission, including whether the must have been in place for at least one collection is voluntary; however, only information shall have practical utility; year and have measurable and nomination that follow the nomination (b) the accuracy of the Commission’s demonstrable results. procedures outlined in this notice will burden estimate; (c) ways to enhance Essays should include the following: receive consideration. The average time the quality, utility, and clarity of the • A profile of your organization—its to respond to this information collection information collected; and (d) ways to mission, size, number of employees, is estimated to be 10 hours per response; minimize the burden of the collection of nature of work, and, if a business, a including time for reviewing information on the respondents, description of its products/services, instructions, researching existing data including the use of automated assets and annual revenues. sources, gathering and maintaining the collection techniques or other forms of • A description of what led you to data needed, and completing and information technology. implement the program/practice. reviewing the collection of information. DATES: Persons wishing to comment on • How you went about developing the Submit comments regarding this this information collection should program/practice. Describe who was estimate; including suggestions for submit comments by February 2, 2004. involved, how it evolved, whether any reducing response time to the U.S. If you anticipate that you will be major obstacles were encountered and Equal Employment Opportunity submitting comments, but find it how they were overcome, and how long Commission, Office of the Chair, 1801 L difficult to do so within the period of the program/practice has been in place. Street, NW., Washington, DC 20507. time allowed by this notice, you should ___ • A description of the program/ Please reference to OMB Number . advise the contact listed below as soon practice. Explain the structure of the We are very interested in your thoughts as possible. and suggestions about your experience program/practice, how it is managed ADDRESSES: Direct all Paperwork in preparing and filing this nomination and measured, and who is accountable Reduction Act (PRA) comments to packet for the Equal Employment for results. Judith B. Herman, Federal Opportunity Commission’s Freedom to • Describe the level of executive Communications Commission, 445 12th Compete Award. Your comments will involvement in, and commitment to, the Street, SW., Room 1–C804, Washington, be very useful to the Commission in program/practice during both DC 20554 or via the internet to Judith- making improvements in our development and implementation. [email protected]. • A description of the tangible solicitation for nominations for this award in subsequent years. FOR FURTHER INFORMATION CONTACT: For results. Explain what makes your additional information or copies of the program/practice effective, and how it Dated: November 21, 2003. information collections contact Judith B. has positively affected the lives of your For the Commission. Herman at (202) 418–0214 or via the workers. Address how the program/ Cari M. Dominguez, internet at [email protected]. practice has helped to bring about free Chair. SUPPLEMENTARY INFORMATION: and fair competition in your workplace. [FR Doc. 03–29879 Filed 12–1–03; 8:45 am] OMB Control No.: 3060–0599. • A description of the joint activities BILLING CODE 6570–01–P Title: Implementation of Section 3(n) your organization and the EEOC could and 332 of the Communications Act. undertake to share the program/effort Form No.: N/A. with other entities and to promote the FEDERAL COMMUNICATIONS Type of Review: Extension of a principles of free and fair workplace COMMISSION currently approved collection. competition in partnership. Explain Respondents: Business or other for why others would find your program Notice of Public Information profit and state, local, or tribal valuable. Collection(s) Being Reviewed by the government. Timing and Acceptable Methods of Federal Communications Commission Number of Respondents: 45. Submission of Nominations: for Extension Under Delegated Estimated Time Per Response: 1.66 Nomination packages must be submitted Authority hours. to ____, 1801 L Street, NW., Frequency of Response: On occasion Washington, DC 20507 by ___, 2003. November 24, 2003. reporting requirement. Any application received or postmarked SUMMARY: The Federal Communications Total Annual Burden: 75 hours. after___ will not be considered. All Commission, as part of its continuing Annual Cost Burden: N/A. applications will be acknowledged effort to reduce paperwork burden Needs and Uses: The information The Administrative Review Process: invites the general public and other collected will create regulatory Nominations will be evaluated by EEOC Federal agencies to take this symmetry among similar mobile
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services. The symmetrical regulatory information collected; and (d) ways to Type of Review: Extension of a structure will promote competition in minimize the burden of the collection of currently approved collection. the mobile services marketplace and information on the respondents, Respondents: Business or other for- will serve the interests of consumers including the use of automated profit. while also benefiting the national collection techniques or other forms of Number of Respondents: 1,458 economy. information technology. respondents; 5,832 responses. Estimated Time Per Response: .75–5 OMB Control No.: 3060–0757. DATES: Written Paperwork Reduction hours. Title: FCC Auctions Customer Survey. Act (PRA) comments should be Frequency of Response: On occasion, Form No.: N/A. submitted on or before January 2, 2004. monthly, annual, semi-annual, and Type of Review: Extension of a If you anticipate that you will be biennial reporting requirements and currently approved collection. submitting comments, but find it third party disclosure requirement. Respondents: Individuals or difficult to do so within the period of Total Annual Burden: 27,702 hours. households, business or other for-profit time allowed by this notice, you should Total Annual Cost: N/A. entities. advise the contact listed below as soon Needs and Uses: Part 69 of the Number of Respondents: 2,000. as possible. Commission’s rules and regulations Estimated Time Per Response: .25 ADDRESSES: Direct all comments establishes the rules for access charges hours. regarding this Paperwork Reduction Act for interstate or foreign access provided Frequency of Response: On occasion submission to Judith B. Herman, Federal by telephone companies. Local reporting requirement. Communications Commission, Room 1– telephone companies and states are Total Annual Burden: 500 hours. C804, 445 12th Street, SW., Washington, required to submit information to the Annual Cost Burden: N/A. DC 20554 or via the Internet to Judith- Commission and/or the National Needs and Uses: The information will [email protected]. Exchange Carrier Association (NECA). be used by the Commission to evaluate FOR FURTHER INFORMATION CONTACT: For The information is used to compute the competitive bidding methodologies additional information or copies of the changes in tariffs for access service (or and other operational processes used to information collection(s), contact Judith origination and termination) and to date and to improve these techniques B. Herman at 202–418–0214 or via the computer revenue pool distributions. for use in future auctions. Internet at [email protected]. Federal Communications Commission. Federal Communications Commission. SUPPLEMENTARY INFORMATION: Marlene H. Dortch, Marlene H. Dortch, OMB Control No.: 3060–0093. Secretary. Title: Application for Renewal of Secretary. [FR Doc. 03–30005 Filed 12–1–03; 8:45 am] Radio Station License for Multipoint [FR Doc. 03–30004 Filed 12–1–03; 8:45 am] BILLING CODE 6712–01–P BILLING CODE 6712–01–P Distribution Service. Form No: FCC Form 405. Type of Review: Revision of a FEDERAL COMMUNICATIONS FEDERAL COMMUNICATIONS currently approved collection. COMMISSION COMMISSION Respondents: Business or other for- profit. Notice of Public Information Notice of Public Information Number of Respondents: 2,494. Collection(s) Being Reviewed by the Collection(s) Being Reviewed by the Estimated Time Per Response: 2.25 Federal Communications Commission Federal Communications Commission hours. Frequency of Response: On occasion November 21, 2003. November 24, 2003. reporting requirement. SUMMARY: The Federal Communications SUMMARY: The Federal Communications Total Annual Burden: 5,612 hours. Commission, as part of its continuing Commission, as part of its continuing Total Annual Cost: $1,048,000. effort to reduce paperwork burden effort to reduce paperwork burden Needs and Uses: FCC Form 405 is invites the general public and other invites the general public and other now being used by Multipoint Federal agencies to take this Federal agencies to take this Distribution Service (MDS) to apply for opportunity to comment on the opportunity to comment on the renewal of radio station licenses at the following information collection(s), as following information collection(s), as FCC. As a result of the Schedule S required by the Paperwork Reduction required by the Paperwork Reduction rulemaking, earth stations will file the Act of 1995, Pub. L. No. 104–13. An Act of 1995, Pub. L. No. 104–13. An new FCC Form 312–R in lieu of the FCC agency may not conduct or sponsor a agency may not conduct or sponsor a Form 405 to request renewals of their collection of information unless it collection of information unless it licenses. The FCC Form 312–R contains displays a currently valid control displays a currently valid control all of the data elements of the currently number. No person shall be subject to number. No person shall be subject to approved FCC Form 405. However, the any penalty for failing to comply with any penalty for failing to comply with name was changed to identify that the a collection of information subject to the a collection of information subject to the form is filed by earth station licenses for Paperwork Reduction Act (PRA) that Paperwork Reduction Act (PRA) that license renewals only. Additionally, the does not display a valid control number. does not display a valid control number. FCC Form 312–R is filed on the Comments are requested concerning (a) Comments are requested concerning (a) International Bureau Filing System whether the proposed collection of whether the proposed collection of (IBFS). The FCC Form 405 is available information is necessary for the proper information is necessary for the proper on the electronic Broadcast Licensing performance of the functions of the performance of the functions of the System (BLS) utilized by licensees and/ Commission, including whether the Commission, including whether the or by the Wireless Telecommunications information shall have practical utility; information shall have practical utility; Bureau staff. (b) the accuracy of the Commission’s (b) the accuracy of the Commission’s OMB Control No.: 3060–0292. burden estimate; (c) ways to enhance burden estimate; (c) ways to enhance Title: Part 69—Access Charges. the quality, utility, and clarity of the the quality, utility, and clarity of the Form No: N/A. information collected; and (d) ways to
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minimize the burden of the collection of conditions that may lead to degraded business days before the meeting. In information on the respondents, equipment performance and/or addition, oral statements at the meeting including the use of automated interference generation. Tower lighting by parties or entities not represented on collection techniques or other forms of records required are to ensure that the the NANC will be permitted to the information technology. licensee is aware of the tower light extent time permits. Such statements DATES: Written Paperwork Reduction condition and proper operation, in order will be limited to five minutes in length Act (PRA) comments should be to prevent and/or to correct any hazards by any one party or entity, and requests submitted on or before January 2, 2004. to air navigation. to make an oral statement must be If you anticipate that you will be Federal Communications Commission. received two business days before the submitting comments, but find it Marlene H. Dortch, meeting. difficult to do so within the period of Secretary. Proposed Agenda—Tuesday, January time allowed by this notice, you should [FR Doc. 03–30006 Filed 12–1–03; 8:45 am] 13, 2004, 9 a.m.* advise the contact listed below as soon as possible. BILLING CODE 6712–01–P 1. Announcements and Recent News. 2. Approval of Minutes of Prior ADDRESSES: Direct all comments Meeting. regarding this Paperwork Reduction Act FEDERAL COMMUNICATIONS 3. Report from NBANC. submission to Judith B. Herman, Federal COMMISSION 4. Report of NAPM, LLC. Communications Commission, Room 1– [CC Docket No. 92–237; DA 03–3723] 5. Report of the North American C804, 445 12th Street, SW., Washington, Numbering Plan Administrator DC 20554 or via the Internet to Judith- Next Meeting of the North American (NANPA). [email protected]. Numbering Council 6. Report of National Thousands FOR FURTHER INFORMATION CONTACT: For Block Pooling Administrator. additional information or copies of the AGENCY: Federal Communications 7. Status of Industry Numbering information collection(s), contact Judith Commission. Committee (INC) activities. B. Herman at 202–418–0214 or via the ACTION: Notice. 8. Reports from Issues Management Internet at [email protected]. Groups (IMGs). SUMMARY: SUPPLEMENTARY INFORMATION: On November 26, 2003, the 9. Report of Local Number Portability OMB Control No.: 3060–0270. Commission released a public notice Administration (LNPA) Working Group. announcing the January 13, 2004 Title: Section 90.443, Content of —Wireless Number Portability meeting and agenda of the North Station Records. Operations (WNPO) Subcommittee Form No: N/A. American Numbering Council (NANC). The intended effect of this action is to 10. Report of Numbering Oversight Type of Review: Extension of a Working Group (NOWG). currently approved collection. make the public aware of the NANC’s next meeting and its agenda. 11. Report of Cost Recovery Working Respondents: Individuals or Group. households, business or other for-profit, DATES: Tuesday, January 13, 2004, 9 12. Special Presentations. not-for-profit institutions, and state, a.m. 13. Update List of NANC local or tribal governments. ADDRESSES: Telecommunications Accomplishments. Number of Respondents: 57,410. Access Policy Division, Wireline 14. Summary of Action Items. Estimated Time Per Response: .083 Competition Bureau, Federal 15. Public Comments and hours. Communications Commission, The Participation (5 minutes per speaker). Frequency of Response: On occasion Portals II, 445 12th Street, SW., Suite 5– 16. Other Business. reporting requirement and A420, Washington, DC 20554. Requests Adjourn no later than 5 p.m. recordkeeping requirement. to make an oral statement or provide Next Meeting: Tuesday, March 16, Total Annual Burden: 4,765 hours. 2004. Total Annual Cost: N/A. written comments to the NANC should Needs and Uses: This rule section be sent to Deborah Blue. llllll requires antenna structure owners to: (1) FOR FURTHER INFORMATION CONTACT: *The Agenda may be modified at the Register the antenna structure with the Deborah Blue, Special Assistant to the discretion of the NANC Chairman with the Commission; (2) maintain the painting Designated Federal Officer (DFO) at approval of the DFO. and lighting of the structure; (3) notify (202) 418–1466 or Federal Communications Commission. the Commission of changes in height, [email protected]. The fax number Cheryl L. Callahan, coordinates, ownership, painting, or is: (202) 418–2345. The TTY number is: Assistant Chief, Telecommunications Access lighting of the structure; and (4) notify (202) 418–0484. Policy Division, Wireline Competition Bureau. the Commission upon dismantling of SUPPLEMENTARY INFORMATION: Released: [FR Doc. 03–29920 Filed 12–1–03; 8:45 am] the structure. Section 90.433 of the November 26, 2003. BILLING CODE 6712–01–P Commission’s rules, sets forth the The North American Numbering recordkeeping requirement which is to Council (NANC) has scheduled a be maintained by station licensees. meeting to be held Tuesday, January 13, FEDERAL COMMUNICATIONS These records will reflect whether or 2004, from 9 a.m. until 5 p.m. The COMMISSION not maintenance of the licensee’s meeting will be held at the Federal [Report No. 2639] equipment has been performed, and in Communications Commission, Portals instances of tower light checks and II, 445 12th Street, SW., Room TW– Petitions for Reconsideration of Action failures, if any, will indicate to the C305, Washington, DC. This meeting is in Rulemaking Proceeding Commission that corrective action has open to members of the general public. been taken. The maintenance records The FCC will attempt to accommodate November 25, 2003. may be used by the licensee or as many participants as possible. The Petitions for Reconsideration have Commission field personnel to note any public may submit written statements to been filed in the Commission’s recurring equipment problems or the NANC, which must be received two Rulemaking proceeding listed in this
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Public Notice and published pursuant to Board of Governors of the Federal Reserve 1. Valley Financial Group, Ltd., 47 CFR section 1.429(e). The full text of System, November 25, 2003. Saginaw, Michigan; to become a bank this document is available for viewing Robert deV. Frierson, holding company by acquiring 100 and copying in Room CY–A257, 445 Deputy Secretary of the Board. percent of the voting shares of 1st State 12th Street, SW., Washington, DC or [FR Doc. 03–29890 Filed 12–1–03; 8:45 am] Bank, Saginaw, Michigan. may be purchased from the BILLING CODE 6210–01–S Board of Governors of the Federal Reserve Commission’s copy contractor, Qualex System, November 25, 2003. International, (202) 863–2893. Robert deV. Frierson, Oppositions to these petitions must be FEDERAL RESERVE SYSTEM Deputy Secretary of the Board. filed by December 17, 2003. See section [FR Doc. 03–29889 Filed 12–1–03; 8:45 am] 1.4(b)(1) of the Commission’s rules (47 Formations of, Acquisitions by, and CFR 1.4(b)(1)). Replies to an opposition Mergers of Bank Holding Companies BILLING CODE 6210–01–S must be filed within 10 days after the time for filing oppositions have expired. The companies listed in this notice have applied to the Board for approval, FEDERAL RESERVE SYSTEM Subject: In the Matter of the Table of pursuant to the Bank Holding Company Allotments FM Broadcast Stations Act of 1956 (12 U.S.C. 1841 et seq.) Sunshine Act Meeting (Crisfield, Maryland, Belle Haven, (BHC Act), Regulation Y (12 CFR Part Nassawadox, Exmore, and Poquoson, AGENCY HOLDING THE MEETING: Board of Virginia) (MM Docket No. 02–76, RM– 225), and all other applicable statutes Governors of the Federal Reserve 10405, RM–10499) and regulations to become a bank System. holding company and/or to acquire the Number of Petitions Filed: 2. TIME AND DATE: 12:00 p.m., Monday, assets or the ownership of, control of, or December 8, 2003. Marlene H. Dortch, the power to vote shares of a bank or PLACE: Marriner S. Eccles Federal Secretary. bank holding company and all of the banks and nonbanking companies Reserve Board Building, 20th and C [FR Doc. 03–30009 Filed 12–1–03; 8:45 am] owned by the bank holding company, Streets NW., Washington, DC 20551. BILLING CODE 6712–01–M including the companies listed below. STATUS: Closed. The applications listed below, as well MATTERS TO BE CONSIDERED: as other related filings required by the 1. Personnel actions (appointments, FEDERAL RESERVE SYSTEM Board, are available for immediate promotions, assignments, inspection at the Federal Reserve Bank reassignments, and salary actions) Change in Bank Control Notices; indicated. The application also will be involving individual Federal Reserve Acquisition of Shares of Bank or Bank available for inspection at the offices of System employees. Holding Companies the Board of Governors. Interested 2. Any items carried forward from a persons may express their views in previously announced meeting. The notificants listed below have writing on the standards enumerated in applied under the Change in Bank FOR FURTHER INFORMATION CONTACT: the BHC Act (12 U.S.C. 1842(c)). If the Control Act (12 U.S.C. 1817(j)) and Michelle A. Smith, Director, Office of proposal also involves the acquisition of § 225.41 of the Board’s Regulation Y (12 Board Members; (202) 452–2955. a nonbanking company, the review also CFR 225.41) to acquire a bank or bank SUPPLEMENTARY INFORMATION: You may includes whether the acquisition of the holding company. The factors that are call (202) 452–3206 beginning at nonbanking company complies with the considered in acting on the notices are approximately 5 p.m. two business days standards in section 4 of the BHC Act set forth in paragraph 7 of the Act (12 before the meeting for a recorded (12 U.S.C. 1843). Unless otherwise U.S.C. 1817(j)(7)). announcement of bank and bank noted, nonbanking activities will be The notices are available for holding company applications conducted throughout the United States. immediate inspection at the Federal scheduled for the meeting; or you may Additional information on all bank Reserve Bank indicated. The notices contact the Board’s Web site at http:// holding companies may be obtained also will be available for inspection at www.federalreserve.gov for an electronic from the National Information Center the office of the Board of Governors. announcement that not only lists website at www.ffiec.gov/nic/. Interested persons may express their applications, but also indicates views in writing to the Reserve Bank Unless otherwise noted, comments procedural and other information about indicated for that notice or to the offices regarding each of these applications the meeting. must be received at the Reserve Bank of the Board of Governors. Comments Board of Governors of the Federal Reserve must be received not later than indicated or the offices of the Board of System, November 28, 2003. Governors not later than December 26, December 15, 2003. Robert deV. Frierson, 2003. A. Federal Reserve Bank of Deputy Secretary of the Board. A. Federal Reserve Bank of Atlanta Minneapolis (Richard M. Todd, Vice [FR Doc. 03–30130 Filed 11–28–03; 2:12 pm] President and Community Affairs (Sue Costello, Vice President) 1000 BILLING CODE 6210–01–S Officer) 90 Hennepin Avenue, Peachtree Street, N.E., Atlanta, Georgia Minneapolis, Minnesota 55480-0291: 30303: 1. Connie Sue Hoff, Curtis Robert 1. Sterling BancGroup, Inc., Lantana, Sheely, and Brian Dean Wolff, all of Florida; to become a bank holding FEDERAL TRADE COMMISSION Adams, Minnesota; to acquire company by acquiring 100 percent of additional voting shares of Adams the voting shares of Sterling Bank, Disclosure Requirements and Bancshares, Inc., Adams, Minnesota; Lantana, Florida. Prohibitions Concerning Franchising and thereby indirectly acquire B. Federal Reserve Bank of Chicago and Business Opportunity Ventures additional voting shares of Farmers (Patrick Wilder, Managing Examiner) AGENCY: Federal Trade Commission. State Bank of Adams, Adams, 230 South LaSalle Street, Chicago, ACTION: Grant of petition for exemption. Minnesota. Illinois 60690-1414:
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SUMMARY: On March 31, 2003, the ‘‘necessary to prevent the unfair or accomplishes what the Rule was Commission published a notice in the deceptive act or practice to which the intended to ensure. The conditions most Federal Register soliciting comments on rule relates.’’ If not, an exemption is likely to lead to abuses are not present a petition filed by Paccar, Inc., in warranted. in the sale of the dealerships, and the connection with its sale of Kenworth The pre-sale disclosures required by process generates sufficient information and Peterbilt truck dealerships. The the Franchise Rule are designed to to ensure that applicants will be able to Commission now grants the petition and prevent deceptive acts or practices. The make an informed investment decision. determines that the provisions of 16 Rule requires franchisors to provide For these reasons, the Commission finds CFR part 436 shall not apply to the investors with the material information that the application of the Franchise advertising, offering, licensing, they need to make an informed Rule to Petitioner’s sale of Paccar contracting, sale or other promotion of investment decision in circumstances dealerships is not necessary to prevent Paccar dealerships. where they might otherwise lack the the unfair or deceptive acts or practices EFFECTIVE DATE: December 2, 2003. resources, knowledge, or ability to to which the Rule relates. FOR FURTHER INFORMATION CONTACT: obtain the information, and thus protect Accordingly, the Commission has Steven Toporoff, Room 238, Federal themselves from the deception. determined that the provisions of 16 The abuses that the disclosure remedy Trade Commission, Washington, D.C. CFR part 436 shall not apply to the of the Franchise Rule is designed to 20580; (202) 326–3135. advertising, offering, licensing, prevent are most likely to occur, as the contracting, sale or other promotion of SUPPLEMENTARY INFORMATION: Statement of Basis and Purpose of the dealerships by Paccar, Inc. This opinion Before the Federal Trade Commission, Rule notes, in sales where three factors is based on the information submitted Order Granting Exemption are present: and representations made in Paccar, In the Matter of a Petition for (1) A potential investor has a relative lack Inc.’s petition. The grant of the petition Exemption from the Trade Regulation of business experience and sophistication; applies only to the extent that actual Rule Entitled ‘‘Disclosure Requirements (2) The investor has inadequate time to company practices conform to the review and comprehend the unique and often practices described in the petition. and Prohibitions Concerning complex terms of the franchise agreement Franchising and Business Opportunity before making a major financial commitment; Issued: November 10, 2003. Ventures’’ filed by Paccar, Inc. and It is so ordered. On March 31, 2003, the Commission (3) A significant information imbalance By the Commission. published a notice in the Federal exists in which the prospective franchisee is Donald S. Clark, Register soliciting comments on a unable to obtain essential and relevant facts Secretary. known to the franchisor about the petition filed by Paccar, Inc. (‘‘Paccar’’ [FR Doc. 03–29922 Filed 12–1–03; 8:45 am] investment. or ‘‘Petitioner’’). Paccar manufactures BILLING CODE 6750–01–M heavy-duty and medium-duty trucks, The petition demonstrates that parts, and accessories, which it potential Paccar dealers are and will distributes through a network of 131 continue to be a select group of FEDERAL TRADE COMMISSION dealers operating under the name sophisticated and experienced ‘‘Kenworth’’ or ‘‘Peterbilt.’’ The dealers businesspeople; that they make very Disclosure Requirements and also offer and perform warranty repair significant investments; and that they Prohibitions Concerning Franchising and bodywork; sell, rent, or lease used have more than adequate time to and Business Opportunity Ventures vehicles; and offer financing and consider the dealership offer and obtain AGENCY: Federal Trade Commission. insurance in connection with truck information about it before investing. In sales. Most of these dealers have been in particular, we note that the purchase of ACTION: Grant of petition for exemption. business for 10 years or more; one-third a Paccar dealership costs in excess of $2 SUMMARY: On March 31, 2003, the have been Paccar dealers for more than million. As a practical matter, commission published a notice in the 20 years. The petition sought an investments of this size and scope Federal Register soliciting comments on exemption, pursuant to Section 18(g) of typically involve knowledgeable a petition filed by Rolls-Royce Corp., in the Federal Trade Commission Act, investors, the use of independent connection with its sale of engine from coverage under the Commission’s business and legal advisors, and an maintenance centers. The Commission Trade Regulation Rule entitled extended period of negotiation that now grants the petition and determines ‘‘Disclosure Requirements and generates the exchange of information that the provisions of 16 CFR Part 436 Prohibitions Concerning Franchising necessary to ensure that investment shall not apply to the advertising, and Business Opportunity Ventures’’ decisions are the product of an informed offering, licensing, contracting, sale or (‘‘Franchise Rule’’). assessment of potential risks and other promotion of Rolls-Royce engine In accordance with Section 18(g), the benefits. maintenance centers. Commission conducted an exemption The Commission has reviewed the proceeding under Section 553 of the potential for unfair or deceptive acts or EFFECTIVE DATE: December 2, 2003. Administrative Procedure Act, 5 U.S.C. practices in connection with the offer of FOR FURTHER INFORMATION CONTACT: 553, and invited public comment during Paccar dealerships and found no Steven Toporoff, Room 238, Federal a 60-day period ending May 30, 2003. evidence or likelihood of a significant Trade Commission, Washington, DC No comments were received. After patter or practice of abuse. If any such 20580; (202) 326–3135. reviewing the petition, the Commission evidence exists, it has not yet been SUPPLEMENTARY INFORMATION: has concluded that the Petitioner’s brought to the Commission’s attention Before the Federal Trade Commission request should be granted. in this proceeding. The statutory standard for exemption Thus, both the record in this Order Granting Exemption requires the Commission to determine proceeding, and all prior experience to In the Matter of a Petition for whether application of the Trade date with other Franchise Rule Exemption from the Trade Regulation Regulation Rule to the person or class of exemptions, support the conclusion that Rule Entitled ‘‘Disclosure Requirements persons seeking exemption is Petitioner’s sale of Paccar dealerships and Prohibitions Concerning
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Franchising and Business Opportunity complex terms of the franchise agreement center franchises is not necessary to Ventures’’ filed by Rolls-Royce Corp. before making a major financial commitment; prevent the unfair or deceptive acts or On March 31, 2003, the Commission and practices to which the Rule relates. published a notice in the Federal (3) A significant information imbalance exists in which the prospective franchisee is Accordingly, the Commission has Register soliciting comments on a unable to obtain essential and relevant facts determined that the provisions of 16 petition filed by Rolls-Royce Corp. known to the franchisor about the CFR Part 436 shall not apply to the (‘‘Rolls-Royce’’ or ‘‘Petitioner’’). Rolls- investment. advertising, offering, licensing, Royce sells maintenance center The petition demonstrates that contracting, sale or other promotion of franchises to service its turboprop, potential maintenance center maintenance centers by Rolls-Royce turbofan, and industrial gas turbine franchisees are and will continue to be Corp. This opinion is based on the engines. The petition sought an a select group of highly sophisticated information submitted and exemption, pursuant to Section 18(g) of and experienced businesspeople; that representations made in Rolls-Royce’s the Federal Trade Commission Act, they make very significant investments; petition. The grant of the petition from coverage under the Commission’s and that they have more than adequate applies only to the extent that actual Trade Regulation rule entitled time to consider the dealership offer and company practices conform to the ‘‘Disclosure Requirements and obtain information about it before practices described in the petition. Prohibitions Concerning Franchising investing. Issued: November 10, 2003. and Business Opportunity Ventures’’ In particular, we note that the (‘‘Franchise Rule’’). It is so ordered. purchase of a Rolls-Royce maintenance By the Commission. In accordance with Section 18(g), the center is among the most costly of Donald S. Clark, Commission conducted an exemption franchise offerings. On average, the proceeding under Section 553 of the maintenance centers have Secretary. Administrative Procedure Act, 5 U.S.C. approximately $10 million in assets, [FR Doc. 03–29923 Filed 12–01–03; 8:45 am] 553, and invited public comment during excluding land and buildings. As a BILLING CODE 6750–01–M a 60-day period ending May 30, 2003. practical matter, investments of this size No comments were received. After and scope typically involve reviewing the petition, the Commission knowledgeable investors, the use of FEDERAL TRADE COMMISSION has concluded that the Petitioner’s independent business and legal Granting of Request for Early request should be granted. advisors, and an extended period of Termination of the Waiting Period The statutory standard for exemption negotiation that generates the exchange Under the Premerger Notification requires the Commission to determine of information necessary to ensure that Rules whether application of the Trade investment decisions are the product of Regulation Rule to the person or class of an informed assessment of the potential persons seeking exemption is Section 7A of the Clayton Act, 15 risks and benefits. U.S.C. 18a, as added by Title II of the ‘‘necessary to prevent the unfair or The Commission has reviewed the Hart-Scott-Rodino Antitrust deceptive act or practice to which the potential for unfair or deceptive acts or Improvements Act of 1976, requires rule relates.’’ If not, an exemption is practices in connection with the offer of persons contemplating certain mergers warranted. Rolls-Royce maintenance centers and The pre-sale disclosures required by found no evidence or likelihood of a or acquisitions to give the Federal Trade the Franchise Rule are designed to significant pattern or practice of abuse. Commission and the Assistant Attorney prevent deceptive acts or practices. The If any such evidence exists, it has not General advance notice and to wait Rule requires franchisors to provide yet been brought to the Commission’s designated periods before investors with the material information attention in this proceeding. consummation of such plans. Section they need to make an informed Thus, both the record in this 7A(b)(2) of the Act permits the agencies, investment decision in circumstances proceeding and all prior experience to in individual cases, to terminate this where they might otherwise lack the date with other Franchise Rule waiting period prior to its expiration resources, knowledge, or ability to exemptions support the conclusion that and requires that notice of this action be obtain the information, and thus protect Petitioner’s sale of Rolls-Royce published in the Federal Register. themselves from deception. maintenance centers accomplishes what The following transactions were The abuses that the disclosure remedy the Rule was intended to ensure. The granted early termination of the waiting of the Franchise Rule is designed to conditions most likely to lead to abuses period provided by law and the prevent are most likely to occur, as the are not present in the sale of the premerger notification rules. The grants Statement of Basis and Purpose of the maintenance centers, and the process wee made by the Federal Trade Rule notes, in sales where three factors generates sufficient information to Commission and the Assistant Attorney are present: ensure that applicants will be able to General for the Antitrust Division of the (1) A potential investor has a relative lack make an informed investment decision. Department of Justice. Neither agency of business experience and sophistication; For these reasons, the Commission finds intends to take any action with respect (2) The investor has inadequate time to that the application of the Franchise to these proposed acquisitions during review and comprehend the unique and often Rule to Petitioner’s sale of maintenance the applicable waiting period.
TRANSACTION GRANTED EARLY TERMINATION
Et req ET date Trans num status Party name
06–OCT–03 ...... 20030983 G Lehman Brothers Holdings Inc. G Brad K. Heppner. G Capital Analytics, LP. G Crossroads Corporate Advisers, LP.
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TRANSACTION GRANTED EARLY TERMINATION—Continued
Et req ET date Trans num status Party name
G Crossroads Corporate Investors II, LP. G Crossroads Investment Company, LP. G e-Valuate, LP. G The Main Office Management Company, LP. G Crossroads Investment Advisers, LP. G Crossroads Cornerstone Partners, LP. G Crossroads Corporate Investors, LP. G Security Assurance Advisers, LP. 20031004 G Companhia Siderurgica Nacional. G Tilcia Rodriguez de Vergara. G Tangua Incorporated. 20031007 G Companhia Siderurgica Nacional. G Eduardo Valdes Aleman. G Tangua Incorporated. 20031014 G TA IX L.P. G Dr. Howard Schilit. G Center for Financial Research & Analysis, Inc. 08–OCT–03 ...... 20030963 G Warburg Pincus Private Equity VIII, L.P. G Proxim Corporation. G Proxim Corporation. 20030999 G The Procter & Gamble Company. G W.L. Gore & Associates, Inc. G W.L. Gore & Associates, Inc. 20031010 G eCollege.com. G Leeds Equity Partners III, LP. G DataMark Inc. 10–OCT–03 ...... 20031003 G Mr. Raul Alarcon, Jr. G International Church of the Foursquare Gospel. G KSFG–FM Station. 20031018 G Essent Healthcare, Inc. G CHRISTUS Health. G CHRISTUS St. Joseph’s Health System. G PTCOP, Inc. 14–OCT–03 ...... 20030680 G Dean Foods Company. G Vestar Capital Partners IV, L.P. G M-Foods Dairy, LLC. G M-Foods Dairy, TXCT, LLC. 20030966 Y Scientific Games Corporation. Y International Game Technology. Y IGT Online Entertainment Systems, Inc. 15–OCT–03 ...... 20030997 G Nelson A. Carbonell, Jr. G Cysive, Inc. G Cysive, Inc. 20031013 G William I. Koch. G Walter Industries, Inc. G Applied Industrial Material Corporation. 20040012 G FTI Consulting, Inc. G Lawrence J. Ellison. G Lexecon, Inc. G ERG Acquisition Corp. G CE Acquisition Corp. 20040013 G FTI Consulting, Inc. G Micahel R. Milken. G Lexecon, Inc. G CE Acquisition Corp. G ERG Acquisition Corp. 16–OCT–03 ...... 20030618 G GenCorp Inc. G Norman E. Alexander. G Atlantic Research Corporation. 20040014 G Silicon Laboratories Inc. G Cygnal Integrated Products, Inc. G Cygnal Integrated Products, Inc. 20–OCT–03 ...... 20030982 G DLJ Merchant Banking Partners II, L.P. G The Lehigh Press, Inc. G The Lehigh Press, Inc. 20040004 G HSBC Holding plc. G Roxanne Quimby. G Burt’s Bees, Inc. 21–OCT–03 ...... 20040005 G LBO France Gestion SAS. G Speciality Materials Investors. G Materis Participations.
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TRANSACTION GRANTED EARLY TERMINATION—Continued
Et req ET date Trans num status Party name
20040029 G AT&T Wireless Services, Inc. G AT&T Wireless Services, Inc. G Pittsburgh Cellular Telephone Company. 20040033 G SBC Communications Inc. G Allen Salmasi. G Nextwave Personal Communications Services. 23–OCT–03 ...... 20040027 G Stage Stores, Inc. G Kelso Investment Associates V, L.P. G PHC Retain Holding Company. 20040042 G Marubeni Corporation. G Exelon Corporation. G Sithe International Inc. 24–OCT–03 ...... 20040008 G Morganthaler Partners VII, L.P. G Robert Burch. G Jonathan Manufacturing Corp. 20040019 G Carl C. Icahn. G Philip Services Corp. G Philip Services Corp. 20040030 G UBS AG. G ABN AMRO Holding N.V. G ABN AMRO Inc. 20040034 G TT Electronics PLC. G Robert R. Dyson. G Optek Technology, Inc. 20040036 G George A. Steiner Trust. G Michael R. Kelly. G National Service Industries, Inc. 20040036 G George A. Steiner Trust. G Michael R. Kelly. G National Service Industries, Inc. 20040038 G APAX Europe V–A L.P. G IFCO Systems N.V. G IFCO Systems N.V. 27–OCT–03 ...... 20031017 G TBC Corporation. G Sears, Roebuck and Co. G NTW Incorporated. 20040032 G Aggregate Industries plc. G Floyd A. Meldrum. G Southern Nevada Paving Company, Inc. 20040040 G SBC Communications, Inc. G AT&T Wireless Services, Inc. G Pinnacle Cellular Limited Partnership. G Worcester Telephone Company. 28–OCT–03 ...... 20040037 G FTI Consulting, Inc. G KPMG, LLP. G KPMG, LLP. 20040051 G Thomas H. Lee Equity Fund V, L.P. G Vestar Capital Partners IV, L.P. G M-Foods Holdings, Inc. 29–OCT–03 ...... 20040035 G Armor Holdings, Inc. G Simula, Inc. G Simula, Inc. 20040047 G Carl C. Icahn. G Eastman Kodak Company. G Eastman Kodak Company. 30–OCT–03 ...... 20040065 G K2 Inc. G Brass Eagle Inc. G Brass Eagle Inc. 31–OCT–03 ...... 20040002 G MeadWestvaco Corporation. G Sunrise Capital Partners, L.P. G Day Runner, Inc. G Day Runner, Inc. G Day Runner Direct, Inc. G Day Runner Hong Kong Limited. 20040003 G MeadWestvaco Corporation. G Day Holdings, LLC. G Day Runner, Inc. G Day Runner Direct, Inc. G Day Runner Hong Kong Limited. 20040052 G NetScreen Technologies, Inc. G Neoteris, Inc.
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TRANSACTION GRANTED EARLY TERMINATION—Continued
Et req ET date Trans num status Party name
G Neoteris, Inc. 20040063 G Bookham Technology plc. G New Focus, Inc. G New Focus, Inc.
FOR FURTHER INFORMATION CONTACT: 2.34, notice is hereby given that the U.S.C. § 45, by facilitating and Sandra M. Peay, Contact Representative, above-captioned consent agreement implementing agreements among or Renee Hallman, Legal Technician, containing a consent order to cease and MHHNP members on price and other Federal Trade Commission, Premerger desist, having been filed with and competitively significant terms; refusing Notification Office, Bureau of accepted, subject to final approval, by to deal with payors except on Competition, Room H–303, Washington, the Commission, has been placed on the collectively agreed-upon terms; and DC 20580, (202) 326–3100. public record for a period of thirty (30) negotiating uniform fees and other By Direction of the Commission. days. The following Analysis to Aid competitively significant terms in payor Donald S. Clark, Public Comment describes the terms of contracts and refusing to submit to the consent agreement, and the members payor offers that do not Secretary allegations in the complaint. An conform to Respondent’s standards for [FR Doc. 03–29924 Filed 12–1–03; 8:45 am] electronic copy of the full text of the contracts. BILLING CODE 6750–01–M consent agreement package can be The proposed consent order has been obtained from the FTC Home Page (for placed on the public record for 30 days November 25, 2003), on the World Wide to receive comments from interested FEDERAL TRADE COMMISSION Web, at http://www.ftc.gov/os/2003/11/ persons. Comments received during this [File No. 031 0001] index.htm. A paper copy can be period will become part of the public obtained from the FTC Public Reference record. After 30 days, the Commission Memorial Hermann Health Network Room, Room 130–H, 600 Pennsylvania will review the agreement and the Providers; Analysis To Aid Public Avenue, NW., Washington, DC 20580, comments received, and will decide Comment either in person or by calling (202) 326– whether it should withdraw from the AGENCY: Federal Trade Commission. 2222. agreement or make the proposed order Public comments are invited, and may final. The purpose of this analysis is to ACTION: Proposed consent agreement. be filed with the Commission in either facilitate public comment on the SUMMARY: The consent agreement in this paper or electronic form. Comments proposed order. The analysis is not matter settles alleged violations of filed in paper form should be directed intended to constitute an official federal law prohibiting unfair or to: FTC/Office of the Secretary, Room interpretation of the agreement and deceptive acts or practices or unfair 159–H, 600 Pennsylvania Avenue, NW., proposed order, or to modify their terms methods of competition. The attached Washington, DC 20580. If a comment in any way. Further, the proposed Analysis to Aid Public Comment contains nonpublic information, it must consent order has been entered into for describes both the allegations in the be filed in paper form, and the first page settlement purposes only and does not draft complaint that accompanies the of the document must be clearly labeled constitute an admission by Respondent consent agreement and the terms of the ‘‘confidential.’’ Comments that do not that it violated the law or that the facts consent order—embodied in the consent contain any nonpublic information may alleged in the complaint (other than agreement—that would settle these instead be filed in electronic form (in jurisdictional facts) are true. The allegations. ASCII format, WordPerfect, or Microsoft allegations in the Commission’s Word) as part of or as an attachment to DATES: Comments must be received on proposed complaint are summarized or before December 24, 2003. e-mail messages directed to the below. following e-mail box: ADDRESSES: The Complaint Comments filed in paper [email protected]. Such form should be directed to: FTC/Office comments will be considered by the Respondent MHHNP is a nonprofit of the Secretary, Room 159–H, 600 Commission and will be available for corporation that contracts with third- Pennsylvania Avenue, NW., inspection and copying at its principal party payors for the provision of Washington, DC 20580. Comments filed office in accordance with Section medical services on behalf of its in electronic form should be directed to: 4.9(b)(6)(ii) of the Commission’s Rules approximately 3,000 participating [email protected], as of Practice, 16 CFR 4.9(b)(6)(ii)). physicians. MHHNP is organized and prescribed in the SUPPLEMENTARY operated to further the pecuniary INFORMATION section. Analysis of Agreement Containing interests of those physicians, who are FOR FURTHER INFORMATION CONTACT: Consent Order To Aid Public Comment licensed to practice medicine in the Alan Loughnan or Barbara Anthony, The Federal Trade Commission has State of Texas and who are engaged in FTC Northeast Regional Office, One accepted, subject to final approval, an the business of providing medical Bowling Green, Suite 318, New York, agreement containing a proposed services to patients in the Houston NY 10004. (212) 607–2809. consent order with Memorial Hermann metropolitan area (hereinafter ‘‘Houston SUPPLEMENTARY INFORMATION: Pursuant Health Network Providers area’’). to Section 6(f) of the Federal Trade (‘‘Respondent’’ or ‘‘MHHNP’’). The Physicians often contract with third- Commission Act, 38 Stat. 721, 15 U.S.C. agreement settles charges that party payors, such as insurance 46(f), and Section 2.34 of the Respondent violated Section 5 of the companies and preferred provider Commission’s Rules of Practice, 16 CFR Federal Trade Commission Act, 15 organizations. The contracts typically
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establish the price and other terms behalf with third party payors. payor increased its proposed fees to the under which the physicians will render MHHNP’s improper collective MHHNP fee minimums, and MHHNP services to the payors’ subscribers. negotiations included actively then entered into a contract with the Contracting physicians often agree to bargaining with third-party payors by payor and messengered the agreement to accept lower-than-customary proposing and counter-proposing fee its physician members, affording them compensation from these third-party schedules (among other terms), the option to participate (or not) in the payors to gain access to additional gathering fee information from its payor’s offer. patients through the payor. Thus, these members and using that information to Since the end of 2000, MHHNP and contracts may reduce payor costs, and negotiate prices, refusing to messenger its members have entered only into fee- may result in lower medical care costs proposals it deemed unacceptable on for-service agreements with payors, to the payor’s subscribers. price and other terms, and, to maintain pursuant to which MHHNP and its Absent agreements among competing its bargaining power, on occasion members did not undertake financial physicians, each competing physician discouraging its participating physicians risk-sharing. Further, MHHNP members decides for him or herself whether, and from entering into unilateral agreements have not integrated their practices to on what price and other terms, the with third-party payors. For example, create significant potential efficiencies. physician will contract with third-party MHHNP periodically polled its MHHNP’s joint negotiation of fees and payors to provide medical services to physician members, asking each to other competitively significant terms the payors’ subscribers. To be disclose the minimum fee that he or she has not been, and is not, reasonably competitively marketable in the would accept in return for providing related to any efficiency-enhancing Houston area, a payor must include in medical services pursuant to future integration. Instead, MHHNP’s acts and its physician network a large number of MHHNP-payor agreements. MHHNP primary care physicians (PCPs) and practices have restrained trade would then calculate minimum unreasonably and hindered competition specialists who practice in the Houston acceptable fees for use in payor area. Many of the PCPs and specialists in the provision of physician services in negotiations, based in part on the the Houston area in the following ways, who practice in the Houston area are information received from physician members of MHHNP. Accordingly, among others: price and other forms of members concerning their future pricing competition among MHHNP’s members many payors concluded that they could intentions, and would often begin not establish a viable physician network were unreasonably restrained; prices for discussions regarding a possible physician services were increased; and in areas in which MHHNP physicians contract for physician services by are concentrated without including a health plans, employers, and individual informing the payor of these minimum consumers were deprived of the benefits large number of MHHNP physicians in fees, and stating that it would not enter that network. of competition among physicians. Thus, Sometimes a network of competing into or otherwise forward to its MHHNP’s conduct has harmed patients physicians uses an agent to convey to physician members any payor offer that and other purchasers of medical payors information, obtained from each did not satisfy those fee minimums. services by restricting choice of In the course of its collective price of its participating physicians providers and increasing the price of negotiations with payors, MHHNP in individually, about fees and other medical services. fact often did not convey to its significant contract terms that the The Proposed Consent Order physicians are willing to accept. In physician members payor offers that other instances, the agent may convey provided for fees that did not satisfy The proposed consent order is all payor contract offers to network MHHNP’s Board of Directors. MHHNP designed to prevent recurrence of the physicians, with each physician then instead demanded, and often received, illegal concerted actions alleged in the unilaterally deciding whether to accept more favorable fee and other contract complaint while allowing Respondent or reject each offer. These ‘‘messenger terms—terms that third-party payors and its members to engage in legitimate model’’ arrangements, which are would not have offered to MHHNP’s joint conduct. described in the 1996 Statements of participating physicians had those physicians engaged in unilateral, rather Paragraph II.A prohibits Respondent Antitrust Enforcement Policy in Health from entering into or facilitating Care jointly issued by the Federal Trade than collective, negotiations with the payors. Only after the third-party payor agreements among physicians: (1) To Commission and U.S. Department of negotiate on behalf of any physician Justice (see http://www.ftc.gov/reports/ acceded to fee and other contract terms acceptable to MHHNP, would MHHNP with any payor; (2) to deal, refuse to hlth3s.htm), can facilitate contracting deal, or threaten to refuse to deal with between physicians and payors and convey the payor’s proposed contract to MHHNP’s participating physicians for any payor; (3) regarding any term upon minimize the costs of providing medical which any physicians deal, or are care, without fostering agreements their consideration. For example, in one instance MHHNP refused a payor’s willing to deal, with any payor; and (4) among competing physicians on fees not to deal individually with any payor and other competitively sensitive terms. request to messenger an offer MHHNP’s Board deemed unacceptable. Instead, or through any arrangement other than The messenger may not, consistent with MHHNP. the competitive model, negotiate fees MHHNP notified its members that it had and other competitively significant rejected the offer because it was below Paragraph II.B prohibits Respondent terms on behalf of the participating the minimum acceptable fee level from exchanging or facilitating the physicians, nor facilitate the physicians’ previously set pursuant to physician transfer of information among coordinated responses to contract offers, member surveys, and then ‘‘polled’’ its physicians concerning any physician’s for example, by electing not to convey members to determine whether or not willingness to deal with a payor, or the a payor’s offer to the physicians based they agreed with the Board’s decision to terms or conditions, including price on the messenger’s opinion of the reject the offer. A majority of physician terms, on which the physician is willing acceptability or appropriateness of the members voted to agree with the Board’s to deal. offer. decision, and MHHNP then again Paragraph II.C prohibits Respondent Rather than acting simply as a rejected the payor’s offer and explicitly from attempting to engage in any action ‘‘messenger,’’ MHHNP engaged in refused to forward the offer to any of its prohibited by Paragraph II.A or II.B. collective negotiations on its members physician members. Subsequently, the Paragraph II.D prohibits Respondent
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from encouraging, pressuring, inducing, By direction of the Commission. for approval; and (ii) any institution or attempting to induce any person to Donald S. Clark, using Ms. Blackwell in any capacity in engage in any action that would be Secretary. PHS-supported research must submit a prohibited by Paragraphs II.A through [FR Doc. 03–29921 Filed 12–1–03; 8:45 am] Supervision Plan to the funding agency II.C. Paragraph II contains a proviso that BILLING CODE 6750–01–P for approval. The Supervision Plan must allows Respondent to engage in conduct be designed to ensure the scientific that is reasonably necessary to the integrity of her research contribution. A formation or operation of a ‘‘qualified DEPARTMENT OF HEALTH AND copy of the Supervision Plan must also risk-sharing joint arrangement’’ or a HUMAN SERVICES be submitted to ORI by the institution. ‘‘qualified clinically-integrated joint Ms. Blackwell agreed that she will not participate in any PHS-supported arrangement,’’ or that solely involves Office of the Secretary research until the Supervision Plan has physicians in the same medical group Findings of Scientific Misconduct been submitted to ORI. practice. FOR FURTHER INFORMATION CONTACT: AGENCY: Office of the Secretary, HHS. Paragraph III requires MHHNP, for a Director, Division of Investigative period of three years after the order ACTION: Notice. Oversight, Office of Research Integrity, becomes final, to notify the Commission SUMMARY: Notice is hereby given that 1101 Wootton Parkway, Suite 750, at least 60 days prior to entering into the Office of Research Integrity (ORI) Rockville, MD 20852, (301) 443–5330. any arrangement under which MHHNP and the Acting Assistant Secretary for Chris B. Pascal, will act as a messenger or agent on Health have taken final action in the behalf of physicians with payors Director, Office of Research Integrity. following case: [FR Doc. 03–29867 Filed 12–1–03; 8:45 am] regarding contracts. This provision will Sheila Blackwell, University of BILLING CODE 4150–31–P allow the Commission to review any Maryland, Baltimore: Based on the future MHHNP policy or practice that report of an investigation conducted by MHHNP plans to implement with the University of Maryland, Baltimore DEPARTMENT OF HEALTH AND payors before such a policy or practice (UMB Report), the respondent’s HUMAN SERVICES is implemented with respect to any admission of responsibility, and particular payor. additional analysis conducted by ORI in Office of the Secretary Paragraphs IV.A and IV. B require its oversight review, the U.S. Public Findings of Scientific Misconduct MHHNP to distribute the complaint and Health Service (PHS) found that Sheila order to its members, payors with which Blackwell, former contractual employee, AGENCY: Office of the Secretary, HHS. Department of Pediatrics at UMB, it previously contracted, and specified ACTION: Notice. others. Paragraph IV.C requires MHHNP engaged in scientific misconduct in research supported by National Institute to terminate, without penalty, any payor SUMMARY: Notice is hereby given that of Mental Health (NIMH), National contracts that it had entered into during the Office of Research Integrity (ORI) Institutes of Health (NIH), grant 2 R01 and the Acting Assistant Secretary for the collusive period, at any such payor’s MH54983, entitled ‘‘Effectiveness of Health have taken final action in the request. This provision is intended to Standard versus Embellished HIV following case: eliminate the effects of Respondent’s Prevention.’’ Khalilah Creek, University of joint price setting. Paragraph IV.C also Specifically, PHS found that Ms. Maryland, Baltimore: Based on the contains a proviso to preserve payor Blackwell engaged in scientific report of an investigation conducted by contract provisions defining post- misconduct by fabricating interview the University of Maryland, Baltimore termination obligations relating to records for the Focus on Teens HIV Risk (UMB Report), the respondent’s continuity of care during a previously Prevention Program for nine interviews admission of responsibility, and begun course of treatment. that had not been performed over the additional analysis conducted by ORI in The remaining provisions of the period of May through July 2001. its oversight review, the U.S. Public proposed order impose complaint and Ms. Blackwell has entered into a Health Service (PHS) found that order distribution, reporting, and other Voluntary Exclusion Agreement Khalilah Creek, former contractual compliance-related provisions. For (Agreement) in which she has employee, Department of Pediatrics at example, Paragraph IV. D requires voluntarily agreed for a period of three UMB, engaged in scientific misconduct MHHNP to distribute copies of the (3) years, beginning on October 30, in research supported by National 2003: Complaint and Order to incoming Institute of Mental Health (NIMH), (1) To exclude herself from serving in MHHNP members, payors that contract National Institutes of Health (NIH), any advisory capacity to PHS including grant 2 R01 MH54983, entitled with MHHNP for the provision of but not limited to service on any PHS ‘‘Effectiveness of Standard versus physician services, and incoming advisory committee, board, and/or peer Embellished HIV Prevention.’’ MHHNP officers, directors, and review committee, or as a consultant; Specifically, PHS found that Ms. employees. Further, Paragraph V and Creek engaged in scientific misconduct requires MHHNP to file periodic reports (2) That her participation in any PHS- by fabricating interview records for the with the Commission detailing how supported research will be conditioned Focus on Teens HIV Risk Prevention MHHNP has complied with the Order. on an appropriate plan of supervision of Program for eight interviews that had Paragraph VII authorizes Commission her duties (Supervision Plan) as follows: not been performed over the periods of staff to obtain access to Respondent’s (i) Any institution that submits an July and December 2000 and January, records and officers, directors, and application for PHS support for a February, and May through August employees for the purpose of research project in which Ms. 2001. determining or securing compliance Blackwell’s participation is proposed or Ms. Creek has entered into a with the Order. The proposed order will anticipated must concurrently submit a Voluntary Exclusion Agreement expire in 20 years. Supervision Plan to the funding agency (Agreement ) in which she has
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voluntarily agreed for a period of three engaged in scientific misconduct in DEPARTMENT OF HEALTH AND (3) years, beginning on October 30, research supported by National Institute HUMAN SERVICES 2003: of Mental Health (NIMH), National (1) To exclude herself from serving in Institutes of Health (NIH), grant 2 R01 Centers for Disease Control and any advisory capacity to PHS including MH54983, entitled ‘‘Effectiveness of Prevention but not limited to service on any PHS Standard versus Embellished HIV Youth Violence Prevention Through advisory committee, board, and/or peer Prevention.’’ review committee, or as a consultant; Community-Level Change and Specifically, PHS found that Ms. Woodard engaged in scientific Announcement Type: New. (2) That her participation in any PHS- Funding Opportunity Number: 04054. supported research will be conditioned misconduct by fabricating interview Catalog of Federal Domestic on an appropriate plan of supervision of records for the Focus on Teens HIV Risk Assistance Number: 93.136. her duties (Supervision Plan) as follows: Prevention Program for one interview (i) Any institution that submits an claimed to have been performed in June Key Dates application for PHS support for a 2001. Letter of Intent Deadline: January 2, research project in which Ms. Creek’s Ms. Woodard has entered into a 2004. participation is proposed or anticipated Voluntary Exclusion Agreement Application Deadline: February 17, must concurrently submit a Supervision (Agreement ) in which she has 2004. Plan to the funding agency for approval; voluntarily agreed for a period of three I. Funding Opportunity Description and (ii) any institution using Ms. Creek (3) years, beginning on October 30, in any capacity in PHS-supported Authority: This program is authorized 2003: research must submit a Supervision under section 391(a) of the Public Plan to the funding agency for approval. (1) To exclude herself from serving in Health Service Act, [42 U.S.C. section The Supervision Plan must be designed any advisory capacity to PHS including 280b(a), as amended]. to ensure the scientific integrity of her but not limited to service on any PHS Purpose: The purpose of the program research contribution. A copy of the advisory committee, board, and/or peer is to announce the availability of fiscal Supervision Plan must also be review committee, or as a consultant; year (FY) 2004 funds for a cooperative submitted to ORI by the institution. Ms. and agreement program for the evaluation of Creek agreed that she will not community-level interventions to (2) That her participation in any PHS- reduce youth violence. participate in any PHS-supported supported research will be conditioned research until the Supervision Plan has This program addresses the ‘‘Healthy on an appropriate plan of supervision of been submitted to ORI. People 2010’’ focus area Injury and her duties (Supervision Plan) as follows: Violence Prevention. FOR FURTHER INFORMATION CONTACT: Measurable outcomes of the program Director, Division of Investigative (i) Any institution that submits an will be in alignment with the following Oversight, Office of Research Integrity, application for PHS support for a performance goal for the National 1101 Wootton Parkway, Suite 750, research project in which Ms. Center for Injury Prevention and Control Rockville, MD 20852, (301) 443–5330. Woodard’s participation is proposed or anticipated must concurrently submit a (NCIPC): Conduct a targeted program of Chris B. Pascal, Supervision Plan to the funding agency research to reduce injury-related death and disability. Director, Office of Research Integrity. for approval; and [FR Doc. 03–29866 Filed 12–1–03; 8:45 am] Research Objectives: Youth violence (ii) Any institution using Ms. BILLING CODE 4150–31–P has been linked to a variety of factors, Woodard in any capacity in PHS- including individual, family, supported research must submit a community, and societal characteristics. DEPARTMENT OF HEALTH AND Supervision Plan to the funding agency While much research has been HUMAN SERVICES for approval. The Supervision Plan must conducted on interventions with be designed to ensure the scientific individuals and families, less often have Office of the Secretary integrity of her research contribution. A interventions focused on variables at the copy of the Supervision Plan must also broader community level. Findings of Scientific Misconduct be submitted to ORI by the institution. There are a number of characteristics AGENCY: Office of the Secretary, HHS. Ms. Woodard agreed that she will not of communities that increase the probability of violence. Rates of ACTION: Notice. participate in any PHS-supported research until the Supervision Plan has violence are high in areas that have SUMMARY: Notice is hereby given that been submitted to ORI. large concentrations of poor and the Office of Research Integrity (ORI) unemployed people, crowded housing, and the Acting Assistant Secretary for FOR FURTHER INFORMATION CONTACT: residential instability, family Health have taken final action in the Director, Division of Investigative disruption, illegal drug distribution and following case: Oversight, Office of Research Integrity, sales, diminished private economic Lajuane Woodard, University of 1101 Wootton Parkway, Suite 750, activity, and limited positive Maryland, Baltimore: Based on the Rockville, MD 20852, (301) 443–5330. opportunities for youths and adults report of an investigation conducted by (Reiss & Roth, 1993; Sampson & the University of Maryland, Baltimore Chris B. Pascal, Lauritsen, 1994). Rates of violence are (UMB Report), the respondent’s Director, Office of Research Integrity. also high in neighborhoods where there admission of responsibility, and [FR Doc. 03–29865 Filed 12–1–03; 8:45 am] is low community participation, additional analysis conducted by ORI in BILLING CODE 4150–31–P disorganization, and a lack of cohesion. its oversight review, the U.S. Public People living in these types of Health Service (PHS) found that Lajuane communities tend to be socially isolated Woodard, former contractual employee, and exhibit lower levels of attachment Department of Pediatrics at UMB, to the community—factors that also
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limit their ability to supervise and the research project. The CDC IRB will • Political subdivisions of States (in control adolescent peer groups, review and approve the protocol consultation with States). especially gangs (Sampson & Lauritsen, initially and on at least an annual basis A Bona Fide Agent is an agency/ 1994). until the research project is finished. • organization identified by the state as Research funded under this CDC staff will monitor and review eligible to submit an application under announcement is expected to address scientific and operational the state eligibility in lieu of a state this important gap in the prevention accomplishments of the project through application. If you are applying as a literature (i.e., the implementation and conference calls, site visits, and review bona fide agent of a state or local evaluation of interventions that are of technical reports. government, you must provide a letter designed to modify the above types of II. Award Information from the state or local government as community characteristics). The documentation of your status. Place this Type of Award: Cooperative ultimate aim of such an approach is to documentation behind the first page of Agreement. assess whether interventions designed your application form. to change community structures and CDC involvement in this program is social processes can reduce rates of listed in the Activities Section above. III.2. Cost Sharing or Matching: youth violence in communities. Fiscal Year Funds: 2004. Matching funds are not required for this At a minimum, competitive Approximate Total Funding: program. applicants will provide theoretical 1,000,000. III.3. Other Eligibility Requirements: If rationale and empirical evidence in Approximate Number of Awards: you request a funding amount greater support of the specific intervention Two. than the ceiling of the award range, your proposed, and will conduct a rigorous Approximate Average Award: application will be considered non- evaluation of the intervention. 500,000. responsive, and will not be entered into Floor of Award Range: $250,000. the review process. You will be notified Activities Ceiling of Award Range: $500,000. that your application did not meet the Awardee activities for this program Anticipated Award Date: September submission requirements. 1, 2004. are as follows: If your application is incomplete or • Develop and finalize the research Budget Period Length: 12 months. non-responsive to the requirements design and methodology, data collection Project Period Length: Four years. listed below, it will not be entered into measures, and analyses, and Throughout the project period, CDC’s the review process. You will be notified disseminate study results through commitment to continuation of awards that your application did not meet publications and presentations. will be conditioned on the availability submission requirements. The following • Develop a research protocol for of funds, evidence of satisfactory are applicant requirements: Institutional Review Board (IRB) review progress by the recipient (as by all cooperating institutions documented in required reports), and • A principal investigator who has participating in the research project. the determination that continued documented prior training and • Obtain approval of the study funding is in the best interest of the experience in conducting efficacy and protocol by the recipient’s local IRB. Federal Government. effectiveness trials. • Collect data on the costs associated • III. Eligibility Information A principal investigator who has with implementing and evaluating the conducted research, published the intervention. III.1. Eligible applicants: Applications findings in peer-reviewed journals, and • Conduct one reverse site visit to may be submitted by public and private has specific authority and responsibility meet with CDC staff in Atlanta on an nonprofit and for profit organizations to carry out the proposed project. annual basis. and by governments and their agencies, • • Complete all required reports as such as: Demonstrated experience on the specified under ‘‘Reporting • Public nonprofit organizations. applicant’s project team in conducting, Requirements’’. • Private nonprofit organizations. evaluating, and publishing violence • Provide a protocol/manual • For profit organizations. prevention research in peer-reviewed documenting the intervention and the • Small, minority, women-owned journals. manner in which it was implemented, businesses. • Effective and well-defined working including any information on activities • Universities. relationships within the performing occurring prior to the start of the • Colleges. organization and with outside entities, intervention, such as stakeholder • Research institutions. which will ensure implementation of meetings, collaboration building, or • Hospitals. the proposed activities. • focus groups. Community-based organizations. • The overall match between the In a cooperative agreement, CDC staff • Faith-based organizations. • applicant’s proposed research objectives is substantially involved in the program Federally recognized Indian tribal and the program priorities as described activities, above and beyond routine governments. • under the heading, ‘‘Funding Priority’’. grant monitoring. Indian tribes. • CDC Activities for this program are as • Indian tribal organizations. The requested funding amount is follows: • State and local governments or their within the award range of $250,000– • Provide scientific and Bona Fide Agents (this includes the $500,000. programmatic consultation. CDC will District of Columbia, the • Principal investigators (PI’s) are collaborate with project staff on Commonwealth of Puerto Rico, the encouraged to submit only one proposal decision-analyses, programmatic issues, Virgin Islands, the Commonwealth of in response to this program and dissemination of the study results the Northern Marianna Islands, announcement. With few exceptions in publications and presentations. American Samoa, Guam, the Federated (e.g., research issues needing immediate • Assist in the development of a States of Micronesia, the Republic of the public health attention), only one research protocol for IRB review by all Marshall Islands, and the Republic of application per PI will be funded under cooperating institutions participating in Palau). this announcement.
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4. Individuals Eligible To Become • Name, address, E-mail address, and implementing the intervention. Principal Investigators telephone number of the Principal Proposals should explicate the Investigator. theoretical and empirical justification Any individual with the skills, • Names of other key personnel. for the potential effectiveness of the knowledge, and resources necessary to • Participating institutions. intervention for reducing youth violence carry out the proposed research is • Number and title of this Program in the target community. This should invited to work with their institution to Announcement (PA). include discussion of the modifiable develop an application for support. Application: Follow the PHS 398 risk and protective factors that will be Individuals from underrepresented application instructions for content and influenced by the intervention of racial and ethnic groups as well as formatting of your application (See interest. The proposal should describe individuals with disabilities are always Attachment 1 of this announcement for the location or setting in which the encouraged to apply for CDC programs. guidance on how to complete Form 398 intervention component(s) will occur, Note: Title 2 of the United States Code for this Program Announcement). The and describe the relevance of this section 1611 states that an organization Program Announcement Title and setting to the strategy and desired described in section 501(c)(4) of the Internal number must appear in the application. outcomes. Revenue Code that engages in lobbying For further assistance with the PHS 398 5. Evaluation Design: Describe the activities is not eligible to receive Federal application form, contact GrantsInfo, proposed design, methods and analysis funds constituting an award, grant, or loan. Telephone (301) 435–0714, E-mail: plan for assessing the effectiveness of [email protected]. the intervention. The specific type of IV. Application and Submission Your research plan should address Information evaluation method chosen should activities to be conducted over the reflect the nature of the intervention, IV.1. Address to Request Application entire project period. feasibility, and ethical considerations. Package: To apply for this funding You must include a research plan Potential threats to the validity of the opportunity, use application form PHS with your application. The research study should be described along with 398 (OMB number 0925–0001 rev. 5/ plan should be no more than 25 pages how such threats will be recognized and 2001). Forms and instructions are (8.5″ x 11″ in size), single-spaced, addressed. The status of all necessary available in an interactive format on the printed on one side only, with one-inch measurement instruments should be CDC Web site, at the following Internet margins on all sides, and unreduced 12- described. If any materials are not address: http://www.cdc.gov/od/pgo/ point font. Your application will be extant, the methods and time frame for forminfo.htm. evaluated on the criteria listed under measure development, pilot testing, and Forms and instructions are also Section V. ‘‘Application Review validation should be given. For data available in an interactive format on the Information’’, so it is important to collected from archival records (e.g., National Institutes of Health (NIH) Web follow them, as well as the Research hospital records, police records, etc.) the site at the following Internet address: Objectives and the Administrative and proposal should discuss issues of http://grants.nih.gov/grants/funding/ National Policy Requirements (ARs), in accessibility, reliability, and validity of phs398/phs398.html. laying out your research plan. Your those data. If you do not have access to the research plan should address activities 6. Project Management: Provide Internet, or if you have difficulty to be conducted over the entire project evidence of the expertise, capacity, and accessing the forms on-line, you may period. The research plan should community support necessary to contact the CDC Procurement and consist of the following information: successfully implement the intervention Grants Office Technical Information 1. Abstract: It is especially important to reduce community indicators of Management Section (PGO–TIM) staff to include an abstract that reflects the youth violence. Proposals should also at: 770–488–2700. Application forms project’s focus, because the abstract will provide evidence of expertise and can be mailed to you. be used to help determine the capacity to evaluate the impact of the responsiveness of the application. intervention. Each existing or proposed IV.2. Content and Form of Application 2. Program Goals and Objectives: position for the project should be Submission Describe the goals and objectives the described by job title, function, general Letter of Intent (LOI): CDC requests proposal is designed to achieve in the duties, level of effort and allocation of that you send a LOI if you intend to short and long term. Specific research time. Management operation principles, apply for this program. Although the questions and hypotheses should also structure, and organization should also LOI is not required, not binding, and be included. be noted. does not enter into the review of your 3. Program Participants: Describe the 7. Collaborative Efforts: List and subsequent application, your LOI will demographic and geographic describe the current and proposed be used to gauge the level of interest in characteristics of the community and/or collaborations with government, health, this program, and to allow CDC to plan neighborhood targeted by the or youth agencies, community- or faith- the application review. Your LOI must intervention. This section should based organizations, minority be written in the following format: include incidence, prevalence, organizations, and other researchers. morbidity, and/or mortality rates • Maximum number of pages: Two. Include letters of support and associated with youth violence within memoranda of understanding that • Font size: 12-point unreduced. that community. In addition, the specify the nature of past, present, and • Paper size: 8.5 by 11 inches. • proposal should provide evidence that proposed collaborations, and the Page margin size: One inch. the recipient (or collaborating partner) • products/services/activities that will be Single spaced. has access to the target community, and provided by and to the applicant. • Printed only on one side of page. that the participation by the target 8. Data sharing and release: Describe • Written in English, avoid jargon. community in the intervention will be plans for the sharing and release of data Your LOI must contain the following adequate. (See AR–25 for additional information). information: 4. Intervention: Describe the proposed 9. Project Budget: Provide a detailed • Descriptive title of the proposed strategies or components of the budget for each activity undertaken, research. intervention and the plan for with accompanying justification of all
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operating expenses that is consistent 4. Intergovernmental Review of Room data aggregated by neighborhood with the stated objectives and planned Applications: Executive Order 12372 or community, or intake rates for activities of the project. does not apply to this program. juvenile detention facilities. You are required to have a Dun and 5. Funding Restrictions: Restrictions, • Propose a conceptual model or Bradstreet Data Universal Numbering which must be taken into account while theory of change for how the System (DUNS) number to apply for a writing your budget, are as follows: intervention will produce the intended reductions in youth violence, and grant or cooperative agreement from the Funding Priority Federal government. Your DUNS measure proposed mediators and number must be entered in item 11 of Priority will be given to the moderators of program outcomes. the face page of the PHS 398 application evaluation of primary prevention • Describe plans for ensuring that the form. The DUNS number is a nine-digit interventions and programs that focus intervention is implemented as it was identification number, which uniquely on the social and economic designed (i.e., intervention fidelity) and identifies business entities. Obtaining a environment (relationships among that the target community received or DUNS number is easy and there is no people and settings) and/or the physical had access to the intervention (i.e., charge. To obtain a DUNS number, environment (tangible surroundings or program exposure). access http:// resources available to youth or the • Propose data analytic plans that are www.dunandbradstreet.com or call 1– community at large), over those that appropriate to the intervention, research 866–705–5711. focus on criminal justice responses (e.g., design and hypotheses, data collection For more information, see the CDC community policing, arrest strategies). measures, and project period, and that These include: anticipate and evaluate the effect of Web site at: http://www.cdc.gov/od/pgo/ • funding/pubcommt.htm. Strategies to increase social threats to the internal and external integration and cohesion by increasing validity of the specified research design. IV.3. Submission Dates and Times community participation as well as • Target traditionally underserved formal and informal social support. communities. LOI Deadline Date: January 2, 2004. • Application Deadline Date: February Strategies to improve the physical If you are requesting indirect costs in 17, 2004. and social characteristics of your budget, you must include a copy Explanation of Deadlines: neighborhoods through environmental of your indirect cost rate agreement. Applications must be received in the design changes (e.g., Crime Prevention If your indirect cost rate is a CDC Procurement and Grants Office by Through Environmental Design). provisional rate, the agreement must be • Strategies to improve financial, 4 p.m. Eastern Time on the deadline less than 12 months of age. housing, and/or employment issues in date. If you send your application by the impoverished areas. 6. Other Submission Requirements United States Postal Service or • Efforts to deconcentrate areas with commercial delivery service, you must LOI Submission Address: Submit your high rates of poverty and violence. LOI by express mail, delivery service, ensure that the carrier will be able to • Strategies to increase formal and/or fax, or e-mail to: Robin Forbes, CDC, guarantee delivery of the application by informal supervision of youth (such as the closing date and time. If CDC NCIPC, 4770 Buford Hwy, NE, Mailstop providing structured or unstructured K–62, Atlanta, GA 30341, Telephone: receives your application after closing activities to youth during non-school due to: (1) carrier error, when the carrier 770–488–4037, Fax: 770–488–1662, E- hours, or encouraging adults to monitor mail: [email protected]. accepted the package with a guarantee youths’ activities in their for delivery by the closing date and Application Submission Address: neighborhood). Submit the original and five copies of time, or (2) significant weather delays or • Strategies to reduce community your application by mail or express natural disasters, you will be given the density and availability of alcohol and opportunity to submit documentation of delivery service to: Technical drugs. Information Management—PA# 04054, the carriers guarantee. If the • Strategies to modify social norms documentation verifies a carrier CDC Procurement and Grants Office, about violence or other related issues 2920 Brandywine Road, Atlanta, GA problem, CDC will consider the and values. application as having been received by 30341. the deadline. Funding Preferences Applications may not be submitted electronically at this time. This announcement is the definitive Funding preference will be given to guide on application submission proposals that: V. Application Review Information address and deadline. It supersedes • Propose more stringent and rigorous information provided in the application evaluation designs, including: V.1. Criteria instructions. If your application does experimental and quasi-experimental You are required to provide measures not meet the deadline above, it will not designs with appropriate baseline/pre- of effectiveness that will demonstrate be eligible for review, and will be intervention data, post-intervention the accomplishment of the various discarded. You will be notified that data, and at least one follow-up data identified objectives of the cooperative your application did not meet the collection point; data from at least one agreement. Measures of effectiveness submission requirements. comparison or control community; and must relate to the performance goal CDC will not notify you upon receipt data collected from multiple sources. stated in the ‘‘Purpose’’ section of this of your application. If you have a • Measure outcomes and impacts at announcement. Measures must be question about the receipt of your the neighborhood or community level objective and quantitative, and must application, first contact your courier. If and focus on risk and protective factors measure the intended outcome. These you still have a question, contact the specific to that level of intervention. measures of effectiveness must be PGO-TIM staff at: 770–488–2700. Before Examples could include: police records submitted with the application and will calling, please wait two to three days of neighborhood or community arrests be an element of evaluation. after the application deadline. This will for violent crimes, violent school The goals of CDC-supported research allow time for applications to be incidents (aggregated to the school or are to advance the understanding of processed and logged. system level), hospital or Emergency biological systems, improve the control
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and prevention of disease, and enhance reasonably be predicted to produce the Applications that are complete and health. In the written comments, expected reductions in youth violence? responsive to the PA will be subjected reviewers will be asked to evaluate the Is the setting of implementation to a preliminary evaluation (streamline application in order to judge the appropriate? review) by a peer review committee, the likelihood that the proposed research Protection of Human Subjects from Initial Review Group (IRG) convened by will have a substantial impact on the Research Risks: Does the application NCIPC, to determine if the application pursuit of these goals. adequately address the requirements of is of sufficient technical and scientific The scientific review group will Title 45 CFR part 46 for the protection merit to warrant further review by the address and consider each of the of human subjects? This will not be IRG. CDC will withdraw from further following criteria in assigning the scored; however, an application can be consideration applications judged to be application’s overall score, weighting disapproved if the research risks are noncompetitive and promptly notify the them as appropriate for each sufficiently serious and protection principal investigator or program application. The application does not against risks is so inadequate as to make director and the official signing for the need to be strong in all categories to be the entire application unacceptable. applicant organization. Those judged likely to have major scientific Inclusion of Women and Minorities in applications judged to be competitive impact and thus deserve a high priority Research: Does the application will be further evaluated by a dual score. For example, an investigator may adequately address the CDC Policy review process. propose to carry out important work requirements regarding the inclusion of 1. The primary review will be a peer that by its nature is not innovative, but woman, ethnic, and racial groups in the review conducted by the IRG. All is essential to move a field forward. proposed research? This includes: (1) applications will be reviewed for The criteria are as follows: The proposed plan for the inclusion of scientific merit in accordance with the Significance: Does this study address both sexes and racial and ethnic review criteria listed above. an important problem? If the aims of the minority populations for appropriate Applications will be assigned a priority application are achieved, how will representation; (2) The proposed score based on the National Institutes of scientific knowledge be advanced? What justification when representation is Health (NIH) scoring system of 100–500 will be the effect of these studies on the limited or absent; (3) A statement as to points. concepts or methods that drive this whether the design of the study is 2. The secondary review will be field? adequate to measure differences when conducted by the Science and Program Approach: Are the conceptual warranted; and (4) A statement as to Review Subcommittee (SPRS) of framework, design, methods, and whether the plans for recruitment and NCIPC’s Advisory Committee for Injury analyses adequately developed, outreach for study participants include Prevention and Control (ACIPC). The scientifically rigorous, well-integrated, the process of establishing partnerships ACIPC Federal agency experts will be and appropriate to the aims of the with community(ies) and recognition of invited to attend the secondary review, project? Does the applicant mutual benefits. and will receive modified briefing books acknowledge potential problem areas INCLUSION OF CHILDREN AS (i.e., abstracts, strengths and weaknesses and consider alternative tactics? PARTICIPANTS IN RESEARCH from summary statements, and project Innovation: Does the project employ INVOLVING HUMAN SUBJECTS: The officer’s briefing materials). ACIPC novel concepts, approaches or methods? NIH maintains a policy that children Federal agency experts will be Are the aims original and innovative? (i.e., individuals under the age of 21) encouraged to participate in Does the project challenge existing must be included in all human subjects deliberations when applications address paradigms or develop new research, conducted or supported by the overlapping areas of research interest, so methodologies or technologies? NIH, unless there are scientific and that unwarranted duplication in Investigator: Is the investigator ethical reasons not to include them. federally-funded research can be appropriately trained and well suited to This policy applies to all initial (Type avoided and special subject area carry out this work? Is the work 1) applications submitted for receipt expertise can be shared. The NCIPC proposed appropriate to the experience dates after October 1, 1998. Division Associate Directors for Science level of the principal investigator and All investigators proposing research (ADS) or their designees will attend the other researchers (if any)? involving human subjects should read secondary review in a similar capacity Environment: Does the scientific the ‘‘NIH Policy and Guidelines’’ on the as the ACIPC Federal agency experts to environment in which the work will be inclusion of children as participants in assure that research priorities of the done contribute to the probability of research involving human subjects that announcement are understood and to success? Does the proposed research is available at: http://grants.nih.gov/ provide background regarding current take advantage of unique features of the grants/funding/children/children.htm. research activities. Only SPRS members scientific environment or employ useful Budget: The reasonableness of the will vote on funding recommendations, collaborative arrangements? Is there proposed budget and the requested and their recommendations will be evidence of institutional support? period of support in relation to the carried to the entire ACIPC for voting by Additional Review Criteria: In proposed research. the ACIPC members in closed session. If addition to the above criteria, the V.2. Review and Selection Process: any further review is needed by the following items will be considered in Applications will be reviewed for ACIPC, regarding the recommendations the determination of scientific merit and completeness by the Procurement and of the SPRS, the factors considered will priority score: Intervention: Is the Grants Office (PGO) staff for be the same as those considered by the potential effectiveness of the proposed completeness and for responsiveness by SPRS. intervention within the target the National Center for Injury The secondary review committee’s community theoretically justified and Prevention and Control. Incomplete responsibility is to develop funding supported with epidemiologic, applications and applications that are recommendations for the NCIPC methodological, and behavioral non-responsive will not advance Director based on the results of the research? How feasible is the through the review process. Applicants primary review, the relevance and implementation of the intervention as will be notified that their application balance of proposed research relative to proposed? Can the intervention did not meet submission requirements. the NCIPC programs and priorities, and
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to assure that unwarranted duplication • AR–11 Healthy People 2010 c. New Budget Period Program of federally-funded research does not • AR–12 Lobbying Restrictions Proposed Activity Objectives. occur. The secondary review committee • AR–13 Prohibition on Use of CDC d. Detailed Line-Item Budget and has the latitude to recommend to the Funds for Certain Gun Control Justification. NCIPC Director, to reach over better- Activities e. Additional Requested Information. ranked proposals in order to assure • AR–14 Accounting System f. Measures of Effectiveness. maximal impact and balance of Requirements 2. Financial status report, no more • AR–15 Proof of Non-Profit Status than 90 days after the end of the budget proposed research. The factors to be • considered will include: AR–16 Security Clearance period. a. The results of the primary review Requirement 3. Final financial and performance • including the application’s priority AR–21 Small, Minority, and reports, no more than 90 days after the score as the primary factor in the Women-Owned Business end of the project period. • AR–22 Research Integrity These reports must be mailed to the selection process. • b. The relevance and balance of AR–23 States and Faith-Based Grants Management Specialist listed in Organizations the ‘‘Agency Contacts’’ section of this proposed research relative to the NCIPC • programs and priorities. AR–24 Health Insurance announcement. c. The significance of the proposed Portability and Accountability Act Requirements VII. Agency Contacts activities in relation to the priorities and • objectives stated in ‘‘Healthy People AR–25 Release and Sharing of For general questions about this 2010,’’ the Institute of Medicine report, Data announcement, contact: Technical ‘‘Reducing the Burden of Injury,’’ and Starting with the December 1, 2003 receipt Information Management Section, CDC the ‘‘CDC Injury Research Agenda.’’ date, all NCIPC funded investigators seeking Procurement and Grants Office, 2920 All awards will be determined by the more than $250,000 in total costs in a single Brandywine Road, Atlanta, GA 30341, Director of the NCIPC based on priority year are expected to include a plan Telephone: 770–488–2700. scores assigned to applications by the describing how the final research data will be For scientific/research program shared/released or explain why data sharing IRG, recommendations by the secondary technical assistance, contact: Jennifer is not possible. Details on data sharing/ Wyatt, Behavioral Scientist, Centers for review committee, ACIPC, consultation release, including the timeliness and name of with NCIPC senior staff, and the Disease Control and Prevention, 4770 the project data steward, should be included Buford Highway, NE, MS K–60, Atlanta, availability of funds. in a brief paragraph immediately following Award Criteria: Criteria that will be the Research Plan Section of the PHS 398 Georgia 30341, Telephone: 770–488– used to make award decisions include: form. References to data sharing/release may 4058, E-mail: [email protected]. • Scientific merit (as determined by also be appropriate in other sections of the For questions about peer review, peer review) application (e.g. background and contact: Gwendolyn Cattledge, • Availability of funds significance, human subjects requirements, Scientific Review Administrator, • Programmatic priorities etc.). The content of the data sharing/release Centers for Disease Control and plan will vary, depending on the data being Prevention, 4770 Buford Highway, NE, VI. Award Administration Information collected and how the investigator is MS K–02, Atlanta, Georgia 30341, VI.1. Award Notices: Successful planning to share the data. The data sharing/ Telephone: 770–488–1430, E-mail: applicants will receive a Notice of Grant release plan will not count towards the [email protected]. application page limit and will not factor into Award (NGA) from the CDC For budget assistance, contact: the determination scientific merit or priority Nancy Pillar, Grants Management Procurement and Grants Office. The scores. Investigators should seek guidance NGA shall be the only binding, from their institutions, on issues related to Specialist, CDC Procurement and Grants authorizing document between the institutional policies, local IRB rules, as well Office, 2920 Brandywine Road, Atlanta, recipient and CDC. The NGA will be as local, state and Federal laws and GA 30341, Telephone: 770–488–2721, signed by an authorized Grants regulations, including the Privacy Rule. E-mail: [email protected]. Management Officer, and mailed to the Further detail on the requirements for Dated: November 25, 2003. addressing data sharing in applications for recipient fiscal officer identified in the Edward Schultz, application. NCIPC funding may be obtained by contacting NCIPC program staff or visiting Acting Director, Procurement and Grants 2. Administrative and National Policy Office, Centers for Disease Control and Requirements: 45 CFR part 74 and part the NCIPC Internet Web site at: http:// www.cdc.gov/ncipc/osp/sharing_policy.htm. Prevention. 92. [FR Doc. 03–29895 Filed 12–1–03; 8:45 am] For more information on the Code of Additional information on these BILLING CODE 4163–18–P Federal Regulations, see the National requirements can be found on the CDC Archives and Records Administration at Web site at the following Internet the following Internet address: http:// address: http://www.cdc.gov/od/pgo/ DEPARTMENT OF HEALTH AND www.access.gpo.gov/nara/cfr/cfr-table- funding/ARs.htm. HUMAN SERVICES search.html. VI.3. Reporting: You must provide The following additional CDC with an original, plus two copies Food and Drug Administration requirements apply to this project: of the following reports: • AR–1 Human Subjects 1. Interim progress report, (PHS 2590, [Docket No. 2003E–0253] OMB Number 0925–0001, rev. 5/2001) Requirements Determination of Regulatory Review • no less than 90 days before the end of AR–2 Requirements for Inclusion Period for Purposes of Patent the budget period. The progress report of Women and Racial and Ethnic Extension; LEXAPRO Minorities in Research will serve as your non-competing • AR–8 Public Health System continuation application, and must AGENCY: Food and Drug Administration, Reporting Requirements contain the following elements: HHS. • AR–9 Paperwork Reduction Act a. Current Budget Period Activities ACTION: Notice. Requirements Objectives. • AR–10 Smoke-Free Workplace b. Current Budget Period Financial SUMMARY: The Food and Drug Requirements Progress. Administration (FDA) has determined
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the regulatory review period for approval, the Patent and Trademark petition must contain sufficient facts to LEXAPRO and is publishing this notice Office received a patent term restoration merit an FDA investigation. (See H. of that determination as required by application for LEXAPRO (U.S. Patent Rept. 857, part 1, 98th Cong., 2d sess., law. FDA has made the determination No. 34,712) from H. Lundbeck A/S, and pp. 41–42, 1984.) Petitions should be in because of the submission of an the Patent and Trademark Office the format specified in 21 CFR 10.30. application to the Director of Patents requested FDA’s assistance in Comments and petitions should be and Trademarks, Department of determining this patent’s eligibility for submitted to the Division of Dockets Commerce, for the extension of a patent patent term restoration. In a letter dated Management. Three copies of any that claims that human drug product. July 16, 2003, FDA advised the Patent mailed information are to be submitted, ADDRESSES: Submit written comments and Trademark Office that this human except that individuals may submit one and petitions to the Division of Dockets drug product had undergone a copy. Comments are to be identified Management (HFA–305), Food and Drug regulatory review period and that the with the docket number found in Administration, 5630 Fishers Lane, rm. approval of LEXAPRO represented the brackets in the heading of this 1061, Rockville, MD 20852. Submit first permitted commercial marketing or document. Comments and petitions may electronic comments to http:// use of the product. Shortly thereafter, be seen in the Division of Dockets www.fda.gov/dockets/ecomments. the Patent and Trademark Office Management between 9 a.m. and 4 p.m., FOR FURTHER INFORMATION CONTACT: requested that FDA determine the Monday through Friday. Claudia Grillo, Office of Regulatory product’s regulatory review period. Dated: October 30, 2003. FDA has determined that the Policy (HFD–013), Food and Drug applicable regulatory review period for Jane A. Axelrad, Administration, 5600 Fishers Lane, LEXAPRO is 1,146 days. Of this time, Associate Director for Policy, Center for Drug Rockville, MD 20857, 240–453–6699. 636 days occurred during the testing Evaluation and Research. SUPPLEMENTARY INFORMATION: The Drug phase of the regulatory review period, [FR Doc. 03–29927 Filed 12–1–03; 8:45 am] Price Competition and Patent Term while 510 days occurred during the BILLING CODE 4160–01–S Restoration Act of 1984 (Public Law 98– approval phase. These periods of time 417) and the Generic Animal Drug and were derived from the following dates: Patent Term Restoration Act (Public 1. The date an exemption under DEPARTMENT OF HEALTH AND Law 100–670) generally provide that a section 505(i) of the Federal Food, Drug, HUMAN SERVICES patent may be extended for a period of and Cosmetic Act (the act) (21 U.S.C. up to 5 years so long as the patented 355(i)) became effective: June 27, 1999. Food and Drug Administration item (human drug product, animal drug FDA has verified the applicant’s claim [Docket No. 2003E–0153] product, medical device, food additive, that the date the investigational new or color additive) was subject to drug application became effective was Determination of Regulatory Review regulatory review by FDA before the on June 27, 1999. Period for Purposes of Patent item was marketed. Under these acts, a 2. The date the application was Extension; ELOXATIN product’s regulatory review period initially submitted with respect to the AGENCY: Food and Drug Administration, forms the basis for determining the human drug product under section HHS. amount of extension an applicant may 505(b) of the act: March 23, 2001. FDA receive. has verified the applicant’s claim that ACTION: Notice. A regulatory review period consists of the new drug application (NDA) for SUMMARY: The Food and Drug two periods of time: A testing phase and LEXAPRO (NDA 21–323) was initially Administration (FDA) has determined an approval phase. For human drug submitted on March 23, 2001. the regulatory review period for products, the testing phase begins when 3. The date the application was ELOXATIN and is publishing this notice the exemption to permit the clinical approved: August 14, 2002. FDA has of that determination as required by investigations of the drug becomes verified the applicant’s claim that NDA law. FDA has made the determination effective and runs until the approval 21–323 was approved on August 14, because of the submission of an phase begins. The approval phase starts 2002. application to the Director of Patents with the initial submission of an This determination of the regulatory and Trademarks, Department of application to market the human drug review period establishes the maximum Commerce, for the extension of a patent product and continues until FDA grants potential length of a patent extension. that claims that human drug product. permission to market the drug product. However, the U.S. Patent and Although only a portion of a regulatory Trademark Office applies several ADDRESSES: Submit written comments review period may count toward the statutory limitations in its calculations and petitions to the Division of Dockets actual amount of extension that the of the actual period for patent extension. Management (HFA–305), Food and Drug Director of Patents and Trademarks may In its application for patent extension, Administration, 5630 Fishers Lane, rm. award (for example, half the testing this applicant seeks 827 days of patent 1061, Rockville, MD 20852. Submit phase must be subtracted as well as any term extension. electronic comments to http:// time that may have occurred before the Anyone with knowledge that any of www.fda.gov/dockets/ecomments. patent was issued), FDA’s determination the dates as published are incorrect may FOR FURTHER INFORMATION CONTACT: of the length of a regulatory review submit to the Division of Dockets Claudia Grillo, Office of Regulatory period for a human drug product will Management (see ADDRESSES) written or Policy (HFD–013), Food and Drug include all of the testing phase and electronic comments and ask for a Administration, 5600 Fishers Lane, approval phase as specified in 35 U.S.C. redetermination by February 2, 2004. Rockville, MD 20857, 240–453–6699. 156(g)(1)(B). Furthermore, any interested person may SUPPLEMENTARY INFORMATION: The Drug FDA recently approved for marketing petition FDA for a determination Price Competition and Patent Term the human drug product LEXAPRO regarding whether the applicant for Restoration Act of 1984 (Public Law 98– (escitalopram oxalate). LEXAPRO is extension acted with due diligence 417) and the Generic Animal Drug and indicated for the treatment of major during the regulatory review period by Patent Term Restoration Act (Public depressive disorder. Subsequent to this June 1, 2004. To meet its burden, the Law 100–670) generally provide that a
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patent may be extended for a period of phase of the regulatory review period, Management. Three copies of any up to 5 years so long as the patented while 47 days occurred during the mailed information are to be submitted, item (human drug product, animal drug approval phase. These periods of time except that individuals may submit one product, medical device, food additive, were derived from the following dates: copy. Comments are to be identified or color additive) was subject to 1. The date an exemption under with the docket number found in regulatory review by FDA before the section 505(i) of the Federal Food, Drug, brackets in the heading of this item was marketed. Under these acts, a and Cosmetic Act (the act) (21 U.S.C. document. Comments and petitions may product’s regulatory review period 355(i)) became effective: April 3, 1993. be seen in the Division of Dockets forms the basis for determining the The applicant claims May 2, 1997, as Management between 9 a.m. and 4 p.m., amount of extension an applicant may the date the investigational new drug Monday through Friday. application (IND) became effective. The receive. Dated: October 30, 2003. A regulatory review period consists of date provided by the applicant is the two periods of time: A testing phase and date FDA released a clinical hold that Jane A. Axelrad, an approval phase. For human drug had been placed on the application on Associate Director for Policy, Center for Drug products, the testing phase begins when August 16, 1993. Because that clinical Evaluation and Research. the exemption to permit the clinical hold was placed on the application [FR Doc. 03–29928 Filed 12–1–03; 8:45 am] investigations of the drug becomes more than 30 days after receipt of the BILLING CODE 4160–01–S effective and runs until the approval IND, FDA considers the IND effective phase begins. The approval phase starts date to be April 3, 1993, which was 30 with the initial submission of an days after FDA receipt of the IND. DEPARTMENT OF HEALTH AND application to market the human drug 2. The date the application was HUMAN SERVICES product and continues until FDA grants initially submitted with respect to the Food and Drug Administration permission to market the drug product. human drug product under section Although only a portion of a regulatory 505(b) of the act: June 24, 2002. The [Docket No. 2003E–0250] review period may count toward the applicant claims July 22, 1999, as the actual amount of extension that the date the new drug application (NDA) for Determination of Regulatory Review Director of Patents and Trademarks may ELOXATIN (NDA 21–063) was initially Period for Purposes of Patent award (for example, half the testing submitted. However, FDA records Extension; INVANZ indicate that FDA refused to file NDA phase must be subtracted as well as any AGENCY: Food and Drug Administration, time that may have occurred before the 21–063, and this NDA was ultimately HHS. patent was issued), FDA’s determination withdrawn. The applicant subsequently ACTION: Notice. of the length of a regulatory review submitted, and FDA accepted for filing, period for a human drug product will a different NDA (NDA 21–492) on June SUMMARY: The Food and Drug include all of the testing phase and 24, 2002. NDA 21–492 was approved for Administration (FDA) has determined approval phase as specified in 35 U.S.C. marketing on August 9, 2002. the regulatory review period for 156(g)(1)(B). 3. The date the application was INVANZ and is publishing this notice of FDA recently approved for marketing approved: August 9, 2002. FDA has that determination as required by law. the human drug product ELOXATIN verified the applicant’s claim that NDA FDA has made the determination (oxaliplatin). ELOXATIN, used in 21–492 was approved on August 9, because of the submission of an combination with infusional 5–FU/LV, 2002. application to the Director of Patents is indicated for the treatment of patients This determination of the regulatory and Trademarks, Department of with metastatic carcinoma of the colon review period establishes the maximum Commerce, for the extension of a patent or rectum whose disease has recurred or potential length of a patent extension. that claims that human drug product. progressed during or within 6 months of However, the U.S. Patent and ADDRESSES: Submit written comments completion of first line therapy with the Trademark Office applies several and petitions to the Division of Dockets combination of bolus 5–FU/LV and statutory limitations in its calculations Management (HFA–305), Food and Drug irinotecan. Subsequent to this approval, of the actual period for patent extension. Administration, 5630 Fishers Lane, rm. the Patent and Trademark Office In its application for patent extension, 1061, Rockville, MD 20852. Submit received a patent term restoration this applicant seeks 1,138 days of patent electronic comments to http:// application for ELOXATIN (U.S. Patent term extension. No. 5,420,319) from Sanofi-Synthelabo, Anyone with knowledge that any of www.fda.gov/dockets/ecomments. and the Patent and Trademark Office the dates as published are incorrect may FOR FURTHER INFORMATION CONTACT: requested FDA’s assistance in submit to the Division of Dockets Claudia Grillo, Office of Regulatory determining this patent’s eligibility for Management (see ADDRESSES) written or Policy (HFD–013), Food and Drug patent term restoration. In a letter dated electronic comments and ask for a Administration, 5600 Fishers Lane, July 16, 2003, FDA advised the Patent redetermination by February 2, 2004. Rockville, MD 20857, 240–453–6699. and Trademark Office that this human Furthermore, any interested person may SUPPLEMENTARY INFORMATION: The Drug drug product had undergone a petition FDA for a determination Price Competition and Patent Term regulatory review period and that the regarding whether the applicant for Restoration Act of 1984 (Public Law 98– approval of ELOXATIN represented the extension acted with due diligence 417) and the Generic Animal Drug and first permitted commercial marketing or during the regulatory review period by Patent Term Restoration Act (Public use of the product. Shortly thereafter, June 1, 2004. To meet its burden, the Law 100–670) generally provide that a the Patent and Trademark Office petition must contain sufficient facts to patent may be extended for a period of requested that FDA determine the merit an FDA investigation. (See H. up to 5 years so long as the patented product’s regulatory review period. Rept. 857, part 1, 98th Cong., 2d sess., item (human drug product, animal drug FDA has determined that the pp. 41–42, 1984.) Petitions should be in product, medical device, food additive, applicable regulatory review period for the format specified in 21 CFR 10.30. or color additive) was subject to ELOXATIN is 3,417 days. Of this time, Comments and petitions should be regulatory review by FDA before the 3,370 days occurred during the testing submitted to the Division of Dockets item was marketed. Under these acts, a
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product’s regulatory review period new drug application (IND) became DEPARTMENT OF HEALTH AND forms the basis for determining the effective. However, FDA records HUMAN SERVICES amount of extension an applicant may indicate that the IND effective date was receive. September 3, 1995, which was 30 days Food and Drug Administration A regulatory review period consists of after FDA receipt of the IND. [Docket No. 1999N–1168] two periods of time: A testing phase and an approval phase. For human drug 2. The date the application was initially submitted with respect to the Relative Risk to Public Health From products, the testing phase begins when Foodborne Listeria Monocytogenes human drug product under section the exemption to permit the clinical Among Selected Categories of Ready- 505(b) of the act: November 30, 2000. investigations of the drug becomes to-Eat Foods; Quantitative Risk FDA has verified the applicant’s claim effective and runs until the approval Assessment and Risk Management phase begins. The approval phase starts that the new drug application (NDA) for Action Plan; Notice of Public Meeting; with the initial submission of an INVANZ (NDA 21–337) was initially Correction application to market the human drug submitted on November 30, 2000. product and continues until FDA grants 3. The date the application was AGENCY: Food and Drug Administration, permission to market the drug product. approved: November 21, 2001. FDA has HHS. Although only a portion of a regulatory verified the applicant’s claim that NDA ACTION: Notice of public meeting; review period may count toward the 21–337 was approved on November 21, correction. actual amount of extension that the 2001. Director of Patents and Trademarks may SUMMARY: The Food and Drug award (for example, half the testing This determination of the regulatory Administration (FDA) is correcting a phase must be subtracted as well as any review period establishes the maximum document that announced a public time that may have occurred before the potential length of a patent extension. meeting to be held on December 4, 2003, patent was issued), FDA’s determination However, the U.S. Patent and in the Federal Register of November 7, of the length of a regulatory review Trademark Office applies several 2003 (68 FR 63108). The location of the period for a human drug product will statutory limitations in its calculations meeting at the FDA Center for Food include all of the testing phase and of the actual period for patent extension. Safety and Applied Nutrition Harvey W. approval phase as specified in 35 U.S.C. In its application for patent extension, Wiley Building in College Park, MD was 156(g)(1)(B). this applicant seeks 1,023 days of patent incorrect. This document corrects that FDA recently approved for marketing term extension. error. the human drug product INVANZ FOR FURTHER INFORMATION CONTACT: Lori (ertapenem sodium). INVANZ is Anyone with knowledge that any of the dates as published are incorrect may Pisciotta, Center for Food Safety and indicated for the treatment of adult Applied Nutrition (HFS–006), Food and patients with certain moderate to severe submit to the Division of Dockets Drug Administration, 5100 Paint Branch infections caused by susceptible strains Management (see ADDRESSES) written or Pkwy., College Park, MD 20740, 301– of designated microorganisms. electronic comments and ask for a 436–2279, FAX: 301–436–2630, e-mail: Subsequent to this approval, the Patent redetermination by February 2, 2004. [email protected]. and Trademark Office received a patent Furthermore, any interested person may term restoration application for petition FDA for a determination SUPPLEMENTARY INFORMATION: In FR Doc. INVANZ (U.S. Patent No. 5,478,820) regarding whether the applicant for 03–28005, appearing on page 63108 in from Syngenta Ltd., and the Patent and extension acted with due diligence the Federal Register of Friday, November 7, 2003, the following Trademark Office requested FDA’s during the regulatory review period by correction is made: assistance in determining this patent’s June 1, 2004. To meet its burden, the eligibility for patent term restoration. In 1. On page 63109, in the first column, petition must contain sufficient facts to under the Location paragraph, the a letter dated July 16, 2003, FDA merit an FDA investigation. (See H. advised the Patent and Trademark correct address reads as follows: Harvey Rept. 857, part 1, 98th Cong., 2d sess., W. Wiley Building, 5100 Paint Branch Office that this human drug product had pp. 41–42, 1984.) Petitions should be in undergone a regulatory review period Pkwy., College Park, MD 20740–3835. the format specified in 21 CFR 10.30. and that the approval of INVANZ Dated: November 26, 2003. represented the first permitted Comments and petitions should be Jeffrey Shuren, commercial marketing or use of the submitted to the Division of Dockets Assistant Commissioner for Policy. Management. Three copies of any product. Shortly thereafter, the Patent [FR Doc. 03–30076 Filed 11–28–03; 11:23 and Trademark Office requested that mailed information are to be submitted, am] FDA determine the product’s regulatory except that individuals may submit one BILLING CODE 4160–01–S review period. copy. Comments are to be identified FDA has determined that the with the docket number found in applicable regulatory review period for brackets in the heading of this DEPARTMENT OF HEALTH AND INVANZ is 2,273 days. Of this time, document. Comments and petitions may HUMAN SERVICES 1,916 days occurred during the testing be seen in the Division of Dockets phase of the regulatory review period, Management between 9 a.m. and 4 p.m., Food and Drug Administration while 357 days occurred during the Monday through Friday. [Docket No. 2002D–0306] approval phase. These periods of time Dated: October 29, 2003. were derived from the following dates: Guidance for Industry and FDA Staff; 1. The date an exemption under Jane A. Axelrad, Class II Special Controls Guidance section 505(i) of the Federal Food, Drug, Associate Director for Policy, Center for Drug Document: Dental Sonography and and Cosmetic Act (the act) (21 U.S.C. Evaluation and Research. Jaw Tracking Devices; Availability 355(i)) became effective: September 3, [FR Doc. 03–29929 Filed 12–1–03; 8:45 am] AGENCY: 1995. The applicant claims September BILLING CODE 4160–01–S Food and Drug Administration, 2, 1995, as the date the investigational HHS.
