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2 III

Contents Federal Register Vol. 62, No. 219

Thursday, November 13, 1997

Agency for Health Care Policy and Research Commodity Futures Trading Commission NOTICES NOTICES Agency information collection activities: Contract market proposals: Proposed collection; comment request, 60900–60901 Chicago Board of Trade— Meetings; advisory committees: Corn and soybeans, 60831–60860 November, 60901 Dual trading prohibition; exemption petitions— Chicago Board of Trade, 60865–60870 Agency for International Development Chicago Mercantile Exchange, 60860–60865, 60870– NOTICES 60871 Meetings: Malaria Vaccine Development Program Federal Advisory Consumer Product Safety Commission Committee, 60919 NOTICES Meetings; Sunshine Act, 60871 Agricultural Marketing Service RULES Corporation for National and Community Service Raisins produced from grapes grown in California, 60764– NOTICES 60769 Agency information collection activities: Submission for OMB review; comment request, 60872 Agriculture Department See Agricultural Marketing Service Defense Department See Animal and Plant Health Inspection Service See Air Force Department See Food and Consumer Service See Navy Department See Forest Service NOTICES NOTICES Arms sales notification; transmittal letter, etc.; Agency information collection activities: republication, 60872–60887 Submission for OMB review; comment request, 60819 Meetings: National Defense Panel, 60887 Wage Committee, 60887 Air Force Department NOTICES Delaware River Basin Commission Meetings: NOTICES Community College Board of Visitors, 60887 Meetings, 60888–60889

Animal and Plant Health Inspection Service Education Department RULES NOTICES Plant-related quarantine, domestic: Grants and cooperative agreements; availability, etc.: Asian longhorned beetle, 60763–60764 National Institute on Disability and Rehabilitation NOTICES Research— Reporting and recordkeeping requirements, 60819–60820 Disability and rehabilitation research project and centers program (FY 1998), 60942–60960 Coast Guard Strengthening Institutions Program, 60988–60989 PROPOSED RULES Tank vessels: Energy Department Towing vessel safety See Federal Energy Regulatory Commission Correction, 60939 NOTICES Floodplain and wetlands protection; environmental review Commerce Department determinations; availability, etc.: See National Institute of Standards and Technology Jacksonville Electric Authority, FL; circulating fluidized See National Oceanic and Atmospheric Administration bed combustor project, 60889–60892

Committee for the Implementation of Textile Agreements Environmental Protection Agency NOTICES RULES Cotton, wool, and man-made textiles: Air programs; approval and promulgation; State plans for Bahrain, 60824 designated facilities and pollutants: Burma (Myanmar), 60824–60825 Florida, 60785–60787 Colombia, 60825–60826 Air quality implementation plans; approval and India, 60826–60827 promulgation; various States: Kuwait, 60827–60828 California, 60784–60785 Nepal, 60828 Solid wastes: Qatar, 60828–60829 Products containing recovered materials; comprehensive Thailand, 60829–60831 guidelines for procurement, 60962–60974 IV Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Contents

PROPOSED RULES Fish and Wildlife Service Air programs; approval and promulgation; State plans for NOTICES designated facilities and pollutants: Endangered and threatened species permit applications, Florida, 60817 60914 NOTICES Natural resources damage assessment plans; availability, Clean Air Act: etc.: Citizens suits; proposed settlements— Sharon Steel Restoration Plan, 60914–60915 National Solid Wastes Management Association et al., 60898 Food and Consumer Service Reporting and recordkeeping requirements, 60898–60899 NOTICES Solid wastes: Agency information collection activities: Recovered materials advisory notice; availability, 60976– Proposed collection; comment request, 60820 60982 Superfund; response and remedial actions, proposed Food and Drug Administration settlements, etc.: RULES Interstate Lead Co. Site, AL, et al., 60899 Animal drugs, feeds, and related products: New drug applications— Executive Office of the President Salinomycin and bacitracin zinc, 60781 See Presidential Documents NOTICES Exchange of letters: Federal Aviation Administration Australian Therapeutic Goods Administration; drug or RULES biological preparation for orphan product status; Airworthiness directives: documents and information exchange, 60901–60903 Avions Pierre Robin, 60772–60773 Food additives petitions: Dassault, 60773–60775 Nalco Chemical Co., 60903 Fairchild, 60775–60778 Class E airspace, 60778–60781 Forest Service PROPOSED RULES NOTICES Airworthiness directives: Environmental statements; notice of intent: Boeing, 60807–60812 Eldorado National Forest, CA, 60821–60823 Dornier, 60813–60814 Class E airspace, 60814–60815 Health and Human Services Department NOTICES See Agency for Health Care Policy and Research Exemption petitions; summary and disposition, 60934– See Food and Drug Administration 60935 See Inspector General Office, Health and Human Services Organization, functions, and authority delegations: Department Arizona Flight Standards District Office, 60935 See National Institutes of Health See Substance Abuse and Mental Health Services Federal Energy Regulatory Commission Administration NOTICES NOTICES Agency information collection activities: Meetings: Submission for OMB review; comment request, 60892– Dietary Supplement Labels Commission, 60899–60900 60893 Health Care Industry Consumer Protection and Quality Environmental statements; availability, etc.: Advisory Commission, 60900 Destin Pipeline Co., L.L.C., et al., 60897 Hydroelectric applications, 60897–60898 Health Care Financing Administration Applications, hearings, determinations, etc.: See Inspector General Office, Health and Human Services Granite State Gas Transmission, Inc., 60893 Department Koch Gateway Pipeline Co., 60893 MIGC, Inc., 60894 Immigration and Naturalization Service Mobile Bay Pipeline Co., 60894 RULES National Fuel Gas Supply Corp., 60894 Immigration: Northern Natural Gas Co., 60894–60895 Lawful permanent residence status— Ohio Valley Electric Corp. et al., 60895 Battered or abused spouses and children; self- Pacific Gas & Electric Co. et al., 60895–60896 petitioning; Form I-360 review, 60769–60772 Public Utility District No. 1 of Pend Oreille County, WA, 60896 Inspector General Office, Health and Human Services U-T Offshore System, 60897 Department NOTICES Federal Highway Administration Program exclusions; list, 60903–60909 PROPOSED RULES Motor carrier safety standards: Interior Department Performance-based brake testers used to inspect See Fish and Wildlife Service commercial motor vehicles; functional specifications See Land Management Bureau development; meeting, 60817–60818 See National Park Service See Reclamation Bureau Federal Reserve System NOTICES International Development Cooperation Agency Meetings; Sunshine Act, 60899 See Agency for International Development Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Contents V