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ACTION: Notice. control, which in conjunction with comments to http://wwww.fda.gov/ general controls, is capable of providing dockets/ecomments or two paper copies SUMMARY: The Food and Drug reasonable assurance of safety and of any written comments, except that Administration (FDA) is announcing the effectiveness for these devices. This individuals may submit one paper copy. availability of the guidance entitled guidance document describes a means Comments are to be identified with the ‘‘Class II Special Controls Guidance by which certain dental sonography and docket number found in brackets in the Document: Dental Sonography and Jaw jaw tracking devices may comply with heading of this document. Received Tracking Devices.’’ This guidance the requirement of special controls for document describes a means by which comments may be seen in the Division class II devices. of Dockets Management between 9 a.m. certain dental sonography and jaw Following the effective date of the and 4 p.m., Monday through Friday. tracking devices may comply with the final classification rule, any firm requirement of special controls for class submitting a 510(k) premarket V. Electronic Access II devices. Elsewhere in this issue of the notification for the class II devices Federal Register, FDA is publishing a described in that final rule will need to To receive ‘‘Class II Special Controls final rule to classify certain types of address the issues covered in the special Guidance Document: Dental these devices into class II (special control guidance. However, the firm Sonography and Jaw Tracking Devices’’ controls). need only show that its device meets the by fax machine, call the CDRH Facts- DATES: Submit written or electronic recommendations of the guidance or in On-Demand system at 800–899–0381 or comments on this guidance at any time. some other way provides equivalent 301–827–0111 from a touch-tone General comments on agency guidance assurances of safety and effectiveness. telephone. Press 1 to enter the system. documents are welcome at any time. Interested persons were invited to At the second voice prompt, press 1 to ADDRESSES: Submit written requests for comment on the draft guidance by order a document. Enter the document single copies on a 3.5″ diskette of the November 12, 2002. FDA received no number (1393) followed by the pound guidance document entitled ‘‘Class II comments on the draft guidance sign (#). Follow the remaining voice Special Controls Guidance Document: document. FDA made minor revisions prompts to complete your request. to the guidance to improve clarity and Dental Sonography and Jaw Tracking Persons interested in obtaining a copy Devices’’ to the Division of Small provide more detailed descriptions of our recommendations for of the guidance may also do so by using Manufacturers, International, and the Internet. CDRH maintains an entry Consumer Assistance (HFZ–220), Center electromagnetic compatibility testing and labeling. on the Internet for easy access to for Devices and Radiological Health, information including text, graphics, Food and Drug Administration, 1350 II. Significance of Guidance and files that may be downloaded to a Piccard Dr., Rockville, MD 20850. Send This guidance is being issued personal computer with Internet access. two self-addressed adhesive labels to consistent with FDA’s good guidance assist that office in processing your Updated on a regular basis, the CDRH practices regulation (21 CFR 10.115). request, or fax your request to 301–443– home page includes device safety alerts, The guidance represents the agency’s 8818. See the SUPPLEMENTARY Federal Register reprints, information current thinking on dental sonography INFORMATION section for information on on premarket submissions (including and jaw tracking devices. It does not electronic access to the guidance. lists of approved applications and create or confer any rights for or on any Submit written comments concerning manufacturer’s addresses), small person and does not operate to bind this guidance to the Division of Dockets manufacturer’s assistance, information FDA or the public. An alternative Management (HFA–305), Food and Drug on video conferencing and electronic approach may be used if such approach Administration, 5630 Fishers Lane, rm. submissions, Mammography Matters, satisfies the requirements of the 1061, Rockville, MD 20852. Submit and other device-oriented information. applicable statutes and regulations. electronic comments to http:// The CDRH Web site may be accessed at www.fda.gov/dockets/ecomments. III. Paperwork Reduction Act of 1995 http://www.fda.gov/cdrh. A search Identify comments with the docket This guidance contains information capability for all CDRH guidance number found in brackets in the collection provisions that are subject to documents is available at http:// heading of this document. review by the Office of Management and www.fda.gov/cdrh/guidance.html. FOR FURTHER INFORMATION CONTACT: Budget (OMB) under the Paperwork Guidance documents are also available Mary S. Runner, Center for Devices and Reduction Act of 1995 (44 U.S.C. 3501– on the Division of Dockets Management Radiological Health (HFZ–480), Food 3520) (the PRA). The collections of Internet site at http://www.fda.gov/ and Drug Administration, 9200 information addressed in the guidance ohrms/dockets. Corporate Blvd., Rockville, MD document have been approved by OMB Dated: October 23, 2003. 20850301–827–5283. in accordance with the PRA under the SUPPLEMENTARY INFORMATION: regulations governing premarket Linda S. Kahan, notification submissions (21 CFR part Deputy Director, Center for Devices and I. Background 807, subpart E, OMB control number Radiological Health. In the Federal Register of August 14, 0910–0120). The labeling provisions [FR Doc. 03–29864 Filed 12–1–03; 8:45 am] 2002 (67 FR 52901), FDA published a addressed in the guidance have been BILLING CODE 4160–01–S proposed rule to classify certain dental approved by OMB under the PRA under sonography and jaw tracking devices OMB control number 0910–0485. into class II. In the Federal Register of August 14, 2002 (67 FR 53005), FDA IV. Comments also identified the document ‘‘Class II Interested persons may submit to the Special Controls Guidance Document: Division of Dockets Management (see Dental Sonography and Jaw Tracking ADDRESSES) written or electronic Devices; Draft Guidance for Industry comments regarding this document. and FDA Reviewers’’ as the special Submit a single copy of electronic
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DEPARTMENT OF HEALTH AND Corporate Blvd., Rockville, MD 20850 pound sign (#). Follow the remaining HUMAN SERVICES 301–594–1243 voice prompts to complete your request. SUPPLEMENTARY INFORMATION: Persons interested in obtaining a copy Food and Drug Administration I. Background of the draft guidance may also do so by [Docket No. 2003D–0522] using the Internet. CDRH maintains an On November 14, 2000, FDA issued two draft guidance documents entitled entry on the Internet for easy access to Draft Guidance for Industry and Food information including text, graphics, and Drug Administration Staff; ‘‘Over the Counter (OTC) Screening and files that may be downloaded to a Premarket Submissions and Labeling Tests for Drugs of Abuse: Guidance for personal computer with Internet access. Recommendations for Drugs of Abuse Premarket Notifications’’ and ‘‘Guidance Updated on a regular basis, the CDRH Screening Tests; Availability for Prescription Use Drugs of Abuse Assays Premarket Notifications’’ (docket home page includes device safety alerts, AGENCY: Food and Drug Administration, nos. 1999D–1020 and 2000D–1587). Federal Register reprints, information HHS. This draft guidance replaces those on premarket submissions (including ACTION: Notice. documents and is intended to address lists of approved applications and concerns about those documents, manufacturers’ addresses), small SUMMARY: The Food and Drug including concerns regarding a manufacturer’s assistance, information Administration (FDA) is announcing the recommendation that the cost of on video conferencing and electronic availability of the draft guidance confirmatory testing be bundled with submissions, Mammography Matters, entitled ‘‘Draft Guidance for Industry the cost of screening tests. Among other and other device-oriented information. and FDA Staff; Premarket Submission changes, the draft guidance FDA is The CDRH Web site may be accessed at and Labeling Recommendations for issuing today recognizes that measures http://www.fda.gov/cdrh. A search Drugs of Abuse Screening Tests.’’ This other than bundling the cost of draft guidance is intended to assist capability for all CDRH guidance confirmatory testing may help mitigate documents is available at http:// industry in preparing premarket the risk of inaccurate results. The new www.fda.gov/cdrh/guidance.html. notification submissions for drugs of draft guidance also clarifies that Guidance documents are also available abuse screening tests. The draft premarket submissions for drugs of guidance also provides abuse screening tests used in workplace on the Division of Dockets Management recommendations regarding the labeling and other repetitive testing sites may Internet site at http://www.fda.gov/ of these tests. This draft guidance is not require the same types of data as ohrms/dockets. neither final nor is it in effect at this submissions for screening tests that are IV. Paperwork Reduction Act of 1995 time. intended for sale directly to untrained DATES: Submit written or electronic users. The draft guidance is intended to This guidance contains information comments on this guidance by March 1, assist manufacturers in preparing collection provisions that are subject to 2004. premarket submissions for drugs of review by the Office of Management and abuse tests used in any setting, Budget (OMB) under the Paperwork including hospital, workplace, sports, ADDRESSES: Submit written requests for Reduction Act of 1995 (the PRA) (44 insurance, and home settings. The draft single copies on a 3.5′′ diskette of the U.S.C. 3501–3520). The collections of guidance also provides draft guidance document entitled ‘‘Draft information addressed in the guidance recommendations on labeling drugs of Guidance for Industry and FDA Staff; document have been approved by OMB abuse screening tests. Premarket Submission and Labeling in accordance with the PRA under the Recommendations for Drugs of Abuse II. Significance of Guidance regulations governing premarket Screening Tests’’ to the Division of This draft guidance is being issued notification submissions (21 CFR part Small Manufacturers, International, and consistent with FDA’s good guidance 807, subpart E) (OMB control number Consumer Assistance (HFZ–220), Center practices regulation (21 CFR 10.115). 0910–0120). The labeling provisions for Devices and Radiological Health, The draft guidance represents the addressed in the guidance have been Food and Drug Administration, 1350 agency’s current thinking on premarket approved by OMB under the PRA under Piccard Dr., Rockville, MD 20850. Send submissions and labeling of drugs of OMB control number 0910–0485. two self-addressed adhesive labels to abuse screening tests. It does not create V. Comments assist that office in processing your or confer any rights for or on any person request, or fax your request to 301–443– and does not operate to bind FDA or the Interested persons may submit to the 8818. See the SUPPLEMENTARY public. An alternative approach may be Division of Dockets Management (see INFORMATION section for information on used if such approach satisfies the electronic access to the guidance. ADDRESSES), written or electronic requirements of the applicable statute comments regarding this document at Submit written comments concerning and regulations. this guidance to the Division of Dockets any time. Submit a single copy of Management (HFA–305), Food and Drug III. Electronic Access electronic comments to http:// Administration, 5630 Fishers Lane, rm. To receive ‘‘Draft Guidance for www.fda.gov/dockets/ecomments. 1061, Rockville, MD 20852. Submit Industry and FDA Staff; Premarket Submit two paper copies of any mailed electronic comments to http:// Submissions and Labeling comments, except that individuals may www.fda.gov/dockets/ecomments. Recommendations for Drugs of Abuse submit one copy. Comments are to be Identify comments with the docket Screening Tests’’ by fax machine, call identified with the docket number number found in brackets in the the CDRH Facts-On-Demand system at found in brackets in the heading of this heading of this document. 800–899–0381 or 301–827–0111 from a document. Comments received may be FOR FURTHER INFORMATION CONTACT: Jean touch-tone telephone. Press 1 to enter seen in the Dockets Management Branch Cooper, Center for Devices and the system. At the second voice prompt, between 9 a.m. and 4 p.m., Monday Radiological Health (HFZ–440), Food press 1 to order a document. Enter the through Friday. and Drug Administration, 9200 document number (152) followed by the
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Dated: November 13, 2003. of two documents on these topics: (1) A IV. Electronic Access Jeffrey Shuren, draft risk assessment on the relationship The risk management action plan is Assistant Commissioner for Policy. between foodborne L. monocytogenes available electronically at http:// [FR Doc. 03–29855 Filed 12–01–03; 8:45 am] and human health that considers www.cfsan.fda.gov and BILLING CODE 4160–01–S categories of ready-to-eat food and (2) a www.foodsafety.gov. proposed risk management action plan that considered the draft L. Dated: November 26, 2003. DEPARTMENT OF HEALTH AND monocytogenes risk assessment. The Jeffrey Shuren, HUMAN SERVICES action plan articulated how FDA, FSIS, Assistant Commissioner for Policy. and CDC intended to achieve the [FR Doc. 03–30025 Filed 11–28–03; 9:19 am] Food and Drug Administration Healthy People 2010 goal of reducing L. BILLING CODE 4160–01–S [Docket No. 1999N–1168] monocytogenes illness by 50 percent. FDA, FSIS, and CDC held a public Listeria Monocytogenes Risk meeting on March 19, 2001 (66 FR DEPARTMENT OF HEALTH AND HUMAN SERVICES Management Action Plan; Availability 13544), to receive comments on the technical aspects of the draft risk AGENCY: Food and Drug Administration, Substance Abuse and Mental Health assessment and the draft action plan. Services Administration HHS. Interested persons were given until ACTION: Notice. March 20, 2001, with extensions to May Statement of Organization, Functions, 21, 2001, and to July 18, 2001, to and Delegations of Authority SUMMARY: The Food and Drug comment on the documents. The risk Administration (FDA) of the Department assessment has been revised in response Part M of the Substance Abuse and of Health and Human Services (HHS) is to the public comments, newly available Mental Health Services Administration announcing the availability of a Listeria data, and updated modeling techniques; (SAMHSA) Statement of Organization, monocytogenes risk management action and it was made available to the public Functions, and Delegations of Authority plan. The action plan identifies on October 24, 2003 (68 FR 61006). for the Department of Health and activities planned by FDA and the Human Services as amended most Centers for Disease Control and II. Risk Management Action Plan recently at 68 FR 45264, August 1, 2003, Prevention (CDC) that are targeted to The updated risk management action is amended to: revise the functional reduce L. monocytogenes associated plan outlines the actions that FDA and statements for the Office of the with illnesses; these activities are CDC plan to undertake to reduce L. Administrator (OA); and the Office of intended to help achieve the Healthy monocytogenes illness from ready-to-eat Policy, Planning and Budget (OPPB) People 2010 goal of reducing listeriosis foods. These planned actions are within the Office of the Administrator, by 50 percent by the year 2005. structured according to the food and reflect changes in the Division ADDRESSES: Submit written requests for categories used in the risk assessment as structure within OPPB; and to also single copies of the risk management either warranting additional measures to revise the functional statements for the action plan entitled ‘‘Reducing the Risk reduce L. monocytogenes contamination Office of Program Services (OPS), and of Listeria Monocytogenes FDA/CDC or warranting collection of additional reflect changes in the Division structure 2003 Update of the Listeria Action data. within OPS. These organizational Plan’’ to John Kvenberg, Center for Food The action plan contains these six changes will more effectively align Safety and Applied Nutrition (CFSAN) action areas: budget, planning, and administrative (see FOR FURTHER INFORMATION CONTACT). • Guidance for processors, retailers, functions; achieve further delayering by Send one self-adhesive label with your food service operations, and restructuring certain divisions, address to assist that office in institutional establishments; abolishing subordinate branch • processing your request. You also may Training and technical assistance; structures, and reducing the number of • request a copy of the risk management Consumer and health care provider supervisory positions; and allow information and education; SAMHSA to more effectively use its action plan by faxing your name and • mailing address with the name of the Enforcement and regulatory resources and deploy additional strategies; positions to mission support activities. document you are requesting to the • CFSAN Outreach and Information Disease surveillance and outbreak The changes are as follows: Center at 1–877–366–3322. See the response; and Section M.20, Functions is amended • Research needs. as follows: SUPPLEMENTARY INFORMATION section for A public meeting to present the (A) The functional statements for the electronic access to these documents. revised risk assessment and the action Office of the Administrator (MA), the FOR FURTHER INFORMATION CONTACT: John plan has been scheduled for December Office of Policy, Planning and Budget Kvenberg, Center for Food Safety and 4, 2003, from 8:30 a.m. to 5 p.m. (see 68 (MAC) and the prior Division of Policy Applied Nutrition (HFS–600), Food and FR 63108 for details). The meeting will Coordination (MAC–1) and Division of Drug Administration, 5100 Paint Branch be held at the FDA/CFSAN Harvey W. Planning and Budget (MAC–2) are Pkwy., College Park, MD, 20740, 301– Wiley Building, 5100 Paint Branch replaced with the following: 436–2359. Pkwy., College Park, MD 20740. SUPPLEMENTARY INFORMATION: Office of the Administrator (MA) III. Review of Document The Administrator is responsible to I. Background The risk management action plan may the Secretary for managing and directing In the Federal Register of January 19, be reviewed at the FDA Division of SAMHSA. The office functions are as 2001 (67 FR 5515), FDA, in cooperation Dockets Management (Docket No. follows: (1) Provides leadership in the with the Food Safety and Inspection 1999N–1168), 5630 Fishers Lane, rm. development of agency policies and Service (FSIS) of the U.S. Department of 1061, Rockville, MD 20852, between 9 programs; (2) maintains liaison with the Agriculture and in consultation with a.m. and 4 p.m., Monday through Office of the Secretary on matters CDC of HHS, announced the availability Friday. related to program and other activities;
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(3) provides oversight for coordination Agency leadership on issues and cutting management and administrative between SAMHSA and the National initiatives for alcohol, HIV/AIDS, issues; (3) streamlines, improves, and Institutes of Health (NIH) on the minority health, disaster readiness and integrates administrative services and conduct of research and the response, children and families, systems; (4) coordinates cross-cutting dissemination of research findings in women’s services, and science-to- tasks and initiatives; (5) tracks and the areas of alcohol, drug abuse, and services; and (4) manages the Agency’s measures administrative program mental health; (4) analyzes legislative coordination of departmental and performance; (6) plans, administers, and issues, and maintains liaison with Presidential initiatives, nationally and coordinates the review of grant and congressional committees; (5) internationally. cooperative agreement applications; (7) coordinates Agency communications develops grant review policies and Division of Financial Management and conducts public affairs activities; procedures; (8) monitors the grant (MDB) and (6) provides agency-wide review process to ensure the quality of correspondence control services. (1) Manages and coordinates the the review and its conformance to Agency budget plans and formulates Agency policies; (9) participates in the Office of Policy, Planning and Budget and presents SAMHSA’s future budget review of Requests for Applications (MD) and financial management activities; (2) (RFAs); and (10) administers participant Provides leadership for the prepares budget justification documents and confidentiality certificate activities. development and implementation of the which support the Administrator’s Administrator’s policies and programs priorities and decisions; (3) provides Division of Management Systems (MBC) through the following functions: (1) day-to-day liaison with budget staff at (1) Provides leadership in the Develops and manages Agency policy other levels: (4) evaluates internal fiscal development of policies for and the for the Administrator and senior staff; controls to assure compliance with analysis, performance measurement, (2) performs the Chief Financial Officer laws, regulations, policies, and sound and improvement of SAMHSA function and manages budget business practices; and (5) manages and administrative, management, and formulation and execution; (3) manages coordinates Agency budget execution, information systems; (2) coordinates agency-wide strategic and program including the apportionment and with other service providers the planning activities; and (4) provides allotment processes, overhead and provision of human resource leadership to the Centers Offices of assessment changes, and monitoring of management services, equal Policy Analysis and Coordination overall expenditures. employment opportunity services, and (OPAC) and other Agency staff to assure (B) The functional statements for the information technology services consistent implementation of policies Office of Program Services (MB) and the (including operation of the LAN and and procedures in budget, planning, and subordinate Office of the Director personal computer, databases, voice policy review. (formerly MB–1) and the Divisions mail/faxes, and general machine within OPS are replaced with the repairs), working with HHS service Office of the Director (MD1) following: components and outside organizations (1) Coordinates agency participation as necessary and monitoring their in Department of Health and Human Office of Program Services (MB) performance; (3) manages the SAMHSA Services strategic and program planning (1) Works in partnership with other ethics program; (4) coordinates and activities; (2) coordinates agency-level SAMHSA and HHS components in serves as a focal point for SAMHSA strategic and program planning managing, providing leadership, and intern and summer employment activities; (3) develops policy guidance ensuring SAMHSA’s needs are met in programs; (5) provides advisory services for grants and contracts development the following service areas: grant and to managers and supervisors in such processes, and monitors progress; (4) contract application review, grants and matters as organizational development, develops and manages the Government contracts management, administrative analysis, performance, and performance Performance and Results Act (GPRA) services, human resources management, measurement; (6) coordinates General process for the agency, assesses progress equal employment opportunity, Accounting Office and Office of the in attaining goals, and reports organizational development and Inspector General reviews and accomplishments; (5) manages Agency analysis, and information technology; information requests, internal control response to the OMB PART review (2) provides leadership in the reviews, and Federal Managers process; (6) provides policy guidance development of policies for and the Financial Integrity Act responses; (7) and oversight for Agency evaluation analysis, performance measurement, plans and coordinates various activities; (7) develops extramural and improvement of SAMHSA management activities such as records policy recommendations for the administrative and management management, forms management, Administrator and guidance for the systems; (3) provides leadership, Privacy Act, and OPS Freedom of Agency; (8) manages the SAMHSA guidance, and technical expertise for the Information Act requests; (8) develops, National Advisory Council and the Agency’s information technology maintains, and manages administrative Advisory Committee for Women?s program; (4) provides centralized management systems regarding policies Services; and (9) provides Chief administrative services for the Agency; and procedures; (9) serves as the focal Financial Officer function. and (5) conducts all aspects of the point for information systems policy, SAMHSA grants and contracts strategic planning, budget preparation, Division of Policy Coordination (MDA) management process. coordination and security; (10) (1) Develops policy recommendations coordinates agency-wide database and issues for the Administrator and Office of the Director (MB1) administration and systems senior leadership and manages the (1) Provides leadership and guidance, configuration management; provides coordination and implementation of the oversees and monitors the range of advice, assistance, and training to Agency’s national program policies; (2) administrative and program services Agency staff in obtaining maximum coordinates policy development for the which are provided to all SAMHSA utilization of and services from its Administrator?s program priorities and components; (2) provides general policy information/application systems and principles; (3) provides expertise for review and executive oversight of cross- databases; (11) exercises clearance
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authority for agency-wide information processes and coordinates requests for appointed in a manner to ensure resources management projects; and (12) SAMHSA administrative actions; (5) consistency, stability, and objectivity in reviews and analyzes new information provides advice and guidance to staff on performance appraisals, and requires resources management developments administrative procedures for that notice of the appointment of an and ensures necessary support services processing actions such as travel orders, individual to serve as a member be are provided. acquisition requests, and training published in the Federal Register. documents; (6) ensures administrative The following persons will serve on Division of Grants Management (MBE) actions are consistent with regulations the SAMHSA Performance Review (1) Conducts all aspects of the and other requirements, and Board, which oversees the evaluation of SAMHSA grants management process; implements general management performance appraisals of SAMHSA’s (2) develops, implements, and policies as prescribed by SAMHSA and Senior Executive Service (SES) coordinates the application of Agency higher authorities; (7) coordinates the members: standards, methods and procedures for provision of support in the areas of real James L. Stone, Chairperson, the management of grants and and personal property, building H. Westley Clark, M.D., J.D., M.P.H, cooperative agreements; (3) provides management, facility management, Daryl W. Kade, guidance to the Agency, applicants, and health and safety, security, Mark A. Weber. grantees on the management and transportation, parking, and For further information about the administrative aspects of grant telecommunications; (8) in collaboration programs; (4) reviews applications, SAMHSA Performance Review Board, with the Division of Financial contact the Division of Management reports, and active projects to ensure Management in the Office of Policy, compliance with management policies Systems and Analysis, Substance Abuse Planning, and Budget, performs budget and Mental Health Services and procedures; (5) prepares, processes, execution tasks such as certifying funds, and disseminates award documents; (6) Administration, 5600 Fishers Lane, maintaining the commitment database, Room 14 C–24, Rockville, Maryland prepares special and recurring reports and reconciling accounts for program relating to applications and awards; and 20857, telephone (301) 443–3408 (not a management for SAMHSA; (9) toll-free number). (7) measures and tracks grants coordinates and complies with policies management performance. and procedures set forth by the Division Charles G. Curie, Division of Contracts Management of Financial Management for budget Administrator, SAMHSA. (MBF) execution. [FR Doc. 03–29982 Filed 12–1–03; 8:45 am] Section M.40. Delegations of BILLING CODE 4160–01–P (1) Conducts all aspects of the Authority. All delegations and SAMHSA contracts management redelegations of authority to officers and process; (2) develops and implements employees of SAMHSA which were in standards and procedures for the DEPARTMENT OF HOMELAND effect immediately prior to the effective SECURITY management of the Agency’s contracts date of this reorganization shall and purchase card programs; (3) reviews continue in effect pending further Citizenship and Immigration Services and evaluates contract proposals to redelegations, providing they are determine acceptability and cost consistent with the reorganization. Agency Information Collection reasonableness; (4) advises Agency These organizational changes are Activities: Proposed Collection; personnel on contracts management effective November 21, 2003. Comment Request policies and procedures established by Dated: November 21, 2003. law and Agency guidelines; (5) ACTION: 30-Day Notice of Information Charles G. Curie, maintains internal control over the Collection under Review: Employment contracts management function; (6) Administrator. Eligibility Verification; Form I–9. issues contract awards following [FR Doc. 03–30024 Filed 12–1–03; 8:45 am] appropriate laws, regulations, BILLING CODE 4160–01–P The Department of Homeland guidelines and policies; (7) coordinates Security (DHS) and the U.S. Citizenship and participates in all phases of the and Immigration Services (CIS) has acquisition cycle, including pre- DEPARTMENT OF HEALTH AND submitted the following information solicitation, solicitation, negotiation, HUMAN SERVICES collection request to the Office of award, administration, and close out of Management and Budget (OMB) for Substance Abuse and Mental Health the Agency’s contracts; and (8) measures review and clearance in accordance Services Administration and tracks contract management with the Paperwork Reduction Act of performance. Notice of Listing of Members of the 1995. A notice containing this information collection was previously Division of Operational Support (MBH) Substance Abuse and Mental Health Services Administration’s Senior published in the Federal Register on (1) Provides centralized Executive Service Performance Review July 28, 2002, at 68 FR 44347. The administrative services for the Agency, Board (PRB) notice allowed for a 60-day public including processing and coordinating review and comment period. No requests for and providing advice on The Substance Abuse and Mental comments were received by the CIS on procurement actions, travel, property, Health Services Administration this proposed information collection. facilities, and other activities; (2) (SAMHSA) announces the persons who The purpose of this notice is to allow coordinates actions as necessary with will serve on the Substance Abuse and an additional 30 days for public other HHS components such as the Mental Health Services comments. Comments are encouraged Program Support Center (PSC) Administration’s Performance Review and will be accepted until January 2, procurement staff and the contract Board. This action is being taken in 2004. This process is conducted in travel agency; (3) promotes the awarding accordance with Title 5, U.S.C., Section accordance with 5 CFR 1320.10. of contracts to disadvantaged businesses 4314(c)(4), which requires that members Written comments and/or suggestions and women-owned small businesses; (4) of performance review boards be regarding the items contained in this
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notice, especially regarding the minutes or (.15) hours per response and 19, 2003, allowing for a 60-day public estimated public burden and associated 20,000,000 record keepers at 4 minutes review and comment period. No response time, should be directed to the or (.066) hours per response. comments were received by the ICE. Office of Management and Budget, (6) An estimate of the total public The purpose of this notice is to allow Office of Information and Regulatory burden (in hours) associated with the for an additional 30 days for public Affairs, Attention: Department of Justice collection: 13,020,000 annual burden comment until January 2, 2004. This Desk Officer, 725 17th Street, NW., hours. process is conducted in accordance with Room 10235, Washington, DC 20530. If you have additional comments, 5 CFR 1320.10. Written comments and/ Written comments and suggestions suggestions, or need a copy of the or suggestions regarding the items from the public and affected agencies proposed information collection contained in this notice, especially the concerning the proposed collection of instrument with instructions, or estimated public burden and associated information should address one or more additional information, please contact response time, should be directed to the of the following four points: Richard A. Sloan (202)–514–3291, Office of Management and Budget, (1) Evaluate whether the proposed Director, Regulations and Forms Service Office of Information and Regulatory collection of information is necessary Division, Department of Homeland Affairs, Attention Department of Justice for the proper performance of the Security, Room 4034, 425 I Street, NW., Homeland Security Officer, 725 17th functions of the agency, including Washington, DC 20536. Additionally, Street, NW., Suite 10102, Washington, whether the information will have comments and/or suggestions regarding DC 20503. Additionally, comments may practical utility; the item(s) contained in this notice, be submitted to OMB via facsimile to (2) Evaluate the accuracy of the especially regarding the estimated (202) 395–5806. agency’s estimate of the burden of the public burden and associated response Written comments and suggestions proposed collection of information, time may also be directed to Mr. from the public and affected agencies including the validity of the Richard A. Sloan. concerning the proposed collection of methodology and assumptions used; If additional information is required information are encouraged. Your (3) Enhance the quality, utility, and contact: Mr. Steve Cooper, PRA comments should address one or more clarity of the information to be Clearance Officer, Department of of the following four points: collected; and Homeland Security, Office of the Chief (1) Evaluate whether the proposed (4) Minimize the burden of the Information Officer, Regional Office collection of information is necessary collection of information on those who building 3, 7th and D Streets, SW., Suite for the proper performance of the are to respond, including through the 4636–26, Washington, DC 20202. functions of the agency, including use of appropriate automated, Dated: November 24, 2003. whether the information will have electronic, mechanical, or other practical utility; technological collection techniques or Richard A. Sloan, (2) Evaluate the accuracy of the other forms of information technology, Department Clearance Officer, Department of agencies estimate of the burden of the e.g., permitting electronic submission of Homeland Security, Citizenship and proposed collection of information, Immigration Service. responses. including the validity of the Overview of this information [FR Doc. 03–29880 Filed 12–1–03; 8:45 am] methodology and assumptions used; collection: BILLING CODE 4410–10–M (3) Enhance the quality, utility, and (1) Type of Information Collection: clarity of the information to be Extension of currently approved collected; and collection. DEPARTMENT OF HOMELAND (4) Minimize the burden of the (2) Title of the Form/Collection: SECURITY collection of information on those who Employment Eligibility Verification. are to respond, including through the (3) Agency form number, if any, and Immigration and Customs Enforcement use of appropriate automated, the applicable component of the electronic, mechanical, or other Department of Homeland Security Agency Information Collection technological collection techniques or sponsoring the collection: Form I–9. Activities: Proposed Collection; other forms of information technology, U.S. Citizenship and Immigration Comments Requested e.g., permitting electronic submission of Services. responses. (4) Affected public who will be asked ACTION: 30-Day Notice of Information Overview of this information or required to respond, as well as a brief Collection Under Review: Memorandum collection; abstract: Primary: Individuals or of Understanding To Participate in an (1) Type of Information Collection: Households. This form was developed Employment Eligibility Confirmation Revision of a currently approved to facilitate compliance with Section Pilot Program (File No. OMB–18). collection. 274A of the Immigration and (2) Title of the Form/Collection: Nationality Act (the Act), as amended The Department of Homeland Memorandum of Understanding To by the Immigration Reform and Control Security (DHS), U.S. Immigration and Participate in an Employment Eligibility Act of 1986 (IRCA), which prohibits the Customs Enforcement (ICE) has Confirmation Pilot Program. knowing employment of unauthorized submitted the following information (3) Agency form number, if any, and aliens. The information collected is collection request to the Office of the applicable component of the used by employers or by recruiters for Management and Budget (OMB) for Department of Homeland Security enforcement of provisions of review and approval in accordance with sponsoring the collection: No agency immigration laws that are designed to the Paperwork Reduction Act of 1995. form number; File No. OMB–18, SAVE control the employment of unauthorized The proposed information collection is Program, U.S. Immigration and Customs aliens. published to obtain comments from the Enforcement. (5) An estimate of the total number of public and affected agencies. This (4) Affected public who will be asked respondents and the amount of time proposed information collection was or required to respond, as well as a brief estimated for an average respondent to previously published in the Federal abstract: Individuals or households. respond: 78,000,000 respondents at 9 Register at 68 FR 54912 on September Employers electing to participate in a
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pilot will execute a Memorandum of A NOFA funding a study of OMB Approval Number: 2528–0228. Understanding with the Department of homeownership and affordable lending Form Numbers: HUD–424, HUD–424– Homeland Security and the Social will aid in the formulation of policies in B, 424–CB, HUD–424–CBW, SF–LLL, Security Administration (if applicable), support of the President’s goal of HUD–2880, HUD–2993, HUD–2994, that provides the specific terms and increasing the number of minority HUD–1044, SF–1199A, HUD–27053, conditions governing the pilot and homeowners. HUD–27054, SF–269A. company information for each site that Description of the Need for the DATES: Comments Due Date: January 2, will be performing employment Information and Its Proposed Use: A 2004. verification queries. NOFA funding a study of (5) An estimate of the total number of ADDRESSES: Interested persons are homeownership and affordable lending respondents and the amount of time invited to submit comments regarding will aid in the formulation of policies in estimated for an average respondent to this proposal. Comments should refer to support of the President’s goal of respond: 5,000 responses at 1 hour and the proposal by name and OMB increasing the number of minority 20 minutes (1.33 hours) per response. approval number (2528–0228) and homeowners. (6) An estimate of the total public should be sent to: Lauren Wittenberg, Respondents: Business or other for- burden (in hours) associated with the OMB Desk Officer, Office of profit, Not-for-profit institutions, State, collection: 6,650 hours annually. Management and Budget, Room 10235, Local or Tribal Government. If you have additional comments, New Executive Office Building, Frequency of Submission: On suggestions, or need a copy of the Washington, DC 20503; Fax number occasion, Quarterly. proposed information collection (202) 395–6974; E-mail Reporting Burden: Number of _ instrument with instructions, or Lauren [email protected]. Respondents 40; Average annual additional information, please contact FOR FURTHER INFORMATION CONTACT: responses per respondent 2.8; Total Richard A. Sloan, Director, Regulations Wayne Eddins, Reports Management annual responses 115; Average burden and Forms Services Division, Officer, AYO, Department of Housing per response 16 hrs. Department of Homeland Security, 425 and Urban Development, 451 Seventh Total Estimated Burden Hours: 1,870. I Street, NW., Room 4034, Washington, Street, Southwest, Washington, DC Status: Extension of a currently DC 20536; (202) 514–3291. Comments 20410; e-mail [email protected]; approved collection. and suggestions regarding items telephone (202) 708–2374. This is not a contained in this notice, especially Authority: Section 3507 of the Paperwork toll-free number. Copies of the proposed Reduction Act of 1995, 44 U.S.C. 35, as regarding the estimated public burden forms and other available documents amended. and associated response time may also submitted to OMB may be obtained be directed to Richard A. Sloan. Dated: November 26, 2003. If additional information is required from Mr. Eddins or on HUD’s Web site Wayne Eddins, contact: Mr. Steve Cooper, PRA at http://www5.hud.gov:63001/po/i/ Departmental Reports Management Officer, Clearance Officer, Department of icbts/collectionsearch.cfm. Office of the Chief Information Officer. Homeland Security, Office of Chief SUPPLEMENTARY INFORMATION: The [FR Doc. 03–29995 Filed 12–1–03; 8:45 am] Information Officer, Regional Office Department has submitted the proposal BILLING CODE 4210–72–P Building 3, 7th and D Streets, SW., Suite for the collection of information, as 4636–26, NW., Washington, DC 20202. described below, to OMB for review, as Dated: November 25, 2003. required by the Paperwork Reduction DEPARTMENT OF THE INTERIOR Act (44 U.S.C. Chapter 35). The Notice Richard A. Sloan, lists the following information: (1) The Fish and Wildlife Service Department Clearance Officer, Department of title of the information collection Homeland Security, Immigration and Customs Enforcement. proposal; (2) the office of the agency to Endangered Species Recovery Permit collect the information; (3) the OMB Applications [FR Doc. 03–29881 Filed 12–1–03; 8:45 am] approval number, if applicable; (4) the BILLING CODE 4410–10–M AGENCY: description of the need for the Fish and Wildlife Service, information and its proposed use; (5) Interior. the agency form number, if applicable; ACTION: Notice of receipt of permit DEPARTMENT OF HOUSING AND (6) what members of the public will be applications. URBAN DEVELOPMENT affected by the proposal; (7) how SUMMARY: The following applicants have [Docket No. FR–4815–N–96] frequently information submissions will applied for a scientific research permit be required; (8) an estimate of the total to conduct certain activities with Notice of Submission of Proposed number of hours needed to prepare the Information Collection to OMB: endangered species pursuant to section information submission including 10(a)(1)(A) of the Endangered Species Research Studies on Homeownership number of respondents, frequency of and Affordable Lending (NOFA) Act (16 U.S.C. 1531 et seq.). The U.S. response, and hours of response; (9) Fish and Wildlife Service (‘‘we’’) solicits AGENCY: Office of the Chief Information whether the proposal is new, an review and comment from local, State, Officer, HUD. extension, reinstatement, or revision of and Federal agencies, and the public on an information collection requirement; ACTION: Notice. the following permit requests. and (10) the name and telephone DATES: Comments on these permit SUMMARY: The proposed information number of an agency official familiar collection requirement described below with the proposal and of the OMB Desk applications must be received on or has been submitted to the Office of Officer for the Department. before January 2, 2004 to receive our Management and Budget (OMB) for This Notice also lists the following consideration. review, as required by the Paperwork information: ADDRESSES: Written data or comments Reduction Act. The Department is Title of Proposal: Research Studies on should be submitted to the U.S. Fish soliciting public comments on the Homeownership and affordable Lending and Wildlife Service, Chief, Endangered subject proposal. (NOFA). Species, Ecological Services, 911 NE.
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11th Avenue, Portland, Oregon 97232– The applicant requests a permit to cinnamomina cinnamomina), Maui 4181 (fax: 503–231–6243). Please refer take (survey by pursuit) the Quino nukupu’u (Hemignathus lucidus to the respective permit number for each checkerspot butterfly (Euphydryas affinus), Kauai nukupu’u (Hemignathus application when submitting comments. editha quino) in conjunction with lucidus hanapepe), ’akiapola’au All comments received, including surveys throughout the range of the (Hemignathus munroi), Kauai ’akialoa names and addresses, will become part species in California for the purpose of (Hemignathus procerus), Hawaiian stilt of the official administrative record and enhancing its survival. or ae’o (Himantopus mexicanus may be made available to the public. Permit No. TE–066621 knudseni), palila (Loxioides bailleui), FOR FURTHER INFORMATION CONTACT: Hawaii ’akepa (Loxops coccineus Documents and other information Applicant: Point Mugu Naval Base, coccineus), Maui ’akepa (Loxops submitted with these applications are Point Mugu, California. coccineus ochraceus), Micronesian available for review, subject to the The permittee requests an amendment megapode (Megapodius laperouse), requirements of the Privacy Act and to remove/reduce to possession (collect po’ouli (Melamprosops phaeosoma), Freedom of Information Act, by any seed, propagate, and outplant) Kauai ’o’o (Moho braccatus), Tinian party who submits a written request for Cordylanthus maritimus ssp. maritimus monarch (Monarcha takatsukasae), a copy of such documents within 30 (salt marsh bird’s-beak) in conjunction Molokai solitare or oloma’o (Myadestes days of the date of publication of this with a planting program in Ventura lanaiensis rutha), large Kauai solitare or notice to the address above (telephone: County, California, for the purpose of kama’o (Myadestes myadesinus), small 503–231–2063). Please refer to the enhancing its survival. Kauai solitare or puaiohi (Myadestes respective permit number for each Permit No. TE–078657 palmeri), Hawaiian goose or nene application when requesting copies of (Nesochen sandvicensis), Hawaii documents. Applicant: Amanda J. Colombo, Livermore, California. creeper (Oreomystis mana), crested SUPPLEMENTARY INFORMATION: The applicant requests a permit to honeycreeper or ’akohekohe (Palmeria dolei), Molokai creeper or kakawahie Permit No. TE–073416 take (capture and mark) the San (Paroreomyza flammea), Oahu creeper Applicant: Siskiyou National Forest, Francisco garter snake (Thamnophis sirtalis tetrataenia) and the Alameda or ’alauahia (Paroreomyza maculata), Grants Pass, Oregon. Maui parrotbill (Pseudonestor The applicant requests a permit to whipsnake (Masticophis lateralis euryxanthus) in conjunction with xanthophrys), ’o’u (Psittirostra remove/reduce to possession (collect psittacea), Hawaiian petrel or ’ua’u seed) Arabis mcdonaldiana monitoring, surveys, and scientific research throughout the range of each (Pterodroma phaeopygia (McDonald’s rock-cress) in conjunction sandwichensis), Newell’s shearwater with research in Josephine and Curry species for the purpose of enhancing their survival. (Puffinus auricularis), Guam rail (Rallus Counties, Oregon, and Del Norte owstoni), Laysan finch (Telespiza County, California, for the purpose of Permit No. TE–078712 cantans), Nihoa finch (Telespiza enhancing its survival. Applicant: Kimberly Kindt, Palm ultima), bridled white-eye (Zosterops Permit No. TE–077753 Springs, California. conspicillatus conspicillatus), Hawaiian Applicant: Erica Fleishman, Stanford, The applicant requests a permit to hoary bat or ope’ape’a (Lasiurus California. take (monitor nests) the least Bell’s vireo cinereus semotus), Mariana fruit bat The applicant requests a permit to (Vireo bellii pusillus), and take (harass (Pteropus mariannus mariannus), and remove/reduce to possession (collect by survey and monitor nests) the the Green sea turtle (Chelonia mydas) seed and tissue) Cordylanthus palmatus southwestern willow flycatcher for evaluation of injury and/or disease, (palmate-bracted bird’s-beak) in (Empidonax traillii extimus) in to determine epidemiologic trends, and conjunction with research in Colusa, conjunction with demographic studies to assist other permitted biologists in Fresno, Alameda, Yolo, and Sacramento in Riverside County, California, for the broader ecological studies in the Counties, California, for the purpose of purpose of enhancing their survival. Hawaiian Islands; Midway, Johnston, Wake, Palmyra, and Kingman Reef enhancing its survival. Permit No. TE–033365 Atolls; Howland, Baker, and Jarvis Permit No. TE–062125 Applicant: National Wildlife Health Islands; Guam; American Samoa; the Applicant: Bureau of Land Center, Honolulu, Hawaii. Commonwealth of the Northern Mariana Management, Folsom, California. The permittee requests an amendment Islands; and the Republic of Palau for The permittee requests an amendment to take (capture, handle, mark, measure, the purpose of enhancing their survival. to remove/reduce to possession (collect) collect biological samples, release, and All of these activities for these species Calystegia stebbinsii (Stebbins’ recapture) the Nihoa millerbird were previously authorized under morning-glory), Ceanothus roderickii (Acrocephalus familiaris kingi), subpermit BRDVET–3. (Pine Hill ceanothus), Eriogonum nightingale reed warbler (Acrocephalus apricum var. apricum (Apricum Hill luscinia), Mariana gray swiftlet Permit No. TE–837010 buckwheat), Fremontodendron (Aerodramust vanikorensis bartschi), Laysan duck (Anas laysanensis), Applicant: Bruce Koebele, Wai‘anae, californicum ssp. decumbens (Pine Hill Hawai‘i. flannelbush), Galium californicum ssp. Hawaiian duck or koloa (Anas sierrae (El Dorado bedstraw) in wyvilliana), Hawaiian hawk or ’io The permittee requests an amendment conjunction with research in Tuolumne, (Buteo solitarius), Hawaiian crow or to remove/reduce to possession (collect Amador, El Dorado, Nevada, and Yuba ’alala (Corvus hawaiiensis), Mariana and propagate) Achyranthes splendens Counties, California, for the purpose of crow (Corvus kubaryi), Hawaiian coot or var. rotundata (round-leaved chaff- enhancing their survival. ’alae ke’o ke’o (Fulica americana alai), flower) and Chamaesyce skottsbergii Mariana moorhen (Gallinula chloropus var. kalaeloana (‘Ewa Plains ‘akoko) in Permit No. TE–077943 guami), Hawaiian moorhen or ’alae’ula conjunction with site rehabilitation in Applicant: Matthew Williams, San (Gallinula chloropus sandvicensis), O‘ahu, Hawai‘i, for the purpose of Diego, California. Micronesian kingfisher (Halcyon enhancing their survival.
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Permit No. TE–062121 November 28, 2003. A Record of environmental analysis process for the Applicant: Ryan Young, Carlsbad, Decision (ROD) will be issued after the Northwest portion of the NPR–A which California. 30-day availability period. The ROD started in November, 2002. A Draft IAP/ The permittee requests an amendment will identify the selected alternative as EIS was made available for a 60-day to take (harass by survey) the well as mitigation measures. comment period on January 17, 2003. The Bureau of Land Management Conservancy fairy shrimp (Branchinecta Scoping and comment meetings on the (BLM) has worked closely with the conservatio), the longhorn fairy shrimp Draft IAP/EIS were held in Nuiqsut, North Slope Borough and the State of (Branchinecta longiantenna), the Atqasuk, Barrow, Wainwright, Point Alaska in developing the Final IAP/EIS. Riverside fairy shrimp (Streptocephalus Lay, Fairbanks, and Anchorage. The The Minerals Management Service of Planning Area provides particularly wootoni), the San Diego fairy shrimp the Department of the Interior has also important habitat for caribou, (Branchinecta sandiegonensis), the assisted the BLM in developing the waterfowl, and other species. Many of vernal pool tadpole shrimp (Lepidurus document. the local residents of the area rely on packardi), and to take (survey by harvesting these resources for pursuit) the Quino checkerspot butterfly ADDRESSES: The Final IAP/EIS will be subsistence purposes. Ensuring (Euphydryas editha quino) in available in either hard copy or on adequate protection of these resources conjunction with surveys throughout compact disk at the Alaska State Office, has been one of the main focuses of the range of each species in California Public Information Center at 222 West public comment. The BLM held public for the purpose of enhancing their 7th Avenue, Anchorage, Alaska 99513– hearings on subsistence in conjunction survival. 7599. Copies of the Final IAP/EIS will also be available at the following with the public meetings held on the Permit No. TE–068799 locations: Tuzzy Public Library, Barrow, Draft IAP/EIS. The Final IAP/EIS describes the Applicant: Mikael Romich, San Alaska; City of Nuiqsut, Nuiqsut, Preferred Alternative which was Bernardino, California. Alaska; City of Atqasuk, Atqasuk, Alaska; City of Anaktuvuk, Pass, developed in consideration of more than The permittee requests an amendment 96,000 public comments on the four to take (monitor nests, video monitor, Anaktuvuk Pass, Alaska; City of Wainwright, Wainwright, Alaska; and alternatives included in the Draft IAP/ and band) the least Bell’s vireo (Vireo EIS. All the significant elements of the bellii pusillus) in conjunction with City of Point Lay, Point Lay, Alaska. The Final IAP/EIS will also be Preferred Alternative were included in demographic studies in Riverside, San one or more of the alternatives Bernardino, Los Angeles, Orange, San available on BLM’s Web site at http:// www.ak.blm.gov. presented in the Draft IAP/EIS. Diego, and Ventura Counties, California, Under the Preferred Alternative, all for the purpose of enhancing its FOR FURTHER INFORMATION CONTACT: Curt 9.1 million acres of BLM administered survival. Wilson, BLM Alaska State Office, (907) subsurface estate within the Planning We solicit public review and 271–5546. Area would be available for oil and gas comment on each of these recovery SUPPLEMENTARY INFORMATION: The leasing. No areas would be permit applications. Planning Area boundary encompasses recommended as Wilderness Study Dated: November 13, 2003. approximately 9.4 million acres located Areas or Wild and Scenic Rivers. Cynthia U. Barry, in the northwestern portion of the NPR– Leasing, however, would be deferred for A. Within the 9.4 million acre Planning Acting Deputy Regional Director, Region 1, 10 years in the western portion of the U.S. Fish and Wildlife Service. Area are approximately 8.8 million Planning Area, which encompasses acres of federal surface and 9.1 million [FR Doc. 03–29870 Filed 12–1–03; 8:45 am] approximately 1,570,000 acres. The acres of federal subsurface estate. The BILLING CODE 4310–55–P Preferred Alternative also recommends Planning Area is roughly bounded on the Kasegaluk Lagoon and adjacent the east by the Ikpikpuk River. The lands for designation as a Special Area DEPARTMENT OF THE INTERIOR southern boundary extends along a and prohibits permanent oil and gas portion of the Colville River and then facilities within this 102,000-acre Bureau of Land Management proceeds along township and section proposed Special Area. Under the lines in a ‘‘stair-step’’ fashion to the Preferred Alternative, setbacks have [AK–931–1310–DQ–NPRA] northwestern corner of the NPR–A at Icy been established prohibiting permanent Notice of Availability of the Northwest Cape on the Arctic Ocean. The northern facilities within 1/4 to 1 mile along National Petroleum Reserve—Alaska boundary from Icy Cape to the mouth of major rivers, deep water lakes and Final Integrated Activity Plan/ the Ikpikpuk River follows the Arctic coastal areas to protect subsistence Environmental Impact Statement Ocean coastline encompassing the bays, resources/activities and other important lagoons, inlets, and tidal waters between surface resources. Multi-year studies are AGENCY: Bureau of Land Management, the NPR-–’s outlying islands and the required prior to development to protect Interior. mainland. The Final IAP/EIS addresses spectacled and Steller’s eiders, yellow- ACTION: Notice of availability. three primary questions regarding billed loons, brant and caribou. Other management of the Northwest portion of stipulations and required operating SUMMARY: The Northwest National the NPR–A. First, what lands, if any, procedures establish restrictions and Petroleum Reserve—Alaska (NPR–A) will be made available for oil and gas guidance that apply to waste prevention Final Integrated Activity Plan/ leasing? Second, what measures will and spills, water use, winter overland Environmental Impact Statement (IAP/ BLM use to protect important surface moves and seismic activity, exploratory EIS) will be made available to the public resources during oil and gas exploration drilling, aircraft use and subsistence for a 30-day period beginning on the and development activities? Third, what consultation. date the Environmental Protection non-oil and gas land use allocations The no action alternative calls for Agency (EPA) files a Notice of should BLM consider for the Northwest continuation of current management, Availability of the Final IAP/EIS in the portion of the NPR–A? and no leasing would occur. Federal Register. The EPA notice is The release of the Final IAP/EIS Alternatives A through C make expected to be filed on or about concludes a planning and progressively less land, especially
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environmentally sensitive land, and unique approaches to management ACTION: Notice of new information available for oil and gas leasing. of the land within the bounds of the collection survey. Alternative A makes 100 percent Steens Mountain Cooperative available for oil and gas leasing, Management and Protection Area SUMMARY: To comply with the Alternative B makes 96 percent (CMPA), (2) cooperative programs and Paperwork Reduction Act of 1995 available, and Alternative C makes 47 incentives for landscape management (PRA), we are notifying the public that percent available. Stipulations would that meet human needs, maintain and we have submitted to OMB an provide protection for natural and improve the ecological and economic information collection request (ICR) to cultural resources under all alternatives, integrity of the area and (3) preparation conduct a new survey on Potential but their nature, number and scope and implementation of a management Impacts of Outer Continental Shelf varies between the alternatives. plan for the CMPA. (OCS) Activities on Bowhead Whale Authority for developing this Topics to be discussed by the SMAC Hunting Activities in the Beaufort Sea. document is derived from the Federal at these meetings include categories This notice also provides the public a Land Policy and Management Act, the such as transportation, recreation/public second opportunity to comment on the Naval Petroleum Reserves Production use, wildlife, special designated areas, paperwork burden of these regulatory Act of 1976, as amended, and the partnerships/programs, cultural requirements. National Environmental Policy Act resources, watersheds, projects, DATES: Submit written comments by (NEPA). education, volunteer-based information, January 2, 2004. Henri R. Bisson, adaptive management, planning process ADDRESSES: You may submit comments (Andrews Management Unit/Steens State Director, Alaska. either by fax (202) 395–6566 or email Mountain Cooperative Management and ([email protected]) directly [FR Doc. 03–30035 Filed 11–26–03; 4:43 pm] Protection Area Resource Management to the Office of Information and BILLING CODE 4310–JA–P Plan and Environmental Impact Regulatory Affairs, OMB, Attention: Statement), science committee/ Desk Officer for the Department of the DEPARTMENT OF THE INTERIOR consultants, socioeconomics, and other Interior (1010–NEW). Mail or hand carry matters that may reasonably come a copy of your comments to the Bureau of Land Management before the SMAC. Department of the Interior; Minerals All meetings are open to the public in Management Service; Attention: Rules [OR–027–1610–PG; G–04–0036] their entirety. Information to be Processing Team; Mail Stop 4024; 381 Notice of Public Meetings, Steens distributed to the SMAC is requested at Elden Street; Herndon, Virginia 20170– Mountain Advisory Council least 10 days prior to the start of each 4817. If you wish to e-mail your SMAC meeting. Public comment is comments to MMS, the address is: AGENCY: Department of the Interior, generally scheduled for 11 a.m. to 11:30 [email protected]. Reference Bureau of Land Management (BLM), a.m., local time, both days of each Information Collection 1010–NEW in Burns District Office. meeting session. The amount of time your subject line and mark your ACTION: Notice of public meetings for scheduled for public presentations and message for return receipt. Include your the Steens Mountain Advisory Council. meeting times may be extended when name and return address in your the authorized representative considers message text. SUMMARY: In accordance with the Steens it necessary to accommodate all who FOR FURTHER INFORMATION CONTACT: Mountain Cooperative Management and seek to be heard regarding matters on Arlene Bajusz, Rules Processing Team, Protection Act of 2000 (Steens Act), the the agenda. at (703) 787–1600, to obtain a copy of Federal Land Policy and Management FOR FURTHER INFORMATION CONTACT: the survey instruments. For more Act (FLPMA), and the Federal Advisory Additional information concerning the information on the survey itself, contact Committee Act of 1972 (FACA), the U.S. SMAC may be obtained from Rhonda Dr. Dee Williams in the MMS Alaska Department of the Interior, Bureau of Karges, Management Support Specialist, Regional Office, at (907) 271–6680. Land Management (BLM), Steens Burns District Office, 28910 Highway 20 SUPPLEMENTARY INFORMATION: Mountain Advisory Council (SMAC) West, Hines, Oregon 97738, (541) 573– Title: Survey Instruments— will meet as indicated below: 4400 or [email protected] or Quantitative Description of Potential DATES: The SMAC will meet at the BLM, from the following Web site: http:// Impacts of OCS Activities on Bowhead Burns District Office, 28910 Highway 20 www.or.blm.gov/Steens. Whale Hunting Activities in the West, Hines, Oregon 97738, on February Dated: November 24, 2003. Beaufort Sea. 17, 18 and 19; April 12 and 13, 2004; OMB Control Number: 1010–NEW. June 14 and 15, 2004; August 9 and 10, Karla Bird, Abstract: The Minerals Management 2004; and November 15 and 16, 2004. A Andrews Resource Area Field Manager. Service (MMS) of the U.S. Department meeting in Bend, Oregon, (location to be [FR Doc. 03–29896 Filed 12–1–03; 8:45 am] of the Interior (USDOI) is responsible for determined) will be held on May 10 and BILLING CODE 4310–33–P oil and gas leasing on the Outer 11, 2004 and one in Frenchglen, Oregon, Continental Shelf (OCS) under the OCS on September 13 and 14, 2004. All Lands Act of 1953, the OCS Lands Act meeting sessions will begin at 8 a.m., DEPARTMENT OF THE INTERIOR Amendments of 1978 (OCSLA), and the local time, and will end at National Environmental Policy Act Minerals Management Service approximately 4:30 p.m., local time. (NEPA) of 1969. OCSLA (Section 18) SUPPLEMENTARY INFORMATION: The Agency Information Collection and NEPA (40 CFR 1500–1508) require SMAC was appointed by the Secretary Activities: Submitted for Office of assessment of the effects of OCS oil and of Interior on August 14, 2001 pursuant Management and Budget (OMB) gas activities on adjacent human and to the Steens Act and re-chartered in Review; Comment Request physical environments. Therefore, August 2003. The SMAC’s purpose is to USDOI/MMS acquires and analyzes provide representative counsel and AGENCY: Minerals Management Service and/or oversees collection and analysis advice to the BLM regarding (1) new (MMS), Interior. of environmental, socio-economic, and
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socio-cultural information relevant to According to others, In˜ upiat peoples traditional activities, especially OCS decisions and uses that have ‘‘over adapted’’ to the new bowhead whaling; changes in the information in Environmental industrial economy, which can threaten quality of life in each community, Assessments (EA) and Environmental the long-term survival of cultural measured in both economic and cultural Impact Statements (EIS). traditions and a distinctive way of life. terms; and the way residents view the This study is responsive to concerns Finally, whether the changes that likely future of their communities. among North Slope Borough (NSB) accompany economic development are The information under this proposed residents that oil exploration and positive or destructive depends heavily collection will be obtained through development activities in general, and on the regulatory regimes and mitigation personal interviews with three distinct OCS activities in particular, are having measures that are in place, a final area groups: whaling captains, adult-headed an adverse effect on whale hunting and of contention. Here, complaints have households and elders, and high school In˜ upiat life. There are three general been voiced about the pressure on the juniors and seniors. A separate survey, areas of concern. First are the worries NSB to deal with the accidents and based on previous studies, has been over the physical effects of seismic damages tied to development for which developed for each of these groups. testing; the movement of barges, aircraft, it is not responsible. This puts added The Whaling Captain Survey focuses and other transport vessels; and the stress on the capacity of the NSB to on the patterns of participation in whale erection of platforms. Many think these serve the needs of residents and is hunting activities and the possible disruptions alter the feeding and particularly troublesome in a time of impact of OCS development on these migration patterns of bowhead whales declining revenues and personnel patterns. Demographic questions about and other marine mammals. The result layoffs. age, length of time in the community, is that fall whaling crews must move MMS proposes to collect the education, gender, shareholder status in further out to sea, thereby increasing information in this study: (1) To village and regional corporations, and both the danger and the costs of the describe participation in bowhead family relations will reveal, in part, a hunt. There is also considerable anxiety whale hunting and its importance to captain’s experience, understanding, over the contamination of wild foods and relationship with other traditional and perspectives on social change and and the environment from drilling cuts, activities in three In˜ upiat communities resource development. The Household mudflows, and production water wastes on Alaska’s North Slope and one control Survey focuses on the effects of offshore and petroleum discharges. Many of the community of similar size in the oil industry activities on individual residents in the smaller villages western part of the State; (2) to describe residents, households, and groups in question the long-term consequences of and analyze community assessments of each community. Population altering freshwater habitats by draining the effects of oil and gas development characteristics such as age, number, and lakes to build ice roads; the interference and modernization on participation in relationships of people in the household of oil well structures, fences, and traditional activities, especially and level of education are related to pipeline on caribou crossings and the bowhead whale hunting; (3) to describe changes in employment, income, and behavior of other land mammals; and and analyze community assessments of economic opportunity. Gender, ethnic the ability of local residents to continue desired future conditions for whale background, length of residency, and to access marine and land mammals. hunting and related traditional corporate membership can also result in Secondly, the social, cultural, and activities; and (4) to describe how oil divergent views about subsistence, economic impact of energy development and gas development and other forces of development, language, and many other is a second area of interest and modernization influence these desired factors. The Student Survey focuses on apprehension. There are the direct future conditions for whaling and other perceptions about the effects of OCS oil benefits of economic growth that many traditional activities. The information and gas activities, documents student look forward to, such as more collected will be used in regional EAs attitudes about In˜ upiat traditions, and employment opportunities, more and EISs and will be used to make tracks changes in student behaviors that discretionary income, and improved decisions on future oil and gas lease help assess inter-generational public services. There are also negative sales in the Beaufort Sea, currently continuities. Responses may vary trends associated with industrialization, scheduled for 2005 and 2007. These depending on age, ethnicity, and such as general anomie, excessive data will enhance the ability of MMS gender. alcohol and drug use, abusive and self- and the Secretary of the Interior to make It is assumed in all three surveys that destructive behavior, higher accident fully informed leasing and development Native ancestry is predictably tied to rates, loss of territory, restrictions on decisions about the Beaufort Sea. participation in subsistence and other land use, loss of language and Survey Instruments: An integral traditional cultural activities. Since only subsistence skills, dissolution of family aspect of the research effort is the coastal Alaskan Natives can legally hunt relations, decline in community rituals development and administration of bowhead whales and other marine and festivities, and the dilution of three survey instruments that will mammals, the survey will include only cultural values such as sharing, collect information about the North Native residents. Variation of reciprocity, respect for others, and Slope communities of Barrow, Kaktovik, participation in subsistence and other consensual decision making. and Nuiqsut and the ‘‘control traditional activities among groups, as There is another, more intangible, community’’ of Savoonga on St. well as over time, will be a key worry about what some social scientists Lawrence Island in the Bering Straits. analytical focus. call an ‘‘opportunity-threat impact’’ or The survey data are divided into five Interview Methods: The interviews for fears about what might happen to the broad categories: demographic and each survey will be done face to face in health and well-being of one’s family economic characteristics; quantitative a setting that is most comfortable for the and community. The implications of and qualitative summaries of respondent. This personal method is economic and social change in the participation in bowhead whaling and more expensive and time consuming for Arctic are not fully understood. Some other subsistence activities; an the researchers, but these drawbacks are welcome the transformation of the assessment of residents’ perceptions of outweighed by improvements in the community and the availability of the potential threats and benefits of OCS quality of information obtained and the freshwater, sewers, and better housing. development to subsistence and other rapport established between the
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surveyor and the person interviewed. larger ones. Respondents will be paid Estimated Reporting and Telephone interviews have not been for taking part in the survey. Recordkeeping ‘‘Hour’’ Burden: The successful on the North Slope. Frequency: One-time survey. estimated annual ‘‘hour’’ burden for this Households in Barrow, Kaktovik, information collection is a total of 474 Estimated Number and Description of Nuiqsut, and Savoonga (control village) hours. The following chart details the Respondents: Approximately 614 will be randomly chosen for interviews. individual components and estimated respondents from Alaska’s North Slope To achieve the desired statistical hour burdens. confidence level, smaller communities communities and a control group in are sampled at a higher rate than are western Alaska.
Estimated Estimated annual bur- Personal time value Respondent categories Estimated hour burden number of re- den hours (estimated) spondents (rounded)
Whaling Captains ...... ($30/interview) Barrow ...... 50 minutes ...... 43 36 1290 Kaktovik ...... 50 minutes ...... 10 8 300 Nuiqsut ...... 50 minutes ...... 10 8 300 Savoonga ...... 50 minutes ...... 28 23 840 Subtotal ...... 91 75 $2,730 Households ...... ($20/interview) NSB ...... 45 minutes ...... 281 211 5620 Control Village ...... 45 minutes ...... 70 53 1400 Subtotal ...... 351 264 $7,020 Elders ...... ($30/interview) NSB ...... 50 minutes ...... 42 35 1260 Control Village ...... 50 minutes ...... 20 17 600 Subtotal ...... 62 52 $1,860 High School (total) ...... ($20/interview) 45 minutes ...... 110 83 $2,200 Grand Total ...... 614 474 $13,810
Estimated Reporting and (68 FR 41658) announcing that we made available for public inspection in Recordkeeping ‘‘Non-Hour Cost’’ would submit this ICR to OMB for their entirety. Burden: No non-hour cost burden has approval. The notice provided the MMS Federal Register Liaison Officer: been identified. required 60-day comment period. This Denise Johnson, (202) 208–3976. Public Disclosure Statement: The PRA notice also informed the public that (44 U.S.C. 3501, et seq.) provides that an they may comment at any time on the Dated: September 16, 2003. agency may not conduct or sponsor a collections of information and provided E.P. Danenberger, collection of information unless it the address to which they should send Chief, Engineering and Operations Division. displays a currently valid OMB control comments. We have received no [FR Doc. 03–29887 Filed 12–1–03; 8:45 am] number. Until OMB approves a comments in response to these efforts. BILLING CODE 4310–MR–P collection of information, you are not If you wish to comment in response obligated to respond. to this notice, you may send your Comments: Section 3506(c)(2)(A) of DEPARTMENT OF THE INTERIOR the PRA (44 U.S.C. 3501, et seq.) comments to the offices listed under the ADDRESSES section of this notice. OMB requires each agency ‘‘* * * to provide National Park Service notice * * * and otherwise consult has up to 60 days to approve or with members of the public and affected disapprove the information collection National Register of Historic Places; agencies concerning each proposed but may respond after 30 days. Notification of Pending Nominations collection of information * * *’’ Therefore, to ensure maximum Agencies must specifically solicit consideration, OMB should receive Nominations for the following comments to: (a) Evaluate whether the public comments by January 2, 2004. properties being considered for listing proposed collection of information is Public Comment Policy: MMS in the National Register were received necessary for the agency to perform its practice is to make comments, including by the National Park Service before duties, including whether the names and home addresses of November 15, 2003. Pursuant to § 60.13 information is useful; (b) evaluate the respondents, available for public review of 36 CFR part 60 written comments accuracy of the agency’s estimate of the during regular business hours. If you concerning the significance of these burden of the proposed collection of wish your name and/or address to be properties under the National Register information; (c) enhance the quality, withheld, you must state this criteria for evaluation may be forwarded usefulness, and clarity of the prominently at the beginning of your by United States Postal Service, to the information to be collected; and (d) comment. MMS will honor the request National Register of Historic Places, minimize the burden on the to the extent allowable by the law. National Park Service, 1849 C St., NW., respondents, including the use of However, anonymous comments will 2280, Washington, DC 20240; by all automated collection techniques or not be considered. All submissions from other carriers, National Register of other forms of information technology. organizations or businesses, and from Historic Places, National Park Service, To comply with the public individuals identifying themselves as 1201 Eye St., NW., 8th floor, consultation process, on July 14, 2003, representatives or officials of Washington, DC 20005; or by fax, 202– we published a Federal Register notice organizations or businesses, will be 371–6447. Written or faxed comments
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should be submitted by December 17, Maryland Montana 2003. Baltimore Independent City Cascade County Patrick W. Andrus, Baltimore Gas and Electric Company First United Methodist Church Acting Keeper of the National Register of Building, 39 W. Lexington St., Parsonage, 113 Sixth St., N., Great Historic Places. Baltimore (Independent City), Falls, 03001329 Florida 03001325 Cedarcroft Historic District, Bounded by Lewis and Clark County Duval County Gittings Ave., York Rd., E. Lake Ave. Lynch Building (Downtown Jacksonville and Bellona Ave., Baltimore Helena Railroad Depot Historic District, MPS), 11 Forsyth St., Jacksonville, (Independent City), 03001332 Roughly bounded by Railroad/Helena 03001310 Equitable Gas Works, 1401 Severn St., Aves., Gallatin St., N. Sanders St. and Baltimore (Independent City), N. Harris St., Helena, 03001330 Union County 03001322 Lake Butler Woman’s Club, (Clubhouses Federal Hill South Historic District, Nebraska of Florida’s Woman’s Clubs MPS) 285 Roughly bounded by Cross St., Olive Lancaster County NE. First Ave., Lake Butler, 03001309 St., Marshall St., Ostend St., Fort Ave. Stuart Building, 13th and P Sts., Hawaii and Covington St., Baltimore (Independent City), 03001331 Lincoln, 03001341 Hawaii County Lake—Evesham Historic District, Ohio Guard, Thomas, House, 240 Kaiulani Roughly bounded by East Lake Ave., St., Hilo, 03001311 York Rd, Evesham Ave., and Bellona Franklin County Ave. Baltimore (Independent City), Indiana 03001323 Cambridge Arms Apartment (East Broad Carroll County Radnor—Winston Historic District, Street MRA), 5926 W. Broad St., Camden Masonic Temple, 213 W. Main Roughly bounded by Notre Dame Ln., Columbus, 03001338 St., Camden, 03001313 College of Notre Damem Radnor Ave. Carroll County Courthouse, 101 W. and York Rd., Baltimore (Independent Tennessee Main St., Delphi, 03001317 City), 03001327 Williamson County Woodberry Historic District, Roughly Dearborn County Clipper Ave, Druid Park Dr., Girard, Craig—Beasley House, 503 Boyd Mill Major, Daniel S., House, 761 W. Eads Hooper, Keystone, Malden, Parkdale Ave., Franklin, 03001342 Pkwy., Lawrenceburg, 03001320 and Rockrose Aves., Baltimore Washington Elkhart County (Independent City), 03001326 Spokane County Nappaness Eastside Historic District, Frederick County Roughly bounded by Market, Main, Middletown Historic District, Including Turner, Luther P. and Jane Marie, John and Summit Sts., Nappanee, E and W Main St., Green St., House, E. 1521 Illinois Ave, Spokane, 03001321 Washington St., Jefferson St., Church 03001343 Grant County St., and Walnut St., Middletown, Williams, James and Corinne, House, 03001334 Gas City High School (Indiana’s Public 1225 W. 19th Ave., Spokane, Common and High Schools MPS) 400 St. Mary’s County 03001344 East South A St., Gas City, 03001316 Abell House, 22530 Washington St., MD Wyoming Jasper County 326, Leonardtown, 03001324 All Faith Church, 38885 New Market Lincoln County Remington Water Tower and Town Hall, Turner Rd., Charlotte Hall, 03001328 3 E. Michigan St., Remington, Haddenham Cabin, Fossil Butte 03001314 Washington County National Monument, Kemmerer, 03001339 Montgomery County Donnelly, Daniel, House, 14906 Falling Waters Rd., Williamsport, 03001333 Steele, T.C., Boyhoos Home, 110 S. Park County Cross St., Waveland, 03001318 Minnesota Grand Loop Road Historic District, Noble County Freeborn County Grand Loop Rd., Yellowstone Kendallville Downtown Historic Albert Lea Commercial Historic District National Park, 03001345 District, Roughly bounded by Harris (Boundary Increase and Decrease), A request for removal has been made and Rush Sts., the alleys E and W of Broadway Ave. bet. Water and Pearl for the following resource: Main, Kenallville, 03001315 Sts., Albert Lea, 03001337 Minnesota Posey County Hennepin County Elliott, James, Farm, Church St.—IN 66, Calhoun Beach Club, 2730 W. Lake St., Pope County New Harmony, 03001312 Minneapolis, 03001335 Lakeside Pavilion, S. Lakeshore Dr. and Station 13 Minneapolis Fire Wayne County First Ave., SW., Glenwood, 98001444 Department, 4201 Cedar Ave. S, Old Richmond Historic District Minneapolis, 03001340 [FR Doc. 03–29877 Filed 12–1–03; 8:45 am] (Boundary Increase and Decrease), BILLING CODE 4312–51–P Roughly bounded by A, 11th E Sts., Nobles County and the C & O Railroad tracks, Dayton, George D., House, 1311 4th Richmond, 03001319 Ave., Worthington, 03001336
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DEPARTMENT OF THE INTERIOR Washington County St., Academy Hill, Old Cemetery Rd., Leitersburg Historic District, Macks Mountain Rd., Peacham, National Park Service Leitersburg-Smithsburg Rd., Leiter St., 03001308 National Register of Historic Places; Leiter’s Mill Rd., Ringgold St., [FR Doc. 03–29878 Filed 12–1–03; 8:45 am] Notification of Pending Nominations Leitersburg, 03001295 BILLING CODE 4312–51–P Rockledge, 13535 Foxfire Ln., Nominations for the following Hagerstown, 03001292 properties being considered for listing Montana INTERNATIONAL TRADE in the National Register were received COMMISSION by the National Park Service before Custer County [Investigation No. 731–TA–1021 (Final)] November 8, 2003. Pursuant to § 60.13 Shore, Thomas and Beulah, House, 602 of 36 CFR part 60 written comments S. Strevell Ave., Miles City, 03001299 Malleable Iron Pipe Fittings From concerning the significance of these China properties under the National Register Lewis and Clark County criteria for evaluation may be forwarded Dearborn River High Bridge, 15 mi. SW. Determination by United States Postal Service, to the of Augusta on Bean Lake Rd., On the basis of the record 1 developed National Register of Historic Places, Augusta, 03001298 in the subject investigation, the United National Park Service, 1849 C St., NW., Missoula County States International Trade Commission 2280, Washington, DC 20240; by all (Commission) determines, pursuant to other carriers, National Register of Reid House, 526 E. Front, Missoula, 03001297 section 735(b) of the Tariff Act of 1930 Historic Places, National Park Service, (19 U.S.C. 1673d(b)) (the Act), that an 1201 Eye St., NW., 8th floor, New Jersey industry in the United States is Washington, DC 20005; or by fax, 202– Camden County threatened with material injury by 371–6447. Written or faxed comments reason of imports from China of should be submitted by December 17, St. Joseph Polish Catholic Church, 1010 malleable iron pipe fittings, provided 2003. Liberty St., Camden City, 03001307 for in subheading 7307.19.90 of the Carol D. Shull, Salem County Harmonized Tariff Schedule of the United States, that have been found by Keeper of the National Register of Historic Alloways Creek Friends Meetinghouse, the Department of Commerce Places. Buttonwood Ave, 150 ft. W. of Main (Commerce) to be sold in the United St., Hancock’s Bridge, 03001306 Florida States at less than fair value (LTFV). New York Lee County Background Punta Gorda Fish Company Cabin (Fish Dutchess County The Commission instituted this Cabins of Charlotte Harbor MPS), Quaker Lane Farms, 11 Ruskey Ln., investigation effective October 30, 2002, Pines Island Sound, Bokeelia, Hyde Park, 03001303 following receipt of a petition filed with 03001289 the Commission and Commerce by New York County Indiana Anvil International, Inc., Portsmouth, Corbin Building, 192 Broadway, New NH, and Ward Manufacturing, Inc., Lake County York, 03001302 Blossburg, PA. The final phase of the First National Bank and Trust Company, Onondaga County investigation was scheduled by the Commission following notification of a 720 W. Chicago Ave., East Chicago, Brook Farm, 2870 W. Lake Rd., 03001291 preliminary determination by Skaneateles, 03001304 Commerce that imports of malleable Iowa North Carolina iron pipe fittings from China were being Scott County sold at LTFV within the meaning of Wake County section 733(b) of the Act (19 U.S.C. Crescent Warehouse Historic District, Wake Forest Historic District (Wake 1673b(b)). Notice of the scheduling of portions of E. 4th St., E. 5th St., Iowa County MPS), Bounded by Oak St., the final phase of the Commission’s St. and Pershing Ave., Devenport, RR tracks, Holding St., W. Vernon investigation and of a public hearing to 03001290 Ave., S. Wingate, N. Wingate, Durham be held in connection therewith was Maryland Rd. and N. College Sts., Wake Forest, given by posting copies of the notice in 03001301 the Office of the Secretary, U.S. Baltimore Independent City West Raleigh Historic District, Roughly International Trade Commission, bounded by Mayview Rd., Enterprise Hochschild, Kohn Belvedere and Hess Washington, DC, and by publishing the St., Hillsbourgh St. and Faircloth St., Shoes, 5911 York Rd. and 510 notice in the Federal Register of July 10, Raleigh, 03001300 Belvedere Ave., Baltimore 2003 (68 FR 41176). The hearing was (Independent City), 03001296 Tennessee held in Washington, DC, on October 23, 2003, and all persons who requested the Oakenshawe Historic District, roughly Madison County opportunity were permitted to appear in bounded by York Rd., University person or by counsel. Pkwy., Calvert St., and Southway, Oakslea Place, 1210 N. Highland Ave., The Commission transmitted its Baltimore (Independent City), Jackson, 03001305 determination in this investigation to 03001293 Vermont the Secretary of Commerce on December Queen Anne’s County Caledonia County 1 The record is defined in sec. 207.2(f) of the Stratton, 3102 Ruthsburg Rd., Peacham Corner Historic District, Commission’s Rules of Practice and Procedure (19 Centreville, 03001294 Bayley Hazen Rd., Main St., Church CFR 207.2(f)).
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3, 2003. The views of the Commission Representative, Office of Chief Counsel factors in Title 21, United States Code, are contained in USITC Publication (CCD) and must be filed no later than Section 823(a) and determined that the 3649 (December 2003), entitled (30 days from publication). registration of American Radiolabeled Malleable Iron Pipe Fittings from China: This procedure is to be conducted Chemical, Inc. to manufacture the listed Investigation No. 731–TA–1021 (Final). simultaneously with and independent controlled substances is consistent with Issued: November 25, 2003. of the procedures described in 21 CFR the public interest at this time. DEA has 1301.34(b), (c), (d), (e), and (f). As noted By order of the Commission. investigated American Radiolabeled in a previous notice at 40 FR 43745–46 Chemical, Inc. to ensure that the Marilyn R. Abbott, (September 23, 1975), all applicants for company’s registration is consistent Secretary to the Commission. registration to import basic class of any with the public interest. This [FR Doc. 03–29959 Filed 12–1–03; 8:45 am] controlled substance in Schedule (or II investigation has included inspection BILLING CODE 7020–02–P are and will continue to be required to and testing of the company’s physical demonstrate to the Deputy Assistant security systems, verification of the Administrator, Office of Diversion company’s compliance with state and DEPARTMENT OF JUSTICE Control, Drug Enforcement local laws, and a review of the Administration that the requirements company’s background and history. Drug Enforcement Administration for such registration pursuant to 21 Therefore, pursuant to 21 U.S.C. 823 U.S.C. 958(a), 21 U.S.C. 823(a), and 21 and 28 CFR 0.100 and 0.104, the Deputy Importation of Controlled Substances; CFR 1211.42(a), (b), (c), (d), (e), and (f) Assistant Administrator, Office of Notice of Application are satisfied. Diversion Control, hereby orders that Pursuant to Section 1008 of the Dated: November 14, 2003. the application submitted by the above Controlled Substances Import and Laura M. Nagel, firm for registration as a bulk Export Act (21 U.S.C. 958(1)), the Deputy Assistant Administrator, Office of manufacturer of the basic classes of Attorney General shall, prior to issuing Diversion Control, Drug Enforcement controlled substances listed is granted. a registration under this Section to a Administration. Dated: November 19, 2003. bulk manufacturer of a controlled [FR Doc. 03–29964 Filed 12–1–03; 8:45 am] Laura M. Nagel, substance in Schedule II and prior to BILLING CODE 4410–09–M Deputy Assistant Administrator, Office of issuing a registration under Section Diversion Control, Drug Enforcement 1002(a) authorizing the importation of Administration. such a substance, provide DEPARTMENT OF JUSTICE [FR Doc. 03–29976 Filed 12–01–03; 8:45 am] manufacturers holding registration for BILLING CODE 4410–09–M the bulk manufacture of the substance Drug Enforcement Administration an opportunity for a hearing. Manufacturer of Controlled Therefore, in accordance with Section DEPARTMENT OF JUSTICE Substances; Notice of Registration 1301.34 of Title 21, Code of Federal Regulations (CFR), notice is hereby By Notice dated August 19, 2003, and Drug Enforcement Administration given that on May 30, 2003, Abbott published in the Federal Register on Manufacturer of Controlled Laboratories, 1776 North Centennial September 2, 2003, (68 FR 52224), Substances; Notice of Registration Drive, McPherson, Kansas 67460–1247, American Radiolabeled Chemical, Inc., made application by renewal to the 11624 Bowling Green Drive, St. Louis, By Notice dated August 19, 2003, and Drug Enforcement Administration to be Missouri 63146, made application by published in the Federal Register on registered as an importer of renewal to the Drug Enforcement September 2, 2003, (68 FR 52224), Remifentanil (9739), a basic class of Administration for registration as a bulk Cambrex Charles City, Inc., 1205 11th controlled substance listed in Schedule manufacturer of the basic classes of Street, Charles City, Iowa 50616, made II. controlled substances listed below: application by letter to the Drug The firm plans to import the Enforcement Administration for remifentanil to manufacture a controlled Drug Schedule registration as a bulk manufacturer of substance for distribution to its Dextropropoxyphene (9273), a basic Gamma Hydroxybutyric Acid I customers. class of Schedule II controlled Any manufacturer holding, or (2010). Lysergic acid diethylamide (7315) I substance. applying for, registration as a bulk Dimethyltryptamine (7435) ...... I The firm plans to manufacture bulk manufacturer of this basic class of Dihydromorphine (9145) ...... I controlled substances for distribution to controlled substances may file written Phencyclidine (7471) ...... II its customers. comments on or objections to the Cocaine (9041) ...... II No comments or objections have been application described above and may, at Codeine (9050) ...... II received. DEA has considered the the same time, file a written request for Oxycodone (9143) ...... II factors in title 21, United States Code, a hearing on such application in Hydromorphone (9150) ...... II section 823(a) and determined that the accordance with 21 CFR 1301.43 in Benzoylecgonine (9180) ...... II regulation of Cambrex Charles City, Inc. Meperidine (9230) ...... II such form as prescribed by 21 CFR Metazocine (9240) ...... II to manufacture the listed controlled 1316.47. Morphine (9300) ...... II substance is consistent with the public Any such comments, objections, or Thebaine (9333) ...... II interest at this time. DEA has requests for a hearing may be addressed, Oxymorphone (9652) ...... II investigated Cambrex Charles City, Inc. in quintuplicate, to the Deputy Assistant to ensure that the company’s Administrator, Office of Diversion The firm plans to bulk manufacturer registration is consistent with the public Control, Drug Enforcement small quantities of the listed controlled interest. This investigation has included Administration, United States substances as radiolabeled compounds. inspection and testing of the company’s Department of Justice, Washington, DC No comments or objections have been physical security systems, verification 20537, Attention: Federal Register received. DEA has considered the of the company’s compliance with state
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and local laws, and a review of the class of controlled substance listed firm for registration as a bulk company’s background and history. above. manufacturer of the basic classes of Therefore, pursuant to 21 U.S.C. 823 Dated: November 14, 2003. controlled substances listed is granted. and 28 CFR 0.100 and 0.104, the Deputy Laura M. Nagel, Dated: November 14, 2003. Assistant Administrator, Office of Deputy Assistant Administrator, Office of Laura M. Nagel, Diversion Control, hereby orders that Diversion Control, Drug Enforcement Deputy Assistant Administrator, Office of the application submitted by the above Administration. Diversion Control, Drug Enforcement firm for registration as a bulk [FR Doc. 03–29971 Filed 12–1–03; 8:45 am] Administration. manufacturer of the basic class of BILLING CODE 4410–09–M [FR Doc. 03–29972 Filed 12–1–03; 8:45 am] controlled substance listed is granted. BILLING CODE 4410–09–M Dated: November 19, 2003. Laura M. Nagel, DEPARTMENT OF JUSTICE DEPARTMENT OF JUSTICE Deputy Assistant Administrator, Office of Drug Enforcement Administration Diversion Control, Drug Enforcement Drug Enforcement Administration Administration. Manufacturer of Controlled [FR Doc. 03–29974 Filed 12–1–03; 8:45 am] Substances; Notice of Registration Manufacturer of Controlled BILLING CODE 4410–09–M Substances; Notice of Registration By Notice dated June 25, 2003, and published in the Federal Register on By Notice dated August 19, 2003, and DEPARTMENT OF JUSTICE July 14, 2003, (68 FR 41661), Cambrex published in the Federal Register on North Brunswick, Inc., Technology September 2, 2003, (68 FR 52224), Drug Enforcement Administration Centre of New Jersey, 661 Highway One, Cambridge Isotope Laboratories, Inc., 50 North Brunswick, New Jersey 08902, Frontage Road, Andover, Massachusetts Importer of Controlled Substances; made application by renewal to the 01810, made application by renewal to Notice of Registration Drug Enforcement Administration for the Drug Enforcement Administration registration as a bulk manufacturer of By Notice dated June 25, 2003 and for registration as a bulk manufacturer the basic classes of controlled of the basic classes of controlled published in the Federal Register on substances listed below: July 14, 2003, (68 FR 41661), Cambrex substances listed below: North Brunswick, Inc., Technology Drug Schedule Drug Schedule Center of New Jersey, 661 Highway One, North Brunswick, New Jersey 08902, N-Ethylamphetamine (1475) ...... I Methaqualone (2565) ...... I made application by renewal to the Tetrahydrocannabinols (7370) ..... I Dimethyltryptamine (7435 ...... I Drug Enforcement Administration 2,5-Dimethoxyamphetamine I Amphetamine (1100) ...... II (DEA) to be registered as an importer of (7396). Methamphetamine (1105) ...... II 3,4-Methylenedioxyamphetamine I Pentobarbital (2270) ...... II Phenylacetone (8501), a basic class of (7400). controlled substance listed in Schedule Secobartbital (2315) ...... II 4-Methoxyamphetamine (7411) ... I Phencyclidine (7471) ...... II II. Amphetamine (1100) ...... II Cocaine (9041) ...... II The firm plans to import the listed Methamphetamine (1105) ...... II Codeine (9050) ...... II controlled substance to manufacture Methylphenidate (1724) ...... II Oxycodone (9143) ...... II amphetamine. Morphine (9300) ...... II Hydromorphone (9150) ...... II Fentanyl (9801) ...... II Benzoylecgonine (9180) ...... II No comments or objections have been Methadone (9250) ...... II received. DEA has considered the The firm plans to manufacture the Dextropropoxyphene (9273) ...... II factors in title 21, United States Code, listed controlled substances for Morphine (9300) ...... II section 823(a) and determined that the distribution to its customers. Fentanyl (9801) ...... II registration of Cambrex North No comments or objections have been Brunswick, Inc. to import the listed received. DEA has considered the The firm plans to manufacture small controlled substance is consistent with factors in title 21, United States Code, quantities of the listed controlled the public interest and with United section 823(a) and determined that the substances to produce isotope labeled States obligations under international registration of Cambrex North standards for drug analysis. treaties, conventions, or protocols in Brunswick, Inc. to manufacture the No comments or objections have been effect on May 1, 1971, at this time. DEA listed controlled substances is received. DEA has considered the has investigated Cambrex North consistent with the public interest at factors in Title 21, United States Code, Brunswick, Inc. on a regular basis to this time. DEA has investigated Section 823(a) and determined that the ensure that the company’s continued Cambrex North Brunswick, Inc. to registration of Cambridge Isotope registration is consistent with the public ensure that the company’s registration is Laboratories, Inc. to manufacture the interest. This investigation included consistent with the public interest. This listed controlled substances is inspection and testing of the company’s investigation has included inspection consistent with the public interest at physical security systems, verification and testing of the company’s physical this time. DEA has investigated of the company’s compliance with state security systems, verification of the Cambridge Isotope Laboratories, Inc. to and local laws, and a review of the company’s compliance with State and ensure that the company’s registration is company’s background and history. local laws, and a review of the consistent with the public interest. this Therefore, pursuant to Section 1008(a) company’s background and history. investigation has included inspection of the Controlled Substances Import and Therefore, pursuant to 21 U.S.C. 823 and testing of the company’s physical Export Act and in accordance with title and 28 CFR 0.100 and 0.104, the Deputy security systems, verification of the 21, Code of Federal Regulations, section Assistant Administrator, Office of company’s compliance with state and 1301.34, the above firm is granted Diversion Control, hereby orders that local laws, and a review of the registration as an importer of the basic the application submitted by the above company’s background and history.
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Therefore, pursuant to 21 U.S.C. 823 Proceedings and Motion for Summary DEA does not have statutory authority and 28 CFR 0.100 and 0.104, the Deputy Judgment. The Government asserted under the Controlled Substances Act to Assistant Administrator, Office of that the Respondent is without issue or maintain a registration if the Diversion Control, hereby orders that authorization to handle controlled applicant or registrant is without state the application submitted by the above substances in the State of Pennsylvania, authority to handle controlled firm for registration as a bulk and as a result, further proceedings in substances in the state in which he manufacturer of the basic classes of the matter were not required. On conducts business. See 21 U.S.C. controlled substances listed is granted. November 6, 2002, Judge Bittner issued 802(21), 823(f) and 824(a)(3). This Dated: November 19, 2003. a Memorandum to Counsel staying the prerequisite has been consistently Laura M. Nagel, Order for Filing Prehearing Statements, upheld. See Kanwaljit S. Serai, M.D., 68 and afforded the Respondent until FR 48943 (2003); Dominick A. Ricci, Deputy Assistant Administrator, Office of Diversion Control, Drug Enforcement November 25, 2002, to respond to the M.D., 58 FR 51104 (1993); Bobby Watts, Administration. Government’s Motion. The Respondent M.D., 53 FR 11919 (1988). The agency [FR Doc. 03–29977 Filed 12–1–03; 8:45 am] did not file a response. has further held that a person may not Accordingly, on January 13, 2003, hold a DEA registration even if the loss BILLING CODE 4410–09–M Judge Bittner issued her Opinion and of state authority is due to the Recommended Decision of the expiration of state licensure without DEPARTMENT OF JUSTICE Administrative Law Judge (Opinion and further action by the state. William D. Recommended Decision). As part of her Levitt, D.O., 64 FR 49,822 (1999). Drug Enforcement Administration recommended ruling, Judge Bittner Here, it is clear that the Respondent granted the Government’s Motion for is not currently licensed to handle [Docket No. 3–4] Summary Disposition and found that controlled substances in Pennsylvania, Anthony D. Dinozzi, D.D.S., Revocation the Respondent lacked authorization to where he is registered with DEA. of Registration handle controlled substances in Therefore, he is not entitled to maintain Pennsylvania, the jurisdiction in which that registration. Because the On September 25, 2002, the Deputy the is registered with DEA. In granting Respondent is not entitled to a DEA Assistant Administrator, Office of the Government’s motion, Judge Bittner registration in Pennsylvania due to his Diversion Control, Drug Enforcement also recommended that the lack of state authorization to handle Administration (DEA), issued an Order Respondent’s DEA registration be controlled substances, the Acting to Show Cause to Anthony David revoked and any pending applications Deputy Administrator concludes that it Dinozzi, D.D.S. (Respondent) notifying for modification or renewal be denied. is unnecessary to address whether the him of an opportunity to show cause as No exceptions were filed by either party Respondent’s registration should be to why DEA should not revoke his DEA to Judge Bittner’s Opinion and revoked based upon the other grounds Certificate of Registration, BD4361692 Recommended Decision, and on asserted in the Order to Show Cause. under 21 U.S.C. 824(a)(2), (a)(3), and February 19, 2003, the record of these See Cordell Clark, M.D., 68 FR 48942 (a)(4). The Order to Show Cause further proceedings was transmitted to the (2003); Nathaniel-Aikens-Afful, M.D., 62 sought to deny any pending Office of the DEA Deputy FR 16871 (1997); Sam F. Moore, D.V.M., applications for renewal or modification Administrator. 58 FR 14428 (1993). of the Repsondent’s registration for The Acting Deputy Administrator has Accordingly, the Acting Deputy reasons that he was convicted of a considered the record in its entirety and Administrator of the Drug Enforcement felony offense related to controlled pursuant to 21 CFR 1316.67, hereby Administration, pursuant to the substances, is not authorized to handle issues her final order based upon authority vested in her by 21 U.S.C. 823 controlled substances, and his findings of fact and conclusions of law and 824 and 28 CFR 0.100(b) and 0.104, continued registration would be as hereinafter set forth. The Acting hereby orders that DEA Certificate of inconsistent with the public interest. Deputy Administrator adopts, in full, Registration, BD4361692, issued to Specifically, the Order to Show the Opinion and Recommended Anthony David Dinozzi, D.D.S., be, and alleged that the Respondent is not Decision of the Administrative Law it hereby is, revoked. The Acting Deputy authorized under state law to handle Judge. Administrator further orders that any controlled substances based upon the The Acting Deputy Administrator pending applications for renewal of March 31, 2001, expiration of his finds that the Respondent currently such registration be, and they hereby Pennsylvania state license to practice possesses DEA Certificate of are, denied. This order is effective dentistry. The Order to Show Cause Registration BD4361692, and is January 2, 2004. further alleged that the Respondent was registered to handle controlled convicted in Clermont County, Ohio on substances in Pennsylvania. The Acting Dated: November 13, 2003. charges of Tampering with Evidence (a Deputy Administrator further finds that Michele M. Leonhart, third degree felony) and Aggravated on March 31, 2001, the Respondent Acting Deputy Administrator. Trafficking in Drugs under Bulk (a license to practice dentistry expired. [FR Doc. 03–29966 Filed 12–01–03; 8:45 am] fourth degree felony). There is no evidence before the Acting BILLING CODE 4410–09–M By letter dated October 11, 2002, the Deputy Administrator that the Respondent, acting pro se, timely Respondent has applied for, and been requested a hearing in this matter. On granted renewal of his Pennsylvania DEPARTMENT OF JUSTICE October 25, 2002, the presiding dental license. Therefore, the Acting Administrative Law Judge Mary Ellen Deputy Administrator finds that the Drug Enforcement Administration Bittner (Judge Bittner) issued to the Respondent is currently not licensed to Manufacturer of Controlled Government as well as the Respondent practice dentistry in Pennsylvania and Substances; Notice of Application an Order for Prehearing Statements. as a result, it is reasonable to infer that In view of filing a prehearing he is also without authorization to Pursuant to Section 1301.33(a) of Title statement, the Government filed handle controlled substances in that 21 of the Code of Federal Regulations Government’s Request for Stay of state. (CFR), this is notice that on April 25,
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2003, Lifepoint, Inc., 10400 Trademark Drug Schedule Order to Show Cause alleged that the Street, Rancho Cucamonga, California Respondent’s DEA Certificate of 91730, made application by renewal to Tetrahydrocannabinols (7370) ..... I Registration should be revoked because the Drug Enforcement Administration 3,4- I the Respondent was without (DEA) for registration as a bulk Methylenedioxymethamphetam- authorization to handle controlled ine (7405). substances. The Order to Show Cause manufacturer of the basic classes of Amphetamine (1100) ...... II controlled substances listed below: Methamphetamine (1105) ...... II further sought denial of any pending Secobarbital (2315) ...... II applications for registration based on Drug Schedule Phencyclidine (7471) ...... II allegations that the Respondent’s Cocaine (9041) ...... II continued registration would be Tetrahydrocannabinols (7370) ..... I Methadone (9250) ...... II inconsistent with the public interest. 3,4-Methylenedioxyamphetamine I Dextropropoxyphene (9273) ...... II Specifically, the Order to Show alleged (7400). Morphine (9300) ...... II that effective March 15, 2002, the 3,4-Methylenedioxy-N- I California Medical Board (Medical ethylamphetamine (7404). The firm plans to manufacture small Board) ordered that Respondent be 3,4- I quantities of controlled substances to prohibited from handling controlled Methylenedioxymethamphetam- make drug testing reagents and controls. substances based upon acts of ine (7405). No comments or objections have been Amphetamine (1100) ...... II negligence in both his care of patients received. DEA has considered the and billing practices. The Order to Methamphetamine (1105) ...... II factors in Title 21, United States Code, phencyclidine (7471) ...... II Show Cause further alleged that a DEA Section 823(a) and determined that the investigation revealed the Respondent’s Benzoylecogonine (9180) ...... II registration of LinZhi International, Inc. Morphine (9300) ...... II failure to adhere to various DEA- to manufacture the listed controlled recordkeeping requirements. substances is consistent with the public By letter dated September 30, 2002, The firm plans to produce small interest at this time. DEA has the Respondent, acting pro se, timely quantities of controlled substances for investigated Lin-Zhi International, Inc. requested a hearing in this matter. On use in drug test kits. to ensure that the company’s October 15, 2002, the presiding Any other such applicant and any registration is consistent with the public Administrative Law Judge Mary Ellen person who is presently registered with interest. This investigation has included Bittner (Judge Bittner) issued to the DEA to manufacture such substances inspection and testing of the company’s Government as well as the Respondent may file comments or objections to the physical security systems, verification an Order for Prehearing Statements. issuance of the proposed registration. of the company’s compliance with state In lieu of filing a prehearing and local laws, and a review of the Any such comments or objectives may statement, the Government filed company’s background and history. be addressed, in quintuplicate, to the Government’s Request for Stay of Therefore, pursuant to 21 U.S.C. 823 Deputy Assistant Administrator, Office Proceedings and Motion for Summary and 28 CFR 0.100 and 0.104, the Deputy of Diversion Control, Drug Enforcement Judgment. The Government argued that Assistant Administrator, Office of Administration, United States the Respondent is without authorization Diversion Control, hereby orders that to handle controlled substances in the Department of Justice, Washington, DC the application submitted by the above State of California, and as a result, 20537, Attention: Federal Register firm for registration as bulk further proceedings in the matter were Representative, Office of Chief Counsel manufacturer of the basic classes of not required. Attached to the (CCD) and must be filed no later than controlled substances listed is granted. Government’s motion was a copy of a February 2, 2004. Dated: November 19, 2003. declaration from the Medical Board’s Dated: November 14, 2003. Laura M. Nagel, Chief of Enforcement who averred among other things, that on March 15, Laura M. Nagel, Deputy Assistant Administrator, Office of Deputy Assistant Administrator, Office of Diversion Control, Drug Enforcement 2002, the Medical Board issued an Diversion Control, Drug Enforcement Administration. Interim Order of Suspension summarily Administration. [FR Doc. 03–29975 Filed 12–1–03; 8:45 am] suspending the Respondent’s medical license. The Medical Board [FR Doc. 03–29961 Filed 12–1–03; 8:45 am] BILLING CODE 4410–09–M BILLING CODE 4410–09–M representative further stated that as of October 25, 2002, the Medical Board’s DEPARTMENT OF JUSTICE Interim Order of Suspension remained DEPARTMENT OF JUSTICE in effect. On November 7, 2002, Judge Drug Enforcement Administration Bittner issued a Memorandum to Drug Enforcement Administration Counsel staying the filing or prehearing [Docket No. 03–2] statements and afforded the Respondent Manufacturer of Controlled Jules M. Lusman, M.D., Revocation of until November 26, 2002, to respond to Substances; Notice of Registration Registration the Government’s Motion. On or around October 30, 2002, the By Notice dated August 19, 2003, and On September 6, 2002, the Deputy Respondent filed a prehearing statement published in the Federal Register on Assistant Administrator, Office of where he disputed allegations that he September 2, 2003, (68 FR 52225), Diversion Control, Drug Enforcement maintained inadequate records of his LinZhi International, Inc., 687 North Administration (DEA), issued an Order handling of controlled substances. The Pastoria Avenue, Sunnyvale, California to Show Cause to Jules Lusman, M.D. Respondent maintained that his 94085, made application to the Drug (Respondent) notifying him of an procedures for handling controlled Enforcement Administration for opportunity to show cause as to why substances were proper, and that registration as a bulk manufacturer of DEA should not revoke his DEA prosecution witnesses offered biased the basic classes of controlled Certificate of Registration, BL2210300 testimony in the previous Board substances listed below: under 21 U.S.C. 824(a)(3) and (a)(4). The proceeding involving the Respondent’s
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medical license. However, the is no evidence before the Acting Deputy DEPARTMENT OF JUSTICE Respondent did not refute the allegation Administrator that the Interim Order of that he is presently without Suspension has been lifted or modified. Drug Enforcement Administration authorization to handle controlled Therefore, the Acting Deputy Manufacturer of Controlled substances in California. Administrator finds that the Respondent Substances; Notice of Application On December 10, 2002, the is currently not licensed to practice Respondent filed a copy of a document medicine in California and as a result, Pursuant to Section 1301.33(a) of Title entitled Petition for Peremptory Writ of it is reasonable to infer that he is also Mandate C.C.P. Section 1094.5. The writ 21 of the Code of Federal Regulations without authorization to handle apparently relates to a proceeding in the (CFR), this is notice that on September controlled substances in that state. Superior Court for the County of Los 11, 2003 and September 18, 2003, Angeles, where the Respondent asserted DEA does not have statutory authority National Center for Development of that in or around November 2002, the under the Controlled Substances Act to Natural Products, The University of Medical Board revoked his medical issue or maintain a registration if the Mississippi, 135 Coy Waller Lab license effective December 6, 2002, that applicant or registrant is without state Complex, University, Mississippi 38677, the Medical Board’s actions were not authority to handle controlled made application by renewal to the supported by evidence, and that the substances in the state in which he Drug Enforcement Administration (DEA) for registration as a bulk Medical Board’s revocation action was conducts business. See 21 U.S.C. manufacturer of the basic classes of an abuse of its discretion. However, the 802(21), 823(f) and 824(a)(3). This controlled substances listed below: Respondent again did not deny that he prerequisite has been consistently is without authorization to handle upheld. See Karen Joe Smiley, M.D., 68 Drug Schedule controlled substances. FR 48944 (2003); Dominick A. Ricci, On January 13, 2003, Judge Bittner M.D., 58 FR 51104 (1993); Bobby Watts, Marihuana (7360) ...... I issued her Opinion and Recommended M.D., 53 FR 11919 (1988). Tetrahydrocannabinols (7370) ..... I Decision of the Administrative Law Judge (Opinion and Recommended Here, it is clear that the Respondent The firm plans to bulk manufacture Decision). As part of her recommended is not currently licensed to handle for product development. ruling, Judge Bittner granted the controlled substances in California, Government’s Motion for Summary where he is registered with DEA. Any other such applicant and any Disposition and found that the Therefore, he is not entitled to maintain person who is presently registered with Respondent lacked authorization to that registration. Because the DEA to manufacture such substances handle controlled substances in Respondent is not entitled to a DEA may file comments or objections to the issuance of the Proposed registration. California, the jurisdiction in which he registration in California due to his lack is registered with DEA. In granting the of state authorization to handle Any such comments or objections Government’s motion, Judge Bittner also controlled substances, the Acting may be addressed, in quintuplicate, to recommended that the Respondent’s Deputy Administrator concludes that it the Deputy Assistant Administrator, Office of Diversion Control, Drug DEA registration be revoked and any is unnecessary to address whether the pending applications for modification or Enforcement Administration, United Respondent’s registration should be renewal be denied. No exceptions were States Department of Justice, revoked based upon the other grounds filed by either party to Judge Bittner’s Washington, DC 20537, Attention: Opinion and Recommended Decision, asserted in the Order to Show Cause. Federal Register Representative, Office and on February 20, 2003, the record of See Fereida Walker-Graham, M.D., 68 of Chief Counsel (CCD) and must be these proceedings was transmitted to FR 24761 (2003); Nathaniel-Aikens- filed no later than February 2, 2004. Afful, M.D., 62 FR 16871 (1997); Sam F. the Office of the DEA Deputy Dated: November 14, 2003. Administrator. Moore, D.V.M., 58 FR 14428 (1993). Laura M. Nagel, The Acting Deputy Administrator has Accordingly, the Acting Deputy Deputy Assistant Administrator, Office of considered the record in its entirety and Administrator of the Drug Enforcement pursuant to 21 CFR 1316.67, hereby Diversion Control, Drug Enforcement Administration, pursuant to the Administration. issues her final order based upon authority vested in her by 21 U.S.C. 823 findings of fact and conclusions of law [FR Doc. 03–29962 Filed 12–1–03; 8:45 am] and 824 and 28 CFR 0.100(b) and 0.104, BILLING CODE 4410–09–M as hereinafter set forth. The Acting hereby orders that DEA Certificate of Deputy Administrator adopts, in full, Registration, BL2210300, issued to Jules the Opinion and Recommended M. Lusman, M.D., be, and it hereby is, DEPARTMENT OF JUSTICE Decision of the Administrative Law revoked. The Acting Deputy Judge. Drug Enforcement Administration The Acting Deputy Administrator Administrator further orders that any finds that the Respondent currently pending applications for renewal of Importer of Controlled Substances; possesses DEA Certificate of such registration be, and they hereby Notice of Registration Registration BL2210300, and is are, denied. This order is effective registered to handle controlled January 2, 2004. By Notice dated July 2, 2003 and substances in the State of California. Dated: November 13, 2003. published in the Federal Register on July 21, 2003, (68 FR 431650, Noramco The Acting Deputy Administrator Michele M. Leonhart, further finds that on March 15, 2002, the Inc., 500 Old Swedes Landing Road, Medical Board issued an Interim Order Acting Deputy Administrator. Wilmington, Delaware 19801, made of Suspension summarily suspending [FR Doc. 03–29967 Filed 12–01–03; 8:45 am] application by renewal to the Drug the Respondent’s medical license and BILLING CODE 4410–09–M Enforcement Administration (DEA) to prohibiting him from prescribing, be registered as an importer of the basic furnishing, dispensing, or distributing classes of controlled substances listed any and all controlled substances. There below:]
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Drug Schedule factors in title 21, United States Code, registration of Penick, Corporation to section 823(a) and determined that the manufacture the listed controlled Opium, (raw) (9600) ...... II registration of Novus Fine Chemicals, substances is consistent with the public Poppy Straw Concentrate (9670) II LLC, to manufacture the listed interest at this time. DEA has controlled substance is consistent with investigated Penick, Corporation to The firm plans to import the listed the public interest at this time. DEA has ensure that the company’s registration is controlled substances to bulk investigated Novus Fine Chemicals, consistent with the public interest. This manufacture other controlled LLC, to ensure that the company’s investigation has included inspection substances. registration is consistent with the public and testing of the company’s physical No comments or objections have been interest. This investigation has included security systems, verification of the received. DEA has considered the inspection and testing of the company’s company’s compliance with state and factors in title 21, United States Code, physical security systems, verification local laws, and a review of the section 823(a) and determined that the of the company’s compliance with state company’s background and history. registration of Noramco Inc. to import and local laws, and a review of the Therefore, pursuant to 21 U.S.C. 823 the listed controlled substances is company’s background and history. and 28 CFR 0.100 and 0.104, the Deputy consistent with the public interest and Therefore, pursuant to 21 U.S.C. 823 Assistant Administrator, Office of with United States obligations under and 28 CFR 0.100 and 0.104, the Deputy Diversion Control, hereby orders that international treaties, conventions, or Assistant Administrator, Office of the application submitted by the above protocols in effect on May 1, 1971, at Diversion Control, hereby orders that firm for registration as a bulk this time. DEA has investigated the application submitted by the above manufacturer of the basic classes of Noramco Inc. on a regular basis to firm for registration as a bulk controlled substances listed is granted. ensure that the company’s continued manufacturer of the basic class of Dated: November 14, 2003. registration is consistent with the public controlled substance listed is granted. Laura M. Nagel, interest. This investigation included Dated: November 19, 2003. Deputy Assistant Administrator, Office of inspection and testing of the company’s Laura M. Nagel, physical security systems, verification Diversion Control, Drug Enforcement Deputy Assistant Administrator, Office of of the company’s compliance with state Administration. Diversion Control, Drug Enforcement [FR Doc. 03–29969 Filed 12–1–03; 8:45 am] and local laws, and a review of the Administration. BILLING CODE 4410–09–M company’s background and history. [FR Doc. 03–29973 Filed 12–1–03; 8:45 am] Therefore, pursuant to Section 1008(a) BILLING CODE 4410–09–M of the Controlled Substances Import and Export Act and in accordance with title DEPARTMENT OF JUSTICE 21, Code of Federal Regulations, section DEPARTMENT OF JUSTICE Drug Enforcement Administration 1301.34, the above firm is granted registration as an importer of the basic Drug Enforcement Administration [Docket No. 03–9] classes of controlled substances listed. Manufacturer of Controlled Keith Perry, M.D. Revocation of Dated: November 14, 2003. Substances; Notice of Registration Registration Laura M. Nagel, Deputy Assistant Administrator, Office of By Notice dated July 22, 2003, and On October 17, 2002, the Deputy Diversion Control, Drug Enforcement published in the Federal Register on Assistant Administrator, Office of Administration. August 5, 2003, (68 FR 46226), Penick, Diversion Control, Drug Enforcement [FR Doc. 03–29968 Filed 12–1–03; 8:45 am] Corporation, 158 Mount Olivet Avenue, Administration (DEA), issued an Order BILLING CODE 4410–09–M Newark, New Jersey 07114, made to Show Cause to Keith O’Neil Perry, application by renewal to the Drug M.D. (Respondent) notifying him of an Enforcement Administration for opportunity to show cause as to why DEPARTMENT OF JUSTICE registration as a bulk manufacturer of DEA should not revoke his DEA the basic classes of controlled Certificate of Registration, AP3109077 Drug Enforcement Administration substances listed below: under 21 U.S.C. 824(a)(3) and (a)(4), and deny any pending applications for Manufacturer of Controlled Drug Schedule Substances; Notice of Registration registration pursuant to 21 U.S.C. 823(f). Cocaine (9041) ...... II The Order to Show Cause alleged that By Notice dated June 25, 2003, and Codeine (9050) ...... II the Respondent’s DEA Certificate of published in the Federal Register on Dihydrocodeine (9120) ...... II Registration should be revoked because July 14, 2003, (68 FR 41663), Novus Oxycodone (9143) ...... II the Respondent was without Fine Chemicals, LLC, 611 Broad Street, Hydromorphone (9150) ...... II authorization to handle controlled Carlstadt, New Jersey 07072, made Diphenoxylate (9170) ...... II substances. The Order to Show Cause application by renewal to the Drug Ecgonine (9180) ...... II further sought denial of any pending Hydrocodone (9193) ...... II Enforcement Administration for Morphine (9300) ...... II applications for registration based on registration as a bulk manufacturer of Thebaine (9333) ...... II allegations that the Respondent’s the basic class of Methylphenidate Oxymorphone (9652) ...... II continued registration would be (1724), a Schedule II controlled inconsistent with the public interest. substance. The firm plans to manufacture Specifically, the Order to Show alleged The firm plans to manufacture bulk controlled substances and non- that effective April 8, 2002, the Methylphenidate to distribute to its controlled flavor extracts. California Medical Board (Medical customers for the manufacture of No comments or objections have been Board) suspended the Respondent’s finished products. received. DEA has considered the license to practice medicine. The Order No comments or objections have been factors in Title 21, United States Code, to Show Cause further alleged that on or received. DEA has considered the Section 823(a) and determined that the about February 29, 2000, the
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Respondent was convicted by jury is registered with DEA. In granting the Respondent’s registration should be verdict of the following federal offenses: Government’s motion, Judge Randall revoked based upon the other grounds —Sixteen counts of Mail Fraud (21 further recommended that the asserted in the Order to Show Cause. U.S.C. 1341) Respondent’s DEA registration be See Fereida Walker-Graham, M.D., 68 —Two counts of Making False revoked and any pending applications FR 24761 (20030; Nathaniel-Aikens- Statements on Medi-Cal Group for modification nor renewal be denied. Afful, M.D., 62 FR 16871 (1997); Sam F. Provider Applications (18 U.S.C. No exceptions were filed by either party Moore, D.V.M., 58 FR 14428 (1993). 1001) to Judge Randall’s Opinion and Accordingly, the Acting Deputy —Fifteen counts of Wire Fraud (18 Recommended Decision, and on March Administrator of the Drug Enforcement U.S.C. 1343 & 2) 18, 2003, the record of these Administration, pursuant to the —Four counts Bankruptcy Fraud (18 proceedings was transmitted to the authority vested in her by 21 U.S.C. 823 U.S.C. 152(3)) Office of the DEA Deputy and 824 and 28 CFR 0.100(b) and 0.104, —One count of Tax Evasion Administrator. hereby orders that DEA Certificate of The Acting Deputy Administrator has By letter dated November 19, 2002, Registration, AP3109077, issued to considered the record in its entirety and the Respondent, acting pro se, requested Keith O’Neil Perry, M.D., be, and it pursuant to 21 CFR 1316.67, hereby a hearing in this matter. On December hereby is, revoked. The Acting Deputy issues her final order based upon 2, 2002, the presiding Administrative findings of fact and conclusions of law Administrator further orders that any Law Judge Gail A. Randall (Judge as hereinafter set forth. The Acting pending applications for renewal of Randall) issued to the Government as Deputy Administrator adopts, in full, such registration be, and there hereby well as the Respondent an Order for the Opinion and Recommended are, denied. This order is effective Prehearing Statements. Decision of the Administrative Law January 2, 2004. In lieu of filing a prehearing Judge. Dated: November 13, 2003. statement, on December 16, 2002, the The Acting Deputy Administrator Government filed Government’s Request Michele M. Leonhart, finds that the Respondent currently Acting Deputy Administrator. for Stay of Proceedings and Motion for possesses DEA Certificate of [FR Doc. 03–29965 Filed 12–1–03; 8:45 am] Summary Judgment. The Government Registration AP3109077, and is asserted that the Respondent is without registered to handle controlled BILLING CODE 4410–09–M authorization to handle controlled substances in the State of California. substances in the State of California, The Acting Administrator further finds DEPARTMENT OF JUSTICE and as a result, further proceedings in that effective April 8, 2002, the Medical the matter were not required. Attached Board of California issued a Suspension Drug Enforcement Administration to the Government’s motion was a copy Order, suspending indefinitely the of a Suspension Order, signed by the Respondent’s medical license. There is Medicaid Board’s Chief of Enforcement, Manufacturer of Controlled no evidence before the Acting Deputy Substances; Notice of Application who averred among other things, that Administrator that the Suspension effective April 8, 2002, the Medical Order has been lifted or modified. Pursuant to section 1301.33(a) of title Board issued an Automatic Suspension Therefore, the Acting Deputy Order, suspending the Respondent’s 21 of the Code of Federal Regulations Administrator finds that the Respondent (CFR), this is notice that on September Physician’s and Surgeon’s Certificate is currently not licensed to practice No. 54688. The Medical Board 18, 2003, Sigma Aldrich Research medicine in California and as a result, Biochemicals, Inc., 1–3 Strathmore representative further stated that the it is reasonable to infer that he is also Suspension Order remains in effect Road, Natick, Massachusetts 01760, without authorization to handle made application by renewal to the until further order of the Medical Board. controlled substances in that state. On December 19, 2002, Judge Randall Drug Enforcement Administration DEA does not have statutory authority (DEA) for registration as a bulk issued an Order Staying Proceedings, under the Controlled Substances Act to manufacturer of the basic classes of and afforded the Respondent until issue or maintain a registration if the controlled substances listed below: January 8, 2003, to respond to the applicant or registrant is without state Government’s Motion. The Respondent authority to handle controlled Drug Schedule did not file a response. In his request for substances in the state in which he hearing, the Respondent pointed out conducts business. See 21 U.S.C. Cathinone (1235) ...... I that the suspension of his California 801(21), 823(f) and 824(a)(30. This Methcathinone (1237) ...... I medical license is temporary and that he prerequisite has been consistently Aminorex (1585) ...... I is currently appealing the decision of upheld. See Karen Joe Smiley, M.D., 68 Alpha-ethyltryptamine (7249) ...... I the Medical Board. However, the FR 48944 (2003); Dominick A. Ricci, Lysergic acid diethylamide (7315) I Respondent did not rebut evidence M.D., 58 FR 51104 (1993); Bobby Watts, Tetrahydrocannabinols (7370) ..... I presented by the Government his M.D., 53 FR 11919 (1988). 4-Bromo-2,5-dimethoxy-amphet- I medical license remains suspended. Here, it is clear that the Respondent amine (7391). On February 13, 2003, Judge Randall is not currently licensed to handle 4-Bromo-2,5- I issued her Opinion and Recommended controlled substances in California, dimethoxyphenethylamine Decision on the Administrative Law where he is registered with DEA. (7392). Judge (Opinion and Recommended Therefore, he is not entitled to maintain 2,5-Dimethoxyamphetamine I (7396). Decision). As part of her recommended that registration. Because the 3,4-Methylenedioxyamphetamine I ruling, Judge Randall granted the Respondent is not entitled to a DEA (7400). Government’s Motion for Summary registration in California due to his lack N-Hydroxy-3,4- I Disposition and found that the of state authorization to handle methylenedioxyamphetamine Respondent lacked authorization to controlled substances, the Acting (7402). handle controlled substances in Deputy Administrator concludes that it 3,4-Methylenedioxy-N- I California, the jurisdiction in which he is unnecessary to address whether the ethylamphetamine (7404).
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Drug Schedule 1002(a) authorizing the importation of DEPARTMENT OF JUSTICE such a substance, provide 3,4- I manufacturers holding registrations for Drug Enforcement Administration Methylenedioxymethamphetam- the bulk manufacture of the substance ine (MDMA) (7405). an opportunity for a hearing. Manufacturer of Controlled 1-[1-(2- I Substances, Notice of Registration thienyl)cyclohexyl]piperidine Therefore, in accordance with Section (TCP) (7470). 1301.34 of Title 21, Code of Federal By Notice dated July 22, 2003, and Heroin (9200) ...... I Regulations (CFR), notice is hereby published in the Federal Register on Normorphine (9313) ...... I given that on February 11, 2003, Stepan August 5, 2003, (68 FR 46227), Wildlife Amphetamine (1100) ...... II Company, Natural Products Dept, 100 Laboratories, Inc., 1401 Duff Drive, Methamphetamine (1105) ...... II W. Hunter Avenue, Maywood, new Suite 600, Fort Collins, Colorado 80524, 1-Phenylcyclohexylamine (7460) II made application by renewal to the Phencyclidine (7471) ...... II Jersey 07607, made application by Cocaine (9041) ...... II renewal to the Drug Enforcement Drug Enforcement Administration for Codeine (9050) ...... II Administration to be registered as an registration as a bulk manufacturer of Diprenorphine (9058) ...... II importer of Coca Leaves (9040), a basic Carfentanil (9743), a basic class of Ecgonine (9180) ...... II class of controlled substance listed in controlled substance listed in Schedule Levomethorphan (9210) ...... II Schedule II. II. Levorphanol (9220) ...... II The firm plans to manufacture the The firm plans to import the coca Meperidine (9230) ...... II listed controlled substance for leaves to manufacture bulk controlled Metazocine (9240) ...... II distribution to its customers. Methadone (9250) ...... II substances. Morphine (9300) ...... II No comments or objections have been Thebaine (9333) ...... II Any manufacturer holding, or received. DEA has considered the Levo-alphacetylmethadol (9648) .. II applying for, registration as a bulk factors in title 21, United States Code, Carfentanil (9743) ...... II manufacturer of this basic class of section 823(a) and determined that the Fentanyl (9801) ...... II controlled substance may file written registration of Wildlife Laboratories, Inc. comments on or objections to the to manufacture the listed controlled The firm plans to manufacture the application described above and may, at substances is consistent with the public listed controlled substances for the same time, file a written request for interest at this time. DEA has laboratory reference standards and a hearing on such application in investigated Wildlife Laboratories, Inc. neurochemicals. accordance with 21 CFR 1301.43 in to ensure that the company’s Any other such applicant and any such form as prescribed by 21 CFR registration is consistent with the public person who is presently registered with 1316.47. interest. This investigation has included DEA to manufacture such substance Any such comments, objections, or inspection and testing of the company’s may file comments or objections to the requests for a hearing may be addressed, physical security systems, verification issuance of the proposed registration. in quintuplicate, to the Deputy Assistant of the company’s compliance with state Any such comments or objections Administrator, Office of Diversion and local laws, and a review of the may be addressed, in quintuplicate, to Control, Drug Enforcement company’s background and history. the Deputy Assistant Administrator, Administration, United States Therefore, pursuant to 21 U.S.C. 823 Office of Diversion Control, Drug Department of Justice, Washington, DC and 28 CFR 0.100 and 0.104, the Deputy Enforcement Administration, United 20537, Attention: Federal Register Assistant Administrator, Office of States Department of Justice, Representative, Office of Chief Counsel Diversion Control, hereby orders that Washington, DC 20537, Attention: (CCD) and must be filed no later than the application submitted by the above Federal Register Representative, Office (30 days from publication). firm for registration as a bulk of Chief Counsel (CCD) and must be manufacturer of the basic class of filed no later than February 2, 2004. This procedure is to be conducted controlled substance listed is granted. simultaneously with and independent November 14, 2003. of the procedures described in 21 CFR Dated: November 14, 2003. Laura M. Nagel, 1301.34(b), (c), (d), (e), and (f). As noted Laura M. Nagel, Deputy Assistant Administrator, Office of in a previous notice at 40 FR 43745–46 Deputy Assistant Administrator, Office of Diversion Control, Drug Enforcement (September 23, 1975), all applicants for Diversion Control, Drug Enforcement Administration. registration to import a basic class of Administration. [FR Doc. 03–29963 Filed 12–01–03; 8:45 am] any controlled substance in Schedule I [FR Doc. 03–29970 Filed 12–1–03; 8:45 am] BILLING CODE 4410–09–M or II are and will continue to be required BILLING CODE 4410–09–M to demonstrate to the Deputy Assistant DEPARTMENT OF JUSTICE Administrator, Office of Diversion Control, Drug Enforcement DEPARTMENT OF JUSTICE Administration that the requirements Drug Enforcement Administration Office of Justice Programs for such registration pursuant to 21 Importation of Controlled Substances; U.S.C. 958(a), 21 U.S.C. 823(a), and 21 Agency Information Collection Notice of Application CFR 1311.42(a), (b), (c), (d), (e), and (f) Activities: Proposed Collection; are satisfied. Pursuant to Section 1008 of the Comments Requested Controlled Substances Import and Dated: November 4, 2003. ACTION: 30-day notice of information Export Act (21 U.S.C. 958(1)), the Laura M. Nagel, collection under review: Semi-Annual Attorney General shall, prior to issuing Deputy Assistant Administrator, Office of Progress Report for the Training Grants a registration under this Section to a Diversion Control, Drug Enforcement to Stop Abuse and Sexual Assault bulk manufacturer of a controlled Administration. Against Older Individuals or substance in Schedule II and prior to [FR Doc. 03–29960 Filed 12–01–03; 8:45 am] Individuals with Disabilities Program. issuing a regulation under Section BILLING CODE 4410–09–M
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The Department of Justice (DOJ), Assault Against Older Individuals or DEPARTMENT OF JUSTICE Office of Justice Programs (OJP) has Individuals with Disabilities Program. Office of Justice Programs submitted the following information (3) Agency form number, if any, and collection request to the Office of the applicable component of the Management and Budget (OMB) for Agency Information Collection Department of Justice sponsoring the review and approval in accordance with Activities: Proposed Collection; collection: Form Number: None. U.S. the Paperwork Reduction Act of 1995. Comments Requested The proposed information collection is Department of Justice, Office on ACTION: 30-day notice of information published to obtain comments from the Violence Against Women. collection under review: Semi-Annual public and affected agencies. This (4) Affected public who will be asked Progress Report for the Grants to State proposed information collection was or required to respond, as well as a brief Sexual Assault and Domestic Violence previously published in the Federal abstract: Primary: The affected public Coalitions Program. Register Volume 68, Number 167, page includes the 18 grantees from the 51805 on August 27, 2003, allowing for Training Grants to Stop Abuse and The Department of Justice (DOJ), a 60 day comment period. Sexual Assault Against Older Office of Justice Programs (OJP) has The purpose of this notice is to allow Individuals or Individuals with submitted the following information for an additional 30 days for public Disabilities Program. These grants collection request to the Office of comment until January 2, 2004. This provide funds for training programs to Management and Budget (OMB) for process is conducted in accordance with assist law enforcement officers, review and approval in accordance with 5 CFR 1320.10. prosecutors, and relevant officers of the Paperwork Reduction Act of 1995. Written comments and/or suggestions Federal, State, tribal, and local courts in The proposed information collection is regarding the items contained in this recognizing, addressing, investigating, published to obtain comments from the notice, especially the estimated public public and affected agencies. This burden and associated response time, and prosecuting instances of elder abuse, neglect, and exploitation and proposed information collection was should be directed to The Office of previously published in the Federal Management and Budget, Office of violence against individuals with disabilities, including domestic violence Register Volume 68, Number 167, page Information and Regulatory Affairs, 51806 on August 28, 2003, allowing for Attention Department of Justice Desk and sexual assault, against older or disabled individuals. a 60 day comment period. Officer, Washington, DC 20503. The purpose of this notice is to allow Additionally, comments may be (5) An estimate of the total number of for an additional 30 days for public submitted to OMB via facsimile to (202) respondents and the amount of time comment until January 2, 2004. This 395–5806. Written comments and estimated for an average respondent to process is conducted in accordance with suggestions from the public and affected respond/reply: It is estimated that it will 5 CFR 1320.10. agencies concerning the proposed take the 18 respondents (grantees from Written comments and/or suggestions collection of information are Training Grants to Stop Abuse and regarding the items contained in this encouraged. Your comments should Sexual Assault Against Older notice, especially the estimated public address one or more of the following Individuals or Individuals with burden and associated response time, four points: Disabilities Program) approximately one should be directed to The Office of • Evaluate whether the proposed Management and Budget, Office of collection of information is necessary hour to complete a Semi-annual Information and Regulatory Affairs, for the proper performance of the Progress Report. The Semi-annual Attention Department of Justice Desk functions of the agency, including Progress Report is divided into sections Officer, Washington, DC 20503. whether the information will have that pertain to the different types of Additionally, comments may be practical utility; activities that grantees may engage in • Evaluate the accuracy of the with grant funds. Grantees must submitted to OMB via facsimile to (202) agencies estimate of the burden of the complete only those sections that are 395–5806. Written comments and proposed collection of information, relevant to their activities. suggestions from the public and affected agencies concerning the proposed including the validity of the (6) An estimate of the total public methodology and assumptions used; collection of information are • burden (in hours) associated with the encouraged. Your comments should Enhance the quality, utility, and collection: The total annual hour burden clarity of the information to be address one or more of the following to complete the Semi-annual Progress four points: collected; and • • Minimize the burden of the Report is 36 hours. Evaluate whether the proposed collection of information on those who If additional information is required collection of information is necessary are to respond, including through the contact: Brenda E. Dyer, Deputy for the proper performance of the use of appropriate automated, Clearance Officer, United States functions of the agency, including electronic, mechanical, or other Department of Justice, Justice whether the information will have technological collection techniques or Management Division, Policy and practical utility; • other forms of information technology, Planning Staff, Patrick Henry Building, Evaluate the accuracy of the e.g., permitting electronic submission of Suite 1600, 601 D Street NW., agencies estimate of the burden of the responses. Washington, DC 20530. proposed collection of information, including the validity of the Overview of This Information Dated: November 25, 2003. methodology and assumptions used; Collection Brenda E. Dyer, • Enhance the quality, utility, and (1) Type of Information Collection: Deputy Clearance Officer, Department of clarity of the information to be New Collection. Justice. collected; and • (2) Title of the Form/Collection: Semi- [FR Doc. 03–29913 Filed 12–1–03; 8:45 am] Minimize the burden of the annual Progress Report for Training BILLING CODE 4410–18–P collection of information on those who Grants to Stop Abuse and Sexual are to respond, including through the
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use of appropriate automated, Dated: November 25, 2003. including the validity of the electronic, mechanical, or other Brenda E. Dyer, methodology and assumptions used; technological collection techniques or Deputy Clearance Officer, Department of • Enhance the quality, utility, and other forms of information technology, Justice. clarity of the information to be e.g., permitting electronic submission of [FR Doc. 03–29914 Filed 12–1–03; 8:45 am] collected; and • Minimize the burden of the responses. BILLING CODE 4410–18–P collection of information on those who Overview of This Information are to respond, including through the Collection DEPARTMENT OF JUSTICE use of appropriate automated, electronic, mechanical, or other (1) Type of Information Collection: Office of Justice Programs technological collection techniques or New collection. other forms of information technology, (2) Title of the Form/Collection: Semi- Agency Information Collection e.g., permitting electronic submission of annual Progress Report for Grants to Activities: Proposed Collection; responses. Comments Requested State Sexual Assault and Domestic Overview of This Information Violence Coalitions Program. ACTION: 30-day notice of information Collection (3) Agency form number, if any, and collection under review: Semi-Annual (1) Type of Information Collection: the applicable component of the Progress Report for the Safe Havens: New Collection. Department of Justice sponsoring the Supervised Visitation and Safe (2) Title of the Form/Collection: Semi- collection: Form Number: None. U.S. Exchange Grant Program. annual Progress Report for the Safe Department of Justice, Office on Havens: Supervised Visitation and Safe Violence Against Women. The Department of Justice (DOJ), Exchange Grant Program. Office of Justice Programs (OJP) has (4) Affected public who will be asked (3) Agency form number, if any, and submitted the following information the applicable component of the or required to respond, as well as a brief collection request to the Office of abstract: Primary: The affected public Department of Justice sponsoring the Management and Budget (OMB) for collection: Form Number: None. U.S. includes the 88 grantees from the Grants review and approval in accordance with Department of Justice, Office on to State Sexual Assault and Domestic the Paperwork Reduction Act of 1995. Violence Against Women. Violence Coalitions Program. The The proposed information collection is (4) Affected public who will be asked Grants to State Sexual Assault and published to obtain comments from the or required to respond, as well as a brief Domestic Violence Coalitions Program public and affected agencies. This abstract: Primary: The affected public is intended to provide federal financial proposed information collection was includes the 33 grantees from the Safe assistance to state coalitions to support previously published in the Federal Havens: Supervised Visitation and Safe the coordination of state victim services Register Volume 68, Number 167, page Exchange Grant Program who are States, activities, and collaboration and 51805 on August 28, 2003, allowing for Indian tribal governments, and units of coordination with federal, state, and a 60-day comment period. local government. The Safe Havens local entities engaged in violence The purpose of this notice is to allow Program provides an opportunity for against women activities. for an additional 30 days for public communities to support the supervised comment until January 2, 2004. This visitation and safe exchange of children, (5) An estimate of the total number of process is conducted in accordance with respondents and the amount of time by and between parents, in situations 5 CFR 1320.10. involving domestic violence, child estimated for an average respondent to Written comments and/or suggestions respond/reply: It is estimated that it will abuse, sexual assault, or stalking. regarding the items contained in this (5) An estimate of the total number of take the 88 respondents (grantees from notice, especially the estimated public respondents and the amount of time the Grants to State Sexual Assault and burden and associated response time, estimated for an average respondent to Domestic Violence Coalitions Program) should be directed to The Office of respond/reply: It is estimated that it will approximately one hour to complete a Management and Budget, Office of take the 33 respondents (grantees from semi-annual progress report. The Semi- Information and Regulatory Affairs, the Safe Havens: Supervised Visitation annual Progress Report is divided into Attention Department of Justice Desk and Safe Exchange Grant Program) sections that pertain to the different Officer, Washington, DC 20503. approximately one hour to complete a types of activities that grantees may Additionally, comments may be semi-annual progress report. The Semi- engage in with grant funds. Grantees submitted to OMB via facsimile to (202) annual Progress Report is divided into must complete only those sections that 395–5806. Written comments and sections that pertain to the different are relevant to their activities. suggestions from the public and affected types of activities that grantees may (6) An estimate of the total public agencies concerning the proposed engage in with grant funds. Grantees burden (in hours) associated with the collection of information are must complete only those sections that collection: The estimated total annual encouraged. Your comments should are relevant to their activities. hour burden to complete the Semi- address one or more of the following (6) An estimate of the total public four points: annual Progress Report is 176 hours. burden (in hours) associated with the • Evaluate whether the proposed collection: The total annual hour burden If additional information is required collection of information is necessary to complete the Semi-annual Progress contact: Brenda E. Dyer, Deputy for the proper performance of the Report is 66 hours. Clearance Officer, United States functions of the agency, including If additional information is required Department of Justice, Justice whether the information will have contact: Brenda E. Dyer, Deputy Management Division, Policy and practical utility; Clearance Officer, United States Planning Staff, Patrick Henry Building, • Evaluate the accuracy of the Department of Justice, Justice Suite 1600, 601 D Street NW., agencies estimate of the burden of the Management Division, Policy and Washington, DC 20530. proposed collection of information, Planning Staff, Patrick Henry Building,
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Suite 1600, 601 D Street, NW., • Evaluate the accuracy of the (6) An estimate of the total public Washington, DC 20530. agencies estimate of the burden of the burden (in hours) associated with the Dated: November 25, 2003. proposed collection of information, collection: The total estimated annual including the validity of the Brenda E. Dyer, hour burden to complete the Semi- methodology and assumptions used; annual Progress Report is 200. Deputy Clearance Officer, Department of • Enhance the quality, utility, and If additional information is required Justice. clarity of the information to be contact: Brenda E. Dyer, Deputy [FR Doc. 03–29915 Filed 12–1–03; 8:45 am] collected; and Clearance Officer, United States BILLING CODE 4410–18–P • Minimize the burden of the Department of Justice, Justice collection of information on those who Management Division, Policy and are to respond, including through the Planning Staff, Patrick Henry Building, DEPARTMENT OF JUSTICE use of appropriate automated, Suite 1600, 601 D Street, NW., Office of Justice Programs electronic, mechanical, or other Washington, DC 20530. technological collection techniques or Dated: November 25, 2003. other forms of information technology, Agency Information Collection Brenda E. Dyer, Activities: Proposed Collection; e.g., permitting electronic submission of responses. Deputy Clearance Officer, Department of Comments Requested Justice. Overview of This Information [FR Doc. 03–29916 Filed 12–1–03; 8:45 am] ACTION: 30-day notice of information Collection collection under review: Semi-annual BILLING CODE 4410–18–P Progress Report for the Grants to Reduce (1) Type of Information Collection: Revision of a Currently Approved Violent Crimes Against Women on DEPARTMENT OF JUSTICE Campus Program. Collection. (2) Title of the Form/Collection: Semi- Office of Justice Programs The Department of Justice (DOJ), annual Progress Report for Grants to Reduce Violent Crimes Against Women Office of Justice Programs (OJP) has Agency Information Collection submitted the following information on Campus Program. (3) Agency form number, if any, and Activities: Proposed Collection; collection request to the Office of the applicable component of the Comment Request Management and Budget (OMB) for Department of Justice sponsoring the review and approval in accordance with ACTION: 30-day notice of information collection: Form Number: OMB Number the Paperwork Reduction Act of 1995. collection under review: Revision of a 1121–0258. The U.S. Department of The proposed information collection is currently approved collection; Local Justice, Office on Violence Against published to obtain comments from the Law Enforcement Block Grant Program. Women is sponsoring the collection. public and affected agencies. This (4) Affected public who will be asked proposed information collection was The Department of Justice (DOJ), or required to respond, as well as a brief previously published in the Federal Office of Justice Programs (OJP) has abstract: Primary: The affected public Register Volume 68, Number 167, page submitted the following information includes the 100 grantees (institutions 51807 on August 28, 2003, allowing for collection request to the Office of of higher education) from the Grants to a 60-day comment period. Management and Budget (OMB) for Reduce Violent Crimes Against Women review and approval in accordance with The purpose of this notice is to allow on Campus Program. Campus Program the Paperwork Reduction Act of 1995. for an additional 30 days for public grants may be used to enhance victim The proposed information collection is comment until January 2, 2004. This services and develop programs to published to obtain comments from the process is conducted in accordance with prevent violent crimes against women public and affected agencies. This 5 CFR 1320.10. on campuses. The Campus Program also proposed information collection was Written comments and/or suggestions enables institutions of higher education previously published in the Federal regarding the items contained in this to develop and strengthen effective Register Volume 68, Number 108, page notice, especially the estimated public security and investigation strategies to 33745 on June 5, 2003, allowing for a 60 burden and associated response time, combat violent crimes against women day comment period. should be directed to The Office of on campuses, including domestic The purpose of this notice is to allow Management and Budget, Office of violence, dating violence, sexual for an additional 30 days for public Information and Regulatory Affairs, assault, and stalking. comment until January 2, 2004. This Attention Department of Justice Desk (5) An estimate of the total number of process is conducted in accordance with Officer, Washington, DC 20503. respondents and the amount of time 5 CFR 1320.10. Additionally, comments may be estimated for an average respondent to Written comments, or suggestions submitted to OMB via facsimile to (202) respond/reply: It is estimated that it will regarding the item(s) contained in this 395–5806. Written comments and take the 100 respondents (grantees from notice, especially regarding the suggestions from the public and affected the Grants to Reduce Violent Crimes estimated public burden and associated agencies concerning the proposed Against Women on Campus Program— response time, should be directed to the collection of information are institutions of higher education) Office of Management and Budget, encouraged. Your comments should approximately one hour to complete a Office of Information and Regulatory address one or more of the following semi-annual progress report. The Semi- Affairs, Attention: Department of Justice four points: annual Progress Report is divided into Desk Officer, Washington, DC 20530. • Evaluate whether the proposed sections that pertain to the different Additionally, comments may be collection of information is necessary types of activities that grantees may submitted to OMB via facsimile at (202) for the proper performance of the engage in and the different types of 395–5806. functions of the agency, including grantees that receive funds. Grantees Written comments and suggestions whether the information will have must complete only those sections that from the public and affected agencies practical utility; are relevant to their activities. concerning the proposed collection of
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information are encouraged. Your Clearance Officer, U.S. Department of The petitioner has requested that the comments should address one or more Justice, Planning and Policy Staff, petition be withdrawn. Consequently, of the following four points: Justice Management Division, 601 D further investigation in this case would —Evaluate whether the proposed Street, NW., Washington, DC 20004, or serve no purpose, and the investigation collection of information is necessary via facsimile at (202) 514–1590. has been terminated. for the proper performance of the Dated: November 25, 2003. Signed in Washington, DC this 10th day of function of the agency, including Brenda E. Dyer, November, 2003. whether the information will have Deputy Clearance Officer, U.S. Department Linda G. Poole, practical utility. of Justice. Certifying Officer, Division of Trade —Evaluate the accuracy of the agency’s [FR Doc. 03–29917 Filed 12–1–03; 8:45 am] Adjustment Assistance. estimate of the burden of the BILLING CODE 4410–18–P [FR Doc. 03–29950 Filed 12–1–03; 8:45 am] proposed collection of information, BILLING CODE 4510–30–P including the validity of the methodology and assumptions used. DEPARTMENT OF LABOR —Enhance the quality, utility, and DEPARTMENT OF LABOR clarity of the information to be Employment and Training collected. Administration Employment and Training —Minimize the burden of the collection Administration of information on those who are to [TA–W–53,098] respond, including through the use of [TA–W–53,241] appropriate automated, electronic, Alcoa Composition Foils, Pevely, MO; mechanical, or other technological Notice of Termination of Investigation Art Leather Manufacturing Company, collection techniques or other forms Pursuant to section 221 of the Trade Inc., Elmhurst, NY; Notice of of information technology, e.g., Act of 1974, as amended, an Termination of Investigation permitting electronic submission of investigation was initiated on October 1, Pursuant to section 221 of the Trade responses. 2003 in response to a worker petition Act of 1974, as amended, an Overview of this information: filed on behalf of workers at Alcoa investigation was initiated on October (1) Type of information collection: Composition Foils, Pevely, Missouri. 14, 2003 in response to a worker Revision of currently approved The facility shut down March 31, 2003. petition filed by a company official on collection. The Department issued a negative behalf of workers at Art Leather (2) The title of the form/collection: determination applicable to the Manufacturing Company, Inc., Local Law Enforcement Block Grant petitioning group of workers on April Elmhurst, New York. Program. 28, 2003 (TA–W–50,823). That The petitioner has requested that the (3) The agency form number, if any, determination was upheld upon petition be withdrawn. Consequently, and the applicable component of the reconsideration in a decision rendered further investigation would serve no Department sponsoring the collection: July 25, 2003. No new information or purpose and the investigation has been Form Number: None, Bureau of Justice change in circumstances is evident terminated. Assistance, Office of Justice Programs, which would result in a reversal of the Department of Justice. Department’s previous determinations. Signed at Washington, DC this 10th day of (4) Affected public who will be asked Consequently, further investigation November, 2003. or required to respond, as well as a brief would serve no purpose, and the Linda G. Poole, abstract. Primary: State, local, or tribal investigation has been terminated. Certifying Officer, Division of Trade Adjustment Assistance. governments. Other: None. Abstract: Signed at Washington, DC, this 12th day of [FR Doc. 03–29951 Filed 12–1–03; 8:45 am] The Local Government Law November, 2003. BILLING CODE 4510–30–P Enforcement Block Grants Act of 1995 Linda G. Poole, authorizes the Director of the Bureau of Certifying Officer, Division of Trade Justice Assistance to make funds Adjustment Assistance. available to local units of government in DEPARTMENT OF LABOR [FR Doc. 03–29948 Filed 12–1–03; 8:45 am] order to reduce crime and improve BILLING CODE 4510–30–P Employment and Training public safety. Federal funds are Administration allocated by a formula based on Part I Violent Crimes as reported in the DEPARTMENT OF LABOR Federal Bureau of Investigation’s [TA–W–53,305] Uniform Crime Reports. Employment and Training Dillon Floral Corporation, Bloomsburg, (5) An estimate of the total number of Administration PA; Notice of Termination of respondents and the amount of time Investigation estimated for an average respondent to [TA–W–53,230] respond/reply: There are approximately The Amerbelle Corporation, Vernon, Pursuant to section 221 of the Trade 3,000 respondents who will request CT; Notice of Termination of Act of 1974, as amended, an LLEBG grant funds by completing the Investigation investigation was initiated on October no more than 30-minute online process. 21, 2003 in response to a petition filed (6) An estimate of the total public Pursuant to section 221 of the Trade on behalf of workers at Dillon Floral burden (in hours) associated with the Act of 1974, an investigation was Corporation, Bloomsburg, Pennsylvania. collection: The total annual public initiated on October 14, 2003 in The petitioner has requested that the burden hours for this information response to a worker petition which was petition be withdrawn. Consequently, collection is estimated to be 763 hours. filed by a company official on behalf of further investigation would serve no If additional information is required, workers at the Amerbelle Corporation, purpose and the investigation has been contact: Ms. Brenda E. Dyer, Deputy Vernon, Connecticut. terminated.
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Signed at Washington, DC, this 10th day of workers in a firm with a workforce of The petitioner has requested that the November, 2003. fewer than 50 workers would have to be petition be withdrawn. Consequently, Linda G. Poole, affected. Separations by the subject firm the investigation has been terminated. Certifying Officer, Division of Trade did not meet this threshold level; Signed at Washington, DC, this 12th day of Adjustment Assistance. consequently the investigation has been November, 2003. [FR Doc. 03–29953 Filed 12–1–03; 8:45 am] terminated. Linda G. Poole, BILLING CODE 4510–30–P Signed at Washington, DC, this 12th day of Certifying Officer, Division of Trade November, 2003. Adjustment Assistance. Linda G. Poole, DEPARTMENT OF LABOR [FR Doc. 03–29949 Filed 12–1–03; 8:45 am] Certifying Officer, Division of Trade BILLING CODE 4510–30–P Employment and Training Adjustment Assistance. Administration [FR Doc. 03–29956 Filed 12–1–03; 8:45 am] BILLING CODE 4510–30–P DEPARTMENT OF LABOR [TA–W–53,371] Employment and Training Fishing Vessel (F/V) New Viking, DEPARTMENT OF LABOR Administration Haines, AK; Notice of Termination of Investigation Employment and Training [TA–W–53,247] Pursuant to section 221 of the Trade Administration MT Picture Display Corporation of Act of 1974, as amended, an [TA–W–53,391] America (New York), a Subsidiary of investigation was initiated on October MT Picture Display Corporation Japan, 29, 2003 in response to a petition filed J.P. Berringer, Brooklyn, New York; Horseheads, NY; Notice of Termination by a company official on behalf of Notice of Termination of Investigation of Investigation workers of F/V New Viking, Haines, Alaska. Pursuant to Section 221 of the Trade Pursuant to section 221 of the Trade All workers were separated from the Act of 1974, as amended, an Act of 1974, as amended, an subject firm more than one year before investigation was initiated on October investigation was initiated on October the date of the petition. Section 223(b) 30, 2003 in response to a petition filed 15, 2003 in response to a petition filed of the Act specifies that no certification by a company official on behalf of by a company official on behalf of may apply to any worker whose last workers at J.P. Berringer, Brooklyn, New workers at MT Picture Display separation occurred more than one year York. The workers produced women’s Corporation of America (New York), a before the date of the petition. knitted sweaters. subsidiary of MT Picture Display Consequently, further investigation in All workers were separated from the Corporation Japan, Horseheads, New this case would serve no purpose, and subject firm more than one year before York. the investigation has been terminated. the date of the petition. Section 223(b) The petitioner has requested that the of the Act specifies that no certification petition be withdrawn. Consequently, Signed at Washington, DC, this 12th day of may apply to any worker whose last the investigation has been terminated. November 2003. separation occurred more than one year Linda G. Poole, Signed at Washington, DC, this 12th day of before the date of the petition. November, 2003. Certifying Officer, Division of Trade Consequently, further investigation in Linda G. Poole, Adjustment Assistance. this case would serve no purpose, and [FR Doc. 03–29955 Filed 12–1–03; 8:45 am] Certifying Officer, Division of Trade the investigation has been terminated. Adjustment Assistance. BILLING CODE 4510–30–P Signed at Washington, DC, this 12th day of [FR Doc. 03–29952 Filed 12–1–03; 8:45 am] November, 2003. BILLING CODE 4510–30–P DEPARTMENT OF LABOR Linda G. Poole, Certifying Officer, Division of Trade Employment and Training Adjustment Assistance. DEPARTMENT OF LABOR Administration [FR Doc. 03–29957 Filed 12–1–03; 8:45 am] Employment and Training BILLING CODE 4910–30–P [TA–W–53,372] Administration Fishing Vessel (F/V) Lady Sandra, [TA–W–53,340] Valdez, AK; Notice of Termination of DEPARTMENT OF LABOR Investigation Star Machine Shop, Galax, VA; Notice Employment and Training of Termination of Investigation Pursuant to section 221 of the Trade Administration Act of 1974, as amended, an Pursuant to section 221 of the Trade [TA–W–53,153] investigation was initiated on October Act of 1974, as amended, an 29, 2003 in response to a petition filed Metal Process Assistance, Norwich, investigation was initiated on October by a company official on behalf of CT; Notice of Termination of 24, 2003 in response to a petition filed workers of F/V Lady Sandra, Ketchikan, Investigation on behalf of workers of Star Machine Alaska. Shop, Galax, Virginia. The investigation revealed that the Pursuant to section 221 of the Trade The investigation revealed that the subject firm did not separate or threaten Act of 1974, as amended, an subject firm did not separate or threaten to separate a significant number or investigation was initiated on October 6, to separate a significant number or proportion of workers as required by 2003 in response to a petition filed by proportion of workers as required by section 222 of the Trade Act of 1974. a company official on behalf of workers section 222 of the Trade Act of 1974. Significant number or proportion of the at Metal Process Assistance, Norwich, Significant number or proportion of the workers means that at least three Connecticut. workers means that at least three
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workers in a firm with a workforce of labor and recordkeeping standards for included in the request for Office of fewer than 50 workers would have to be employees engaged in interstate Management and Budget approval of the affected. Separations by the subject firm commerce in certain enterprises. The information collection request; they will did not meet this threshold level; Fair Labor Standards Act requires that also become a matter of public record. consequently the investigation has been all employers covered by the Act make, Dated: November 24, 2003. terminated. keep, and preserve records of employees Bruce Bohanon, Signed at Washington, DC, this 12th day of and of wages, hours, and other conditions and practices of Chief, Branch of Management Review and November, 2003. Internal Control, Division of Financial Linda G. Poole, employment. This information Management, Office of Management, Certifying Officer, Division of Trade collection is currently approved for use Administration and Planning, Employment Adjustment Assistance. through May 31, 2004. Standards Administration. [FR Doc. 03–29954 Filed 12–1–03; 8:45 am] II. Review Focus [FR Doc. 03–29947 Filed 12–1–03; 8:45 am] BILLING CODE 4510–30–P The Department of Labor is BILLING CODE 4510–27–P particularly interested in comments DEPARTMENT OF LABOR which: • Evaluate whether the proposed NATIONAL AERONAUTICS AND SPACE ADMINISTRATION Employment Standards Administration collection of information is necessary for the proper performance of the Notice of Information Collection Under Proposed Collection; Comment functions of the agency, including OMB Review Request whether the information will have practical utility; [Notice: 03–150] ACTION: Notice. • Evaluate the accuracy of the AGENCY: National Aeronautics and agency’s estimate of the burden of the SUMMARY: The Department of Labor, as Space Administration (NASA). proposed collection of information, part of its continuing effort to reduce ACTION: Notice of information collection including the validity of the paperwork and respondent burden, under OMB review. conducts a preclearance consultation methodology and assumptions used; • Enhance the quality, utility and program to provide the general public SUMMARY: The National Aeronautics and clarity of the information to be and Federal agencies with an Space Administration, as part of its collected; and continuing effort to reduce paperwork opportunity to comment on proposed • Minimize the burden of the and/or continuing collections of and respondent burden, invites the collection of information on those who information in accordance with the general public and other Federal are to respond, including through the Paperwork Reduction Act of 1995 agencies to take this opportunity to use of appropriate automated, (PRA95) [44 U.S.C. 3506(c)(2)(A)]. This comment on proposed and/or electronic, mechanical, or other program helps to ensure that requested continuing information collections, as technological collection techniques or data can be provided in the desired required by the Paperwork Reduction other forms of information technology, format, reporting burden (time and Act of 1995 (Pub. L. 104–13, 44 U.S.C. e.g., permitting electronic submissions financial resources) is minimized, 3506(c)(2)(A)). of responses. collection instruments are clearly DATES: All comments should be understood, and the impact of collection III. Current Actions submitted within 30 calendar days from requirements on respondents can be The Department of Labor seeks the date of this publication. properly assessed. Currently, the approval for the extension of this ADDRESSES: All comments should be Employment Standards Administration information collection in order to carry addressed to Desk Officer for NASA; is soliciting comments concerning the out its responsibility to enforce the Office of Information and Regulatory proposed collection: Fair Labor provisions of the Fair Labor Standards Affairs; Office of Management and Standards Act Recordkeeping Act. Budget; Room 10236; New Executive Requirements. A copy of the proposed Type of Review: Extension. Office Building; Washington, DC, 20503. information collection request can be Agency: Employment Standards FOR FURTHER INFORMATION CONTACT: Ms. obtained by contacting the office listed Administration. Nancy Kaplan, NASA Reports Officer, below in the addresses section of this Title: Fair Labor Standards Act (202) 358–1372. Notice. Recordkeeping Requirements. Title: Financial Monitoring and DATES: Written comments must be OMB Number: 1215–0017. Control—Grants and Cooperative Affected Public: Business of other for- submitted to the office listed in the Agreements. profit; Individuals or households; addresses section below on or before OMB Number: 2700–0049. Farms; Not-for-profit institutions; February 2, 2004. Type of review: Extension of a Federal Government; State, Local or ADDRESSES: Ms. Hazel M. Bell, U.S. currently approved collection. Department of Labor, 200 Constitution Tribal Government. Need and Uses: The information Frequency: Weekly. Ave., NW., Room S–3201, Washington, Annual Respondents: 5,800,000. collected is required to ensure the DC 20210, telephone (202) 693–0418, Annual Responses: 5,800,000. proper accounting of Federal funds fax (202) 693–1451, e-mail Average Time per Recordkeeper: 1 provided under grants and cooperative [email protected]. Please use only one hour. agreements with institutions of higher method of transmission for comments Total Burden Hours: 1,015,798. education and other non-profit (mail, fax, or e-mail). Total Burden Cost (capital/startup): organizations. SUPPLEMENTARY INFORMATION: $0. Affected Public: Not-for-profit Total Burden Cost (operating/ institutions. I. Background maintenance): $0. Number of Respondents: 1,172. The Fair Labor Standards Act sets Comments submitted in response to Responses Per Respondent: varies. minimum wage, overtime pay, child this notice will be summarized and/or Annual Responses: 47,710.
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Hours Per Request: varies. Frequency of Report: Randomized. NATIONAL AERONAUTICS AND SPACE ADMINISTRATION Annual Burden Hours: 291,326. Patricia L. Dunnington, Frequency of Report: As needed. Chief Information Officer, Office of the Dated: November 24, 2003. Administrator. [Notice: 03–153] [FR Doc. 03–29992 Filed 12–1–03; 8:45 am] Patricia L. Dunnington, Correction: Notice of Information Chief Information Officer, Office of the BILLING CODE 7510–01–P Collection Under OMB Review Administrator. [FR Doc. 03–29991 Filed 12–1–03; 8:45 am] AGENCY: National Aeronautics and NATIONAL AERONAUTICS AND BILLING CODE 7510–01–P Space Administration (NASA). SPACE ADMINISTRATION ACTION: Correction: notice of [Notice: 03–152] information collection under OMB NATIONAL AERONAUTICS AND review. SPACE ADMINISTRATION Notice of Information Collection Correction: Information on this [Notice: 03–151] AGENCY: National Aeronautics and collection originally appeared as notice Space Administration (NASA). document 03–144 on page 63820 in the Notice of Information Collection Under ACTION: Notice of information collection. issue of Monday, November 10, 2003. OMB Review This notice corrects the date for SUMMARY: The National Aeronautics and comments from December 3, 2003 to AGENCY: National Aeronautics and Space Administration, as part of its January 10, 2004. The full collection Space Administration (NASA). continuing effort to reduce paperwork notice is reproduced here. ACTION: Notice of information collection and respondent burden, invites the SUMMARY: The National Aeronautics and under OMB review. general public and other Federal Space Administration (NASA) has agencies to take this opportunity to submitted the following information SUMMARY: The National Aeronautics and comment on proposed and/or collection request to the Office of Space Administration, as part of its continuing information collections, as Management and Budget (OMB) for continuing effort to reduce paperwork required by the Paperwork Reduction review and approval in accordance with and respondent burden, invites the Act of 1995 (Public Law 104–13, 44 the procedures of the Paperwork general public and other Federal U.S.C. 3506(c)(2)(A)). Reduction Act of 1995 (Public Law 104– agencies to take this opportunity to DATES: All comments should be 13, 44 U.S.C. 3506(c)(2)(A)). comment on proposed and/or submitted within 60 calendar days from DATES: All comments should be continuing information collections, as the date of this publication. submitted by January 10, 2004. required by the Paperwork Reduction ADDRESSES: All comments should be ADDRESSES: All comments should be Act of 1995 (Public Law 104–13, 44 addressed to Mr. William Braun, U.S.C. 3506(c)(2)(A)). addressed to Desk Officer for NASA; National Aeronautics and Space Office of Information and Regulatory DATES: All comments should be Administration, MS 240.0, Goddard Affairs; Office of Management and submitted within 30 calendar days from Space Flight Center, Greenbelt, MD Budget; Room 10236; New Executive the date of this publication. 20771. Office Building; Washington, DC, 20503. ADDRESSES: All comments should be FOR FURTHER INFORMATION CONTACT: Ms. FOR FURTHER INFORMATION CONTACT: Ms. addressed to Desk Officer for NASA; Nancy Kaplan, NASA Reports Officer, Nancy Kaplan, NASA Reports Officer, Office of Information and Regulatory (202) 358–1372. (202) 358–1372. Affairs; Office of Management and Title: Locator and Information Title: Public Awareness/Opinion Budget; Room 10236; New Executive Services Tracking System (LISTS) Form. Survey for NASA. Office Building; Washington, DC, 20503. OMB Number: 2700–0063. OMB Number: 2700–. Type of review: Extension of a FOR FURTHER INFORMATION CONTACT: Ms. Type of review: New collection. currently approved collection. Nancy Kaplan, NASA Reports Officer, Need and Uses: The analysis of this Need and Uses: Information collected (202) 358–1372. survey will position NASA to develop a is used primarily to support Goddard Title: Evaluating the Effectiveness of strategy to effectively communicate Space Flight Center services that are the 2003–2004 NASA Science Files/ Agency messages. Connect Program Series. dependent upon accurate locator-type information. Affected Public: Individuals or OMB Number: 2700–. Affected Public: Individuals or households; Business or other for-profit; Type of review: New collection. households. Not-for-profit institutions; Federal Need and Uses: Surveying the Number of Respondents: 8,455. Government; State, Local, or Tribal registrants of NASA educational Responses Per Respondent: 1. Government. programs is necessary in order to Annual Responses: 8,455. Number of Respondents: 1,800. determine the programs’ effectiveness. Hours Per Request: 8 minutes per Responses Per Respondent: 1. Affected Public: State, Local, or Tribal response. Annual Responses: 1,800. Government; Individuals or households; Annual Burden Hours: 702. Hours Per Request: 20 minutes. Business or other for-profit; Not-for- Frequency of Report: Other (as Annual Burden Hours: 600. profit institutions. required). Frequency of Report: Other (one time). Number of Respondents: 250. Patricia L. Dunnington, Patricia L. Dunnington, Responses Per Respondent: 1. Chief Information Officer, Office of the Chief Information Officer, Office of the Annual Responses: 250. Administrator. Administrator. Hours Per Request: 15 minutes. [FR Doc. 03–29993 Filed 12–1–03; 8:45 am] [FR Doc. 03–29994 Filed 12–1–03; 8:45 am] Annual Burden Hours: 62.5. BILLING CODE 7510–01–P BILLING CODE 7510–01–P
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NUCLEAR REGULATORY safety officers, authorized medical NUCLEAR REGULATORY COMMISSION physicists, authorized nuclear COMMISSION pharmacists or authorized users. The Documents Containing Reporting or proposed rule would also revise the Agency Information Collection Recordkeeping Requirements: Office requirements for demonstrating the Activities: Submission for the Office of of Management and Budget (OMB) adequacy of training and experience for Management and Budget (OMB) Review pathways other than the board Review; Comment Request AGENCY: Nuclear Regulatory certification pathway. This rulemaking AGENCY: Nuclear Regulatory Commission (NRC). is necessary to address the training and Commission (NRC). ACTION: Notice of the OMB review of experience issue for recognition of ACTION: Notice of the OMB review of information collection and solicitation specialty board certifications. information collection and solicitation of public comment. Submit, by January 2, 2004, comments of public comment. that address the following questions: SUMMARY: The NRC has recently SUMMARY: The NRC has recently submitted to OMB for review the 1. Is the proposed collection of submitted to OMB for review the following proposal for the collection of information necessary for the NRC to following proposal for the collection of information under the provisions of the properly perform its functions? Does the information under the provisions of the Paperwork Reduction Act of 1995 (44 information have practical utility? Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35). 2. Is the burden estimate accurate? U.S.C. Chapter 35). The NRC hereby 1. Type of submission: Revision. informs potential respondents that an 3. Is there a way to enhance the 2. The title of the information agency may not conduct or sponsor, and quality, utility, and clarity of the collection: ‘‘10 CFR Part 35, Medical that a person is not required to respond Use of Byproduct Material—Recognition information to be collected? to, a collection of information unless it of Specialty Boards, Proposed Rule and 4. How can the burden of the displays a currently valid OMB control Burden Revision to NRC Form 313A, information collection be minimized, number. Training and Experience and Preceptor including the use of automated 1. Type of submission, new, revision, Statement.’’ collection techniques or other forms of or extension: Revision. 3. The form number if applicable: information technology? 2. The title of the information NRC Form 313A. A copy of the submittal may be collection: General Licensee 4. How often the collection is viewed free of charge at the NRC Public Registration. required: Part 35—one-time only; NRC 3. The form number if applicable: Document Room, One White Flint Form 313A—upon application or NRC Form 664. amendment to a license. North, 11555 Rockville Pike, Room O1 4. How often the collection is 5. Who will be required or asked to F23, Rockville, MD 20852. The required: Annually. report: Specialty boards requesting the proposed rule indicated in ‘‘The title of 5. Who will be required or asked to NRC to recognize their certification the information collection’’ is or has report: General Licensees of the NRC processes or recognized boards been published in the Federal Register who possess devices subject to responding to NRC requests for within several days of the publication registration under 10 CFR 31.5. information when being considered for date of this Federal Register Notice. The 6. An estimate of the number of delisting and materials licensees OMB clearance package and rule are annual responses: 3,000. permitting board-certified individuals to available at the NRC’s worldwide web 7. The estimated number of annual work as radiation safety officers, site: http://www.nrc.gov/public-involve/ respondents: 3,000. authorized medical physicists, doc-comment/omb/index.html for 60 8. An estimate of the total number of authorized nuclear pharmacists, or days after the signature date of this hours needed annually to complete the authorized users. notice and are also available at the rule requirement or request: 1,000 hours 6. An estimate of the number of forum site, http://ruleforum.llnl.gov. annually (3,000 respondents x 20 responses: 857. Comments and questions should be minutes per form). 7. The estimated number of annual directed to the OMB reviewer by 9. An indication of whether Section respondents: 857. January 2, 2004: OMB Desk Officer, 3507(d), Pub. L. 104–13 applies: Not 8. An estimate of the total number of Office of Information and Regulatory Applicable. hours needed annually to complete the Affairs (3150–0010 and 3150–0120), 10. Abstract: NRC Form 664 is used requirement or request: NEOB–10202, Office of Management by NRC general licensees to make 10 CFR Part 35—341 reporting hours and Budget, Washington DC 20503. reports regarding certain generally (0.4 hours per response); NRC Form licensed devices subject to registration. 313A—889 recordkeeping hours (1.0 Comments can also be submitted by The registration program allows NRC to hours per individual). telephone at (202) 395–3087. better track general licensees, so that 9. An indication of whether Section The NRC Clearance Officer is Brenda they can be contacted or inspected as 3507(d), Pub. L. 104–13 applies: Jo. Shelton, (301) 415–7233. necessary, and to make sure that Applicable. generally licensed devices can be 10. Abstract: The Nuclear Regulatory Dated at Rockville, Maryland, this 25th day identified even if lost or damaged, and of November 2003. Commission (NRC) is proposing to to further ensure that general licensees amend its regulations governing the For the Nuclear Regulatory Commission. are aware of and understand the medical use of byproduct material to Brenda Jo. Shelton, requirements for the possession of change its requirements for recognition NRC Clearance Officer, Office of the Chief devices containing byproduct material. of specialty boards whose certifications Information Officer. Greater awareness helps to ensure that may be used to demonstrate the [FR Doc. 03–29899 Filed 12–1–03; 8:45 am] general licensees will comply with the adequacy of the training and experience BILLING CODE 7590–01–P requirements for proper handling and of individuals to serve as radiation disposal of generally licensed devices
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and would reduce the potential for dated September 25, 2003 filed by part 51, the ESP should be issued as incidents that could result in Dominion Nuclear North Anna, LLC proposed. unnecessary radiation exposure to the (Dominion) pursuant to subpart A of 10 The Board will conduct the hearing in public and contamination of property. CFR part 52 for an early site permit accordance with subpart G of 10 CFR A copy of the final supporting (ESP). The application requests part 2. If the hearing is contested as statement may be viewed free of charge approval of a site owned by Virginia defined by 10 CFR 2.4, the presiding at the NRC Public Document Room, One Electric and Power Company and Old officer will consider Safety Issues 1 and White Flint North, 11555 Rockville Dominion Electric Cooperative in 2 and the issue pursuant to NEPA set Pike, Room O–1 F21, Rockville, MD Louisa County, Virginia, approximately forth above. 20852. OMB clearance requests are 7 miles east northeast of Mineral, If the hearing is not a contested available at the NRC worldwide Web Virginia and 40 miles north northwest proceeding as defined by 10 CFR 2.4, site: http://www.nrc.gov/public- of Richmond, Virginia, as a location for the presiding officer will determine: involve/doc-comment/omb/index.html. two or more new nuclear reactors that whether the application and the record The document will be available on the would, if authorized for construction of the proceeding contain sufficient NRC home page site for 60 days after the and operation in a separate licensing information, and the review of the signature date of this notice. proceeding under subpart C of 10 CFR application by the Commission’s staff Comments and questions should be part 52 or under 10 CFR part 50, have has been adequate to support a negative directed to the OMB reviewer listed a capacity of no more than 8600 finding on Safety Issue 1 above, and an below by January 2, 2004. Comments Megawatts (thermal) additional for the affirmative finding on Safety Issue 2 received after this date will be site. The docket number established for above, as proposed to be made by the considered if it is practical to do so, but this application is 52–008. Director, Office of Nuclear Reactor Regulation; and whether the review assurance of consideration cannot be The hearing will be conducted by a conducted by the Commission pursuant given to comments received after this Board which will be designated by the date. to NEPA has been adequate. Chairman of the Atomic Safety and Regardless of whether the proceeding OMB Desk Officer, Office of Information Licensing Board Panel or by the Nuclear and Regulatory Affairs (3150–0198), is contested or uncontested, the Regulatory Commission (NRC, the presiding officer will: (1) Determine NEOB–10202, Office of Management Commission). Notice as to the and Budget, Washington, DC 20503. whether the requirements of Section membership of the Board will be 102(2) (A), (C), and (E) of NEPA and Comments can also be submitted by published in the Federal Register at a subpart A of 10 CFR part 51 have been telephone at (202) 395–3087. later date. complied with in the proceeding; (2) The NRC Clearance Officer is Brenda The NRC staff will complete a independently consider the final Jo. Shelton, 301–415–7233. detailed technical review of the balance among the conflicting factors Dated at Rockville, Maryland, this 21st day application and will document its contained in the record of the of November, 2003. findings in a safety evaluation report proceeding with a view to determining For the Nuclear Regulatory Commission. (SER) and an environmental impact the appropriate action to be taken; and Beth C. St. Mary, statement (EIS). In addition, the (3) determine, after considering Acting NRC Clearance Officer, Office of the Commission will refer a copy of the reasonable alternatives, whether the ESP Chief Information Officer. application to the Advisory Committee should be issued, denied, or [FR Doc. 03–29903 Filed 12–1–03; 8:45 am] on Reactor Safeguards (ACRS) in appropriately conditioned to protect BILLING CODE 7590–01–P accordance with 10 CFR 52.23, and the environmental values. ACRS will report on those portions of In accordance with 10 CFR 2.714, any the application that concern safety. person whose interest may be affected NUCLEAR REGULATORY Upon receipt of the ACRS report and by this proceeding and who desires to COMMISSION completion of the NRC staff’s SER and participate as a party shall file a written EIS, the Director, Office of Nuclear petition for leave to intervene. Petitions [Docket No. 52–008] Reactor Regulation, NRC, will propose must set forth with particularity the Dominion Nuclear North Anna, LLC; findings on the following issues: interest of the petitioner in the Notice of Hearing and Opportunity To Issues Pursuant to the Atomic Energy proceeding, how that interest may be Petition for Leave To Intervene; Early Act of 1954, as Amended affected by the results of the proceeding, Site Permit for the North Anna ESP including the reasons why the petitioner Site (1) Whether the issuance of an ESP should be permitted to intervene with will be inimical to the common defense particular reference to the factors set Pursuant to the Atomic Energy Act of and security or to the health and safety forth in 10 CFR 2.714(d)(1), and the 1954, as amended (the Act), and the of the public (Safety Issue 1); and, (2) specific aspect or aspects of the subject regulations in Title 10, Code of Federal whether, taking into consideration the matter of the proceeding as to which the Regulations, Part 50, Domestic site criteria contained in 10 CFR part petitioner wishes to intervene. Licensing of Production and Utilization 100, a reactor, or reactors, having The Commission, the presiding Facilities, Part 52, Early Site Permits, characteristics that fall within the officer, or the Atomic Safety and Standard Design Certifications, and parameters for the site, can be Licensing Board designated to rule on Combined Licenses for Nuclear Power constructed and operated without petitions to intervene shall, in ruling on Plants, and Part 2, Rules of Practice for undue risk to the health and safety of petitions to intervene, consider the Domestic Licensing Proceedings and the public (Safety Issue 2). following factors, among other things: Issuance of Orders, notice is hearby (1) The nature of the petitioner’s right Issue Pursuant to the National given that a hearing will be held, at a under the Act to be made a party to the Environmental Policy Act (NEPA) of time and place to be set in the future by proceeding, (2) the nature and extent of 1969, as Amended the Commission or designated Atomic the petitioner’s property, financial, or Safety and Licensing Board (Board). The Whether, in accordance with the other interest in the proceeding, and (3) hearing will consider the application requirements of subpart A of 10 CFR the possible effect of any order that may
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be entered in the proceeding on the and (3) sufficient information (which A person who is not a party may, in petitioner’s interest. may include information pursuant to 10 the discretion of the presiding officer, be All such petitions must be filed no CFR 2.714(b)(2)(i) and (ii)) to show that permitted to make a limited appearance later than 30 days from the date of a genuine dispute exists with the by making an oral or written statement publication of this notice in the Federal applicant on a material issue of law or of his position on the issues at any Register. Nontimely filings will not be fact. This showing must include session of the hearing or any prehearing entertained absent a determination by references to the specific portions of the conference within such limits and on the Commission, the presiding officer, application (including the applicant’s such conditions as may be fixed by the or the Atomic Safety and Licensing environmental report and safety report) presiding officer, but may not otherwise Board designated to rule on the petition, that the petitioner disputes and the participate in the proceeding. that the petition should be granted supporting reasons for each dispute, or, A copy of the Dominion ESP based upon a balancing of the factors if the petitioner believes that the application is available for public specified in 10 CFR 2.714(a)(1)(i)–(v). application fails to contain information inspection at the Commission’s Public The Board will convene a special on a relevant matter as required by law, Document Room (PDR), located at One prehearing conference of the parties to the identification of each failure and the White Flint North, 11555 Rockville Pike the proceeding and persons who have supporting reasons for the petitioner’s (first floor), Rockville, Maryland. filed petitions for leave to intervene, or belief. On issues arising under NEPA, Publicly available records are accessible their counsel, to be held at such times the petitioner shall file contentions from the Agencywide Documents as may be appropriate, at a place to be based on the applicant’s environmental Access and Management System set by the Board for the purpose of report. The petitioner can amend those (ADAMS) Public Electronic Reading dealing with the matters specified in 10 contentions or file new contentions if Room on the Internet at the NRC Web CFR 2.751a. Notice of this special there are data or conclusions in the NRC site, http://www.nrc.gov/reading-rm/ prehearing conference will be published draft or final EIS, or any supplements adams.html. The accession number for in the Federal Register. The Board will relating thereto, that differ significantly the application is ML032731517. convene a prehearing conference of the from the data or conclusions in the Persons who do not have access to parties, or their counsel, to be held applicant’s document. ADAMS, or who encounter problems in subsequent to any special prehearing The Commission, the presiding accessing the documents located in conference, after discovery has been officer, or the Atomic Safety and ADAMS, should contact the NRC Public completed, or within such other time as Licensing Board designated to rule on Document Room staff by telephone at 1– may be appropriate, at a time and place petitions to intervene shall, in ruling on 800–397–4209, 301–415–4737 or by e- to be set by the Board for the purpose the admissibility of a contention, refuse mail to [email protected]. of dealing with the matters specified in to admit a contention if: (1) The Dated at Rockville, Maryland, this 25th day 10 CFR 2.752. contention and supporting material fail of November, 2003. Not later than fifteen (15) days prior to satisfy the requirements of 10 CFR For the Nuclear Regulatory Commission. to the holding of the special prehearing 2.714(b)(2); or (2) the contention, if conference pursuant to § 2.751a, or if no proven, would be of no consequence in Andrew L. Bates, special prehearing conference is held, the proceeding because it would not Acting Secretary of the Commission. fifteen (15) days prior to the holding of entitle petitioner to relief. [FR Doc. 03–29898 Filed 12–1–03; 8:45 am] the first prehearing conference, the A person permitted to intervene BILLING CODE 7590–01–P petitioner shall file a supplement to his becomes a party to the proceeding, or her petition to intervene that must subject to any limitations imposed include a list of the contentions which pursuant to 10 CFR 2.714(f). Unless NUCLEAR REGULATORY petitioner seeks to have litigated in the otherwise expressly provided in the COMMISSION hearing. A petitioner who fails to file a order allowing intervention, the [Docket No. 50–286] supplement that satisfies the granting of a petition for leave to requirements of 10 CFR 2.714(b)(2) with intervene does not change or enlarge the Energy Nuclear Operations, Inc., Indian respect to at least one contention will issues specified in the notice of hearing. Point Nuclear Generating Unit No. 3, not be permitted to participate as a Petitions for leave to intervene may be Environmental Assessment and party. Additional time for filing the filed by delivery to the NRC Public Finding of No Significant Impact supplement may be granted based upon Document Room at One White Flint a balancing of the factors in 10 CFR North, 11555 Rockville Pike, Rockville, The U.S. Nuclear Regulatory 2.714(a)(1). Maryland 20852–2738, or by mail Commission (NRC) is considering Each contention must consist of a addressed to the Secretary, U.S. Nuclear issuance of an exemption from Title 10 specific statement of the issue of law or Regulatory Commission, Washington, of the Code of Federal Regulations (10 fact to be raised or controverted. In DC 20555–0001; Attention: Rulemakings CFR) part 50, section 50.60(a) for addition, the petitioner shall provide and Adjudication Staff. A copy of the Facility Operating License No. DPR–64, the following information with respect petition should also be sent to the issued to Entergy Nuclear Operations, to each contention: (1) A brief Assistant General Counsel for Reactor Inc. (the licensee), for operation of the explanation of the bases of the Programs, U.S. Nuclear Regulatory Indian Point Nuclear Generating Unit contention, (2) a concise statement of Commission, Washington, DC 20555– No. 3 (IP3), located in Westchester the alleged facts or expert opinion 0001, Lillian M. Cuoco, Senior Counsel, County, New York. Therefore, as which support the contention and on Dominion Resources Services, Inc., required by 10 CFR 51.21, the NRC is which the petitioner intends to rely in Rope Ferry Road, Waterford, CT 06385, issuing this environmental assessment proving the contention at the hearing, and to David R. Lewis, Shaw Pittman, and finding of no significant impact. together with references to those 2300 N. Street NW., Washington, DC Environmental Assessment specific sources and documents of 20037. All petitions must be which the petitioner is aware and on accompanied by proof of service upon Identification of the Proposed Action which the petitioner intends to rely to all parties to the proceeding or their The proposed action would provide establish those facts or expert opinion, attorneys of record. an exemption from the requirements of
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10 CFR 50.60(a) to permit the use of the nonradiological environmental impacts For the Nuclear Regulatory Commission. American Society of Mechanical associated with the proposed action. Richard J. Laufer, Engineers Boiler and Pressure Vessel Accordingly, the NRC concludes that Chief, Section 1, Project Directorate I, Division Code (ASME Code), Section XI, Code there are no significant environmental of Licensing Project Management, Office of Case N–640, ‘‘Alternative Requirement impacts associated with the proposed Nuclear Reactor Regulation. Fracture Toughness for Development of action. [FR Doc. 03–29901 Filed 12–1–03; 8:45 am] P–T [Pressure and Temperature] Limit BILLING CODE 7590–01–P Curves for ASME Section XI Division I,’’ Environmental Impacts of the in lieu of 10 CFR part 50, appendix G, Alternatives to the Proposed Action paragraph I. As an alternative to the proposed NUCLEAR REGULATORY The proposed action is in accordance action, the staff considered denial of the COMMISSION with the licensee’s application dated proposed action (i.e., the ‘‘no-action’’ May 28, 2003. alternative). Denial of the application Regulatory Guide; Issuance, Availability The Need for the Proposed Action would result in no change in current environmental impacts. The The Nuclear Regulatory Commission The proposed action provides relief environmental impacts of the proposed (NRC) has issued a revision of a guide from the restriction of the P–T operating action and the alternative action are in its Regulatory Guide Series. This window defined by the P–T operating similar. and test curves developed in accordance series has been developed to describe with ASME Code, Section XI, Appendix Alternative Use of Resources and make available to the public such information as methods acceptable to G procedure. ASME Code, Section XI, The action does not involve the use of the NRC staff for implementing specific Appendix G procedure was any different resource than those parts of the NRC’s regulations, conservatively developed based on the previously considered in the Final techniques used by the staff in its level of knowledge existing in 1974 Environmental Statement for IP3, dated review of applications for permits and concerning reactor pressure vessel September 1972. materials and the estimated effects of licenses, and data needed by the NRC operation. Since 1974, the level of Agencies and Persons Consulted staff in its review of applications for knowledge about these topics has been On November 20, 2003, the staff permits and licenses. greatly expanded. This increased consulted with the New York State Regulatory Guide 1.198, ‘‘Procedures knowledge permits relaxation of the official, Mr. John Spath of the New York and Criteria for Assessing Seismic Soil ASME Code, Section XI, Appendix G, State Research and Development Liquefaction at Nuclear Power Plant requirements via application of ASME Authority, regarding the environmental Sites,’’ has been developed to provide Code Case N–640 while maintaining the impact of the proposed action. The State guidance to license applicants on underlying purpose of the ASME Code, official had no comments. acceptable methods for evaluating the Section XI, Appendix G procedure. The potential for earthquake-induced restriction of the P–T operating and test Finding of No Significant Impact instability of soils resulting from curves developed in accordance with On the basis of the environmental liquefaction and strength degradation. ASME Code, Section XI, Appendix G assessment, the NRC concludes that the The guidance includes procedures and procedure would challenge the proposed action will not have a criteria currently applied to assess the operations staff when operating at low significant effect on the quality of the liquefaction potential of soils ranging temperatures. human environment. Accordingly, the from gravel to clays. Environmental Impacts of the Proposed NRC has determined not to prepare an Comments and suggestions in Action environmental impact statement for the connection with items for inclusion in The NRC has completed its evaluation proposed action. guides currently being developed or of the proposed action and concludes as For further details with respect to the improvements in all published guides set forth below, there are no significant proposed action, see the licensee’s letter are encouraged at any time. Written environmental impacts associated with dated May 28, 2003. Documents may be comments may be submitted to the the use of the alternative analysis examined, and/or copied for a fee, at the Rules and Directives Branch, Division of methods to support the revision of the NRC’s Public Document Room (PDR), Administrative Services, Office of P–T curves. located at One White Flint North, Public Administration, U.S. Nuclear Regulatory The proposed action will not File Area O1 F21, 11555 Rockville Pike Commission, Washington DC 20555. significantly increase the probability or (first floor), Rockville, Maryland. Questions on the content of this guide consequences of accidents, no changes Publicly available records will be may be directed to Mr. Y. Li, (301) 415– are being made in the types of effluents accessible electronically from the 4141; email [email protected]. that may be released off site, and there Agencywide Documents Access and Regulatory guides are available for is no significant increase in Management System (ADAMS) Public inspection or downloading at the NRC’s occupational or public radiation Electronic Reading Room on the Internet Web site at http://www.nrc.gov under exposure. Therefore, there are no at the NRC Web site, http:// Regulatory Guides and in NRC’s significant radiological environmental www.nrc.gov/reading-rm/adams.html. Electronic Reading Room (ADAMS impacts associated with the proposed Persons who do not have access to System) at the same site. Single copies action. ADAMS or who encounter problems in of regulatory guides may be obtained With regard to potential accessing the documents located in free of charge by writing the nonradiological impacts, the proposed ADAMS, should contact the NRC PDR Reproduction and Distribution Services action does not have a potential to affect Reference staff by telephone at 1–800– Section, U.S. Nuclear Regulatory any historic sites. It does not affect 397–4209 or 301–415–4737, or by e-mail Commission, Washington, DC 20555– nonradiological plant effluents and has to [email protected]. 0001, or by fax to (301) 415–2289, or by no other environmental impact. Dated at Rockville, Maryland, this 24th day e-mail to [email protected]. Issued Therefore, there are no significant of November 2003. guides may also be purchased from the
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National Technical Information Service Selected?, (6) How Should (‘‘Commission’’) has submitted to the (NTIS) on a standing order basis. Details Confidentiality Be Handled?, (7) What Office of Management and Budget a on this service may be obtained by Information Concerning ADR Sessions request for extension of the previously writing NTIS at 5285 Port Royal Road, Should Be Public?, (8) How Will NRC approved collection of information Springfield, VA 22161; telephone 1– internal management procedures Be discussed below. 800–553–6847; http://www.ntis.gov. Impacted?, (9) How Will The Program Rule 17Ad–4(b) and (c) Notices Regulatory guides are not copyrighted, Be Coordinated with NRC Enforcement Regarding Exempt Transfer Agent and Commission approval is not Process? (10) What Training Will Be Status required to reproduce them. (5 U.S.C. Done?, and (11) How Will The Program 552(a)) Be Evaluated? These issues are Rule 17Ad–4(b) and (c) are used to document when transfer agents are Dated at Rockville, MD this 21st day of addressed in a document for comment November 2003. on the NRC’s Web site at http:// exempt, or no longer exempt, from the minimum performance standards and For the Nuclear Regulatory Commission. www.nrc.gov: select What We Do, Enforcement, then Alternative Dispute certain recordkeeping provisions of the Ashok C. Thadani, Commission’s transfer agent rules. Rule Director, Office of Nuclear Regulatory Resolution. This document is also available in ADAMS at ML033290248. 17Ad–4(c) sets forth the conditions Research. under which a registered transfer agent DATES: The comment period expires [FR Doc. 03–29900 Filed 12–1–03; 8:45 am] loses its exempt status. Once the December 31, 2003. BILLING CODE 7590–01–P conditions for exemption no longer ADDRESSES: Submit written responses to exist, the transfer agent, to keep the the issues addressed in the ‘‘ADR Pilot appropriate regulatory authority NUCLEAR REGULATORY Program Discussion Issues’’ document (‘‘ARA’’) apprised of its current status, COMMISSION included on the ADR Web page to Chief, must prepare, and file if the ARA for the Rules and Directives Branch, Division of transfer agent is the Board of Governors Pilot Program on the Use of Alternative Administrative Services, Office of Dispute Resolution in the Enforcement of the Federal Reserve System Administration, Mail Stop T–6D59, U.S. (‘‘BGFRS’’) or the Federal Deposit Program; Request for Comments and Nuclear Regulatory Commission, Announcement of Public Meeting Insurance Corporation (‘‘FDIC’’), a Washington, DC 20555–0001. Hand notice of loss of exempt status under AGENCY: Nuclear Regulatory deliver comments to: 11555 Rockville paragraph (c). The transfer agent then Commission. Pike, Rockville, Maryland, between 7:30 cannot claim exempt status under Rule ACTION: Request for comments and a.m. and 4:15 p.m., Federal workdays. 17Ad–4(b) again until it remains subject announcement of public meeting. Comments may be submitted by e-mail to the minimum performance standards to [email protected]. Copies of comments for non-exempt transfer agents for six SUMMARY: The Commission has recently received may be examined at the NRC’s consecutive months. The ARAs use the approved an NRC staff proposal to Public Document Room, located at One information contained in the notice to develop a pilot program on the use of White Flint North (O1–F21), Rockville, determine whether a registered transfer ‘‘Alternative Dispute Resolution’’ (ADR) Maryland, 20852–2738. agent qualifies for the exemption, to in cases involving the NRC’s FOR FURTHER INFORMATION CONTACT: Nick determine when a registered transfer enforcement activities concerning Hilton, Enforcement Specialist, Office of agent no longer qualifies for the allegations or findings of discrimination Enforcement, U.S. Nuclear Regulatory exemption, and to determine the extent and other wrongdoing. See SECY–03– Commission, Washington, DC 20555– to which that transfer agent is subject to 0115. ‘‘ADR’’ is a term that refers to a 0001, (301) 415–2741, e-mail regulation. number of processes that can be used in [email protected]. The BGFRS receives approximately assisting parties in resolving disputes Dated at Rockville, Maryland, this 25th day twelve notices of exempt status and six and potential conflicts. Most of these of November, 2003. notices of loss of exempt status processes are voluntary, where the For the Nuclear Regulatory Commission. annually. The FDIC receives parties to the dispute are in control of Frank J. Congel, approximately eighteen notices of the decision on whether to participate exempt status and three notices of loss Director, Office of Enforcement. in the process and whether to agree to of exempt status annually. The any resolution of the dispute. The [FR Doc. 03–29902 Filed 12–1–03; 8:45 am] Commission and the Office of the parties are assisted in their efforts to BILLING CODE 7590–01–P Comptroller of the Currency (‘‘OCC’’) do reach agreement by a neutral third not require transfer agent to file notice party. The NRC staff is now proceeding of exempt status or loss of exempt to develop the policies and procedures SECURITIES AND EXCHANGE status. Instead, transfer agents whose for implementation of the pilot program. COMMISSION ARA is the Commission or OCC need As an initial step in the development of only to prepare and maintain these Submission for OMB Review; the pilot program, the NRC will be notices. The Commission estimates that Comment Request holding a public workshop on December approximately sixteen notices of exempt 10, 2003, at One White Flint North, Upon Written Request, Copies Available status and loss of exempt status are 11555 Rockville Pike, Room 014B6, From: Securities and Exchange Commission, prepared annually by transfer agents Rockville, Maryland from 9 a.m.–3:30 Office of Filings and Information Services, whose ARA is the Commission. p.m. to discuss multiple issues. These Washington, DC 20549. Similarly, the OCC estimates that the issues include: (1) How should cases be Extension: transfer agents for which it is the ARA selected for the use of ADR?, (2) What Rule 17Ad–4(b) and (c), SEC File No. 270– prepare and maintain approximately ADR processes should be used?, (3) 264, OMB Control No. 3235–0341. fifteen notices of exempt status and loss What is the appropriate NRC Notice is hereby given that pursuant of exempt status annually. Thus, a total involvement in the early ADR process?, to the Paperwork Reduction Act of 1995 of approximately seventy notices of (4) Who Should Participate in the ADR (44 U.S.C. 3501 et seq.), the Securities exempt status and loss of exempt status Process?, (5) How Should Neutrals Be and Exchange Commission are prepared and maintained by transfer
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agents annually. Of these seventy Office of Filing and Information Services, forth in the rule, the UIT has obtained notices, approximately forty are filed Washington, DC 20549. from each applicable investor written or with an ARA. Any additional costs Extension: implied consent to the householding of associated with filing such notices Rule 30e–2, SEC File No. 270–437, OMB shareholder reports at such address. The would be limited primarily to postage, Control No. 3235–0494. rule requires UITs that wish to which would be minimal. Since the Notice is hereby given that pursuant household shareholder reports with Commission estimates that no more to the Paperwork Reduction Act of 1995 implied consent to send a notice to each than one-half hour is required to (44 U.S.C. 3501 et seq.) (the ‘‘Paperwork applicable investor stating that the prepare each notice, the total annual Reduction Act’’) the Securities and investors in the household will receive burden to transfer agents is Exchange Commission (‘‘Commission’’) one report in the future unless the approximately thirty-five hours. The is soliciting comments on the investors provide contrary instructions. average cost per hour is approximately collections of information summarized In addition, at least once a year, UITs $30. Therefore, the total cost of below. The Commission plans to submit relying on the rule for householding compliance to the transfer agent this existing collection of information to must explain to investors who have community is $1,050. the Office of Management and Budget provided written or implied consent Transfer agents should prepare and for extension and approval. how they can revoke their consent. maintain in its possession or file with Section 30(e) of the Investment Preparing and sending the initial notice its ARA notice of exempt status or loss Company Act of 1940 [15 U.S.C. 80a– and the annual explanation of the right of exempt status for the period of the 29(e)] (the ‘‘Investment Company Act’’ to revoke consent are collections of 1 exemption or loss of exemption. When or ‘‘Act’’) and rule 30e–2 thereunder information under the Paperwork the transfer agent’s status changes, the [17 CFR 270.30e–2] require registered Reduction Act. The purpose of the requirement that transfer agent should file a notice of unit investment trusts (‘‘UITs’’) that UITs that invest substantially all of their exempt status or loss of exempt status invest substantially all of their assets in assets in securities of a fund transmit to reflecting that change. The notice securities of a management investment 2 shareholders at least semi-annually requirement is mandatory to determine company (‘‘fund’’) to send to reports containing financial statements when a registered transfer agent no shareholders at least semi-annually a and certain other information is to longer qualifies for the exemption, and report containing certain financial apprise current shareholders of the to determine the extent to which that statements and other information. operational and financial condition of transfer agent is subject to regulation. Specifically, rule 30e–2 requires that the report contain the financial statements the UIT. Absent the requirement to Notices submitted according to Rule disclose all material information in 17Ad–4(b) & (c) will not be kept and other information that rule 30e–1 under the Act [17 CFR 270.30e–1] reports, investors would be unable to confidential. Please note that an agency obtain accurate information upon which may not conduct or sponsor, and a requires to be included in the report of the underlying fund for the same fiscal to base investment decisions and person is not required to respond to, a consumer confidence in the securities collection of information unless it period. Rule 30e–1 requires that the underlying fund’s report contain, among industry might be adversely affected. displays a currently valid control Requiring the submission of these number. other things, the financial statements and other information that is required to reports to the Commission permits us to General comments regarding the be included in such report by the fund’s verify compliance with securities law estimated burden hours should be registration form. Preparing and sending requirements. directed to the following persons: (i) the above-described reports under rule The purpose of the notice and annual Desk Officer for the Securities and 30e–2 are collections of information explanation requirements associated Exchange Commission, Office of under the Paperwork Reduction Act. with the householding provisions of the Information and Regulatory Affairs, Rule 30e–2, however, permits, under rule is to ensure that investors who wish Office of Management and Budget, certain conditions, delivery of a single to receive individual copies of Room 10102, New Executive Office shareholder report to investors who shareholder reports are able to do so. Building, Washington, DC 20503; and share an address (‘‘householding’’). The The Commission estimates that as of (ii) Kenneth A. Fogash, Acting Associate purpose of the householding provisions April 2003, approximately 733 UITs Executive Director/CIO, Office of of the rule is to reduce the amount of were subject to the provisions of rule Information Technology, Securities and duplicative reports delivered to 30e–2. The Commission further Exchange Commission, 450 Fifth Street, investors sharing the same address. estimates that the annual burden NW. Washington, DC 20549. Comments Specifically, rule 30e–2 permits associated with rule 30e–2 is 121 hours must be submitted to OMB within 30 householding of annual and semi- for each UIT, including an estimated 20 days of this notice. annual reports by UITs to satisfy the hours associated with the notice Dated: November 25, 2003. delivery requirements of rule 30e–2 if, requirement for householding and an Margaret H. McFarland, in addition to the other conditions set estimated 1 hour associated with the explanation of the right to revoke Deputy Secretary. consent to householding, for a total of [FR Doc. 03–29933 Filed 12–1–03; 8:45 am] 1 Rule 30e–2 was originally adopted as rule 30d– 2, but was redesignated as rule 30e–2 effective 88,693 burden hours. BILLING CODE 8010–01–P February 15, 2001. See Role of Independent The estimate of average burden hours Directors of Investment Companies, Securities Act is made solely for the purposes of the Rel. No. 7932; Exchange Act Rel. No. 43786; Paperwork Reduction Act, and is not Investment Company Act Rel. No. 24816 (Jan. 2, SECURITIES AND EXCHANGE derived from a comprehensive or even COMMISSION 2001) [66 FR 3734 (Jan. 16, 2001)]. 2 Management investment companies are defined a representative survey or study of the Proposed Collection; Comment in section 4(3) of the Investment Company Act as costs of Commission rules and forms. any investment company other than a face-amount In addition to the burden hours, the Request certificate company or a unit investment trust, as those terms are defined in sections 4(1) and 4(2) of Commission estimates that the cost of Upon Written Request, Copies Available the Investment Company Act. See 15 U.S.C. contracting for outside services From: Securities and Exchange Commission, 80a–4. associated with complying with rule
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30e–2 is $12,000 per respondent (80 the PCX the Issuer states that: (i) At the SECURITIES AND EXCHANGE hours times $150 per hour for time the Security was listed on the PCX COMMISSION independent auditor services), for a total on March 10, 1995, the expectation was of $8,796,000 ($12,000 per respondent that competition from a second trading Issuer Delisting; Notice of Application times 733 respondents). venue would benefit shareholders by of the Preferred Income Opportunity Written comments are invited on: (a) narrowing bid/offer spreads, and Fund Incorporated To Withdraw From Whether the proposed collections of provide shareholders additional Listing and Registration Its Common information are necessary for the proper liquidity during the time period the PCX Stock, $.01 Par Value, From Listing performance of the functions of the and Registration on the Pacific remained opened following the New agency, including whether the Exchange, Inc. File No. 1–06495 York Stock Exchange close; (ii) since the information will have practical utility; (b) the accuracy of the agency’s estimate PCX was purchased by Archipelago November 25, 2003. of the burden of the collections of Exchange and converted to a fully The Preferred Income Opportunity information; (c) ways to enhance the electronic format, bid/offer spreads on Fund Incorporated, a Maryland quality, utility, and clarity of the the PCX have widened dramatically, corporation (‘‘Issuer’’), has filed an information collected; and (d) ways to adversely impacting shareholders’ application with the Securities and minimize the burden of the collections executions; and (iii) the Issuer has been Exchange Commission (‘‘Commission’’), of information on respondents, unable to obtain statistics from the PCX, pursuant to section 12(d) of the including through the use of automated making it impossible to track historic Securities Exchange Act of 1934 collection techniques or other forms of trading volume and determine the (‘‘Act’’) 1 and Rule 12d2–2(d) information technology. Consideration efficiency of executions. thereunder,2 to withdraw its common stock, $.01 par value, (‘‘Security’’), from will be given to comments and The Issuer stated in its application listing and registration on the Pacific suggestions submitted in writing within that it has complied with the PCX Rule 60 days of this publication. Exchange, Inc. (‘‘PCX’’ or ‘‘Exchange’’). 5.4(b) that governs the removal of Please direct your written comments The Board of Directors (‘‘Board’’) of to Kenneth A. Fogash, Acting Associate securities from listing and registration the Issuer approved a resolution on Executive Director/CIO, Office of on the Exchange. The Issuer’s April 25, 2003, to withdraw its Security Information Technology, Securities and application relates solely to the from listing on the Exchange. In making Exchange Commission, 450 5th Street, withdrawal of the Security from listing its decision to delist its Security from NW., Washington, DC 20549. and registration on the PCX and from the PCX the Issuer states that: (i) At the registration under section 12(b) 3 of the Dated: November 25, 2003. time the Security was listed on the PCX Act and shall not affect its obligation to Margaret H. McFarland, on March 10, 1995, the expectation was be registered under section 12(g) of the that competition from a second trading Deputy Secretary. Act.4 venue would benefit shareholders by [FR Doc. 03–29934 Filed 12–1–03; 8:45 am] narrowing bid/offer spreads, and BILLING CODE 8010–01–P Any interested person may, on or before December 19, 2003, submit by provide shareholders additional letter to the Secretary of the Securities liquidity during the time period the PCX SECURITIES AND EXCHANGE and Exchange Commission, 450 Fifth remained opened following the New COMMISSION Street, NW., Washington, DC 20549– York Stock Exchange close; (ii) since the 0609, facts bearing upon whether the PCX was purchased by Archipelago Exchange and converted to a fully Issuer Delisting; Notice of Application application has been made in electronic format, bid/offer spreads on of Preferred Income Fund Incorporated accordance with the rules of the PCX To Withdraw From Listing and the PCX have widened dramatically, and what terms, if any, should be adversely impacting shareholders’ Registration Its Common Stock, $.01 imposed by the Commission for the Par Value, From Listing and executions; and (iii) the Issuer has been protection of investors. The Registration on the Pacific Exchange, unable to obtain statistics from the PCX, Commission, based on the information Inc. File No. 1–06179 making it impossible to track historic submitted to it, will issue an order trading volume and determine the November 25, 2003. granting the application after the date efficiency of executions. The Preferred Income Fund mentioned above, unless the The Issuer stated in its application Incorporated, a Maryland corporation Commission determines to order a that it has complied with PCX Rule (‘‘Issuer’’), has filed an application with hearing on the matter. 5.4(b) that governs the removal of the Securities and Exchange For the Commission, by the Division of securities from listing and registration Commission (‘‘Commission’’), pursuant Market Regulation, pursuant to delegated on the Exchange. The Issuer’s to section 12(d) of the Securities authority.5 application relates solely to the Exchange Act of 1934 (‘‘Act’’) 1 and Rule Jonathan G. Katz, withdrawal of the Security from listing 12d2–2(d) thereunder,2 to withdraw its and registration on the PCX and from common stock, $.01 par value, Secretary. registration under section 12(b) 3 of the (‘‘Security’’), from listing and [FR Doc. 03–29935 Filed 12–1–03; 8:45 am] Act and shall not affect its obligation to registration on the Pacific Exchange, BILLING CODE 8010–01–P be registered under section 12(g) of the Inc. (‘‘PCX’’ or ‘‘Exchange’’). Act.4 The Board of Directors (‘‘Board’’) of Any interested person may, on or the Issuer approved a resolution on before December 19, 2003, submit by April 25, 2003, to withdraw its Security letter to the Secretary of the Securities from listing on the Exchange. In making its decision to delist its Security from 1 15 U.S.C. 78l(d). 3 15 U.S.C. 78l(b). 2 17 CFR 240.12d2–2(d). 1 15 U.S.C. 78l(d). 4 15 U.S.C. 78l(g). 3 15 U.S.C. 78l(b). 2 17 CFR 240.12d2–2(d). 5 17 CFR 200.30–3(a)(1). 4 15 U.S.C. 78l(g).