International Trade Commission NOTICES NOTICES Concession contract negotiations: Import investigations: Wrangell St. Elias National Preserve, AK— Harmonized Tariff Schedule— Sport hunting guide-outfitter services; correction, Simplification, 60919–60920 60916 Environmental statements; availability, etc.: Justice Department Washington Sailing Marina and Columbia Island Marina, See Immigration and Naturalization Service Alexandria, VA; navigational improvements, 60916 Meetings: Labor Department National Capital Area, 1997 Christmas Pageant of Peace, See Mine Safety and Health Administration 60916–60917 National Park System Advisory Board, 60917 Land Management Bureau National Register of Historic Places: NOTICES Pending nominations, 60917–60918 Meetings: Resource advisory councils— Northeast California, 60915 Navy Department Recreation management restrictions, etc.: NOTICES La Posa Plain Camping Closure Area, 60915–60916 Environmental statements; availability, etc.: Bravo 20 bombing range (B-20); Fallon, NV, 60888 Mine Safety and Health Administration Patent licenses; non-exclusive, exclusive, or partially RULES exclusive: Education and training: Edge Technologies, Inc., 60888 National Mine Health and Safety Academy; tuition and room and board charges; waivers, 60984–60985 Nuclear Regulatory Commission PROPOSED RULES National Credit Union Administration Practice rules: PROPOSED RULES Domestic licensing proceedings— Freedom of Information Act and Privacy Act; High-level radioactive waste disposal at geologic implementation, 60799–60807 repository, 60789–60799 NOTICES National Institute of Standards and Technology Agency information collection activities: NOTICES Submission for OMB review; comment request, 60920– Grants and cooperative agreements; availability, etc.: 60921 Brachytherapy manufacturing technology cooperative Civil monetary penalty orders: research and development consortium; meeting, Conam Inspection, Inc., 60923–60929 60823 Applications, hearings, determinations, etc.: Florida Power Corp., 60921–60923 National Institutes of Health NOTICES Agency information collection activities: Pension Benefit Guaranty Corporation Proposed collection; comment request, 60909 NOTICES Inventions, Government owned; availability for licensing, Agency information collection activities: 60909–60910 Proposed collection; comment request, 60929 Meetings: Medical Rehabilitation Research National Advisory Presidential Documents Board, 60910 ADMINISTRATIVE ORDERS National Cancer Institute, 60910–60911 Weapons of mass destruction; continuation of emergency National Institute of Child Health and Human (Notice of November 12, 1997), 60993 Development, 60912 National Institute of Mental Health, 60911–60912 Public Health Service Scientific Review Center Special Emphasis Panel, 60912– See Agency for Health Care Policy and Research 60913 See Food and Drug Administration See National Institutes of Health National Oceanic and Atmospheric Administration See Substance Abuse and Mental Health Services RULES Administration Fishery conservation and management: West Coast States and Western Pacific fisheries— Reclamation Bureau Chinook salmon, 60788 NOTICES NOTICES Fishery conservation and management: Central Valley Project Improvement Act: Scup and black sea bass; moratorium Water conservation plans; evaluation criteria; decision, Cancellation, 60823–60824 60918 National Park Service Securities and Exchange Commission PROPOSED RULES NOTICES Special regulations: Options price reporting authority, 60933–60934 Delaware Water Gap National Recreation Area; Applications, hearings, determinations, etc.: designation of bicycle routes, 60815–60817 Public utility holding company filings, 60929–60933 VI Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Contents

Substance Abuse and Mental Health Services Meetings: Administration Minority Veterans Advisory Committee, 60938 NOTICES Agency information collection activities: Proposed collection; comment request, 60913 Separate Parts In This Issue Meetings: Mental Health Services Center National Advisory Part II Council, 60913–60914 Department of Education, 60942–60960

Surface Transportation Board Part III NOTICES Environmental Protection Agency, 60962–60974 Agreements under sections 5a and 5b; applications for approval, etc.: Part IV National Classification Committee, 60935–60936 Environmental Protection Agency, 60976–60982

Textile Agreements Implementation Committee Part V See Committee for the Implementation of Textile Department of Labor, Mine Safety and Health Agreements Administration, 60984–60985

Transportation Department Part VI See Coast Guard Department of Education, 60988–60989 See Federal Aviation Administration See Federal Highway Administration Part VII See Surface Transportation Board The President, 60993

Treasury Department RULES Reader Aids Privacy Act; implementation, 60781–60783 Additional information, including a list of telephone numbers, finding aids, reminders, and a list of Public Laws Veterans Affairs Department appears in the Reader Aids section at the end of this issue. RULES Medical benefits: State home facilities; construction or acquisition grants, Electronic Bulletin Board 60783 Free Electronic Bulletin Board service for Public Law NOTICES numbers, Federal Register finding aids, and a list of Agency information collection activities: documents on public inspection is available on 202–275– Proposed collection; comment request, 60936–60938 1538 or 275–0920. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Contents VII

CFR PARTS AFFECTED IN THIS ISSUE

A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.