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and Exchange Commission, 450 Fifth filed or as amended, may be granted the T&D Utility to issue an additional Street, NW., Washington, DC 20549– and/or permitted to become effective. $300 million principal amount of 0609, facts bearing upon whether the incremental external debt securities CenterPoint Energy, Inc., et. al. (70– application has been made in during the Authorization Period, so that 10128) accordance with the rules of the PCX the amount of the T&D Utility and what terms, if any, should be CenterPoint Energy, Inc. Additional Debt Limit would increase to imposed by the Commission for the (‘‘CenterPoint’’), 1111 Louisiana, $3.903 billion principal amount during protection of investors. The Houston, Texas, 77002, a registered the Authorization Period. Applicants Commission, based on the information holding company under the Act; its request that the Commission reserve submitted to it, will issue an order subsidiary, Utility Holding, LLC,1 200 jurisdiction over the issuance of $250 granting the application after the date West Ninth Street Plaza, Suite 411, million principal amount of incremental mentioned above, unless the Wilmington, Delaware 19801; and external debt, out of the $300 million Commission determines to order a CenterPoint Energy Houston Electric, principal amount of debt authority hearing on the matter. LLC (‘‘T&D Utility’’), 1111 Louisiana, requested, until completion of the record. For the Commission, by the Division of Houston, Texas, 77002, an indirect Market Regulation, pursuant to delegated electric public utility subsidiary of Prior to the electric restructuring, a authority.5 CenterPoint (together, ‘‘Applicants’’) utility to which the T&D Utility is the corporate successor entered into Jonathan G. Katz, have filed a post-effective amendment agreements with certain governmental Secretary. under sections 6 and 7 of the Act and rules 44 and 54 under the Act, to their authorities (‘‘Authorities’’) for the [FR Doc. 03–29936 Filed 12–1–03; 8:45 am] previously filed application-declaration issuance of pollution control bonds BILLING CODE 8010–01–P (‘‘Declaration’’). (‘‘Bonds’’) by those Authorities. Under The Applicants are asking the these agreements, the proceeds of the Commission to modify the authority Bonds were used by the utility to SECURITIES AND EXCHANGE finance qualifying pollution control COMMISSION granted under the order dated June 30, 2003 (Holding Company Act Release facilities used in its business or to No. 35–27692) (‘‘Omnibus Financing refund bonds previously issued for that [Release No. 35–27768] Order’’), as supplemented by the order purpose. In connection with the electric restructuring: (1) CenterPoint assumed Filings Under the Public Utility Holding dated August 1, 2003 (Holding Company Act Release No. 35–27705) the installment payment obligations of Company Act of 1935, as Amended the utility; (2) the mortgage bonds that (‘‘Act’’) (collectively, ‘‘T&D Utility Financing Orders’’). The T&D Utility Financing secured certain of these obligations November 25, 2003. Orders authorized the T&D Utility to: (1) remained with the T&D Utility as corporate successor to the utility; and Notice is hereby given that the Issue up to $500 million principal (3) the T&D Utility issued promissory following filing(s) has/have been made amount of incremental external debt notes payable to CenterPoint with with the Commission under provisions securities through June 30, 2005 payment terms equivalent to of the Act and rules promulgated under (‘‘Authorization Period’’) so that the CenterPoint’s installment payment the Act. All interested persons are total amount of T&D Utility external debt would not exceed $3.603 billion obligations for each series of secured referred to the application(s) and/or bonds. declaration(s) for complete statements of principal amount (‘‘T&D Utility Additional Debt Limit’’) at any one time Certain of these currently outstanding the proposed transaction(s) summarized Bonds are, or soon will become, outstanding during the Authorization below. The application(s) and/or callable. The Applicants believe, on the Period; and (2) enter into obligations declaration(s) and any amendment(s) is/ basis of currently available information, with respect to tax-exempt debt issued are available for public inspection including current interest rates and on its behalf by governmental through the Commission’s Branch of other factors, that it would be in the best authorities in connection with the Public Reference. interest of the T&D Utility to cause some refunding of outstanding tax-exempt Interested persons wishing to or all of these Bonds to be refunded debt assumed by CenterPoint in comment or request a hearing on the prior to their maturity. In connection connection with the electric application(s) and/or declaration(s) with any refunding, the T&D Utility restructuring by which CenterPoint and should submit their views in writing by would request the relevant Authorities December 18, 2003, to the Secretary, Utility Holding, LLC became holding to issue a new series of revenue Securities and Exchange Commission, companies for the T&D Utility. refunding bonds, the proceeds of which Washington, DC 20549–0609, and serve The T&D Utility has issued $300 would ultimately be used to redeem up a copy on the relevant applicant(s) and/ million principal amount of debt to approximately $250 million of Bonds or declarant(s) at the address(es) securities under the authority granted in supported by CenterPoint installment specified below. Proof of service (by the T&D Utility Financing Orders. The payment obligations. The new series of affidavit or, in the case of an attorney at T&D Utility has remaining authority to revenue refunding bonds would be law, by certificate) should be filed with issue up to $200 million principal issued by the applicable governmental the request. Any request for hearing amount of incremental external debt Authority on behalf of the T&D Utility, should identify specifically the issues of securities during the Authorization and supported by credit support in the facts or law that are disputed. A person Period. form of: (1) T&D Utility installment who so requests will be notified of any Applicants request the Commission to payment obligations; (2) possibly, a hearing, if ordered, and will receive a modify the existing authority under the separate series of T&D Utility first copy of any notice or order issued in the T&D Utility Financing Orders to permit mortgage bonds or general mortgage matter. After December 18, 2003, the bonds; and (3) possibly, bond insurance. application(s) and/or declaration(s), as 1 CenterPoint holds its utility interests through Utility Holding, LLC, a Delaware limited liability As noted above, the T&D Utility has company that is a conduit entity formed solely to outstanding promissory notes payable to 5 17 CFR 200.30–3(a)(1). minimize tax liability. CenterPoint for each series of
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outstanding Bonds. These intercompany thereby, with each borrowing maturing and conditions issued by similar notes that the T&D Utility owes to not more than one year thereafter. DRI companies of reasonably comparable CenterPoint would be ‘‘deemed paid’’ and CNG state that, at any given time, credit quality; provided that in no event when the outstanding Bonds are some or all of its outstanding short-term will the effective cost of capital on such redeemed. In addition, the redemption notes will be issuable in connection short-term debt securities exceed 700 of the outstanding Bonds would result with the establishment of back-up credit basis points over the comparable term in a corresponding satisfaction of the facilities to support DRI’s and CNG’s London Interbank Offered Rate related series of currently outstanding commercial paper program, but that the (‘‘LIBOR’’). mortgage bonds. credit facilities will not be drawn upon The underwriting fees, commissions The precise amount of the costs and no borrowings will occur, except in or other similar remuneration paid in associated with the refunding will not certain limited circumstances, at which connection with the non-competitive be known until the refinancing is time obligations under the related issue, sale or distribution of securities complete but the fees and terms and commercial paper will be paid. Thus, pursuant to this Declaration will not conditions of the refinancing will short-term notes issued in connection exceed 700 basis points of the principal comply with the terms and conditions with the establishment of commercial or face amount of the securities being established in the Omnibus Financing paper back-up facilities backstop and issued or gross proceeds of the Order. Among other things, Applicants duplicate commercial paper issuances financing. would continue to comply with the and should not be deemed to be For the Commission, by the Division of investment grade and equity borrowings under DRI’s and CNG’s Investment Management, pursuant to capitalization criteria in the Omnibus financing authorization unless and until delegated authority. Financing Order. In particular, the T&D an actual borrowing occurs under the Margaret H. McFarland, Utility will continue to maintain a related credit facility. Additionally, Deputy Secretary. minimum of 30% common equity, as with respect to any ‘‘grid’’ notes issued [FR Doc. 03–29937 Filed 12–1–03; 8:45 am] required by the Omnibus Financing by Applicants, only the amount actually BILLING CODE 8010–01–P Order. outstanding at any given time shall be Dominion Resources, Inc., et al. (70– considered a borrowing. DRI and CNG 10144) each propose to issue and sell the SECURITIES AND EXCHANGE commercial paper at market rates with COMMISSION Dominion Resources, Inc. (‘‘DRI’’), a varying maturities not to exceed 270 registered holding company, and days. [Release No. 34–48818; File No. SR–Amex– Consolidated Natural Gas Company 2003–28] (‘‘CNG’’), a registered holding company II. Parameters for Financing Self-Regulatory Organizations; Order and direct subsidiary of DRI Authorization Approving Proposed Rule Change and (‘‘Applicants’’), both at 120 Tredegar Authorization is requested to engage Notice of Filing and Order Granting Street, Richmond, VA 23219, have filed in certain financing transactions Accelerated Approval to Amendment a declaration (‘‘Declaration’’) under through December 31, 2004 for which No. 3 to the Proposed Rule Change by sections 6(a) and 7 of the Act and rules the specific terms and conditions are the American Stock Exchange LLC 53 and 54 under the Act. not at this time known. The following Relating to the Elimination of the 10- general terms will be applicable, where I. Request To Issue and Sell Short-Term Second Interval at Which Persons May appropriate to the financing Debt Enter Auto-Ex Eligible Orders for transactions: DRI and CNG, each requests authority Common Equity. Consistent with the Exchange-Traded Funds to issue short-term debt through current authority, the Applicants will November 21, 2003. December 31, 2004. DRI and CNG each maintain common equity of at least request authorization to issue short-term 30% of its consolidated capitalization; I. Introduction debt including, but not limited to, the provided that the Applicants will in any On April 16, 2003, the American issuance of commercial paper, in an event be authorized to issue common Stock Exchange LLC (‘‘Amex’’ or aggregate amount of up to $4.0 billion stock to the extent authorized. ‘‘Exchange’’) filed with the Securities principal amount outstanding at any Investment Grade Ratings. Applicants and Exchange Commission one time, $2.0 billion for DRI and $2.0 will not issue any securities under this (‘‘Commission’’), pursuant to Section billion for CNG. The short-term debt Declaration, unless upon original 19(b)(1) of the Securities Exchange Act will enable DRI to support its Money issuance: (i) the securities, if rated, are of 1934 (‘‘Act’’),1 and Rule 19b–4 Pool and other short-term financing rated at least investment grade; and (ii) thereunder,2 a proposed rule change to needs, which vary significantly during a all outstanding senior debt obligations eliminate the 10-second ‘‘speed bump’’ calendar period. This $2.0 billion short- of the Applicants that are rated, are on the entry of Auto-Ex eligible orders term debt authorization will enable CNG rated investment grade. For purposes of for Exchange-Traded Funds (‘‘ETFs’’) to support its short-term financing this provision, a security will be and Trust-Issued Receipts (‘‘TIRs’’), needs which vary significantly during a deemed to be rated investment grade if while allowing it to be reinstated if calendar period. it is rated investment grade by at least conditions warrant its reintroduction. Short-term borrowings from banks or one nationally recognized statistical On May 7, 2003, Amex submitted other financial institutions borrowings rating organization, as defined in rule Amendment No. 1 to the proposed rule will be evidenced by (a) ‘‘transactional’’ 15c3–1(c) (2) (vi) (F) under the change.3 On June 3, 2003, Amex promissory notes to be dated the date of Securities Exchange Act of 1934. such borrowings and to mature not more Effective Cost of Money on 1 15 U.S.C. 78s(b)(1). than one year after the date thereof or Financings. The effective cost of capital 2 17 CFR 240.19b–4. (b) ‘‘grid’’ promissory notes evidencing for short-term debt will not exceed 3 See letter from William Floyd-Jones, Associate General Counsel, Amex, to Nancy Sanow, Assistant all outstanding borrowings from the competitive market rates available at the Director, Division of Market Regulation respective lender, to be dated as of the time of issuance for securities having (‘‘Division’’), Commission dated May 6, 2003 date of the first borrowing evidenced the same or reasonably similar terms (‘‘Amendment No. 1’’).
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submitted Amendment No. 2 to the since it requires them to block their internal procedures to comply with the proposed rule change.4 The proposed customers from entering any Auto-Ex reinstated requirement. rule change, as amended by eligible orders on the same side of the IV. Solicitation of Comments Amendment Nos. 1 and 2 was published market in the Exchange’s order routing for comment in the Federal Register on systems for the affected security within Interested persons are invited to June 16, 2003.5 The Commission 10 seconds. Accordingly, the Exchange submit written data, views, and received one comment letter with proposes to eliminate the speed bump arguments concerning Amendment No. respect to the proposal.6 On October 3, in ETFs and TIRs while allowing it to 3 to the proposed rule change, including 2003, the Amex filed Amendment No. 3 be reinstated on a temporary basis if whether Amendment No. 3 is consistent to the proposed rule change.7 This conditions warrant its reintroduction. with the Act. Persons making written Order approves the proposed rule submissions should file six copies The Exchange states that the Auto-Ex change; grants accelerated approval to thereof with the Secretary, Securities Enhancements Committee Amendment No. 3 to the proposed rule and Exchange Commission, 450 Fifth change; and solicits comments from (‘‘Committee’’), upon the request of a Street, NW., Washington, DC 20549– interested persons on Amendment No. specialist, would review a request to 0609. Copies of the submission, all 3. reinstate the 10-second speed bump. subsequent amendments, all written The Committee consists of the statements with respect to the proposed II. Description of the Proposal and Exchange’s four Floor Governors and rule change that are filed with the Amendment Nos. 1 and 2 Thereto the Chairmen (or their designees) of the Commission, and all written On June 19, 2001, the Commission Specialists Association, Options Market communications relating to the approved the Exchange’s proposal to Makers Association and the Floor proposed rule change between the permit the automatic execution (‘‘Auto- Brokers Association. According to the Commission and any person, other than Ex’’) of orders for Exchange Traded Exchange, this Committee currently those that may be withheld from the Funds (‘‘ETFs’’) on a six-month pilot reviews requests to change various public in accordance with the program basis.8 The Exchange extended Auto-Ex parameters. (See Commentaries provisions of 5 U.S.C. 552, will be the pilot several times for an additional .02 and .04 to Amex Rule 128A.) Under available for inspection and copying in six months, most recently on July 2, Amendment No. 2, which was included the Commission’s Public Reference 2003.9 As part of an extension of the in the Notice, the Exchange proposed to Room. Copies of such filing will also be Auto-Ex for ETFs pilot the Exchange give members and member available for inspection and copying at reduced, from 30 seconds to 10 seconds, organizations ten business days’ notice the principal office of the Amex. All the interval at which member firms prior to reintroducing the 10-second submissions should refer to File No. could enter orders on the same side of speed bump to allow them to implement SR–Amex–2003–28 and should be the market for any account in which the internal procedures to comply with this submitted by December 23, 2003. same person is directly or indirectly requirement. The Exchange also V. Discussion interested.10 The Exchange now proposed to notify members and proposes to eliminate the 10-second member organizations of the After careful review, the Commission ‘‘speed bump’’ for all ETFs. The reintroduction of the 10-second speed finds that the proposed rule change, as Exchange also proposes to amend Amex bump through Amex Notices, which are amended, is consistent with the Act and Rule 128A to clarify that Auto-Ex for distributed on the Exchange Floor and the rules and regulations promulgated ETFs applies to both ETFs and TIRs. posted on the Exchange’s ‘‘Amex thereunder applicable to a national The Exchange’s rules currently Trader’’ Web site. securities exchange and, in particular, provide that Auto-Ex eligible orders on with the requirements of Section 6(b) of the same side of the market in an ETF III. Comment Summary the Act.12 Specifically, the Commission for any account in which the same finds that approval of the proposed rule person is directly or indirectly The Commission received one change, as amended, is consistent with interested may only be entered at comment letter on the proposed rule Section 6(b)(5) of the Act,13 in that it is intervals of 10 seconds or more. change. The commenter supported the designed to facilitate transactions in According to the Exchange, order flow elimination of the 10-second speed securities; to prevent fraudulent and providers have objected to this interval bump, but opposed the requirement of manipulative acts and practices; to only ten business days’ notice for promote just and equitable principles of 11 4 See letter from William Floyd-Jones, Associate reinstatement of the speed bump. trade; to foster cooperation and General Counsel, Amex, to Nancy Sanow, Assistant Specifically, the commenter noted that coordination with persons engaged in Director, Division, Commission dated June 2, 2003 reinstatement of the speed bump with regulating, clearing, settling, processing (‘‘Amendment No. 2’’). 5 See Securities Exchange Act Release No. 48004 just ten business days’ notice is an information with respect to, and (June 9, 2003), 68 FR 35741 (June 16, 2003) insufficient amount of time to prepare facilitating transactions in securities; to (‘‘Notice’’). internal systems to comply with the remove impediments to and perfect the 6 See letter to Jonathan G. Katz, Secretary, reinstated speed bump. The commenter mechanism of a free and open market Commission, from Patrick K. Blackburn, Executive suggested that the Exchange provide a and a national market system; and in Vice President and Lawrence J. Hanson, Senior Vice President, ABN AMRO Incorporated, dated June 30, 60 to 90 day reinstatement period. On general, to protect investors and the 2003. October 3, 2003, the Exchange public interest. The Commission 7 See letter from William Floyd-Jones, Associate submitted Amendment No. 3 in believes that the proposed rule change General Counsel, Amex, to Nancy J. Sanow, response to the comment letter. In should benefit investors by allowing the Assistant Director, Division, Commission, dated October 3, 2003 (‘‘Amendment No. 3’’). particular, the Exchange amended the entry of multiple Auto-Ex eligible orders 8 See Securities Exchange Act Release No. 44449 proposal to give members and member on the same side of the market without (June 19, 2001), 66 FR 33724 (June 25, 2001), (SR– organizations 30 calendar days’ notice Amex–2001–29). prior to reintroducing the 10-second 12 15 U.S.C. 78f(b). In approving this proposal, the 9 See Securities Exchange Act Release No. 48126 speed bump to allow them to implement Commission has considered the proposed rule’s (July 2, 2003), 68 FR 41189 (July 10, 2003). impact on efficiency, competition and capital 10 See Securities Exchange Act Release No. 47105 formation. 15 U.S.C. 78c(f). (December 30, 2002), 68 FR 592 (January 6, 2003). 11 See ABN AMRO Letter. 13 15 U.S.C. 78f(b)(5).
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regard to any ‘‘time-out’’ between entry SECURITIES AND EXCHANGE any comments on the proposed rule of those orders, while affording the COMMISSION change. On November 17, 2003, the Exchange the option to reinstate the 10- CBOE filed Amendment No. 4 to the [Release No. 34–48827; File No. SR–CBOE– 7 second speed-bump if circumstances 2001–04] proposed rule change. This order warrant such reintroduction. The approves the proposed rule change, as Commission believes that 30 days is an Self-Regulatory Organizations; Order amended; grants accelerated approval to appropriate period of time for members Approving Proposed Rule Change and Amendment No. 4; and solicits and member organizations to Notice of Filing and Order Granting comments from interested persons on accommodate potential reinstatement of Accelerated Approval to Amendment Amendment No. 4. the 10-second speed bump. No. 4 to the Proposed Rule Change by II. Discussion and Commission the Chicago Board Options Exchange, Findings VI. Accelerated Approval of Inc., To Adopt a New Rule Regarding Amendment No. 3 Nullification and Adjustment of The Commission has reviewed Transactions carefully the proposed rule change and The Commission finds good cause for finds that the proposed rule change is approving Amendment No. 3 to the November 24, 2003. consistent with the requirements of the proposed rule change prior to the I. Introduction Act and the rules and regulations thirtieth day after the amendment is thereunder applicable to a national published for comment in the Federal On February 14, 2001, the Chicago securities exchange.8 In particular, the Register pursuant to Section 19(b)(2) of Board Options Exchange, Inc. (‘‘CBOE’’ Commission finds that the proposed or ‘‘Exchange’’) filed with the Securities the Act.14 In Amendment No. 3, Amex rule change is consistent with Section and Exchange Commission (‘‘SEC’’ or addresses the concern raised in the 6(b)(5) 9 of the Act, which requires that ‘‘Commission’’), pursuant to Section comment letter by increasing the the rules of an exchange be designed to 19(b)(1) of the Securities Exchange Act prevent fraudulent and manipulative required notice of reinstatement of the 1 of 1934 (‘‘Act’’), and Rule 19b–4 acts and practices, to promote just and 10-second speed bump from ten thereunder,2 a proposed rule change to business days to 30 calendar days. As equitable principles of trade, to remove adopt an obvious error trading rule, impediments to and perfect the noted above, the Commission believes CBOE Rule 6.25. On August 15, 2003, that this time period is appropriate. The mechanism for a free and open market the Exchange submitted Amendment and a national market system, and, in Commission further believes that 3 No. 1 to the proposed rule change. On general, to protect investors and the acceleration of the amendment will September 12, 2003, the Exchange public interest.10 allow the Amex to remove the speed- submitted Amendment No. 2 to the 4 The Commission considers that in bump without delay, thereby enabling proposed rule change. On September most circumstances trades that are entry of multiple Auto-Ex eligible orders 26, 2003, the Exchange submitted executed between parties should be on the same side of the market without Amendment No. 3 to the proposed rule 5 honored. On rare occasions, the price of a 10-second ‘‘time-out.’’ change. On September 29, 2003, the the executed trade indicates an proposed rule change, as amended, was VII. Conclusion ‘‘obvious error’’ may exist, suggesting granted partial accelerated approval on that it is unrealistic to expect that the a pilot basis and published for comment For the foregoing reasons, the parties to the trade had come to a in the Federal Register on October 6, meeting of the minds regarding the Commission finds that the proposed 2003.6 The Commission did not receive rule change, as amended, is consistent terms of the transaction. In the Commission’s view, the determination with the Act and the rules and 1 15 U.S.C. 78s(b)(1). regulations thereunder applicable to a 2 17 CFR 240.19b–4. of whether such an ‘‘obvious error’’ has national securities exchange, and, in 3 See Letter from Steve Youhn, Senior Attorney, occurred should be based on specific particular, with Section 6(b)(5) of the CBOE, to Nancy Sanow, Assistant Director, Division and objective criteria and subject to of Market Regulation (‘‘Division’’), Commission, Act.15 It is therefore ordered, pursuant specific and objective procedures. The dated August 14, 2003 (‘‘Amendment No. 1’’). Commission believes that the CBOE’s to Section 19(b)(2) of the Act,16 that Amendment No. 1 replaced the original proposed Amendment No. 3 be approved on an rule change in its entirety. 4 7 See Letter from Steve Youhn, Senior Attorney, accelerated basis, and that the proposed See Letter from Steve Youhn, Senior Attorney, CBOE, to Nancy Sanow, Assistant Director, CBOE, to Nancy Sanow, Assistant Director, rule change (SR–Amex–2003–28) be Division, Commission, dated September 11, 2003 Division, Commission, dated November 14, 2003 approved, as amended. (‘‘Amendment No. 2’’). In Amendment No. 2, the (‘‘Amendment No. 4’’). In Amendment No. 4, the CBOE replaced proposed subparagraph (a)(5) of Exchange: (1) Amended paragraphs (a)(1)(i) and (c) For the Commission, by the Division of CBOE Rule 6.25, relating to erroneous quotes in the of proposed CBOE Rule 6.25 to include a reference Market Regulation, pursuant to delegated underlying market, with language substantially to the Hybrid Opening System (‘‘HOSS’’); (2) authority.17 similar to CBOE Rule 43.5(b)(4). defined the term ‘‘average trade’’ in proposed CBOE 5 See Letter from Steve Youhn, Senior Attorney, Rule 6.25(a)(4) based on the definition currently Margaret H. McFarland, CBOE, to Nancy Sanow, Assistant Director, used in CBOE Rule 43.5; (3) requested permanent Deputy Secretary. Division, Commission, dated September 26, 2003 approval of paragraphs (a)(3), (b), (c), (d), and (e) of CBOE Rule 6.25; (4) deleted CBOE Rule [FR Doc. 03–29884 Filed 12–1–03; 8:45 am] (‘‘Amendment No. 3’’). In Amendment No. 3, the CBOE requested accelerated effectiveness of 6.8(d)(iii); (5) amended CBOE Rule 6.20, BILLING CODE 8010–01–P paragraphs (a)(3), (b), (c), (d), and (e) of proposed Interpretation .05 to clarify that trades subject to CBOE Rule 6.25. The CBOE also requested that adjustment or nullification pursuant to CBOE Rule paragraphs (a)(3), (b), (c), (d), and (e) of proposed 6.25 shall be subject to the procedures set forth in CBOE Rule 6.25 operate as a pilot program until CBOE Rule 6.25; and (6) made technical corrections December 1, 2003. to the proposed rule text. 6 See Securities Exchange Act Release No. 48556 8 For a description of the proposed rule change, (September 29, 2003), 68 FR 57716 (‘‘Notice and see Notice and Partial Approval Order, supra, n. 6. 9 15 U.S.C. 78f(b)(5). 14 15 U.S.C. 78s(b)(2). Partial Approval Order’’). In the Notice and Partial Approval Order, the Commission granted 10 In approving this proposed rule change, the 15 15 U.S.C. 78f(b)(5). accelerated approval to paragraphs (a)(3), (b), (c), Commission notes that it has considered the 16 15 U.S.C. 78s(b)(2). (d), and (e) of proposed CBOE Rule 6.25 on a pilot proposed rule’s impact on efficiency, competition, 17 17 CFR 200.30–3(a)(12). basis. and capital formation. 15 U.S.C. 78c(f).
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proposed obvious error rule establishes accordance with the provisions of 5 certain fees and temporary fee waivers specific and objective criteria for U.S.C. 552, will be available for relating to index options. The text of the determining when a trade is an inspection and copying at the proposed rule change is available at the ‘‘obvious error.’’ The Commission also Commission’s Public Reference Room. ISE and at the Commission. believes that the proposal establishes Copies of such filing will also be II. Self-Regulatory Organization’s specific and objective procedures available for inspection and copying at Statement of the Purpose of, and governing the adjustment or the principal office of the Exchange. All Statutory Basis for, the Proposed Rule nullification of such trade. In addition, submissions should refer to File No. Change the Commission notes that several SR–CBOE–2001–04 and should be provisions of the CBOE obvious error submitted by December 23, 2003. In its filing with the Commission, the rule proposal are substantially similar to Exchange included statements proposed rule changes submitted by the IV. Conclusion concerning the purpose of, and basis for, Pacific Exchange, Inc. to adopt an For the reasons discussed above, the the proposed rule change and discussed obvious error rule and by the Exchange Commission finds that the proposal, as any comments it received on the to adopt a trade nullification rule for amended, is consistent with the Act and proposed rule change. The text of these CBOEdirect, both of which the the rules and regulations thereunder. statements may be examined at the Commission has approved.11 Finally, It is therefore ordered, pursuant to places specified in Item IV below. The the Commission notes that CBOE Section 19(b)(2) of the Act,15 that the Exchange has prepared summaries, set represented that, with the adoption of proposed rule change (SR–CBOE–2001– forth in sections A, B and C below, of CBOE Rule 6.25, the Exchange 04), as amended, be, and hereby is, the most significant aspects of such withdraws the effectiveness of CBOE approved, and that Amendment No. 4 to statements. Regulatory Circular RG 00–169.12 the proposed rule change be, and hereby The Commission finds good cause, is, approved on an accelerated basis. A. Self-Regulatory Organization’s Statement of the Purpose of, and pursuant to Section 19(b)(2) of the For the Commission, by the Division of Act,13 for approving Amendment No. 4 Statutory Basis for, the Proposed Rule Market Regulation, pursuant to delegated Change to the proposed rule change prior to the authority.16 thirtieth day after the date of Margaret H. McFarland, 1. Purpose publication of notice thereof in the Deputy Secretary. The Exchange is proposing changes to Federal Register. Amendment No. 4 [FR Doc. 03–29939 Filed 12–1–03; 8:45 am] its Schedule of Fees in order to adopt strengthens the proposal by clarifying BILLING CODE 8010–01–P certain fees and temporary fee waivers the circumstances under which the relating to index options. CBOE obvious error rule will apply; by The Exchange plans to list index describing the meaning of certain SECURITIES AND EXCHANGE options for trading. The first index provisions contained in CBOE Rule COMMISSION option product the Exchange plans to 6.25; and by withdrawing a provision of list is the S&P SmallCap 600 Index. The another CBOE rule that is superceded by [Release No. 34–48837; File No. SR–ISE– Exchange has entered into a license CBOE Rule 6.25. Therefore, the 2003–24] agreement to use various indexes and Commission believes that granting Self-Regulatory Organizations; Notice trademarks of Standard & Poor’s, a accelerated approval of Amendment No. of Filing and Immediate Effectiveness division of The McGraw-Hill 4 is appropriate and consistent with of Proposed Rule Change by the Companies, Inc. (‘‘S&P’’), in connection Section 6(b)(5) 14 of the Act. International Securities Exchange, Inc., with the listing and trading of index III. Solicitation of Comments Relating to Fee Changes options on the S&P SmallCap 600 Index. As with licensed equity options, the Interested persons are invited to November 25, 2003. Exchange is adopting a member fee for submit written data, views, and Pursuant to section 19(b)(1) of the trading in these options to defray the arguments concerning Amendment No. Securities Exchange Act of 1934 licensing costs. The Exchange believes 4, including whether Amendment No. 4 (‘‘Act’’),1 and Rule 19b–4 thereunder,2 that charging the participants that trade is consistent with the Act. Persons notice is hereby given that on October these instruments is the most equitable making written submissions should file 3, 2003, the International Securities means of recovering the costs of the six copies thereof with the Secretary, Exchange, Inc. (‘‘Exchange’’ or ‘‘ISE’’) license. Securities and Exchange Commission, filed with the Securities and Exchange However, the Exchange is proposing 450 Fifth Street, NW., Washington, DC Commission (‘‘SEC’’ or ‘‘Commission’’) to temporarily waive certain transaction 20549–0609. Copies of the submission, the proposed rule change as described fees that would otherwise apply to all subsequent amendments, all written in Items I, II, and III below, which items index options in an attempt to generate statements with respect to the proposal have been prepared by the ISE. The trading interest and for competitive that are filed with the Commission, and Commission is publishing this notice to purposes. Specifically, the Exchange is all written communications relating to solicit comments on the proposed rule proposing to waive the following the proposal between the Commission change from interested persons. and any person, other than those that transaction fees on index options until may be withheld from the public in I. Self-Regulatory Organization’s February 28, 2004: (i) The facilitation Statement of the Terms of Substance of execution fee; (ii) the market maker and 11 See Securities Exchange Act Release Nos. the Proposed Rule Change firm proprietary execution fee; (iii) the 48538 (September 23, 2003), 68 FR 56858 (October The Exchange is proposing changes to surcharge for options on the S&P 2, 2003) (File No. SR–PCX–2002–01); and 47628 its Schedule of Fees in order to adopt SmallCap 600 Index execution fee; and (April 3, 2003), 68 FR 17697 (April 10, 2003) (File (iv) the comparison fee. Lastly, the No. SR–CBOE–00–55). 12 See Amendment No. 1, supra note 3; see also 15 15 U.S.C. 78s(b)(2). Exchange made certain minor, non- Notice and Partial Approval Order, supra note 6. 16 17 CFR 200.30–3(a)(12). substantive changes to its Schedule of 13 15 U.S.C. 78s(b)(2). 1 15 U.S.C. 78s(b)(1). Fees for clarity and consistency, as well 14 15 U.S.C. 78f(b)(5). 2 17 CFR 240.19b–4. as removed language relating to a
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temporary fee waiver for market maker Commission, and all written Commission is publishing this notice to and firm proprietary complex order communications relating to the solicit comments on the proposed rule execution fees that expired on June 30, proposed rule change between the change, as amended, from interested 2003. Commission and any person, other than persons. those that may be withheld from the 2. Basis public in accordance with the I. Self-Regulatory Organization’s The basis under the Act for this provisions of 5 U.S.C. 552, will be Statement of the Terms of Substance of proposed rule change is the requirement available for inspection and copying in the Proposed Rule Change under section 6(b)(4) of the Act that an the Commission’s Public Reference The PCX is proposing to amend its exchange have an equitable allocation of Section. Copies of such filing will also rules to eliminate a Lead Market reasonable dues, fees and other charges be available for inspection and copying Maker’s (‘‘LMM’’) ability to have among its members and other persons at the principal office of the ISE. All Linkage Orders in a locked market using its facilities.3 submissions should refer to File No. default for manual representation when B. Self-Regulatory Organization’s SR–ISE–2003–24 and should be submitted by December 23, 2003. those orders would otherwise be Statement on Burden on Competition automatically executed via the For the Commission, by the Division of Exchange’s automatic execution (‘‘Auto- The proposed rule change does not Market Regulation, pursuant to delegated impose any burden on competition that authority.6 Ex’’) system. is not necessary or appropriate in Margaret H. McFarland, The text of the proposed rule change, furtherance of the purposes of the Act. Deputy Secretary. as amended, is below. Proposed C. Self-Regulatory Organization’s [FR Doc. 03–29938 Filed 12–1–03; 8:45 am] additions are in italics; deletions are in [brackets]. Statement on Comments on the BILLING CODE 8010–01–P Proposed Rule Change Received From * * * * * Members, Participants or Others Rule 6 The Exchange has not solicited, and SECURITIES AND EXCHANGE does not intend to solicit, comments on COMMISSION Options Trading this proposed rule change. The [Release No. 34–48828; File No. SR–PCX– Rule 6.87 Automatic Execution System Exchange has not received any 2003–65] unsolicited written comments from (a)–(i)—(No change.) Self-Regulatory Organizations; Notice members or other interested parties. (j) Crossed or Locked Markets. Except of Filing and Immediate Effectiveness as provided herein, [T]two Floor III. Date of Effectiveness of the of Proposed Rule Change, and Officials may approve an LMM’s request Proposed Rule Change and Timing for Amendment No. 1 Thereto, by the to designate, for an option issue, that an Commission Action Pacific Exchange, Inc. Relating to order will default for manual The foregoing rule change, which Exchange Rules for the Automatic representation in the trading crowd if establishes or changes a due, fee or Executions of Intermarket Linkage other charge imposed by the Exchange, Orders in Locked Markets the NBBO is crossed or locked. has become effective pursuant to section Notwithstanding the forgoing, Linkage 19(b)(3)(A) of the Act 4 and Rule 19b– November 24, 2003. Orders subject to PCX Rule 6.93(e) will 4(f)(2) 5 thereunder. At any time within Pursuant to Section 19(b)(1) of the not default for manual representation if 60 days of the filing of such proposed Securities Exchange Act of 1934 the NBBO is locked. 1 2 rule change, the Commission may (‘‘Act’’), and Rule 19b-4 thereunder, (k)–(p)—(No change.) summarily abrogate such rule change if notice is hereby given that on November Commentary it appears to the Commission that such 21, 2003, the Pacific Exchange, Inc. (‘‘PCX’’ or ‘‘Exchange’’) filed with the action is necessary or appropriate in the .01–.08—(No change.) public interest, for the protection of Securities and Exchange Commission * * * * * investors, or otherwise in furtherance of (‘‘Commission’’) the proposed rule the purposes of the Act. change as described in Items I, II, and II. Self-Regulatory Organization’s III below, which Items have been Statement of the Purpose of, and IV. Solicitation of Comments prepared by the Exchange. On Statutory Basis for, the Proposed Rule November 24, 2003, the PCX filed Interested persons are invited to Change submit written data, views and Amendment No. 1 to the proposed rule arguments concerning the foregoing, change.3 The proposed rule change has In its filing with the Commission, the including whether the proposed rule been filed by PCX as a ‘‘non- PCX included statements concerning the change is consistent with the Act. controversial’’ rule change under Rule purpose of and basis for the proposed Persons making written submissions 19b-4(f)(6) under the Act.4 The rule change and discussed any should file six copies thereof with the comments it received on the proposed Secretary, Securities and Exchange 6 17 CFR 200.30–3(a)(12). 1 rule change. The text of these statements Commission, 450 Fifth Street, NW., 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. may be examined at the places specified Washington, DC 20549–0609. Copies of 3 See letter from Mai Shiver, Acting Director, in Item IV below. The Exchange has the submission, all subsequent Regulatory Policy, PCX to Nancy J. Sanow, prepared summaries, set forth in amendments, all written statements Assistant Director, Division of Market Regulation, Sections A, B, and C below, of the most with respect to the proposed rule Commission, dated November 21, 2003 (‘‘Amendment No. 1’’). Amendment No. 1 replaced significant aspects of such statements. change that are filed with the and superceded the original filing in its entirety. 4 17 CFR 240.19b-4(f)(6). For purposes of Section 19(b)(3)(C) of the Act, the Commission 3 15 U.S.C. 78f(b)(4). determining the effective date and calculating the considers that period to commence on November 4 15 U.S.C. 78s(b)(3)(A). sixty-day period within which the Commission may 24, 2003, the date PCX filed Amendment No. 1. See 5 17 CFR 19b–4(f)(2). summarily abrogate the proposed rule change under 15 U.S.C. 78s(b)(3)(C).
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A. Self-Regulatory Organization’s III. Date of Effectiveness of the subsequent amendments, all written Statement of the Purpose of, and Proposed Rule Change and Timing for statements with respect to the proposed Statutory Basis for, the Proposed Rule Commission Action rule change that are filed with the Change The foregoing rule change has been Commission, and all written communications relating to the 1. Purpose filed by the Exchange as a ‘‘non- controversial’’ rule pursuant to Section proposed rule change between the PCX Rule 6.87 (relating to Auto-Ex) 19(b)(3)(A) of the Act 7 and Commission and any person, other than permits eligible orders to be subparagraph (f)(6) of Rule 19b-4 those that may be withheld from the automatically executed in the event of a thereunder.8 Consequently, because the public in accordance with the locked and crossed market. However, foregoing rule change: (1) Does not provisions of 5 U.S.C. 552, will be PCX Rule 6.87(j) provides that an LMM significantly affect the protection of available for inspection and copying in may seek the approval of two Floor investors or the public interest; (2) does the Commission’s Public Reference Officials to allow an order to default to not impose any significant burden on Room. Copies of such filing will also be manual representation in the trading competition; and (3) does not become available for inspection and copying at crowd if the National Best Bid or Offer operative for thirty days from the date the principal office of the PCX. All (‘‘NBBO’’) is crossed or locked. The rule on which it was filed, or such shorter submissions should refer to File No. allows this exception in order to protect time as the Commission may designate SR–PCX–2003–65 and should be against potential misuse of the Auto-Ex if consistent with the protection of submitted by December 23, 2003. system by arbitrage firms who may lock investors and the public interest, it has For the Commission, by the Division of or cross the market in order to game the become effective pursuant to Section Market Regulation, pursuant to delegated Auto-Ex system. 19(b)(3)(A) of the Act 9 and Rule 19b-4 authority.13 The Exchange proposes to amend PCX thereunder.10 Margaret H. McFarland, Rule 6.87(j) to state that Linkage Orders The PCX has requested that the Deputy Secretary. subject to Exchange Rule 6.93(e) will Commission waive the five-day pre- [FR Doc. 03–29883 Filed 12–1–03; 8:45 am] filing notice requirement and the thirty- not default for manual handling if the BILLING CODE 8010–01–P NBBO is locked. Thus, as proposed, day operative waiting period. The when the market is locked, Linkage Commission has decided, consistent Orders will be automatically executed with the protection of investors and the in accordance with PCX Rule 6.93(e) public interest, to waive the five-day SMALL BUSINESS ADMINISTRATION and the Exchange will not permit such pre-filing requirement and the thirty- [Declaration of Disaster #3559] orders to default for manual day operative waiting period since the representation in the trading crowd. proposed rule change, as amended, is Commonwealth of Puerto Rico The PCX represents that treating consistent with the practice of the other Linkage Orders as proposed in this options exchanges.11 For these reasons, As a result of the President’s major filing is consistent with the practice of the Commission designates the proposal disaster declaration on November 21, the other options exchanges. The to be effective and operative upon filing 2003, I find that the municipalities of 12 Exchange further represents that the with the Commission. Guanica, Guayama, Juana Diaz, proposed rule will improve the national At any time within sixty days of the Maunabo, Patillas, Rio Grande, Salinas, market system by improving Linkage filing of such proposed rule change, the Santa Isabel and Yauco in the execution rates for the PCX. Commission may summarily abrogate Commonwealth of Puerto Rico such rule change if it appears to the constitute a disaster area due to 2. Statutory Basis Commission that such action is damages caused by severe storms, The Exchange believes that its necessary or appropriate in the public flooding, mudslides and landslides proposal is consistent with Section 6(b) interest, for the protection of investors, beginning on November 10, 2003 and or otherwise in furtherance of the continuing. Applications for loans for of the Act 5 in general, and furthers the purposes of the Act. physical damage as a result of this objectives of Section 6(b)(5) of the Act 6 disaster may be filed until the close of in particular, in that it is designed to IV. Solicitation of Comments business on January 20, 2004, and for promote just and equitable principles of Interested persons are invited to loans for economic injury until the close trade, prevent fraudulent and submit written data, views, and of business on August 23, 2004 at the manipulative acts and practices, and arguments concerning the foregoing, address listed below or other locally protect investors and the public interest. including whether the proposed rule announced locations: B. Self-Regulatory Organization’s change, as amended, is consistent with U.S. Small Business Administration, Statement on Burden on Competition the Act. Persons making written Disaster Area 1 Office, 360 Rainbow submissions should file six copies The Exchange does not believe that Blvd., South, 3rd Floor, Niagara Falls, thereof with the Secretary, Securities NY 14303. the proposed rule change will not and Exchange Commission, 450 Fifth impose any burden on competition. Street, NW, Washington, DC 20549– In addition, applications for economic 0609. Copies of the submission, all injury loans from small businesses C. Self-Regulatory Organization’s located in the following contiguous Statement on Comments on the municipalities may be filed until the Proposed Rule Change Received From 7 15 U.S.C. 78s(b)(3)(A). 8 specified date at the above location: Members, Participants, or Others 17 CFR 240.19b–4(f)(6). 9 15 U.S.C. 78s(b)(3)(A). Adjuntas, Aibonito, Arroyo, Canovanas, No written comments were solicited 10 17 CFR 240.19b–4. Cayey, Ceiba, Coamo, Guayanilla, or received with respect to the proposed 11 For purposes only of accelerating the operative Jayuya, Lajas, Lares, Las Piedras, Loiza, rule change, as amended. date of the proposal, the Commission has Luquillo, Maricao, Naguabo, Orocovis, considered the proposed rule’s impact on efficiency, competition, and capital formation. 15 Ponce, Sabana Grande, San Lorenzo, 5 15 U.S.C. 78f(b). U.S.C. 78c(f). 6 15 U.S.C. 78f(b)(5). 12 See supra note 4. 13 17 CFR 200.30–3(a)(12).
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Villalba and Yabucoa in the Roane and Webster in the State of West OMB is most effective if OMB receives Commonwealth of Puerto Rico. Virginia; Boyd, Lawrence and Martin it within 30 days of publication. The interest rates are: counties in the Commonwealth of FOR FURTHER INFORMATION CONTACT: Judy Kentucky; and Gallia and Lawrence Street on (202) 267–9895. Percent counties in the State of Ohio. The interest rates are: SUPPLEMENTARY INFORMATION: For Physical Damage: Homeowners With Credit Avail- Percent Federal Aviation Administration (FAA) able Elsewhere ...... 6.250 Title: Notice of Landing Area Homeowners Without Credit For Physical Damage: Available Elsewhere ...... 3.125 Homeowners with credit avail- Proposal. Businesses With Credit Avail- able elsewhere ...... 6.250 Type of Request: Extension of a able Elsewhere ...... 6.123 Homeowners without credit currently approved collection. Businesses and Non-Profit Or- available elsewhere ...... 3.125 OMB Control Number: 2120–0036. ganizations Without Credit Businesses with credit available Available Elsewhere ...... 3.061 elsewhere ...... 6.123 Forms(s): FAA form 7480–1 Others (Including Non-Profit Or- Businesses and non-profit orga- Affected Public: A total of 3,868 ganizations) With Credit nizations without credit avail- airport operators. Available Elsewhere ...... 4.875 able elsewhere ...... 3.061 Abstract: FAR Part 157 requires that For Economic Injury: Others (including non-profit or- Businesses and Small Agricul- ganizations) with credit avail- each person who intends to construct, tural Cooperatives Without able elsewhere ...... 4.875 deactivate, or change the status of an Credit Available Elsewhere ... 3.061 For Economic Injury: airport, runway, or taxiway must notify Businesses and small agricul- the FAA of such activity. The The number assigned to this disaster tural cooperatives without information collected provides the basis is 355911 for physical damage and credit available elsewhere ..... 3.061 for determining the effect the proposed 9Y0600 for economic injury. action would have on existing airports The number assigned to this disaster (Catalog of Federal Domestic Assistance and on the safe and efficient use of Program Nos. 59002 and 59008.) for physical damage is 355811. For airspace by aircraft, determining the economic injury the number is 9Y0300 Dated: November 24, 2003. effects the proposed action would have for West Virginia; 9Y0400 for Kentucky; on existing or contemplated traffic Herbert L. Mitchell, and 9Y0500 for Ohio. Associate Administrator for Disaster patterns of neighboring airports, Assistance. (Catalog of Federal Domestic Assistance determining the effects the proposed Program Nos. 59002 and 59008) [FR Doc. 03–29875 Filed 12–1–03; 8:45 am] action would have on the existing Dated: November 24, 2003. airspace structure and projected BILLING CODE 8025–01–P Herbert L. Mitchell, programs of the FAA, and determining Associate Administrator for Disaster the effects that existing or proposed SMALL BUSINESS ADMINISTRATION Assistance. manmade objects (on file with the FAA) [FR Doc. 03–29876 Filed 12–1–03; 8:45 am] and natural objects within the affected [Declaration of Disaster #3558] BILLING CODE 8025–01–U area would have on the airport proposal. State of West Virginia Estimated Annual Burden Hours: An estimated 2,901 hours annually. As a result of the President’s major DEPARTMENT OF TRANSPORTATION ADDRESSES: Send comments to the disaster declaration on November 21, Office of Information and Regulatory 2003, I find that Cabell, Kanawha, Federal Aviation Administration Affairs, Office of Management and Lincoln, Nicholas, Putnam and Wayne Budget, 725 17th Street, NW., Counties in the State of West Virginia Agency Information Collection Activity Washington, DC 20503, Attention FAA constitute a disaster area due to Under OMB Review Desk Officer. damages caused by severe storms, AGENCY: Federal Aviation flooding and landslides occurring on Comments are invited on : Whether Administration (FAA), DOT. the proposed collection of information November 11, 2003, and continuing. ACTION: Notice. Applications for loans for physical is necessary for the proper performance damage as a result of this disaster may SUMMARY: In compliance with the of the functions of the Department, be filed until the close of business on Paperwork Reduction Act of 1995 (44 including whether the information will January 20, 2004 and for economic U.S.C. 3501 et seq.), this notice have practical utility; the accuracy of injury until the close of business on announces that the Information the Department’s estimates of the August 23, 2004 at the address listed Collection Request (ICR) abstracted burden of the proposed information below or other locally announced below has been forwarded to the Office collection; ways to enhance the quality, locations: of Management and Budget (OMB) for utility and clarity of the information to U.S. Small Business Administration, extension of the currently approved be collected; and ways to minimize the Disaster Area 1 Office, 360 Rainbow collection. The ICR describes the nature burden of the collection of information Blvd., South 3rd Fl., Niagara Falls, NY of the information collection and the on respondents, including the use of 14303–1192. expected burden. The Federal Register automated collection techniques or other forms of information technology. In addition, applications for economic Notice with a 60-day comment period injury loans from small businesses soliciting comments on the following Dated: November 24, 2003. located in the following contiguous collection of information was published Judith D. Street, counties may be filed until the specified on August 11, 2003 on pages 47269– FAA Information Collection Clearance date at the above location: Boone, 47269. Officer, APF–100. Braxton, Clay, Fayette, Greenbrier, DATES: Comments must be submitted on [FR Doc. 03–30021 Filed 12–1–03; 8:45 am] Jackson, Logan, Mason, Mingo, Raleigh, or before January 2, 2004. A comment to BILLING CODE 4910–13–M
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DEPARTMENT OF TRANSPORTATION be collected; and ways to minimize the for Jackson Hole Airport are in burden of the collection of information compliance with applicable Federal Aviation Administration on respondents, including the use requirements of Part 150, effective automated collection technique or other November 19, 2003. Further, the FAA is Agency Information Collection Activity forms of information technology. reviewing a proposed noise Under OMB Review Issued in Washington, DC, on November compatibility program for that airport AGENCY: Federal Aviation 24, 2003. which will be approved or disapproved Administration (FAA), DOT. Judith D. Street, on or before May 17, 2004. This notice ACTION: Notice. FAA Information Collection Clearance also announces the availability of this Officer, APF–100. program for public review and SUMMARY: In compliance with the [FR Doc. 03–30022 Filed 12–1–03; 8:45 am] comment. Paperwork Reduction Act of 1995 (44 BILLING CODE 4910–13–M Under 49 U.S.C., section 47503 (the U.S.C. 3501 et seq.), this notice Aviation Safety and Noise Abatement announces that the Information Act, hereinafter referred to as ‘‘the Collection Request (ICR) abstracted DEPARTMENT OF TRANSPORTATION Act’’), an airport operator may submit to below has been forwarded to the Office the FAA noise exposure maps which of Management and Budget (OMB) for Federal Aviation Administration meet applicable regulations and which extension of the currently approved depict non-compatible land uses as of collection. The ICR describes the nature Revised Noise Exposure Map Notice: the date of submission of such maps, a of the information collection and the Receipt of Noise Compatibility description of projected aircraft expected burden. The Federal Register Program and Request for Review for operations, and the ways in which such Notice within a 60-day comment period Jackson Hole Airport, Jackson, WY operations will affect such maps. The soliciting comments on the following AGENCY: Federal Aviation Act requires such maps to be developed collection of information was published Administration, DOT. in consultation with interested and on August 11, 2003 on pages 47628– ACTION: Notice. affected parties in the local community, 47629. government agencies, and persons using SUMMARY: This revised notice, the restart DATES: Comments must be submitted on the airport. or before January 2, 2004. A comment to of the Part 150 acceptance/approval An airport operator who has OMB is most effective if OMB receives process and associated dates is submitted noise exposure maps that are it within 30 days of publications. necessary because of the Federal found by the FAA to be in compliance Aviation Administration’s need to with the requirements of Federal FOR FURTHER INFORMATION CONTACT: Judy acquire additional information from the Street on (202) 267–9895. Aviation Regulations (FAR) part 150, Jackson Hole Airport Board. the Federal promulgated pursuant to the Act, may SUPPLEMENTARY INFORMATION: Aviation Administration (FAA) submit a noise compatibility program Federal Aviation Administration (FAA) announces its determination that the for FAA approval which sets forth the noise exposure maps (NEM) submitted Title: Special Federal Aviation measures the operator has taken or by the Jackson Hole Airport Board for proposes to take to reduce existing non- Regulation (SFAR) No. 71. Jackson Hole Airport under the Type of Request: Extension of a compatible uses and prevent the provisions of 49 U.S.C. 47501 et. seq introduction of additional non- currently approved collection. (Aviation Safety and Noise Abatement OMB Control Number: 2120–0620. compatible uses. Act) and 14 CFR part 150 are in Form(s): N/A. The Jackson Hole Airport Board Affected Public: A total of 35 air tour compliance with applicable submitted to the FAA on July 2, 2003, pilots. requirements. The FAA also announces noise exposure maps, descriptions and Abstract: Special Federal Aviation that it is reviewing a proposed noise other documentation that were Regulation (SFAR) No. 71 applies to air compatibility program that was produced during Jackson Hole Airport tour operators in Hawaii. SFAR 71 submitted for Jackson Hole Airport FAR Part 150 Study Update, dated July requires that part 121 and 135 air tour under part 150 in conjunction with the 1, 2003. It was requested that the FAA operators verbally brief passengers on noise exposure map, and that this review this material as the noise safety, particularly related to overwater program will be approved or exposure maps, as described in section operations before each air tour flight. disapproved on or before May 17, 2004. 47503 of the Act, and that the noise Estimated Annual Burden Hours: An EFFECTIVE DATE: The effective date of the mitigation measures, to be implemented estimated 6,667 hours annually. FAA’s determination on the noise jointly by the airport and surrounding ADDRESSES: Send comments to the exposure maps and of the start of its communities, be approved as a noise Office of Information and Regulatory review of the associated noise compatibility program under section Affairs, Office of Management and compatibility program is November 19, 47504 of the Act. Budget, 725 17th Street, NW., 2003. The public comment period ends The FAA has completed its review of Washington, DC 20503, Attention: FAA January 18, 2004. the noise exposure maps and related Desk Officer. FOR FURTHER INFORMATION CONTACT: descriptions submitted by the Jackson Comments are invited on: Whether Dennis Ossenkop, Federal Aviation Hole Airport Board. The specific the proposed collection of information Administration, Airports Division, 1601 documentation determined to constitute is necessary for the proper performance Lind Ave., SW., Renton, WA 98055– the Noise Exposure Maps includes the of the functions of the Department, 4056, telephone (425) 227–2611. following from the May 2003, Jackson including whether the information will Comments on the proposed noise Hole Airport FAR part 150 Study have practical utility; the accuracy of compatibility program should also be Update: the Department’s estimates of the submitted to the above office. Figure B1 at page B.5, Existing Noise burden of the proposed information SUPPLEMENTARY INFORMATION: This Exposure Map, 2002; collection; ways to enhance the quality, notice announces that the FAA finds Figure E1 at page E.8 Future Noise utility and clarity of the information to that the noise exposure maps submitted Exposure Map, 2008;
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Figure D4 at page D.11 Flight Track/ responsibility for the detailed Issued in Renton, Washington, November Noise Monitoring Sites; overlaying of noise exposure controls 19, 2003. Table A2 at page A.2 Revised onto the map depicting properties on Lowell H. Johnson, Summary of Aviation Forecasts 2002– the surface rests exclusively with the Manager, Airports Division, Northwest 2008 and additional aviation activity airport operator that submitted those Mountain Region. data; maps, or with those public agencies and [FR Doc. 03–30019 Filed 12–01–03; 8:45 am] Table C4 at page C.5 Existing Land planning agencies with which BILLING CODE 4910–13–M Use Within Existing Noise Contours consultation is required under section presents estimates of the number of 47503 of the Act. The FAA has relied on persons residing with the DNL 55, 60, DEPARTMENT OF TRANSPORTATION and 65 noise contours; the certification by the airport operator, Table E2 at page E.4 Future Noise under section 150.21 of FAR Part 150, Federal Aviation Administration that the statutorily required consultation Exposure Map with Existing Land Use, [Summary Notice No. PE–2003–68] 2008, presents estimates of the number has been accomplished. of persons residing with the DNL 55, 60, The FAA has formally received the Petitions for Exemption; Summary of and 65 noise contours; noise compatibility program for Jackson Petitions Received; Dispositions of Appendix F presents Revised Hole Airport, also effective on Petitions Issued Consultation. November 19, 2003. Preliminary review AGENCY: Federal Aviation The year of submission (2003) airport of the submitted material indicates that operations data (shown in Table A1 at Administration (FAA), DOT. it conforms to the requirements for the page A.2 as 35,779 operations) is ACTION: Notice of petitions for submittal of noise compatibility equivalent to the submitted existing exemption received and of dispositions condition; programs, but that further review will be of prior petitions. Noise Exposure Map (2002) necessary prior to approval or operations data (also shown in Table A1 disapproval of the program. The formal SUMMARY: Pursuant to FAA’s rulemaking as 35,036) and the five-year forecast review period, limited by law to a provisions governing the application, Noise Exposure Map is still reasonable. maximum of 180 days, will be processing, and disposition of petitions The Jackson Hole Airport Board has completed on or before May 17, 2004. for exemption part 11 of title 14, Code stated, in a separate letter dated The FAA’s detailed evaluation will be of Federal Regulations (14 CFR), this notice contains a summary of certain November 13, 2003, that there are no conducted under the provisions of 14 petitions seeking relief from specified properties on or eligible for inclusion in CFR part 150, section 150.33. The requirements of 14 CFR, dispositions of the National Register of Historic Places. primary considerations in the The FAA has determined that these certain petitions previously received, evaluation process are whether the maps for Jackson Hole Airport are in and corrections. The purpose of this proposed measures may reduce the level compliance with applicable notice is to improve the public’s requirements. This determination is of aviation safety, create an undue awareness of, and participation in, this effective on November 19, 2003. The burden on interstate or foreign aspect of FAA’s regulatory activities. FAA’s determination on an airport commerce, or be reasonably consistent Neither publication of this notice nor operator’s noise exposure maps is with obtaining the goal of reducing the inclusion or omission of information limited to a finding that the maps were existing non-compatible land uses and in the summary is intended to affect the developed in accordance with the preventing the introduction of legal status of any petition or its final procedures contained in appendix A of additional non-compatible land uses. disposition. FAR Part 150. Such determination does Interested persons are invited to DATES: Comments on petitions received not constitute approval of the comment on the proposed program with must identify the petition docket applicant’s data, information or plans, specific reference to these factors. The number involved and must be received or constitute a commitment to approve FAA will consider all comments, other on or before December 22, 2003. a noise compatibility program or to fund than those properly addressed to local ADDRESSES: You may submit comments the implementation of that program. land use authorities, to the extent [identified by DOT DMS Docket Number If questions arise concerning the practicable. Copies of the noise FAA–200X–XXXXX] by any of the precise relationship of specific exposure maps, the FAA’s evaluation of following methods: properties to noise exposure contours the maps, and the proposed noise • Web site: http://dms.dot.gov. depicted on a noise exposure map Follow the instructions for submitting submitted under section 47503 of the compatibility program are available for examination at the following locations: comments on the DOT electronic docket Act, it should be noted that the FAA is site. not involved in any way in determining Federal Aviation Administration, • Fax: 1–202–493–2251. the relative locations of specific Airports Division, 1601 Lind Avenue, • Mail: Docket Management Facility; properties with regard to the depicted SW., Suite 315, Renton, Washington. U.S. Department of Transportation, 400 noise contours, or in interpreting the Denver Airports District Office, 26805 E. Seventh Street, SW., Nassif Building, noise exposure maps to resolve Room PL–401, Washington, DC 20590– questions concerning, for example, 68th Ave., Suite 224, Denver, Colorado. 001. which properties should be covered by • Hand Delivery: Room PL–401 on the provisions of section 47506 of the Jackson Hole Airport, 1250 East Airport the plaza level of the Nassif Building, Act. These functions are inseparable Road, Jackson, Wyoming. 400 Seventh Street, SW., Washington, from the ultimate land use control and Questions may be directed to the DC, between 9 a.m. and 5 p.m., Monday planning responsibilities of local individual named above under the through Friday, except Federal holidays. government. These local responsibilities • Federal eRulemaking Portal: Go to FOR FURTHER INFORMATION are not changed in any way under Part heading, http://www.regulations.gov. Follow the 150 or through the FAA’s review of CONTACT. online instructions for submitting noise exposure maps. Therefore, the comments.
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Docket: For access to the docket to PFC Applications Approved FOR FURTHER INFORMATION CONTACT: read background documents or Public Agency: Glynn County Airport Keafur Grimes, Jackson Airports District comments received, go to http:// Commission, Brunswick, Georgia. Office, (601) 664–9884. dms.dot.gov at any time or to Room PL– Public Agency: Valdosta-Lowndes Application Number: 03–02–U–00– 401 on the plaza level of the Nassif County Airport Authority, Valdosta, BQK. Building, 400 Seventh Street, SW., Georgia. Application Type: Use PFC revenue. Washington, DC, between 9 a.m. and 5 Application Number: 03–06–C–00– PFC Level: $4.50. p.m., Monday through Friday, except VLD. Total PFC Revenue to be Used in This Federal holidays. Application Type: Impose and use a Decision: $572,623. PFC. FOR FURTHER INFORMATION CONTACT: Tim Charge Effective Date: May 1, 2001. PFC Level: $4.50. Adams (202) 267–8033, Sandy Estimated Charge Expiration Date: Total PFC Revenue Approved in This Buchanan-Sumter (202) 267–7271, September 1, 2011. Decision: $185,100. Office of Rulemaking (ARM–1), Federal Class of Air Carriers Not Required to Earliest Charge Effective Date: Aviation Administration, 800 Collect PFC’S: No change from previous November 1, 2003. Independence Avenue, SW., decision. Estimated Charge Expiration Date: Washington, DC 20591. Brief Description of Project Approved June 1, 2005. This notice is published pursuant to for Use: Airport terminal renovations. Class of Air Carriers Not Required To 14 CFR 11.85 and 11.91. Decision date: October 20, 2003. Collect PFCs: Non-scheduled large certificated route air carriers. Issued in Washington, DC, on November FOR FURTHER INFORMATION CONTACT: Determination: Approved. Based on 26, 2003. Philip Cannon, Atlanta Airports District information contained in the public Donald P. Byrne, Office, (404) 305–7152. agency’s application, the FAA has Assistant Chief Counsel for Regulations. Public Agency: Birmingham, Airport determined that the approved class Authority, Birmingham. Alabama. Petitions for Exemption accounts for less than 1 percent of the Application Number: 03–04–C–00– total enplanements at Valdosta Regional Docket No.: FAA–2003–16491. BHM. Airport. Petitioner: Department of the Army, PFC Level: $3.00. Brief Description of Projects Approved Army’s 2nd Battalion, 75th Ranger Total PFC Revenue Approved in This for Collection and Use: Regiment. Decision: $9,959,371. PFC application 03–06–C–00–VLD. Section of 14 CFR Affected: 14 CFR Earliest Charge Effective Date: January Overlay taxiway A and stubs. 105.19(a) and (b). 1, 2004. Avigation/fee simple easement Description of Relief Sought: To Estimated Charge Expiration Date: runway 4/22. permit the Department of the Army, April 1, 2007. Mark runway 4/22 for non-precision Army’s 2nd Battalion, 75th Ranger Class of Air Carriers Not Required To approaches. Regiment to conduct unlighted night Collect PFCs: Part 135 air taxi/ Expand commuter apron. Environmental assessment—runway airborne operations outside Special Use commercial operators filing FAA Form 17/35 extension. Airspace at Rogers and Rogers West 1800–31. Extend taxiway M. training areas, Fort Lewis, Washington. Determination: Approved. Based on information contained in the public Enhanced airfield fencing. [FR Doc. 03–30012 Filed 12–1–03; 8:45 am] agency’s application, the FAA has Upgrade tower communications. Brief Description of Disapproved BILLING CODE 4910–13–P determined that the approved class Projects: Purchase land, airport accounts for less than 1 percent of the expansion. total annual enplanements at Determination: Disapproved. The DEPARTMENT OF TRANSPORTATION Birmingham International Airport. FAA has determined that the project is Federal Aviation Administration Brief Description of Projects Approved not justified at this time. The public for Collection and Use: agency failed to demonstrate that there Notice of Passenger Facility Charge Replace and/or relocate the existing was a valid aeronautical need for the (PFC) Approvals and Disapprovals sanitary sewer lift station and associated land as required in paragraph 702 of lines. FAA Order 5100.38B, AIP Handbook AGENCY: Federal Aviation Expand air carrier apron. (May 31, 2002). Administration (FAA), DOT. Runway 24 obstruction removal (four PFC application 00–04–C–00–VLD. ACTION: Monthly Notice of PFC phases). Determination: Disapproved. This approvals and disapprovals. In October Brief Description of Disapproved project was previously approved in the 2003, there were three application Project: Demolition of old air traffic 01–05–C–00–VLD PFC decision. approved. Additionally, 13 approved control tower. PFC application 01–05–C–00–VLD. amendments to previously approved Determination: Disapproved. Determination: Disapproved. This applications are listed. Paragraph 593 of FAA Order 5100.38B, project was previously approved in the (Airport Improvement Program (AIP) 01–05–C–00–VLD FPC decision. SUMMARY: The FAA publishes a monthly Handbook (May 31, 2002)), limits the Brief Description of Withdrawn notice, as appropriate, of PFC approvals eligibility of air traffic control tower Project: Extend runway 17/35 by 700 and disapprovals under the provisions demolition to projects that constitute feet. of the Aviation Safety and Capacity aviation hazards or impede an AIP Determination: This project was Expansion Act of 1990 (Title IX of the project actually funded by an AIP grant withdrawn by the public agency on Omnibus Budget Reconciliation Act of or with PFC revenue. This tower has not October 27, 2003. 1990) (Pub. L. 101–508) and part 158 of been determined to be an aviation Decision Date: October 29, 2003. the Federal Aviation Regulations (14 hazard nor does it impede any PFC or FOR FURTHER INFORMATION CONTACT: CFR part 158). This notice is published AIP project. Philip Cannon, Atlanta Airports District pursuant to paragraph (d) of § 158.29. Decision Date: October 24, 2003. Office, (404) 305–7152.
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AMENDMENTS TO PFC APPROVALS
Amendment Original ap- Amended ap- Original esti- Amended es- Amendment No. City, State approved proved net proved net mated charge timate charge date PFC revenue PFC revenue exp. date exp. date
01–03–C–02–LYH, Lynchburg, VA ...... 04/18/03 $705,654 $705,654 06/01/05 06/01/05 *98–06–C–01–TYS, Knoxville, TN ...... 06/26/03 57,921,122 91,108,707 07/01/21 07/01/22 *00–01–C–01–BQK, Brunswick, GA ...... 08/19/03 517,141 813,170 01/01/11 09/01/11 99–03–C–02–DJU, Dubois, PA ...... 09/26/03 424,734 386,638 10/01/04 11/01/03 95–02–C–02–EWR, Newark, NJ ...... 10/14/03 281,080,800 321,607,000 01/01/01 03/01/03 95–02–C–02–JFK, New York, NY ...... 10/14/03 263,314,800 301,279,500 01/01/01 03/01/03 95–02–C–02–LGA, New York, NY ...... 10/14/03 211,604,400 242,113,500 01/01/01 03/01/03 97–04–C–01–EWR, Newark, NJ ...... 10/14/03 257,285,600 280,783,360 01/01/09 05/01/09 97–04–C–01–JFK, New York, NY ...... 10/14/03 241,023,600 263,036,160 01/01/09 05/01/09 97–04–C–01–LGA, New York, NY ...... 10/14/03 193,690,800 211,380,480 01/01/09 05/01/09 97–02–C–02–ERI, Erie, PA ...... 10/17/03 1,251,996 1,216,914 05/01/01 05/01/01 98–03–C–04–DCA, Alexandria, VA ...... 10/20/03 53,846,780 83,193,187 02/01/04 06/01/05 02–13–C–01–SJC, San Jose, CA ...... 10/21/03 142,846,000 146,485,000 05/01/11 08/01/14 Note: The amendments denoted by an asterisk (*) include a change to the PFC level charged from $3.00 per enplaned passenger to $4.50 per enplaned passenger. For Knoxville, TN, this change is effective on October 1, 2003. For Brunswick, GA, this change is effective on Novem- ber 1, 2003.
Issued in Washington, DC on November 25, Hagen, Director of Aviation, Waterloo project(s): Annual Audit and Program 2003. Municipal Airport, at the following Administration; Part 139 Guidance Sheryl Scarborough, address: 2790 Livingston Lane, Signs; Acquisition of Snow Removal Acting Manager, Financial Analysis and Waterloo, Iowa 50703. Equipment; Perimeter Fencing; Passenger Facility Charge Branch. Air carriers and foreign air carriers Acquisition of Aircraft Rescue [FR Doc. 03–30023 Filed 12–1–03; 8:45 am] may submit copies of written comments Firefighting Equipment and Tappley BILLING CODE 4910–13–M previously provided to the Waterloo Meter; and Reconstruction of the Municipal Airport, under section 158.23 Terminal Area Ramp. of Part 158. Any person may inspect the DEPARTMENT OF TRANSPORTATION FOR FURTHER INFORMATION CONTACT: application in person at the FAA office Lorna Sandridge, PFC Program Manager, listed above under FOR FURTHER Federal Aviation Administration FAA, Central Region, 901 Locust, INFORMATION CONTACT. Kansas City, MO 64106, (816) 329–2641. In addition, any person may, upon Notice of Intent To Rule on Application The application may be reviewed in request, inspect the application, notice 04–05–C–00–AL0 To Impose and Use person at this same location. and other documents germane to the the Revenue From a Passenger Facility SUPPLEMENTARY INFORMATION: application in person at the Waterloo Charge (PFC) at Waterloo Municipal The FAA proposes to rule and invites public Municipal Airport. Airport, Waterloo, IA comment on the application to impose Issued in Kansas City, Missouri, on AGENCY: Federal Aviation and use the revenue from a PFC at the November 21, 2003. Administration, (FAA), DOT. Waterloo Municipal Airport under the Jim Johnson, ACTION: Notice of intent to rule on provisions of the Aviation Safety and Acting Manager, Airport Division Central application. Capacity Expansion Act of 1990 (Title Region. IX of the Omnibus Budget [FR Doc. 03–30020 Filed 12–1–03; 8:45 am] SUMMARY: The FAA proposes to rule and Reconciliation Act of 1990) (Public Law BILLING CODE 4910–13–M invites public comment on the 101–508) and part 158 of the Federal application to impose and use the Aviation Regulations (14 CFR part 158). revenue from a PFC at Waterloo On November 21, 2003, the FAA DEPARTMENT OF TRANSPORTATION Municipal Airport under the provisions determined that the application to of the Aviation Safety and Capacity impose and use the revenue from a PFC Maritime Administration Expansion Act of 1990 (Title IX of the submitted by the Waterloo Municipal [Docket Number MARAD 2003 16573] Omnibus Budget Reconciliation Act of Airport was substantially complete 1990) (Public Law 101–508) and part within the requirements of section Requested Administrative Waiver of 158 of the Federal Aviation Regulations 158.25 of part 158. The FAA will the Coastwise Trade Laws (14 CFR part 158). approve or disapprove the application, in whole or in part, no latter than AGENCY: Maritime Administration, DATES: Comments must be received on Department of Transportation. or before January 2, 2004. February 27, 2004. The following is a brief overview of ACTION: Invitation for public comments ADDRESSES: Comments on this the application. on a requested administrative waiver of application may be mailed or delivered Level of the proposed PFC: $4.50. the Coastwise Trade Laws for the vessel in triplicate to the FAA at the following Proposed charge effective date: July FOREVER YOUNG. address: Federal Aviation 2004. Administration, Central Region, Proposed charge expiration date: SUMMARY: As authorized by Public Law Airports Division, 901 Locust, Kansas April 2007. 105–383 and Public Law 107–295, the City, MO 64106. Total estimated use revenue: Secretary of Transportation, as In addition, one copy of any $251,200. represented by the Maritime comments submitted to the FAA must Total estimated impose revenue: Administration (MARAD), is authorized be mailed or delivered to Mr. Brad $611,200. Brief description of proposed to grant waivers of the U.S.-build
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requirement of the coastwise laws under By order of the Maritime Administrator. dmses.dot.gov/submit/. All comments certain circumstances. A request for Joel C. Richard, will become part of this docket and will such a waiver has been received by Secretary, Maritime Administration. be available for inspection and copying MARAD. The vessel, and a brief [FR Doc. 03–29885 Filed 12–1–03; 8:45 am] at the above address between 10 a.m. description of the proposed service, is BILLING CODE 4910–81–P and 5 p.m., e.t., Monday through Friday, listed below. The complete application except Federal holidays. An electronic is given in DOT docket 2003–16573 at version of this document and all http://dms.dot.gov. Interested parties DEPARTMENT OF TRANSPORTATION documents entered into this docket is may comment on the effect this action available on the World Wide Web at may have on U.S. vessel builders or Maritime Administration http://dms.dot.gov. businesses in the U.S. that use U.S.-flag [Docket Number MARAD 2003–15674] FOR FURTHER INFORMATION CONTACT: vessels. If MARAD determines, in Michael Hokana, U.S. Department of accordance with Public Law 105–383 Requested Administrative Waiver of Transportation, Maritime and MARAD’s regulations at 46 CFR the Coastwise Trade Laws Administration, MAR–830 Room 7201, part 388 (68 FR 23084; April 30, 2003), 400 Seventh Street, SW., Washington, AGENCY: that the issuance of the waiver will have Maritime Administration, DC 20590. Telephone (202) 366–0760. Department of Transportation. an unduly adverse effect on a U.S.- SUPPLEMENTARY INFORMATION: As ACTION: Invitation for public comments vessel builder or a business that uses described by the applicant the intended on a requested administrative waiver of U.S.-flag vessels in that business, a service of the vessel LET IT RIDE is: the Coastwise Trade Laws for the vessel waiver will not be granted. Comments Intended Use: ‘‘passenger cruise LET IT RIDE. should refer to the docket number of charters.’’ this notice and the vessel name in order SUMMARY: As authorized by Public Law Geographic Region: ‘‘U.S. East Coast for MARAD to properly consider the and the entire State of Florida.’’ comments. Comments should also state 105–383 and Public Law 107–295, the the commenter’s interest in the waiver Secretary of Transportation, as Dated: November 25, 2003. application, and address the waiver represented by the Maritime By order of the Maritime Administrator. criteria given in section 388.4 of Administration (MARAD), is authorized Joel C. Richard, MARAD’s regulations at 46 CFR part to grant waivers of the U.S.-build Secretary, Maritime Administration. requirement of the coastwise laws under 388. [FR Doc. 03–29886 Filed 12–1–03; 8:45 am] certain circumstances. A request for DATES: Submit comments on or before such a waiver has been received by BILLING CODE 4910–81–P January 2, 2004. MARAD. The vessel, and a brief ADDRESSES: Comments should refer to description of the proposed service, is DEPARTMENT OF TRANSPORTATION docket number MARAD–2003 16573. listed below. The complete application Written comments may be submitted by is given in DOT docket 2003–15674 at Surface Transportation Board hand or by mail to the Docket Clerk, http://dms.dot.gov. Interested parties U.S. DOT Dockets, Room PL–401, may comment on the effect this action [STB Finance Docket No. 34436] Department of Transportation, 400 7th may have on U.S. vessel builders or St., SW., Washington, DC 20590–0001. businesses in the U.S. that use U.S.-flag Burlington Northern and Santa Fe You may also send comments vessels. If MARAD determines, in Railway Co.—Trackage Rights electronically via the Internet at http:// accordance with Public Law 105–383 Exemption—Union Pacific Railroad Co. and MARAD’s regulations at 46 CFR dmses.dot.gov/submit/. All comments Union Pacific Railroad Company (UP) will become part of this docket and will part 388 (68 FR 23084; April 30, 2003), that the issuance of the waiver will have has agreed to grant certain trackage be available for inspection and copying rights to The Burlington Northern and at the above address between 10 a.m. an unduly adverse effect on a U.S.- vessel builder or a business that uses Santa Fe Railway (BNSF) between and 5 p.m., e.t., Monday through Friday, Gibbs, ID, at Coeur d’Alene Industrial except Federal holidays. An electronic U.S.-flag vessels in that business, a waiver will not be granted. Comments Lead milepost 7.40 and Coeur d’Alene, version of this document and all at Coeur d’Alene Industrial Lead documents entered into this docket is should refer to the docket number of this notice and the vessel name in order milepost 8.79, a distance of available on the World Wide Web at approximately 1.4 miles. http://dms.dot.gov. for MARAD to properly consider the comments. Comments should also state The transaction was scheduled to be FOR FURTHER INFORMATION CONTACT: the commenter’s interest in the waiver consummated on November 19, 2003 (7 Michael Hokana, U.S. Department of application, and address the waiver days after the notice was filed). Transportation, Maritime criteria given in section 388.4 of The purpose of the trackage rights is Administration, MAR–830 Room 7201, MARAD’s regulations at 46 CFR part to allow BNSF to deliver and receive 400 Seventh Street, SW., Washington, 388. rail cars from the Stimson Lumber DC 20590. Telephone 202–366–0760. facility at Coeur d’Alene, ID, as part of DATES: Submit comments on or before SUPPLEMENTARY INFORMATION: BNSF’s agreement to provide haulage As January 2, 2004. described by the applicant the intended services for UP between Spokane, WA service of the vessel FOREVER YOUNG ADDRESSES: Comments should refer to and Coeur d’Alene. is: docket number MARAD–2003–16574. As a condition to this exemption, any Written comments may be submitted by employees affected by the trackage Intended Use: ‘‘Chartering, hand or by mail to the Docket Clerk, rights will be protected by the sightseeing, overnight chartering and U.S. DOT Dockets, Room PL–401, conditions imposed in Norfolk and fishing.’’ Department of Transportation, 400 7th Western Ry. Co.—Trackage Rights—BN, Geographic Region: ‘‘Maine to New St., SW., Washington, DC 20590–0001. 354 I.C.C. 605 (1978), as modified in Jersey.’’ You may also send comments Mendocino Coast Ry., Inc.—Lease and Dated: November 25, 2003. electronically via the Internet at http:// Operate, 360 I.C.C. 653 (1980).
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This notice is filed under 49 CFR U.S.C. 10903 to abandon a line of (Sub-No. 405X) and must be sent to: (1) 1180.2(d)(7). If it contains false or railroad extending between milepost Surface Transportation Board, 1925 K misleading information, the exemption 57.80, near Pawnee, and milepost Street NW., Washington, DC 20423– is void ab initio. Petitions to revoke the 117.03, near Endicott, a distance of 0001; and (2) Michael Smith, 311 S. exemption under 49 U.S.C. 10502(d) approximately 59.23 miles in Jefferson, Wacker Drive, Suite 3000, Chicago, IL may be filed at any time. The filing of Gage, and Pawnee Counties, NE. The 60606–6677. Replies to the BNSF a petition to revoke will not line traverses United States Postal petition are due on or before December automatically stay the transaction. Service Zip Codes 68420, 68323, 68381, 22, 2003. An original and 10 copies of all 68466, 68310, 68415, 68432, 68352, and Persons seeking further information pleadings, referring to STB Finance 68350, and includes the following concerning abandonment procedures Docket No. 34436, must be filed with stations: Burchard, Liberty, Wymore, may contact the Board’s Office of Public the Surface Transportation Board, 1925 Krider, Odell, and Diller. Services at (202) 565–1592 or refer to The line does not contain federally K Street, NW., Washington, DC 20423– the full abandonment or discontinuance granted rights-of-way. Any 0001. In addition, a copy of each regulations at 49 CFR part 1152. documentation in BNSF’s possession pleading must be served on Sarah W. Questions concerning environmental will be made available promptly to Bailiff, The Burlington Northern and issues may be directed to the Board’s those requesting it. Santa Fe Railway Company, 2500 Lou Section of Environmental Analysis Menk Drive, PO Box 961039, Fort The interest of railroad employees will be protected by the conditions set (SEA) at (202) 565–1539. Assistance for Worth, TX 76161–0039. the hearing impaired is available Board decisions and notices are forth in Oregon Short Line R. Co.— through the Federal Information Relay available on our Web site at http:// Abandonment—Goshen, 360 I.C.C. 91 Service (FIRS) at 1–800–877–8339. www.stb.dot.gov. (1979). By issuing this notice, the Board is An environmental assessment (EA) (or Decided: November 24, 2003. instituting an exemption proceeding environmental impact statement (EIS), if By the Board, David M. Konschnik, pursuant to 49 U.S.C. 10502(b). A final necessary), prepared by SEA, will be Director, Office of Proceedings. decision will be issued by March 1, served upon all parties of record and Vernon A. Williams, 2004. upon any agencies or other persons who Secretary. Any offer of financial assistance commented during its preparation. [FR Doc. 03–29809 Filed 12–1–03; 8:45 am] (OFA) will be due no later than 10 days Other interested persons may contact BILLING CODE 4915–00–P after service of a decision granting the SEA to obtain a copy of the EA (or EIS). petition for exemption. See 49 CFR EAs in these abandonment proceedings 1152.27(b)(2). Each OFA must be normally will be made available within DEPARTMENT OF TRANSPORTATION accompanied by a $1,100 filing fee. See 60 days after the filing of the petition. 49 CFR 1002.2(f)(25). The deadline for submission of Surface Transportation Board All interested persons should be comments on the EA will generally be aware that, following abandonment of [STB Docket No. AB–6 (Sub–No. 405X)] within 30 days of its service. rail service and salvage of the line, the Board decisions and notices are The Burlington Northern and Santa Fe line may be suitable for other public use, including interim trail use. Any available on our website at http:// Railway Company—Abandonment www.stb.dot.gov. Exemption—in Jefferson, Gage, and request for a public use condition under Pawnee Counties, NE 49 CFR 1152.28 or for trail use/rail Decided: November 21, 2003. banking under 49 CFR 1152.29 will be By the Board, Joseph H. Dettmar, Acting On November 12, 2003, The due no later than December 22, 2003. Director, Office of Proceedings. Burlington Northern and Santa Fe Each trail use request must be Vernon A. Williams, Railway Company (BNSF), filed with accompanied by a $150 filing fee. See 49 the Surface Transportation Board a CFR 1002.2(f)(27). Secretary. petition under 49 U.S.C. 10502 for All filings in response to this notice [FR Doc. 03–29711 Filed 12–1–03; 8:45 am] exemption from the provisions of 49 must refer to STB Docket No. AB–6 BILLING CODE 4915–00–P
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Part II
Federal Maritime Commission 46 CFR Parts 501 and 535 Ocean Common Carrier and Marine Terminal Operator Agreements Subject to the Shipping Act of 1984; Proposed Rule
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FEDERAL MARITIME COMMISSION Capitol Street, NW., Room 1046, c. Section III Washington, DC 20573–0001, (202) 523– D. Implementation of the Proposed 46 CFR Parts 501 and 535 5725, E-mail: [email protected]. Information Form and Monitoring Report Regulations FOR FURTHER INFORMATION CONTACT: [Docket No. 03–15] IV. Minutes, 46 CFR part 535, subpart G. Carol J. Neustadt, Acting General A. Introduction RIN 3072–AC28 Counsel, Federal Maritime B. Discussion of the components of the Commission, 800 North Capitol current minutes rules and the proposed Ocean Common Carrier and Marine Street, NW., Room 1018, Washington, changes Terminal Operator Agreements Subject DC 20573–0001, (202) 523–5740, E- 1. Agreements Required to File Minutes 2. Definition of Meeting to the Shipping Act of 1984 mail: [email protected]. 3. Content of Minutes Florence A. Carr, Director, Bureau of 4. Serial Numbers AGENCY: Federal Maritime Commission. Trade Analysis, Federal Maritime 5. Filing Deadlines ACTION: Notice of proposed rulemaking. Commission, 800 North Capitol V. Miscellaneous Changes to 46 CFR part 535 VI. Oral Presentations SUMMARY: The Federal Maritime Street, NW., Room 940, Washington, DC 20573–0001, (202) 523–5796, E- VII. Statutory Reviews and Request for Commission proposes to amend its Comments regulations governing agreements mail: [email protected]. I. Delegations to the Director, Bureau of among ocean common carriers and SUPPLEMENTARY INFORMATION: Trade Analysis, 46 CFR 501.26 marine terminal operators in response to Outline changes in the shipping industry since The proposed rule amends § 501.26 to the enactment of the Ocean Shipping I. Delegations to the Director, Bureau of account for modifications in the Reform Act of 1998 (‘‘OSRA’’), which Trade Analysis, 46 CFR 501.26. delegations of the Commission’s II. The Content of Ocean Common Carrier amended the Shipping Act of 1984 authority to the Director, Bureau of and Marine Terminal Operator Trade Analysis (‘‘BTA’’) in connection (‘‘Shipping Act’’). The Commission Agreements Subject to the Shipping Act proposes to delegate additional of 1984, 46 CFR part 535, subparts A, B, with the proposed modifications in 46 authority to the Director of the C, and D. CFR part 535. Specifically, sections Commission’s Bureau of Trade Analysis A. Background—Docket No. 99–13 501.26(c) and (d) are being revised to (46 CFR part 501). The Commission also 1. Introduction match the re-coded section numbers for proposes to update its rules relating to 2. Summary of the Comments applications for waivers to the reporting standards and exceptions for B. The Proposed Rule requirements for carrier agreements in information that a filed agreement must 1. Proposed Changes to Address Concerns part 535 of the proposed rule. Sections for Certainty 501.26(o) and (p) are being added to contain and to revise its regulations 2. Proposed Changes to Address Concerns pertaining to transshipment agreements provide new delegations of authority to for Future Commercial Flexibility the Director of BTA pertaining to the (46 CFR part 535). Further, the a. Requirement to File Every Agreement Commission proposes to modify its b. Modifications to Effective Agreements proposed Monitoring Report regulations Information Form and Monitoring c. Exemptions for carrier agreements in part 535 of the Reports regulations and appendices (46 i. Low Market Share Exemption and proposed rule. CFR part 535) to reflect changes in the Definition of Capacity Rationalization II. The Content of Ocean Common amount and kind of data the ii. Revision of the Present Exemptions for Carrier and Marine Terminal Operator Commission deems necessary to Non-substantive Agreements and Amendments, Miscellaneous Agreements Subject to the Shipping Act monitor carriers’ use of their antitrust Modifications (proposed §§ 535.302 and of 1984, 46 CFR Part 535, Subparts A, immunity for filed agreements. Finally, 535.309), and Public Notice of Filings B, C, and D the Commission proposes to revise its (proposed § 535.602) A. Background—Docket No. 99–13 regulations regarding the filing of iii. Transshipment Agreements agreement minutes (46 CFR part 535). 3. Confidentiality of Sensitive Commercial 1. Introduction Information in Filed Agreements The revision would reduce inadequate The Shipping Act of 1984, 46 U.S.C. inclusion or coverage of substantive III. Information Forms and Monitoring Reports, 46 CFR part 535, subparts E and app. §§ 1701–1719 (‘‘Shipping Act’’), issues and insufficient levels of detail to requires, at section 5(a), the filing of describe carrier discussions, clarify G. A. Introduction certain types of commercial agreements regulations on meetings for which B. Background by and among ocean common carriers minutes are required to be filed, and 1. The Current Regulations and marine terminal operators with the identify and provide for timely 2. Changes in Carrier Agreements since Federal Maritime Commission Commission access to materials used or OSRA (‘‘Commission’’ or ‘‘FMC’’). 46 U.S.C. discussed in such meetings. C. The Proposed Rule app. § 1704(a). The Commission’s 1. Information Form Regulations DATES: Submit an original and 15 copies current regulations implementing this of comments (paper), or e-mail 2. Information Form a. Section I b. Section II c. Section III d. provision were first adopted by the comments as an attachment in Section IV Commission in that same year. Docket WordPerfect 10, Microsoft Word 2000, i. Market Share Nos. 84–26 and 84–32, Rules Governing or earlier versions of these applications, ii. Total Average Revenue Agreements by Ocean Common Carriers no later than January 30, 2004. Requests iii. Cargo Volume and Revenue Results for and Other Persons Subject to the for meetings to make oral presentations the Top 10 Agreement-Wide Shipping Act of 1984, 22 S.R.R. 1453, 49 to individual Commissioners must be Commodities FR 45320 (final rule) (November 15, received, and the meetings completed, iv. Vessel Capacity and Utilization 1984) (‘‘Docket Nos. 84–26 and 84–32 by this date as well. v. Port Service e. Section V (final rule)’’). The Commission most ADDRESSES: Address all comments 3. Monitoring Report Regulations recently amended its agreement rules in concerning this proposed rule to: Bryant 4. Monitoring Report 1999, in response to changes made to L. VanBrakle, Secretary, Federal a. Section I the Shipping Act by the Ocean Shipping Maritime Commission, 800 North b. Section II Reform Act of 1998, Public Law No.
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105–258 (‘‘OSRA’’). Docket No. 98–26, In addition to responses directed at from additional filing for interstitial Ocean Common Carrier and Marine particular questions posed by the implementation of routine operational Terminal Operator Agreements Subject Commission in the NOI, summarized or administrative matters at 46 CFR to the Shipping Act of 1984, 64 FR below, there were some general 407(c). OCWGA contends that the 11236, March 8, 1999, (‘‘Docket No. 98– comments in response to the Commission has never required the 26’’). Commission’s initial inquiry. OCWGA parties to a filed agreement to actually Pursuant to changes mandated by recommends that the Commission revise exercise all the authority in an OSRA, Docket No. 98–26 eliminated the rules by affirmatively defining what agreement. It also alleges that the most of the ‘‘form and manner’’ rules must be included in the filed agreement, Commission’s proceedings in Docket describing the procedural rules for filing rather than enumerating what need not No. 97–07, Possible Unfiled Agreement these agreements, but left unchanged be filed. OCWGA at 11. It states that this between Hyundai Merchant Marine Co., the substantive ‘‘content’’ requirements, approach would allow for incremental Ltd. and Mediterranean Shipping Co., which were not affected by OSRA. 64 adjustments to the regulations and S.A., 28 S.R.R. 1428 (2000) and Docket FR 11238. Comments submitted in the clarify any uncertainty in the rule. Id. at No. 97–08, Possible Unfiled Agreement course of Docket No. 98–26 revealed 11–12. Among A.P. Moller-Maersk Line, P&O concerns and uncertainties about the OCWGA and PONL both assert that Nedlloyd Limited and Sea-Land Service, Commission’s substantive requirements the Commission should determine the Inc., 28 S.R.R. 1431 (2000) (‘‘Docket No. for agreements, and requested further level of specificity it requires for such 97–08’’), deviate from that position. clarifications, enhancements or new filings to be meaningful, and balance OCWGA at 12–13. OCWGA asserts that rules on agreements. In response to that need against the burden on filers. allowing permissive authority benefits these concerns, the Commission OCWGA at 19; PONL at 8. OCWGA both the Commission and the carriers initiated Docket No. 99–13, The Content suggests that the Commission seek to because it allows the Commission to of Ocean Common Carrier and Marine alleviate commercial harm arising from consider both the immediate and Terminal Operator Agreements Subject the disclosure of sensitive business potential future effects of the agreement, to the Shipping Act of 1984, by the information and the administrative costs while providing carriers essential publication of a Notice of Inquiry associated with filing agreements so operational and commercial flexibility. (‘‘NOI’’) on August 3, 1999, requesting specific that they require constant Id. at 13. OCWGA suggests that not comment on the specific manner in amendments which also must be filed. allowing such permissive authority which the Commission’s agreement OCWGA at 19. would be impossibly burdensome for content rules should be updated or A summary of comments addressed to both carriers and the Commission. Id. refined. 64 FR 42057.1 The Commission the specific questions contained in the OCWGA gives four instances in which asked commenters to include concrete NOI follows. (a) The Commission asked permissive authority could promote examples and to quantify their answers whether the current filing exemption for flexibility. Id. at 14–17. First, with in response to the NOI. Id. routine operational or administrative regard to the requirement that an The Commission received five matters should be eliminated, retained agreement provide information as to the comments in response to the NOI, all of in its current form, or modified (NOI number of vessels and vessel capacity/ which requested that the Commission’s Question 1). Although the current slots it intends to utilize, OCWGA rules on content standards for regulations provide that filed asserts it would be useful for the agreement filings be updated or refined agreements be ‘‘the complete agreement Commission to formalize the current in a further rulemaking and identified among the parties and * * * specify in policy that an agreement may set forth three main concerns: certainty, detail the substance of the a maximum number (or range) of vessels flexibility, and confidentiality. These understanding of the parties’’ (46 CFR and capacity, or maximum number of comments are summarized below. 535.407(a)), as summarized below, slots, that may be used without 2. Summary of the Comments several comments generally remark that amendment to the agreement. Id. at 14. there are exceptions to this requirement. Second, OCWGA states that the The Commission received comments The comments cite the Commission’s Commission’s practice allowing from the National Industrial rules allowing ‘‘permissive authority’’ at agreements to describe their geographic Transportation League (‘‘NITL’’), the 46 CFR 535.407(b) 3 and the exemption scope in terms of port ranges rather than Council of European & Japanese the specific ports served is beneficial National Shipowners’’ Associations Agreement; Transpacific Stabilization Agreement; because operational and commercial (‘‘CENSA’’), the International United States/Australia-New Zealand Association; considerations may require diversions Longshoreman’s Association (‘‘ILA’’) United States/South Europe Conference; United on short notice. Id. at 15. OCWGA P&O Nedlloyd, Ltd. (‘‘PONL’’), and the States/Southern Africa Conference; Westbound further asserts that there is no regulatory Ocean Carrier Working Group Transpacific Stabilization Agreement; Mediterranean-North Pacific Coast Freight purpose in requiring that an agreement Agreement (‘‘OCWGA’’).2 Conference; A.P. Moller-Maersk Line; Contship name the specific ports it intends to Containerlines, Ltd.; Crowley American Transport, 1 Docket No. 99–13, The Content of Ocean Inc; Evergreen Marine Corporation (Taiwan) Ltd.; serve rather than port ranges, because Common Carrier and Marine Terminal Operators King Ocean Service de Venezuela, S.A.; Sea-Land such information is provided to the Agreements Subject to the Shipping Act of 1984, Service, Inc.; Star Shipping A/S; Tropical Shipping Commission in the information forms has been discontinued by separate order. The & Construction Company, Ltd.; Wallenius and monitoring reports, and typically is instant proceeding, Docket No. 03–15, Ocean Wilhelmsen Lines AS; Zim-Israel Navigation Common Carrier and Marine Terminal Operator Company; and Hapag-Lloyd Container Linie GmbH. also provided to the public through Agreements Subject to the Shipping Act of 1984, 3 That provision states: published sailing schedules. Id. encompasses former Docket No. 99–13 and expands Except as provided in paragraph (c) of this Third, OCWGA recommends that it to cover additional matters. As indicated below, section, agreement clauses which contemplate a agreements continue to have the ability the five comments submitted to the Commission in further agreement or give the parties authority to to contain permissive authority for their Docket No. 99–13 are incorporated by reference into discuss and/or negotiate a further agreement, the the record of the instant proceeding and have been terms of which are not fully set forth in the enabling members to discuss and agree on joining considered by the Commission. agreement, will be permitted only if the enabling 2 Members of OCWGA at the time of this agreement indicates that any such further interstitial implementation of routine operational or submission were: the Latin America Agreement; agreement cannot go into effect unless filed and administrative matters is permitted without Israel Trade Conference; Trans-Atlantic Conference effective under the Shipping Act and that requiring further filings.
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other agreements, as the Commission implementation of such authority. Id. the current regulation’s requirement that would have notice of any action taken PONL further asserts that the a ‘‘true and complete’’ agreement be under such authority through a implementation of rates, terms, and filed, stating that the statutory subsequent filing. Id. at 15–16. OCWGA conditions by an agreement with space requirement is only that a ‘‘true copy’’ objects to any requirement that an charter authority should also be of the agreement be filed. PONL at 2 amendment to the original agreement considered interstitial. Id. PONL (comparing section 5(a) of the Shipping also be filed when the parties exercise suggests that an agreement that, for Act with 46 CFR 535.407(a)). It notes permissive authority. It asserts that such example, includes the authority for its that the Commission’s jurisdiction may a requirement would serve no legitimate members to enter into space charters, as not cover the ‘‘complete’’ agreement if, regulatory purpose and would be well as other authorities, can enter into for example, it involves trade between duplicative. It notes that there are 25 a space charter without any additional foreign ports; and states that based on effective agreements currently on file filings, as contemplated by 46 CFR the Commission’s regulations, with the Commission which contain 535.407(b). PONL asserts that little ‘‘complete’’ does not include ‘‘routine this authority. Id. at 16. Finally, purpose would be served by requiring operational or administrative matters.’’ OCWGA recommends that the the public filing of agreements that Id. at 2–3 (citing 46 CFR 535.407(c)). Commission allow permissive authority involve interstitial implementation of PONL asserts that certain agreements, to include operational agreements, such express enabling authority contained in for example, cross space charters, vessel as slot or space charters.4 a filed and effective agreement. Id. at 8. sharing, and alliance agreements, that PONL and CENSA contend that the (b) The Commission posed the are on their face subject to additional term, ‘‘routine operational or question, ‘‘if parties were required to understandings have been accepted for administrative matters’’ used in section file every arrangement or understanding filing and allowed to go into effect by 535.407(c), lacks clarity. PONL at 6; that came within the scope of section 4, the Commission. Id. at 3. It further CENSA at 1. CENSA suggests that the would they be subject to commercial asserts that, therefore, the Commission’s Commission identify and define those harm or burden?’’ (NOI Question 2). jurisdictional limitations, its current aspects of agreements which are Section 5(a) of the Shipping Act regulations, and its past practice of not relevant to its initial review and requires the filing of a ‘‘true copy of objecting to the filing of agreements subsequent monitoring responsibilities, every agreement.’’ 46 U.S.C. app. using permissive authority phrases and establish specific rules with respect § 1704(a). The Commission’s regulations indicate that the term ‘‘complete’’ does to them. CENSA at 2. OCWGA, currently require that the filed not literally mean complete. Id. at 4. however, recommends that the existing agreement be true, complete, detailed NITL urges that only those carrier exemption for ‘‘routine operational or and specific. 46 CFR 535.103(g), agreements which are likely to have a administrative matters’’ be retained in 535.401(a)(1), 535.407(a). PONL, CENSA significant impact on competition in a its current form. OCWGA at 10. and OCWGA all assert that the given market continue to require PONL contends that the Commission’s requirement that the ‘‘complete’’ filing with the Commission. Commission’s interpretations of the ‘‘complete’’ agreement be filed cannot NITL at 4. NITL asserts that the term ‘‘interstitial implementation’’ 5 in be interpreted literally. PONL asserts Commission and the public need to Docket No. 97–08 and Docket No. 96– that a literal reading would create an have the ability to read and understand 14, Compania Sud Americana de internal conflict between the Shipping the scope and terms of agreements that Vapores, S.A. v. Inter-American Freight Act’s 45-day waiting period imposed on are likely to result in a reduction in Conference, 28 S.R.R. 137 (1998) agreements before they become competition or otherwise artificially (‘‘CSAV’’), have made that term very effective, and the fact that tariff rate influence the supply of and demand for unclear. PONL asserts that its attempts reductions may become effective ocean transportation service. Id. at 3–4. to use the term ‘‘interstitial’’ in immediately. PONL at 7. Similarly, NITL opines that detailed and complete agreements have met with objection OCWGA believes that the 45-day information filed by the carrier parties from the Commission’s Bureau of Trade waiting provision indicates that to such agreements is required. Analysis Office of Agreements. PONL at Congress did not intend to require every However, NITL cautions that the 5. detail of coordinated carrier activity to requirement for the filing of a complete PONL asserts that if the Commission be filed. OCWGA maintains that the agreement should not be interpreted so considers a conference’s Shipping Act’s use of the phrase ‘‘every as to restrict useful operational implementation of its tariff rate agreement’’ should not be construed flexibility, particularly in non- agreement authority an ‘‘interstitial literally or else it would be impossible conference type settings such as space/ implementation,’’ as indicated in the to file every detail of joint or group slot charter and sailing agreements. Id. example in 535.407(c), then it should arrangements. OCWGA at 8, 19. (c) The Commission asked whether it similarly consider implementation of OCWGA asserts that imposing such a should adopt different standards for authority to agree on a joint approach to requirement on service contracting agreement content for different types of joining a conference to be a routine agreements would subject them to an agreements. (NOI Question 3). OCWGA administrative matter and an interstitial enormous and repetitive filing burden points out that the Commission already (because the service contracts distinguishes between conference and 4 OCWGA’s position on operational agreements themselves are filed) and, in the case of other types of agreements in 46 CFR generally is discussed below. contracts with confidentiality clauses, 535.404, but warns that developing 5 The terms ‘‘interstitial implementation’’ and might violate the terms of the service further general standards for different ‘‘routine operational or administrative matters’’ are types of agreements may create more found in 46 CFR 535.407(c), which provides that: contract itself and the Shipping Act. Id. [f]urther specific agreements or understandings at 21. OCWGA believes that at some confusion. OCWGA at 22. With respect which are established pursuant to express enabling level of specificity, ‘‘agreements’’ cease to alliances and space/vessel sharing authority in an agreement are considered interstitial to have any relevance to the agreements, which do not easily fit into implementation and are permitted without further Commission’s statutory duties. Id. fixed categories however, OCWGA filing under section 5 of the Act only if the further agreement concerns routine operational or CENSA contends that the term suggests that the Commission clarify the administrative matters, including the establishment ‘‘complete’’ is of little guidance to the filing requirements through guidance of tariff rates, rules and regulations. industry. CENSA at 1. PONL objects to stated in functional terms, as opposed to
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the rules’ current use of classification 6. NITL approves of the existing OCWGA further contends that terms. Id. at 22. OCWGA suggests as an exemption from filing for interstitial operational arrangements arising from example, that the Commission’s rules implementation of routine operational slot charter agreements that detail how direct that each ‘‘agreement that or administrative matters found in the parties put into effect the authority provides for the sharing of vessels or section 535.407(c). Where full set forth in the filed agreement should space on vessels shall state the exemption for a certain type of be exempted from filing, arguing the maximum number and capacity of agreement is not warranted, NITL documents are ‘‘non-standard’’ and not vessels that may be so employed.’’ Id. believes that the Commission should ‘‘created to fulfill a regulatory purpose.’’ NITL believes that the level of detail consider a relaxation of other Id. at 17. OCWGA also opines that filing for filings related to agreements that procedural requirements, such as the operational arrangements arising from would not significantly alter waiting period requirement. Id. slot charter agreements would be competitive conditions in a given OCWGA observes that in late 1996 unworkable, because of their excessive market should be relaxed. NITL at 5. and early 1997, Commission staff began specificity, and impractical, because CENSA simply urges that the informally requiring space charter, slot including such details would require Commission avoid unnecessary and charter, sailing and other forms of the frequent filing of amendments. Id. burdensome requirements and provide cooperative agreements among carriers (e) The Commission asked whether carriers with a reasonable amount of (collectively referred to as ‘‘slot charter the rates charged by one carrier to operational flexibility. CENSA at 2. agreements’’) to contain a greater degree another for use of space and/or vessels (d) The Commission asked whether of detail than had been required at any should be exempt from filing or commenters could identify types of time since 1984. OCWGA at 4–5. withheld from public disclosure. (NOI agreements currently filed which would OCWGA contends that there is now Question 5). PONL and OCWGA be appropriate for exemption from filing considerable uncertainty stemming from contend that for the last 15 years there under section 16 of the Shipping Act.6 recent Commission proceedings as to has been a de facto exemption to the (NOI Question 4). OCWGA, PONL and what must be set forth in such Shipping Act’s filing requirements for CENSA maintain that agreements with agreements. Id. slot charter costs. PONL at 9; OCWGA at 24. PONL states that requiring the little or no competitive effect, PONL suggests that the Commission filing and subsequent public disclosure agreements concerning operations, and adopt an exemption for simple space of that information would harm carriers slot charter agreements should all be charter agreements where one carrier because other carriers would insist on exempt from the filing requirements of charters space to another, stating that getting the same rates, and competing the Shipping Act. OCWGA asserts that this enhances, not reduces competition. carriers and shippers could use the agreements which typically have little PONL at 9. OCWGA opines that most price information in any further pricing or no competitive effect (such as those slot charter agreements ‘‘resemble a and rate negotiation. PONL at 9. PONL that do not authorize discussion or joint venture or partnership in which agreement on rates, vessel operating believes that there would be no on-going and extensive operational regulatory benefit to requiring that such costs, shared vessel usage, service coordination is necessary to provide an contracts, or capacity) should be rates be made public. Id. Similarly, efficient, competitive, and coordinated OCWGA believes that these rates should completely exempt from the filing service.’’ OCWGA at 5–6. OCWGA urges requirements of the Shipping Act. be confidential and that the public has that the Commission resolve this no legitimate interest in them. OCWGA OCWGA at 23. OCWGA contends that uncertainty in the proposed rules this exemption would serve the dual at 24. OCWGA also maintains that such bearing in mind such things as the disclosure would be anticompetitive purposes of defining the applicability of purpose of agreement filing, what the term ‘‘cooperative working because it would ‘‘circumscribe the information is practical to include, the ability of carriers to negotiate different arrangement’’ found in section 4(a)(5) of procedural requirements of the the Shipping Act 7 and providing rates with different carriers.’’ Id. Shipping Act, and flexibility for the CENSA also asserts that the ‘‘industry certainty regarding the filing Commission and carriers to process requirements. Id. It urges the needs some degree of confidentiality amendments to agreements. Id. at 6. with respect to the commercial terms of Commission to retain the other existing OCWGA contends that the Shipping exemptions. Id. their operational agreements.’’ CENSA Act’s replacement of the ‘‘public at 2. It claims that requiring carriers to NITL suggests that the Commission interest’’ standard (which required an consider further exemptions for other disclose the amounts they pay for vessel affirmative showing of public benefit space ‘‘could prove to be types of agreements that do not before an agreement could be approved) significantly affect competition. NITL at anticompetitive and contrary to the with the presumption that agreements objectives of OSRA.’’ Id. are permissible, changed the (f) The Commission requested 6 Section 16 provides, inter alia, that the Commission ‘‘may exempt for the future any class Commission’s need for certain comments on whether public disclosure of agreements * * * if it finds that the exemption information. Id. at 7. OCWGA states of filed agreements is useful to shippers, will not result in substantial reduction in that, therefore, the information intermediaries, labor, non-party carriers, competition or be detrimental to commerce.’’ 46 necessary to analyze whether an marine terminal operators or other U.S.C. app. § 1715. 7 Section 4(a)(5) of the Shipping Act reads, ‘‘This agreement is likely to result in an interested persons. (NOI Question 6). Act applies to agreements by or among ocean unreasonable increase in rates or PONL and OCWGA state that beneficial common carriers to—(5) engage in exclusive, unreasonable reduction in services is shippers and ocean transportation preferential, or cooperative working arrangements identifiable and limited to the nature of intermediaries (‘‘OTIs’’) have shown among themselves or with one or more marine terminal operators * * * .’’ 46 U.S.C. app. the coordinated activities, the identity little interest in filed agreements. PONL § 1703(a)(5). The Commission’s regulations define a and number of parties involved, and the at 10; OCWGA at 24. OCWGA opines ‘‘cooperative working arrangement’’ as an trades in which the agreement will that on the rare occasions that shippers agreement which establishes exclusive, preferential, operate. Id. Beyond these basic points of or OTIs do express such interest they or cooperative working relationships which are subject to the Shipping Act of 1984, but which do information, OCWGA contends, there is usually request the information directly not fall precisely within the arrangements of any a dispute over what should be filed. Id. from the carrier or from the agreement specifically defined agreement. 46 CFR 535.104(i). at 7–8. rather than from the Commission.
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OCWGA at 24. PONL suggests that the commercially sensitive information OCWGA also cites to 49 U.S.C. 10502 Commission answer this question by because it does not require conferences which grants the STB authority to reviewing its records pertaining to to publicly file minutes and notes that exempt rail carriers from the antitrust requests for copies of agreements and the Commission’s exemption authority laws and directs it to approve and comments on filed agreements. PONL at can shield such information. PONL at monitor those agreements pursuant to 10. 10. 49 U.S.C. 10704 and 10705. OCWGA ILA would like certain matters in NITL believes that the Commission urges that 49 CFR 1313.7 and 1313.16 be agreement filings to be made public and should not shield from disclosure used as examples for the confidential for agreements filed with the information that would enable shippers treatment of agreement information. Id. Commission (and noticed in the Federal to gain a thorough and complete Finally, OCWGA notes that the FTC Register) to document the origins, understanding of the scope of a filed destinations, and points of entry and agreement likely to have a substantial receives pre-merger notification filings departure of cargo accurately and in an impact on competition, such as for companies under its jurisdiction and easily understandable manner that will conference or discussion agreements. that 15 U.S.C. 18a(h) exempts from not handicap it in administering and NITL at 7. However, NITL asserts that disclosure any information filed enforcing the provisions of its own information of a purely operational pursuant to the pre-merger notification collective bargaining agreements. ILA at nature, and not relating to competition requirement, unless relevant to any 1. ILA argues that not making such may be appropriately protected from administrative or judicial action or information publicly available would public disclosure and should be proceeding. Id. hamper its ability to detect the determined on a case-by-case basis. Id. Similarly, PONL notes that the movements of containers destined for a ILA believes that the Commission Antitrust Division of the Department of designated port area but off-loaded at should require that agreements filed Justice (‘‘DOJ’’) receives pre-merger different port. Id. at 1–2. ILA states that with it contain provisions which, while filings as well as requests for Business neither exposing rates nor other truly it requires access to the carriers’ Review Letters and that DOJ may ask confidential data, would allow labor electronic systems, and that it is filers for more information and prevent concerned by some carriers’ practice of interests to track the movements of disclosure of confidential information. making certain information public but containerized cargoes subject to PONL at 10. masking it in digitized codes. Id. at 2. collective bargaining agreements. ILA at ILA maintains that it is not seeking to 2. PONL and OCWGA observe that the have the Commission require disclosure (h) The Commission requested SEC receives securities registrations as of competitive rates of carriers, their commenters to provide information on authorized by its controlling statute surrogates or allies. Id. Although ILA how competing concerns of which enumerates all information asserts that its labor contracts apply completeness, burden and required to be submitted in the regardless of whether the filed confidentiality are resolved in the filing registration, but that SEC regulations agreement is classified as a ‘‘rate requirements of other regulatory allow filers to request confidential agreement’’ or an ‘‘operational agencies. (NOI Question 8). OCWGA treatment by separating the confidential agreement,’’ ILA wants the ‘‘ability to notes that no other agency operates portion from the regulation statement anticipate and locate the shipments under a statutory provision identical to and filing it separately. 17 CFR which its contracts entitle its section 6(j) of the Shipping Act but cites 230.406(2). PONL at 10; OCGWA at 26. [l]ongshorepersons to handle and which some comparable provisions used by are subject to charges as defined under other agencies. OCWGA at 26. These B. The Proposed Rule those agreements.’’ Id. include provisions by the Department of (g) The Commission asked whether it Transportation (‘‘DOT’’) for air carrier In accommodating the concerns can implement measures to protect agreements, the Surface Transportation expressed in the comments, the commercially sensitive information Board (‘‘STB’’) for agreements among Commission must reconcile what may contained in filed agreements. (NOI railroads, the Federal Trade appear to be conflicting missions of the Question 7). Some commenters assert Commission (‘‘FTC’’) for general pre- agency—on the one hand, to exercise that there may be sensitive commercial merger notifications and the Securities the meaningful oversight of agreements information in filed agreements that the and Exchange Commission (‘‘SEC’’) for to check any abuses arising from parties may legitimately need to protect. registration statements for securities. antitrust immunity required by section OCWGA notes that while section 6(a) OCWGA notes that under 49 U.S.C. 6 of the Shipping Act, and on the other, requires publication in the Federal 41308 and 49 U.S.C. 41309(a) the to minimize regulatory intrusions and Register, section 6(j) appears to specify Secretary of Transportation has the burdens, as required by section 1. a different treatment for section 5 authority to exempt from antitrust laws Therefore, the Commission proposes the agreements than for ‘‘documentary cooperative air carrier agreements filed following regulations, which are material’’ submitted under sections 5 with it and that to obtain this intended to permit it to exercise and 6. OCWGA at 24–25. It maintains exemption, an air carrier must file ‘‘a effective oversight consistent with the that this may place some procedural true copy * * * and complete Commission’s statutory responsibilities restrictions on how the Commission memorandum of an agreement.’’ Id. without imposing undue regulatory implements its authority to protect such OCWGA further notes that DOT has burdens. information from disclosure and urges implemented regulations to protect the that, ‘‘[s]pecifically, in order for confidentiality of this information (14 Any person who objects to the public disclosure information to be unambiguously CFR 302.39(b)) which provide a of any information in any paper filed in any protected from disclosure, such procedure by which a carrier may mark proceeding * * * shall segregate, or request the information must not be required to be as confidential portions of an agreement segregation of, such information into a separate included in the agreement required to paper and shall file it * * * separately in a sealed and may move to withhold such portion envelope, bearing the caption of the enclosed paper, 8 be filed under section 5.’’ Id. PONL from public disclosure. Id. and the notation ‘‘Classified or Confidential opines that the Commission has already Treatment Requested Under Sec. 302.39.’’ implemented measures to protect 8 The rule reads, in pertinent part: 14 CFR 302.39(b).
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1. Proposed Changes To Address 6(g) compliance; and (3) a general 535.103(g) refers to an ‘‘agreement filed Concerns for Certainty review of the agreement to ensure that under the Act’’ and section 535.407(a) it does not facially contravene other refers to ‘‘any agreement required to be Section 5(a) of the Shipping Act requires sections of the Shipping Act (e.g., acts filed by the Act.’’ These jurisdictional that a true copy of every agreement entered prohibited by section 10). Section limitations, also discussed in into with respect to an activity described in 535.103(g) reflects the Commission’s Transpacific Westbound Rate section 4(a) or (b) of this Act shall be filed with the Commission, except agreements need for specificity in order that it may: Agreement, 951 F.2d 950 (9th Cir. 1991) related to transportation to be performed (1) Evaluate the probable impact of an (‘‘TWRA’’), provide boundaries to the within or between foreign countries and agreement; (2) conduct ongoing information required in a filed agreements among common carriers to monitoring of agreement operations agreement. Nevertheless, these concerns establish, operate, or maintain a marine (especially for section 10(a)(2) and (3) appear to be addressed to the limits of terminal in the United States. 46 U.S.C. app. prohibitions); and (3) avoid ambiguities the Commission’s subject matter § 1704. concerning antitrust immunity granted jurisdiction over agreements, as Many commenters assert that it is to agreements.10 opposed to the completeness with simply not reasonable to require the The policy presently stated at section which matters within that jurisdiction filing of a true copy of every agreement 535.103(g) is carried out through section must be reflected. because there are some details which 535.407(a)11 which requires an The Commission has consistently cannot reasonably be expected to be agreement to ‘‘reflect the full and interpreted 46 U.S.C. app. § 1704(a) to specifically reflected, and also for the complete present understanding of the require filed agreements to be complete, following reasons: parties as to its essential terms.’’ Docket specific, detailed reflections of the • Doing so would subject sensitive No. 84–32, Rules Governing Agreements present understanding of the parties. 46 commercial information to disclosure, by Ocean Common Carriers and Other CFR 535.103(g) and 535.407(a). The due to the notice requirement of section Persons, 49 FR 36371 (Interim Rule and commenters point to no legislative 6(a) of the Shipping Act; Request for Comments) (‘‘1984 Interim history to demonstrate that the subject • The parties need more flexibility Agreement Rule’’). The 1984 Interim matter jurisdictional limitations of the than the 45-day waiting period would Agreement Rule also described the Shipping Act indicate that its drafters provide; reach of section 535.407(a) as follows: did not intend the phrase ‘‘true copy’’ • There are details which have not to be interpreted literally. A general The rule does not contemplate that every definition of the term indicates ‘‘[a] true yet been agreed upon when the activity be enumerated in detail. However, agreement is filed; general grants of authority which do not copy does not mean an absolute exact • Some details have no specify the activities under the agreement are copy but means that the copy shall be anticompetitive potential; and/or not favored. For example, an agreement so true that anybody can understand it.’’ • The details are not reflected in which, as its authority, merely recited the Black’s Law Dictionary (1995 ed.).12 For standardized documents, so drafting language of section 4(a)(1)–(7) of the Act oral agreements, the Shipping Act them would be burdensome for the filer would require some further clarification. requires that ‘‘a complete memorandum and reviewing them would be Otherwise, review of such an agreement specifying in detail the substance of the burdensome for the Commission. would be virtually meaningless. Such general agreement’’ be filed. 46 U.S.C. app. statements of authority, even where clarified Therefore, they argue that the text of the by subsequent refinement, should be § 1704(a). The Commission finds no Shipping Act cannot be interpreted to avoided. Id. at 36372. indication that Congress intended the literally mean a copy of the commercial Commission to subject oral agreements Some commenters claim that the to greater requirements than those agreement. industry does not have a clear The present text of the Commission’s which are written. Therefore, we understanding of the significance of the policy, stated at section 535.103(g), was disagree with the commenters’ assertion term ‘‘true and complete,’’ and argue originally added in rulemakings in that the text of the Shipping Act cannot that the phrase cannot be interpreted 1984.9 It represented a codification of be interpreted literally. literally if it is read concurrently with the Commission’s then-existing policy. Nevertheless, we recognize that there the exemption allowing routine Early on in its administration of the may be some legitimate confusion as to operational or administrative matters Shipping Act, the Commission had what the Commission expects a filed interstitial to a filed agreement without received agreements with unacceptably agreement to contain. This confusion further filing. Some commenters also vague, incomplete or indefinite may have arisen from the Commission’s point out that matters which may be statements of authority. See, Docket historical usage of suggested language part of the commercial arrangement but Nos. 84–26 and 84–32 (final rule). for form and manner, especially for filed which are outside the scope of the Therefore, the Commission created this agreements’ ‘‘authority’’ clauses. We Commission’s jurisdiction necessarily rule to ensure that ‘‘a complete believe confusion may also arise when must not be included in the filed agreement is filed in sufficient detail to the policy reflected in sections agreement. 535.103(g) and 535.407(a) is read in conduct a meaningful review.’’ Id. The Commission’s rules (as well as Such review, based on the tandem with the allowances of sections past Commission case law) are not more requirements of section 6 of the 535.407(b) and (c) for further extensive than its jurisdiction: section Shipping Act, includes: (1) A agreements on certain routine matters. preliminary review of the section 5 However, we find no precedent to 10 In Docket Nos. 84–26 and 84–32 (final rule), the requirements; (2) a review for section Commission stated, ‘‘agreements should be support the proposition that the term sufficiently precise and definite to determine ‘‘true and complete’’ means only those 9 46 CFR 535.103(g) states: whether a particular activity is within the scope of An agreement filed under the Act must be clear the antitrust immunity conferred upon them by 12 See also, Associated-Banning Co. v. Matson and definite in its terms, must embody the complete section 7 of the [Shipping] Act.’’ 49 FR at 45332. Nav. Co., 5 F.M.B. 336, 342 (1957), interpreting the understanding of the parties, and must set forth the 11 Section 535.407(a) provides: ‘‘true and complete’’ standard under the 1916 specific authorities and conditions under which the (a) Any agreement required to be filed by the Act Act(‘‘when parties file an agreement for approval parties to the agreement will conduct their present and this part shall be the complete agreement they must include all understandings and operations and regulate the relationships among the among the parties and shall specify in detail the arrangements of the character covered by section 15 agreement members. substance of the understanding of the parties. which exist between them at the time.’’)
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details which the Commission had describing their collaborative rephrasing it as a positive requirement positively required to be filed in its arrangements, the Commission generally in section 535.402 rather than as a prior form and manner regulations. has permitted the filing of agreements policy statement. For the sake of clarity, the containing statements of authority b. Modifications to Effective Agreements Commission now proposes to remove which must be amended when the (46 CFR 535.407) current sections 535.103(g) and parties have reached the details of their 535.407(a) and replace them with a agreement. The Commission has also While the Commission interprets the newly created section 535.402 to serve crafted an exemption for certain day-to- Shipping Act to generally require that as one concise and clearly controlling day details, thereby removing the filing parties file their final, detailed rule. The new section is intended to requirement for ‘‘interstitial agreement, rather than a general reassert the Commission’s original implementation of routine operational agreement to collaborate, the interpretation requiring the filing of the and administrative matters.’’ 46 CFR Commission has also historically commercial document as agreed to by 535.407(c). However, the comments recognized certain exceptions to that the parties, in contrast to the filing of a appear to suggest that this approach has general standard. The first of these document drafted solely to meet U.S. proved unsatisfactory. exceptions is explicit in the Shipping regulatory requirements. In suggesting that the statute be read Act: section 4 necessarily contemplates broadly enough to accommodate the 2. Proposed Changes to Address certain agreements which cannot future needs of parties, the commenters contain implementing details because Concerns for Future Commercial use a term that appears neither in the Flexibility they are by their very nature agreements Shipping Act nor in the Commission’s to discuss future collaboration. These a. Requirement to File Every Agreement regulations: ‘‘permissive authority.’’ are the rate agreements authorized by (46 CFR 535.402) This term apparently refers to: (1) section 4(a)(1), 4(a)(7) and 4(b)(1). 46 Authority that may never actually be In promulgating what is now section U.S.C. app. §§ 1703(a)(1), (a)(7), (b)(1). exercised (e.g., ‘‘the parties may discuss 535.407(a), the Commission asserted rates’’ or ‘‘the parties are authorized to We believe that the most logical that the statute and the new rule discuss rates’’); (2) broad statements of interpretation of section 4 is that certain required that an agreement ‘‘reflect the authority (e.g., ‘‘the parties are matters may not be discussed in detail * * * present understanding of the authorized to exchange slots on such unless and until the parties have a filed parties as to its essential terms.’’13 1984 terms as they may from time to time and effective agreement. Therefore, the Interim Agreements Rule at 36372. agree’’); or (3) an agreement to act parties cannot be required to file a Thus, the Shipping Act does not require ‘‘within a range,’’ for example, of detailed, complete or specific agreement or allow for the filing of proposed, draft capacity or ports served. Such forward- for those types of agreements. We or preliminary agreements. In addition, looking statements frequently appear in believe this view is supported by the the Commission’s rules positively filed agreements. Indeed, the Commission’s historical treatment of prohibit clauses in agreements which Commission itself may have encouraged conference and other rate-setting contemplate a further agreement, their use by referring in its rules to agreements in its rulemakings. sometimes called ‘‘agreements to agree.’’ agreement ‘‘authority,’’ a term that itself The use of authority that might (or 14 46 CFR 535.407(b). Allowing vague implies future implementing might not) be exercised pursuant to a authority clauses to be filed in agreements. filed agreement but would not require agreements appears to conflict Moreover, we recognize that parties further filings, was first recognized by somewhat with the Commission’s policy may not wish to file details of their the Commission in ‘‘suggested requiring that the agreement ‘‘set forth collaboration for at least two reasons. agreement language’’ published in the specific authorities and conditions For example, this may be because: (1) Docket No. 67–55 (General Order 24), under which the parties to the agreement on the details has not yet Filing of Agreements Between Common agreement will conduct their present been reached and the parties are still in Carriers of Freight by Water in the operations’ (46 CFR 535.103(g)). negotiation, but wish to file and thereby Foreign Commerce of the United States, However, forward-looking clauses have commence the 45-day waiting period; or 33 FR 11655 (1968). Those rules were been permitted when there is an (2) the parties have reached a final and intended to ‘‘establish guidelines for the indication that any further specific agreement, but anticipate filing, format and content of contemplated agreements will not be changes to those understandings and agreements’’ to ‘‘encourage uniformity carried out unless and until filed and wish to build flexibility into the of agreements’’ and expedite their effective under the Shipping Act. 46 document they file. No commenter has review by the Commission. 46 CFR CFR 407(b). cited nor has the Commission found any 522.1 (1968). To that end, the In order to address parties’ needs to legislative history of the Shipping Act regulations suggested language to be maintain future flexibility in agreements which would support the suggestion used by conference and rate that Congress intended that parties may agreements.15 Although the 1968 13 See also, Isbrandtsen Co. v. States Marine, 6 file a ‘‘preliminary draft’’ of an F.M.B. 422, 434 (1961)(‘‘There is no filing ‘‘guidelines’’ for agreements included requirement until there is an agreement or a agreement, which would commence the some suggested language for agreements meeting of minds * * * regarding activities running of the 45-day review period. other than conference and rate described in Sec. 15.’’). The issue in this case Therefore, the proposed regulations agreements, the suggested terms did not concerned unacceptably vague authority statements clarify that the Commission will not include ‘‘authority’’ clauses.16 in agreements that were being filed at the time. accept any such ‘‘preliminary draft’’ 14 This prohibition might appear to be inconsistent with the Shipping Act’s specific agreements. 15 For conference agreements, the Commission’s provision for agreements ‘‘to discuss and agree on This determination is reflected in the rules included the following suggested language: any matter related to service contracts.’’ 46 U.S.C. revised section 535.402, which retains 16 Pooling, joint service, sailing, transshipment app. § 1703(a)(7). However, we believe the statute the Commission’s core interpretation of and cooperative working agreements did not provides consistent treatment by providing that any include the ‘‘authority’’ provisions which were resulting agreement with respect to service the Shipping Act’s requirement that a suggested for conference and rate agreements. 46 contracts be reflected in confidentially filed ‘‘true copy of every agreement’’ be filed. CFR 521.6(c)–(g)(1970). ‘‘voluntary guidelines.’’ 46 U.S.C. app. § 1704(c)(3). The proposed rule also clarifies this by Authority Under This Agreement
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On their face, therefore, such The Commission’s 1984 Agreements the number and role of traditional agreements were, in fact, ‘‘agreements to Rules offered a further degree of conferences, and their influence has agree.’’ The two sets of guidelines for commercial flexibility to agreement been supplanted by discussion agreement language (both intended for parties through another provision: the agreements on pricing. This agreements with rate-making activity) exception from filing for the ‘‘interstitial development, concurrent with the were the only such Commission- implementation of routine operational appearance of global strategic alliances, provided examples for agreements and administrative matters’’ under has resulted in agreements which may containing such open-ended authority. section 535.407(c).17 The Commission be more effective than conferences ever It appears that over the years, the explained in the 1984 Interim were at stabilizing rates by controlling ‘‘suggested authority’’ language has been Agreements Rule that the provision was capacity. adopted for use in non-rate-making originally intended to ‘‘allow[] As a result of the above-discussed agreements (also called ‘‘operational flexibility to make changes for tariff history, the commenters assert that agreements’’) as well. matters or routine operational and ‘‘permissive authority’’ has come to be invoked for matters much broader than The Commission subsequently administrative matters having no anticompetitive effect.’’ 49 FR 36372. simply the implementation of rate- recognized and addressed the need for The Commission asserted that this related authority, i.e. tariffs and service some open-ended authority in section ‘‘provide[s] that activities which contracts. In addition, the exemption agreements through current section may reasonably be viewed as interstitial from filing for ‘‘interstitial 535.407(b). This provision permits to a stated agreement authority need not implementation of routine operational ‘‘agreement clauses which contemplate be expressly stated.’’ Id. The Interim and administrative matters’’ under a further agreement or give the parties Rule gave only the following two section 535.407(c) has been a prime authority to discuss and/or negotiate a examples: (1) authority to establish source of confusion. Some commenters further agreement, the terms of which ‘‘overland common point’’ rates would assert that ‘‘interstitial implementation are not fully set forth in the enabling be interstitial to general ratemaking of routine operational or administrative agreement’’ to be included in filed authority, but establishing a tariffed matters’’ could be indicated by the use agreements only if ‘‘the enabling contract rate system would not; and (2) of phrases such as, ‘‘the parties agree to agreement indicates that any such changes in the terms and conditions of ___ according to terms, rates and further agreement cannot go into effect a charter party (contract) underlying a conditions as the parties may from time unless filed and effective under the space charter agreement would to time agree.’’ Thus, with respect to Act.’’ The 1984 Interim Agreements generally be interstitial, but changes in ‘‘permissive authority,’’ responses to the Rule’s supplementary information the number of vessels (or range of NOI generally proffer two types of described the Commission’s reasons for number of vessels) and definition of future actions taken pursuant to an requiring that provisions in agreements vessel capacity (or range of capacities) agreement: (1) those allowed by grants that contemplate further agreements not dedicated in a joint service or space of authority which might (or might not) become operative until filed and charter agreement would not. Id.18 be exercised, but which do not effective under the Shipping Act: Until recently, conferences (and other anticipate subsequent filing if exercised; [a] problem of open-ended authority arises rate) agreements were those with which and (2) those allowed without further where an agreement allows for future the Commission had the most concern. filing due to their categorization as substantive modification of an agreement The Commission’s current rules on ‘‘interstitial implementation of routine without specifically requiring filing under agreements were adopted at a time operational or administrative matters.’’ section 5. Such general authority to make when conferences were the principal There also appears to be another type of future modifications without filing with the method by which ocean common ‘‘permissive authority’’: that which Commission would subvert the carriers exercised their antitrust outlines a range (for example of Commission’s ability to review and monitor immunity to achieve price discipline capacity, ports, etc.) in which the an agreement. 49 FR 36372. and rate stabilization. Now, however, agreement may operate. The following there has been a precipitous decline in discussion addresses each of these Subject to applicable provisions of law, the interpretations. Conference is authorized to: 17 Section 535.407(c) reads: In promulgating the exception for 1. Agree upon and establish rates and charges for ‘‘Further specific agreements or understandings ‘‘interstitial implementation of routine the carriage of cargo and rules and regulations which are established pursuant to express enabling operational and administrative matters,’’ governing the application thereof and defining the authority in an agreement are considered interstitial service to be rendered therefor; implementation and are permitted without further the Commission explained that section 2. Declare rates for specified commodities to be filing under section 5 of the Act only if the further 535.407(c) would be interpreted on an ‘‘open’’ with or without agreed minimum, and agreement concerns routine operational or ad hoc basis. Id. The comments received thereafter declare the rates for such commodities to administrative matters, including the establishment in the NOI demonstrate that this ad hoc of tariff rates, rules, and regulations.’’ be ‘‘closed’’; approach may have created some 3. Agree upon and establish tariffs, tariff 18 The Commission also gave the following amendments, and supplements; guidance: confusion. Recently, the Commission 4. Make rules and regulations for the handling ‘‘[A]n agreement which merely stated that the found a violation of section 10(a)(2) of and carriage of cargo; parties are authorized ‘‘to operate a joint service,’’ the Shipping Act 19 where a conference 5. Provide for use of a contract/noncontract rate without indicating the number, or range of vessels, committed to the service would not be deemed to failed to file its understanding as to the system for filing with the Commission for approval reflect the full understanding of the parties. Such winding up of its affairs. The pursuant to section 14b of the Shipping Act, 1916; a deficiency would defeat any meaningful respondent conference argued that such 6. Agree on amounts of brokerage and/or Commission review. Similarly, a statement in a a matter was ‘‘routine operational or compensation to forwarders and the conditions for joint service agreement which authorized the the payment thereof as permitted by applicable law; parties to ‘‘acquire substitute or additional tonnage’’ administrative’’ and therefore exempt 7. Keep such records and statistics as may be would result in a situation where the Commission from the filing requirements. Compania required by the parties or deemed helpful to their would be unable to evaluate the economic impact interests. of the agreement on the trade under section 6(g). 19 Section 10(a)(2) reads, ‘‘No person may . . . 46 CFR 522.6(a)(1968)(emphasis added). Finally, a filed agreement which referred to or was operate under an agreement required to be filed Similar ‘‘authority’’ provisions were also governed by another agreement not filed with the under section 5 of this Act that has not become suggested for non-conference rate agreements. 46 Commission would be incomplete.’’ effective under section 6, or that has been rejected, CFR 522.6(b)(196 Id. disapproved or canceled.’’
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Sud Americana De Vapores S.A. v. OCWGA’s suggestion that the With regard to the suggestion that Inter-American Freight Conference Commission enumerate what must be changes to the number of vessels or slots (‘‘CSAV’’), 28 S.R.R. 141, 141–142 contained (a positive list), rather than to be operated (i.e., capacity) be (1998). The Commission found that the what need not be contained (a negative implemented without amendment to an winding up was not ‘‘routine list or exemptions) appears impractical. agreement, we find that it may be operational,’’ but extraordinary and, The Commission chooses to follow the acceptable to change these terms therefore, not falling within the latter approach. While it is true that the without further filing if the originally- exemption of section 535.407(c). Commission may anticipate some filed agreement contains an adequately In CSAV, the Commission provided developments in the industry, we do not described range (i.e., maximum and further guidance as to matters it would have the ability to predict them all, nor minimum) of slots or vessels to be used consider ‘‘routine operational or should we seek to stifle innovation or under the agreement and if the changes administrative,’’ namely, the dictate what must be contemplated in fall within that range. This approach establishment of individual tariff an agreement. We can, however, would allow filers to adjust their rates; 20 the scheduling of individual determine what activities, as they are agreement from time to time without the meetings; the securing of office space or presently employed by agreements, are need to file, and allow the Commission supplies; and the circulation of most likely not to raise concerns about to make an assessment of the particular reports or memoranda to competition. commercial impact of the agreement for members. These are matters which The Commission, therefore, proposes both ends of the range. require day-to-day operational to remove the current terms ‘‘interstitial OCWGA also urges the Commission to flexibility.CSAV, 28 S.R.R. at 142. implementation’’ and ‘‘routine exempt slot charter costs from a filed As discussed above, the Commission’s operational and administrative’’ slot charter agreement. As the comments general rule has been that all agreements altogether from its rules, and add a list point out, it has been the practice of the must be true, complete, detailed and of specific exemptions for certain types Commission to allow slot charter costs specific and represent the present of operations. Under section 16 of the to be agreed upon from time to time understanding of the parties. With the Shipping Act, the Commission has the (without requiring further filings or exception of agreement clauses which discretion to grant exemptions it finds amendments), and not specifically anticipate a further agreement to be filed will neither cause substantial reduction disclosed in the filed agreement, under that are permitted under section in competition nor be detrimental to an interpretation of 535.407(b) and (c). 535.407(b), only two types of ‘‘further commerce. 46 U.S.C. app. § 1715. The The phrases, ‘‘as may be agreed upon agreements’’ may be acted upon without Commission has determined to propose from time to time’’ or ‘‘whatever is further filing: agreements which fall several new specific exemptions to reasonable based on actual costs’’ have under section 535.407(c), or which are replace the current exemptions for been used in filed agreements to this otherwise exempt from filing under an ‘‘routine operational and administrative effect. We have therefore proposed to explicit exemption found in subpart C matters’’ and other operational matters treat slot charter rates as matters of this part. which it finds have met the criteria for specifically exempted in proposed OCWGA suggests that the exemptions under section 16. section 535.408. Commission recognize four additional The initial proposals for a list begin The Commission is also proposing to types of ‘‘further agreements’’ as with the activities already determined codify its de facto exemption from the ‘‘interstitial implementation of routine by the Commission to be ‘‘routine filing requirements for vessel charter operational or administrative matters’’: operational and administrative matters,’’ parties in a new section 535.312. This (1) Changes to the number of vessels/ such as those enumerated in CSAV. codification would eliminate slots (or changes within a quantified Additionally, the Commission proposes uncertainty the commenters now appear range); (2) changes in port calls; (3) to include the following matters to have regarding which agreements decisions on operation within another previously treated as ‘‘interstitial must be filed. These contracts, which filed agreement; and (4) ‘‘operational’’ implementation of routine operational are generally for the control of single agreements generally. OCWGA at 14–17. and administrative matters’’ not vessels, do not appear to have potential While we rejected the first three requiring further filing: to result in a substantial reduction in suggestions in our previous rulemaking • charter parties arising out of filed competition or be detrimental to on ‘‘routine operational or agreements (such as those pursuant to a commerce, and are therefore within the administrative matters,’’ we now space, slot or vessel sharing agreement); Commission’s section 16 authority for reconsider these suggestions in light of • specific monetary amounts for exemption from the requirements of the the comments and recent changes in the compensation for space; booking and Shipping Act and its regulations. industry. documentation procedures; The commenters are also concerned It has been the Commission’s • insurance; about operational flexibility for changes approach since the passage of the • procedures for resolution of to port calls which typically are Shipping Act to determine on an ad hoc disputes relating to loss and/or damage commercial decisions that must be basis what it considers ‘‘routine to cargo; made quickly. It appears that most operational and administrative matters’’ • maintenance of books and records; agreements are filed reciting only a to be implemented without further • force majeure clauses; general ‘‘geographic scope’’ within filing. However, we believe the • common terminal and stevedoring which they will operate. While it comments indicate the public’s desire arrangements; that the better approach is to list • procedures for allocating space and changes in the course of carrying out the agreement. specifically operational matters that are forecasting demand; and We are skeptical that these need the sort of day-to- exempted and revise the current • 21 day flexibility the current exemption contemplates. schedule adjustments. Nevertheless, as a practical matter, we also regulations accordingly. recognize that these details of agreement 21 We recognize that most if not all of these implementation may be the most commercially 20 The establishment of individual tariff rates are commercially essential matters are likely sensitive and their absence appears to be unlikely specifically enumerated as exempt in the text of the determined before an agreement can be to impair the Commission’s ability to assess the rule. 46 CFR 535.407(c). implemented and are unlikely to require frequent relationship among the parties.
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remains a required term in the notice of how an agreement will commenters suggest further vague Commission’s rules,22 geographic scope operate. Further, PONL’s assertion that categories of agreements the may be put forth in terms of ports or any implementation of such an Commission might exempt from filing, port ranges. This requirement has in the agreement will be reflected in an such as: (a) Agreements that have little past provided adequate detail for agreement filing, does not take into or no competitive effect (but do not Commission review purposes, while consideration either an agreement that suggest what those may be); (b) allowing changes in specific port calls the parties participate only to a limited agreements for routine operations (be or rotations to be made without filing a extent or in a particular concerted exempt or have a reduced waiting modification.23 Therefore, OCWGA’s manner in another agreement. The period for effectiveness); and (c) slot concern that port calls cannot presently Commission’s ability to assess an charter arrangements (be fully exempt be changed on an emergency or ‘‘as- agreement’s potential impact on from filing). The Commission has the needed’’ basis without filing a competition would be severely impaired authority and discretion to grant modification of the agreement (entailing if the relationship between facially exemptions from all requirements, or to a 45-day waiting period) appears to be ‘‘non-restrictive’’ agreements and other grant exemptions limited to one or more unfounded. Because the Commission’s agreements which contain market or of the specific filing, notice, and waiting regulations currently provide that an capacity restrictions were not revealed. requirements of the Shipping Act and agreement’s scope may be defined in The Commission therefore declines to its regulations, consistent with the terms of port ranges, such a situation adopt such an interpretation. policies of Congress.26 46 U.S.C. app. would only arise if the agreement were Fourth, the OCWGA recommends that § 1715. The Commission proposes one so specifically drafted as to contain each the Commission allow agreements to new exemption and several changes to individual port. We agree that if within implement ‘‘operational’’ agreements existing exemptions, as discussed a port range, any changes would contemplated in, and pursuant to, below. generally be acceptable with no need for authority within filed agreements i. Low Market Share Exemption and further filing. We note OCWGA’s without further filing. We note that Definition of Capacity Rationalization assertion that the public generally is NITL expresses no objections to (proposed §§ 535.311, 535.104(e)) apprised of changes to port calls by the permissive authority in agreements for carriers themselves. While the ‘‘purely operational matters which are The Shipping Act’s general scheme is Commission is sensitive to ILA’s not likely to have impact on to enable filers to obtain immunity from concern that allowing an agreement’s competition.’’ The proposed language prosecution for commercial collaborations that might otherwise be specific port calls to be changed on an attempts to address these concerns, violative of the antitrust laws, in return ad hoc basis may hamper its ability to without creating an exemption so broad for oversight of these collaborations by anticipate where the cargo which its as to render other provisions of the the Commission. 46 U.S.C. app. § 1706. membership is entitled to handle will regulations meaningless, by an 24 If not filed with the Commission, in arrive or depart, we believe that the exemption for terms and conditions of addition to being a violation of the current approach, reflected explicitly in space allocation and slot sales, the Shipping Act itself, collaborations the proposed exemption, is an adequate establishment of space charter rates, and restraining competition are otherwise accommodation to the legitimate terms and conditions of charter parties, subject to the antitrust laws and the commercial needs of parties to if contemplated by a filed agreement. scrutiny of the agencies which agreements. While we see nothing contradictory Third, OCWGA suggests that the administer those laws. between the Commission’s current rules Commission allow ‘‘permissive The Commission believes that requiring true, complete, and detailed authority’’ to ensure flexibility as to exemption from the Shipping Act’s agreements to be filed and those how agreement parties would operate waiting period requirement of certain providing exemptions from filing vis-a-vis another filed agreement. This types of agreements that fall under a certain agreements, the comments appears to run afoul of NITL’s concern market share threshold (or ‘‘safety indicate that this position should be that the public will not have adequate zone’’) may fall within the criteria of clarified. The Commission, therefore, section 16 and be a reasonable way to proposes to revise sections 535.407(b) 22 Section 535.403(b) requires, in pertinent part, meet the purposes of the Shipping Act that the parties ‘‘[s]tate the ports or port ranges to and sections 535.407(c). New section by reducing the regulatory burdens on which the agreement applies and any inland points 535.408 provides that an agreement the industry. This approach also or areas to which it also applies with respect to the reached pursuant to general authority in collective activities contemplated and authorized in appears consistent with current the agreement.’’ a filed agreement is not considered part 23 The Commission is apprised of parties’ past of the filed agreement unless it provides (exempt from notice and waiting requirements); service levels and initial changes resulting from an for one or more of the ‘‘technical or husbanding agreements (fully exempt from filing agreement through the concurrently-filed operational matters’’ specifically listed requirements); agency agreements (limited Information Form. 46 CFR part 535 App. A or is otherwise exempt from filing under exemption from filing requirements); equipment (Information Form, parts V, VI, and VIII). interchange agreements (fully exempt from filing Thereafter, changes to the port calls which expand the rules. requirements); non-exclusive transshipment the overall geographic scope of the agreement must agreements (limited exemption from filing be indicated by the filing of a modification and in c. Exemptions requirements); marine terminal agreements (exempt some cases an accompanying Information Form. 46 Subpart C of part 535 of the from waiting requirements); agreements between or CFR 535.503(b). The Commission does not require among wholly-owned subsidiaries and/or their such a filing for changes to port calls which Commission’s current rules contains parent (fully exempt from filing requirements); effectively reduce the scope of an agreement. exemptions (either partial or full) from miscellaneous modifications to agreements (if filed 24 It appears that ILA may have confused the filing requirements of the Shipping for informational purposes, exempt from notice and Shipping Act agreements (a term of art in Shipping waiting); marine terminal service agreements Act for several types of agreements and (limited exemption from filing and waiting Act context) with ‘‘agreements’’ used as a general 25 term, and that their comments may more modifications to agreements. The requirements, but no antitrust immunity unless the appropriately address issues which arise in a agreement is filed); and marine terminal facilities ‘‘service contract’’ context. It is unclear to which 25 The Commission’s current regulations contain agreements (exempt from filing and waiting ‘‘electronic systems’’ ILA’s comments refer— various exemptions for the following types of requirements). 46 CFR 535.302–311. perhaps it is to the carriers’ electronic container agreements: non-substantive agreements and non- 26 S. Rep. No. 61, 105th Cong., 1st Sess. 30 (1997) tracking systems or to electronic tariff publications. substantive modifications to existing agreements (‘‘Senate Report’’).
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practices by other regulatory entities space on a per vessel basis is non-substantive initial agreements and charged with oversight of commercial contemplated. See, 46 CFR 535.104(e). enumerate the ‘‘non-substantive’’ and agreements affecting competition.27 However, sailing or space charter ‘‘miscellaneous’’ modifications that are Appropriately exempted agreements agreements, especially those with exempt from filing. would appear to include those which: exclusivity clauses, such as vessel The Commission proposes to remove (1) have neither pricing nor capacity or sharing arrangements or alliances, may the current exemption for trade lane allocation authority; and (2) also be properly considered agreements ‘‘miscellaneous modifications’’ for have less than 20% combined market which manage or restrict the amount or changes to parties to a discussion share in the relevant trade lane and all use of productive capacity. Therefore, agreement contained in present section sub-trades, or 15%, if operating within the Commission proposes to revise 535.309(a)(2)(i). Such additions in a rate agreement. This exemption might section 535.104(e) to utilize the term members to a discussion agreement may cover, for example, non-exclusive two- ‘‘capacity rationalization’’ rather than alter the potential competitive impact of party vessel sharing agreements and the term ‘‘capacity management the discussion agreement. On the other slot/space charters and other types of agreement,’’ in order to distinguish hand, the Commission believes that it is collaborative agreements in which the between those agreements reflecting appropriate to continue the current parties’ combined market share falls simple operational arrangements and exemption from the 45-day waiting below the 20% level. A definition of those which actively impose restrictions period otherwise required by the ‘‘sub-trade’’ consistent with the on capacity, thereby raising section 6(g) Shipping Act for conferences, which are definition in the appendix to the concerns for effects on price and required to be open to all carriers Monitoring Report has been added to service, and to promote consistency serving the conference trade. Therefore, the Commission’s regulations at with other Commission regulations. the Commission is proposing a revision § 535.104(hh). Agreements with capacity to former 535.309(a)(2)(i) to indicate this The types of agreements outlined rationalization authority would include, change. above would appear to meet the criteria for example, agreements in which the In addition to the specific exemption under which the Commission has the parties restrict their ability to provide changes discussed above, the authority to grant exemptions from transportation in the Trade on vessels Commission is also proposing to change requirements of the Shipping Act. The other than those utilized by the its current policy regarding publication Commission has discretion to grant such agreement or to enter into services that of notice in the Federal Register of exemptions only if doing so (1) will not are alternate to/or in competition with agreement filings that are otherwise result in substantial reduction in the services provided under the exempt from the requirements of this competition or (2) be detrimental to agreement, without the prior consent of part. At present, the Commission does commerce. 46 U.S.C. app. § 1715. the agreement members. not publish notice of optionally-filed Agreements within the safety zone agreements and modifications, or ii. Revision of the Present Exemptions exemption would appear to cause agreements and modifications exempted for Non-substantive Agreements and neither a substantial reduction in from the 45-day waiting period. Amendments, Miscellaneous competition nor otherwise be However, the Commission recognizes Modifications (proposed § 535.302), and detrimental to commerce.28 The that public notice is the most effective Public Notice of Filings (proposed Commission, therefore, proposes new way for the public to know what § 535.602) section 535.311 providing for an agreements and modifications to exemption from the 45-day waiting As another effort to address the agreements are being filed. The period for agreements meeting the commenters’ concern about the need for Commission believes it is important for above-discussed criteria. flexibility, the Commission proposes to the public to know, for example, In connection with this proposed new retain and clarify its existing whether a carrier joins a conference exemption, the Commission also exemptions for certain types of agreement or resigns from one, or proposes to introduce a new term, modifications to agreements that may go whether certain marine terminal ‘‘capacity rationalization,’’ to describe into effect upon filing, or be filed for operators have leases. To that end, the one of the authorities that would informational purposes only: namely, Commission is proposing to revise prevent an agreement from qualifying ‘‘non-substantive’’ modifications (46 § 535.602 to indicate that a notice will for this low market share exemption. CFR 535.302) and ‘‘miscellaneous’’ be published in the Federal Register of The Commission’s rules currently modifications (46 CFR 535.309). each new agreement and agreement utilize the term ‘‘capacity management We believe that the current ‘‘non- modification, including those agreement,’’ which is defined very substantive’’ exemption is unnecessarily agreements that are exempt from the 45- narrowly: only ‘‘artificial’’ reduction of broader than the pre-1984 exemption for day waiting period and those that are modifications which it was intended to optionally filed under the various 27 The Antitrust Guidelines for Collaborations continue, but which contained no exemptions in subpart C. among Competitors, (‘‘Guidelines’’) issued by the category for ‘‘non-substantive’’ initial FTC and DOJ in April 2000, provides a ‘‘safety agreements. The Commission believes iii. Transshipment Agreements zone’’ for ‘‘situations in which anticompetitive that the scope of this exemption is (proposed §§ 535.104(jj) and 535.306(a)) effects are so unlikely that [FTC and DOJ] presume the arrangements to be lawful without inquiring unclear and thus should be revised. In The proposed rule changes for into particular circumstances.’’ Guidelines at addition, the Commission has transshipment agreements are intended section 4. To qualify for this exemption the parties determined to eliminate the practice of to clarify the Commission’s view of to commercial collaborations must meet established determining on an ad hoc basis through what constitutes a transshipment market share thresholds as well as meet other enumerated conditions. The European delegated authority whether an agreement but not remove the filing Commission’s Competition Directorate has adopted amendment to an agreement is ‘‘non- exemption for nonexclusive a similar ‘‘safety zone’’ approach for international substantive.’’ 46 CFR 535.302(c). transshipment agreements. The ocean carrier collaborations which do not involve Therefore, the Commission proposes to Commission has traditionally viewed price-fixing of freight rates and fall below a certain market share threshold. combine some of the language of section transshipment agreements as 28 We estimate 87 presently effective agreements 535.309 with that of a revised section agreements under which two ocean would have qualified for this exemption. 535.302 to eliminate the exemption for common carriers that both operate
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vessels provide a through service Section 535.306(b) and (c),29 the filing The Commission’s current regulation between the United States and a foreign exemption has resulted in reduced at 46 CFR 535.608(a) states, port. However, the Commission also transparency for transshipment (a) Except for an agreement filed under recognizes that the ocean transportation arrangements. As a result, the shipping section 5 of the Act, all information industry has substantially evolved since public may lack a clear understanding submitted to the Commission by the filing the Commission’s current agreement of how the through transportation is party will be exempt from disclosure under rules were drafted. One notable change being provided. To address the issue of 5 U.S.C. 552. Included in this disclosure is the increased use of vessel sharing or transparency that arises when an ocean exemption is information provided in the common carrier does not use its own Information Form, voluntary submission of space charter agreements by ocean additional information, reasons for non- common carriers to replace or augment vessels in the through transportation as compliance, and replies to requests for their direct services. This change may well as to clarify the Commission’s view additional information. of what constitutes a transshipment have led to the development of what the Section 6 (j) of the Shipping Act agreement, the Commission is proposing Commission considers to be should be read harmoniously with the the addition of new language to the nontraditional transshipment notice provision of section 6(a), which definition of a transshipment agreement. arrangements, such as those in which a states that ‘‘[w]ithin 7 days after an publishing carrier provides a The added language would clearly set agreement is filed, the Commission shall transshipment service solely by taking forth the Commission’s position that an transmit a notice of its filing to the space on vessels operated by other ocean common carrier offering a Federal Register for publication.’’ 46 ocean common carriers. In an effort to transshipment service must either U.S.C. app. § 1705(a). In this regard, provide a regulatory environment that operate a vessel involved in the through current Commission regulations further promotes commercial flexibility and the movement or have a filed and effective define what the notice of filing must resulting economic efficiencies for the space charter agreement to cover the contain, reflecting a long-held carriers involved and the shipping portion of its service between the understanding that the Commission public, the Commission is amending its United States and the port of should make the complete agreement as definition of transshipment agreement transshipment. The Commission filed available to the public. 46 CFR to clarify that such arrangements believes that it is consistent with the 535.602(b)(5). The current regulation is between two ocean common carriers provisions of the Shipping Act relating nearly identical to that originally may be considered to be a to agreements (46 U.S.C. app. §§ 1703, adopted under the Shipping Act, 1916. transshipment agreement subject to the 1704) to require an ocean common 46 CFR 572.6(1997); 46 CFR 522.6; Shipping Act if the publishing carrier carrier offering a transshipment service General Order 24 (1968). operates its own vessel in the through pursuant to a transshipment agreement The Commission has long interpreted movement or provides service on its leg to operate at least one vessel involved the Shipping Act to require the public of the through service in accordance in the through movement. Nevertheless, availability of the complete filed with a filed and effective space charter in recognition that many ocean common agreement, and to protect from Freedom agreement. carriers in U.S. trades now depend on of Information Act (‘‘FOIA’’) disclosure space charter agreements, in addition to only information supplementing the The Commission acknowledged that their own vessels, to provide their agreement. The Commission has never there is some overlap between services, the Commission is including provided by rule for the protection of transshipment agreements and space such arrangements in the revised information contained in a filed charter agreements in promulgating the definition of a transshipment agreement. agreement and no objection has ever final rules implementing the Shipping In both instances, the goal of been filed to the disclosure of such Act, by stating that ‘‘a transshipment transparency would be achieved. information. Most of the commenters agreement is a type of space charter.’’ 49 appear to assume that the only means of FR 45324 (November 15, 1984). This 3. Confidentiality of Sensitive protecting sensitive information observation remains accurate in today’s Commercial Information in Filed contained in agreements is through marketplace. Just as a space charter Agreements filing exemptions. agreement permits an ocean common The Commission has determined not Although no other statute precisely carrier to offer service in a trade without to re-examine its interpretation of mirrors the Shipping Act procedures, having to introduce its own vessels, a section 6(j) of the Shipping Act at this especially as to the public’s role in transshipment agreement permits a time. That provision reads, agreement review and their generally carrier to offer a service that it would (j) Nondisclosure of Submitted automatic effectiveness, we recognize not otherwise be able to provide unless Material. that some agencies responsible for it operated vessels on both legs of the filings similar to agreements under the transshipment. The publishing carrier Except for an agreement filed under section 5 of this Act, information and Shipping Act provide for pays the connecting carrier for space on confidentiality.30 While it may be the connecting carrier’s vessel, just as a documentary material filed with the space charterer pays for the space that Commission under section 5 or 6 is exempt from disclosure under section 30 See, e.g., DOT (14 CFR 302.39(b)), STB (49 CFR it uses on another ocean common 1001.4) and SEC (17 CFR 230.406). It is unclear carrier’s vessel. Inevitably, therefore, a 552 of title 5, United States Code [FOIA] what effect Executive Order 12,600 of June 23, transshipment agreement includes space and may not be made public except as 1987, may have on the Commission’s ability to chartering. may be relevant to an administrative or protect sensitive commercial information in filed judicial action or proceeding. agreements. Section 2(b) of that order directs In 1984, the Commission exempted Federal agencies ‘‘to permit submitters of confidential commercial information to designate, nonexclusive transshipment agreements 29 Under Section 535.306, nonexclusive at the time the information is submitted to the from the filing requirements for policy transshipment agreements are exempt from the Federal government or a reasonable time thereafter, and practical considerations. Though filing requirement of the Shipping Act provided any information the disclosure of which the the publishing carrier provides certain that the publishing carrier publishes in its tariff the submitter claims could reasonably be expected to through rate, the routings, any additional charges, cause substantial competitive harm.’’ The information regarding the transshipment and the participating carriers. The publishing Commission’s rules provide for such protection arrangement in its tariff pursuant to carrier also issues the bill of lading. Continued
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arguable, therefore, whether the drafters direct authority to obtain any relevant Commission. Commenters are intended to preclude the Commission information from carriers. Pursuant to encouraged to review these proposals from protecting sensitive commercial section 15, the Commission may issue with this intent in mind, and to suggest information contained in the agreement an order to require any common carrier further refinements or feasible itself, it appears unnecessary for the ‘‘to file with it any periodical or special alternatives to the proposed terms and Commission to make any such report * * * appertaining to the definitions. determination now. As the Commission business of that common carrier.’’ 31 In general, the proposed is now proposing to exempt the The proposed rule replaces the modifications herein seek to ensure that information identified by the current regulations with regulations that the Commission receives the most commenters as potentially sensitive would require all carrier agreements meaningful and reliable agreement data commercial information, we see no need identified in § 535.201(a) and subject to to carry out its statutory responsibilities, to address this issue further at this time. the forty-five day waiting period to without placing an undue regulatory Therefore, the proposed rule contains submit an Information Form for the burden on carriers. In this regard, the no further proposals in this respect. Commission’s review upon filing with Commission has incorporated its However, commenters may wish to raise information and data on the agreement experience in administering the current this issue, as well as to identify any item and the authority in the agreement.32 Information Form and Monitoring of sensitive commercial information The proposed rule limits the application Report regulations. Changes in carrier which would be included in an of the Monitoring Report regulations to agreements that have occurred since agreement required to be filed that is not require reporting only from parties to OSRA became effective have resulted in within the terms listed in section agreements with certain authority. For the changes reflected in the proposed 535.408 or otherwise exempted. Such some authority, the Monitoring Report rule. The proposed modifications also comments should also address the issue regulations are further limited based on reduce, where possible, the reporting of the Commission’s authority to protect the parties’ market share. burden on the carriers. commercially sensitive information The reporting requirements for the contained in filed agreements. proposed Information Form and B. Background III. Information Forms and Monitoring Monitoring Report have been modified 1. The Current Regulations Reports, 46 CFR Part 535, Subparts E in relation to changes that have and G. occurred in carrier agreements. The Information Form regulations for Reporting requirements that are no carrier agreements were originally A. Introduction longer necessary have been eliminated. established under the Shipping Act in Currently, when a carrier agreement is New reporting requirements have been Docket Nos. 84–26 and 84–32 (final filed with the Commission, the added to obtain essential data, such as rule). Under this rule, depending on the Information Form regulations (subpart E vessel capacity, from agreements with agreement’s authority, the Information of part 535) require that certain historic authority that poses concerns under the Form required such data as market revenue and/or operational data be Shipping Act. New terms and share, cargo carriage, and/or planned furnished for each party to the definitions have also been provided in changes in port calls or services relating agreement. The Information Form must the instructions of the proposed to the agreement. The rule did not accompany the filed agreement. In Information Form and Monitoring prescribe standard periodic reporting addition, certain modifications filed as Report. These terms and definitions are requirements for carrier agreements after amendments that expand the geographic intended to provide carriers with clearer they become effective under the scope or authority of an existing instructions that should help to improve Shipping Act. agreement must also be accompanied by the accuracy and consistency of the The current Information Form and an Information Form at the time of agreement data reported to the Monitoring Report regulations were filing. Once an agreement goes into promulgated in Docket No. 94–31, effect under the Shipping Act, the 31 The Commission has consistently held the view Information Form And Post-Effective that the most reliable source of information on Monitoring Report regulations (subpart Reporting Requirements For Agreements G of part 535) require that ongoing carrier agreements is directly obtained from the parties to the agreement. In Docket No. 94–31, the Among Ocean Common Carriers Subject revenue and/or operational data on the Commission stressed ‘‘that information regarding To The Shipping Act of 1984, 61 FR parties’ activities under the agreement the operation and probable future impact of an 11564 (March 21, 1996). The be submitted to the Commission for as agreement ‘‘[a]lmost uniformly is in the hands of those seeking approval * * * and it is incumbent Information Form is used in the long as the agreement remains in effect. agreement review process to analyze the The jurisdiction to set rules requiring upon those in possession of such information to come forward with it.’’ Mediterranean Pools probable economic impact of filed carrier agreement information is Investigation 9 F.M.C. 264, 290 (1966).’’ See Dkt. agreements, or certain agreement conferred on the Commission by the No. 94–31, Information Form and Post-Effective modifications. Carrier agreements are Shipping Act. Section 5(a) states that Reporting Requirements for Agreements Among initially reviewed upon filing to assess ‘‘[t]he Commission may by regulation Ocean Common Carriers Subject to the Shipping Act of 1984, 61 FR 11564, 11565 (March 21, 1996). their compliance with the Shipping Act, prescribe the form and manner in which The Commission further emphasized this point by particularly with respect to section 6(g) an agreement shall be filed and the stating that ‘‘the 1984 Act removed the burden of and the prohibited acts in section 10. additional information and documents proof in agreement investigations from the carriers, Upon review, the Commission necessary to evaluate the agreement.’’ but did not alter the accuracy of the Commission’s 1996 observation in the Mediterranean Pools determines whether any action under Further, section 17(a) authorizes the Investigation that the primary source for the Shipping Act is necessary within the Commission to ‘‘prescribe rules and information on the operation of an agreement is the 45-day waiting period before an regulations as necessary to carry out’’ carriers that are the parties to the agreement.’’ Id.at agreement becomes effective. In the Shipping Act. Additionally, the page 11566. 32 ‘‘Low market share agreements’’ defined in addition, the data submitted in the Shipping Act gives the Commission the section 535.311 of the proposed rule would be Information Form provides historic (or exempted from the waiting period requirements, generally: for nondisclosure of filings generally, 46 and from the Information Form and Monitoring baseline) economic figures for analyzing CFR 502.119; and for third party comments on Report requirements unless otherwise instructed by changes that may occur after the agreements, 46 CFR 535.603. the Commission. agreement goes into effect.
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The Monitoring Report enables the also be filed in accordance with the percent or more in half or more of the Commission to track and analyze the reporting requirements specified in their sub-trades (section 535.702(a)(1)). ongoing economic effects of an appendix A of part 535 (section Class B agreements are identified as agreement after it becomes effective, and 535.503). These reporting requirements those agreements specified in section accordingly, determine whether any address the following topics relating to 535.502(a) that do not have market action under the Shipping Act may be the parties activities in the agreement shares of 50 percent or more in half or necessary. Monitoring Reports also are trade: other agreement participation, more of their sub-trades (section used to assess the probable economic identification of agreement authority, 535.702(a)(2)). To account for changes effects of modifications filed. market share for all liner operators, total in market share that may alter an Monitoring Reports further help the average revenue, cargo volume and agreement’s classification, the Commission to stay informed of revenue results for major commodities, regulations direct BTA to classify all agreement activity in the U.S. trades, and port service. Much of this data must Class A and B agreements annually and to address agreement issues that be specified for each sub-trade within based on their second quarter market might arise in connection with the geographic scope of the agreement. share data (section 535.702(b)). Class C investigations, complaints, inquiries, or The regulations define sub-trade to agreements are also required to file petitions for Commission action against mean all liner movements between each quarterly Monitoring Reports and are an agreement. U.S. port range and each foreign country identified as those agreements specified The Commission’s current regulations within the scope of the agreement. The in section 535.502(b) (section require some level of revenue and/or U.S. port ranges are specified separately 535.702(c)). operational data from almost all carrier for the Atlantic, Gulf, and Pacific coasts. Class A agreements file the most agreements subject to the Shipping Act. Information Forms for Class C Monitoring Report data in line with the The degree of required data is agreements require much less data. same sub-trade specificity required for determined by the agreement’s Class C agreements contain various the Information Form, as instructed in classification. The current regulations forms of operational authority, and are appendix C of part 535 (section classify agreements into three identified in section 535.502(b) as 535.703). The amount of Monitoring categories: Class A, Class B, and Class sailing agreements and space charter Report data and sub-trade specificity is C. Upon a showing of good cause by an agreements.35 In its NPRM in Docket reduced for Class B agreements, as agreement, the Commission may waive No. 94–31, the Commission noted that instructed in appendix D to part 535 any of the reporting requirements ‘‘[a]lthough such agreements have rarely (section 535.704). Class C agreements pursuant to sections 535.505 and presented serious regulatory concerns, only report on changes in the parties’ 535.709.33 Carrier agreements that fall some oversight is necessitated by other agreement participation and port outside of the classifications set in the section 6(g)’s admonition against service in the agreement trade, as current regulations are not obligated to agreements that cause unreasonable instructed in appendix E to part 535 submit the specified agreement reductions in service.’’ Id. at 62378. (section 535.705). As of August 2003, information, unless otherwise instructed Thus, Class C agreements are only there were 29 Class A agreements, 51 by the Commission.34 required to submit data on the parties’ Class B agreements, and 133 Class C For the Information Form, Class A other agreement participation and port agreements, for a total of 213 classified and B agreements are grouped together service within the agreement trade, in agreements on file with the as ‘‘Class A/B,’’ and are identified in accordance with the reporting Commission.37 section 535.502(a) as: rate agreements, requirements specified in appendix B of Since the current regulations became joint service agreements, pooling part 535 (section 535.504). effective in 1996, carriers have agreements, agreements authorizing For Monitoring Reports, however, the continued to raise issues specifically discussion or exchange of data on current regulations distinguish between regarding the Monitoring Report vessel-operating costs, and agreements Class A and B agreements.36 Class A requirements. The Ocean Carrier authorizing regulation or discussion of agreements are identified as those Working Group Agreement commented service contracts. Class A/B agreements agreements specified in section on the Monitoring Report requirements contain forms of pricing or pooling 535.502(a) with market shares of 50 in Docket No. 98–26, 64 FR at 11240; authority that can have a significant Docket No. 01–01, The Impact Of The impact on competition. The 35 The Class C category does not include Ocean Shipping Reform Act Of 1998; Commission thoroughly addressed its agreements authorizing capacity management or Notice of Issuance of Notice of Inquiry, concerns with the agreement authorities regulation as currently defined in section 66 FR 7764 (January 25, 2001); and the 535.104(e). Such authority was intentionally not included in the Class A/B category and included in section 535.502. At the time of the Commission’s Notice of Request for the potential effects of each of these Commission’s rulemaking, agreements with Public Comments Regarding Extensions authorities on competition in its Notice capacity management or regulation programs also to Existing OMB Clearances, 67 FR of Proposed Rulemaking (‘‘NPRM’’)in contained rate authority, and therefore, 10407 (March 7, 2002). automatically fell within the regulations. In sum, carriers have generally voiced Docket No. 94–31. See Dkt. No. 94–31, Subsequently, the authority for capacity 59 FR 62372, 62375–62376 (December 5, management was withdrawn from agreements or concerns about the burden involved in 1994). held in abeyance. Presently, no agreements engage preparing the quarterly sub-trade data When a Class A/B agreement is filed in capacity management programs as currently for the Monitoring Reports for Class A for review, an Information Form must identified in section 535.104(e). agreements. To ease this burden, 36 Under section 535.702(b), the classification of an agreement as Class A or Class B for purposes of carriers have repeatedly requested that 33 The Commission’s authority to grant or deny its Monitoring Report obligations is initially based the level of Monitoring Report data for waiver applications is delegated to the Director of on the market share data reported on the Class A agreements be reduced to the the BTA in subpart C of part 501. agreement’s Information Form pursuant to section lesser level required for Class B 34 Such agreements currently include 535.503, or on similar data otherwise obtained. housekeeping agreements, equipment management Thereafter, before the beginning of each calendar agreements. In support of this request, agreements, portal agreements, credit policy year, the agreement is classified as Class A or Class agreements, non-compete agreements associated B for that year, based on the market share data 37 At the same time, there were 24 agreements on with acquisitions, and general discussion reported on the agreement’s quarterly monitoring file with the Commission that were not subject to agreements. report for the previous second quarter (April-June). the reporting requirements.
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carriers have argued that market Liner cargo in today’s trades is supplied in a trade, but also imposes changes since OSRA have rendered the predominantly shipped under restrictions on the parties’ ability to level of Monitoring Report data for Class individual service contracts with freely participate in other service A agreements unnecessary. In Docket independently-negotiated freight rates arrangements and/or independently No. 98–26, the Commission dismissed and terms. While cargo carriage under a operate competing services within the the carriers’ request noting that ‘‘[a]ny common conference tariff has geographic scope of the agreement. modifications in the current agreement diminished, discussion agreements and Some carriers use this concerted monitoring program based on changed the concerted activities of their parties authority to form complex and highly market conditions will be considered continue to pose significant integrated alliance arrangements where only after an opportunity to evaluate the anticompetitive and statutory concerns the parties fix and allocate their competitive effects of OSRA’s regulatory under the Shipping Act. collective vessel capacity on a global changes.’’ See Dkt. No. 98–26, 64 FR at Although compliance is voluntary, scale. Many of these alliances enter into 11240. discussion agreements contain space chartering agreements as a group considerable, broad authority over rate, with other carriers or groups of carriers. 2. Changes in Carrier Agreements Since service contract, and service matters Carriers assert that operational OSRA spanning large geographic areas in the agreements, even those with capacity The legislative reforms introduced by U.S. trades. Further, many discussion rationalization authority, produce cost OSRA have considerably altered the agreements include most of the major and service benefits for the shipping ocean shipping industry in the U.S. carriers operating within their public. Carriers may use their concerted trades. OSRA has encouraged carriers to respective geographic scopes. Thus, authority to better align the supply of operate more independently in response discussion agreements generally have vessel space with the demand for vessel to competitive market forces. While high market shares which contribute space in specific trade lanes. In trade these changes have improved toward their ability to affect freight rates lanes burdened with high excess competition, carriers are still very and competitive conditions. For capacity, the coordination of vessel committed to cooperating in agreements example, each of the agreement market space between carriers can achieve and actively using their agreement shares for the Transpacific Stabilization efficiencies by lowering operational authority to pursue and achieve their Agreement (‘‘TSA’’) and the Westbound costs while still preserving, or even collective objectives. Thus, under Transpacific Stabilization Agreement enhancing, the level and frequency of OSRA, carrier agreements still can exert (‘‘WTSA’’) in the U.S./Asia trades ocean liner services. Alternatively, a a powerful collective influence over exceeds 70 percent. concerted reduction in vessel capacity competition in the U.S. trades. The OSRA prohibited any mandatory and the restrictions imposed by capacity Commission’s need for reliable and restrictions on individual service rationalization authority can result in a specific information to evaluate and contracts, but it allowed agreements to shortage of vessel space in a trade causing unreasonable service decreases monitor carrier agreements remains. adopt voluntary service contract guidelines applicable to their parties’ and/or unreasonable rate increases in Under OSRA, a clear pattern in carrier individual contracts. On a voluntary violation of section 6(g). Even if a agreement activity has emerged in most basis, carriers may collectively set and shortage does not occur, a concerted of the U.S. trades. Collective pricing by adhere to rates and terms for their reduction in vessel capacity decreases carriers under conference agreements individual service contracts. Thus, the amount of market pressure placed has declined in favor of voluntary rate while agreement carriers are pricing on carriers competing to fill excess authority under discussion vessel space. This reduction in 38 more independently under OSRA, they agreements. In addition, carriers are still have the power to exert their competition may be significant enough cooperating more in operational collective influence over contract rates to enable carriers to increase or arrangements which can affect rate and and terms. maintain rates more easily by service levels in the trades, particularly The extent to which voluntary discouraging rate discounting. in agreements with capacity authority and adherence are effective These concerns are compounded 39 rationalization authority. under discussion agreements likely where carrier agreements contain both depends on the prevailing and rate and capacity rationalization 38 The preference for voluntary rate discussion authority. Even if these authorities are agreements between carriers has evolved in most of anticipated economic conditions in the the major U.S. trades, except for those trades that respective agreement trades. Such not in the same agreement, many include member nations of the European Union conditions, however, are difficult to carriers participate in large rate (‘‘EU’’), where the conference system has remained discern and even harder to anticipate discussion agreements that cover broad in place. Conference agreements between ocean trade areas and also participate in common carriers are specifically exempted from the without reliable agreement and trade competition laws of the EU, and the European information. separate agreements with capacity Commission (‘‘EC’’) opposes other forms of Carriers are also relying more heavily rationalization authority in the same collective pricing outside of formal conference on operational agreements to control the trade areas. These authorities are agreements. The effects of conferences, however, supply of excess vessel capacity. These interrelated and complementary. have been mitigated under OSRA because most Carriers may discuss and agree on their conference carriers heavily engage in individual agreements allow carriers to rationalize service contracts to stay competitive in the trades. services and remove excess vessel overall rate and service objectives under The EC further restricts conference carriers from capacity through vessel-sharing, space the broad authority of their discussion adopting voluntary service contract guidelines and or slot chartering, sailing, and/or service agreements, and implement and fix their disclosing information relating to service contracts service and capacity levels within the negotiated outside the conference system. arrangements. Operational agreements Nonetheless, conferences still represent the main with capacity rationalization authority same trade using their capacity rate agreements in the U.S./Europe trades, and raise particular concerns under section rationalization authority contained in require close monitoring. 6(g). This concerted authority not only separate agreements. Likewise, carriers 39 The Commission’s proposed rule defines may collectively fix the supply of vessel capacity rationalization as the concerted reduction, affects the amount of vessel capacity stabilization, withholding, or other limitation in capacity in a trade, through their any manner whatsoever by ocean common carriers offered collectively or individually to shippers in capacity rationalization authority on the size or number of vessels or available space any trade or service. contained in separate agreements, to
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augment the overall rate objectives arrangements, and the more complex the agreement or agreement agreed upon in their discussion and anticompetitive operational modification that is to be filed with the agreements. Thus, in addition to market agreements with capacity rationalization Commission. conditions, the structure of authority that include global alliance 2. Information Form complementary authority in agreements arrangements. within trades further helps carriers Section 535.503(b) of the proposed The proposed rule changes the format achieve their collective objectives, rule addresses these concerns by of the Information Form. Section depending on how well they can assigning specific reporting 535.503(a) of the proposed rule replaces coordinate and maintain these efforts. requirements to specific authorities the current Information Forms for Class While the use of conferences has contained in agreements. While no rule A/B and Class C agreements with one subsided under OSRA, the benefits can cover all circumstances, the form in appendix A of part 535. The carriers enjoy as a result of their ability Commission believes that this approach form is divided into sections I through to participate in antitrust-exempted would more directly address the V. Section 535.503(b) of the proposed agreements under the Shipping Act has elements of concern within the rule would require that agreement clearly not diminished. The agreement, i.e., the parties’ authority parties complete each section of the developments in carrier agreements and the concerted activities they may Information Form applicable to the under OSRA reinforce the need for the pursue with such authority. Further, the agreement and the authority contained Commission to obtain firsthand proposed rule would replace the current in the agreement. Sections I and V information directly from the carriers agreement classification procedures would apply to all carrier agreements involved in agreements. with simpler regulations and clearer subject to the Information Form instructions. requirements.41 Sections II, III and IV C. The Proposed Rule Section 535.502(b) of the proposed would apply based on the authority To account for the changes that have rule would require an Information Form contained in the agreement. The occurred in carrier agreements since when a modification to an existing Information Form would be made OSRA, and considering the views of agreement is filed that adds the available in electronic format using carriers, the Commission proposes the authority to discuss or agree on capacity Microsoft Office 2000 (Word and Excel) following modifications to the rationalization, or pricing or pooling that could be downloaded from the Information Form and Monitoring authority.40 Further, a modification that Commission’s home page. Parties may Report regulations and requirements. expands the geographic scope of such complete and submit their Information 1. Information Form Regulations authority within an existing agreement Form in paper format, or in electronic would also require an Information Form format on diskette or CD–ROM. This The proposed rule no longer identifies under section 535.502(c) of the procedure will remain available until carrier agreements by specific classes for proposed rule. Aside from adding the the Commission develops and the purpose of assigning reporting Information Form requirement for implements an electronic filing system requirements. Instead, section agreements containing capacity for such documents. 535.502(a) of the proposed rule would rationalization authority, the proposed a. Section I require that all carrier agreements rule is not likely to increase the number identified in section 535.201(a), except of agreement modifications which As noted, section I of the proposed for low market share agreements would be subject to Information Form Information Form would be required identified in section 535.311, submit an requirements. The proposed rule refers from all carrier agreements subject to Information Form when the agreement to agreement modifications by listing the Information Form requirements. is filed with the Commission. the actual authorities in place of the Section I would require basic Agreements with certain authorities that current agreement class labels. When information on the following topics: the have significant potential to affect authority is added or expanded, the name of the agreement, narrative competition would be required to competitive impact of the existing statements on the purpose and submit Information Form data agreement is altered, and must be re- commercial circumstances relating to pertaining to the specific authority examined with a new Information Form. the agreement, a list of the parties’ other contained in the agreement. Section 535.504 of the proposed rule agreement participation within the The current agreement classification provides waiver procedures whereby geographic scope of the filed agreement, regulations in section 535.502 provide carriers may request relief from any of and the identification of the authority procedures for assigning specific the Information Form requirements. and provisions contained in the reporting requirements to specific types Additional information, however, agreement. of agreements. Agreements filed at the would be required for the Commission’s Section I requires carriers to supply Commission, however, have evolved review of waiver requests. Applications relevant agreement information to the since the current classification for waiver of the Information Form Commission at the start of the review regulations were implemented, requirements would have to provide process. This information would be especially under OSRA. Now, multiple data and information in support of the used in the initial review and analysis or complex forms of authority may be requested relief along with details on of an agreement, and would help to contained in a single agreement that avoid formal requests for additional might not neatly fall under one specific 40 For ease of reference, the term ‘‘pricing or information which delay the effective agreement type or class. Further, the pooling authority’’ is used herein to identify date of the agreement. The Commission reporting requirements assigned to a agreements containing any of the following does not believe that section I would authorities: (a) The discussion of, or agreement impose any undue burden on carriers particular type or class of agreement upon, whether on a binding basis under a common may not adequately address the full tariff or a non-binding basis, any kind of rate or because most agreements that fall under authority of the agreement. For instance, charge; (b) the establishment of a joint service; (c) the current reporting requirements for the pooling or division of cargoes, earnings, or 41 Low market share agreements identified in revenues and/or losses; (d) the discussion or section 535.311 of the proposed rule would be Class C agreements do not distinguish exchange of data on vessel-operating costs; and/or exempted from all Information Form and between simple operational agreements, (e) the discussion of service contract matters. These Monitoring Report requirements unless otherwise such as vessel space charter authorities are listed in the proposed rule. specifically instructed by the Commission.