3 CFR Administrative Orders: Notice of November 12, 1997 ...... 60993 7 CFR 301...... 60763 989...... 60764 8 CFR 204...... 60769 10 CFR Proposed Rules: 2...... 60789 12 CFR Proposed Rules: 792...... 60799 14 CFR 39 (4 documents) ...... 60772, 60773, 60775, 60777 71 (2 documents) ...... 60778, 60779 Proposed Rules: 39 (4 documents) ...... 60807, 60808, 60810, 60813 71...... 60814 21 CFR 510...... 60781 558...... 60781 30 CFR 47...... 60984 31 CFR 1...... 60781 36 CFR Proposed Rules: 7...... 60815 38 CFR 17...... 60783 40 CFR 52...... 60784 62...... 60785 247...... 60962 Proposed Rules: 62...... 60817 46 CFR Proposed Rules: 27...... 60939 49 CFR Proposed Rules: 350...... 60817 50 CFR 660...... 60788 60763

Rules and Regulations Federal Register Vol. 62, No. 219

Thursday, November 13, 1997

This section of the FEDERAL REGISTER ALB bores into the heartwood of host all hardwood trees, not just those tree contains regulatory documents having general trees, eventually killing the host trees. types that have been determined to be applicability and legal effect, most of which Immature beetles bore into tree trunks susceptible to infestation by ALB based are keyed to and codified in the Code of and branches, causing heavy sap flow on current infestations in New York Federal Regulations, which is published under from wounds and sawdust State and scientific literature. The 50 titles pursuant to 44 U.S.C. 1510. accumulation at tree bases. They feed on commenter also asked that we require The Code of Federal Regulations is sold by and over-winter in the interior of the burning of infested material because the Superintendent of Documents. Prices of trees. Adult beetles emerge in the spring chipping or grinding infested material new books are listed in the first FEDERAL and summer months from large, round may not destroy all of the adult beetles, REGISTER issue of each week. holes approximately 3⁄8-inch in diameter larvae, or eggs in the material. Lastly, (about the size of a dime) that they bore the commenter suggested that we through the trunks of trees. After establish guidelines for host tree DEPARTMENT OF AGRICULTURE emerging, adult beetles fly for 2 to 3 replantings in quarantined areas to limit days, when they feed and mate. Adult ALB access to host sources in Animal and Plant Health Inspection females then lay eggs in grooves that quarantined areas. Service they make on the branches of trees. A Based on this comment, we are 7 CFR Part 301 new generation of ALB is produced each adding birch (Betula) and Rose of year. Sharon (Hibiscus syriacus L.) to the list [Docket No. 96±102±2] First detected in the United States in of regulated articles. These two plant August 1996, ALB has been found in types have proven to be likely host Asian Longhorned Beetle; Quarantine hardwood trees in an area in the material for ALB. At this time, we do Regulations boroughs of Brooklyn and Queens, NY, not feel that it is necessary to list all AGENCY: Animal and Plant Health and in the vicinity of Amityville, NY. In hardwood trees as regulated articles Inspection Service, USDA. these locations, the beetle appears to because we have not determined that prefer maple and horse chestnut trees. ACTION: Final rule. hardwood trees other than those However, nursery stock, logs, green currently listed as regulated articles and SUMMARY: We are adopting as a final lumber, firewood, stumps, roots, those added to the list of regulated rule, with one change, an interim rule branches, and debris of a half an inch articles by this document are likely that amended the domestic quarantine or more in diameter are also subject to hosts for ALB. However, we continue to regulations by quarantining a small area infestation. Therefore, if this pest moves monitor infestations in the quarantined in the boroughs of Brooklyn and into the hardwood forests of the areas, and if necessary, we will add Queens, NY, and a small area in the northeastern United States, severe additional plant types to the list of vicinity of Amityville, NY, because of economic impact to the nursery and regulated articles in the future. forest products industries in that part of infestation of the Asian longhorned All infested material is destroyed the United States could result. beetle and by restricting the interstate under a cooperative agreement with the In an interim rule effective on movement of regulated articles from State of New York. The cooperative February 28, 1997, and published in the these quarantined areas. These actions agreement requires additional mitigating Federal Register on March 7, 1997 (62 are necessary to prevent the artificial measures (e.g., chipping and burning of FR 10412–10419, Docket No. 96–102–1), spread of this plant pest from infested infested host material) to prevent the we amended the domestic quarantine areas in the State of New York to spread of ALB. Therefore, there is no regulations in 7 CFR part 301 by adding noninfested areas of the United States. need to require the burning of infested a new subpart 301.51, ‘‘Asian EFFECTIVE DATE: December 15, 1997. material in the regulations. Longhorned Beetle.’’ The regulations in FOR FURTHER INFORMATION CONTACT: Mr. the new subpart quarantine a small area In quarantined areas and their Ronald P. Milberg, Operations Officer, in the boroughs of Brooklyn and environs in New York State, there is an Program Support, PPQ, APHIS, 4700 Queens, NY, and a small area in the abundance of host trees. Therefore, a River Road Unit 134, Riverdale, MD vicinity of Amityville, NY, because of probihition on the planting of host 20737-1236, (301) 734–5255. infestation of ALB and restrict the species in quarantined areas would have little or no impact on the spread of ALB. SUPPLEMENTARY INFORMATION: interstate movement of regulated articles from these quarantined areas. However, when infested trees in the Background These actions are necessary to prevent quarantined area are removed for The Asian longhorned beetle (ALB) the artificial spread of this plant pest processing, replacement trees are (Anoplophora glabripennis), native to from infested areas in the State of New ordinarily non-host species. We are China, Japan, Korea, and the Isle of York to noninfested areas of the United making no changes to the interim rule Hainan, is a destructive pest of States. in response to this portion of the hardwood trees. It is known to attack We solicited comments concerning comment. healthy trees of maple (including the interim rule for 60 days ending May Therefore, based on the rationale set Norway, sugar, silver, red, and others), 6, 1997. We received one comment by forth in the interim rule and in this horse chestnut, poplar, willow, elm, that date. It was from a representative of document, we are adopting the locust, mulberry, chinaberry, apple, a State government. provisions of the interim rule as a final cherry, pear, and citrus. It may also The commenter asked that we expand rule, with the change discussed in this attack other species of hardwood trees. the list of regulated articles to include document. 60764 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations

This final rule also affirms the DEPARTMENT OF AGRICULTURE Kelhart, Technical Advisor, Marketing information contained in the interim Order Administration Branch, Fruit and rule concerning Executive Order 12866 Agricultural Marketing Service Vegetable Programs, AMS, USDA, room and the Regulatory Flexibility Act, and 2525–S, P.O. Box 96456, Washington, 7 CFR Part 989 Executive Orders 12372 and 12988. DC 20090–6456; telephone: (202) 720– [Docket No. FV97±989±3 IFR] 2491, Fax: (202) 205–6632. Small Paperwork Reduction Act businesses may request information on compliance with this regulation by In accordance with section 3507(d) of Raisins Produced From Grapes Grown In California; Modifications to the contacting Jay Guerber, Marketing Order the Paperwork Reduction Act of 1995 Raisin Diversion Program Administration Branch, Fruit and (44 U.S.C. 3501 et seq.), the information Vegetable Programs, AMS, USDA, room collection or recordkeeping AGENCY: Agricultural Marketing Service, 2525–S, P.O. Box 96456, Washington, requirements included in this final rule USDA. DC 20090–6456; telephone: (202) 720– have been approved by the Office of ACTION: Interim final rule with request 2491, Fax: (202) 205–6632. Management and Budget (OMB). The for comments. SUPPLEMENTARY INFORMATION: This rule assigned OMB control number is 0579– is issued under Marketing Agreement 0122. SUMMARY: This rule modifies the raisin diversion program (RDP) currently and Order No. 989, both as amended (7 Accordingly, the interim rule authorized under the Federal marketing CFR part 989), regulating the handling amending 7 CFR part 301 that was order for California raisins. The of raisins produced from grapes grown published at 62 FR 10412–10419 on marketing order regulates the handling in California, hereinafter referred to as March 7, 1997, is adopted as a final rule of raisins produced from grapes grown the ‘‘order.’’ The marketing agreement with the following changes: in California and is administered locally and order are effective under the by the Raisin Administrative Committee Agricultural Marketing Agreement Act PART 301ÐDOMESTIC QUARANTINE (Committee). Under the raisin diversion of 1937, as amended (7 U.S.C. 601–674), NOTICES program, producers are issued hereinafter referred to as the ‘‘Act.’’ certificates representing reserve raisins The Department of Agriculture 1. The authority citation for part 301 for voluntarily reducing their raisin (Department) is issuing this rule in continues to read as follows: production in order to bring raisin conformance with Executive Order Authority: 7 U.S.C. 147a, 150bb, 150dd, supplies more closely in line with 12866. 150ee, 150ff, 161, 162, and 164–167; 7 CFR market needs. Producers may then sell This rule has been reviewed under 2.22, 2.80, and 371.2(c). these certificates to handlers, who, in Executive Order 12988, Civil Justice turn, can redeem the certificates for Reform. This rule is not intended to 2. In § 301.51–2, paragraph (a) is reserve raisins. This rule makes various have retroactive effect. This rule will revised to read as follows: modifications to the diversion program not preempt any State or local laws, regulations, or policies, unless they § 301.51±2 Regulated articles. to improve compliance and bring the program in line with current industry present an irreconcilable conflict with * * * * * practices. Improving compliance with this rule. (a) Firewood (all hardwood species), the RDP will help ensure equity among The Act provides that administrative and green lumber and other material all producers who participate in the proceedings must be exhausted before living, dead, cut, or fallen, inclusive of program, and help maintain the parties may file suit in court. Under nursery stock, logs, stumps, roots, integrity of the RDP. section 608c(15)(A) of the Act, any handler subject to an order may file branches, and debris of half an inch or DATES: Effective November 14, 1997; with the Secretary a petition stating that more in diameter of the following comments received by January 12, 1998 the order, any provision of the order, or genera: Acer (maple), Aesculus (horse will be considered prior to issuance of any obligation imposed in connection chestnut), Betula (birch), Hibiscus a final rule. with the order is not in accordance with syriacus L. (Rose of Sharon), Malus ADDRESSES: Interested persons are law and request a modification of the (apple), Melia (chinaberry), Morus invited to submit written comments order or to be exempted therefrom. A (mulberry), Populus (poplar), Prunus concerning this rule. Comments must be handler is afforded the opportunity for (cherry), Pyrus (pear), Robinia (locust), sent in triplicate to the Docket Clerk, a hearing on the petition. After the Salix (willow), Ulmus (elm), and Citrus. Fruit and Vegetable Programs, AMS, hearing the Secretary would rule on the * * * * * USDA, room 2525–S, P.O. Box 96456, petition. The Act provides that the Done in Washington, DC, this 6th day of Washington, DC 20090–6456; Fax: (202) district court of the United States in any November 1997. 205–6632. All comments should district in which the handler is an Charles P. Schwalbe, reference the docket number and the inhabitant, or has his or her principal date and page number of this issue of place of business, has jurisdiction to Acting Administrator, Animal and Plant the Federal Register and will be made Health Inspection Service. review the Secretary’s ruling on the available for public inspection in the petition, provided an action is filed not [FR Doc. 97–29869 Filed 11–12–97; 8:45 am] Office of the Docket Clerk during regular later than 20 days after date of the entry BILLING CODE 3410±34±P business hours. of the ruling. FOR FURTHER INFORMATION CONTACT: This rule modifies the raisin diversion Maureen T. Pello, Marketing Specialist, program currently authorized under the California Marketing Field Office, Federal marketing order for California Marketing Order Administration raisins. Under the RDP, producers are Branch, F&V, AMS, USDA, 2202 issued certificates representing reserve Monterey Street, suite 102B, Fresno, raisins for voluntarily reducing their California 93721; telephone: (209) 487– raisin production in order to bring raisin 5901, Fax: (209) 487–5906; or George supplies more closely in line with Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations 60765 market needs. Producers may then sell the Committee and paying an amount Thus, the Committee recommended these certificates to handlers, who, in equal to the established harvest cost that partial production units no longer turn, can redeem the certificates for plus payment for receiving, storing, be accepted as part of the RDP. This reserve raisins. This rule makes various fumigating, handling, and inspecting the change will help ensure that producers modifications to the RDP to improve tonnage represented on the certificate. who