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the current regulations provide some authority including vessel space charter with capacity rationalization authority degree of this information already. and sailing or service rationalization that do not contain pricing or pooling Carrier agreement filings that fall arrangements. Such authority, however, authority are Class C agreements. As outside of the current classification would not include the establishment of such, the only operational data required regulations would also be required to a joint service, or capacity from these agreements when filed provide this information. However, the rationalization authority. The proposed relates to the parties’ port services. As number of such filings is very limited. Information Form retains the discussed above, however, capacity Further, the Commission believes that requirement that parties with rationalization authority not only allows this information is readily available to operational authority provide data on the parties to fix the levels of capacity carriers and would not require any their vessel calls at ports, along with a and service as to which they will costly or extensive preparation that narrative statement of any changes in cooperate in a trade, it also restricts any could affect or delay the filing of an port service that are anticipated or other collective and individual agreement. planned to occur when the agreement operations of the parties within the The requirements for narrative goes into effect. For clarification, agreement trade. In reviewing these statements on the purpose and however, this requirement would be agreements under section 6(g), the commercial circumstances of the modified to limit the information Commission is concerned about the agreement are new. These statements required to vessel calls directly related likely impact of capacity rationalization are not intended to elicit a justification to the parties’ liner services covered by authority on both service and rate levels of the agreement. They would simply the agreement, rather than any or all in a trade. To determine this impact, the provide the Commission with a clearer vessel calls within the agreement trade. Commission has found it necessary in understanding of the parties’ collective Similarly, changes in port service would the past to request vessel capacity and objectives under the agreement in be modified to mean anticipated or capacity utilization information from relation to their services within the planned changes that the parties would parties to such agreements during the agreement trade. It may be that the implement under the agreement after it review process. parties formed an agreement to start a goes into effect, rather than any change The proposed Information Form new liner service to expand into a new in port service within the agreement would require this necessary trade area. Such information would be trade. These modifications would refine information when the agreement is first relevant to the Commission’s review of the parties’ data so that the actual filed. The Commission does not believe the agreement, but might not be readily impact of the agreement could be that these additional reporting apparent by the terms of the agreement analyzed with greater accuracy. without seeking additional information requirements would impose any undue from the parties. c. Section III burden because the parties readily have The proposed Information Form Section III of the proposed this information when entering into retains the existing requirement for a list Information Form would apply to such agreements. of the parties’ other agreements. The carrier agreements with the authority to d. Section IV term ‘‘other agreements’’ refers to all discuss or agree on capacity other carrier agreements within the rationalization. Section III distinguishes Section IV of the proposed geographic scope of the filed agreement the more complex operational Information Form would apply to in which the parties to the filed agreements with capacity rationalization carrier agreements with pricing or agreement are participants. It remains authority from the simpler operational pooling authority. Section 535.503(b)(4) important for the Commission to authorities identified in section II above. of the proposed rule identifies the understand the parties’ full authority As such, new reporting requirements particular authorities contained in within the context of all their have been added. To enable the agreements which causes them to be agreements in a given trade. Given the Commission to properly analyze these subject to reporting information and brevity of the review period established agreements, parties with capacity data under section IV of the Information by section 6 of the Shipping Act, it is rationalization authority would be Form. These authorities are: (a) The necessary that the parties supply this required to provide, for a calendar discussion of, or agreement upon, information at the outset. quarter period, data on their vessel whether on a binding basis under a The proposed Information Form capacity and percentage of vessel common tariff or a non-binding basis, continues to require that the parties capacity utilization for their liner any kind of rate or charge; (b) the identify the specific authorities services that would be covered by the establishment of a joint service; (c) the contained in the filed agreement. agreement. In order to secure accurate pooling or division of cargoes, earnings, Authorities identified in the Information and consistent data, definitions of vessel or revenues and/or losses; (d) the Form would now be expanded to capacity and capacity utilization are discussion or exchange of data on include authorities and provisions provided in the instructions of the vessel-operating costs; and/or (e) the relating to operational agreements and proposed Information Form. In addition, discussion of service contract matters.42 capacity rationalization. This parties with capacity rationalization Agreements with any of these modification reflects the increased authority would also be required to authorities would be required to submit importance and use of such authorities provide data on their vessel calls at data and information on the following by carriers. Further, in assigning ports for their liner services that would topics in section IV: market share, total reporting requirements based on the be covered by the agreement. Lastly, average revenue, cargo volume and parties’ authority, it is important that such parties would be required to revenue results for the top 10 the full authority of the agreement be identify and state any anticipated or agreement-wide commodities, vessel identified. planned changes in their vessel capacity capacity and capacity utilization, and and/or liner services (including ports) port service. b. Section II that would be implemented under the Section II of the proposed Information agreement after it goes into effect. 42 Carrier agreements with these authorities Form would apply to carrier agreements Under the current Information Form currently fall under the Class A/B category and are that contain simple operational regulations, operational agreements listed as types of agreements.
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i. Market Share on an agreement-wide basis, instead of analysis, the Commission also would The proposed Information Form a sub-trade basis, should be readily need to know whether the parties are retains the requirement for market share available to the parties and less planning to significantly alter their data showing all liner operators for the burdensome to report. Further, a vessel capacity levels after the entire geographic scope of the definition of revenue results is provided agreement goes into effect. Often, the in the instructions to improve the Commission has requested such agreement and in each sub-trade within accuracy and consistency of the parties’ information from parties to pricing or the scope of the agreement. The number commodity revenue data. To maintain a pooling agreements during the review of sub-trade reports, however, would be consistent commodity reporting process, and after such agreements have reduced by combining the separate U.S. standard, the requirement that become effective as concerns under Atlantic and Gulf port ranges into one commodities be identified at the 4-digit section 6(g) have arisen. The proposed U.S. port range. Liner services and level of customarily used commodity Information Form would provide the pricing at U.S. Atlantic and Gulf ports coding schedules remains. While some Commission with this necessary are very similar, which allows these parties may not use commodity coding information. As such, the Commission sub-trades to be combined. The different schedules to identify and track their would be better able to analyze both the service and pricing circumstances cargo and revenues, such discrepancies supply and demand conditions in the prevalent at U.S. Pacific ports dictate should be easier to resolve under the U.S. trades, and consequently, the that the Pacific be considered a separate reduced commodity reporting potential impact of pricing or pooling U.S. sub-trade. requirements proposed herein. agreements on freight rates. Carriers to such agreements are the best source of ii. Total Average Revenue iv. Vessel Capacity and Utilization accurate vessel capacity and capacity The proposed Information Form The proposed Information Form adds utilization information regarding their continues the current requirement that new reporting requirements for liner services. The Commission does not the parties report their total liner agreements with pricing or pooling believe that the addition of these revenues, total liner cargo carried, and authority. Parties to such agreements reporting requirements would impose average revenue within the geographic would be required to report, for a an undue burden since carriers already scope of the agreement. A definition of calendar quarter period, their vessel routinely track this information for their total liner revenues is provided in the capacity and percentage of vessel operations. instructions to improve the accuracy capacity utilization for their liner and consistency of the parties’ revenue services that would fall under the v. Port Service data. Without a clear definition, the agreement. Further, the parties would be The proposed Information Form parties could calculate their total liner required to identify and describe any retains the requirement that parties to revenues differently, which makes it significant changes in the amounts of pricing or pooling agreements provide difficult to conduct a proper analysis of vessel capacity for their liner services their vessel calls and describe any port the data. that are anticipated or planned to occur service changes that are anticipated or iii. Cargo Volume and Revenue Results when the agreement goes into effect. For planned to occur when the agreement for the Top 10 Agreement-Wide consistency and clarity, the Information goes into effect. As with similar Commodities Form instructions provide definitions of modifications, this requirement would vessel capacity, capacity utilization, and be clarified to limit the parties’ The proposed Information Form the term ‘‘significant changes in the reporting to only those vessel calls and retains, but significantly reduces, the amounts of vessel capacity.’’ port service changes relating to their reporting requirements for commodity Parties to rate discussion and liner services that would fall under the data. Currently, when a Class A/B conference agreements collectively set agreement, rather than any or all vessel agreement is filed, the parties must freight rates in relation to the supply calls and changes within the agreement report their cargo volume and revenue and demand conditions within trades. trade. results for each major commodity for Even if these agreements do not contain each sub-trade within the geographic operational authority, many rate e. Section V scope of the agreement. The discussion and conference agreements Section V would require that parties Commission first established these authorize the parties to exchange to all subject agreements identify reporting requirements to incorporate information and collectively discuss contact persons for the Information commodity specific data into its impact their vessel capacity, capacity Form and the agreement, and that the analysis of agreements with pricing or utilization, and service levels. These Information Form be certified and pooling authority. See Docket No. 94– agreements may regularly track and signed by a representative of the parties. 31, 59 FR at 62377. Commodity specific distribute this information to their data remains an important component carrier members. Further, as discussed, 3. Monitoring Report Regulations of the Commission’s impact analysis of the parties may augment the overall rate Subpart G of part 535 of the proposed such agreements. The Commission, objectives of their rate discussion or rule modifies the Monitoring Report however, believes that the amount of conference agreements by controlling regulations to mirror the proposed commodity data reported can be the supply of vessel capacity under their changes to the Information Form reduced without hindering its ability to separate operational agreements within regulations in subpart E of part 535. gauge the general impact of pricing or trades. Agreements subject to Monitoring pooling agreements. Therefore, the To analyze the likely impact of Reports are identified by the authority proposed Information Form would agreements with pricing or pooling contained in the agreement, rather than eliminate the sub-trade requirement, authority accurately, the Commission using the current agreement and instead, would require that parties must examine such authority in close classifications. Most notably, the to pricing or pooling agreements report connection with the amounts of vessel proposed rule reduces the number of their cargo volume and revenue results capacity supplied by the parties along agreements subject to Monitoring on only the top 10 agreement-wide with their corresponding capacity Reports and limits the application of the commodities. Commodity data reported utilization percentages. For a complete regulations.
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Currently, all Class A, B, and C interaction between firms in a market, The Commission recognizes that the agreements that are effective under the and/or create the incentive for merging Monitoring Report regulations must be Shipping Act are required to submit firms to alter their unilateral behavior flexible enough to provide for quarterly Monitoring Reports. Section by increasing prices and suppressing exceptional cases. These cases may 535.702(a) of the proposed rule would output, i.e., supply. The agencies occur when a pricing or pooling require Monitoring Reports from all conclude that: agreement with a market share below 35 agreements with the authority to discuss [w]here the merging firms have a combined percent constitutes the major rate or agree on capacity rationalization, and market share of at least thirty-five percent, agreement in a trade, or poses unique from agreements with pricing or pooling merged firms may find it profitable to raise anticompetitive or statutory concerns authority 43 where the parties to a price and reduce joint output below the sum that would require close monitoring. pricing or pooling agreement hold a of their premerger outputs because the lost Therefore, section 535.702(c) of the combined market share of 35 percent or markups on the foregone sales may be proposed rule provides that the outweighed by the resulting price increase on more in the entire U.S. inbound or the merged base of sales.45 Commission may, as necessary, require outbound geographic scope of the Monitoring Reports from an agreement agreement.44 The Commission estimates 1992 Guidelines at 41561. with pricing or pooling authority with a that the number of agreements subject to Market share provides a general market share below the 35 percent Monitoring Reports would be reduced economic measure to gauge the threshold.46 from 213 to 63. These 63 agreements competitive influence of carrier In addition, the Commission would include rate discussion, agreements. Under the Shipping Act, occasionally may find it necessary to conference, and major global alliance however, the Commission does not prescribe alternative periodic reports on agreements in effect throughout the U.S. solely rely on market share in assessing the use of certain authority contained in trades. The Commission believes that the competitive impact of a carrier an agreement. This may occur when an Monitoring Reports from these agreement on freight rates and service agreement contains unique authority, agreements would generally provide levels in the U.S. trades. Other factors the effects of which may require sufficient information to monitor the must be considered, including the monitoring, but is not captured under collective activities of carriers within authority and terms of the agreement, the standard Monitoring Reports. For the U.S. trades pursuant to the the competitive structure of the example, the Commission currently standards of the Shipping Act. agreement trade, and the prevailing and requires alternative periodic reports, in The Commission’s proposal to apply projected economic conditions within addition to Monitoring Reports, from a market share threshold of 35 percent the agreement trade. We note, however, the Trans-Atlantic Conference to monitor pricing or pooling that the 35 percent market share Agreement on its temporary slot assist agreements is analogous to the threshold used for application of chartering authority. Traditionally, Horizontal Merger Guidelines issued periodic reporting requirements should these types of reports have been jointly by the U.S. Department of Justice not be construed as establishing a negotiated on an informal basis with the and the Federal Trade Commission in determination of the likely impact of an parties when an agreement or an 1992. 1992 Horizontal Merger agreement for purposes of section 6(g) of agreement modification was filed with Guidelines (‘‘1992 Guidelines’’), 57 FR the Shipping Act, nor does it imply that the Commission. Section 535.702(d) of 41552 (Sept. 10, 1992). In analyzing we consider pricing or pooling the proposed rule clarifies the horizontal mergers between firms, the agreements below this threshold to be Commission’s authority in this regard 1992 guidelines set forth economic economically insignificant. by providing that in addition to or standards that the agencies use to apply instead of the Monitoring Report, the U.S. antitrust law. Part of their analysis 45 As discussed, carriers collectively set freight rates in relation to the supply and demand Commission may, as necessary, involves evaluating the likely effects of conditions within trades. The authorities to agree prescribe alternative periodic reporting a merger on the competitive behavior of on rate levels and vessel capacity are interrelated requirements on parties to any firms within a market. The intent is to and complementary even if such authorities are not agreement subject to section 535.201.47 determine whether a merger would contained within a single agreement. Many carriers in a trade may participate in a large rate discussion Section 535.705 of the proposed rule likely lead to increased coordinated agreement and separate agreements with capacity provides waiver procedures whereby rationalization authority, which such carriers may carriers may request relief from any of 43 ‘‘Pricing or pooling authority’’ as referred to in use to control the supply of vessel capacity to the Monitoring Report requirements. the Monitoring Report regulations is identical to the further their rate objectives under the discussion use of the term in the Information Form regulations; agreement. The Commission must examine the Additional data and information in i.e., it refers to any of the following authorities: (a) collective rate activities of carriers in relation to the support of the requested relief, however, The discussion of, or agreement upon, whether on vessel capacity supplied by carriers and any would be required for the Commission’s a binding basis under a common tariff or a non- collective activities that might affect the supply of review. binding basis, any kind of rate or charge; (b) the vessel capacity in a trade. For these reasons, the establishment of a joint service; (c) the pooling or Commission believes that the underlying economic division of cargoes, earnings, or revenues and/or rationale used to apply the 35 percent market share 46 The Commission’s authority on this matter losses; (d) the discussion or exchange of data on standard under U.S. antitrust law makes it would be delegated to the Director of BTA in vessel-operating costs; and/or (e) the discussion of comparable and appropriate as a threshold for subpart C of part 501. service contract matters. monitoring agreements with pricing or pooling 47 Section 535.201 applies to carrier agreements, 44 Under section 535.702(b) of the proposed rule, authority. agreements between marine terminal operators, and the Commission’s Director of BTA may determine The proposed rule does not apply a market share agreements between carriers and marine terminal the Monitoring Report obligations of agreements threshold for monitoring agreements with capacity operators. At present, the Commission does not with pricing or pooling authority using the 35 rationalization authority. These arrangements tend require any specifically prescribed periodic reports percent market share threshold. For newly filed to operate globally, which makes it difficult or from any agreements between marine terminal agreements, this would be based on the market impractical to apply a standard market share operators, or between marine terminal operators share data from the Information Form submitted threshold to the entire geographic scope of the and carriers. The Commission’s jurisdiction to with the agreement. Thereafter, at the beginning of agreement, or any one particular trade within the require additional information and documents from each calendar year, BTA would notify such scope of the agreement. The definition of capacity all such agreements is stated in section 5(a) of the agreements of any change in their reporting rationalization authority, however, distinguishes it Shipping Act. The proposed rule would delegate obligations based on the market share data from from simpler forms of operational authority, and the Commission’s authority to prescribe alternative their Monitoring Reports for the previous second therefore, limits the application of the Monitoring periodic reports to the Director of BTA in subpart calendar quarter (April–June). Report regulations. C of part 501.
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4. Monitoring Report pursuant to section 6(g) of the Shipping appropriate to require large rate Section 535.703(a) of the proposed Act is necessary prior to discussion agreements, such as TSA and rule replaces the current Monitoring implementation of a harmful reduction WTSA, to report commodity data for Report forms with one form in appendix in vessel capacity or liner service. this section on a sub-trade or regional basis. In addition, sub-trade commodity B of part 535 and divides the form into b. Section II three sections. Section 535.703(b) of the data may be necessary where unique Section II of the proposed Monitoring proposed rule would require that parties anticompetitive concerns are present, or Report would apply to agreements to an agreement complete each section where competitive issues affect pricing under which the parties to an agreement of the Monitoring Report applicable to for certain commodities. Therefore, hold a combined market share, based on the agreement and the authority section 535.703(d) of the proposed rule cargo volume, of 35 percent or more in contained in the agreement. Sections I provides that the Commission may, in the entire U.S. inbound or outbound and II would apply based on the its discretion, require sub-trade geographic scope of the agreement and authority contained in the agreement. commodity data from agreements the agreement contains any of the Section III would apply to all subject to this section of the Monitoring following authorities: (a) The discussion 50 agreements required to submit Reports. of, or agreement upon, whether on a Monitoring Reports under section binding basis under a common tariff or c. Section III 535.702(a) of the proposed rule. The a non-binding basis, any kind of rate or Section III would require that parties Monitoring Report form would be made charge; (b) the establishment of a joint to all subject agreements identify a available in electronic format using service; (c) the pooling or division of contact person for the Monitoring Microsoft Office 2000 (Word and Excel) cargoes, earnings, or revenues and/or Report, and that the Monitoring Report that could be downloaded from the losses; (d) the discussion or exchange of be certified and signed by a Commission’s home page. Parties may data on vessel-operating costs; and/or representative of the parties. complete and submit their Monitoring (e) the discussion of service contract Reports in paper format, or in electronic D. Implementation of the Proposed matters.49 format on diskette or CD–ROM. This Parties to agreements subject to this Information Form and Monitoring Report Regulations procedure will remain available until section would be required to submit the the Commission has developed and following quarterly data and In order to assure a smooth transition implemented an electronic filing system information: market share, total average from the Commission’s existing system for such documents. for collecting information and data in It is further proposed to stay section revenue, cargo volume and revenue results on the top 10 agreement-wide connection with filed agreements to the 535.701(e) until such time as the system proposed in this proceeding, the Commission has developed and commodities, vessel capacity and capacity utilization, significant changes Commission proposes to implement the implemented an electronic system for Information Form and Monitoring filing Monitoring Reports and Minutes. in vessel capacity, and significant changes in service at ports. These regulations as follows. The new a. Section I requirements correspond to the regulations would become effective 30 Section I of the proposed Monitoring proposed requirements in section IV of days after publication of a final rule in Report would apply to all agreements the Information Form. The proposed the Federal Register. All new with the authority to discuss or agree on Monitoring Report would no longer agreements filed after that time would capacity rationalization. Parties to require quarterly reporting on be required to comply with the new agreements subject to this section would independent rate actions for parties to Information Form provisions. The new be required to submit quarterly data on conference agreements. With the Monitoring Report provisions would their vessel capacity and capacity industry changes which have occurred become effective 90 days after utilization. These reporting since OSRA, the Commission no longer publication, and would apply to all requirements correspond to the believes that a quarterly reporting agreements then in effect under the proposed requirements in section III of burden on conference parties to monitor Shipping Act. Commenters are the Information Form.48 this information is necessary. encouraged to provide input on this Section I would also require that a Regarding the commodity data proposed timetable. narrative statement of any changes in requirements in this section, the IV. Minutes, 46 CFR Part 535, Subpart vessel capacity and/or liner services Commission believes that quarterly G (including ports) that the parties plan to information on the top 10 agreement- implement under the agreement be wide commodities would be sufficient A. Introduction submitted to the Commission’s Director for most agreements subject to this The Commission requires that certain of BTA no later than 15 days after a section. The Commission, however, agreements authorized to operate change has been agreed upon by the recognizes that exceptional pursuant to section 4 of the Shipping parties but prior to the implementation circumstances may arise in which it Act, 46 U.S.C. app. 1703, file of that change (See section 535.703(c) of would be appropriate to require the confidentially with the Commission a the proposed rule). Advance notice of submission of data on a sub-trade or report of designated meetings describing the parties’ planned changes in regional basis, rather than an agreement- all matters within the scope of the connection with this agreement wide basis. This may occur when an agreement which are discussed or authority is necessary. The Commission agreement with extremely high market addressed at any such meeting, and believes it should have more timely share covers a broad trade area indicate any action taken. 46 CFR notice of such information than comprised of large distinct sub-trades or 535.706. The current minutes filing quarterly submissions would provide, in regions, and establishes rates distinctly regulations, which largely reflect the order to determine whether action by sub-trade or region. For example, the original rules adopted nearly twenty Commission believes that it may be 48 At present, the Commission estimates that there 50 The Commission’s authority on this matter are 30 agreements in effect with capacity 49 At present, the Commission estimates that there would be delegated to the Director of BTA in rationalization authority. are 33 such agreements in effect. subpart C of part 501.
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years ago following the enactment of the CFR 535.706–07.53 Our proposal would: than on the actual activities in which Shipping Act, provide the Commission (1) Require minutes to be filed by the parties are authorized to engage. Due with a summary of the business agreements based on the types of to the changes in the industry and the transacted at a meeting of parties to an authority specified in the agreement, concurrent increase in the types of agreement filed with the Commission. rather than according to agreement type agreement activities, this approach may Minutes provide the Commission with as currently provided for in 46 CFR not reflect all of the actual authority information on specific areas on which 535.706(b); (2) eliminate current contained in the agreement itself, or the agreement parties focus their attention regulatory language that limits the activities in which the agreement parties (i.e., rates, service contracting, minutes filing requirement to meetings are engaged. Moreover, use of these conditions of service), as well as the at which the parties are authorized to agreement categories to identify which economic and competitive conditions of take ‘‘final action’; (3) clarify the level agreements must file minutes with the the trade that influence their collective of detail required to describe matters Commission often raises questions activity. Minutes have been recognized discussed or considered at agreement about agreements’ compliance with by Congress as ‘‘perhaps the chief meetings; (4) establish a new Commission regulations. Further, use of means whereby the [agency] was to be requirement that each document these categories has often resulted in kept apprised of conference action’’ 51 distributed, discussed, or exchanged at lengthy discussions with filing counsel and are useful in monitoring the meetings be submitted with the minutes as to an agreement’s minutes filing activities of the agreement and its of such meetings; (5) clarify the format responsibilities, particularly for those members, and in understanding used for assigning sequential numbers agreements that contain multiple important topics and issues discussed for minutes currently provided in 46 authorities, e.g., vessel space sharing, by the agreement members. More CFR 535.706(d); (6) reduce the time voluntary rate discussion, and joint recently, during the legislative process period for filing minutes with the service contracting authority. that led to the enactment of OSRA, the Commission from 30 days as required in When the Commission’s rules Commission was encouraged to be more 46 CFR 535.701(f), to 15 days from the governing the filing of agreement vigilant in exercising its agreements date of the meeting; and (7) amend minutes were promulgated under the oversight function.52 language throughout the existing Shipping Act, the authority of most carrier agreements generally fit into the The liner shipping industry has minutes rules to update definitions and Bureau designations, and replace enumerated categories in the rules. At undergone significant regulatory and that time, the specified agreement types structural change since the enactment of references to ‘‘conferences’’ with the term ‘‘agreement,’’ clarifying the broad represented the universe of the Shipping Act and the adoption of consequential agreements filed with the the Commission’s current minutes range of agreements to which these provisions apply. Commission and minutes were filed by regulations. Carrier agreements have agreements considered to be of become more complex, and many B. Discussion of the components of the significant regulatory concern. Rarely include authority to engage in a wider current minutes rules and the proposed was there a question as to an variety of activities. These changes have changes agreement’s minutes filing made it more difficult for the 1. Agreements Required to File Minutes responsibilities based on its agreement Commission to monitor agreement classification. However, over time these activities and assess economic and The Commission’s current rules agreement categories have not kept pace competitive trade conditions. Moreover, require that minutes of agreement with the evolving nature of collective our experience reviewing agreement meetings be filed by ‘‘conferences, carrier activities. For example, most minutes, discussions with agreement interconference agreements, agreements agreements now on file with the filing counsel and representatives, and between a conference and other ocean Commission combine a number of recent fact findings and other common carriers, pooling agreements, activities under one agreement (e.g., investigative proceedings have equal access agreements, discussion operational agreements that also include highlighted areas of concern that agreements, marine terminal authority to discuss service contract necessitate an enhancement of our conferences, and marine terminal rate rates or terms), or have established new minutes program. These areas of fixing agreements * * *’’ 46 CFR authority not anticipated when the concern include: (1) Inadequate 535.706(b). Although most of these current definitions were drafted (e.g., inclusion and coverage of substantive named agreement types are specifically portal agreements). issues and insufficient level of detail defined in 46 CFR 535.104, others are To address the evolving nature of used to describe carrier discussions; (2) not, e.g., discussion agreements.54 Thus, carrier agreements and to clarify which failure to file minutes of meetings held 46 CFR 535.706(b) identifies those agreements must file minutes of their under authority of the agreement where agreements that must file minutes based meetings, we propose to create a new substantive issues are being discussed; on a specific type of agreement, rather subsection (a) for the redesignated 46 (3) inadequate identification of and lack CFR 535.704. This new subsection of provision for Commission access to 53 Sections 535.706–07 will be redesignated as would provide that the filing documents used or discussed in section 535.704. requirement be based on the specific 54 While the Commission’s rules do not agreement meetings; and (4) untimely specifically define a ‘‘discussion agreement,’’ 46 type of authority contained in the filed filing of agreement minutes. CFR 535.104(aa) defines ‘‘rate agreement’’ to mean agreement, rather than on a generic To address these concerns, the an agreement between ocean common carriers agreement type. Thus, agreements which authorizes agreement upon, on either a authorized to engage in ‘‘discussion or Commission proposes to replace its binding basis under a common tariff or on a non- rules governing the filing of minutes by binding basis, or discussion of, any kind of rate. An establishment of any type of rates, agreements, currently set forth at 46 agreement between ocean common carriers that whether in tariffs or service contracts; authorizes voluntary, non-binding agreement on or pooling or apportioning of cargo; discussion of a variety of pricing or operational discussion of revenues, earnings, or 51 Report of the Antitrust Subcommittee on the matters including rates and terms of individual Judiciary on the Ocean Freight Industry, House of carrier tariffs or service contracts, or capacity losses; discussion or exchange of vessel Representatives, 87th Cong., 2nd Sess., 363 (1962). rationalization, is what is commonly referred to as operating costs; or discussion of service 52 Senate Report at 13. a ‘‘discussion agreement.’’ contract matters, including the
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establishment of voluntary service procedures to ensure and support Commission to obtain a clear picture of contract guidelines’’ would be required transparency through the flow of the activities of the agreement.55 to file minutes of meetings with the information among carrier members and Further, it is not the intent of the Commission. We believe this approach the agreement secretariat. As a result, Commission to require the filing of more efficiently captures the true nature major discussions are being conducted minutes for such discussions as two- of agreements’ activities. under circumstances that may not be party electronic communications. viewed as a meeting. Requiring the filing of minutes for 2. Definition of Meeting Agreements structure their discussions of this nature would put an Section 535.706(a) currently defines organizations in varied ways and utilize undue burden on the industry and the term ‘‘meetings’’ as including ‘‘any many methods for decision-making. appears to be unnecessary. meeting of the parties to the agreement, Many conduct their business under We propose to retain the present including meetings of their agents, multiple committees and sub- waiver provision, currently at 46 CFR principals, owners, committees or sub- committees and file minutes of meetings 535.709 (redesignated as § 535.705). committees of the parties authorized to held under some of those groups. Other Under that provision, a waiver from the take final action on behalf of the agreements have a more streamlined minutes filing requirement may be parties.’’ Section 535.706(b) requires structure and file few, if any, minutes granted in advance upon a showing of certain specified agreements to file ‘‘a for committees or sub-committees, even good cause. report of each meeting * * * describing if major policy discussions are 3. Content of Minutes all matters within the scope of the conducted at these levels. As a agreement which are discussed or consequence, time-consuming staff The Commission’s current rules considered at any such meeting * * * follow-up with agreement governing the content of minutes, at 46 and shall indicate the action taken.’’ representatives is often necessary to CFR 535.706(b), provide that specified The Commission’s review of gain a clear understanding of the origins agreements shall file with the agreement minutes, discussions with of and issues behind those discussions Commission ‘‘a report of each meeting filing counsel and agreement that are reported. * * * describing all matters within the representatives, and recent fact findings In order to address these issues, the scope of the agreement which are and other investigative proceedings, all Commission proposes to revise the discussed or considered at any such indicate that the current definition of current definition of meeting at meeting * * * and shall indicate the ‘‘meeting’’ is ambiguous and causes redesignated subsection 535.704(b) to action taken.’’ The rules do not, confusion over which meetings or include ‘‘all discussions at which any however, specify the degree of detail discussions held under an agreement agreement is reached among any such reports are expected to contain. As are subject to the requirement to file number of parties to the agreement a result, the minutes currently being minutes with the Commission. Further, relating to the business of the filed under this provision vary differing interpretations of the agreement; and all other discussions considerably in detail and scope. We are regulations have resulted in minutes of among three or more members of the particularly concerned about the filing meetings not being filed when such agreement (or all members if fewer than of vague and obscure minutes by some meetings covered substantive issues. three) relating to the business of the agreements. As a consequence, the Questions have arisen over whether the agreement.’’ Further, the rule would minutes being filed by some agreements minutes filing requirement is based on specify that this definition is intended are not useful in assisting the the level of authority of the participants to encompass meetings of the members’ Commission in its oversight of activities at a given meeting (i.e., carrier agents, principals, owners, officers, taking place under the authority of the representatives, committees, and employees, representatives, committees filed agreement. subcommittees authorized to take final or subcommittees. Thus, agreements To that end, we are proposing to action on behalf of their respective lines authorized to engage in certain amend the minutes regulation, at or on behalf of the agreement, even if enumerated activities would be required redesignated subsection 535.704(c), to the discussions did not result in ‘‘final’’ to file minutes of all discussions among require that descriptions of agreement decisions), or on whether ‘‘final action’’ any number of members relating to the meetings be ‘‘detailed enough that a was taken. Moreover, numerous business of the agreement when an non-participant reading the minutes documents obtained in Commission agreement is reached, and all could reasonably gain a clear proceedings indicate that the discussions between three or more understanding of the nature and extent Commission has not received minutes members relating to the business of the of the discussions, and where applicable for communications for which we agreement regardless of whether an any decisions reached * * *’’ We believe the regulations contemplate the agreement is reached. Agreements with believe that this proposal more clearly filing of minutes. less than three members would submit enunciates our intention that the parties Market-oriented regulatory reforms minutes on all discussions relating to who are granted limited antitrust under the Shipping Act, and more the business of the agreement. The immunity to operate in concert under recently under OSRA, especially those proposal would also encompass filed agreements must provide a focused on liberalizing service discussions held via electronic means, sufficient degree of detail of the contracting, encourage carriers to act and through agreement secretariats. The discussions permitted under these more independently within discussion Commission considered eliminating agreements. Further, we seek to make agreements, yet also challenge carriers completely the final action provision clear that full disclosure is required, and to find effective ways to communicate and proposing that minutes of all any efforts to obscure the true nature of and share information. Today, the discussions among any number of discussions or actions taken is Internet and agreement-administered members be filed. However, we believe prohibited. email systems allow carriers to collect that minutes of discussions between The Commission’s current rules, at 46 and share unlimited information on a three or more members, whether or not CFR 535.707, require agreements subject more frequent and timely basis. Some agreement is reached, should provide agreements have comprehensive the necessary coverage and details of 55 The term ‘‘final action’’ has been eliminated. communications networks and relevant meetings enabling the See discussion, infra.
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to the minutes filing requirement to list of the documents themselves. In policy committees on significant in their minutes ‘‘all reports, circulars, addition, this approach would be less matters. Ad hoc committees also are notices, statistics, analytical studies or burdensome on the Commission’s staff established as necessary, and other documents, not otherwise filed as it would reduce the utilization of teleconferences are frequently used as a with the Commission, * * * which are scarce resources in tracking down means to conduct collective carrier distributed to the member lines and are documents, and instead allow us to business. used to reach a ‘‘final decision’’ on a focus on review and analysis of Therefore, in order to establish and variety of matters. The extent of concerted activities. facilitate an efficient system for filing compliance with this requirement is agreement minutes, as well as to manage 4. Serial Numbers difficult to assess accurately since such the information for compliance and documents may not be mentioned in Current section 535.706(d)(1) requires research purposes, the Commission minutes if they are not viewed as related each set of minutes filed with the proposes a regulation requiring a to a ‘‘final decision.’’ Such documents Commission to be assigned a serial standard format for assigning serial may not be used to reach a final number, and provides an illustrative numbers to agreement minutes. This decision, but may be used to guide example suggesting that minutes of proposal requires that agreement members’ independent activities. The meetings be sequentially numbered minutes’ serial numbers be unique, general paucity of such listings in from the date the agreement becomes sequentially assigned numbers current minutes, as well as material effective. Section 535.706(d)(2) provides reflecting the year in which the meeting developed from Commission that any conference or rate agreement takes place, adopting the format information demand orders and through which has a system for assigning currently used by a number of carrier discussions with agreement secretariats sequential numbers to its minutes agreements. which differs from the example may and filing counsel suggest that 5. Filing Deadlines compliance with this requirement is far continue to use its own system. from complete. Further, in instances We now propose, at the redesignated Section 535.701(f) currently requires, where a document is identified in the 46 CFR 535.704(e), to require that each among other things, that minutes of minutes, Commission staff must then set of minutes filed with the agreement meetings be filed within 30 determine its importance and attempt to Commission shall include the days of the meeting, and that any obtain a copy of the document. We agreement name and number, and a documents requested by the believe it is more likely that many unique identification number indicating Commission be filed within 30 days documents, collectively prepared or the sequence in which the meeting took from the receipt of a request. The 30-day used by agreement members, remain place during the calendar year. For requirement was established prior to the unknown to the Commission. example, the first meeting of 2003 for widespread adoption and use of new The Commission believes that agreement ‘‘A’’ would be listed as: ‘‘A forms of electronic communications. effective monitoring of agreement (Agreement Number), 1/2003.’’ The Today, most agreements have electronic activity requires efficient and timely second meeting would be listed as ‘‘A mail systems administered through a access to such documents. To address (Agreement Number), 2/2003’’ and so secretariat and use such systems to this issue, we are proposing to eliminate on, irrespective of whether the meeting electronically record, review and the reference to ‘‘final decision’’ and is of a specific committee or disseminate information, including add to the redesignated 46 CFR subcommittee. Numbering would start minutes of their meetings. Based on 535.704(c) a subparagraph that over in the following calendar year, i.e., draft minutes of agreement meetings agreements must file with their minutes the first meeting of the 2004 calendar obtained in Commission investigations ‘‘any report, circular, notice, statistical year would be ‘‘A (Agreement Number), and responses to other Commission compilation, analytical study, survey, or 1/2004.’’ information demand orders, it appears other work distributed, discussed, or The current rule suggests that serial that minutes for some agreement exchanged at the meeting, whether numbers be applied sequentially. meetings are prepared within one or two presented by oral, written, electronic, or Almost all agreements currently assign days of the meeting (and sometimes the other means.’’ However, the parties serial numbers in this manner to same day), and are provided promptly would not be required to submit meetings held during a calendar year to the participants for review (mainly publicly available materials, provided and start a new numbering sequence for via email). These agreements then they are identified in the minutes and each consecutive year. In addition, typically allow up to two weeks for the are readily accessible. about one-third of those assign serial participants to respond with any This proposal is intended to provide numbers based on the type of meeting revisions. Based on our comparison of the Commission with the relevant or sub-committee, while a few the samples of draft minutes with the information necessary to fulfill its agreements only refer to the date of the final versions, it appears that revisions statutory obligation of monitoring meeting and do not assign a unique are rare. Moreover, Commission records carriers’ collective activities to ensure serial number at all. show that some agreements do file they do not result in an unreasonable Agreements filed with the minutes of their meetings prior to the increase in transportation cost or an Commission today typically have a current 30-day deadline, and in fact, unreasonable reduction in complex organizational structure. Policy agreements have expedited their filings transportation service. The Commission level meetings and committees are used in response to informal staff requests for considered, as an alternative, requiring to establish pricing policy and to minutes of particular interest. agreements to submit a summary of all discuss and address broad trade and The Commission therefore proposes documents discussed at minuted competitive issues, while working that the time period for filing minutes meetings in lieu of the actual committees or sub-committees (usually of meetings, set forth at section documents. However, we rejected this consisting of less than the full 535.701(f), be reduced from 30 to 15 proposal, believing that requiring membership) conduct research; collect, calendar days from the date of the agreements to create a summary, simply compile and analyze data and meeting. Relevant documents referenced for filing purposes, would be more information; and make in filed minutes would be submitted burdensome than requiring submission recommendations to the higher level with the minutes.
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V. Miscellaneous Changes to 46 CFR should contact the Office of the proposed rulemaking will be Part 535 Secretary to secure contact names and summarized and/or included in the Along with all the proposed changes numbers for individual Commissioners. final rule and will become a matter of public record. discussed above, the Commission is also VII. Statutory Reviews and Request for The Chairman of the Federal Maritime taking this opportunity to update and Comments Commission certifies, pursuant to clarify language in some rule sections. The reporting, recordkeeping, and For the most part, these changes involve section 605 of the Regulatory Flexibility disclosure requirements contained in Act, 5 U.S.C. 605, that the proposed rewording of rules with no substantial this proposed rule have been submitted change in the intent or effect of the rules will not, if promulgated, have a to the Office of Management and Budget significant impact on a substantial affected rules. Apart from non- (OMB). Public burden for this collection substantive language changes number of small entities. The affected of information is estimated to average 37 universe of parties is limited to ocean throughout the rules, some of the hours per response for agreement filings miscellaneous changes include common carriers, passenger vessel (including information forms); 170 operators, and marine terminal rearranging the sequence of marine hours per quarterly response for terminal agreement exemptions under operators. The Commission has monitoring reports from pricing or determined that these entities do not subpart C of the rules; updating the pooling agreements; 40 hours per name of the Bureau of Trade Analysis; come under the program and policies quarterly response for monitoring mandated by the Small Business clarifying the identities of parties to reports from capacity rationalization husbanding and agency agreements in Regulatory Enforcement Act as they agreements; and two hours per response typically exceed the threshold figures §§ 535.303 and 535.304, respectively; for minutes filing. The overall estimated and clarifying the wording of the rules for number of employees or annual burden is 41,947 hours per annum, a receipts or both to qualify as a small regarding requests for expedited review reduction of 52.85 percent from the of agreements in § 535.605, requests for entity under the Small Business current estimated burden of 88,970 Administration Guidelines. additional information in § 535.606, and hours per annum. These estimates failures to comply with requests for include, as applicable, the time needed List of Subjects additional information in § 535.607. to review instructions, develop, acquire, 46 CFR Part 501 Finally, the Commission is proposing install, and utilize technology and removing obsolete language regarding systems for the purposes of collecting, Authority delegations, Organization the form requirements for agreements validating, and verifying information, and functions, Seals and insignia. and agreement amendments; processing and maintaining 46 CFR Part 535 specifically, in § 535.403 removing information, and disclosing and reference to the generic classification of providing information; adjust the Freight, Maritime carriers, Reporting agreements and the date of the last existing ways to comply with any and recordkeeping requirements. republication of an agreement from the previously applicable instructions and For the reasons discussed in the title page. The Commission further requirements; train personnel to preamble, the Federal Maritime proposes to add minor form respond to a collection of information, Commission proposes to amend parts requirements for reflecting the original search existing data sources, gather and 501 and 535 of Subchapter A and effective date on the title page of an maintain the data needed, and complete Subchapter B, respectively, of Chapter agreement when the title page is revised and review the collection of IV of Title 46 Code of Federal and requiring that the latest amendment information; and transmit or otherwise Regulations as follows: number be reflected on each revised disclose the information. page in § 535.403. Send comments regarding the burden PART 501—THE FEDERAL MARITIME estimate to the Office of Information and COMMISSION—GENERAL VI. Oral Presentations Regulatory Affairs, Office of 1. The authority citation for part 501 Pursuant to Rule 53(a) of the Management and Budget, Attention: continues to read as follows: Commission’s Rules of Practice and Desk Officer for the Federal Maritime Procedure, 46 CFR 502.53(a) (2002), in Commission, New Executive Office Authority: 5 U.S.C. 551–557, 701–706, notice-and-comment rulemakings the Building, 725 17th Street, NW., 2903, and 6304; 31 U.S.C. 3721; 41 U.S.C. Commission may permit interested 414 and 418; 44 U.S.C. 501–520 and 3501– Washington, DC 20503 within 30 days 3520; 46 U.S.C. app. 876, 1111, and 1701– persons to make oral presentations in of publication in the Federal Register. 1720; Reorganization Plan No. 7 of 1961, 26 addition to filing written comments. The Commission would also like to FR 7315, August 12, 1961; Pub. L. 89–56, 70 The Commission has determined to solicit comments to: (a) Evaluate Stat. 195; 5 CFR part 2638; Pub. L. 89–777, permit interested persons to make such whether the proposed collection of 80 Stat. 1356; Pub L. 104–320, 110 Stat. 3870. presentations to individual information is necessary for the proper 2. Amend § 501.26 by revising Commissioners in this proceeding, at performance of the functions of the paragraphs (c) and (d), and adding new the discretion of each Commissioner. agency, including whether the paragraphs (o) and (p) to read as Interested persons may request one- information will have practical utility; follows: on-one meetings at which they may (b) evaluate the accuracy of the make presentations describing their Commission’s burden estimates for the § 501.26 Delegation to the Director, Bureau views on the proposed rule. Any proposed collection of information; (c) of Trade Analysis meeting or meetings shall be completed enhance the quality, utility, and clarity * * * * * before the close of the comment period. of the information to be collected; and (c) Authority to grant or deny The summary or transcript of oral (d) minimize the burden of the applications filed under § 535.504 of presentations will be included in the collection of information on this chapter for waiver of the record and must be submitted to the respondents, including through the use Information Form requirements in Secretary of the Commission within 5 of automated collection techniques or § 535.503 of this chapter. days of the meeting. Interested persons other forms of information technology. (d) Authority to grant or deny wishing to make an oral presentation Comments submitted in response to this applications filed under § 535.705 of
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this chapter for waiver of the reporting 535.504 Application for waiver. certain procedures provided for in the requirements in subpart G of part 535 of Subpart F—Action on Agreements Act. this chapter. 535.601 Preliminary review—rejection of § 535.103 Policies. * * * * * agreements. (a) The Act requires that agreements (o) Authority to require Monitoring 535.602 Federal Register notice. Reports from, or prescribe alternative be processed and reviewed, upon their 535.603 Comment. initial filing, according to strict statutory periodic reporting requirements for, 535.604 Waiting period. deadlines. This part is intended to parties to agreements under 535.605 Requests for expedited review. establish procedures for the orderly and §§ 535.702(c) and (d) of this chapter. 535.606 Requests for additional (p) Authority to require parties to information. expeditious review of filed agreements agreements subject to the Monitoring 535.607 Failure to comply with requests for in accordance with the statutory Report requirements in § 535.702(a)(2) additional information. requirements. 535.608 Confidentiality of submitted (b) The Act requires that agreements of this chapter to report their agreement material. be reviewed, upon their initial filing, to commodity data on a sub-trade basis 535.609 Negotiations. ensure compliance with all applicable pursuant to § 535.703(d) of this chapter. provisions of the Act and empowers the 3. Revise part 535 to read as follows: Subpart G—Reporting Requirements 535.701 General requirements. Commission to obtain information to PART 535—OCEAN COMMON 535.702 Agreements subject to Monitoring conduct that review. This part identifies CARRIERS AND MARINE TERMINAL Report and alternative periodic reporting those classes of agreements that must be OPERATORS AGREEMENTS SUBJECT requirements. accompanied by information TO THE SHIPPING ACT OF 1984 535.703 Monitoring Report form. submissions when they are first filed, 535.704 Filing of minutes. and sets forth the kind of information Subpart A—General Provisions 535.705 Application for waiver. for certain agreements that the Sec. Subpart H—Mandatory and Prohibited Commission believes relevant to that 535.101 Authority. Provisions review. Only information that is 535.102 Purpose. 535.801 Independent action. relevant to such a review is requested. 535.103 Policies. 535.802 Service contracts. It is the policy of the Commission to 535.104 Definitions. 535.803 Ocean freight forwarder keep the costs of regulation to a Subpart B—Scope compensation. minimum and at the same time obtain 535.201 Subject agreements. Subpart I—Penalties information needed to fulfill its 535.202 Non-subject agreements. statutory responsibility. 535.901 Failure to file. (c) To further the goal of expedited Subpart C—Exemptions 535.902 Falsification of reports. processing and review of agreements 535.301 Exemption procedures. Subpart J—Paperwork Reduction upon their initial filing, agreements are 535.302 Exemptions for certain 535.991 OMB control numbers assigned required to meet certain minimum modifications of effective agreements. pursuant to the Paperwork Reduction requirements as to form. These 535.303 Husbanding agreements— Act. requirements are intended to ensure exemption. expedited review and should assist 535.304 Agency agreements—exemption. Appendix A To Part 535—Information parties in preparing agreements. These 535.305 Equipment interchange Form and Instructions agreements—exemption. requirements as to form do not affect the 535.306 Nonexclusive transshipment Appendix B To Part 535—Monitoring substance of an agreement and are agreements—exemption. Report and Instructions intended to allow parties the freedom to 535.307 Agreements between or among develop innovative commercial wholly-owned subsidiaries and/or their Authority: 5 U.S.C. 553; 46 U.S.C. app. relationships and provide efficient and parent—exemption. 1701–1707, 1709–1710, 1712 and 1714–1718; economic transportation systems. 535.308 Marine terminal agreements— Pub. L. 105–258, 112 Stat. 1902 (46 U.S.C. (d) The Act itself excludes certain app. 1701 note); Sec. 424, Pub. L. 105–383, exemption. agreements from the filing requirements 535.309 Marine terminal services 112 Stat. 3440. agreements—exemption. and authorizes the Commission to 535.310 Marine terminal facilities Subpart A—General Provisions exempt other classes of agreements from agreements—exemption. any requirement of the Act or this part. 535.311 Low market share agreements- § 535.101 Authority. To minimize delay in the exemption. The rules in this part are issued implementation of routine agreements 535.312 Vessel charter party-exemption. pursuant to the authority of section 4 of and to avoid the private and public cost Subpart D—Filing of Agreements the Administrative Procedure Act (5 of unnecessary regulation, certain U.S.C. 553), sections 2, 3, 4, 5, 6, 7, 8, classes of agreements are exempted from 535.401 General requirements. 535.402 Complete and definite agreements. 10, 11, 13, 15, 16, 17, and 19 of the the filing requirements of this part. 535.403 Form of agreements. Shipping Act of 1984 (‘‘the Act’’), and (e) Under the regulatory framework 535.404 Agreement provisions. the Ocean Shipping Reform Act of 1998, established by the Act, the role of the 535.405 Organization of conference and Pub. L. 105–258, 112 Stat. 1902. Commission as a monitoring agency has interconference agreements. been enhanced. The Act favors greater 535.406 Modification of agreements. § 535.102 Purpose. freedom in allowing parties to form 535.407 Application for waiver. This part implements those their commercial arrangements. This, 535.408 Activities that may be conducted provisions of the Act that govern however, requires greater monitoring of without further filings. agreements by or among ocean common agreements after they have become Subpart E—Information Form Requirements carriers and agreements among marine effective to assure their continued 535.501 General requirements. terminal operators and among one or compliance with all applicable 535.502 Agreements subject to the more marine terminal operators and one provisions of the Act. The Act Information Form requirements. or more ocean common carriers. This empowers the Commission to impose 535.503 Information Form. part also sets forth more specifically certain recordkeeping and reporting
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requirements. This part identifies those Trade Commission Act (38 Stat. 717), 15 and/or delivery of passengers or cargo agreements that require specific record U.S.C. 41, as amended; sections 73 and for all members. The term does not retention and reporting to the 74 of the Act of August 27, 1894 (28 include joint service, pooling, sailing, Commission and prescribes the Stat. 570), 15 U.S.C. 8, 9, as amended; space charter, or transshipment applicable period of record retention, the Act of June 19, 1936 (ch. 592, 49 agreements. the form and content of such reporting, Stat. 1526), 15 U.S.C. 13, as amended; (h) Consultation means a process and the applicable time periods for the Antitrust Civil Process Act (76 Stat. whereby a conference and a shipper filing with the Commission. Only 548), 15 U.S.C. 1311, note as amended; confer for the purpose of promoting the information that is necessary to assure and amendments and Acts commercial resolution of disputes and/ that the Commission’s monitoring supplementary thereto. or the prevention and elimination of the responsibilities will be fulfilled is (c) Appendix means a document occurrence of malpractices. requested. containing additional material of (i) Cooperative working agreement (f) The Act requires that conference limited application and appended to an means an agreement that establishes agreements contain certain mandatory agreement, distinctly differentiated from exclusive, preferential, or cooperative provisions. Each conference agreement the main body of the basic agreement. working relationships that are subject to must: (d) Assessment agreement means an the Act, but that do not fall precisely (1) State its purpose; agreement, whether part of a collective within the parameters of any (2) Provide reasonable and equal bargaining agreement or negotiated specifically defined agreement. terms and conditions for admission and separately, that provides for collectively (j) Effective agreement means an readmission to membership; bargained fringe benefit obligations on agreement effective under the Act. (3) Allow for withdrawal from other than a uniform man-hour basis (k) Equal access agreement means an membership upon reasonable notice regardless of the cargo handled or type agreement between ocean common without penalty; of vessel or equipment utilized. carriers of different nationalities, as (4) Require an independent neutral (e) Capacity rationalization means a determined by the incorporation or body to police the conference, if concerted reduction, stabilization, domicile of the carriers’ operating requested by a member; withholding, or other limitation in any companies, whereby such ocean (5) Prohibit conduct specified in manner whatsoever by ocean common common carriers associate for the sections 10(c)(1) or 10(c)(3) of the Act; carriers on the size or number of vessels purpose of gaining reciprocal access to (6) Provide for a consultation process; or available space offered collectively or cargo that is otherwise reserved by (7) Establish procedures for individually to shippers in any trade or national decree, legislation, statute or considering shippers’ requests and service. The term does not include regulation to carriage by the merchant complaints; and sailing agreements or space charter marine of the carriers’ respective (8) Provide for independent action. agreements. nations. (g) To promote competitive and (f) Common carrier means a person (l) Independent neutral body means a efficient transportation and a greater holding itself out to the general public disinterested third party, authorized by reliance on the marketplace, the Act to provide transportation by water of a conference and its members to review, places limits on carriers’ agreements passengers or cargo between the United examine, and investigate alleged regarding service contracts. Carriers may States and a foreign country for breaches or violations of the conference not enter into an agreement to prohibit compensation that: agreement and/or the conference’s or restrict members from engaging in (1) Assumes responsibility for the properly promulgated tariffs, rules, or contract negotiations, may not require transportation from the port or point of regulations by any member of the members to disclose service contract receipt to the port or point of conference. negotiations or terms and conditions destination; and (m) Information form means the form (other than those required to be (2) Utilizes, for all or part of that containing economic information that published), and may not adopt transportation, a vessel operating on the must accompany the filing of certain mandatory rules or requirements high seas or the Great Lakes between a agreements and modifications. affecting the right of an agreement port in the United States and a port in (n) Interconference agreement means member or agreement members to a foreign country, except that the term an agreement between conferences. negotiate and enter into contracts. does not include a common carrier (o)(1) Joint service agreement means However, agreement members may engaged in ocean transportation by ferry an agreement between ocean common adopt voluntary guidelines covering the boat, ocean tramp, or chemical parcel carriers operating as a joint venture terms and procedures of members’ tanker, or by a vessel when primarily whereby a separate service is contracts. engaged in the carriage of perishable established that: agricultural commodities: (i) Holds itself out in its own distinct § 535.104 Definitions. (i) If the common carrier and the operating name; When used in this part: owner of those commodities are wholly (ii) Independently fixes its own rates, (a) Agreement means an owned, directly or indirectly, by a charges, practices, and conditions of understanding, arrangement, or person primarily engaged in the service or chooses to participate under association, written or oral (including marketing and distribution of those its operating name in another agreement any modification, cancellation or commodities; and that is duly authorized to determine and appendix), entered into by or among (ii) Only with respect to those implement such activities; ocean common carriers and/or marine commodities. (iii) Independently publishes its own terminal operators, but does not include (g) Conference agreement means an tariff or chooses to participate under its a maritime labor agreement. agreement between or among two or operating name in an otherwise (b) Antitrust laws means the Act of more ocean common carriers that established tariff; July 2, 1890 (ch. 647, 26 Stat. 209), 15 provides for the fixing of and adherence (iv) Issues its own bills of lading; and U.S.C. 1, as amended; the Act of October to uniform tariff rates, charges, (v) Acts generally as a single carrier. 15, 1914 (ch. 323, 38 Stat. 730), 15 practices, and conditions of service (2) The common use of facilities may U.S.C. 12, as amended; the Federal relating to the receipt, carriage, handling occur, and there is no competition
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between members for traffic in the vessel on the high seas or the Great commitment to provide a certain agreement trade; but they otherwise Lakes between a port in the United volume or portion of cargo over a fixed maintain their separate identities. States and a port in a foreign country, time period, and the ocean common (p) Marine terminal facilities means except that the term does not include a carrier or the agreement commits to a one or more structures (and services common carrier engaged in ocean certain rate or rate schedule and a connected therewith) comprising a transportation by ferry boat, ocean defined service level, such as assured terminal unit, including, but not limited tramp, or chemical parcel-tanker. space, transit time, port rotation, or to docks, berths, piers, aprons, wharves, (v) Ocean freight forwarder means a similar service features. The contract warehouses, covered and/or open person in the United States that may also specify provisions in the event storage space, cold storage plants, grain dispatches shipments from the United of nonperformance on the part of any elevators and/or bulk cargo loading and/ States via common carriers and books or party. or unloading structures, landings, and otherwise arranges space for those (dd) Shipper means: receiving stations, used for the shipments on behalf of shippers; and (1) A cargo owner; transmission, care and convenience of processes the documentation or (2) The person for whose account the cargo and/or passengers or the performs related activities incident to ocean transportation is provided; interchange of same between land and those shipments. (3) The person to whom delivery is to ocean common carriers or between two (w) Person means individuals, be made; ocean common carriers. This term is not corporations, partnerships and (4) A shippers’ association; or limited to waterfront or port facilities associations existing under or (5) A non-vessel-operating common and includes so-called off-dock authorized by the laws of the United carrier (i.e., a common carrier that does container freight stations at inland States or of a foreign country. not operate the vessels by which the locations and any other facility from (x) Pooling agreement means an ocean transportation is provided and is which inbound waterborne cargo may agreement between ocean common a shipper in its relationship with an be tendered to the consignee or carriers that provides for the division of ocean common carrier) that accepts outbound cargo may be received from cargo carryings, earnings, or revenue responsibility for payment of all charges shippers for vessel or container loading. and/or losses between the members in applicable under the tariff or service (q) Marine terminal operator means a accordance with an established formula contract. person engaged in the United States in or scheme. (ee) Shippers’ association means a the business of furnishing wharfage, (y) Port means the place at which an group of shippers that consolidates or dock, warehouse, or other terminal ocean common carrier originates or distributes freight on a nonprofit basis facilities in connection with a common terminates (and/or transships) its actual for the members of the group in order carrier, or in connection with a common ocean carriage of cargo or passengers as to secure carload, truckload, or other carrier and a water carrier subject to to any particular transportation volume rates or service contracts. subchapter II of chapter 135 of Title 49 movement. (ff) Shippers’ requests and complaints U.S.C. This term does not include (z) Rate, for purposes of this part, means a communication from a shipper shippers or consignees who exclusively includes both the basic price paid by a to a conference requesting a change in furnish marine terminal facilities or shipper to an ocean common carrier for tariff rates, rules, regulations, or service; services in connection with tendering or a specified level of transportation protesting or objecting to existing rates, receiving proprietary cargo from a service for a stated quantity of a rules, regulations or service; objecting to common carrier or water carrier. particular commodity, from origin to rate increases or other tariff changes; (r) Maritime labor agreement means a destination, on or after a stated effective protesting allegedly erroneous service collective-bargaining agreement date or within a defined time frame, and contract or tariff implementation or between an employer subject to the Act also any accessorial charges or application, and/or requesting to enter or group of such employers, and a labor allowances that increase or decrease the into a service contract. Routine organization representing employees in total transportation cost to the shipper. information requests are not included in the maritime or stevedoring industry, or (aa) Rate agreement means an the term. an agreement preparatory to such a agreement between ocean common (gg) Space charter agreement means collective-bargaining agreement among carriers that authorizes discussion of or an agreement between ocean common members of a multi-employer bargaining agreement on, either on a binding basis carriers whereby a carrier (or carriers) group, or an agreement specifically under a common tariff or on a non- agrees to provide vessel space for use by implementing provisions of such a binding basis, any kind of rate or charge. another carrier (or carriers) in exchange collective-bargaining agreement or (bb) Sailing agreement means an for compensation or services. The providing for the formation, financing or agreement between ocean common arrangement may include arrangements administration of a multi-employer carriers to provide service by for equipment interchange and receipt/ bargaining group; but the term does not establishing a schedule of ports that delivery of cargo, but may not include include an assessment agreement. each carrier will serve, the frequency of capacity rationalization as defined in (s) Modification means any change, each carrier’s calls at those ports, and/ this subpart. alteration, correction, addition, deletion, or the size and capacity of the vessels (hh) Sub-trade means the scope of or revision of an existing effective to be deployed by the parties. The term ocean liner cargo carried between each agreement or to any appendix to such an does not include joint service U.S. port range and each foreign country agreement. agreements, or capacity rationalization within the scope of the agreement. U.S. (t) Monitoring report means the report agreements. port ranges are defined as follows: containing economic information that (cc) Service contract means a written (1) Atlantic and Gulf shall encompass must be filed at defined intervals with contract, other than a bill of lading or ports along the eastern seaboard and the regard to certain kinds of agreements a receipt, between one or more shippers Gulf of Mexico from the northern that are effective under the Act. and an individual ocean common boundary of Maine to Brownsville, (u) Ocean common carrier means a carrier or an agreement between or Texas. It also includes all ports common carrier that operates, for all or among ocean common carriers in which bordering upon the Great Lakes and part of its common carrier service, a the shipper or shippers make a their connecting waterways, all ports in
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the State of New York on the St. Subpart B—Scope common carriers and/or marine Lawrence River, and all ports in Puerto terminal operators from any Rico and the U.S. Virgin Islands; and § 535.201 Subject agreements. requirement of the Act if it finds that the (2) Pacific shall encompass all ports (a) Ocean common carrier exemption will not result in substantial in the States of Alaska, Hawaii, agreements. This part applies to reduction in competition or be California, Oregon, and Washington. It agreements by or among ocean common detrimental to commerce. also includes all ports in Guam, carriers to: (b) Optional filing. Notwithstanding American Samoa, Northern Marianas, (1) Discuss, fix, or regulate any exemption from filing, or other Johnston Island, Midway Island, and transportation rates, including through requirements of the Act and this part, Wake Island. rates, cargo space accommodations, and any party to an exempt agreement may (ii) Through transportation means other conditions of service; file such an agreement with the continuous transportation between (2) Pool or apportion traffic, revenues, Commission. origin and destination for which a earnings, or losses; (c) Application for exemption. through rate is assessed and which is (3) Allot ports or restrict or otherwise Applications for exemptions shall offered or performed by one or more regulate the number and character of conform to the general filing carriers, at least one of which is an sailings between ports; requirements for exemptions set forth at ocean common carrier, between a (4) Limit or regulate the volume or § 502.67 of this title. United States point or port and a foreign character of cargo or passenger traffic to (d) Retention of agreement by parties. point or port. be carried; Any agreement that has been exempted (jj) Transshipment agreement means (5) Engage in exclusive, preferential, by the Commission pursuant to section an agreement between an ocean or cooperative working arrangements 16 of the Act shall be retained by the common carrier serving a port or point among themselves or with one or more parties and shall be available upon of origin and another such carrier marine terminal operators; request by the Bureau of Trade Analysis serving a port or point of destination, (6) Control, regulate, or prevent for inspection during the term of the whereby cargo is transferred from one competition in international ocean agreement and for a period of three carrier to another carrier at an transportation; or years after its termination. intermediate port served by direct vessel (7) Discuss and agree on any matter call of both such carriers in the conduct related to service contracts. § 535.302 Exemptions for certain modifications of effective agreements. of through transportation and the (b) Marine terminal operator publishing carrier performs the agreements. This part applies to (a) Non-substantive modifications to transportation on one leg of the through agreements among marine terminal effective agreements. A non-substantive transportation on its own vessel or on a operators and among one or more modification to an effective agreement vessel on which it has rights to space marine terminal operators and one or between ocean common carriers and/or under a filed and effective agreement. more ocean carriers to: marine terminal operators, acting Such an agreement does not provide for (1) Discuss, fix, or regulate rates or individually or through approved the concerted discussion, publication or other conditions of service; or agreements, is one which: otherwise fixing of rates for the account (2) Engage in exclusive, preferential, (1) Reflects changes in the name of of the cargo interests, conditions of or cooperative working arrangements, to any geographic locality stated therein, service or other tariff matters other than the extent that such agreements involve the name of the agreement or the name the tariff description of the ocean transportation in the foreign of a party to the agreement, the names transshipment service offered, the port commerce of the United States. and/or numbers of any other section 4 of transshipment and the participation agreement or designated provisions of the nonpublishing carrier. An § 535.202 Non-subject agreements. thereof referred to in an agreement; agreement that involves the movement This part does not apply to the (2) Corrects typographical and of cargo in a domestic offshore trade as following agreements: grammatical errors in the text of the part of a through movement of cargo via (a) Any acquisition by any person, agreement or renumbers or reletters transshipment involving the foreign directly or indirectly, of any voting articles or sub-articles of agreements commerce of the United States shall be security or assets of any other person; and references thereto in the text; or considered to be in the foreign (b) Any maritime labor agreement; (3) Reflects changes in the titles or commerce of the United States and, (c) Any agreement related to persons or committees designated therefore, subject to the Act and this transportation to be performed within or therein or transfers the functions of such part. between foreign countries; persons or committees to other (kk) Vessel-operating costs means any (d) Any agreement among common designated persons or committees or of the following expenses incurred by carriers to establish, operate, or which merely establishes a committee. an ocean common carrier: salaries and maintain a marine terminal in the (b) Other Miscellaneous Modifications wages of officers and unlicenced crew, United States; and to effective agreements. A miscellaneous including relief crews and others (e) Any agreement among marine modification to an effective agreement is regularly employed aboard the vessel; terminal operators that exclusively and one that: fringe benefits; expenses associated with solely involves transportation in the (1) Cancels the agreement; consumable stores, supplies and interstate commerce of the United (2) Deletes an agreement party; equipment; vessel fuel and incidental States. (3) Changes the parties to a conference costs; vessel maintenance and repair agreement or a discussion agreement expense; hull and machinery insurance Subpart C—Exemptions among passenger vessel operating costs; protection and indemnity common carriers that is open to all insurance costs; costs for other marine § 535.301 Exemption procedures. ocean common carriers operating risk insurance not properly chargeable (a) Authority. The Commission, upon passenger vessels of a class defined in to hull and machinery insurance or to application or its own motion, may by the agreement and that does not contain protection and indemnity insurance order or rule exempt for the future any ratemaking, pooling, joint service, accounts; and charter hire expenses. class of agreement involving ocean sailing or space chartering authority; or
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(4) Changes the officials of the (b) An agency agreement as defined forth in paragraph (c) of this section and agreement and delegations of authority. above is exempt from the filing the content requirements of paragraph (c) A copy of a modification described requirements of the Act and of this part, (d) of this section are met. in (a) or (b) above shall be submitted to except those: (c) The applicable tariff or tariffs shall the Commission but is otherwise (1) Where a common carrier is to be provide: exempt from the waiting period the agent for a competing ocean (1) The through rate; requirement of the Act and this part. common carrier in the same trade; or (2) The routings (origin, (d) Parties to agreements may seek a (2) That permit an agent to enter into transshipment and destination ports); determination from the Director of the similar agreements with more than one additional charges, if any (i.e. port Bureau of Trade Analysis as to whether ocean common carrier in a trade. arbitrary and/or additional a particular modification is a non- (c) The filing fee for optional filing of transshipment charges); and substantive or other miscellaneous agency agreements is provided in participating carriers; and modification within the meaning of this § 535.401(g). (3) A tariff provision substantially as section. follows: (e) The filing fee for non-substantive § 535.305 Equipment interchange agreements—exemption. The rules, regulations, and rates in this or other miscellaneous modifications is tariff apply to all transshipment provided in § 535.401(g). (a) An equipment interchange arrangements between the publishing carrier agreement is an agreement between two or carriers and the participating, connecting § 535.303 Husbanding agreements— or more ocean common carriers for: or feeder carrier. Every participating exemption. (1) The exchange of empty containers, connecting or feeder carrier which is a party (a) A husbanding agreement is an chassis, empty LASH/SEABEE barges, to transshipment arrangements has agreed to agreement between an ocean common and related equipment; and observe the rules, regulations, rates, and carrier and another ocean common (2) The transportation of the routings established herein as evidenced by carrier or marine terminal operator, equipment as required, payment a connecting carrier agreement between the acting as the former’s agent, under therefor, management of the logistics of parties. which the agent handles routine vessel transferring, handling and positioning (d) Nonexclusive transshipment operating activities in port, such as equipment, its use by the receiving agreements must contain the entire notifying port officials of vessel arrivals carrier, its repair and maintenance, arrangement between the parties, must and departures; ordering pilots, tugs, damages thereto, and liability incidental contain a declaration of the and linehandlers; delivering mail; to the interchange of equipment. nonexclusive character of the transmitting reports and requests from (b) An equipment interchange arrangement and may provide for: the Master to the owner/operator; agreement is exempt from the filing (1) The identification of the parties dealing with passenger and crew requirements of the Act and of this part. and the specification of their respective matters; and providing similar services (c) The filing fee for optional filing of roles in the arrangement; related to the above activities. The term equipment interchange agreements is (2) A specification of the governed does not include an agreement that provided in § 535.401(g). cargo; provides for the solicitation or booking (3) The specification of responsibility of cargoes, signing contracts or bills of § 535.306 Nonexclusive transshipment for the issuance of bills of lading (and agreements—exemption. lading and other related matters, nor the assumption of common carriage- does it include an agreement that (a) A nonexclusive transshipment associated liabilities) to the cargo prohibits the agent from entering into agreement is a transshipment agreement interests; similar agreements with other carriers. by which one ocean common carrier (4) The specification of the origin, (b) A husbanding agreement is exempt serving a port of origin by direct vessel transshipment and destination ports; from the filing requirements of the Act call and another such carrier serving a (5) The specification of the governing and of this part. port of destination by direct vessel call tariff(s) and provision for their (c) The filing fee for optional filing of provide transportation between such succession; husbanding agreements is provided in ports via an intermediate port served by (6) The specification of the particulars § 535.401(g). direct vessel call of both such carriers of the nonpublishing carrier’s and at which cargo will be transferred concurrence/participation in the tariff of § 535.304 Agency agreements— from one to the other and which the publishing carrier; exemption. agreement does not: (7) The division of revenues earned as (a) An agency agreement is an (1) Prohibit either carrier from a consequence of the described carriage; agreement between an ocean common entering into similar agreements with (8) The division of expenses incurred carrier and another ocean common other carriers; as a consequence of the described carrier or marine terminal operator, (2) Guarantee any particular volume carriage; acting as the former’s agent, under of traffic or available capacity; or (9) Termination and/or duration of the which the agent solicits and books (3) Provide for the discussion or fixing agreement; cargoes and signs contracts of of rates for the account of the cargo (10) Intercarrier indemnification or affreightment and bills of lading on interests, conditions of service or other provision for intercarrier liabilities behalf of the ocean common carrier. tariff matters other than the tariff consequential to the contemplated Such an agreement may or may not also description of the service offered as carriage and such documentation as include husbanding service functions being by means of transshipment, the may be necessary to evidence the and other functions incidental to the port of transshipment and the involved obligations; performance of duties by agents, participation of the nonpublishing (11) The care, handling and liabilities including processing of claims, carrier. for the interchange of such carrier maintenance of a container equipment (b) A nonexclusive transshipment equipment as may be consequential to inventory control system, collection and agreement is exempt from the filing the involved carriage; remittance of freight and reporting requirements of the Act and of this part, (12) Such rationalization of services functions. provided that the tariff provisions set as may be necessary to ensure the cost
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effective performance of the operators and/or ocean common carriers period requirements of the Act and this contemplated carriage; and for the conduct or facilitation of marine part on condition that: (13) Such agency relationships as may terminal operations that provides for the (1) They do not include rates, charges, be necessary to provide for the pickup fixing of and adherence to uniform rules, and regulations that are and/or delivery of the cargo. maritime terminal rates, charges, determined through a marine terminal (e) No subject other than as listed in practices and conditions of service conference agreement, as defined in paragraph (d) of this section may be relating to the receipt, handling, and/or § 535.308(b); and included in exempted nonexclusive delivery of passengers or cargo for all (2) No antitrust immunity is conferred transshipment agreements. members. under the Act with regard to terminal (f) The filing fee for optional filing of (c) Marine terminal discussion services provided to an ocean common nonexclusive transshipment agreements agreement means an agreement between carrier under a marine terminal services is provided in § 535.401(g). or among two or more marine terminal agreement that is not filed with the operators and/or marine terminal Commission. § 535.307 Agreements between or among conferences and/or ocean common (c) The filing fee for optional filing of wholly-owned subsidiaries and/or their parent—exemption. carriers solely for the discussion of terminal services agreements is subjects including marine terminal provided in § 535.401(g). (a) An agreement between or among rates, charges, practices and conditions wholly-owned subsidiaries and/or their of service relating to the receipt, § 535.310 Marine terminal facilities agreement—exemption. parent means an agreement under handling and/or delivery of passengers section 4 of the Act between or among or cargo. (a) Marine terminal facilities an ocean common carrier or marine (d) Marine terminal interconference agreement means any agreement terminal operator subject to the Act and agreement means an agreement between between or among two or more marine any one or more ocean common carriers or among two or more marine terminal terminal operators, or between one or or marine terminal operators which are conference and/or marine terminal more marine terminal operators and one ultimately owned 100 percent by that discussion agreements. or more ocean common carriers, to the ocean common carrier or marine (e) All marine terminal agreements, as extent that the agreement involves terminal operator, or an agreement defined in § 535.308(a), with the ocean transportation in the foreign between or among such wholly-owned exception of marine terminal commerce of the United States, that carriers or terminal operators. conference, marine terminal conveys to any of the involved parties (b) All agreements between or among interconference, and marine terminal any rights to operate any marine wholly-owned subsidiaries and/or their discussion agreements as defined in terminal facility by means of lease, parent are exempt from the filing § 535.308(b), (c), and (d), are exempt license, permit, assignment, land rental, requirements of the Act and this part. from the waiting period requirements of or other similar arrangement for the use (c) Ocean common carriers are exempt the Act and this part and will, of marine terminal facilities or property. from section 10(c) of the Act to the accordingly, be effective on filing with (b) All marine terminal facilities extent that the concerted activities the Commission. agreements as defined in § 535.310(a) proscribed by that section result solely (f) The filing fee for marine terminal are exempt from the filing and waiting from agreements between or among agreements is provided in § 535.401(g). period requirements of the Act and this wholly-owned subsidiaries and/or their part. parent. § 535.309 Marine terminal services (c) Parties to marine terminal facilities (d) The filing fee for optional filing of agreements—exemption. agreements currently in effect shall be these agreements is provided in (a) Marine terminal services provide copies to any requesting party § 535.401(g). agreement means an agreement, for a reasonable copying and mailing contract, understanding, arrangement, fee. § 535.308 Marine terminal agreements— or association, written or oral, exemption. (d) The filing fee for optional filing of (including any modification or terminal facilities agreements is (a) Marine terminal agreement means appendix) between a marine terminal provided in § 535.401(g). an agreement, understanding, or operator and an ocean common carrier association written or oral (including that applies to marine terminal services § 535.311 Low market share agreements— any modification or appendix) that that are provided to and paid for by an exemption. applies to future, prospective activities ocean common carrier. These services (a) Low market share agreement between or among the parties and that include: Checking, dockage, free time, means any agreement among ocean relates solely to marine terminal handling, heavy lift, loading and common carriers that neither authorizes facilities and/or services among marine unloading, terminal storage, usage, agreement on or discussion of any rate terminal operators and among one or wharfage, and wharf demurrage and or charge nor the rationalization of more marine terminal operators and one including any marine terminal facilities capacity, and for which the combined or more ocean common carriers that that may be provided incidentally to market share of the parties is either: completely sets forth the applicable such marine terminal services. The term (1) Less than 15 percent if all parties rates, charges, terms and conditions ‘‘marine terminal services agreement’’ are members of the same agreement agreed to by the parties for the facilities does not include any agreement that having pricing or capacity and/or services provided for under the conveys to the involved carrier any rationalization authority in the relevant agreement. The term does not include a rights to operate any marine terminal trade lane and all sub-trades; or joint venture arrangement among facility by means of a lease, license, (2) Less than 20 percent if the parties marine terminal operators to establish a permit, assignment, land rental, or are not members of the same agreement separate, distinct entity that fixes its similar other arrangement for the use of having pricing or capacity own rates and publishes its own tariff. marine terminal facilities or property. rationalization authority in the relevant (b) Marine terminal conference (b) All marine terminal services trade lane and all sub-trades. agreement means an agreement between agreements as defined in § 535.309(a) (b) Low market share agreements are or among two or more marine terminal are exempt from the filing and waiting exempt from the waiting period
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requirement of the Act and of this part, (4) Be signed in the original by the (3) If applicable, the expiration date of and are effective on filing. filing party or on the filing party’s the agreement; and (c) Parties to agreements may seek a behalf by an authorized employee or (4) The original effective date of the determination from the Director, Bureau agent of the filing party. agreement whenever the Title Page is of Trade Analysis, as to whether a (c) To facilitate the timely and revised. proposed agreement meets the general accurate publication of the Federal (c) Each agreement page (including definition of a low market share Register notice, the letter of transmittal modifications and appendices) shall be agreement. shall also provide a current list of the identified by printing the agreement agreement’s participants where such name (as shown on the agreement title § 535.312 Vessel charter party— information is not provided elsewhere page) and, once assigned, the applicable exemption. in the transmitted documents. Commission-assigned agreement (a) For purposes of this section, vessel (d) Any agreement that does not meet number at the top of each page. For charter party means a contractual the filing requirements of this section, agreement modifications, the agreement between two ocean common including any applicable Information appropriate amendment number for carriers for the charter of the full reach Form requirements, shall be rejected in each modification should also appear on of a vessel, which agreement sets forth accordance with § 535.601(b). the page along with the basic agreement the entire terms and conditions (e) Assessment agreements shall be number. (including duration, charter hire, and filed and shall be effective upon filing. (d) Each agreement and/or geographical or operational limitations, (f) Parties to agreements with modification filed will be signed in the if any) under which the vessel will be expiration dates shall file any original by an official or authorized employed. modification seeking renewal for a representative of each of the parties and (b) Vessel charter parties, as defined specific term or elimination of a shall indicate the typewritten full name in paragraph (a) of this section, are termination date in sufficient time to of the signing party and his or her exempt from the filing requirements of accommodate the 45-day waiting period position, including organizational the Act and this part. required under the Act. affiliation. Faxed or photocopied (c) The filing fee for optional filing of (g) Fees. The filing fee is $1,834 for signatures will be accepted if replaced vessel charter parties is provided in new agreements requiring Commission with an original signature as soon as § 535.401(g). review and action; $931 for agreement practicable before the effective date. modifications requiring Commission (e) Every agreement shall include a Subpart D—Filing of Agreements review and action; $442 for agreements Table of Contents indicating the § 535.401 General Requirements. processed under delegated authority (for location of all agreement provisions. types of agreements that can be (a) All agreements (including oral § 535.404 Agreement provisions. agreements reduced to writing in processed under delegated authority, see 46 CFR 501.26(e)); and $145 for Generally, each agreement should: accordance with the Act) subject to this (a) Indicate the full legal name of each part and filed with the Commission for carrier and terminal exempt agreements. (h) The fee for a copy of the party, including any FMC-assigned review and disposition pursuant to agreement number associated with that section 6 of the Act, shall be submitted Commission’s agreement database report is $32. name, and the address of its principal during regular business hours to the office (not the address of any agent or Secretary, Federal Maritime § 535.402 Complete and definite representative not an employee of the Commission, Washington, DC 20573. agreements. participating party); Such filing shall consist of: An agreement filed under the Act (b) State the ports or port ranges to (1) A true copy and seven additional must be clear and definite in its terms, which the agreement applies as well as copies of the executed agreement; must embody the complete, present any inland points or areas to which it (2) Where required by this part, an understanding of the parties, and must also applies with respect to the exercise original and five copies of the set forth the specific authorities and of the collective activities contemplated completed Information Form referenced conditions under which the parties to and authorized in the agreement; and at subpart E of this part; and the agreement will conduct their (c) Specify, by organizational title, the (3) A letter of transmittal as described operations and regulate the administrative and executive officials in paragraph (b) of this section. relationships among the agreement determined by the agreement parties to (b) The letter of transmittal shall: members, unless those details are be responsible for designated affairs of (1) Identify all of the documents being matters specifically enumerated as the agreement and the respective duties transmitted including, in the instance of exempt from the filing requirements of and authorities delegated to those a modification to an effective agreement, this part. officials. At a minimum, the agreement the full name of the effective agreement, should specify: § 535.403 Form of agreements. the Commission-assigned agreement (1) The official(s) with authority to number of the effective agreement and The requirements of this section file the agreement and any modification the revision, page and/or appendix apply to all agreements except marine thereto and to submit associated number of the modification being filed; terminal agreements and assessment supporting materials; and (2) Provide a concise, succinct agreements. (2) A statement as to any designated summary of the filed agreement or (a) Agreements shall be clearly and U.S. representative of the agreement modification separate and apart from legibly written. Agreements in a required by this chapter. any narrative intended to provide language other than English shall be support for the acceptability of the accompanied by an English translation. § 535.405 Organization of conference agreement or modification; (b) Every agreement shall include a agreements. (3) Clearly provide the typewritten or Title Page indicating: Each conference agreement shall: otherwise imprinted name, position, (1) The full name of the agreement; (a) State that, at the request of any business address, and telephone number (2) Once assigned, the Commission- member, the conference shall engage the of the filing party; and assigned agreement number; services of an independent neutral body
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to fully police the obligations of the (3) Why granting the requested waiver containing information and data on the conference and its members. The will not substantially impair effective agreement and the parties’ authority agreement must include a description of review of the agreement. under the agreement. any such neutral body authority and (b) Parties to an agreement subject to procedures related thereto. § 535.408 Activities that may be conducted this subpart shall complete and submit without further filings. (b) State affirmatively that the an original and five copies of the conference parties shall not engage in (a) Agreements that arise from Information Form at the time the conduct prohibited by sections 10(c)(1) authority of an effective agreement but agreement is filed. A copy of the Form or 10(c)(3) of the Act. whose terms are not fully set forth in the in Microsoft Word and Excel format (c) Specify the procedures for effective agreement to the extent may be downloaded from the consultation with shippers and for required by § 535.402 are permitted Commission’s home page at handling shippers’ requests and without further filing only if they: www.fmc.gov, or a paper copy of the complaints. (1) Are themselves exempt from the Form may be obtained from the Bureau (d) Include provisions for filing requirements of this part of Trade Analysis. In lieu of submitting independent action in accordance with (pursuant to subpart C—Exemptions of paper copies, parties may complete and § 535.801 of this part. this part); or submit their Information Form in the (2) Concern matters set forth in Commission’s prescribed electronic § 535.406 Modification of agreements. paragraph (b) of this section. format, either on diskette or CD–ROM. The requirements of this section (b) Unless otherwise exempt in (c) A complete response in apply to all agreements except marine subpart C of this part, only the following accordance with the instructions on the terminal agreements and assessment technical or operational matters of an Information Form shall be supplied to agreements. agreement’s affairs established pursuant each item. If a party to the agreement is (a) Agreement modifications shall be to express enabling authority in an unable to supply a complete response, filed in accordance with the provisions agreement are considered part of the that party shall provide either estimated of §§ 535.401 and 535.403. effective agreement and do not require data (with an explanation of why (b) Agreement modifications shall be further filing under section 5 of the Act: precise data are not available) or a made by reprinting the entire page on (1) Establishment of tariff rates, rules detailed statement of reasons for which the matter being changed is and regulations and their joint noncompliance and the efforts made to published (‘‘revised page’’). The revised publication; obtain the required information. page shall indicate the consecutive (2) The terms and conditions of space (d) Agreement parties may denomination of the revision (e.g., ‘‘1st allocation and slot sales, the supplement the Information Form with Revised Page 7’’). Additional material establishment of space charter rates, and any additional information or material may be published on a new original terms and conditions of charter parties; to assist the Commission’s review of an page. New original pages inserted (3) Stevedoring, terminal, and related agreement. between existing effective pages shall be services, including the operation of (e) The Information Form and any numbered with an alpha suffix (e.g., a tonnage centers or other joint container additional information submitted in page inserted between page 7 and page marshaling facilities; conjunction with the filing of an 8 shall be numbered 7a). (4) The following administrative agreement shall not be disclosed by the (c) Each revised page shall be matters: Commission except as provided in accompanied by a duplicate page, (i) Scheduling of agreement meetings; § 535.608. submitted for illustrative purposes only, (ii) Collection, collation and indicating the language being modified circulation of data and reports from or § 535.502 Agreements subject to the in the following manner: to members; and Information Form requirements. (1) Language being deleted or (iii) Procurement, maintenance, or Agreements and modifications to superseded shall be struck through; and, sharing of office facilities, furnishings, agreements between or among ocean (2) New and initial or replacement equipment and supplies, the allocation common carriers subject to this subpart language shall immediately follow the and assessment of costs thereof, or the are: language being superseded and be provisions for the administration and (a) All agreements identified in underlined. management of such agreements by duly § 535.201(a), except for low market (d) If a modification requires the appointed individuals. share agreements identified in relocation of the provisions of the (5) operational matters such as port § 535.311; or agreement, such modification shall be rotations, changes in vessel size or (b) Modifications to an agreement that accompanied by a revised Table of number of vessels if within a range add any of the following authorities: Contents page that shall indicate the specified in the agreement, or vessel (1) The discussion of, or agreement new location of the provisions. substitution or replacement if, as a on, whether on a binding basis under a result, there is no significant change in common tariff or a non-binding basis, § 535.407 Application for waiver. capacity; and any kind of rate or charge; (a) Upon a showing of good cause, the (6) neutral body policing (limited to (2) The discussion of, or agreement Commission may waive the the description of neutral body on, capacity rationalization; requirements of §§ 535.401, 535.403, authority and procedures related (3) The establishment of a joint 535.404, 535.405, and 535.406. thereto). service; (b) Requests for such a waiver shall be (4) The pooling or division of traffic, submitted in advance of the filing of the Subpart E—Information Form earnings, or revenues and/or losses; agreement to which the requested Requirements (5) The discussion or exchange of data waiver would apply and shall state: on vessel-operating costs; and/or (1) The specific provisions from § 535.501 General requirements. (6) The discussion of service contract which relief is sought; (a) Agreements and modifications to matters; or (2) The special circumstances agreements identified in § 535.502 shall (c) For an agreement containing any requiring the requested relief; and be accompanied by an Information Form authority identified in § 535.502(b),
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modifications to the agreement that (2) The special circumstances (6) The final date for filing comments expand the geographic scope of the requiring the requested relief; regarding the agreement. agreement. (3) Relevant trade and industry data and information to substantiate and § 535.603 Comment. § 535.503 Information Form. support the special circumstances (a) Persons may file with the Secretary (a) The Information Form, with requiring the requested relief; written comments regarding a filed instructions, for agreements and (4) Why granting the requested waiver agreement. Such comments will be modifications to agreements subject to will not substantially impair effective submitted in an original and ten (10) this subpart, is set forth in sections I review of the agreement; and copies and are not subject to any through V of appendix A of this part. (5) A description of the full limitations except the time limits The instructions should be read in membership, geographic scope, and provided in the Federal Register notice. conjunction with the Act and this part. authority of the agreement or the Late-filed comments will be received (b) The Information Form shall apply agreement modification that is to be only by leave of the Commission and as follows: filed with the Commission. only upon a showing of good cause. If (1) Sections I and V shall be (c) The Commission may take into requested, comments and any completed by parties to all agreements account the presence or absence of accompanying material shall be identified in § 535.502; accorded confidential treatment to the (2) Section II shall be completed by shipper complaints as well as the past fullest extent permitted by law. Such parties to agreements identified in compliance of the agreement parties requests must include a statement of § 535.502(a) that contain any of the with any reporting requirement under legal basis for confidential treatment following authorities: the charter or use this part in considering an application of vessel space in exchange for for a waiver. including the citation of appropriate statutory authority. Where a compensation or services; and/or the Subpart F—Action on Agreements rationalization of sailings or services determination is made to disclose all or a portion of a comment, relating to a schedule of ports, the § 535.601 Preliminary review—rejection of frequency of port calls, and/or the size agreements. notwithstanding a request for confidentiality, the party requesting and capacity of vessels for deployment. (a) The Commission shall make a Such authorities do not include the confidentiality will be notified prior to preliminary review of each filed disclosure. establishment of a joint service, nor agreement to determine whether the (b) The filing of a comment does not capacity rationalization; agreement is in compliance with the entitle a person to: (3) Section III shall be completed by requirements of the Act and this part parties to agreements identified in and, where applicable, whether the (1) Reply to the comment by the § 535.502 that contain the authority to accompanying Information Form is Commission; discuss or agree on capacity complete or, where not complete, (2) The institution of any Commission rationalization; and whether the deficiency is adequately or court proceeding; (4) Section IV shall be completed by explained or is excused by a waiver (3) Discussion of the comment in any parties to agreements identified in granted by the Commission under Commission or court proceeding § 535.502 that contain any of the § 535.504. concerning the filed agreement; or following authorities: (b) (1) The Commission shall reject (4) Participation in any proceeding (i) The discussion of, or agreement on, any agreement that fails to comply with that may be instituted. whether on a binding basis under a the filing and Information Form common tariff or a non-binding basis, § 535.604 Waiting period. requirements of the Act and this part. any kind of rate or charge; The Commission shall notify the filing (a) The waiting period before an (ii) The establishment of a joint party in writing of the reason for agreement becomes effective shall service; rejection of the agreement. The original commence on the date that an (iii) The pooling or division of agreement is filed with the Commission. cargoes, earnings, or revenues and/or filing, along with any supplemental information or documents submitted, (b) Unless suspended by a request for losses; additional information or extended by (iv) The discussion or exchange of shall be returned to the filing party. (2) Should a rejected agreement be court order, the waiting period data on vessel-operating costs; and/or terminates and an agreement becomes (v) The discussion of service contract refiled, the full 45-day waiting period effective on the latter of the 45th day matters. will apply to the refiled agreement. after the filing of the agreement with the § 535.504 Application for waiver. § 535.602 Federal Register notice. Commission or on the 30th day after (a) Upon a showing of good cause, the (a) A notice of any filed agreement publication of notice of the filing in the Commission may waive any part of the that has not already been rejected Federal Register. Information Form requirements of pursuant to § 535.601 will be (c) The waiting period is suspended § 535.503. transmitted to the Federal Register on the date when the Commission, (b) A request for such a waiver must within seven days of the date of filing. either orally or in writing, requests be submitted and approved by the (b) The notice will include: additional information or documentary Commission in advance of the filing of (1) A short title for the agreement; materials pursuant to section 6(d) of the the Information Form to which the (2) The identity of the parties to the Act. The 45-day waiting period begins requested waiver would apply. Requests agreement and the filing party; anew on the date of receipt of all the for a waiver shall be submitted in (3) The Federal Maritime Commission additional material requested or of a writing to the Director, Bureau of Trade agreement number; statement of the reasons for Analysis, Federal Maritime (4) A concise summary of the noncompliance, and the agreement Commission, Washington, DC 20573– agreement’s contents; becomes effective in 45 days unless the 0001, and shall state: (5) A statement that the agreement is waiting period is further extended by (1) The specific requirements from available for inspection at the court order or the Commission grants which relief is sought; Commission’s offices; and expedited review.
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§ 535.605 Requests for expedited review. District Court for the District of submission of additional information, (a) Upon written request of the filing Columbia to further extend the reasons for noncompliance, and replies party, the Commission may shorten the agreement’s effective date until there to requests for additional information. waiting period. In support of a request, has been substantial compliance. (b) Information that is confidential the filing party should provide a full (c) A request for additional pursuant to paragraph (a) of this section explanation, with reference to specific information may be made orally or in may be disclosed, however, to the facts and circumstances, of the necessity writing. In the case of an oral request, extent: for a shortened waiting period. In a written confirmation of the request (1) It is relevant to an administrative reviewing requests, the Commission shall be mailed to the filing party within or judicial action or proceeding; or will consider the parties’ needs and the seven days of the oral request. (2) It is disclosed to either body of Commission’s ability to complete its (d) The Commission shall publish a Congress or to a duly authorized review of the agreement’s potential notice in the Federal Register that it has committee or subcommittee of Congress. impact. In no event, however, may the requested additional information and (c) Parties may voluntarily disclose or period be shortened to less than serve that notice on any commenting make information publicly available. If fourteen days after the publication of party. The notice shall indicate only parties elect to disclose information the notice of the filing of the agreement that a request was made and will not they shall promptly inform the in the Federal Register. When a request specify what information is being Commission. for expedited review is denied, the sought. Interested parties will have § 535.609 Negotiations. normal 45-day waiting period will fifteen (15) days after publication of the At any time after the filing of an apply. Requests for expedited review notice to file further comments on the agreement and prior to the conclusion of will not be granted routinely and will be agreement. judicial injunctive proceedings, the granted only on a showing of good § 535.607 Failure to comply with requests filing party or an authorized cause. Good cause would include, but is representative may submit additional not limited to, the impending expiration for additional information. (a) A failure to comply with a request factual or legal support for an agreement of the agreement; an operational or may propose modifications of an urgency; Federal or State imposed time for additional information results when a person filing an agreement, or an agreement. Such negotiations between limitations; or other reasons that, in the Commission personnel and filing parties Commission’s discretion, constitute officer, director, partner, agent, or employee thereof fails to substantially may continue during the pendency of grounds for granting the request. injunctive proceedings. Shippers, other (b) A request for expedited review respond to the request or does not file government departments or agencies, will be considered for an agreement a satisfactory statement of reasons for and other third parties may not whose 45-day waiting period has begun noncompliance. An adequate response participate in these negotiations. anew after being stopped by a request is one which directly addresses the for additional information. Commission’s request. When a response Subpart G—Reporting Requirements is not received by the Commission § 535.606 Requests for additional within a specified time, failure to § 535.701 General requirements. information. comply will have occurred. (a) Parties to agreements identified in (a) The Commission may request from (b) The Commission may, pursuant to § 535.702(a) shall submit quarterly the filing party any additional section 6(i) of the Act, request relief Monitoring Reports on an ongoing basis information and documents necessary to from the United States District Court for for as long as the agreement remains in complete the statutory review required the District of Columbia when it effect, containing information and data by the Act. The request shall be made considers that there has been a failure on the agreement and the parties’ prior to the expiration of the 45-day to substantially comply with a request authority under the agreement. waiting period. All responses to a for additional information. The (b) Parties to agreements identified in request for additional information and Commission may request that the court: § 535.704 are required to submit documents shall be submitted to the (1) Order compliance with the minutes of their meetings for as long as Director, Bureau of Trade Analysis, request; their agreements remain in effect. Federal Maritime Commission, (2) Extend the review period until (c) If a joint service is a party to an Washington, DC 20573. there has been substantial compliance; agreement that is subject to the (b) Where the Commission has made or requirements of this subpart, the joint a request for additional information, the (3) Grant other equitable relief that service shall be treated as one member agreement’s effective date will be 45 under the circumstances seems of that agreement for purposes of that days after receipt of the complete necessary or appropriate. agreement’s Monitoring Reports. response to the request for additional (c) Where there has been a failure to (d) Monitoring Reports and minutes information. If all questions are not fully substantially comply, section 6(i)(2) of required to be filed by this subpart answered or requested documents are the Act provides that the court shall should be submitted to: Director, Bureau not supplied, the parties must include a extend the review period until there has of Trade Analysis, Federal Maritime statement of reasons why questions been substantial compliance. Commission, Washington, DC 20573– were not fully answered or documents 0001. A copy of the Monitoring Report supplied. In the event all material is not § 535.608 Confidentiality of submitted form in Microsoft Word and Excel submitted, the agreement’s effective material. format may be downloaded from the date will be 45 days after receipt of both (a) Except for an agreement filed Commission’s Home page at the documents and information which under section 5 of the Act, all http:\\www.fmc.gov, or a paper copy are submitted, if any, and the statement information submitted to the may be obtained from the Bureau of indicating the reasons for Commission by the filing party will be Trade Analysis. In lieu of submitting noncompliance. The Commission may, exempt from disclosure under 5 U.S.C. paper copies, parties may complete and upon notice to the Attorney General, 552. Included in this disclosure submit their Monitoring Reports in the and pursuant to sections 6(i) and 6(k) of exemption is information provided in Commission’s prescribed electronic the Act, request the United States the Information Form, voluntary format, either on diskette or CD–ROM.
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(e) (1) The regulations in this (ii) It is disclosed to either body of necessary, alternative periodic reporting paragraph (e) are stayed until further Congress or to a duly authorized requirements for parties to any notice. committee or subcommittee of Congress. agreement identified in § 535.201. (2) Parties may voluntarily disclose or (2) Reports and minutes required to be § 535.703 Monitoring Report form. filed by this subpart may be filed by make Monitoring Reports, minutes or direct electronic transmission in lieu of any other additional information (a) For agreements subject to the hard copy. Detailed information on publicly available. The Commission Monitoring Report requirements in electronic transmission is available from must be promptly informed of any such § 535.702(a), the Monitoring Report the Commission’s Bureau of Trade voluntary disclosure. form, with instructions, is set forth in Analysis. Certification and signature (j) Monitoring Report or alternative sections I through III of appendix B of requirements of this subpart can be met periodic reporting requirements in this this part. The instructions should be on electronic transmissions through use subpart shall not be construed to read in conjunction with the Act and of a pre-assigned Personal Identification authorize the exchange or use by or this part. among agreement members of Number (PIN) obtained from the (b) The Monitoring Report shall apply information required to be submitted. Commission. PINs can be obtained by as follows: submission by an official of the filing § 535.702 Agreements subject to (1) Section I shall be completed by party of a statement to the Commission Monitoring Report and alternative periodic parties to agreements identified in agreeing that inclusion of the PIN in the reporting requirements. § 535.702(a)(1); transmission constitutes the signature of (a) Agreements subject to the (2) Section II shall be completed by the official. Only one PIN will be issued Monitoring Report requirements of this parties to agreements identified in for each agreement. Where a filing party subpart are: § 535.702(a)(2); and has more than one official authorized to (1) An agreement that contains the file minutes or reports, each additional authority to discuss or agree on capacity (3) Section III shall be completed by official must submit such a statement rationalization; and/or parties to all agreements identified in countersigned by the principal official (2) Where the parties to an agreement § 535.702(a). of the filing party. Each filing official hold a combined market share, based on (c) In accordance with the will be issued a unique password. A PIN cargo volume, of 35 percent or more in requirements and instructions in or designation of authorized filing the entire U.S. inbound or outbound appendix B of this part, parties to an officials may be canceled or changed at geographic scope of the agreement and agreement subject to part 3 of section I any time upon the written request of the the agreement contains any of the of the Monitoring Report shall submit a principal official of the filing party. following authorities: narrative statement on any planned Direct electronic transmission filings (i) The discussion of, or agreement on, changes in the vessel capacity and/or may be made at any time except whether on a binding basis under a liner services that the parties will between the hours of 8:30 a.m. and 2:00 common tariff or a non-binding basis, implement under the agreement. This p.m. Eastern time on Commission any kind of rate or charge; statement shall be submitted to the business days. (ii) The establishment of a joint Director, Bureau of Trade Analysis, no (f) Time for filing. Except as otherwise service; later than 15 days after a vessel capacity instructed, Monitoring Reports shall be (iii) The pooling or division of and/or liner service change has been filed within 75 days of the end of each cargoes, earnings, or revenues and/or agreed upon by the parties but prior to calendar quarter. Minutes of meetings losses; the implementation of the actual change shall be filed within 15 days after the (iv) The discussion or exchange of under the agreement. meeting. Other documents shall be filed data on vessel-operating costs; and/or (d) (1) The Commission may require, within 15 days of the receipt of a (v) The discussion of service contract in its discretion, that the information on request for documents. matters. the top agreement commodities in part (g) A complete response in (b) The determination of an agreement’s reporting obligation under 4 of section II of the Monitoring Report accordance with the instructions on the be reported on a sub-trade basis, as Monitoring Report shall be supplied to § 535.702(a)(2) in the first instance shall be based on the market share data defined in appendix B of this part, each item. If a party to an agreement is rather than on an agreement-wide basis. unable to supply a complete response, reported on the agreement’s Information Form submitted pursuant to § 535.503. When commodity sub-trade information that party shall provide either estimated is required under this section, the data (with an explanation of why Thereafter, at the beginning of each calendar year, the Bureau of Trade Commission shall notify the parties to precise data are not available) or a the agreement. detailed statement of reasons for Analysis will notify the agreement noncompliance and the efforts made to parties of any changes in its reporting (2) For purposes of § 535.703(d)(1), obtain the required information. requirements based on market share the top agreement commodities shall mean the top 10 liner commodities (h) A Monitoring Report for a data reported on the agreement’s (including commodities not subject to particular agreement may be quarterly Monitoring Report for the tariff publication) carried by all the supplemented with any other relevant previous second quarter (April-June). (c) The Commission may require, as agreement parties in each sub-trade information or documentary material. necessary, that the parties to an within the geographic scope of the (i) Confidentiality. agreement with market share below the agreement during the calendar quarter. (1) The Monitoring Reports, minutes, 35 percent threshold, as identified and Where the agreement covers both U.S. and any other additional information defined in § 535.702(a)(2), submit inbound and outbound liner submitted by a particular agreement will Monitoring Reports pursuant to movements, inbound and outbound sub- be exempt from disclosure under 5 § 535.703. trades shall be stated separately. All U.S.C. 552, except to the extent: (d) In addition to or instead of the other instructions, definitions, and (i) It is relevant to an administrative Monitoring Report in § 535.703, the terms shall apply as specified and or judicial action or proceeding; or Commission may prescribe, as required in appendix B of this part.
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§ 535.704 Filing of minutes. published in an appropriate tariff. This days’ notice to the conference, except (a) Agreements Required To File exemption does not apply to that in the case of a new or increased Minutes. discussions concerning general rate rate the notice period shall conform to (1) This section applies to agreements policy, general rate changes, the the tariff publication requirements of authorized to engage in any of the opening or closing of rates, service this chapter. following activities: discussion or contracts, or time/volume rates. (2) A conference agreement shall not establishment of any type of rates, (e) Serial numbers. Each set of prescribe notice periods for adopting, whether in tariffs or service contracts; minutes filed with the Commission withdrawing, postponing, canceling, or pooling or apportionment of cargo; shall include the agreement name and taking other similar actions on discussion of revenues, losses, or FMC number and a unique independent actions. earnings; discussion or exchange of identification number indicating the (c) Each conference agreement shall vessel-operating costs; discussion or sequence in which the meeting took indicate the conference official, single agreement on service contract matters, place during the calendar year. designated representative, or conference including the establishment of office to which notice of independent voluntary service contract guidelines. § 535.705 Application for waiver. action is to be provided. A conference (2) Each agreement to which this (a) Upon a showing of good cause, the agreement shall not require notice of section applies shall file with the Commission may waive any independent action to be given by the Commission, through a designated requirement of this subpart. proposing member to the other parties official, minutes of all meetings defined (b) A request for such a waiver must to the agreement. in paragraph (b) of this section, except be submitted and approved by the (d) A conference agreement shall not as provided in paragraph (d) of this Commission in advance of the filing require a member who proposes section. date of the Monitoring Report or independent action to attend a (b) Meetings. For purposes of this minutes to which the requested waiver conference meeting, to submit any subpart, the term meeting shall include would apply. Requests for a waiver shall further information other than that all discussions at which any agreement be submitted in writing to the Director, necessary to accomplish the publication is reached among any number of the Bureau of Trade Analysis, Federal of the independent tariff item, or to parties to an agreement relating to the Maritime Commission, Washington, DC comply with any other procedure for the business of the agreement, and all other 20573–0001, and shall state and provide purpose of explaining, justifying, or discussions among three or more the following: compromising the proposed members of the agreement (or all (1) The specific requirements from independent action. members if fewer than three) relating to which relief is sought; (e) A conference agreement shall the business of the agreement. This (2) The special circumstances specify that any new rate or service item includes, but is not limited to, meetings requiring the requested relief; proposed by a member under of the members’ agents, principals, (3) Relevant trade and industry data independent action (except for exempt owners, officers, employees, and information to substantiate and commodities not published in the representatives, committees, or support the special circumstances conference tariff) shall be included by subcommittees, and communications requiring the requested relief; and the conference in its tariff for use by that among members facilitated by (4) Why granting the requested waiver member effective no later than 5 agreement officials. Discussions will not substantially impair effective calendar days after receipt of the notice conducted by telephone, electronic monitoring of the agreement. and by any other member that notifies device, or other means are included. (c) The Commission may take into the conference that it elects to adopt the (c) Content of minutes. Minutes shall account the presence or absence of independent rate or service item on or include the following: (1) The date, shipper complaints as well as the past after its effective date. time, and place of the meeting; compliance of the agreement parties (f) (1) As it pertains to this part, (2) A list of attendees and companies with any reporting requirement under ‘‘adopt’’ means the assumption in represented; this part in considering an application identical form of an originating (3) A description of discussions for a waiver. member’s independent action rate or detailed enough so that a non- service item, or a particular portion of participant reading the minutes could Subpart H—Mandatory and Prohibited such rate or service item. If a carrier reasonably gain a clear understanding of Provisions adopts an IA at a lower rate than the the nature and extent of the discussions conference rate when there is less than and, where applicable, any decisions § 535.801 Independent action. 30 days remaining on the original IA, reached; and (a) Each conference agreement shall the adopted IA should be made to (4) Any report, circular, notice, specify the independent action (‘‘IA’’) expire 30 days after its effectiveness to statistical compilation, analytical study, procedures of the conference, which comply with the statutory 30-day notice survey, or other work distributed, shall provide that any conference requirement. In the case of an discussed, or exchanged at the meeting, member may take independent action independent action time/volume rate whether presented by oral, written, on any rate or service item upon not (‘‘IA TVR’’), the dates of the adopting IA electronic, or other means. Where the more than 5 calendar days’ notice to the may vary from the dates of the original aforementioned materials are reasonably conference and shall otherwise be in IA, so long as the duration of the available to the public, a citation to the conformance with section 5(b)(8) of the adopting IA is the same as that of the work or relevant part thereof is Act. originating IA. Furthermore, no term acceptable in lieu of the actual work. (b) (1) Each conference agreement that other than ‘‘adopt’’ (e.g., ‘‘follow,’’ (d) Exemption. Minutes are not provides for a period of notice for ‘‘match’’) can be used to describe the required to reflect discussions of independent action shall establish a action of assuming as one’s own an administrative matters, as set forth in fixed or maximum period of notice to initiating carrier’s IA. Additionally, if a § 535.408(b)(4)(iii), or discussions of or the conference. A conference agreement party to an agreement chooses to take on actions taken with regard to rates that, shall not require or permit a conference an IA of another party, but alters it, such if adopted, would be required to be member to give more than 5 calendar action is considered a new IA and must
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be published pursuant to the IA § 535.802 Service contracts. penalties set forth in section 13(a) of the publication and notice provisions of the (a) Ocean common carrier agreements Act. applicable agreement. may not prohibit or restrict a member or § 535.902 Falsification of reports. (2) An IA TVR published by a member members of the agreement from Knowing falsification of any report of a ratemaking agreement may be engaging in negotiations for service required by the Act or this part, adopted by another member of the contracts with one or more shippers. including knowing falsification of any agreement, provided that the adopting (b) Ocean common carrier agreements item in any applicable agreement member takes on the original IA TVR in may not require a member or members information and/or reporting its entirety without change to any aspect of the agreement to disclose a requirements pursuant to subparts E and of the original rate offering (except negotiation on a service contract, or the G of this part is a violation of the rules beginning and ending dates in the time terms and conditions of a service of this part and is subject to the civil period) (i.e., a separate TVR with a contract, other than those terms or penalties set forth in section 13(a) of the separate volume of cargo but for the conditions required by section 8(c)(3) of Act and may be subject to the criminal same duration). Any subsequent IA TVR the Act. penalties provided for in 18 U.S.C. offering that results in a change in any (c) Ocean common carrier agreements 1001. aspect of the original IA TVR, other than may not adopt mandatory rules or the name of the offering carrier or the requirements affecting the right of an Subpart J—Paperwork Reduction beginning date of the adopting IA TVR, agreement member or agreement is a new independent action and shall members to negotiate or enter into § 535.991 OMB control numbers assigned be processed in accordance with the service contracts. pursuant to the Paperwork Reduction Act. provisions of the applicable agreement. (d) An agreement may provide This section displays the control The adoption procedures discussed authority to adopt voluntary guidelines number assigned to information above do not authorize the participation relating to the terms and procedures of collection requirements of the by an adopting carrier in the cargo an agreement member’s or agreement Commission in this part by the Office of volume of the originating carrier’s IA members’ service contracts if the Management and Budget pursuant to the TVR. Member lines may publish and guidelines explicitly state the right of Paperwork Reduction Act of 1995, Pub. participate in joint IA TVRs, if the members of the agreement not to L. 104–13. The Commission intends that permitted to do so under the terms of follow these guidelines. this section comply with the their agreement; however, no carrier (e) Voluntary guidelines shall be requirements of section 3507(a)(3) of the may participate in an IA TVR already submitted to the Director, Bureau of Paperwork Reduction Act, which published by another carrier. Trade Analysis, Federal Maritime requires that agencies display a current Commission, Washington, DC 20573. (g) A conference agreement shall not control number assigned by the Director Voluntary guidelines shall be kept require or permit individual member of the Office of Management and Budget confidential in accordance with lines to be assessed on a per carrier (OMB) for each agency information § 535.608 of this part. Use of voluntary usage basis the costs and/or collection requirement: guidelines prior to their submission is administrative expenses incurred by the prohibited. Current OMB agreement in processing independent Section control No. action filings. § 535.803 Ocean freight forwarder (h) A conference agreement may not compensation. 535.101 through 535.902 ..... 3072–0045 permit the conference to unilaterally No conference or group of two or designate an expiration date for an more ocean common carriers may Appendix A to Part 535—Information independent action taken by a member (a) deny to any member of such Form and Instructions line. The right to determine the duration conference or group the right, upon Instructions of an IA remains with the member line, notice of not more than 5 calendar days, All agreements and modifications to and a member line must be given the to take independent action on any level agreements between or among ocean opportunity to designate whatever of compensation paid to an ocean common carriers identified in 46 CFR duration it chooses for its IA, regardless freight forwarder; or 535.502 must be accompanied by a if the duration is for a specified period (b) agree to limit the payment of completed Information Form to the full or open ended. Only in instances where compensation to an ocean freight extent required in sections I through V of this a member line gives its consent to the forwarder to less than 1.25 percent of Form. Sections I and V must be completed the aggregate of all rates and charges by all such agreements. In addition, sections conference, or where a member line II, III and IV must be completed, as freely elects not to provide for the applicable under the tariff assessed applicable, in accordance with the authority duration of its IA after having been against the cargo on which the contained in each agreement. Where an given the opportunity, can the forwarding services are provided. agreement containing multiple authorities is conference designate an expiration date subject to duplicate reporting requirements for the member line’s IA. Subpart I—Penalties in the various sections of this Form, the parties may provide only one response so (i) Any new conference agreement or § 535.901 Failure to file. long as the reporting requirements within any modification to an existing Any person operating under an each section are fully addressed. The conference agreement that does not agreement, involving activities subject Information Form specifies the data and comply with the requirements of this to the Act pursuant to sections 4 and information which must be reported for each section shall be rejected pursuant to 5(a) of the Act and this part and not section and the format in which it must be § 535.601 of this part. exempted pursuant to section 16 of the provided. If a party to an agreement is unable to supply a complete response to any item of (j) If ratemaking is by sections within Act or excluded from filing by the Act, this Form, that party shall provide either a conference, then any notice to the that has not been filed and that has not estimated data (with an explanation of why conference required by this section may become effective pursuant to the Act precise data are not available) or a detailed be made to the particular ratemaking and this part is in violation of the Act statement of reasons for noncompliance and section. and this part and is subject to the civil the efforts made to obtain the required
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information. For purposes of this Form, if Part 4(C) Part 1(B) one of the agreement signatories is a joint Identify whether the agreement authorizes Provide a narrative statement that clearly service operating under an effective the parties to pool cargoes or revenues. describes the nature, level, or type of any agreement, that signatory shall respond to the anticipated or planned changes in service at Part 4(D) Form as a single agreement party. For ports that the parties would implement under clarification of the agreement terminology Identify whether the agreement authorizes the agreement after it goes into effect. used in this Form, the parties may refer to the parties to discuss or exchange data on Examples of such changes include a change the definitions provided in 46 CFR 535.104. vessel-operating costs. in the base port designation, the frequency of In addition, the following definitions shall Part 4(E) vessel calls, and the use of indirect as apply for purposes of this Form: liner opposed to direct service. If no change is movement means the carriage of liner cargo Identify whether the agreement authorizes anticipated or planned, it shall be noted with by liner operators; liner cargo means cargo parties to discuss service contract matters. the term ‘‘none’’ in response to part 1(B) of carried on liner vessels in a liner service; this section. liner operator means a vessel-operating Part 4(F) common carrier engaged in liner service; Identify whether the agreement authorizes Section III liner vessel means a vessel used in a liner the parties to discuss or agree on capacity Section III applies to agreements identified service; liner service means a definite, rationalization as defined in 46 CFR in 46 CFR 535.502 that contain the authority advertised schedule of sailings at regular 535.104(e). to discuss or agree on capacity rationalization intervals; and TEU means a unit of Part 4(G) as defined in 46 CFR 535.104(e). Parties to measurement equivalent to one 20-foot such agreements must complete parts 1 shipping container. Further, when used in Identify whether the agreement contains through 3 of this section. this Form, the terms ‘‘entire geographic scope provisions that place conditions or of the agreement’’ or ‘‘agreement-wide’’ refer restrictions on the parties’ agreement Part 1(A) to the combined U.S. inbound trade and/or participation, and/or use or offering of For the most recent calendar quarter for the combined U.S. outbound trade as such competing services within the geographic which complete data are available, provide trades apply to the geographic scope of the scope of the agreement. the amount of vessel capacity for each party agreement, rather than ‘‘sub-trades’’ which Part 4(H) for each of its liner services that would be refer to the specific foreign countries and covered by the agreement within the entire specific U.S. port ranges that are included in Identify whether the agreement authorizes geographic scope of the agreement, stated the geographic scope of the agreement. the parties to charter or use vessel space in separately for the U.S. inbound and Whether required on a combined trade basis exchange for compensation or services. This outbound trades as applicable to the or a sub-trade basis, the U.S. inbound trade authority does not include capacity geographic scope of the agreement. For (or sub-trades) and the U.S. outbound trade rationalization as referred to in part 4(F) of purposes of this Form, vessel capacity means (or sub-trades) shall always be stated this section. a party’s total commercial liner space on line- separately. Part 4(I) haul vessels, whether operated by it or other parties from whom space is obtained, sailing Section I Identify whether the agreement authorizes to and/or from the continent of North the parties to rationalize sailings or services Section I applies to all agreements and America for each of its liner services that relating to a schedule of ports, the frequency modifications to agreements identified in 46 would be covered by the agreement. When 50 of port calls, and/or the size and capacity of CFR 535.502. Parties to such agreements percent or more of the total liner cargo vessels for deployment. This authority does must complete parts 1 through 4 of this carried by all the parties in the geographic not include establishment of a joint service section. scope of the agreement during the calendar or capacity rationalization as referred to in quarter was containerized, the amount(s) of Part 1 parts 4(B) and 4(F) of this section. vessel capacity for each party shall be State the full name of the agreement. Part 4(J) reported in TEUs. When 50 percent or more Part 2(A) Identify any other authority contained in of the total liner cargo carried by all the parties in the geographic scope of the Provide a narrative statement describing the agreement that is not otherwise covered agreement during the calendar quarter was the specific purpose(s) of the agreement in part 4 of this section. If there is no other non-containerized, the amount(s) of vessel pertaining to the parties’ business activities authority in the agreement, it shall be noted capacity for each party shall be reported in as ocean common carriers in the foreign with the term ‘‘none’’ in response to part 4(J) non-containerized units of measurement. The commerce of the United States. of this section. unit of measurement used in calculating the Part 2(B) Section II amounts of non-containerized vessel capacity Provide a narrative statement describing Section II applies to agreements identified must be specified clearly and consistently the commercial or other relevant in 46 CFR 535.502(a) that contain any of the applied. circumstances within the geographic scope of following authorities: (a) the charter or use of Part 1(B) the agreement that led the parties to enter vessel space in exchange for compensation or Provide the percentage of vessel capacity into the agreement. services; and/or (b) the rationalization of sailings or services relating to a schedule of utilization for each party for each of its liner Part 3 ports, the frequency of port calls, and/or the services that would be covered by the List all effective agreements that cover all size and capacity of vessels for deployment. agreement within the entire geographic scope or part of the geographic scope of this Such authorities do not include the of the agreement, corresponding to the agreement, and whose parties include one or establishment of a joint service, nor capacity figures and time period used in part 1(A) of more of the parties to this agreement. rationalization as defined in 46 CFR this section, stated separately for the U.S. 535.104(e). Parties to agreements identified inbound and outbound trades as applicable Part 4(A) in this section must complete all items in to the geographic scope of the agreement. For Identify whether the agreement authorizes part 1. purposes of this Form, the percentage of the parties to discuss, or agree upon, whether vessel capacity utilization means a party’s on a binding basis under a common tariff or Part 1(A) total volume of liner cargo, for each of its a non-binding basis, any kind of rate or For the most recent 12-month period for liner services that would be covered by the charge. which complete data are available, provide agreement, carried on any vessel space the number of vessel calls each party made counted under part 1(A) of this section, Part 4(B) at each port for its liner services that would divided by its total vessel capacity as defined Identify whether the agreement authorizes be covered by the agreement within the and derived in part 1(A) of this section, the parties to establish a joint service. entire geographic scope of the agreement. which quotient is multiplied by 100.
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Part 2 the port ranges defined herein. The parties both U.S. inbound and outbound liner For the most recent 12-month period for must further show that, though operating movements, inbound and outbound data which complete data are available, provide individually, they were nevertheless shall be stated separately. applying essentially similar regional the number of vessel calls each party made Part 3(A) at each port for its liner services that would practices. For the same 12-month period used in part be covered by the agreement within the The formula for calculating market share in 2 of this section, provide a list, for the entire entire geographic scope of the agreement. the entire agreement scope or in a sub-trade is as follows: The total amount of liner cargo geographic scope of the agreement, of the top Part 3 carried on each liner operator’s liner vessels 10 liner commodities (including Provide a narrative statement that clearly in the entire agreement scope or in the sub- commodities not subject to tariff publication) describes the nature, basis, and effects of any trade during the most recent calendar quarter carried by all the parties for their liner anticipated or planned changes in the vessel for which complete data are available, services that would fall under the agreement. capacity and/or liner services (including divided by the total liner movements in the For purposes of this Form, commodities shall service at ports) that the parties would entire agreement scope or in the sub-trade be identified at the 4-digit level of implement under the agreement after it goes during the same calendar quarter, which customarily used commodity coding into effect. If no change is anticipated or quotient is multiplied by 100. The calendar schedules. When 50 percent or more of the planned, it shall be noted with the term quarter used must be clearly identified. The total liner cargo carried by all the parties in ‘‘none’’ in response to part 3 of this section. market shares held by non-agreement lines as the geographic scope of the agreement during well as by agreement lines must be provided, the 12-month period was containerized, this Section IV stated separately in the format indicated. list shall include only containerized Section IV applies to agreements identified If 50 percent or more of the total liner cargo commodities. When 50 percent or more of in 46 CFR 535.502 that contain any of the carried by the parties in the entire agreement the total liner cargo carried by all the parties following authorities: (a) The discussion of, scope or in the sub-trade during the calendar in the geographic scope of the agreement or agreement upon, whether on a binding quarter was containerized, only during the 12-month period was non- basis under a common tariff or a non-binding containerized liner movements (measured in containerized, this list shall include only basis, any kind of rate or charge; (b) the TEUs) must be used for determining market non-containerized commodities. When the establishment of a joint service; (c) The share. If 50 percent or more of the total liner agreement covers both U.S. inbound and pooling or division of cargoes, earnings, or cargo carried by the parties was non- outbound liner movements, inbound and revenues and/or losses; (d) the discussion or containerized, only non-containerized liner outbound data shall be stated separately. exchange of data on vessel-operating costs; movements must be used for determining Part 3(B) and/or (e) the discussion of service contract market share. The unit of measurement used Provide the cargo volume and revenue matters. Parties to such agreements must in calculating amounts of non-containerized results for each party for each of the major complete parts 1 through 5 of this section. cargo must be specified clearly and applied commodities listed in part 3(A) of this consistently. Part 1 section, corresponding to the same 12-month period and unit of measurement used. For For the most recent calendar quarter for Part 2 purposes of this Form, revenue results means which complete data are available, provide For each party that served all or any part the revenues, in U.S. dollars, earned by each the market shares of all liner operators for the of the geographic scope of the agreement party on the cargo volume of each major entire geographic scope of the agreement and during all or any part of the most recent 12- commodity listed in part 3(A) of this section, in each sub-trade within the scope of the month period for which complete data are inclusive of all ocean freight, whether agreement. A joint service shall be treated as available, provide each party’s total liner assessed on a port-to-port basis or a through a single liner operator, whether it is an revenues within the geographic scope, total intermodal basis; accessorial charges; agreement line or a non-agreement line. Sub- liner cargo carried within the geographic surcharges; and charges for inland cargo trade is defined as the scope of all liner scope, and average revenue. For purposes of carriage. If a party has no cargo volume and movements between each U.S. port range this Form, total liner revenues means the revenue results for a commodity listed in part within the scope of the agreement and each total revenues, in U.S. dollars, of each party 3(A) of this section, it shall be noted by using foreign country within the scope of the corresponding to its total cargo carried for its a zero for that party in response to part 3(B) agreement. Where the agreement covers both liner services that would fall under the of this section. U.S. inbound and outbound liner agreement, inclusive of all ocean freight movements, inbound and outbound market charges, whether assessed on a port-to-port Part 4(A) shares shall be shown separately. basis or a through intermodal basis; For the same calendar quarter used in part U.S. port ranges are defined as follows: accessorial charges; surcharges; and charges 1 of this section, provide the amount of Atlantic and Gulf—Includes ports along for inland cargo carriage. Average revenue vessel capacity for each party for each of its the eastern seaboard and the Gulf of Mexico shall be calculated as the quotient of each liner services that would fall under the from the northern boundary of Maine to party’s total liner revenues within the agreement within the entire geographic scope Brownsville, Texas. Also includes all ports geographic scope divided by its total cargo of the agreement, stated separately for the bordering upon the Great Lakes and their carried within the geographic scope. U.S. inbound and outbound trades as connecting waterways, all ports in the State When 50 percent or more of the total liner applicable to the geographic scope of the of New York on the St. Lawrence River, and cargo carried by all the parties in the agreement. For purposes of this Form, vessel all ports in Puerto Rico and the U.S. Virgin geographic scope of the agreement during the capacity means a party’s total commercial Islands. 12-month period was containerized, each liner space on line-haul vessels, whether Pacific—Includes all ports in the States of party shall report only its total carryings of operated by it or other parties from whom Alaska, Hawaii, California, Oregon, and containerized liner cargo (measured in TEUs) space is obtained, sailing to and/or from the Washington. Also includes all ports in Guam, within the geographic scope, total revenues continent of North America for each of its American Samoa, Northern Marianas, generated by its carriage of containerized liner services that would fall under the Johnston Island, Midway Island, and Wake liner cargo, and average revenue per TEU. agreement. When 50 percent or more of the Island. When 50 percent or more of the total liner total liner cargo carried by all the parties in An application may be filed for a waiver cargo carried by all the parties in the the geographic scope of the agreement during of the definition of ‘‘sub-trade’’ under the geographic scope of the agreement during the the calendar quarter was containerized, the procedure described in 46 CFR 535.504. In 12-month period was non-containerized, amount(s) of vessel capacity for each party any such application, the burden shall be on each party shall report only its total carryings shall be reported in TEUs. When 50 percent the parties to show that their marketing and of non-containerized liner cargo (specifying or more of the total liner cargo carried by all pricing practices have been done by the unit of measurement used), total revenues the parties in the geographic scope of the ascertainable multi-country regions rather generated by its carriage of non-containerized agreement during the calendar quarter was than by individual countries or, in the case liner cargo, and average revenue per unit of non-containerized, the amount(s) of vessel of the United States, by broader areas than measurement. When the agreement covers capacity for each party shall be reported in
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non-containerized units of measurement. The of the agreement. For purposes of this Form, direct service. If no change is anticipated or unit of measurement used in calculating the the term ‘‘significant changes in the amounts planned, it shall be noted with the term amounts of non-containerized vessel capacity of vessel capacity’’ means the removal from ‘‘none’’ in response to part 5(B) of this must be specified clearly and consistently or addition to a liner service of vessels or section. applied. vessel space for a fixed, seasonally planned, or indefinite period of time, as opposed to Section V Part 4(B) incidental operational changes when vessels Section V applies to all agreements Provide the percentage of vessel capacity may be temporarily repositioned or shifted identified in 46 CFR 535.502. Parties to such utilization for each party for each of its liner from one service to another, or when vessel agreements must complete all items in part services that would fall under the agreement space may be temporarily altered, on short 1 of this section. within the entire geographic scope of the notice. If no significant change is anticipated agreement, corresponding to the figures and or planned, it shall be noted with the term Part 1(A) time period used in part 4(A) of this section, ‘‘none’’ in response to part 4(C) of this State the name, title, address, telephone stated separately for the U.S. inbound and section. and fax numbers, and electronic mail address outbound trades as applicable to the of a person the Commission may contact geographic scope of the agreement. For Part 5(A) regarding the Information Form and any purposes of this Form, the percentage of For the same 12-month period used in information provided therein. vessel capacity utilization means a party’s parts 2 and 3 of this section, provide the total volume of liner cargo, for each of its number of vessel calls each party made at Part 1(B) liner services that would fall under the each port for its liner services that would fall State the name, title, address, telephone agreement, carried on any vessel space under the agreement within the entire and fax numbers, and electronic mail address counted under part 4(A) of this section, geographic scope of the agreement. of a person the Commission may contact divided by its total vessel capacity as defined regarding a request for additional information Part 5(B) and derived in part 4(A) of this section, or documents. which quotient is multiplied by 100. Provide a narrative statement that clearly describes the nature, level, or type of any Part 1(C) Part 4(C) changes, anticipated or planned for when the A representative of the parties shall sign Provide a narrative statement describing agreement goes into effect, in service at ports the Information Form and certify that the the nature, basis, and effects of any for the parties’ liner services that would fall information in the Form and all attachments significant changes in the amounts of vessel under the agreement within the entire and appendices are, to the best of his or her capacity, anticipated or planned for when the geographic scope of the agreement. Examples knowledge, true, correct and complete. The agreement goes into effect, for the parties’ of such changes include a change in the base representative also shall indicate his or her liner services that would fall under the port designation, the frequency of vessel relationship with the parties to the agreement within the entire geographic scope calls, and the use of indirect as opposed to agreement.
FEDERAL MARITIME COMMISSION
INFORMATION FORM FOR AGREEMENTS BETWEEN OR AMONG OCEAN COMMON CARRIERS
Section I Part 1 Agreement Name: Part 2 (A) Narrative statement on agreement purpose: lllllllllllllllllllllllllllllllllllllllllll llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll (B) Narrative statement on the commercial or other circumstances requiring the agreement: lllllllllllllllllllllll llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll Part 3 List all effective agreements covering all or part of the geographic scope of this agreement, whose parties include one or more of the parties to this agreement. Part 4 This agreement includes: (A) Authority to discuss or agree upon rates or charges? Yes b No b (B) Joint service? Yes b No b (C) Pooling of cargoes or revenues? Yes b No b (D) Authority to discuss or exchange data on vessel-operating costs? Yes b No b (E) Authority to discuss or agree on service contracts and their terms? Yes b No b (F) Authority to discuss or agree on capacity rationalization? Yes b No b (G) Conditions or restrictions on the parties’ agreement participation, and/or use or offering of competing serv- Yes b No b ices in the geographic scope? (H) Authority to charter vessel space? Yes b No b (I) Authority to rationalize sailings or services? Yes b No b (J) Other authority: lllllllllllllllllllllllllllllllllllllllllllllllllllllll llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll Section II Part 1 (A) Vessel Calls Agreement-Wide Trade: U.S. Inbound (or Outbound) Name Time Period: [12-Months] [Port Names] Port 1 Port 2 Port 3 Etc. .. . Carrier A [Name]
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Carrier B Carrier C Etc. . . . (B) Narrative statement on anticipated or planned changes: llllllllllllllllllllllllllllllllllllll llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll Section III Part 1 Vessel Capacity And Utilization Agreement-Wide Trade: U.S. Inbound (or Outbound) Name Time Period: [Calendar Quarter] (A) Vessel Capacity (B) Utilization [TEUs or Other Units] [Percent] Carrier A [Name] Liner Service 1 [Name] ...... XX,XXX XX Liner Service 2 ...... XX,XXX XX Liner Service 3 ...... XX,XXX XX Etc. . . . Carrier B Liner Service 1 ...... XX,XXX XX Liner Service 2 ...... XX,XXX XX Liner Service 3 ...... XX,XXX XX Etc. . . . Etc. . . . Part 2 Vessel Calls Agreement-Wide Trade: U.S. Inbound (or Outbound) Name Time Period: [12-Months] [Port Names] Port 1 Port 2 Port 3 Etc. .. . Carrier A [Name] Carrier B Carrier C Etc. . . . Part 3 Planned Changes Narrative statement on anticipated or planned changes: lllllllllllllllllllllllllllllllllllllll llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll Section IV Part 1 Market Share Agreement-Wide Trade [or Sub-Trade]: U.S. Inbound (or Outbound) Name Time Period: [Calendar Quarter] TEUs [or other units] Percent Agreement Market Share Line A [Name] ...... X,XXX XX Line B ...... X,XXX XX Line C ...... X,XXX XX Etc. . . . Total Agreement ...... X,XXX XX Non-Agreement Market Share Line X ...... X,XXX XX Line Y ...... X,XXX XX Line Z ...... X,XXX XX Etc. . . . Total Agreement ...... X,XXX XX Total Trade [or Sub-Trade] ...... X,XXX 100 Part 2 Total Liner Cargo and Revenues Agreement-Wide Trade: U.S. Inbound (or Outbound) Name Time Period: [12-Months] Total reve- TEUs [or other Average nues units] revenue [Name] Carrier A ...... $ X,XXX $ Carrier B ...... $ X,XXX $ Carrier C ...... $ X,XXX $ Etc. . . . Part 3 Top Liner Commodities Agreement-Wide Trade: U.S. Inbound (or Outbound) Name Time Period: [Same 12-Months in part 2 of this section] [Name] Carrier A Carrier B Etc. .. . Commodity 1 [Name and 4-Digit Code] TEUs [or other units] X,XXX X,XXX Revenues $$ Commodity 2 TEUs X,XXX X,XXX
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Revenues $$ Etc. . . . Part 4 Vessel Capacity and Utilization Agreement-Wide Trade: U.S. Inbound (or Outbound) Name Time Period: [Same Calendar Quarter in part 1 of this section] (A) Vessel Capacity (B) Utilization [TEUs or Other Units] [Percent] Carrier A [Name] Liner Service 1 [Name] ...... XX,XXX XX Liner Service 2 ...... XX,XXX XX Liner Service 3 ...... XX,XXX XX Etc.... Carrier B Liner Service 1 ...... XX,XXX XX Liner Service 2 ...... XX,XXX XX Liner Service 3 ...... XX,XXX XX Etc.... Etc.... (C) Narrative Statement on anticipated or planned significant changes: llllllllllllllllllllllllllllllll llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll Part 5 (A) Vessel Calls Agreement-Wide Trade: U.S. Inbound (or Outbound) Name Time Period: [Same 12-Months in parts 2 and 3 of this section] [Port Names] Port 1 Port 2 Port 3 Etc.... Carrier A [Name] Carrier B Carrier C Etc.... (B) Narrative statement on anticipated or planned changes: llllllllllllllllllllllllllllllllllllll llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll Section V Part 1 Contact Persons and Certification (A) Person(s) to Contact Regarding Information Form. (1) Name llllllllllllllllllllllllllllllllllllllllllllllllllllllllllll (2) Title lllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll (3) Firm Name and Business lllllllllllllllllllllllllllllllllllllllllllllllllll (4) Business Telephone Number llllllllllllllllllllllllllllllllllllllllllllllllll (5) Fax Number lllllllllllllllllllllllllllllllllllllllllllllllllllllllll (6) E-Mail Address llllllllllllllllllllllllllllllllllllllllllllllllllllllll (B) Individual Located in the United States Designated for the Limited Purpose of Receiving Notice of an Issuance of a Request for Additional Information or Documents (see 46 CFR 535.606). (1) Name llllllllllllllllllllllllllllllllllllllllllllllllllllllllllll (2) Title lllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll (3) Firm Name and Business lllllllllllllllllllllllllllllllllllllllllllllllllll (4) Business Telephone Number llllllllllllllllllllllllllllllllllllllllllllllllll (5) Fax Number lllllllllllllllllllllllllllllllllllllllllllllllllllllllll (6) E-Mail Address llllllllllllllllllllllllllllllllllllllllllllllllllllllll (C) Certification lllllllllllllllllllllllllllllllllllllllllllllllllllllllll This Information Form, together with any and all appendices and attachments thereto, was prepared and assembled in accordance with instructions issued by the Federal Maritime Commission. The information is, to the best of my knowledge, true, correct, and complete Name (please print or type) llllllllllllllllllllllllllllllllllllllllllllllllllll Title llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll Relationship with parties to agreement lllllllllllllllllllllllllllllllllllllllllllllll Signature llllllllllllllllllllllllllllllllllllllllllllllllllllllllllll Date llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll
Appendix B to Part 535—Monitoring Report subject to duplicate reporting requirements information. For purposes of this Report, if and Instructions in the various sections of this Report, the one of the agreement signatories is a joint parties may provide only one response so service operating under an effective Instructions long as the reporting requirements within agreement, that signatory shall respond to the All agreements between or among ocean each section are fully addressed. The Report as a single agreement party. For common carriers identified in 46 CFR Monitoring Report specifies the data and clarification of the agreement terminology 535.702(a) must submit completed information which must be reported for each used in this Report, the parties may refer to Monitoring Reports to the full extent required section and the format in which it must be the definitions provided in 46 CFR 535.104. in sections I through III of this Report. provided. If a party to an agreement is unable In addition, the following definitions shall Sections I and II must be completed, as to supply a complete response to any item of apply for purposes of this Report: liner applicable, in accordance with the authority this Report, that party shall provide either movement means the carriage of liner cargo contained in each agreement. Section III must estimated data (with an explanation of why by liner operators; liner cargo means cargo be completed by all agreements subject to precise data are not available) or a detailed carried on liner vessels in a liner service; Monitoring Report requirements. Where an statement of reasons for noncompliance and liner operator means a vessel-operating agreement containing multiple authorities is the efforts made to obtain the required common carrier engaged in liner service;
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liner vessel means a vessel used in a liner vessel capacity utilization means a party’s Johnston Island, Midway Island, and Wake service; liner service means a definite, total volume of liner cargo, for each of its Island. advertised schedule of sailings at regular liner services that is covered by the An application may be filed for a waiver intervals; and TEU means a unit of agreement, carried on any vessel space of the definition of ‘‘sub-trade’’ under the measurement equivalent to one 20-foot counted under part 2(A) of this section, procedure described in 46 CFR 535.705. In shipping container. Further, when used in divided by its total vessel capacity as defined any such application, the burden shall be on this Report, the terms ‘‘entire geographic and derived in part 2(A) of this section, the parties to show that their marketing and scope of the agreement’’ or ‘‘agreement-wide’’ which quotient is multiplied by 100. pricing practices have been done by refer to the combined U.S. inbound trade ascertainable multi-country regions rather and/or the combined U.S. outbound trade as Part 3 than by individual countries or, in the case such trades apply to the geographic scope of Provide a narrative statement that clearly of the United States, by broader areas than the agreement, rather than ‘‘sub-trades’’ describes the nature, basis, and effects of any the port ranges defined herein. The which refer to the trade between specific planned changes in the vessel capacity and/ Commission will also consider whether the foreign countries and specific U.S. port or liner services (including service at ports) alternative definition of ‘‘sub-trade’’ ranges that are included in the geographic that the parties will implement under the requested by the waiver application is scope of the agreement. Whether required on agreement. This narrative statement shall be reasonably consistent with the definition of a combined trade basis or a sub-trade basis, submitted to the Director, Bureau of Trade ‘‘sub-trade’’ applied in the original the U.S. inbound trade (or sub-trades) and Analysis, no later than 15 days after a vessel Information Form for the agreement. the U.S. outbound trade (or sub-trades) shall capacity and/or liner service change has been The formula for calculating market share in always be stated separately. agreed upon by the parties but prior to the the entire agreement scope or in a sub-trade implementation of the actual change under is as follows: The total amount of liner cargo Section I the agreement. carried on each liner operator’s liner vessels Section I applies to agreements, identified Section II in the entire agreement scope or in the sub- in 46 CFR 535.702(a)(1), that contain the trade during the most recent calendar quarter authority to discuss or agree on capacity Section II applies to agreements, identified for which complete data are available, rationalization as defined in 46 CFR in 46 CFR 535.702(a)(2), where the parties to divided by the total liner movements in the 535.104(e). Parties to such agreements must the agreement hold a combined market share, entire agreement scope or in the sub-trade complete parts 1 through 3 of this section. based on cargo volume, of 35 percent or more during the same calendar quarter, which in the entire U.S. inbound or outbound Part 1 quotient is multiplied by 100. The market geographic scope of the agreement and the shares held by non-agreement lines as well State the full name of the agreement and agreement contains any of the following as by agreement lines must be provided, the agreement number assigned by the FMC. authorities: (a) The discussion of, or stated separately in the format indicated. agreement upon, whether on a binding basis If 50 percent or more of the total liner cargo Part 2(A) under a common tariff or a non-binding carried by the parties in the entire agreement For the preceding calendar quarter, provide basis, any kind of rate or charge; (b) the scope or in the sub-trade during the calendar the amount of vessel capacity for each party establishment of a joint service; (c) the quarter was containerized, only for each of its liner services that is covered pooling or division of cargoes, earnings, or containerized liner movements (measured in by the agreement within the entire revenues and/or losses; (d) the discussion or TEUs) must be used for determining market geographic scope of the agreement, stated exchange of data on vessel-operating costs; share. If 50 percent or more of the total liner separately for the U.S. inbound and and/or (e) the discussion of service contract cargo carried by the parties was non- outbound trades as applicable to the matters. Parties to such agreements must containerized, only non-containerized liner geographic scope of the agreement. For complete parts 1 through 6 of this section. purposes of this Report, vessel capacity movements must be used for determining means a party’s total commercial liner space Part 1 market share. The unit of measurement used on line-haul vessels, whether operated by it State the full name of the agreement and in calculating amounts of non-containerized or other parties from whom space is the agreement number assigned by the FMC. cargo must be specified clearly and applied obtained, sailing to and/or from the continent consistently. Part 2 of North America for each of its liner services Part 3 that is covered by the agreement. For the preceding calendar quarter, provide When 50 percent or more of the total liner the market shares of all liner operators for the For the preceding calendar quarter, provide cargo carried by all the parties in the entire geographic scope of the agreement and each party’s total liner revenues in the entire geographic scope of the agreement during the in each sub-trade within the scope of the geographic scope of the agreement, total liner calendar quarter was containerized, the agreement. A joint service shall be treated as cargo carried in the entire geographic scope amount(s) of vessel capacity for each party a single liner operator, whether it is an of the agreement, and average revenue. For shall be reported in TEUs. When 50 percent agreement line or a non-agreement line. Sub- purposes of this Report, total liner revenues or more of the total liner cargo carried by all trade is defined as the scope of all liner means the total revenues, in U.S. dollars, of the parties in the geographic scope of the movements between each U.S. port range each party corresponding to its total cargo agreement during the calendar quarter was within the scope of the agreement and each carried for its liner services that fall under non-containerized, the amount(s) of vessel foreign country within the scope of the the agreement, inclusive of all ocean freight capacity for each party shall be reported in agreement. Where the agreement covers both charges, whether assessed on a port-to-port non-containerized units of measurement. The U.S. inbound and outbound liner basis or a through intermodal basis; unit of measurement used in calculating the movements, inbound and outbound market accessorial charges; surcharges; and charges amounts of non-containerized vessel capacity shares shall be shown separately. for inland cargo carriage. Average revenue must be specified clearly and consistently U.S. port ranges are defined as follows: shall be calculated as the quotient of each applied. Atlantic and Gulf—Includes ports along party’s total liner revenues in the entire the eastern seaboard and the Gulf of Mexico geographic scope divided by its total cargo Part 2(B) from the northern boundary of Maine to carried in the entire geographic scope. For the preceding calendar quarter, provide Brownsville, Texas. Also includes all ports When 50 percent or more of the total liner the percentage of vessel capacity utilization bordering upon the Great Lakes and their cargo carried by all the parties in the for each party for each of its liner services connecting waterways, all ports in the State geographic scope of the agreement during the that is covered by the agreement within the of New York on the St. Lawrence River, and calendar quarter was containerized, each entire geographic scope of the agreement, all ports in Puerto Rico and the U.S. Virgin party shall report only its total carryings of corresponding to the figures used in part 2(A) Islands. containerized liner cargo (measured in TEUs) of this section, stated separately for the U.S. Pacific—Includes all ports in the States of during the calendar quarter, total revenues inbound and outbound trades as applicable Alaska, Hawaii, California, Oregon, and generated by its carriage of containerized to the geographic scope of the agreement. For Washington. Also includes all ports in Guam, liner cargo, and average revenue per TEU. purposes of this Report, the percentage of American Samoa, Northern Marianas, When 50 percent or more of the total liner
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cargo carried by all the parties in the Part 5(A) that fall under the agreement within the geographic scope of the agreement during the For the preceding calendar quarter, provide entire geographic scope of the agreement. For calendar quarter was non-containerized, each the amount of vessel capacity for each party purposes of this Report, the term ‘‘significant party shall report only its total carryings of for each of its liner services that falls under changes in the amounts of vessel capacity’’ non-containerized liner cargo during the the agreement within the entire geographic means the removal from or addition to a liner calendar quarter (specifying the unit of scope of the agreement, stated separately for service of vessels or vessel space for a fixed, measurement used), total revenues generated the U.S. inbound and outbound trades as seasonally planned, or indefinite period of by its carriage of non-containerized liner applicable to the geographic scope of the time, as opposed to incidental operational cargo, and average revenue per unit of agreement. For purposes of this Report, changes when vessels may be temporarily measurement. When the agreement covers vessel capacity means a party’s total repositioned or shifted from one service to both U.S. inbound and outbound liner commercial liner space on line-haul vessels, another, or when vessel space may be movements, inbound and outbound data whether operated by it or other parties from temporarily altered, on short notice. If no shall be stated separately. whom space is obtained, sailing to and/or significant change occurred during the Part 4(A) from the continent of North America for each calendar quarter, it shall be noted with the of its liner services that falls under the For the preceding calendar quarter, provide term ‘‘none’’ in response to part 5(C) of this agreement. When 50 percent or more of the section. a list, for the entire geographic scope of the total liner cargo carried by all the parties in agreement, of the top 10 liner commodities the geographic scope of the agreement during Part 6 (including commodities not subject to tariff the calendar quarter was containerized, the Provide a narrative statement that clearly publication) carried by all the parties for amount(s) of vessel capacity for each party their liner services that fall under the describes the nature, level, or type of any shall be reported in TEUs. When 50 percent significant changes in service at ports that agreement. For purposes of this Report, or more of the total liner cargo carried by all commodities shall be identified at the 4-digit occurred during the preceding calendar the parties in the geographic scope of the quarter for the parties’ liner services that fall level of customarily used commodity coding agreement during the calendar quarter was schedules. When 50 percent or more of the under the agreement within the entire non-containerized, the amount(s) of vessel geographic scope of the agreement. For total liner cargo carried by all the parties in capacity for each party shall be reported in the geographic scope of the agreement during purposes of this Report, the term ‘‘significant non-containerized units of measurement. The changes in service at ports’’ means a planned the calendar quarter was containerized, this unit of measurement used in calculating the change in port service for a fixed, seasonal, list shall include only containerized amounts of non-containerized vessel capacity or indefinite period of time, as opposed to an commodities. When 50 percent or more of must be specified clearly and consistently incidental or unplanned alteration in port the total liner cargo carried by all the parties applied. in the geographic scope of the agreement service that was temporary. If no significant during the calendar quarter was non- Part 5(B) change occurred during the calendar quarter, containerized, this list shall include only For the preceding calendar quarter, provide it shall be noted with the term ‘‘none’’ in non-containerized commodities. When the the percentage of vessel capacity utilization response to part 6 of the section. agreement covers both U.S. inbound and for each party for each of its liner services Section III outbound liner movements, inbound and that falls under the agreement within the outbound data shall be stated separately. entire geographic scope of the agreement, Section III applies to all agreements identified in 46 CFR 535.702(a). Parties to Part 4(B) corresponding to the figures used in part 5(A) of this section, stated separately for the U.S. such agreements must complete all items in For the preceding calendar quarter, provide inbound and outbound trades as applicable part 1 of this section. the cargo volume and revenue results for to the geographic scope of the agreement. For Part 1(A) each party for each of the major commodities purposes of this Report, the percentage of listed in part 4(A) of this section, vessel capacity utilization means a party’s State the name, title, address, telephone corresponding to the same unit of total volume of liner cargo, for each of its and fax numbers, and electronic mail address measurement used. For purposes of this liner services that falls under the agreement, of a person the Commission may contact Report, revenue results means the revenues, carried on any vessel space counted under regarding the Monitoring Report and any in U.S. dollars, earned by each party on the part 5(A) of this section, divided by its total information provided therein. cargo volume of each major commodity listed vessel capacity as defined and derived in part Part 1(B) in part 4(A) of this section, inclusive of all 5(A) of this section, which quotient is ocean freight, whether assessed on a port-to- multiplied by 100. A representative of the parties shall sign port basis or a through intermodal basis; the Monitoring Report and certify that the accessorial charges; surcharges; and charges Part 5(C) information in the Report and all attachments for inland cargo carriage. If a party has no Provide a narrative statement describing and appendices are, to the best of his or her cargo volume and revenue results for a the nature, basis, and effects of any knowledge, true, correct and complete. The commodity listed in part 4(A) of this section, significant changes in the amounts of vessel representative also shall indicate his or her it shall be noted by using a zero for that party capacity that occurred during the preceding relationship with the parties to the in response to part 4(B) of this section. calendar quarter for the parties’ liner services agreement.
FEDERAL MARITIME COMMISSION
MONITORING REPORT FOR AGREEMENTS BETWEEN OR AMONG OCEAN COMMON CARRIERS
Section I Part 1 Agreement Name: llllllllllllllllllllllllllllllllllllllllllllllllllllllll FMC Number: llllllllllllllllllllllllllllllllllllllllllllllllllllllllll
Part 2 Vessel Capacity And Utilization Agreement-Wide Trade: U.S. Inbound (or Outbound) Name Time Period: [Calendar Quarter]
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(A) Vessel Capacity (B) Utilization [TEUs or Other Units] [Percent] Carrier A [Name] Liner Service 1 [Name] ...... XX,XXX XX Liner Service 2 ...... XX,XXX XX Liner Service 3 ...... XX,XXX XX Etc.... Carrier B Liner Service 1 ...... XX,XXX XX Liner Service 2 ...... XX,XXX XX Liner Service 3 ...... XX,XXX XX Etc.... Etc.... Part 3 Planned Changes Narrative statement on planned changes to be implemented (submit statement no later than 15 days after a change has been agreed upon but prior to the implementation of the change): llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll
Section II
Part 1 Agreement Name: llllllllllllllllllllllllllllllllllllllllllllllllllllllll FMC Number: llllllllllllllllllllllllllllllllllllllllllllllllllllllllll Part 2 Market Share Agreement-Wide Trade [or Sub-Trade]: U.S. Inbound (or Outbound) Name Time Period: [Calendar Quarter] TEUs Percent [or other units] Agreement Market Share Line A [Name] ...... X,XXX XX Line B ...... X,XXX XX Line C ...... X,XXX XX Etc.... Total Agreement ...... X,XXX XX Non-Agreement Market Share Line X ...... X,XXX XX Line Y ...... X,XXX XX Line Z ...... X,XXX XX Etc.... Total Non-Agreement ...... X,XXX XX Total Trade [or Sub-Trade] ...... X,XXX 100 Part 3 Total Liner Cargo and Revenues Agreement-Wide Trade: U.S. Inbound (or Outbound) Name Time Period: [Calendar Quarter] Total TEUs Average Revenues [or other units] Revenue [Name] Carrier A ...... $ X,XXX $ Carrier B ...... $ X,XXX $ Carrier C ...... $ X,XXX $ Etc.... Part 4 Top Liner Commodities Agreement-Wide Trade: U.S. Inbound (or Outbound) Name Time Period: [Calendar Quarter] [Name] Carrier A Carrier B Etc Commodity 1 [Name and 4-Digit Code] TEUs [or other units] ...... X,XXX X,XXX Revenues ...... $ $ Commodity 2 TEUs ...... X,XXX X,XXX Revenues ...... $ $ Etc.... Part 5 Vessel Capacity and Utilization Agreement-Wide Trade: U.S. Inbound (or Outbound) Name Time Period: [Calendar Quarter] (A) Vessel Capacity (B) Utilization [TEUs or Other Units] [Percent] Carrier A [Name] Liner Service 1 [Name] ...... XX,XXX XX
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Liner Service 2 ...... XX,XXX XX Liner Service 3 ...... XX,XXX XX Etc.... Carrier B Liner Service 1 ...... XX,XXX XX Liner Service 2 ...... XX,XXX XX Liner Service 3 ...... XX,XXX XX Etc. . . . Etc. . . . (C) Narrative Statement on significant changes that occurred during the calendar quarter: llllllllllllllllllllllll llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll Part 6 Port Service Narrative statement on significant changes in service at ports that occurred during the calendar quarter: lllllllllllllllll Section III Part 1 Contact Person and Certification (A) Person(s) to Contact Regarding Monitoring Report. (1) Name llllllllllllllllllllllllllllllllllllllllllllllllllllllllllll (2) Title lllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll (3) Firm Name and Business lllllllllllllllllllllllllllllllllllllllllllllllllll (4) Business Telephone Number llllllllllllllllllllllllllllllllllllllllllllllllll (5) Fax Number lllllllllllllllllllllllllllllllllllllllllllllllllllllllll (6) E-Mail Address llllllllllllllllllllllllllllllllllllllllllllllllllllllll (B) Certification lllllllllllllllllllllllllllllllllllllllllllllllllllllllll This Monitoring Report, together with any and all appendices and attachments thereto, was prepared and assembled in accordance with instructions issued by the Federal Maritime Commission. The information is, to the best of my knowledge, true, correct, and complete Name (please print or type) llllllllllllllllllllllllllllllllllllllllllllllllllll Title llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll Relationship with parties to agreement lllllllllllllllllllllllllllllllllllllllllllllll Signature llllllllllllllllllllllllllllllllllllllllllllllllllllllllllll Date llllllllllllllllllllllllllllllllllllllllllllllllllllllllllllll
By Order of the Commission. Bryant VanBrakle, Secretary. [FR Doc. 03–29738 Filed 12–1–03; 8:45 am] BILLING CODE 6730–01–P
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Part III
Department of Health and Human Services Centers for Disease Control and Prevention
Capacity Building Assistance To Improve the Delivery and Effectiveness of Human Immunodeficiency Virus (HIV) Prevention Services for Racial/Ethnic Minority Populations and Prevention Projects for Community-Based Organizations; Notices
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DEPARTMENT OF HEALTH AND Changing Epidemic at http:// 1. Focus Area 1—Strengthening HUMAN SERVICES www.cdc.gov/mmwr/PDF/wk/ Organizational Infrastructure for HIV mm5215.pdf. Prevention Centers for Disease Control and Measurable outcomes of the program Improve the capacity of CBOs to Prevention will be in alignment with one (or more) strengthen and sustain organizational of the following performance goal(s) for infrastructures that support the delivery Capacity Building Assistance To the National Center for HIV, STD and of effective HIV prevention services and Improve the Delivery and Effectiveness TB Prevention: interventions for high-risk racial/ethnic of Human Immunodeficiency Virus 1. Strengthen the capacity to develop minority individuals. (HIV) Prevention Services for Racial/ and implement effective HIV prevention Ethnic Minority Populations interventions. 2. Focus Area 2—Strengthening Announcement Type: New. 2. Increase the proportion of HIV Interventions for HIV Prevention infected individuals who know they are Funding Opportunity Number: PA Improve the capacity of CBOs and infected. 04019. HDs to implement, improve, and 3. Increase the proportion of HIV- Catalog of Federal Domestic evaluate HIV prevention interventions infected people who are linked to Assistance Number: 93.943. for high-risk racial/ethnic minority appropriate prevention, care, and individuals of unknown serostatus, Key Dates treatment services. including pregnant women, and people 4. Decrease the number of persons at Letter of Intent Deadline: December of color who are living with HIV/AIDS high risk for acquiring or transmitting 22, 2003. and their partners. Application Deadline: January 26, HIV infection. 2004. CBA developed under this program 3. Focus Area 3—Strengthening will be provided in four focus areas and Community Access to and Utilization of I. Funding Opportunity Description applicants may apply for up to two of HIV Prevention Services these as follows: Improve the capacity of CBOs and Authority: This program is authorized • Focus Area 1—Strengthening other community stakeholders to under Sections 301(a) and 317(k)(2) of the Organizational Infrastructure for HIV implement strategies that will increase Public Health Service Act, 42 U.S.C. Section Prevention 241 and 42 U.S.C. Section 247b(k)(2). • Focus Area 2—Strengthening access to and utilization of HIV Purpose: The purpose of this Interventions for HIV Prevention prevention and risk-reduction and announcement is to provide financial • Focus Area 3—Strengthening avoidance services (including those assistance to national and regional non- Community Access to and Utilization of under the Advancing HIV Prevention governmental organizations to provide HIV Prevention Services initiative) for racial/ethnic minority capacity building assistance (CBA) to • Focus Area 4—Strengthening individuals. community-based organizations (CBOs) Community Planning for HIV 4. Focus Area 4—Strengthening and health departments (HDs) providing Prevention HIV prevention services, and to HIV Community Planning for HIV This program announcement will Prevention prevention community planning groups emphasize regionally structured (CPGs). These entities are referred to as strategies within the following regions: Improve the capacity of CPGs and the ‘‘CBA consumers’’ throughout the • North Region: CT, ME, MA, NH, NJ, HDs to include HIV-infected and remainder of this document. This NY, PR, RI, U.S. Virgin Islands, VT affected racial/ethnic minority funding will enable the CBA consumers • South Region: AL, AZ, FL, GA, KY, participants in the community planning to implement, improve, evaluate, and LA, MS, NM, NC, OK, SC, TN, TX process, and increase parity, inclusion, sustain the delivery of effective human • Mid-East Region: DE, DC, IL, IN, and representation (PIR) on CPGs (for immunodeficiency virus (HIV) MD, MI, MN, OH, PA, VA, WV, WI more information, see the HIV prevention services for high-risk racial/ • Mid-West Region: CO, IA, KS, MO, Prevention Community Planning ethnic minority populations of MT, NE, ND, SD, UT, WY Guidance at http://www.cdc.gov/hiv/ unknown or negative serostatus, • West Region: AK, AZ, CA, HI, ID, pubs/hiv-cp.htm). including pregnant women, and people NV, OR, WA, Guam, Pacific Basin: Performance Indicators of color who are living with HIV/AIDS American Samoa, Northern Mariana and their partners. Islands, Marshall Islands, Micronesia, To ensure quality programs and to The term ‘‘capacity building Palau measure progress, applicants are assistance’’ or ‘‘CBA’’ means the Applicants for Focus Areas 1, 3, or 4 required to report on core performance provision of information, technical will be required to work nationally but indicators and performance indicators assistance, training, and technology implementing regional strategies. Refer by focus area. transfer for individuals and to the section on Awardee Activities for Core Performance Indicators: organizations to improve the delivery additional requirements. Applicants for The core performance indicators and effectiveness of HIV prevention Focus Area 2 will be required to work apply to all focus areas and are as services. CBA does not include the within one of the five regions. Refer to follows: delivery of direct HIV prevention the Application section of this 1. proportion of all CDC-funded CBOs services and interventions. This announcement for additional receiving capacity building assistance program addresses the ‘‘Healthy People information on how this applies to the through training; 2010’’ focus area of HIV infection, CDC’s four major racial ethnic groups (as listed 2. proportion of CDC-funded health Government Performance and Results under ‘‘Other Eligibility departments receiving CBA related to Act Performance Plan, the goals of Requirements.’’) HIV prevention for racial/ethnic CDC’s HIV Prevention Strategic Plan minority populations; through 2005 at http://www.cdc.gov/hiv/ Program Goals 3. proportion of CBOs that report partners/psp.htm and Advancing HIV The goals for this program are as agreement with timeliness in Prevention: New Strategies for a follows: completion of CBA;
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4. proportion of health departments 1. Use logic modeling for internal should outline the process and outcome that report agreement with timeliness in program planning and conducting CBA. data to be collected, identify sources of completion of CBA; A program logic model links outcomes information, methods by which 5. of the total number of action plans, (both short- and long-term) with information will be collected, process the proportion of action plans program activities/processes and the for analyzing and interpreting completed according to the scheduled theoretical assumptions/principles of information, and using findings for timeliness; the program. program improvement. 6. proportion of CBOs that report 2. Include input from target 13. Develop and implement an agreement that CBA received met their consumers and other potential effective strategy for marketing your needs; and consumers of the proposed services, CBA services. 7. proportion of health departments including people living with HIV/AIDS. 14. Report planned group CBA events that report agreement that CBA received 3. Incorporate cultural competency to the Capacity Building Branch (CBB) met their needs. and linguistic and educational Training Calendar for dissemination to Performance Indicators by Focus appropriateness into all CBA activities. HIV prevention partners and Area: 4. Collaborate with CDC, CDC-funded constituents to be provided by CDC. Performance indicators by focus are as CBA and Technical Assistance (TA) 15. Facilitate the dissemination of follows: providers, and contractors to plan and information about successful CBA Focus Area 1—Proportion of CDC- deliver CBA that is (1) consistent with strategies and ‘‘lessons learned’’ through funded CBOs, by racial/ethnic minority CDC expectations (as provided in replication packages, peer-to-peer population served, receiving assessment trainings for grantees); and (2) to avoid interactions, meetings, workshops, of organizational needs; • duplication of services. conferences, case studies, and Focus Area 2—Proportion of CDC- 5. Undertake a coordinated systems communications with CDC project funded CBOs, by racial/ethnic minority approach in the delivery of regionally officers. population served, receiving structured CBA services that includes Note: Successful or funded applicants will assessments of intervention needs; (a) notifying, cooperating and • Focus Area 3—Proportion of CBA be expected to attend several post-award coordinating with state and local health programmatic events promoting HIV training events during April, May, and June departments in the delivery of CBA 2004. antibody testing; and • services within their health Focus Area 4—Proportion of Focus Area-Specific Awardee Activities Community Planning Groups (CPGs) jurisdictions; (b) collaborating with receiving CBA on Parity, Inclusion, and other sources of CBA (including CBA Focus Area 1: Strengthening Representation. providers in other focus areas) in the Organizational Infrastructure for HIV • Additional performance indicators regions to plan and implement Prevention comprehensive CBA; (c) conducting may be added or refined over the course a. Develop tools and protocols for of the project period. (For additional assessments of needs, community resources, and social capital; (d) assessing organizational infrastructure information on performance indicators, system needs, resources, readiness, and see Application and Submission identifying and addressing gaps in CBA services; and (e) leveraging other gaps. Information.) b. Provide or ensure the provision of Applicants will be responsible for the federal, state or local resources. 6. Implement a plan for developing CBA in organizational infrastructure. following in response to the Examples include, but are not limited performance indicators: and maintaining ongoing relationships with target consumers and CPGs for to: organizational assessments to a. Set baseline, one-year, and five-year determine the needs, resources, target goals (target goals will be which the awardee has responsibility. The plan should include strategies for readiness, and gaps of organizational negotiated with CDC post-award). infrastructure systems (e.g., governance, b. Use performance indicators for the conducting ongoing assets assessments and needs assessments and developing management, administration, personnel, design of a monitoring evaluation plan. and fiscal); proposal development and c. Collect process and outcome tailored CBA packages to be delivered grant writing; personnel policy monitoring data and report to the CDC. throughout the duration of the project Applicants are accountable for period. development; program policy achieving performance target goals. If an 7. Develop protocols that respond to development, including confidentiality applicant fails to achieve their target, new CBA requests following procedures standards, and reporting rules and CDC will work with the applicant to to be provided by CDC. regulations; development of determine what steps can be taken to 8. Refer all CBA requests, which fall Memorandums of Agreement; resource improve performance. CDC involvement outside of your focus area(s) to the CDC development, including development of may include technical assistance, capacity building assistance coordinator reimbursement mechanisms, conditional or restrictive funding. If for appropriate assignment. identification of other funding sources your performance fails to improve, CDC 9. Participate in a CDC-coordinated and development of public/private may reduce the award or defund your CBA network to enhance partnership strategies; board program. communication, coordination, development and training; biohazard cooperation, and training. management and disposable protocols; Activities 10. Identify the CBA training needs of licensing and certification issues for Awardee activities for this program your own program and staff. Develop HIV rapid testing; management are as follows: and implement a plan to address these information systems (MIS) data needs. management; strategic planning; General Awardee Activities for all 11. Implement a quality assurance leadership development; team building; Applicants strategy that ensures the delivery of high public relations; development of 501(c)3 All applicants are required to quality services. of the Internal Revenue Code; human implement general awardee activities by 12. Implement an evaluation resources management, including staff developing process objectives and monitoring plan that addresses the and volunteer recruitment, activities for the following: performance indicators. The plan management, retention, and training;
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organizational quality assurance and c. Create, coordinate, and utilize living with HIV/AIDS, and perinatal monitoring; program marketing and regional resource consultant pools that HIV prevention). public relations; personnel policy include subject matter experts Note: Structural factors associated with development; and cross-cultural (including social and behavioral HIV risk and prevention may be broadly communications. scientists) to provide CBA. To achieve defined to include physical, social, cultural, c. Create, coordinate, and utilize cost effectiveness, the preference is for organizational, community, economic, legal regional resource consultant pools that brokering CBA to locally based and or policy aspects of the environment that include subject matter experts to culturally-competent consultants and impede or facilitate persons’ efforts to avoid provide CBA. To achieve cost experts. HIV infection. Structural interventions address one or more of these factors. effectiveness, the preference is for d. Coordinate and support the brokering CBA requests to locally based developmental needs of the regional b. Develop and implement a plan to and culturally competent consultants resource consultant pools by developing provide CBA to CBOs and community and experts. Regional resource training materials, diffusing best stakeholders on your selected model consultant pools should be created in program practices and interventions for and strategy. The plan should identify each region for which the awardee has HIV negative and positive persons, and the CBA consumers, capacity building responsibility. conducting orientation and training for outcomes, activities, and skill sets to be d. Coordinate and support the consultants to help them deliver imparted. developmental needs of the regional effective and efficient services. Note: Models for increasing access and resource consultant pools by developing utilization to HIV prevention services should Note: Prevention interventions, while training materials, diffusing best also emphasize access to and utilization of mainly addressing risk reduction and program practices and interventions for other services related to sexually transmitted avoidance for HIV infection, should also HIV negative and positive persons, and diseases, blood borne diseases (for Hepatitis include risk reduction and avoidance for co- C) and tuberculosis. conducting orientation and training for infections with other sexually transmitted consultants to help them deliver diseases, blood borne diseases (for Hepatitis effective and efficient services. C) and tuberculosis. Focus Area 4: Strengthening Community Planning for HIV Focus Area 2: Strengthening Capacity building assistance on HIV Prevention Interventions for HIV Prevention prevention methods (or strategies) can a. Through participation in the CDC a. Provide ongoing CBA for CBOs in include abstinence, monogamy, i.e., National Technical Assistance (TA) the adaptation, implementation, quality being faithful to a single sexual partner, Providers’ Network for HIV Prevention assurance, and evaluation of effective or using condoms consistently and Community Planning, provide CBA to HIV prevention interventions for high- correctly. These approaches can avoid CPGs and health departments to assist risk seronegatives and HIV-positive risk (abstinence) or effectively reduce them in implementing HIV prevention racial/ethnic minority individuals. risk for HIV (monogamy, consistent and community planning and improving the Examples of prevention interventions correct condom use). parity, inclusion, and representation of are: health education and risk reduction Focus Area 3: Strengthening racial/ethnic minority populations in and avoidance; outreach capacity and Community Access and Utilization of the community planning process. preparation for testing; testing; referrals; HIV Prevention Services b. Provide CBA to CPGs, HDs, CBOs, prevention and partner counseling; and other community stakeholders to prevention case management; a. Develop a strategy based on a increase their knowledge of, and skill interventions to prevent perinatal model to improve access and utilization and involvement in, community transmission; and rapid testing in non- of HIV prevention services for a racial/ planning. Examples include, but are not traditional settings such as jails, and ethnic minority population at risk for limited to, leadership development, high-risk community venues. CBA HIV infection or living with HIV. The understanding the HIV Prevention provided must be consistent with CDC’s strategy should be based on models for Community Planning Guidance and the Advancing HIV Prevention Initiative, structural or population-based planning process, use of data for the Compendium of Effective Behavioral behavioral changes. Examples of what decision-making, priority setting, public Interventions (including Replicating the strategy may address include, but speaking and persuasion, parliamentary Effective Programs and the Diffusion of are not limited to: (1) Coalition procedures and meeting processes, Effective Behavioral Interventions), and development for increased prevention group and meeting facilitation, and other CDC approved procedures and and care service integration, national understanding public health delivery protocols. (For information on the education and mobilization projects, systems. Compendium of Effective Behavioral increased institutional policies in c. Participate in ongoing planning and Interventions visit: http://www.cdc.gov/ support of HIV prevention, and coordination meetings with the CDC hiv/pubs/hivcompendium/ community building among HIV- National TA Providers’ Network for HIV HIVcompendium.htm. Provide CBA to positive persons and other high-risk Prevention Community Planning. HDs on culturally appropriate HIV persons to expand HIV prevention and In a cooperative agreement, CDC staff prevention interventions and strategies risk-reduction and avoidance services; is substantially involved in the program for racial/ethnic minority populations. (2) nationally designed and coordinated activities, above and beyond routine Assistance may include needs projects to be adapted locally that grant monitoring. assessments and adapting or adopting promote innovative community testing CDC Activities for this program are as interventions. This may take the form of and service referral initiatives or that follows: health departments requesting mobilize local communities in support a. Supporting all funded awardees by assistance on behalf of their CBOs. of HIV prevention efforts; (3) or social coordinating a national network of b. Provide CBA on the diffusion of marketing projects to reduce stigma or capacity building providers. effective behavioral interventions, to increase the acceptability of HIV b. Providing consultation and including training, cultural adaptation prevention services (including testing) technical assistance in designing, of curricula, and promotion of ‘‘boxed’’ and interventions (including risk planning, developing, operating, and interventions from CDC. reduction and avoidance for people evaluating activities (such as progress
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reporting, submitting information for Focus Area 4: $250K per year 3. Has a three-year track record of the training calendar) based on CDC’s Floor and Ceiling of Award Range: providing CBA, in the focus area for standards and expectations. CDC may Focus Area 1: Floor $500K—Ceiling which you intend to apply as provide consultation and technical $1.8M demonstrated by agency documentation assistance both directly from CDC and Focus Area 2: Floor $640K—Ceiling (including evaluation and annual indirectly through prevention partners, $750K reports, participant feedback, agency such as health departments, national Focus Area 3: Floor $200K—Ceiling records, etc.). and regional minority partners, CBA $530K 4. Has a three-year track record of partners, trainers, contractors, and other Focus Area 4: Floor $200K—Ceiling providing CBA to consumers that serve national organizations. $300K a major racial/ethnic minority c. Monitoring the performance of Anticipated Award Date: April 1, population(s) or of providing direct HIV program and fiscal activities through 2004. prevention services to a major racial/ progress reports, data reporting, site Budget Period Length: 12 months. ethnic minority population as visits, conference calls, and compliance Project Period Length: Five years. documented by annual agency reports, a with federally mandated requirements, Throughout the project period, CDC’s board resolution, or other such as protection of client privacy. commitment to continuation of awards documentation. will be conditioned on the availability d. Providing up-to-date scientific 5. Is not a governmental or municipal of funds, evidence of satisfactory information and training on the risk agency, or an affiliate of a governmental progress by the awardee (as documented factors for transmitting HIV infection or municipal agency (e.g., health in required reports), and the among persons living with HIV/AIDS; department, school board, public determination that continued funding is HIV prevention services for counseling, hospital). testing, and referral to care and in the best interest of the Federal treatment; partner counseling and Government. Notes for Applicants: 1. If applying to provide CBA in proven effective behavioral III. Eligibility Information interventions for people at risk for Focus Area 2 for CBA consumers that becoming infected. Eligible Applicants: Applications may serve Black/African-American or e. Assisting in the development of be submitted by public and private Hispanic/Latino populations, you may collaborative efforts with state and local nonprofit organizations, such as: only work in one region, and your • health departments, HIV prevention National or regional organizations organization must have a presence • community planning groups, CBOs that Universities (three-year track record of providing • receive direct funding from CDC, and Colleges CBA or office) in that region. • Faith-based organizations other federally supported organizations • 2. If applying to provide CBA in providing HIV/AIDS services. Federally recognized Indian tribal Focus Area 2 to CBA consumers that governments f. Facilitating the exchange of • serve Asian/Pacific Islander or information about successful Indian tribal organizations American Indian/Alaska Native interventions, program models, and Eligibility is limited to organizations populations, you may work across all ‘‘lessons learned’’ through grantee that have experience and expertise regions. meetings, workshops, conferences, providing capacity building assistance services to CBA consumers serving 3. Funding estimates and project newsletters, the Internet, and period may change based on the communications with CDC Project racial/ethnic minority populations. In order to be effective, these organizations availability of funds, scope, and quality Officers. CDC will also facilitate the of the applications received, exchange of program information and must have access to, and credibility with, racial/ethnic minority populations appropriateness and reasonableness of technical assistance among community- the budget justifications, and proposed based organizations, health in a manner that is culturally competent and facilitates learning. use of project funds. departments, and national and regional 4. Continuation awards for a new 12- organizations. Other Eligibility Requirements month budget period, within an g. Conducting an overall evaluation of CBA developed under this program approved five-year project period, will the program. announcement will be delivered to CBA be made on the basis of availability of II. Award Information consumers serving one or more of the funds and the applicant’s satisfactory progress toward achieving the stated Type of Award: Cooperative four major racial/ethnic populations as objectives, and in that the project Agreement. follows: • Black/African-American remains in the best interest of the CDC involvement in this program is • Hispanic/Latino government. Satisfactory progress listed in the Activities Section above. • Asian/Pacific Islander toward achieving objectives will be Fiscal Year Funds: 2004. • American Indian/Alaska Native determined by required progress and Approximate Total Funding: $21 Your organization is eligible to apply data reports submitted by the awardee million. if it meets all of the following criteria: and site visits conducted by CDC Approximate Number of Awards: 33 1. Has a currently valid 501(c)3 tax- representatives. total. exempt status as demonstrated by a Focus Area 1: Four (4) Awards valid Internal Revenue Service (IRS) Cost Sharing or Matching Focus Area 2: Twelve (12) to Fourteen determination letter. Matching funds are not required for (14) Awards 2. Has a specific charge from its this program. Focus Area 3: Twelve (12) Awards Articles of Incorporation, Bylaws, or a Note: Title 2 of the United States Code Focus Area 4: Four (4) Awards resolution from its executive board or Approximate Average Award: section 1611 states that an organization governing body to operate nationally described in section 501(c)(4) of the Internal Focus Area 1: $1.15M per year (i.e., multi-regional) or regionally (i.e., Revenue Code that engages in lobbying Focus Area 2: $690K per year multi-state/territory) within the United activities is not eligible to receive Federal Focus Area 3: $365K per year States or its Territories. funds constituting an award, grant, or loan.
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IV. Application and Submission December 18, 2003 at 2 p.m. Eastern Please begin each separate section of Information Time. Participants may call toll-free the application on a new page. • Headers and footers printed on one How to Obtain Application Forms: To 888–655–9181. Please have the conference passcode ready: 54485. side only. apply for this funding opportunity use • Applicants may not apply for more application form PHS 5161–1. Forms are Content and Form of Submission than two focus areas. available on the CDC Web site, at the Letter of Intent (LOI): CDC requires • Applicants must submit a separate following Internet address: http:// that you send a LOI if you intend to application for each focus area. www.cdc.gov/od/pgo/forminfo.htm. If apply for this program. Your LOI will be • Applicants must submit a signed you do not have access to the Internet, used to gauge the level of interest in this original and two copies of your or if you have difficulty accessing the program, and to allow CDC to plan the application forms. forms on-line, you may contact the CDC application review. Eligibility Proof of Eligibility Procurement and Grants Office information is not required with the Technical Information Management LOI. Your application should not Applicants must complete this section Section (PGO–TIM) staff at: 770–488– accompany the LOI. Your LOI must be on Proof of Eligibility, including 2700. Application forms can be mailed written in the following format: providing the following documents as to you. • Maximum number of pages: One appropriate. Failure to provide the This program announcement is the • Font size: 12-point unreduced required documentation will result in definitive guide on application format, • Paper size: 8.5 × 11 inches your application being disqualified and content, and deadlines. It supersedes • Page margin size: One-inch returned to you without further review. information provided in the application • Printed only on one side of page a. Provide documentation that your instructions. If there are discrepancies • Double-spaced. organization has the specific charge between the application form • Your LOI must contain the from its executive board or governing instructions and the program following information: body to operate nationally or regionally announcement, adhere to the guidance • Program announcement title and (i.e., a multi-state/territory) within the in the program announcement. number. United States and its Territories. To request a CD–ROM or hard copy of • Applicant’s name and address. Documentation should include a copy the application kit (which includes the • Focus area for which you intend to of the section of your organization’s request for application, required forms, apply. Articles of Incorporation, Bylaws, or Supplemental Information, CBA • If applying for Focus Area 2, in Board Resolution. Guidelines, and other information), which region(s) you intend to provide b. Provide a copy of the current, valid contact CDC’s National Prevention services. Internal Revenue Service (IRS) • Information Network (NPIN) at 1–800– CBA Consumers you intend to determination letter of your 282–7681; visit its Web site at http:// serve. organization’s 501(c) 3 tax-exempt status. www.cdcnpin.org, or send requests by Application fax to 1–888–282–7681 (TTY users: 1– c. Provide evidence that your 1800–243–7012). This announcement You must submit a signed original organization has a three-year track and associated forms can also be found and two copies of your application record providing CBA in the focus area on the CDC home page, http:// forms. You must include a project for which you intend to apply. d. Provide evidence that your www.cdc.gov. Click on Funding narrative with your application forms. organization has a three-year track Opportunities then Grants and Your narrative must be submitted in the record providing CBA to consumers that Cooperative Agreements. following format: serve the major racial/ethnic minority You are required to have a Dun and Format population(s) identified in your Bradstreet (DUNS) number to apply for Your application must be submitted proposal; or providing direct HIV a grant or cooperative agreement from in the following format: prevention services to a major racial/ the Federal government. The DUNS • All material must be typewritten; ethnic minority population identified in number is a nine-digit identification single-spaced. your proposal. number, which uniquely identifies • Maximum number of pages: 40 business entities. Obtaining a DUNS pages (excluding budget, appendices Abstract number is easy and there is no charge. and attachments). If your narrative Please provide a brief two-page To obtain a DUNS number, access exceeds the page limit, only the first summary of your proposed program http://www.dunandbradstreet.com or pages, which are within the page limit, activities, including the following call 1–866–705–5711. For more will be reviewed. information: information, see the CDC Web site at: • Font size: 12 point unreduced. a. A description of your CBA http://www.cdc.gov/od/pgo/funding/ • Paper size: 8.5 x 11 inches. consumers. pubcommt.htm. • Page margin size: One-inch. b. A description of the major racial/ If your application form does not have • Printed only on one side of page. ethnic minority population that will be a DUNS number field, please write your • Program announcement title and the focus for your CBA consumers. DUNS number at the top of the first number must appear in the application. c. The focus area for which you page of your application, and/or include • The original and each copy of the intend to apply. your DUNS number in your application application sent must be submitted d. A brief description of your strategy cover letter. unstapled and unbound. Held together that includes: (1) A description of your only by rubber bands or metal clips; not CBA; (2) the conditions you are seeking Pre-Application Technical Consultation bound in any other way. to change; and (3) the outcomes you are Technical consultation audio- • Number each page, including seeking to achieve. conference calls for all focus areas will appendices and attachments, e. If applying for Focus Area 2, be held on December 16, 2003 at 2 p.m. sequentially and provide a complete indicate which region the program will Eastern Time. A repeat audio- table of contents to the application and serve and how it will be regionally conference call will be held on and its appendices and attachments. structured.
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Narrative Objectives goals based on the core performance You must include a project narrative What are your objectives to address indicators and performance indicators with your application and must include the general and focus area-specific by focus area. the following items in the order listed awardee activities in the focus area for b. Describe the process and outcome below. Your application will be which you intend to apply? data you will collect. Note: Data collected must relate to your evaluated on the information in these Note: Some of these objectives should objectives and the performance indicators. sections. It is important to follow the address the development of protocols for format provided in laying out your these activities—i.e., a protocol for c. Describe your methods for program proposal. undertaking a coordinated systems approach collecting, analyzing, interpreting and to delivering regionally structured CBA Program Plan reporting process and outcome data. services. d. Describe your plans for using The program plan will include a process and outcome data to improve description of your CBA program and Activities your program. strategy, objectives, activities, and Describe your proposed activities. Budget and Staffing Breakdown and timeline as follows: These activities must relate to each of Justification: CBA Program and Strategy the objectives listed above. a. Provide a detailed budget for each a. If applying for Focus Area 1, Timeline proposed activity. Justify all operating provide a description of your proposed Provide a timeline and list staff expenses in relation to the planned program and the strategy for responsible for implementing activities activities and stated objectives. CDC implementation. Include a description in the first year. may not approve or fund all proposed of the administrative, financial, activities. Be precise about the program Program Experience accounting, and human resource models purpose of each budget item and itemize used to build organizational a. Describe your organization’s calculations wherever appropriate. infrastructure capacity of HIV program experience as it relates to the b. For each contract and consultant prevention CBOs (e.g., grant writing, focus area for which you intend to contained within the application fiscal management, board development, apply. budget, describe the type(s) of staff and volunteer development, and b. Address the methods that you have organizations or parties to be selected strategic planning). used to provide CBA services and to and the method of selection; identify the b. If applying for Focus Area 2, whom. specific contractor(s), if known; describe provide a description of your proposed c. Address your organization’s the services to be performed, and justify program and the strategy for program experience collaborating with the use of a third party to perform these implementation. Include a description other CBA providers and state and local services; provide a breakdown of and of the HIV prevention interventions you health departments. justification for the estimated costs of have helped to implement (adapted or d. Address your organization’s the contracts and consultants; specify adopted) or evaluated. Your strategy program experience in providing CBA the period of performance; and describe must include information on how you that responds effectively to the cultural, the methods to be used for contract intend to build capacity for gender, environmental, social, and interventions such as: Health education monitoring. linguistic characteristics of your CBA c. Provide a job description for each and risk reduction and avoidance; consumers. In answering this question, position, specifying job title, function, outreach capacity and preparation for describe the types of services provided general duties, and activities. Also testing; testing; referrals; prevention and and list any culturally-, linguistically-, provide salary range or rate of pay and partner counseling; prevention case and developmentally appropriate the level of effort and percentage of time management; and interventions to curricula and materials that your to be spent on activities that would be prevent perinatal transmission. organization has adapted or developed. c. If applying for Focus Area 3, funded through this cooperative provide a description of your model. Organizational Capacity agreement. If the identity of any key Also include information on: (1) Data personnel who will fill a position is a. Submit your organizational chart known, his/her name and resume demonstrating evidence that your model and indicate where the proposed will be successful; (2) how this model should be attached. Experience and program will be located. training related to the proposed project is appropriate for the selected b. Describe your fiscal management community; (3) conditions you expect to should be noted. If the identity of staff systems and how it functions. is not known, describe your recruitment influence; (4) outcomes you expect to c. Describe your human resource plan. If volunteers are involved in the achieve; (5) a strategy for management system and how it project, provide job descriptions. implementation; and (6) description of functions. training materials including curricula. d. Describe your Management Note: If indirect costs are requested, you d. If applying for Focus Area 4, Information System (MIS), its functional must provide a copy of your organization’s provide a description of your proposed role and software assets. current negotiated Federal indirect cost rate program and the strategy for e. Provide the number, and describe agreement. implementation. Include a description the organizational expertise, of your Funding Restrictions of how CPG needs will be addressed full-time employees (FTEs). including, but not limited to, orientation f. Summarize how the systems and Funding restrictions, which must be to the community planning process; assets described above will be used to taken into account while writing your process management; parity, inclusion support and manage the proposed budget, are as follows: and representation; using data to program. a. Funds available under this support decision making; needs announcement must support CBA that assessments; priority setting; Evaluation Monitoring Plan improves the capacity of the CBA intervention effectiveness; and a. Provide baseline, one-year interim consumers to implement, improve, and evaluation of the planning process. and five-year overall target performance sustain programs that support the
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delivery of effective HIV prevention b. A list of culturally-, linguistically- Explanation of Deadlines: services for high-risk racial/ethnic , and developmentally-appropriate Applications must be received in CDC minority populations. materials that are available and Procurement and Grants Office by 4 b. Funds available under this currently being delivered. p.m. Eastern Time on the deadline date. announcement (for Focus Areas 1 and 2) c. A description of funding received If you send your application by the must support CBA that gives priority to from CDC or other sources (federal, United States Postal Service or CBOs directly-funded by CDC, followed state, local, private, etc.) to conduct commercial delivery service, you must by CBOs funded by state and local similar activities that includes: ensure that the carrier will be able to health departments. (1) A summary of current funds and guarantee delivery of the application by c. These federal funds may not income received to conduct CBA the closing date and time. If CDC supplant or duplicate existing funding. programs. This summary must include receives your application after closing d. No funds will be provided for the name of the sponsoring due to: (1) carrier error, when the carrier direct provision of health education and organization/source of income, level of accepted the package with a guarantee risk reduction and avoidance (HERR) funding, a description of how the funds for delivery by the closing date and services or patient care, including have been used, and the budget period. time, or (2) significant weather delays or substance abuse treatment, medical In addition, identify proposed personnel natural disasters, you will be given the treatment, or medications. who will conduct the activities of this opportunity to submit documentation of e. These Federal funds may not be project and who are supported by other the carrier’s guarantee. If the used to support the cost of developing funding sources (include their roles and documentation verifies a carrier applications for other federal funds. responsibilities). problem, CDC will consider the f. Before using funds awarded through (2) A summary of the objectives and application as having been received by this cooperative agreement to develop activities of the funded programs that the deadline. HIV prevention materials, awardees are described above. If you have a question about the must check with the CDC National (3) An explanation of how funds receipt of your application, first contact Prevention Information Network (NPIN) requested in this application will be your courier. If you still have a question, to determine if suitable materials are used differently or in ways that will contact the Procurement and Grants already available. Also, materials expand upon programs that are Office—Technical Information developed by awardees must be made supported with existing or future funds. Management (TIMS) staff at: 770–488– available for dissemination through the (4) An assurance that the requested 2700. Before calling, please wait two to CDC NPIN. For further information on funds will not duplicate or supplant three days after the application NPIN services and resources, contact funds that have been received from any deadline. This will allow time for NPIN at 1–800–458–5231; visit its Web other Federal or non-Federal source. applications to be processed and logged. site at http://www.cdcnpin.org; or send CDC-awarded funds may be used to CDC will not notify applicants requests by fax to 1–888–282–7681 expand or enhance services supported concerning receipt of applications. by other Federal or non-Federal funding (TTY users: 1–800–243–7012). Intergovernmental Review of If you are requesting indirect costs in sources. Applications your budget, you must include a copy d. Independent audit statements from of your indirect cost rate agreement. If a certified public accountant for the Your application is subject to your indirect cost rate is a provisional previous two years. Intergovernmental Review of Federal rate, the agreement must be less than 12 e. A copy of the organization’s current Programs, as governed by Executive months of age. negotiated Federal indirect cost rate Order (EO) 12372. This order sets up a Guidance for completing your budget agreement, if applicable. system for state and local governmental can be found on the CDC Web site, at Note: Materials, which should be part of review of proposed federal assistance the following Internet address: http:// the basic plan, will not be accepted if placed applications. You should contact your www.cdc.gov/od/pgo/funding/ in the appendices. state single point of contact (SPOC) as budgetguide.htm. early as possible to alert the SPOC to Additional information may be Submission Date, Time, and Address prospective applications, and to receive included in the application appendices. LOI Deadline Date: December 22, instructions on your state’s process. The appendices will not be counted 2003. Click on the following link to get the toward the narrative page limit. LOI Submission Address: Submit your current SPOC list: http:// LOI by express, delivery service, or e- www.whitehouse.gov/omb/grants/ Appendices mail to: Samuel Taveras, Team Leader, spoc.html. In addition to the documents required Centers for Disease Control and V. Application Review Information in the Proof of Eligibility section of your Prevention, National Center for HIV, application, the following appendices STD, and TB Prevention, Division of Review Criteria: You are required to should be included in your application, HIV/AIDS Prevention, 1600 Clifton provide measures of effectiveness that if relevant: Road, Mailstop E–40, Atlanta, Georgia will demonstrate the accomplishment of a. list of all organizations with which 30333, Telephone: 404–639–5241, E- the various identified objectives of the you will cooperate to avoid duplication mail address: [email protected]. cooperative agreement. Measures of of effort and ensure that gaps in CBA Application Deadline Date: January effectiveness must relate to the services are addressed. Include 26, 2004. performance goals stated in the Memoranda of Agreement from each Application Submission Address: ‘‘Purpose’’ section of this such organization as evidence of Submit your application by mail or announcement. Measures must be cooperative relationships. Memoranda express delivery service to: Technical objective and quantitative, and must of Agreement should specifically Information management-PA 04019, measure the intended outcome. These describe the proposed cooperative CDC Procurement and Grants Office, measures of effectiveness must be activities. These documents must be 2920 Brandywine Road, Atlanta, GA submitted with the application and will submitted annually with each interim 30341. Applications will not be be an element of evaluation. Therefore, progress report. accepted by fax or email. you must set baseline, annual, and five
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year overall target levels of performance distributed in proportion to the HIV/ Reporting Requirements for each core performance indicators AIDS disease burden among high-risk You must provide CDC with an and performance indicator by focus area racial/ethnic minority populations. original, plus two copies of the 3. CDC’s commitment to ensure that identified in this program following reports: announcement. These target levels of overall funding for CBA services is 1. First semi-annual progress report, it performance must be reflected in your distributed proportionally in all regions can serve as your interim progress objectives, submitted with the and according to the number of CBA report, no less than 120 days before the application, and will be an element of consumers located in each region. end of the budget period. The report 4. Under Focus Area 3, CDC’s evaluation. must contain the following elements: Each application will be evaluated commitment to ensure that funding for a. Current Budget Period Activities individually by an independent review CBA serves different high-risk sub- and Objectives. group appointed by CDC. Applications groups including, but not limited to, b. Current Budget Period Financial will be rated according to the quality of Men who have sex with men (MSM), Progress. responses to the questions listed in the Injection Drug Users (IDU), women, c. New Budget Period Program Content and Form of Submission migrant workers at risk for HIV infection Proposed Activity Objectives. section of this announcement and the and high-risk youth. d. Detailed Line-Item Budget and quality of the stated process objectives. 5. Under Focus Area 3, CDC’s Justification. The criteria against which the questions commitment to ensure that funding for e. Additional Requested Information will be rated and the number of points CBA includes strategies involving faith- including: (1) Data related to allocated to each component of the based organizations. application are listed below. Your performance target goals; (2) data on VI. Award Administration Information application will be evaluated against the progress toward achieving objectives; (3) following evaluation criteria: Award Notices: If your application is an inventory of total Individual funded, you will receive a Notice of Capacity Building Assistance and 1. Program Plan Grant Award (NGA) from the CDC proactive training for the reporting a. Is the program and strategy based Procurement and Grants Office. The period; and (4) data related to the on sound reasoning or evidence? (10 NGA shall be the only binding, quality assurance system. points) authorizing document between the 2. Second semi-annual progress report b. Are the proposed program recipient and CDC. The NGA will be shall be due 30 days after each budget objectives specific, measurable, signed by an authorized Grants period ends. Specific guidance on what achievable, realistic, and time-phased? Management Officer, and mailed to the to include in this report will be (10 points) recipient fiscal officer identified in the provided three months before the due c. What is the likelihood that application. date. This report should include the proposed program activities will Administrative and National Policy following: accomplish the proposed program Requirements: 45 CFR parts 74 and 92. a. Base line and actual level of objectives? (10 points) The following additional performance on core performance d. Is the timeline feasible? (10 points) requirements apply to this project: indicators and performance indicators (40 points) • AR–1 Human Subjects by focus area. 2. Program Experience Requirements b. Current Budget Period Financial • AR–2 Requirements for Inclusion of Progress. Is the applicant’s program experience Women and Racial and Ethnic c. Additional requested information. relevant to the provision of CBA in the Minorities in Research 3. Financial status report, no more focus area for which they intend to • AR–4 HIV/AIDS Confidentiality than 90 days after the end of the budget apply? (20 Points) Provisions period. • 3. Organizational Capacity AR–5 HIV Program Review Panel 4. Final financial and performance Requirements reports, no more than 90 days after the Does the applicant demonstrate • AR–7 Executive Order 12372 end of the project period. current organizational capacity to Review 5. Submit any newly developed implement the focus area for which they • AR–8 Public Health System public information resources and are applying? (20 Points) Reporting Requirements materials to the CDC National • 4. Evaluation Monitoring Plan AR–9 Paperwork Reduction Act Prevention Information Network Requirements (formerly the AIDS Information Is the evaluation-monitoring plan • AR–10 Smoke-Free Workplace feasible and does it address the required Clearinghouse) so that they can be Requirements incorporated into the current database target goals, process and outcome data • AR–11 Healthy People 2010 for access by other organizations and collection, analysis, and reporting • AR–12 Lobbying Restrictions activities? (20 Points) • AR–14 Accounting System agencies. Review and Selection Process: An Requirements 6. HIV Content Review Guidelines. objective review panel will evaluate • AR–15 Proof of Non-Profit Status a. Submit completed Assurance of your application according to the • AR–16 Security Clearance Compliance with the Requirements for criteria listed above. In addition, the Requirement Contents of AIDS-Related Written following factors may affect the funding • AR–20 Conference Support Materials Form (CDC form—0.1113). decision: • AR–21 Small, Minority, and This form lists the members of your 1. CDC’s commitment to ensure Women-Owned Business program review panel. The form is overall funding for CBA services that • AR–22 Research Integrity enclosed with your application kit. The serves each of the four major racial/ Additional information on these current Guidelines and the form can ethnic minority populations for all five requirements can be found on the CDC also be downloaded from the CDC Web regions. Web site at the following Internet site: http://www.cdc.gov/od/pgo/ 2. CDC’s commitment to ensure address: http://www.cdc.gov/od/pgo/ forminfo.htm. Please include this overall funding for CBA services that is funding/ARs.htm. completed form with your application.