participate in an RDP do not compliance and bring the RDP in line The Committee then gives the handler receive credit for an inflated amount of with current industry practices. raisins from the reserve pool in an tonnage and gain a financial advantage Improving compliance with the RDP amount equal to the tonnage over other producers. This change will will help ensure equity among all represented by the diversion certificate. help ensure equity among all producers producers who participate in the Section 989.156 of the order’s who participate in the program, and program, and help maintain the administrative rules and regulations help maintain the integrity of the RDP. integrity of the RDP. prescribes additional procedures for the In addition, the Committee believes The Federal marketing order for RDP. At a meeting on August 14, 1997, that this change will improve the California raisins provides authority for the Committee unanimously accuracy of the amount of tonnage volume regulation designed to promote recommended that various changes be accepted into the RDP. When an RDP is orderly marketing conditions, stabilize made to these additional RDP established, a quantity of raisins prices and supplies, and improve procedures to improve compliance and equivalent to the amount diverted producer returns. When volume bring the RDP in line with current would be made available in the regulation is in effect, a certain industry practices. subsequent crop year from the prior percentage of the raisin crop may be The first change to the RDP year’s reserve. This RDP diverted sold by handlers to any market (free recommended by the Committee tonnage from the reserve is included in tonnage) while the remaining concerns references throughout the Committee’s marketing policy percentage of the crop must be held by § 989.156 to partial production units. computations for that year and subject handlers in a reserve pool (or reserve) Such references are contained in to free and reserve percentages. Thus, it for the account of the Committee. paragraphs (d), (h)(2), (h)(3), (i), (s)(1), is important for the Committee to have Reserve pool raisins are disposed and (s)(3) of § 989.156. As defined in as accurate a figure as possible for RDP through certain programs authorized § 989.156(o), a production unit is a tonnage. The Committee believes that under the order. For example, reserve clearly defined geographic area with not allowing partial production units raisins may be sold by the Committee to permanent boundaries (either natural or into the RDP will improve the accuracy handlers for sale to any market; man-made). For example, a production of this figure. Appropriate changes have exported to authorized countries; unit could be 30 acres of raisins been made to the applicable paragraphs carried over as a hedge against a short surrounded by a permanent road on two to implement this recommended crop the following year; or may be sides and permanent fencing on the change. disposed of in other outlets not other two sides. According to Committee staff, most of competitive with those for free tonnage the RDP applications over the years raisins, such as government purchase, Partial production units have been have been for full production units. The distilleries, or animal feed. The RDP is allowed under the RDP in past years. partial unit authority has typically been another program concerning reserve For instance, in the 30-acre production used by a producer desiring to receive pool raisins authorized under the order, unit example, three rows of vines from and may be used as a means for that unit could qualify as a partial credit under the RDP for a few weak controlling overproduction. The RDP is production unit under the RDP. Under rows of vines, which usually amounts to described in the following paragraphs. § 989.156(s)(3) of the order’s less than an acre. Thus, this change is Pursuant to § 989.56 of the order, the administrative rules and regulations, the not expected to adversely impact RDP Committee meets by November 30 of determination of the tonnage allowed participants. each crop year to review raisin data, for acreage removed for such a partial The second change recommended by including information on production, unit would be computed by multiplying the Committee concerns paragraph (g) of supplies, market demand, and the previous year’s tonnage produced § 989.156 regarding procedures to verify inventories. If the Committee and verified on the entire unit by the whether producers under the RDP are determines that the available supply of ratio of the acreage removed divided by curtailing their production. This section raisins, including those in the reserve the acreage contained in the total currently specifies that committees of pool, exceeds projected market needs, it production unit. However, the industry persons may be established to can decide to implement a diversion Committee is concerned that some serve as agents of the Committee in program, and announce the amount of producers may be removing weak vines assuring producer compliance with the tonnage eligible for diversion during the in a production unit and getting credit RDP. These groups of industry persons subsequent crop year. Producers who under the RDP for an inflated amount of may be furnished approved RDP wish to participate in the RDP must tonnage. In the 30-acre example, a applications and are to advise the submit an application to the Committee. producer could have an average past Committee on the progress of the Such producers then curtail their production of 2.2 tons of raisins on the diversion within a particular district. production by vine removal or some entire unit, remove three rows of low- Such industry committees have been other means established by the producing vines that averaged only 1.5 utilized during only one season since Committee and receive a certificate from tons of raisins per acre, and get credit the inception of the RDP in 1985. the Committee which represents the in the RDP for 2.2 tons of raisins per Committee staff has assumed the quantity of raisins diverted. Producers acre. Although § 989.56(a) of the order functions of monitoring producer sell these certificates to handlers who specifies a cap of 2.75 tons of raisins per diversion and assuring program pay producers for the free tonnage acre for an approved production unit compliance. Thus, the Committee applicable to the diversion certificate (which can be changed through informal recommended that reference to these minus the established harvest cost for rulemaking), the Committee is still RDP industry committees be removed the diverted tonnage. Handlers redeem concerned that actual production on a from § 989.156(g) of the order’s the certificates by presenting them to partial unit could be inflated. administrative rules and regulations. 60766 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations