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This form must be signed by the project DEPARTMENT OF HEALTH AND infection who become aware of their director and authorized business HUMAN SERVICES serostatus. official. • Increase access to quality HIV Centers for Disease Control and b. You must also include medical care and ongoing prevention Prevention documentation of approval by the services for individuals living with HIV. • Address high priorities identified relevant review panel of any HIV Human Immunodeficiency Virus (HIV) educational materials used by your by the state or local HIV prevention Prevention Projects for Community- Community Planning Group (CPG). project. Use the enclosed form Report of Based Organizations • Approval. If you have nothing to Complement HIV prevention activities and interventions supported submit, you must complete the enclosed Announcement Type: New. by state and local health departments. form No Report Necessary. Either the Funding Opportunity Number: 04064. Catalog of Federal Domestic Report of Approval or No Report Activities Assistance Number: 93.939. Necessary must be included with all Throughout this program progress reports and continuation Key Dates announcement, you will be asked to requests. Letter of Intent Deadline: December adapt and tailor CDC procedures, 7. Address your organization’s 22, 2003. including Replicating Effective adherence to CDC policies for securing Application Deadline: February 6, Programs (REP) and Diffusion of approval for CDC sponsorship of 2004. Effective Behavioral Interventions conferences. If you plan to hold a I. Funding Opportunity Description (DEBI) (see Attachment I). This program conference, you must send a copy of the announcement and all attachments for agenda to CDC’s Grants Management Authority: This program is authorized this announcement are located on the Office. under sections 301(a) and 317(k)(2) of the CDC Web site http://www.cdc.gov. To Public Health Service Act, [42 U.S.C. 241 and view CDC procedures, program 8. If you plan to use materials using 42 U.S.C. 247b(k)(2)], as amended. CDC’s name, send a copy of the announcement attachments and other proposed material to CDC’s Grants Purpose: The purpose of the program available technical assistance visit http://www2a.cdc.gov/hivpra/ Management Office for approval. announcement is consistent with CDC’s Government Performance and Results pa04064.html. Definitions for terms Note: Send all reports to the Grants Act (GPRA) performance plan and the used frequently throughout the program Management Specialist identified in the CDC goal to reduce the number of new announcement can be found in the Section VII. Agency Contacts section of this HIV infections in the United States. Program Announcement Glossary (see announcement. Funds are available under this Attachment II). The terms defined below announcement for HIV prevention are used frequently throughout the VII. Agency Contacts projects for Community-Based program announcement and are also included in the Glossary. For general questions about this Organizations (CBOs). For the purpose of this program announcement, contact: Centers for This program announcement addresses the ‘‘Healthy People 2010’’ announcement, an individual at high Disease Control and Prevention, focus area of HIV Prevention. risk for HIV infection is someone who Technical Information Management Measurable outcomes of this program has had unprotected sex or has shared Section (TIMS), Procurement and Grants will be in alignment with one (or more) injecting equipment in a high- Office, 2920 Brandywine Road, Atlanta, of the following performance goal(s) for prevalence setting or with a person who GA 30341, Telephone: 770–488–2700. the National Center for HIV, STD and is living with HIV. For program technical assistance, TB Prevention (NCHSTP): A high-prevalence setting is a contact: Samuel Taveras, Team Leader, • Decrease the number of persons at geographic location or community with Centers for Disease Control and high risk for acquiring or transmitting an HIV seroprevalence greater than or Prevention, National Center for HIV, HIV. equal to one percent. STD, and TB Prevention, Division of • Increase the proportion of HIV- An individual at very high risk for HIV/AIDS Prevention, 1600 Clifton infected people who know they are HIV infection is someone who (within Road, Mailstop E–40, Atlanta, GA infected. the past six months) has: • 30333, Telephone: 404–639–5241, E- Increase the proportion of HIV- • Had unprotected sex with a person mail address: [email protected]. infected people who are linked to who is living with HIV. appropriate prevention, care, and • Had unprotected sex in exchange For budget assistance, contact: Carlos treatment services. Smiley, Grants Officer, Centers for • for money or drugs. Strengthen the capacity nationwide • Had multiple (greater than five) or Disease Control and Prevention, to monitor the epidemic, develop and Procurement and Grants Office, 2920 anonymous unprotected sex or needle- implement effective HIV prevention sharing partners. Brandywine Road, Room 3000, Atlanta, interventions, and evaluate prevention Georgia 30341–4146, Telephone: 770– OR programs. • 488–2722, e-mail address: The specific objectives of this Been diagnosed with a sexually [email protected]. announcement are to: transmitted disease (STD). • If CDC funds your CBO, you will be Dated: November 21, 2003. Reduce HIV transmission. • Increase the proportion of responsible for one or more of the Edward Schultz, individuals at high risk for HIV following activities: Acting Director, Procurement and Grants infection who receive appropriate 1. Conducting targeted outreach and Office, Centers for Disease Control and prevention services. providing Health Education/Risk Prevention. • Reduce barriers to early diagnosis of Reduction (HE/RR) for high-risk [FR Doc. 03–29806 Filed 11–26–03; 11:20 HIV infection. individuals. am] • Increase the proportion of 2. Conducting targeted outreach and BILLING CODE 4163–18–P individuals at high risk for HIV providing Counseling, Testing, and
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Referral (CTR) services for high-risk procedures, workshops, conferences, III. Eligibility Information individuals. and other written materials. Eligible Applicants 3. Implementing one or more of the 5. Providing assistance and interventions below: information on new rapid HIV testing Applications may only be submitted (a) Prevention for individuals living technologies. by eligible CBOs, including faith-based with HIV and their sex or injecting drug- 6. Helping you establish partnerships CBOs. CBOs may apply under one of the using partners who are HIV negative or with state and local health departments, following categories: unaware of their HIV status. community planning groups, and other Category A: Providing HIV prevention (b) Prevention for individuals at very groups who receive federal funding to services to members of racial/ethnic high risk for HIV infection. support HIV/AIDS activities. minority communities who are at high (c) Partner Counseling and Referral risk for HIV infection. Services (PCRS). 7. Ensuring that successful prevention Category B: Providing HIV prevention You must also: interventions, program models, and services to members of groups at high 4. Set a baseline level, annual targets, lessons learned are shared between risk for HIV infection regardless of their and five year overall target levels of grantees through meetings, workshops, race/ethnicity. performance for each core indicator conferences, newsletter development, identified by CDC (see Attachment III Internet, and other avenues of Other Eligibility Requirements for a description of program communication. To be eligible, your CBO must meet performance indicators). If your CBO is 8. Monitoring your success in all criteria listed below. Your CBO must: funded, CDC will meet with you within program and fiscal activities, protection A. Have tax-exempt status. 60 days to review the indicators. CDC of client privacy, and compliance with B. Be located in the area(s) where will help you revise the indicators if other organizational requirements. services will be provided or have necessary. If you fail to achieve your 9. Developing program evaluation provided services in the area for at least target levels of performance, CDC will guidelines and protocols and program three years. work with you to improve performance. monitoring systems (including C. Have discussed the details of your If your performance fails to improve, indicators) and protocols. proposed CTR program with the health CDC may reduce the award or defund 10. Monitoring your progress toward department and have agreed to follow your program. achieving your target level of their guidelines for these services if 5. Collect monitoring and evaluation performance for each core indicator, and your CBO provides them (see data and report required data to CDC’s by working with you if you fail to Attachment V for a list of requirements). Program Evaluation and Monitoring achieve your target levels of D. Not be a government or municipal System (PEMS) (see Attachment IV for performance. agency, private or public university or a description of PEMS). college, or private hospital. 11. Providing assistance with required 6. Refer individuals living with HIV to E. Not be a 501(c) (4) organization. prevention services and medical care program indicators. Note: Title 2 of the United States Code (including STD screening) if your CBO II. Award Information section 1611 states that an organization is unable to provide them directly. Type of Award: Cooperative described in section 501(c)(4) of the Internal 7. Refer individuals at very high risk Revenue Code that engages in lobbying for HIV infection to prevention services Agreement. activities is not eligible to receive federal if your CBO is unable to provide them Fiscal Year Funds: 2004. funds constituting an award, grant, or loan. directly. Approximate Total Funding: F. If applying under Category A, your 8. Collaborate and participate in the $49,000,000. CBO must: HIV prevention community planning CDC anticipates the following 1. Have proof that 85 percent of the process with your local health distribution of funds: $12 million for persons your CBO has served in each of department. targeted outreach and health education/ the last three years were of racial/ethnic 9. Identify and address the capacity- risk reduction; $14 million for targeted building needs of your program and minority populations. outreach and counseling, testing and 2. Have provided HIV prevention participate in mandatory CDC- referral services (CTR); and $23 million services in each of the last three years sponsored training. for prevention interventions. In a cooperative agreement, CDC staff to your proposed high-risk population. Approximate Number of Awards: 160. is substantially involved in program G. If applying under Category B, your activities in addition to grant Approximate Average Award: CBO must: 1. Have proof that over 50 percent of monitoring. If your CBO is funded $300,000. the persons your program has served in under this announcement, CDC Floor of Award Range: $100,000. each of the last three years were from involvement will include: Ceiling of Award Range: $500,000. 1. Providing assistance and Anticipated Award Date: June 1, 2004. high-risk groups, regardless of their consultation on program and race/ethnicity. Budget Period Length: 12 months. 2. Have a program that has provided administrative issues directly or through Project Period Length: Up to 5 years. partnerships with health departments, HIV prevention or care services in each Continuation awards within an of the last three years to your proposed national and regional minority approved project period will be organizations, contractors, and other target population, or have access to determined by the availability of funds high-risk populations who do not have national and local organizations. and the best interest of the Federal 2. Working with you to assess your the services funded under this Government. To be granted a training needs and ensure that those announcement available in their continuation award, you must have: geographic area, such as transgender, needs are met. • 3. Disseminating current information, Completed all recipient drug-injecting women, and Native including best practices, in all areas of requirements. American populations. • HIV prevention. Achieved your annual target levels Note: All information submitted with your 4. Helping you to adopt effective of performance for each core indicator. application is subject to verification during intervention models through CDC • Submitted all required reports. pre-decisional site visits.
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This program announcement is entities. Obtaining a DUNS number is When answering questions for limited to CBOs due to their credibility easy and there is no charge. To obtain subsections A-I, you must: among individuals living with HIV and a DUNS number, access http:// • Label your application using the those at very high risk for HIV infection. www.dunandbradstreet.com or call 1– subsection title and name of the CBOs have proven their ability to access 866–705–5711. subsection (e.g., A. Eligibility) if hard-to-reach populations (e.g., For more information, visit the CDC applicable. Intravenous Drug Users) that have Web site at: http://www.cdc.gov/od/pgo/ • Use the abbreviation N/A (not traditionally suffered exclusion from funding/pubcommt.htm. applicable), if a question or subsection mainstream interventions and agencies. If your application form does not have does not apply to your application. A. Eligibility Cost Sharing or Matching a DUNS number field, please write your DUNS number at the top of the first Suggested length: ten pages or less. Matching funds are not required for page of your application, and/or include This section will not count toward the this program. your DUNS number in your application 40 page limit of your application, but it cover letter. will determine if you are eligible for IV. Application and Submission funding. Place all documents requested Information Application Content and Form of in subsection A in Appendix A, labeled Letter of Intent (LOI) Submission Proof of Eligibility. You must submit a signed original In your application, answer the Inform CDC that you plan to apply for following questions: funding by filling out the form found in and two copies of your application forms. 1. Are you applying under Category Attachment VI. Please fax, mail, or e- A: Providing HIV prevention services to mail your LOI to us by December 22, You must include a project narrative with your application forms. Your members of racial/ethnic minority 2003. You may also complete this form communities who are at high risk for online at: http://www2a.cdc.gov/hivpra/ narrative should address the activities that that your CBO will conduct over HIV infection or Category B: Providing pa04064.html. HIV prevention services to members of Although a letter of intent is not the entire five-year project period. Your narrative must be submitted in groups at high risk for HIV infection required, this information will assist regardless of their race/ethnicity? CDC in planning for the review process. the following format: Your LOI must contain: There is a maximum limit of 40 Note: For questions two through five, • Your organization name, address, single-spaced pages. If your narrative please provide documentation. Proof of location, history, and service must include at executive director. exceeds the page limit, only the first 40 • pages will be reviewed. least one copy of a progress report describing A description of your target services to the population served, a letter population. • 12 point, unreduced font size. • from one of your funding organizations, • A statement of your intent to apply 8.5 by 11 inch paper. process monitoring data, service utilization and category under which you are • One-inch margins on each page. data (which includes client characteristics), eligible to apply (e.g., Category A or • Printed only on one side of paper. or a newspaper article. • Category B). Held together only by rubber bands 2. Does your CBO have a valid Your application should not or metal clips; not bound in any other Internal Revenue Service (IRS) 501(c)(3) accompany your LOI. way. tax-exempt status or state proof of How to Obtain Application Forms: To This section of the program incorporation as a non-profit apply for funding under this program announcement defines program organization? If you answer yes, you announcement, use application form requirements. You must describe your must attach a copy of the letter from the PHS 5161–1. Application forms and plans to address each requirement. Your IRS or a copy of your state proof of instructions are available on the CDC application will be reviewed based on incorporation. If you answer no, you are Web site, at the following Internet your answers to the questions in not eligible to apply for funding under address: http://www.cdc.gov/od/pgo/ subsections A through I. Please answer this program announcement. forminfo.htm. each question with complete sentences 3. Are you located in the area in If you do not have access to the and provide all requested documents. If which services will be provided, or have Internet, or if you have difficulty you fail to provide the required you provided services in that area for at accessing the forms on-line, you may documents, your application will not be least three years? contact the CDC Procurement and considered for review. 4. If your CBO is applying under Grants Office Technical Information This section also lists the core Category A: Management Section (PGO–TIM) staff at program indicators that will be used to (a) What proportion of the individuals 770–488–2700. Application forms can measure your program’s success. In your your organization has served during be mailed to you. application, you are required to make an each of last three years were members This program announcement provides effort to report on the baseline level for of racial/ethnic minority populations? final guidance on application format, each indicator, as well as projected one- (b) What evidence do you have that content, and deadlines. If there are year interim and five-year overall target your CBO has provided HIV prevention differences between the application levels of performance. When you apply services in each of the last three years form instructions and the program for funding continuation, you will have to your proposed high-risk population? announcement, adhere to the guidance the opportunity to revise your baseline, 5. If your CBO is applying under in the program announcement. interim, and overall levels of Category B: You are required to have a Dun and performance, as specified in the (a) What evidence do you have that Bradstreet Data Universal Numbering guidance for completing your your program has provided HIV System (DUNS) number to apply for a continuation application. In subsequent prevention or care services to your grant or cooperative agreement from the reports, you will report on the progress proposed target population during each federal government. The DUNS number your CBO has made toward achieving of the last three years, or has access to is a nine-digit identification number, your target level of performance for each high-risk populations who do not have which uniquely identifies business core indicator. services available in the area?
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(b) What proportion of individuals 6. What history do you have serving conduct testing, you must establish a served by your program during the last this population? (Please explain how formal agreement with another agency/ three years were from high-risk groups? long you have provided services, agencies to provide testing. 6. Is your organization a governmental describe what kinds of services have (c) Collect and report process and or municipal agency, a government- been provided, describe the outcomes of outcome monitoring data on the services affiliated organization or agency (e.g., services you provided, and describe you provide, including core health department, school board, public your relationship with the community.) performance indicators, as directed in hospital), or a private or public 7. How do your staff members reflect the PEMS and the Evaluation Guidance. university or college? your proposed target population? 2. In your application, please answer 7. Is your organization included in the (Please describe, in aggregate, the the following questions: category described in section 501(c)(4) characteristics of your key program staff (a) How will you target your efforts to of the Internal Revenue Code of 1986 in terms of experience working with the reach high-risk individuals who have that engages in lobbying activities? target population, gender, race/ not been tested in the last six months or 8. If you plan to offer HIV counseling ethnicity, HIV serostatus, area of do not know their HIV serostatus? and testing or partner counseling and behavioral risk expertise, or other (b) How will you identify and address referral services, have you discussed relevant factors.) barriers to accessing your target your proposed program with the health 8. How will you involve the target population? department? Have you agreed to follow population when planning and (c) How will you involve your target the health department’s guidelines for implementing your proposed services? population when planning and these services? Provide a letter from the 9. How will your proposed activities implementing your proposed services? health department addressing each item meet the needs of your target population (d) How will you ensure that your included in the sample letter. (Use or improve available services? activities will reach individuals at high Attachment VII). 10. What services do you plan to risk for HIV infection who are unaware 9. Do you have voluntary counseling provide under this program of their HIV serostatus or are not and testing, or care or treatment announcement? List all that apply in receiving prevention or care services? services, available onsite? If not, please your application. (e) How will you adapt and tailor provide a letter of intent to provide (a) Targeted outreach and HE/RR to relevant CDC procedures, including REP these services through another agency/ high-risk individuals. and DEBI, into your existing or agencies. (b) Targeted outreach and CTR. proposed program? 10. Is your organization applying as a (c) Prevention interventions for (f) How will you ensure access to single CBO, as a member of a coalition, individuals living with HIV and their voluntary HIV counseling and testing or as a lead organization in a coalition, sex or injection drug-using partners. services? e.g., a collaborative contractual (d) Prevention interventions for (g) What are your quality assurance partnership? Please indicate which. individuals at very high risk for HIV strategies? (h) How will you train, support, and 11. Is your organization currently infection. retain staff to conduct interventions? funded under CDC Program (e) Partner counseling and referral (i) How will you ensure client Announcement 99091, 99092, 99096, services. confidentiality? 00023, 00100, 01033, 01163 or 03003? C. Targeted Outreach and Health (j) How will you ensure that your Please indicate which announcement(s). Education/Risk Reduction for High-Risk services are culturally sensitive and B. Justification of Need Individuals relevant? Suggested length: five pages. (k) What are your baseline levels, Suggested length: five pages. 1. If you are applying for targeted projected one-year interim, and five- Note: Contact your health department to outreach and HE/RR services, you must year overall target levels of performance obtain HIV/AIDS statistics and HIV needs conduct activities listed in sections F, G, for the following core program assessment data developed for the H, and I. You must also: indicators? community planning process. This (a) Using CDC procedures including (1) The mean number of outreach information will help you answer the questions in this section. REP and DEBI, (see Attachment I), contacts required to get one person with implement targeted strategies to unknown or negative serostatus to In your application, please answer the increase the number of high-risk access counseling and testing. following questions: individuals who reduce their risk for (2) The proportion of persons who 1. What kind of services does your HIV infection and consent to testing. access counseling and testing from each agency provide? Your strategies should aim to reach of the following interventions: 2. Which organizations provide high-risk individuals who have not individual-level interventions and similar services in your area? tested in the last six months or do not group-level interventions. 3. Who is your proposed target know their HIV serostatus. Activities (3) Proportion of persons that population for this program should be conducted in a setting that is completed the intended number of announcement? Complete Attachment comfortable and accessible to your sessions for each of the following VIII and include it in your application clients. Your strategies should also interventions: Individual-level as Appendix B. improve access to other local HIV interventions and group-level 4. What are the behaviors that place prevention services. The following interventions. your target population at high risk for strategies will be supported: D. Targeted Outreach and Counseling, HIV infection or for transmitting the (1) Targeted outreach. Testing, and Referral Services (CTR) virus? (2) Individual-level interventions. 5. How has your proposed target (3) Small group-level interventions. Suggested length: seven pages. population been affected by the HIV/ (4) Referral networks. 1. If you are applying for targeted AIDS epidemic? (e.g., HIV incidence or (b) Offer voluntary HIV counseling outreach and CTR, you must conduct prevalence, AIDS incidence or and testing to each individual identified activities listed in sections F, G, H and prevalence, AIDS mortality) through your program. If you do not I. You must also:
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(a) Use CDC procedures, including indicators, as directed in the PEMS and procedures; including REP and DEBI REP and DEBI, (see Attachment I) to the Evaluation Guidance, and follow (see Attachment I): provide counseling and voluntary HIV- required health department reporting (1) Prevention interventions for testing services to high-risk individuals procedures. individuals living with HIV, and their identified through your outreach (g) Report confirmed HIV-positive sex and injection drug-using partners strategies. CDC encourages recipients to tests to state and local health who are HIV negative or are unaware of use a Clinical Laboratory Improvement departments, following all rules and their HIV serostatus. Amendments (CLIA) waived rapid test regulations regarding HIV and AIDS (2) Prevention interventions for when appropriate and to process surveillance. seronegative individuals at very high confirmatory tests at the state or local 2. In your application, please answer risk for HIV infection. health department laboratory. (Research the following questions: (3) Partner Counseling and Referral has shown that the use of rapid HIV (a) How will you ensure that Services (PCRS). tests increases the number of counseling and testing activities will (b) If you want to provide PCRS, you individuals who receive their results; reach high-risk individuals who have must work with your health department and knowledge of HIV serostatus not tested in the last six months or do and meet all local, state, and federal promotes safer behaviors.) Your not know their HIV serostatus? requirements for providing these proposed activities must meet all local, (b) How will you identify and address services. Obtain a letter of agreement state, and federal requirements for HIV your target population’s barriers to from your health department which prevention counseling, testing, and accessing voluntary HIV counseling and must also state that your CBO meets all referral services. If required by state testing services? local, state, and federal requirements. regulations, provide a letter of intent (c) How will you ensure that clients This letter must address each item from a physician stating his/her receive their test results, particularly included in the sample letter. (Use involvement in HIV-testing activities. clients who test positive? Attachment VII.) This letter must address each item (d) How will you ensure that (c) Collect and report process and included in the sample letter (use individuals with initial HIV-positive monitoring data on these services, Attachment VII). test results will receive confirmatory including core performance indicators, Funding may be used to cover testing- tests? (If you do not provide as directed in the PEMS and Evaluation related costs. You must share your plans confirmatory HIV testing, you must Guidance. with the health department and obtain provide a letter of intent or 2. In your application, for each service a letter of support to be eligible for memorandum of agreement with an you plan to provide, please answer the funding. external laboratory documenting the following questions: (b) Provide post-test prevention process through which initial HIV- (a) What are your proposed counseling services for persons whose positive test results will be confirmed.) prevention interventions? HIV test results are negative, but who (e) How will you involve the target are at ongoing very high risk for HIV (b) How will you identify and offer population when planning and services to individuals living with HIV, infection. You must also provide implementing your proposed services? appropriate prevention interventions for and their sex and injection drug-using (f) How will you adapt, tailor, and partners who are HIV negative or who this population. If you cannot provide implement relevant CDC procedures, these services directly, you must refer do not know their HIV status? including REP and DEBI? (c) How will you identify and offer these individuals to appropriate (g) What are your quality assurance services to individuals at very high risk prevention interventions. Contact your strategies? for HIV infection? health department to identify available (h) How will you train, support, and (d) Where will you provide referral services in your area. retain staff providing counseling and prevention services? (Please describe (c) Provide post-test counseling testing? services for persons whose HIV test (i) How will you ensure client the setting.) results are positive. You must refer confidentiality? (e) How will you maintain and retain these individuals to the health (j) How will you ensure that your individuals in your prevention department for Partner Counseling and services are culturally sensitive and intervention(s)? Referral Services (PCRS). relevant? (f) How will you coordinate (d) Establish a formal agreement with (k) What are your baseline levels and prevention services with other case a laboratory and provide a plan for projected one-year interim and five-year management and/or treatment providers ensuring training, oversight, quality overall target levels of performance for for individuals living with HIV? assurance, and compliance with CLIA the following core program indicators? (g) How will you ensure that requirements and relevant state and (1) Percent of newly identified, prevention services do not duplicate local regulations applicable to waived confirmed HIV-positive test results services provided by the Ryan White testing, if you will be using a waived among all tests funded by CDC and Care Act program? rapid HIV test. Obtain a CLIA Certificate reported by your organization. (h) How will you address barriers of Waiver or approval to operate under (2) Percent of newly identified, related to partner counseling and that laboratory’s CLIA certificate. confirmed HIV-positive test results referral services? Submit a letter of support from the delivered to clients. (i) What are the qualifications of staff laboratory. Include this document as providing prevention services? E. Prevention Interventions Appendix C. (j) How will you involve the target (e) Implement strategies to reduce Suggested length: seven pages. population when planning and your target population’s barriers to 1. If you are applying for funding to implementing your proposed services? accessing CTR services (e.g., economic provide prevention services, you must (k) How will you adapt, tailor, and barriers, environmental barriers, conduct activities listed in sections F, G, implement relevant CDC procedures, cultural barriers, and social barriers). H, and I. You must also: including REP and DEBI? (f) Collect and report counseling and (a) Implement one or more of the (l) What are your quality assurance testing data, including core performance interventions below using standard CDC strategies?
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(m) How will you train, support, and (a) Current system of data collection performance levels for the following retain staff to provide these and methods for reporting HIV core indicator: The mean number of interventions? prevention activities including data outreach contacts required to get a (n) How will you ensure services are system specifications and data person living with HIV, and their sex culturally sensitive and relevant? management information systems. and injection drug-using partners, or an (o) How will you ensure client (b) Capacity to collect and report individual at very high risk for HIV confidentiality? client-level data for HIV prevention infection, to access referrals made under (p) What are your baseline levels, services and the effect of those services this program announcement. projected one-year interim, and five- on client HIV risks and health service H. Collaboration and Coordination With year target levels of performance for the utilization. the HIV Prevention Community following core program indicators (c) Plans to identify and address Planning Process and Local Health relevant to your program: barriers and facilitators to the collection (1) Proportion of persons living with of client-level demographic and Department HIV and their sex and injection drug- behavioral characteristics. Suggested length: three pages. using partners who are HIV negative or (d) Plans to ensure that data quality 1. You must: who do not know their HIV status that and security are consistent with CDC (a) Collaborate and coordinate completed the intended number of requirements and guidelines. activities with the HIV prevention CPG sessions for each of the prevention (e) Willingness to collaborate with and local health department. interventions supported by this program CDC in the design and implementation Collaboration activities may include announcement. of other evaluation projects. participating in the needs assessment (2) Proportion of persons at very high (f) Technical assistance needs to meet process, reviewing and commenting on risk for HIV infection who completed evaluation and monitoring plans, presenting an overview of your the intended number of sessions for requirements. project activities to the CPG in their each of the prevention interventions (g) Baseline level, one-year interim, jurisdiction and making clients supported by this program and five-year overall target levels of available for focus groups and other performance for the following core announcement. planning activities. Coordination (3) Percent of HIV infected persons indicator: proportion of client records activities may include sharing progress who, after a specified period of with the CDC-required demographic and reports, program plans, and monthly participation in each of the prevention behavioral risk information. calendars with state and local health interventions supported by the program G. Referral Activities departments, CPGs, and other announcement, report a reduction in organizations and agencies involved in Suggested length: four pages. HIV prevention activities serving your sexual or drug-using risk behaviors or 1. For services not available through maintain protective behaviors with target population. your organization, you must: (b) Participate in the HIV prevention seronegative partners or with partners of (a) Collaborate with other agencies to community planning process. unknown status. increase the number of persons who Participation may include involvement (4) Percent of contacts with unknown receive comprehensive services or negative serostatus receiving an HIV in workshops, attending meetings, including prevention, testing, medical serving as a member of the CPG, and test after PCRS notification. care, mental health, and drug abuse becoming familiar with and utilizing (5) Percent of contacts with a newly treatment. identified, confirmed HIV-positive test information from the community (b) Develop a formal agreement such planning process, such as the among contacts who are tested. as a memorandum of understanding (6) Percent of contacts with a known, epidemiologic profile, needs assessment with each collaborating agency serving data, and intervention strategies. confirmed HIV-positive test among all persons identified through your contacts. Membership in the CPG is not required, program within six months of funding. and it is determined by the group’s (c) Track referral activities and their F. Evaluation and Monitoring bylaws and selection criteria. outcomes. You must document the type Intervention Activities 2. In your application, describe your of referral (e.g. mental health, housing), plans to: Suggested length: five pages. date of referral, and outcome of referral 1. You must: (a) Participate, collaborate, and (such as completion of first coordinate with the HIV prevention (a) Collect and report client-level data. appointment). (b) Collect and report standardized CPG. (d) Collect and report data on (b) Participate, collaborate, and process and outcome monitoring data referrals, including core performance coordinate with the local health consistent with CDC requirements. indicators, as directed in the PEMS and (c) Enter and transmit data for CDC- department. Evaluation Guidance. (c) Participate in the HIV prevention funded services on CDC’s browser-based 2. In your application, you must: community planning process. system or describe plans to make a local (a) Describe your plans to develop a system compatible with CDC’s system. referral network to ensure that clients I. Capacity Building (There is a description of PEMS in identified through your program have Suggested length: four pages. Attachment IV.) access to comprehensive services 1. You must: (d) Collect and report data consistent including access to primary care, life- (a) Conduct a capacity-building needs with CDC requirements to ensure data prolonging medications, and essential assessment. quality and security and client support services that will maintain HIV- (b) Develop a comprehensive confidentiality. positive individuals in systems of care. capacity-building plan based on the (e) Collaborate with CDC to assess the (b) Provide documentation of any outcomes of the needs assessment. impact of HIV prevention activities and formal agreements with providers and (c) Share any new CBA needs that participate in special projects upon other agencies where your clients may develop during the project period with request. be referred. your project officer. 2. In your application, please describe (c) Specify baseline levels, projected (d) Attend a grantee orientation for your: one-year interim, and five-year overall administrative and programmatic staff.
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(e) Participate in any mandatory date. If you send your application by the IV., entitled, ‘‘Application and training conducted or sponsored by United States Postal Service or Submission Information’’ beginning CDC. commercial delivery service, you must with B. Justification of Need. Your (f) Ensure that your CBO’s financial ensure that the carrier will be able to application will be ranked based on this manager attends a CDC-sponsored guarantee delivery of the application by score. The highest-ranked applications financial training. If the financial the closing date and time. If CDC will be considered for a pre-decisional manager leaves your agency, his/her receives your application after closing site visit (Step two). replacement must attend training within due to: (1) carrier error, when the carrier Step Two six months. accepted the package with a guarantee 2. In your application, please answer for delivery by the closing date and The second step of the review process the following questions: time, or (2) significant weather delays or is conducted via pre-decisional site (a) What are your immediate, natural disasters, you will be given the visits which are worth 100 points. To be intermediate and long term CBA needs; opportunity to submit documentation of considered for funding, you must score and how do you plan to address them? the carrier’s guarantee. If the at least 70 points during this process. If (b) How do you plan to share any new documentation verifies a carrier you fail to reach 70 points, your CBO CBA needs that develop during the problem, CDC will consider the will be disqualified. CDC will invite project period with your project officer? application as having been received by health department staff to participate in J. Guidance on Use of Funds the deadline. the site visit. If your application does not meet the Criteria for Step One: Application You must consider the following submission deadline, it will not be Review funding restrictions when you are eligible for review and will be creating your project budget: discarded. You will be notified that you Your application will be evaluated on • Funds may be used to hire did not meet the submission the following criteria: contractors or support coalition partners requirements. A. Eligibility (not scored) to strengthen program activities. CDC CDC will not be sending postcards to encourages you to develop coalitions confirm application receipt. Please This section of your application will with other prevention providers, contact your mail carrier to confirm be reviewed to determine if you are medical providers, and health delivery. If you still have questions, eligible for funding. departments to implement your contact the PGO–TIM staff at 770–488– B. Justification of Need (200 points) proposed program; however, your CBO, 2700. Before calling, please wait two to not the contract organization(s) or the three days after the application This section of your application will coalition partner(s), must conduct the deadline. This will allow time for the be scored based on your description of: • largest portion of the activities applications to be processed and logged. The target population’s needs. (including managing the program and Intergovernmental Review of • How your proposed intervention activities) funded by this award. Applications: Executive Order 12372 meets the needs of the jurisdiction’s HIV • Funds cannot be used to provide does apply to this program. Prevention Comprehensive Plan. medical or substance abuse treatment. • Your experience and credibility in If you are requesting indirect costs in V. Application Review Information working with the proposed target your budget, you must include a copy Review Criteria: You are required to population. provide measures of effectiveness that of your negotiated indirect cost rate C. Targeted Outreach and Health will demonstrate the accomplishment of agreement. If your indirect cost rate is Education/Risk Reduction for High-Risk the various identified objectives of the a provisional rate, the agreement must Individuals (150 points) be less than 12 months of age. cooperative agreement. Measures of For budget guidance, visit the CDC effectiveness must relate to the This section of your application will Web site http://www.cdc.gov/od/pgo/ performance goals stated in the be scored based on your target levels of funding/budgetguide.htm. ‘‘Purpose’’ section of this performance for each core indicator and announcement. Measures must be your plans to: Submission Date, Time, and Address objective and quantitative, and must • Increase the number of persons at LOI Deadline Date: December 22, measure the intended outcome. These high risk for HIV infection who learn 2003. measures of effectiveness must be their HIV serostatus. LOI Submission Address: Submit your submitted with the application and will • Identify persons at high risk for HIV LOI by express delivery service, or e- be an element of evaluation. infection. mail to: William Bancroft, Public Health There are 2 steps to the evaluation • Identify and address your target Analyst, CDC, NCHSTP, DHAP, IR, 1600 process. population’s barriers to accessing HE/ Clifton Road, MS E58, Atlanta, GA RR. 30333, [email protected]. Step One • Involve the target population when Application Deadline Date: February In the first step of the evaluation planning and implementing your 6, 2004. process, your application will be program(s). Application Submission Address: evaluated based on each item referenced • Adapt and tailor CDC procedures, Submit your application by mail or in Section IV., entitled, ‘‘Application including REP and DEBI. express delivery service to: Technical and Submission Information.’’ Your • Offer voluntary HIV counseling and Information Management—PA# 04064, application will be evaluated by an testing to each individual reached by CDC Procurement and Grants Office, independent review panel assigned by your program. 2920 Brandywine Road, Atlanta, GA CDC. The panel will assign your • Ensure that individuals who 30341. application a score using scored consent to HIV testing receive a test Explanation of Deadlines: evaluation criteria as specified in either through your CBO or via referral. Applications must be received in the Section V., entitled, ‘‘Application • Develop, implement, and maintain CDC Procurement and Grants Office by Review Information,’’ and based on your quality assurance strategies. 4 p.m. Eastern Time on the deadline responses to the questions in Section • Train, support, and retain staff.
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• Ensure client confidentiality. • Adapt and tailor relevant CDC • Conduct a comprehensive capacity- • Ensure cultural sensitivity and procedures, including REP and DEBI, to building needs assessment of your relevance of your interventions. your existing services or proposed agency. program. • Work with CDC-coordinated D. Targeted Outreach and Counseling, • Develop, implement, and maintain capacity-building programs. Testing, and Referral Services (CTR) quality assurance strategies for (150 points) Step Two: Pre-Decisional Site Visit prevention interventions. This section of your application will • Train, support, and retain staff. The following areas will be evaluated be scored based on your target levels of • Ensure client confidentiality. during the visit: performance for each core indicator and • Ensure cultural sensitivity and A. Proposed Program (250 points) your plans to: relevance of the prevention • Identify high-risk individuals who interventions. The purpose of this section is to have not tested within the past six assess your CBO’s ability to effectively months or do not know their HIV F. Evaluation and Monitoring implement your proposed HIV serostatus for voluntary counseling and Intervention Activities (100 points) prevention interventions. Your score testing. This section of your application will will be based on: • Identify and address your target be scored based on your target levels of • Your implementation of CDC population’s barriers to accessing performance for each core indicator and protocols and procedures, including counseling and testing services. the description of your: REP and DEBI. • Ensure clients receive their test • Current data collection and • Your one-year and five-year overall results. reporting systems. target levels of performance • Ensure confirmatory testing for • Capacity to collect and report • How your target population reflects positive initial test results. client-level data. the priorities identified in the HIV • Involve your target population • Plans to identify and address Prevention Comprehensive Plan. when planning and implementing your barriers to client-level data. • How your interventions reflect the program(s). • Plans to ensure data quality and needs identified in the your • Adapt and tailor CDC procedures, security. jurisdiction’s HIV Prevention including REP and DEBI, to your • Willingness to collaborate with CDC Comprehensive Plan. existing or proposed services. in special evaluation and monitoring • B. Programmatic Infrastructure (200 Develop, implement, and maintain projects. points) quality assurance strategies for • Technical assistance needs to meet counseling, testing, and referral evaluation and monitoring The purpose of this section is to services. requirements. assess your CBO’s experience and • Train, support, and retain staff. ability to identify and address the needs • Ensure client confidentiality. G. Referral Activities (100 points) of your proposed target population. This • Ensure cultural sensitivity and This section of your application will section will also assess your ability to relevance of your interventions. be scored based on your baseline and effectively and efficiently implement projected target levels of performance your proposed activities. Your score E. Prevention Interventions (175 points) for each core indicator and your plans will be based on your CBO’s: This section of your application will to: • Organizational structure and be scored based on your proposed target • Identify and collaborate with other planned collaborations. levels of performance for each core agencies to ensure access to • Experience in developing and indicator and your plans to: comprehensive services, including implementing effective and efficient • Identify and offer services to access to primary care, life-prolonging HIV prevention strategies and activities. individuals living with HIV, and their medications, and essential support • Experience with governmental and sex and injection drug-using partners services that will maintain HIV-positive non-governmental organizations, who are HIV negative, or who do not individuals in systems of care. including other national agencies or know their HIV status. • Track referral activities and organizations, state and local health • Identify and offer services to outcomes of these activities. departments, CPGs, and state and local individuals at very high risk for HIV • Develop formal agreements with non-governmental organizations that infection. your network of providers. provide HIV prevention services. • Coordinate prevention services with • Ability to secure meaningful input other case management and/or H. Collaboration and Coordination With and representation from members of the treatment providers for individuals the HIV Prevention Community target population(s). living with HIV. Planning Process and Local Health • Ability to provide culturally • Ensure that prevention services do Department (75 Points) competent and appropriate services that not duplicate services provided by the This section of your application will respond effectively to the characteristics Ryan White Care Act program. be scored based on your plans to: of the target population (characteristics • Identify and address barriers to • Collaborate and coordinate may include cultural, gender, sexual retaining persons in interventions. activities with the HIV prevention orientation, HIV serostatus, race/ • Identify and address barriers to Community Planning Group (CPG). ethnicity, age, environmental, social, conducting your proposed prevention • Collaborate and coordinate and linguistic characteristics). interventions. activities with the health department. • Ability to adequately staff your • Meet all local, State, and Federal • Participate in the HIV prevention program. requirements for HIV prevention community planning process. • Ability to collect and report process services. and monitoring data on services • Involve your target population I. Capacity Building (50 points) provided and use them to plan future when planning and implementing your This section of your application will interventions and improve available program(s). be scored based on your plans to: services.
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C. Organizational Infrastructure (150 (Consideration will be given to both progress report will serve as your non- points) high and lower prevalence areas; the competing continuation application, The purpose of this section is to number of funded CBOs may be and must contain the following assess your CBO’s ability to effectively adjusted based on the burden of elements: and efficiently sustain your proposed infection in the jurisdiction as measured (1) Current budget period activities program. Your score will be based on by HIV or AIDS reporting.) objectives. • Funded CBOs are balanced in terms your CBO’s: (2) Current budget period financial • Organizational bylaws, mission, of targeted gender. (The number of progress. and vision. funded CBOs serving each gender group (3) New budget period proposed • Composition, role, experience, and may be adjusted based on burden of program activity objectives. involvement of the board of directors in infection in that group as measured by (4) Detailed line-item budget and HIV or AIDS reporting.) justification. administering the agency. • • Current fiscal systems to track Funding opportunities are available (5) Baselines and target levels of available funding. for faith-based CBOs and CBOs serving performance for core and optional • Personnel process and procedures. rural areas, incarcerated individuals, or indicators. • Organizational protocols and high risk populations who do not have (6) New budget period proposed procedures e.g., security, the services funded under this program activities. confidentiality, and grievances. announcement available in their (7) Additional requested information. • Organizational capacity for geographic area. (b) The second semi-annual report fundraising. will be due August 30 of each year. VI. Award Administration Information Additional guidance on what to include D. Health Department Review (100 Award Notices: If your CBO is funded, in this report may be provided points) you will receive a Notice of Grant approximately three months before the The purpose of this section is to Award (NGA) from the CDC due date. It should include: gather feedback on your proposed Procurement and Grants Office. The (1) Baseline and actual level of program plan from the health NGA shall be the only binding, performance on core and optional department. Your score will be based on authorizing document between the indicators. the health department’s review of your: recipient and CDC. The NGA will be (2) Current budget period financial • Review of the program plan (e.g., signed by an authorized Grants progress. proposed target population, proposed Management Officer, and mailed to the (3) Additional requested information. intervention(s), number of persons to be recipient fiscal officer identified in the (c) Financial status report, no more served, and service location) and your application. than 90 days after the end of the budget consistency with the HIV Prevention Administrative and National Policy period. Comprehensive Plan. Requirements: 45 CFR part 74 and 92. (d) Final financial and performance • Rating of past experience with For more information on the Code of reports, no more than 90 days after the state/city-funded programs. Federal Regulations, see the National end of the project period. • Letter of support or non-support for Archives and Records Administration at (e) Data reports of agency, financial, funding from the health department, the following Internet address: http:// and HIV interventions including, but addressed to CDC. www.access.gpo.gov/nara/cfr-table- not limited to, HIV individual and CDC’s Procurement and Grants Office search.html. group level; PCM; outreach; CTR; and/ (PGO) will conduct a Recipient The following additional or partner CTR services are required 45 Capability Assessment (RCA) to requirements apply to this project: days after the end of each quarter or as • AR–4 HIV/AIDS Confidentiality evaluate your CBO’s ability to manage specified in the most recent evaluation Provisions CDC funds. This assessment will be guidance. Project areas may request • AR–5 HIV Program Review conducted by either PGO staff or technical assistance. Submit data to the Panel Requirements another selected agency. • Program Evaluation Research Branch AR–7 Executive Order 12372 electronically, and then send an • AR–8 Public Health System Review and Selection Process electronic notification of your data Reporting Requirements submission to the Grants Management In addition to your application • AR–9 Paperwork Reduction Act Specialist listed in the ‘‘Agency content score and the outcome of your Requirements pre-decisional site visit, the following • AR–10 Smoke-Free Workplace Contacts’’ section of this announcement. factors may affect the funding decision: Requirements 2. Submit any newly developed Preference for funding will be given to • AR–11 Healthy People 2010 public information resources and ensure that: • AR–12 Lobbying Restrictions materials to the CDC National • Funded CBOs are balanced in terms • AR–14 Accounting System Prevention Information Network of targeted racial/ethnic minority Requirements (formerly the AIDS Information groups. (The number of funded CBOs • AR–15 Proof of Non-Profit Status Clearinghouse) so that they can be serving each racial/ethnic minority Additional information on these incorporated into the current database group may be adjusted based on the requirements can be found on the CDC for access by other organizations and burden of infection in that group as Web site at the following Internet agencies. measured by HIV or AIDS reporting.) address: http://www.cdc.gov/od/pgo/ 3. HIV Content Review Guidelines. (a) • Funded CBOs are balanced in terms funding/ARs.htm. Submit the completed Assurance of of targeted risk behaviors. (The number Compliance with the Requirements for of funded CBOs serving each risk group Reporting Requirements Contents of AIDS-Related Written may be adjusted based on the burden of 1. You must provide CDC with an Materials Form (CDC form—0.1113) infection in that group as measured by original, plus two copies of the with your application as Appendix D. HIV or AIDS reporting.) following reports: This form lists the members of your • Funded CBOs are balanced in terms (a) Your interim progress report, no program review panel. The form is of geographic distribution. later than February 15 of each year. The included in your application kit. The
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current Guidelines and the form may be information subject to the CDC content For program technical assistance, downloaded from the CDC Web site: review guidelines. contact: Samuel Martinez, M.D., Health http://www.cdc.gov/od/pgo/ 4. Adhere to CDC policies for securing Scientist, CDC, NCHSTP, DHAP, IRS, forminfo.htm. Please include this approval for CDC-sponsored 1600 Clifton Road, MS E58, Atlanta, GA completed form with your application. conferences. If you plan to hold a 30333, Telephone: 404–639–5219, E- This form must be signed by the Project conference, you must send a copy of the mail: [email protected]. Director and authorized business officer. agenda to CDC’s Grants Management For budget assistance, contact: Carlos (b) You must also include approval by Office. Smiley, Grants Management Officer, the relevant review panel of any CDC- CDC Procurement and Grants Office, funded HIV educational materials that 5. If you plan to use materials using 2920 Brandywine Road, MS K14, you are currently using by the relevant CDC’s name, send a copy of the Atlanta, GA 30341, Telephone: 770– review panel. Use the enclosed form, proposed material to CDC’s Grants 488–2722, E-mail: [email protected]. ‘‘Report of Approval’’. If you have Management Office for approval. nothing to submit, you must complete VII. Agency Contacts Dated: November 21, 2003. the enclosed form ‘‘No Report Edward Schultz, Necessary’’. You must include either the For general questions about this Acting Director, Procurement and Grants ‘‘Report of Approval’’ or ‘‘No Report announcement, contact: Technical Office, Centers for Disease Control and Necessary’’ with all progress reports and Information Management Section, CDC Prevention. continuation requests. Procurement and Grants Office, 2920 [FR Doc. 03–29807 Filed 11–26–03; 11:20 (c) Use a Web page notice if your Web Brandywine Road, MS K14, Atlanta, GA am] site contains HIV/AIDS educational 30341, Telephone: 770–488–2700. BILLING CODE 4163–18–P
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Part IV
Department of Homeland Security 8 CFR Part 264 Suspending the 30-Day and Annual Interview Requirements From the Special Registration Process for Certain Nonimmigrants; Interim Rule
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DEPARTMENT OF HOMELAND No. 2301–03 on your correspondence. the United States. Pursuant to section SECURITY Comments may also be submitted 263(a) of the Act, as well as the general electronically to DHS at registration authority under section 262 8 CFR Part 264 [email protected]. Comments submitted of the Act, the former Service [ICE No. 2301–3] electronically must include the ICE No. promulgated 8 CFR 264.1(f), which 2301–03 in the subject box. Comments required that certain nonimmigrant RIN 1653–AA29 are available for public inspection at the aliens be registered, fingerprinted, and above address by calling (202) 514–3048 photographed by the Service at the port Suspending the 30-Day and Annual to arrange for an appointment. of entry (POE) at the time the Interview Requirements From the FOR FURTHER INFORMATION CONTACT: nonimmigrant aliens apply for Special Registration Process for Robert Schoch, U.S. Immigration and admission. See 67 FR 52584 (Aug. 12, Certain Nonimmigrants Customs Enforcement, DHS, 425 I 2002). Registration at the POEs shall be AGENCY: U.S. Immigration and Customs Street, NW., Room 1000, Washington, known as ‘‘POE registration’’ for the Enforcement, Department of Homeland DC 20536, telephone (202) 353–3173. purpose of this discussion. Security. SUPPLEMENTARY INFORMATION: Additionally, pursuant to section 265 of the Act, 8 CFR 264.1(f) directed that ACTION: Interim rule with request for Background comments. certain nonimmigrant aliens designated How Does Registration of Aliens Work by the Attorney General who were SUMMARY: This rule amends Department Under the Existing Statutory and already in the United States appear of Homeland Security (DHS) regulations Regulatory Provisions? before the Service for special for the registration and monitoring of registration. Id. Registration of aliens Section 262(a) of the Immigration and already present in the United States certain nonimmigrant aliens. This rule Nationality Act (Act) provides that all amends existing regulations by shall be known as ‘‘call-in registration’’ aliens who have not previously been for the purpose of this discussion. suspending the 30-day and annual re- registered and fingerprinted pursuant to registration requirements for aliens who section 221(b) of the Act have a duty to How Does This Rule Change the Current are subject to the National Security apply for registration and to be Special Registration Requirements? Entry-Exit Registration System fingerprinted if they remain in the Currently, 8 CFR 264.1(f)(3) provides (NSEERS) Registration. Instead of United States for 30 days or longer. requiring all aliens subject to NSEERS to that aliens specially registered at a POE Under the existing regulations at 8 CFR must appear before DHS 30 days after appear for 30-day and/or annual re- 264.1(a), DHS registers nonimmigrants registration interviews, the DHS will their admission into the United States using Form I–94 (Arrival-Departure for a continuing registration interview. utilize a more tailored system in which Record). Section 263(a) of the Act also it will notify individual aliens of future This rule suspends this automatic 30- authorizes the Secretary of DHS to day continuing registration requirement. registration requirements. This rule also prescribe special regulations and forms As currently written, 8 CFR 264.1(f)(5) eliminates the requirement for those for the registration of special groups of requires that all aliens who were subject nonimmigrant aliens subject to special aliens in the United States. As to special registration appear for an registration who are also enrolled in the authorized by section 262(c) of the Act, annual re-registration interview. This Student and Exchange Visitor the existing regulations at 8 CFR rule also suspends the annual re- Information System (SEVIS) to 264.1(e) contain general provisions registration requirement. separately notify DHS of changes in waiving the fingerprinting requirement The suspension of the 30-day and educational institutions and addresses. for many nonimmigrants. Accordingly, annual re-registration requirement Additionally, this rule clarifies how at the present time, most nonimmigrant applies to all aliens previously nonimmigrant aliens may apply for aliens are admitted to the United States registered under the NSEERS program, relief from special registration without being either fingerprinted or whether call-in or POE registration, as requirements and clarifies that certain photographed. well as any aliens registered subsequent alien crewmen are not subject to the Section 214 of the Act authorizes the to the effective date of this rule. In place departure requirements. Finally, certain Attorney General (now deemed to be the of these previous requirements that all conforming amendments have been Secretary of DHS under the HSA) to nonimmigrant aliens subject to NSEERS made to the existing regulations to prescribe conditions for the admission registration appear for additional 30- reflect the fact that the former of nonimmigrant aliens. Section 215 of yday and annual interviews, this rule Immigration and Naturalization Service the Act provides for departure control will allow DHS, as a matter of (Service) has been abolished and its from the United States. In addition, discretion, to notify nonimmigrant functions transferred from the section 265 of the Act requires that all aliens subject to NSEERS registration to Department of Justice to DHS under the aliens who remain in the United States appear for one or more additional Homeland Security Act of 2002 (HSA), who are required to be registered under continuing registration interviews in Public Law 107–296. the Act must notify the Secretary of those particular cases where it may be DATES: Effective date: This interim rule DHS of each change of address within necessary to determine whether the is effective December 2, 2003. ten days from the date of such change alien is complying with the conditions Comment date: Written comments and furnish with such notice additional of his or her nonimmigrant visa status must be submitted on or before February information as the Secretary of DHS and admission. 2, 2004. may prescribe. This rule also provides that when an ADDRESSES: Please submit written Prior to the enactment of the HSA and alien who is monitored under SEVIS comments to the Director, Regulations the transfer of the functions of the notifies DHS of a change of address or and Forms Services Division, U.S. former Service from the Department of educational institution through SEVIS, Citizenship and Immigration Services, Justice to DHS, the Service exercised the it also constitutes a notification for the DHS, 425 I Street, NW., Room 4034, previously described registration purposes of NSEERS registration. It also Washington, DC 20536. To ensure authority to require that certain classes clarifies that certain alien crewmen, proper handling, please reference ICE of aliens be specially registered while in described at section 101(a)(15)(D) of the
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Act, and are subject to special trips to the United States, based upon a utility of the 30-day and annual registration, are exempted from the showing of good cause, exigent or interviews under the current departure control requirements of 8 CFR unusual circumstances, the CBP field requirements for national security and section 264.1(f) (8). office director over the port to which the immigration enforcement purposes. Finally, this rule reflects that the alien most frequently arrives in the Additionally, DHS is under a Service was abolished, and DHS now United States may exempt the alien congressional mandate set forth in performs its functions. Thus, throughout from future POE registrations. The field various amendments to the Act to create 8 CFR 264.1(f), this rule substitutes the office director or his designee will make a comprehensive entry-exit system. In Secretary of Homeland Security for the the determination that the frequency of carrying out this mandate through the Attorney General, and replaces arrival warrants relief from the establishment of the US–VISIT Program, references to the Service with references registration requirements on a case-by- DHS has reviewed the use of the special to DHS. case basis. In making this registration program for both POE and This rule does not eliminate or in any determination, the field office director call-in registrations. After considering way limit the authority of the Secretary or his designee will consider the mode these factors, DHS has determined it is of DHS under section 263 of the Act, for of travel, business and economic certain types of aliens, and section 265 appropriate to suspend the continuing concerns, purpose of travel, or other registration requirements set out in 8 of the Act, for any class or group of factors as determined by the director. In CFR 264.1(f), that automatically aliens, through notice, to require such seeking such relief, the alien bears the required aliens subject to NSEERS aliens to appear for special registration burden of establishing he or she registration to report for 30-day and/or in the future if circumstances so require. warrants a favorable exercise of Additionally, this rule does not limit or discretion. If granted, relief from POE annual re-registration interviews. alter any other special registration registrations also shall include relief Special registration of aliens at POEs requirement under section 263 of the from NSEERS registration departure has, consistent with the program’s Act. control requirements. intent, provided important law An alien alternatively may seek an enforcement benefits, which have What Other Changes Are Made by This included the identification of a number Rule? exemption from the NSEERS registration requirements from the of alien terrorists and criminals. This This rule also clarifies how Department of State by such forms and rule is not amending the procedures for nonimmigrant aliens subject to NSEERS methods as the Department of State may NSEERS registration at the POE’s. In registration may apply for relief from prescribe. addition to US–VISIT, which will soon registration departure requirements. There are no specific forms to request become operational, DHS has other Aliens subject to NSEERS registration relief from the NSEERS requirements systems available that can help ensure are required to register their departure from DHS; an individual seeking relief that those aliens who are already subject before an immigration officer at a should direct a letter to the appropriate to NSEERS registration remain in designated port of departure and depart CBP field office director. In such a compliance with the terms of their visa from that port on the same day. Aliens letter, the alien should provide a and admission. For example, Congress previously could contact the Service detailed description of the type of relief mandated that DHS develop a student district director to obtain relief from sought, their full name, date-of-birth, monitoring system. See Illegal these departure requirements. However, Fingerprint Identification Number Immigration Reform and Immigrant the abolition of the former Service and (which is reflected on the Form I–94), a Responsibility Act of 1996 (IIRIRA), the distribution of its functions to 1″ x 1″ passport style photograph, the Public Law 104–208, section 641; various agencies within DHS, such as alien’s A-number, if one has been ‘‘Uniting and Strengthening America by U.S. Citizenship and Immigration assigned, and any documents that Providing Appropriate Tools Required Services (CIS) and U.S. Customs and support the relief request. Information to Intercept and Obstruct Terrorism’’ Border Protection (CBP), have created regarding the relief provisions will be (USA Patriot Act), Public Law 107–56, uncertainties for aliens as to how to seek provided to aliens upon completion of section 416. This system, SEVIS, is now such relief. For nonimmigrant aliens registration. Copies of these materials, fully operational. Schools now must who have been NSEERS registered, this known as the ‘‘walk-away’’ materials, report directly to DHS when a student regulation clarifies how the alien may are also available on the Web site or exchange visitor alien changes seek a waiver from the departure www.ice.gov, in the special registration schools, fails to appear for classes or registration requirements. section. otherwise fails to maintain his or her First, under the revisions set out in This rule further clarifies to aliens student status following admission into this rule, a nonimmigrant alien subject applying for relief that, until an the United States. to the departure registration application for relief from the NSEERS Thus, DHS is now in a position to requirements based upon NSEERS registration requirements is granted, the suspend the mandatory re-registration registration may seek relief from these alien is required to comply with the interview requirements for those aliens requirements before his or her departure registration requirements. from an official designated by DHS or The decision of any DHS officer or who are already subject to NSEERS from the CBP field office director for the official to grant or deny relief from the registration, which will reduce the port from which the alien intends to NSEERS registration provisions is done burden on those required to register depart. The alien seeking such relief as an exercise of discretion, and as such under the current regulations, as well as must establish to the satisfaction of the is final and cannot be appealed. to DHS. Instead, DHS will be able to field office director or designated A DHS officer authorized to grant schedule re-registration interviews on a official that exigent or unusual relief also may terminate such relief by more targeted and effective basis, only circumstances exist, and that the alien providing notice to the alien. in those particular cases where it may warrants a favorable exercise of be appropriate for additional scrutiny to discretion. Why Is This Rule Necessary? ensure that an alien remains in Additionally, for an alien who has The former Service, and now DHS (as compliance with the terms of his or her been registered and who makes frequent of March 1, 2003), have evaluated the nonimmigrant visa and admission.
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Who Is Affected by This Rule? requirements will be made on a case-by- required form, the AR–11 for Special Aliens who have been subject to case basis. The admission of any Registration, is available at DHS offices NSEERS registration, whether as a result nonimmigrant alien subject to NSEERS and on the DHS Internet Web site at of being registered at a POE upon registration is subject to the requirement http://www.uscis.gov, in the special arrival, or as a result of being called in that, under this rule, he or she may be registration section. required to appear for future continuing However, this rule discontinues the to register by Federal Register notice, re-registration interviews at the requirement that student aliens are affected by the rule, because it discretion of DHS. At the time of monitored under SEVIS who are subject reduces their current reporting admission, DHS will advise all to special registration separately notify requirements by eliminating the nonimmigrant aliens subject to special DHS of a change in their educational mandatory 30-day and annual re- registration that they may be required to institution or address, if such registration interviews. Additionally, appear for additional registration information is provided to DHS through aliens who hereafter enter the United interviews upon notice. DHS will SEVIS. This rule provides that when an States and are NSEERS registered at a separately notify those aliens selected to alien reports a change of address or POE are affected by this rule. Affected appear before DHS to comply with the educational institution to DHS through aliens have been or will be given a Form additional re-registration requirements, SEVIS, that action fulfills his or her I–94 documenting their registration, which for a small number of aliens may special registration requirement to which will reflect their Fingerprint be more frequent than the 30-day and notify DHS of changes in address. Identification Number (FIN). DHS uses annual re-registration requirements set However, student aliens who are the FIN recorded on the Form I–94 to out in the prior rule. However, only monitored under SEVIS who are subject identify the records of an alien subject aliens who are notified of the re- to special registration will still be to special registration. Based upon the registration requirements will have to required under 8 CFR 264.1(f)(5) to number of aliens who have previously appear before DHS for such notify DHS of any change of registered, DHS estimates that over the requirement, and the majority of employment which is currently not 6 month time span from December 2003 individuals registered will see a captured in the SEVIS system. through May 2004, approximately reduction in the burden of additional 82,532 aliens will benefit from this How Does This Rule Affect Departure registration as a result of this rule. Control Requirements? change and will not have to report for Notification under these regulations either a 30-day or annual re-interview may be given to the alien in a manner This rule does not change the general during that period. reasonably calculated to reach the alien, requirement that a nonimmigrant alien How Does This Rule Affect Registration which shall include, but is not limited subject to NSEERS registration, either POE registration or a prior or future call- at POEs? to, notice by publication in the Federal Register, a letter sent via standard U.S. in registration, also report his or her This rule does not affect the postal mail to the last address provided actual departure from the United States. procedures for the NSEERS registration by the alien to DHS using regular mail, Cessation of departure controls is of aliens, including fingerprinting, an e-mail to the address the alien inconsistent with the congressional photographing, and provision of provided to DHS during a previous mandate requiring that DHS establish a information, at POEs. As is obligatory NSEERS registration interview, or in- comprehensive entry-exit monitoring under current regulations, person delivery. The nonimmigrant system. As DHS develops the larger nonimmigrant aliens subject to POE alien must appear at the designated U.S. system mandated by Congress, to be registration will still be required, Immigration and Customs Enforcement called US–VISIT, it will integrate the utilizing the information collection office location, and on the specified date NSEERS registration currently in use. system in place, to provide routine and and time, unless otherwise specified in This requirement of departure readily available information as a the notice. DHS will provide the alien registration means that the alien must condition of admission. This includes at least ten days, measured from the appear at a designated Port of Departure such information as is necessary to date DHS publishes or sends notice to before a departure control officer, i.e., a identify the alien in the United States. the alien, to comply with the re- CBP inspector, on the day he or she Lists of information that may be registration obligation. departs the United States to close his or required during NSEERS registration Notice to an alien of registration or re- her registration and also depart from have previously been issued. See, e.g., registration requirements may be issued that port. This departure requirement 67 FR 40581, 40582. by the ICE Assistant Secretary, his will ensure that all NSEERS Registration at POEs continues to designee, or any other such individual registrations are properly closed. allow DHS to determine if an alien’s designated by the Secretary of DHS. If the departure control requirements fingerprints match those of known do not continue, registration records for How Does This Rule Affect an Alien’s terrorists or criminals, and to detain for the nonimmigrant aliens subject to Obligation To Notify DHS of a Change removal or refuse admission of the alien NSEERS registration would be left open of Address or Employment? if such an identity match is established. without explanation. This could result This rule reiterates, for this distinct in serious difficulties, including the How Will DHS Provide Notice to group of nonimmigrant aliens who are Individual Aliens That They Must possibility of future inadmissibility, for subject to NSEERS registration, and who already registered aliens who depart and Appear for an Additional Registration remain in the United States for more Interview? attempt to return to the United States. than thirty days, the requirement that The most recent Federal Register In place of the automatic re- the nonimmigrant alien notify DHS of notice listing Ports of Departure can be registration requirements set out in the any change of address, employment found at 68 FR 8967. This rule does not original NSEERS registration provisions, and/or educational institution within 10 alter or amend that list. this rule substitutes a more tailored days of such change. Affected aliens This rule does clarify that certain approach to re-registration. The may notify DHS by mail, or such other alien crewmen described at 101(a) (15) determination of whether an alien will means as the Secretary of DHS may (D) of the Act who are subject to special be subject to additional registration designate, of a change of address. The registration requirements are exempt
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from the departure registration requirement imposed pursuant to this Initial Regulatory Flexibility Act requirements of 8 CFR 264(f) (8). rule would be removable under section Determination 237(a)(1)(C)(i) of the Act. Does This Rule Change Any of the The regulatory Flexibility Act of 1980, Penalties for Failing To Comply With What Is the Effect of an Alien’s Failure as amended (RFA) was enacted by the Special Registration Provisions? To Comply With the Departure Congress to ensure that small entities No. This rule does not change any of Reporting Requirements Upon the (small businesses, not-for-profit the penalties for failing to comply with Alien’s Subsequent Application for organizations, and small governmental the special registration provisions. Admission? jurisdictions) are not unnecessarily or disproportionately burdened by Federal Moreover, this rule does not excuse any An alien who is subject to the special prior failure to comply with special regulations. The RFA requires agencies registration requirements who has to review rules to determine if they have registration provisions. failed, without good cause, to report his Under section 214(a) of the Act, as ‘‘a significant economic impact on a or her departure with DHS is presumed substantial number of small entities.’’ amended by the HSA, the admission of inadmissible to the United States. The all nonimmigrant aliens to the United DHS has determined that this interim presumption of inadmissibility arises if final rule will not have a significant States ‘‘shall be for such time and under there was no good cause for the alien’s such conditions as the [Secretary of economic impact on a substantial failure to report to DHS at the time of number of small entities. DHS] may by regulations prescribe.’’ his or her departure from the United The Secretary of DHS may impose This rule will not affect small entities States. However, an alien may overcome conditions on admission that are as defined at 5 U.S.C. 605(b) and will the presumption of inadmissibility by rationally related to the maintenance of relieve cost burdens on individuals. establishing to the Secretary of State and nonimmigrant status. See, e.g., Narenji In accordance with the Regulatory the Secretary of DHS that he or she does v. Civiletti, 617 F.2d 745, 747 (D.C. Cir. Flexibility Act, 5 U.S.C. 605(b), I have not seek to enter the United States to 1980)(upholding regulation requiring reviewed this rule and by approving it, engage solely, principally, or Iranians on student visas to report and I certify that this rule will not have a incidentally in any unlawful activity. ‘‘provide information as to residence significant economic impact on a and maintenance of nonimmigrant An alien who fails to report his or her substantial number of small entities. departure may, at the time he or she status’’ or be subject to deportation Executive Order 12866 proceedings). The regulations that applies for a new nonimmigrant visa currently implement section 214 of the abroad, attempt to establish that there Executive Order 12866, ‘‘Regulatory Act provide in part that one condition was good cause for the failure to report Planning and Review,’’ requires a of a nonimmigrant’s continued stay in and, in the event that no good cause is determination whether a regulatory the country ‘‘is the full and truthful found, that he or she is not inadmissible action is ‘‘significant’’ and therefore disclosure of all information requested’’ under section 212(a)(3)(A)ii) of the Act. subject to review by the Office of by DHS. 8 CFR 214.1(f). If the consular officer, in adjudicating Management and Budget (OMB) and to The NSEERS registration the new visa application, finds good E.O. 12866’s requirements. requirements previously imposed upon cause existed for the alien’s failure to This rule is considered by DHS to be aliens, either through POE registration register departure or that the alien is not a significant regulatory action under or call-in registration, were intended in inadmissible under section Executive Order 12866, section 3(f), part to ensure that nonimmigrant aliens 212(a)(3)(A)(ii) of the Act, the inspecting Regulatory Planning and Review. are complying with their nonimmigrant officer at the POE, while not bound by However, it does not have an impact on status (e.g., by continuing to be students the DOS determination, will consider the economy of $100 million or more or employees, as contemplated at the this finding as a significantly favorable and, therefore, is not economically time of the issuance of their visas or factor in determining whether the alien significant. Accordingly, this regulation admission). Additionally, 8 CFR 214.1(f) is inadmissible due to his or her prior has been submitted to the Office of was amended to reflect that a failure to register at the time of Management and Budget (OMB) for nonimmigrant alien’s willful failure to departure from the United States. review. DHS has assessed both the costs and comply with the special registration Good Cause Exception provisions constitutes a failure to benefits of this rule as required by maintain the relevant nonimmigrant Immediate implementation of this Executive Order 12866. First, this rule status, and would render the alien interim rule with provision for post- significantly reduces costs to the public removable under section 237(a)(1)(C)(i) promulgation public comments is based by reducing the burden of re-registration of the Act. upon the good cause exception found at and continuing registration Although this rule amends the 5 U.S.C. 553(b)(B). Pursuant to 5 U.S.C. requirements for aliens present in the regulations to eliminate the existing 553(b)(B), prior notice and opportunity United States. Without this regulation, automatic 30-day and annual re- for comment is not necessary where it in between December 2003 and May registration interview requirements, is ‘‘impracticable, unnecessary, or 2004, an estimated 82,532 aliens would aliens who willfully failed to comply contrary to the public interest.’’ DHS be subject to re-registration under prior with prior registration requirements, estimates that without this regulation regulations. Assuming that each including aliens who failed before approximately 82,532 aliens would be interview will last 45 minutes, and each December 2, 2003 to appear for a subject to 30-day or annual re- alien will have to prepare required initial call-in registration, a 30- registration interviews between approximately 30 minutes for the day re-registration interview, or an December 2003 and May 2004. interview, DHS anticipates that between annual re-registration interview, remain Therefore DHS believes there is an December 2003 and May 2004, the subject to the penalties outlined above urgent need for the immediate burden reduction on the public to be a and in previous Federal Register implementation of this rule suspending total of over 103,000 hours. notices. Additionally, aliens who the automatic interview requirements to DHS also will experience a burden willfully fail to comply with any future avoid unnecessarily burdening the reduction, based upon the reduced costs call-in notice or additional registration public impacted by this rule. related to information collection and
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processing. Based upon the number of based companies in domestic and suggestions, or questions regarding estimated registrations between export markets. additional information, to include December 2003 and May 2004 and obtaining a copy of the information Executive Order 12988: Civil Justice assuming that each registration lasts collection instrument with instructions, Reform approximately 45 minutes, under this should be directed to Mr. Richard A. regulation DHS estimates it will be able This rule meets the applicable Sloan, 202–514–3291, Director, to reallocate almost 62,000 work hours. standards set forth in sections 3(a) and Regulations and Forms Services DHS is able to shift personnel who 3(b)(2) of Executive Order 12988. Division, Department of Homeland would have conducted these re- Paperwork Reduction Act of 1995 Security, Room 4034, 425 I Street, NW., registration interviews to other law Washington, DC 20536. Written enforcement functions. These resources The regulations at 8 CFR 264.1(f)(7) comments and suggestions from the allows an alien who has been registered also can be better utilized to craft a public and affected agencies concerning under the provisions of 8 CFR 264.1(f) targeted registration process that meets the proposed collection of information and who has not yet departed from the the national security needs of the should address one or more of the United States, to seek relief from the country. following four points: departure control requirement (1) Evaluate whether the proposed The costs to DHS of not amending the contained in 8 CFR 264.1(f)(8) for that regulations would be significant. collection of information is necessary admission. In order to seek relief the for the proper performance of the Because the initial call-in registrations alien must apply to the U.S. Customs by the former Service occurred over a functions of the agency, including and Border Protection field office whether the information will have brief period of months, the number of director for the port from which the practical utility; aliens appearing for re-registration in a alien intends to depart. In making an brief period of time will be significant. (2) Evaluate the accuracy of the application for relief, the alien must agencies estimate of the burden of the DHS would be forced to reallocate establish that exigent or unusual personnel resources from other law- proposed collection of information, circumstances exist and that the alien including the validity of the enforcement functions in order to timely warrants a favorable exercise of register aliens. methodology and assumptions used; discretion. This request for relief is (3) Enhance the quality, utility, and Executive Order 13132 considered an information collection clarity of the information to be requirement under the Paperwork This rule will not have substantial collected; and Reduction Act (PRA). (4) Minimize the burden of the direct effects on the States, on the The Department of Homeland collection of information on those who relationship between the National Security (DHS) and the U.S. are to respond, including through the Government and the States, or on the Immigration and Customs Enforcement use of appropriate automated, distribution of power and (ICE) has submitted an emergency electronic, mechanical, or other responsibilities among the various information collection request (ICR) technological collection techniques or levels of government. Therefore, in utilizing emergency review procedures, other forms of information technology, accordance with section 6 of Executive to the Office of Management and Budget e.g., permitting electronic submission of Order 13132, it is determined that this (OMB) for review and clearance in responses. Overview of this information rule does not have sufficient federalism accordance with section collection: implications to warrant the preparation 1320.13(a)(1)(ii) and (a)(2)(iii) of the (1) Type of Information Collection: of a Federalism summary impact Paperwork Reduction Act of 1995. The New information collection. statement. DHS has determined that it cannot (2) Title of the Form/Collection: Unfunded Mandates Reform Act of reasonably comply with the normal Exemption from NSEERS Registration 1995 clearance procedures under this part Requirements. because normal clearance procedures (3) Agency form number, if any, and This rule will not result in the are reasonably likely to prevent or the applicable component of the expenditure by state, local and tribal disrupt the collection of information. Department of Homeland Security governments, in the aggregate, or by the Therefore, immediate OMB approval sponsoring the collection: No Agency private sector, of $100 million or more has been requested. If granted, the Form Number. File No. OMB–40. U.S. in any one year, and it will not emergency approval is only valid for Immigration and Customs Enforcement. significantly or uniquely affect small 180 days. ALL comments and/or (4) Affected public who will be asked governments. Therefore, no actions are questions pertaining to this pending or required to respond, as well as a brief deemed necessary under the provisions request for emergency approval must be abstract: Primary: Individuals and of the Unfunded Mandates Reform Act directed to OMB, Office of Information Households. This information collection of 1995. and Regulatory Affairs, Attention: allows an alien to seek an exemption Small Business Regulatory Enforcement Department of Homeland Security Desk from the NSEERS registration Fairness Act of 1996 Officer, 725—17th Street, NW., Suite requirements by submitting a letter to 10235, Washington, DC 20503. the Department of Homeland Security This rule is not a major rule as During the first 60 days of this same containing specific information. defined by section 804 of the Small period, a regular review of this (5) An estimate of the total number of Business Regulatory Enforcement Act of information collection is also being respondents and the amount of time 1996. This rule will not result in an undertaken. During the regular review estimated for an average respondent to annual effect on the economy of $100 period, the DHS requests written respond: 5,800 responses at 30 minutes million or more; a major increase in comments and suggestions from the (.5 hours) per response. costs or prices; or significant adverse public and affected agencies concerning (6) An estimate of the total public effects on competition, employment, this information collection. Comments burden (in hours) associated with the investment, productivity, innovation, or are encouraged and will be accepted collection: 2,900 annual burden hours. on the ability of United States-based until February 2, 2004. During 60-day If additional information is required companies to compete with foreign- regular review, all comments and contact: Mr. Steve Cooper, PRA
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Clearance Officer, Department of apply, or to any individual documentation confirming compliance Homeland Security, Office of Chief nonimmigrant alien to whom the with the conditions of his or her visa Information Officer, Regional Office Secretary of Homeland Security or the status and admission. The Department Building 3, 7th and D Streets, SW., Suite Secretary of State determines it shall not of Homeland Security will determine on 4636–26, Washington, DC 20202. apply. Completion of special a case-by-case basis which aliens must Under the Paperwork Reduction Act registration pursuant to this paragraph appear in person to verify information. of 1995, Public Law 104–13, all (f) is a condition of admission under The nonimmigrant alien subject to Departments are required to submit to section 214 of the Act (8 U.S.C. 1184) special registration must appear at the the Office of Management and Budget if the inspecting officer determines that designated office location, and on the (OMB), for review and approval, any the alien is subject to registration under specified date and time, unless reporting requirements inherent in a this paragraph (f) (hereinafter otherwise specified in the notice. rule. This rule suspends the 30-day and ‘‘nonimmigrant alien subject to special (ii) At the time of verification of annual re-registration requirements for registration’’). information for registration pursuant to aliens who are subject to NSEERS (2) Identification of aliens subject to paragraph (f)(3)(i) of this section, the registration. The OMB information registration at ports-of-entry. nonimmigrant alien subject to special collection number under NSEERS is Nonimmigrant aliens in the following registration shall provide the 1115–0254. It is estimated that categories are subject to the Department of Homeland Security with approximately 82,000 aliens will no requirements of paragraph (f)(3) of this proof of compliance with the conditions longer be subject to the 30-day or annual section: of his or her nonimmigrant visa status re-registration interviews once this rule (i) Nonimmigrant aliens who are and admission, including, but not is implemented. Accordingly, ICE has nationals or citizens of a country or limited to, proof of residence, submitted the required Paperwork territory designated by the Secretary of employment, or registration and Reduction Change Worksheet (OMB– Homeland Security, in consultation matriculation at an approved school or 83C) to OMB reflecting the reduction in with the Secretary of State, by a notice educational institution. The burden hours for NSEERS. in the Federal Register; nonimmigrant alien subject to special (ii) Nonimmigrant aliens whom a registration shall provide any additional List of Subjects in 8 CFR Part 264 consular officer or an inspecting officer information required by the Department Reporting and recordkeeping has reason to believe are nationals or citizens of a country or territory of Homeland Security. requirements. (4) Registration of aliens present in ■ Accordingly, part 264 of chapter I of designated by the Secretary of Homeland Security, in consultation the United States. (i) The Secretary of title 8 of the Code of Federal Regulations Homeland Security, by publication of a is amended as follows: with the Secretary of State, by a notice in the Federal Register; or notice in the Federal Register, also may PART 264—REGISTRATION AND (iii) Nonimmigrant aliens who meet impose such special registration, FINGERPRINTING OF ALIENS IN THE pre-existing criteria, or whom a consular fingerprinting, and photographing UNITED STATES officer or the inspecting officer has requirements upon nonimmigrant aliens reason to believe meet pre-existing who are nationals, citizens, or residents ■ 1. The authority citation for Part 264 criteria, determined by the Secretary of of specified countries or territories (or a continues to read as follows: Homeland Security or the Secretary of designated subset of such nationals, Authority: 8 U.S.C. 1103, 1201, 1303— State to indicate that such aliens’ citizens, or residents) who have already 1305; 8 CFR part 2. presence in the United States warrants been admitted to the United States or who are otherwise in the United States. ■ 2. Section 264.1(f) is revised to read as monitoring in the national security A notice under this paragraph (f)(4) follows: interests, as defined in section 219 of the Act (8 U.S.C. 1189), or law shall explain the procedures for § 264.1 Registration and fingerprinting. enforcement interests of the United appearing in person and providing the * * * * * States. information required by the Department (f) Registration, fingerprinting, and (3) Obligations regarding registration. of Homeland Security, providing photographing of certain nonimmigrant (i) Any nonimmigrant alien who is fingerprints, photographs, or submitting aliens. included in paragraph (f)(2) of this supplemental information or (1) Registration requirement for section, and who applies for admission documentation. certain nonimmigrants. to the United States, shall be specially (ii) Any nonimmigrant alien who is Notwithstanding the provisions in registered by providing information currently subject to special registration paragraph (e) of this section, required by the Department of as a result of the publication of any nonimmigrant aliens identified in Homeland Security, shall be previous Federal Register notice may, paragraph (f)(2) of this section are fingerprinted, and shall be while he or she remains in the United subject to special registration, photographed, by Department of States, upon 10 days notice and at the fingerprinting, and photographing Homeland Security, at the port-of-entry Department of Homeland Security’s requirements upon arrival in the United at such time the nonimmigrant alien discretion, be required to appear at a States. This requirement shall not apply applies for admission to the United Department of Homeland Security to those nonimmigrant aliens applying States. The Department of Homeland Office in person to provide additional for admission to the United States under Security shall advise the nonimmigrant information or documentation sections 101(a)(15)(A) (8 U.S.C. alien subject to special registration that confirming compliance with his or her 1101(a)(15)(A)) or 101(a)(15)(G) (8 the nonimmigrant alien may, upon ten visa and admission. The Department of U.S.C. 1101(a)(15)(G)) of the Act. In days notice, and at the Department of Homeland Security will determine on a addition, this requirement shall not Homeland Security’s discretion, be case-by-case basis which aliens must apply to those classes of nonimmigrant required to appear at a U.S. Immigration appear in person to verify information. aliens to whom the Secretary of and Customs Enforcement office in The nonimmigrant alien subject to Homeland Security and the Secretary of person to verify information by special registration must appear at the State jointly determine it shall not providing additional information or designated office location, and on the
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specified date and time, unless and Border Protection field office (ii) Presumption of inadmissibility. otherwise specified in the notice. director for the port to which the alien Any nonimmigrant alien subject to (5) Obligation to provide updated most frequently arrives in the United special registration who fails, without information. In addition to any States. The field office director or his good cause, to be examined by an additional re-registrations that may be designee will make the determination inspecting officer at the time of his or required pursuant to paragraphs (f)(3) that the frequency of arrival warrants her departure and to have his or her and (f)(4) of this section, any relief from the registration requirements departure recorded by the inspecting nonimmigrant alien subject to special on a case-by-case basis, and will officer shall thereafter be presumed to registration under this paragraph (f) who consider in this analysis the mode of be inadmissible under, but not limited remains in the United States for 30 days travel, business and economic concerns, to, section 212(a)(3)(A)(ii) of the Act (8 or more shall notify the Department of purpose of travel, or other factors as U.S.C. 1182(a)(3)(A)(ii)), as an alien Homeland Security by mail or other determined by the director. In making whom the Secretary of Homeland such means as determined by the an application for relief, the alien must Security has reasonable grounds to Secretary of Homeland Security, using a establish that good cause or exigent or believe, based on the alien’s past failure notification form designated by the unusual circumstances exist and that to conform with the requirements for Department of Homeland Security, of the alien warrants a favorable exercise special registration, seeks to enter the any change of address, change of of discretion. United States to engage in unlawful residence, change of employment, or (iii) Exemption from registration. At a activity. change of educational institution within Department of State consular office 10 days of such change. Notice to the abroad, an alien may seek exemption (iii) Overcoming inadmissibility. An Department of Homeland Security of a from these regulations from the alien may overcome the presumption of change of address, change of residence Department of State by such methods as inadmissibility set out in paragraph or change of educational institution it may prescribe. (f)(8)(ii) by making a showing that he or made within 10 days of such a change (iv) For all applications for relief. Any she satisfies conditions set by the through the Student and Exchange decision of a Department of Homeland Secretary of Homeland Security and the Visitor Information System (SEVIS) Security officer or official to grant or Secretary of State. If a consular officer, shall constitute notice under this deny relief under this paragraph (f)(7) is in adjudicating a new visa application paragraph. final and not appealable. Absent receipt by an alien that previously failed to (6) [Reserved] of a decision exempting or relieving the register his or her departure from the (7) Relief from registration nonimmigrant alien from these United States, finds good cause existed requirements. A nonimmigrant alien requirements, he or she shall comply for the alien’s failure to register subject to special registration may apply with the special registration departure or that the alien is not for relief from the registration requirements contained in this section. inadmissible under section requirements as follows: (v) Termination of relief. Relief 212(a)(3)(A)(ii) of the Act, the inspecting (i) Relief from departure controls set granted under paragraphs (f)(7)(i) or (ii) officer at the port-of-entry, while not out in 264.1(f) (8). An alien who has of this section may be terminated by bound by the consular officer’s decision, been registered under the provisions of notice to the alien by any field office will consider this finding as a this section (f) and has not yet departed director or other Department of significantly favorable factor in the United States may seek relief from Homeland Security officer or official determining whether the alien is the departure control requirement authorized to grant such relief. admissible. contained in paragraph (f)(8) for that (8) Departure requirements. (i) admission by applying to the U.S. General requirements When a (9) Completion of registration. Customs and Border Protection field nonimmigrant alien subject to special Registration under this paragraph (f) is office director for the port from which registration departs from the United not deemed to be complete unless all of the alien intends to depart. In making an States (other than nonimmigrant the information required by the application for relief, the alien must crewmen as defined under section Department of Homeland Security and establish that exigent or unusual 101(a)(15)(D) of the Act) he or she shall all requested documents are provided in circumstances exist and that the alien report to an inspecting officer of the a timely manner. Any additional re- warrants a favorable exercise of Department of Homeland Security at registration that may be required and discretion. any’port-of entry unless the Department each change of material fact is a (ii) Frequent travelers. An alien who of Homeland Security has, by registration that is required under previously has been registered and who publication of a notice in the Federal sections 262 and 263 of the Act (8 would otherwise be subject to Register, specified that nonimmigrant U.S.C. 1302, 1303). Each change of registration at a port of entry under the aliens subject to special registration may address required under this paragraph provisions of paragraphs (f)(2) and (3) of not depart from specific ports. This (f) is a change of address required under this section may seek relief from the paragraph (f)(8) applies only to those section 265 of the Act (8 U.S.C. 1305). registration requirements from the nonimmigrant aliens who have been * * * * * Secretary of Homeland Security after his registered under paragraph (f)(3) of this Dated: November 27, 2003. initial registration if the alien makes section, or who have been required to frequent trips to the United States. An register pursuant to paragraph (f)(4) of Tom Ridge, alien seeking relief under this paragraph this section, and who have not been Secretary of Homeland Security. from the Secretary of Homeland granted relief from the departure [FR Doc. 03–30120 Filed 12–1–03; 8:45 am] Security may apply to the U.S. Customs requirements under paragraph (f)(7). BILLING CODE 4410–10–P
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Reader Aids Federal Register Vol. 68, No. 231 Tuesday, December 2, 2003
CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING DECEMBER
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. 31 CFR Presidential Documents 7 CFR Executive orders and proclamations 741–6000 Proposed Rules: Proposed Rules: 50...... 67100 The United States Government Manual 741–6000 900...... 67381 Other Services 8 CFR 33 CFR Electronic and on-line services (voice) 741–6020 264...... 67578 165...... 67371 Privacy Act Compilation 741–6064 37 CFR Public Laws Update Service (numbers, dates, etc.) 741–6043 11 CFR TTY for the deaf-and-hard-of-hearing 741–6086 100...... 67013 253...... 67045 102...... 67013 40 CFR ELECTRONIC RESEARCH 14 CFR 52...... 67045 World Wide Web 39 ...... 67018, 67020, 67021, 67024, 67025, 67027 44 CFR Full text of the daily Federal Register, CFR and other publications 71 ...... 67357, 67358, 67359, 64...... 67051 is located at: http://www.access.gpo.gov/nara 67360, 67361 65...... 67052 Federal Register information and research tools, including Public 97...... 67363 67...... 67056 Inspection List, indexes, and links to GPO Access are located at: 1260...... 67364 Proposed Rules: http://www.archives.gov/federallregister/ Proposed Rules: 67...... 67106, 67107 39...... 67385 E-mail 45 CFR 15 CFR FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is 1604...... 67372 an open e-mail service that provides subscribers with a digital 742...... 67030 form of the Federal Register Table of Contents. The digital form 774...... 67030 46 CFR of the Federal Register Table of Contents includes HTML and 19 CFR Proposed Rules: PDF links to the full text of each document. 501...... 67510 To join or leave, go to http://listserv.access.gpo.gov and select 10...... 67338 535...... 67510 Online mailing list archives, FEDREGTOC-L, Join or leave the list 163...... 67338 47 CFR (or change settings); then follow the instructions. 21 CFR 73...... 67378 PENS (Public Law Electronic Notification Service) is an e-mail 872...... 67365 Proposed Rules: service that notifies subscribers of recently enacted laws. Proposed Rules: 73...... 67389, 67390 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 17...... 67094 and select Join or leave the list (or change settings); then follow 872...... 67097 48 CFR the instructions. 22 CFR 2...... 67354 FEDREGTOC-L and PENS are mailing lists only. We cannot 126...... 67032 9...... 67354 respond to specific inquiries. 22...... 67354 Reference questions. Send questions and comments about the 24 CFR 28...... 67354 Federal Register system to: [email protected] 891...... 67316 44...... 67354 The Federal Register staff cannot interpret specific documents or 52...... 67354 27 CFR regulations. 49 CFR 9...... 67367 571...... 67068 FEDERAL REGISTER PAGES AND DATE, DECEMBER Proposed Rules: 7...... 67388 586...... 67068 67013–67356...... 1 25...... 67388 Proposed Rules: 67357–67584...... 2 192...... 67128, 67129 29 CFR 195...... 67129 4011...... 67032 4022...... 67033 50 CFR 4044...... 67035 679...... 67086, 67379 Proposed Rules: 30 CFR 660...... 67132 948...... 67035 679...... 67390
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REMINDERS Fisheries treaty with Pacific Mississippi; comments due airplane; comments due The items in this list were Island Countries; impact by 12-8-03; published 10- by 12-8-03; published editorially compiled as an aid on human environment; 31-03 [FR 03-27429] 11-7-03 [FR 03-28013] to Federal Register users. meetings; comments due HEALTH AND HUMAN Class C airspace; comments Inclusion or exclusion from by 12-8-03; published 10- SERVICES DEPARTMENT due by 12-8-03; published 9-03 [FR 03-25640] this list has no legal Food and Drug 9-15-03 [FR 03-23294] significance. ENERGY DEPARTMENT Administration Class D and E airspace; Federal Energy Regulatory Reports and guidance comments due by 12-12-03; Commission documents; availability, etc.: published 11-12-03 [FR 03- RULES GOING INTO 28258] EFFECT DECEMBER 2, Electric rate and corporate Evaluating safety of Class E airspace; comments 2003 regulation filings: antimicrobial new animal Virginia Electric & Power drugs with regard to their due by 12-8-03; published 11-6-03 [FR 03-27906] HOMELAND SECURITY Co. et al.; Open for microbiological effects on Restricted areas; comments DEPARTMENT comments until further bacteria of human health notice; published 10-1-03 due by 12-8-03; published Nonimmigrant classes: concern; Open for [FR 03-24818] comments until further 10-8-03 [FR 03-25422] Aliens— ENVIRONMENTAL notice; published 10-27-03 TREASURY DEPARTMENT Special registration [FR 03-27113] requirements; published PROTECTION AGENCY Internal Revenue Service 12-2-03 Air pollution; standards of HOUSING AND URBAN Income taxes, etc.: DEVELOPMENT NATIONAL AERONAUTICS performance for new Section 482; treatment of DEPARTMENT AND SPACE stationary sources: services and allocation of ADMINISTRATION Instrumental test methods; Mortgage and loan insurance income and deductions Grants and cooperative harmonize, simplify, and programs: from intangibles; agreements; availability, etc.: update; comments due by Single family mortgage comments due by 12-9- Photographs and illustrations 12-9-03; published 10-10- insurance— 03; published 9-10-03 [FR in reports or publications; 03 [FR 03-24909] National Housing Act; up- 03-22550] public acknowledgements; Air quality implementation front mortgage Income taxes: published 12-2-03 plans; approval and insurance premiums; Special depreciation NUCLEAR REGULATORY promulgation; various comments due by 12-8- allowance; cross- COMMISSION States: 03; published 10-7-03 reference; comments due Materials licensees; financial New Jersey; comments due [FR 03-25214] by 12-8-03; published 9-8- assurance amendments; by 12-12-03; published LABOR DEPARTMENT 03 [FR 03-22671] published 10-3-03 11-12-03 [FR 03-28212] Occupational Safety and TREASURY DEPARTMENT TRANSPORTATION Environmental statements; Health Administration Alcohol and Tobacco Tax DEPARTMENT availability, etc.: Construction safety and health and Trade Bureau Federal Aviation Coastal nonpoint pollution standards: Alcohol; viticultural area control program— Administration Assigned protection factors; designations: Standard instrument approach Minnesota and Texas; hearing; comments due Chehalem Mountains, WA procedures; published 12-2- Open for comments by 12-12-03; published and OR; comments due 03 until further notice; 11-12-03 [FR 03-28357] by 12-8-03; published 10- TREASURY DEPARTMENT published 10-16-03 [FR 7-03 [FR 03-25372] 03-26087] TRANSPORTATION Currency and foreign DEPARTMENT Yamhill-Carlton District, OR; FEDERAL transactions; financial Federal Aviation comments due by 12-8- COMMUNICATIONS reporting and recordkeeping Administration 03; published 10-7-03 [FR requirements: COMMISSION 03-25373] Airworthiness directives: Bank Secrecy Act; Common carrier services: Cessna; comments due by implementation— Communications Act of 12-8-03; published 10-3- Funds transmittal by 1934; implementation— LIST OF PUBLIC LAWS 03 [FR 03-25089] financial institutions; Bell Operating Companies New Piper Aircraft, Inc.; This is a continuing list of conditional exception (BOCs) and Section comments due by 12-9- public bills from the current expiration; published 11- 272 affiliates; operate 03; published 10-9-03 [FR session of Congress which 28-03 independently 03-25581] have become Federal laws. It requirement; comments may be used in conjunction COMMENTS DUE NEXT due by 12-8-03; Pacific Aerospace Corp., Ltd.; comments due by with ‘‘PLUS’’ (Public Laws WEEK published 11-21-03 [FR Update Service) on 202–741– 03-29054] 12-8-03; published 10-30- 03 [FR 03-27212] 6043. This list is also AGRICULTURE Digital television stations; table available online at http:// Pilatus Aircraft Ltd.; DEPARTMENT of assignments: www.nara.gov/fedreg/ comments due by 12-10- Animal and Plant Health New York; correction; plawcurr.html. 03; published 10-9-03 [FR Inspection Service comments due by 12-10- 03-25477] Animal welfare: 03; published 11-28-03 The text of laws is not Raytheon; comments due by published in the Federal Transportation of animals on [FR 03-29627] 12-7-03; published 10-10- Register but may be ordered foreign air carriers; Practice and procedure: 03 [FR 03-25591] in ‘‘slip law’’ (individual comments due by 12-9- Radiofrequency pamphlet) form from the 03; published 10-10-03 Rolls-Royce plc; comments electromagnetic fields; Superintendent of Documents, [FR 03-25788] human exposure; due by 12-8-03; published 10-9-03 [FR 03-25578] U.S. Government Printing COMMERCE DEPARTMENT comments due by 12-8- Office, Washington, DC 20402 Airworthiness standards: National Oceanic and 03; published 9-8-03 [FR (phone, 202–512–1808). The Atmospheric Administration 03-22624] Special conditions— text will also be made International fisheries Television stations; table of Garmin International, Inc., available on the Internet from regulations: assignments: Diamond DA-40 GPO Access at http://
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www.access.gpo.gov/nara/ Resources System. (Dec. 1, 50 years of outstanding listserv.gsa.gov/archives/ nara005.html. Some laws may 2003; 117 Stat. 1869) service to the Nation through publaws-l.html not yet be available. S.J. Res. 18/P.L. 108–139 agricultural research. (Dec. 1, 2003; 117 Stat. 1872) H.R. 1588/P.L. 108–136 Commending the Inspectors Note: This service is strictly General for their efforts to National Defense Authorization Last List November 25, 2003 for E-mail notification of new prevent and detect waste, laws. The text of laws is not Act for Fiscal Year 2004 (Nov. fraud, abuse, and 24, 2003; 117 Stat. 1392) mismanagement, and to available through this service. H.R. 2754/P.L. 108–137 promote economy, efficiency, Public Laws Electronic PENS cannot respond to Energy and Water and effectiveness in the Notification Service specific inquiries sent to this Development Appropriations Federal Government during (PENS) address. Act, 2004 (Dec. 1, 2003; 117 the past 25 years. (Dec. 1, Stat. 1827) 2003; 117 Stat. 1870) S. 1066/P.L. 108–138 S.J. Res. 22/P.L. 108–140 PENS is a free electronic mail To correct a technical error Recognizing the Agricultural notification service of newly from Unit T-07 of the John H. Research Service of the enacted public laws. To Chafee Coastal Barrier Department of Agriculture for subscribe, go to http://
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