This change will bring RDP procedures producers more incentive to remain in tool to ensure producer compliance in line with current industry practices. compliance with the RDP because the with the RDP so that the integrity of the A third change to the RDP clarified provisions specify that the program is maintained. recommended by the Committee failure to comply could mean denial to This rule also makes minor changes to concerns paragraph (h) of § 989.156 participate on any of that producer’s remove obsolete language in paragraph regarding compliance. Paragraph (h)(1) production units in the next RDP. Thus, (s)(1) in § 989.156. That paragraph of § 989.156 currently specifies that an this provision is expected to strengthen makes two references to provisions approved applicant must remove or producer compliance with the RDP particular to the 1985 calendar year spur-prune vines to preclude grapes which will help ensure that the integrity which marked the inception of the RDP. from being produced and harvested on of the program is maintained. Certain parameters regarding dates the production unit involved in the The fourth change to the RDP particular to 1985 were incorporated program: Provided, That vine removal recommended by the Committee into the order’s administrative rules and may be the only acceptable means of concerns paragraph (o) of § 989.156. regulations that are no longer necessary. diversion in some seasons as This section defines a production unit. Thus, this rule removes those two determined by the Committee. If the As previously mentioned, a production references. Committee representatives or agents unit is a clearly defined geographic area Pursuant to requirements set forth in determine that there is an average of with permanent boundaries (either the Regulatory Flexibility Act (RFA), the more than four bunches per vine natural or man-made). Under the RDP, Agricultural Marketing Service (AMS) remaining on a properly spur-pruned producers must be able to document to has considered the economic impact of production unit, the producer must be the Committee the previous year’s this action on small entities. notified in writing and given 2 weeks to production data for that specific area by Accordingly, AMS has prepared this remove such bunches. means of sales receipts or other delivery initial regulatory flexibility analysis. The Committee recommended that or transfer documents which indicate The purpose of the RFA is to fit this section be modified to remove the the creditable fruit weight delivered to regulatory actions to the scale of impression that spur-pruning is the only handlers from that specific area. business subject to such actions in order acceptable method of diverting the crop, Additional criteria are specified for new that small businesses will not be unduly other than removing the vines production units and existing units that or disproportionately burdened. altogether. Other methods such as may have been transferred to another Marketing orders issued pursuant to the spraying with certain substances should producer. Act, and rules issued thereunder, are also be allowed. Producers should be The Committee believes that unique in that they are brought about allowed to remove and destroy the additional information may be through group action of essentially bunches of grapes by whatever method necessary in some cases to verify the small entities acting on their own they choose in order to receive a appropriate production figure to apply behalf. Thus, both statutes have small diversion certificate. The Committee to a production unit. There have been entity orientation and compatibility. also recommended that the word concerns that some producers have There are approximately 20 handlers ‘‘acceptable’’ in the first sentence in inflated their production units under of California raisins who are subject to § 989.156(h)(1) be removed because it is past RDP’s by reporting statistics regulation under the order and not necessary. In addition, the showing higher than actual raisin approximately 4,500 raisin producers in Committee recommended that the production. For example, since the regulated area. Small agricultural section be modified to strengthen the diversion certificate tonnage is based on service firms have been defined by the requirement regarding producer the tons of raisins delivered per acre Small Business Administration (13 CFR notification of noncompliance with the during the prior year, producers could 121.601) as those having annual receipts RDP. Specifically, Committee staff must inflate their tonnage by acquiring raisins of less than $5,000,000, and small notify producers ‘‘immediately by from another source and adding them to agricultural producers are defined as certified mail,’’ in writing, and give deliveries from their production units, those having annual receipts of less than producers 2 weeks to remove extra thereby receiving credit for a greater $500,000. No more than 8 handlers, and bunches. The Committee believes that amount of raisins than actually a majority of producers, of California this added language will strengthen produced on the acreage. By inflating raisins may be classified as small producer compliance with the RDP. yield figures, producers could receive entities. Twelve of the 20 handlers The Committee also recommended diversion certificates equal to more subject to regulation have annual sales that paragraph (h)(3) of § 989.156 raisins from the reserve pool than they estimated to be at least $5,000,000, and concerning failure to divert be revised to actually would have produced from the remaining 8 handlers have sales less specify that any producer who has more those production units. than $5,000,000, excluding receipts than one production unit and fails to Thus, the Committee recommended from any other sources. divert on an approved production unit that authority be added to paragraph (o) This rule modifies the RDP currently may be denied the opportunity to of § 989.156 authorizing Committee staff authorized under § 989.56 of the Federal participate in the next RDP on all of that to request additional documentation to marketing order for California raisins. producer’s production units. The substantiate the tonnage of raisins Under the RDP, the Committee issues current provisions specify that the produced on any known production diversion certificates to producers who producer should be denied unit. This documentation may include have removed grapes in accordance participation, and not the specific information such as tray count, with § 989.156 to reduce raisin production unit. However, the employee payroll records, prior years’ production and bring raisin supplies provisions have been interpreted so that production for all production units, and more closely in line with market needs. producers only have been denied the insurance records. This information is Such certificates represent an amount of opportunity to participate in the next maintained by producers in the normal reserve tonnage raisins equal to the RDP on the unit that was not properly course of business. Such information for amount of raisins diverted. Diversion diverted, not all of that producer’s units. approved production units, in addition certificates may be submitted by The clarification will eliminate the to producers’ other known production producers only to handlers. Any confusion and is expected to provide units, will give Committee staff another handler holding diversion certificates Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations 60767 may redeem such certificates for reserve regulations to specify that the documents provided to the Committee pool raisins from the Committee. This production cap should be based on a 5- did not correspond to the production rule makes various modifications to year rolling average of production per figure indicated on the producer’s § 989.156 of the order’s administrative acre with a maximum of 2.75 tons per application, Committee staff may rules and regulations concerning the acre. However, Committee staff request additional information. RDP. The changes include: Removing indicated that data concerning total This rule will not require new forms authority for the diversion of partial industry production on a per acre basis and the number of producers for which production units in an RDP; removing was not available, and the Working additional information may be authority for committees of industry Group decided not to recommend these requested is expected to be small. persons to assist the Committee in changes. According to the Committee staff, only compliance efforts; clarifying that spur- The Working Group also considered about 5–10 percent of producer pruning is not the only acceptable adding guidelines to the RDP applications raise questions for which method of aborting a crop; and making procedures for hardship cases where additional information may be needed. other changes to strengthen compliance producers have been denied During the industry’s last diversion with the RDP. These changes will help participation in an RDP. For example, program in 1996 which provided for improve compliance with the RDP and there have been cases in past seasons only vine removal (as opposed to bring the program in line with current where producers have submitted an allowing spur pruning), 66 producers industry practices. application to participate in an RDP, participated. In 1995’s program, which Regarding the impact of this rule on curtailed production, and then been provided for spur pruning and vine affected entities, the changes are denied a certificate from Committee removal, 778 producers participated. designed to either improve compliance staff because such producers did not The Department plans to monitor with the RDP, or are administrative in satisfy the terms of the RDP (i.e., could producer reporting under this rule nature to bring the RDP in line with not document their previous year’s during the first season an RDP is current industry practices. None of the production). Under the current rules implemented. changes concerning compliance are and regulations, such producers have Using the 778 participation figure and expected to increase the cost of the option of appealing such a decision the 10 percent figure for questionable administering the RDP. Also, because to the Committee and ultimately the applications, a total of 78 producer most of the producer applications over Department. After some deliberation, applicants might need to provide the years have been for full production the Working Group decided not to additional information. The Committee units, rather than for partial production change this appeal process by trying to staff estimated that it will take each of units, discontinuance of partial specify various ‘‘what if’’ scenarios in these participants about 10 minutes to production units as part of the RDP is the rules and regulations. The group compile, package, and submit this not expected to increase appreciably believed it was best to address each information. Thus, the time taken by the costs to producers. Moreover, the such situation on a case-by-case basis. 78 participants as a group will total addition of other methods of diversion, Ultimately, the full Committee about 13 hours, and this time is like chemical application, should have concluded that the changes to the RDP currently approved under OMB No. a positive affect. The changes are previously discussed were appropriate 0581–0178 by the Office of Management intended to ensure equity among all at this time. and Budget (OMB) in accordance with those participating in the RDP and to Regarding any additional reporting or the Paperwork Reduction Act of 1995 maintain the integrity of the program. recordkeeping requirements, this rule (44 U.S.C. Chapter 35). Thus, the changes are expected to be allows Committee staff to request This rule does not impose a reporting equally beneficial to all affected entities additional information from producers burden above that currently approved who are adhering to the requirements of participating in an RDP to verify for small and large raisin producers. As the program, regardless of size. production. However, such information with all Federal marketing order Other alternatives to the RDP will only be requested on a case-by-case programs, reports and forms are procedures were considered by the basis for use as a compliance tool when periodically reviewed to reduce raisin industry prior to the Committee’s the information submitted on a information requirements and recommendation. The Committee has an producer’s application concerning a duplication by industry and public appointed Amendment Subcommittee unit’s production is significantly greater sectors. In addition, the Department has and Working Group which have held than past production on the unit, not identified any relevant Federal rules several public meetings throughout the production on neighboring units, or the that duplicate, overlap, or conflict with year to consider changes to the RDP and industry norm, or when Committee staff this rule. other order provisions. One alternative is unable to verify production based on Further, the Committee’s meeting was considered was to leave the RDP submitted documentation. For instance, widely publicized throughout the raisin procedures unchanged. However, the if a producer had multiple production industry and all interested persons were Committee concluded that the changes units of similar size, and the production invited to attend the meeting and established by this rule were necessary on the unit to be diverted was participate in Committee deliberations. to improve the RDP and better significantly different than the others, Like all Committee meetings, the August accomplish program objectives. The the Committee wants its staff to be 14, 1997, meeting was a public meeting Working Group also considered adding authorized to request additional and all entities, both large and small, to the rules and regulations a scale that information such as that mentioned to were able to express their views on this would correlate production ranges with verify the accuracy of the producer issue. an appropriate production cap for each application. Additional information Also, the Committee has a number of range, to help ensure that participating may be needed in cases where the appointed subcommittees to review producers did not receive credit for an production on a unit to be diverted is certain issues and make inflated amount of tonnage and gain a significantly different from that of recommendations to the Committee. As financial advantage over other neighboring production units. As a third previously mentioned, the Committee’s participants. Another related option example, if information obtained from Amendment Working Group met concerned modifying the rules and weigh tags and other delivery throughout the year at public meetings 60768 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations to discuss various changes to the raisin List of Subjects in 7 CFR Part 989 vines, indicated on the application order, including the recommended Grapes, Marketing agreements, within the production unit designated changes to the RDP. The Working Group Raisins, Reporting and recordkeeping in the application not later than June 1 made its recommendations concerning requirements. of the crop year in which a raisin revisions to the RDP to the Amendment For the reasons set forth in the diversion program is implemented. Subcommittee on August 7, 1997. The preamble, 7 CFR part 989 is amended as Producers who remove the vines on a Amendment Subcommittee in turn follows: production unit after August 15 may made its recommendations to the full qualify for a diversion program for that Committee on August 14, 1997. All of PART 989ÐRAISINS PRODUCED crop year if a diversion program is these meetings were public meetings FROM GRAPES GROWN IN announced and if diversion on that unit and both large and small entities were CALIFORNIA and vine removal after August 15 can be able to participate and express their documented and verified. 1. The authority citation for 7 CFR (3) Failure to divert. Any raisin views. Interested persons are invited to part 989 continues to read as follows: producer who does not take the submit information on the regulatory Authority: 7 U.S.C. 601–674. necessary measures to remove the and informational impacts of this action grapes on an approved production unit on small businesses. 2. In § 989.156, paragraph (s)(3) is removed, and the first sentence of by June 1, or any raisin producer who As stated earlier and in accordance paragraph (d), and paragraphs (g),(h), (i), has indicated the removal of vines or with the Paperwork Reduction Act of (o), and (s)(1) are revised to read as the intent to remove the vines and who 1995 (44 U.S.C. Chapter 35), the follows: does not remove such vines on an information collection requirements that approved production unit by June 1, are contained in this rule have been § 989.156 Raisin diversion program. shall not be issued a diversion previously approved by the Office of * * * * * certificate, may be subject to liquidated Management and Budget (OMB) and (d) Priority of applications and damages and interest charges as have been assigned OMB No. 0581– allocations of tonnage. Those producer provided in paragraph (q) of this 0178. applications indicating that the vines of section, may be subject to an injunctive action under the Act, and may be After consideration of all relevant the producing units will be removed denied the opportunity to participate in material presented, including the shall receive first priority over other the next diversion program, when Committee’s recommendation, and applicants when reserve tonnage under implemented: Provided, That any other information, it is found that this the program is to be allocated. * ** producer who has more than one interim final rule, as hereinafter set * * * * * (g) Verification. Any applicant whose production unit and fails to divert on an forth, will tend to effectuate the approved production unit may be declared policy of the Act. application has been approved, authorizes Committee representatives denied the opportunity to participate on This rule also invites comments on and agents to have access to the all of that producer’s production units, modifications to the diversion program production unit in the diversion in the next diversion program. For spur- authorized under the California raisin program during reasonable business pruned vines, this date may be extended order. Any comments received will be hours during the crop year to confirm 2 weeks from the date of the inspection considered prior to finalization of this compliance with the program. Notice of a producer’s vineyard if more than rule. will be provided to the applicant of four bunches on spur-pruned vines are Pursuant to 5 U.S.C. 553, it is also such visits. present at the time of inspection. (i) Issuance of certificates. When found and determined upon good cause (h) Compliance. (1) Methods of preliminary percentages are announced, that it is impracticable, unnecessary, diversion. An approved applicant shall the Committee shall issue diversion and contrary to the public interest to be required to remove the vines, spur- certificates to those approved applicants give preliminary notice prior to putting prune the vines, remove the bunches or take other means to preclude grapes who have removed grapes in accordance this rule into effect and that good cause with this section. Such certificates shall exists for not postponing the effective from being produced and harvested on the production unit: Provided, That vine represent an amount of reserve tonnage date of this rule until 30 days after raisins equal to the amount of raisins publication in the Federal Register removal may be the only means of diversion in some seasons as diverted from the production unit(s) because: (1) The Committee determined and announced by the specified in the producer application, or unanimously recommended these Committee. Bunches which occur on additional quantity granted by the changes at a public meeting and vines in an approved production unit Committee when vines are diverted interested parties had an opportunity to shall be removed and destroyed by the through vine removal or any other provide input; (2) the order specifies applicant before maturity. If the means established by the Committee, as that the Committee must meet by Committee representatives or agents the case may be. If, prior to issuance of November 30 of each crop year to determine that there is an average of a certificate, the Committee is notified review pertinent data and decide more than four bunches per vine by an approved applicant that such whether a diversion program should be remaining on an approved production applicant’s interest in the production implemented; the Committee plans to unit, the producer shall be notified unit(s) involved in the program has been meet on November 13 to review this immediately by certified mail, in transferred to another person, the issue and this rule should be in place writing, and given 2 weeks to remove Committee may substitute the transferee prior to implementation of any such bunches. Grafting vines of one for the applicant provided the transferee diversion program; and (3) this rule varietal type to another varietal type agrees to comply with the provisions of provides a 60-day comment period and does not constitute removal of vines this section. any comments received will be under the program. * * * * * considered prior to finalization of this (2) Period of diversion. An approved (o) Production unit. For the purposes rule. applicant must remove the grapes, or of the raisin diversion program, a Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations 60769 production unit is a clearly defined Dated: November 7, 1997. SUPPLEMENTARY INFORMATION: geographic area with permanent Robert C. Keeney, Background boundaries (either natural or man- Deputy Administrator, Fruit and Vegetable made). A producer must be able to Programs. The Immigration and Nationality Act document to the Committee the [FR Doc. 97–29971 Filed 11–12–97; 8:45 am] (the Act) allows a citizen or lawful permanent resident (LPR) of the United previous year’s production data for that BILLING CODE 3410±02±P specific area by means of sales receipts States to seek immigrant status for or other delivery or transfer documents certain alien relatives from the Service. which indicate the creditable fruit In order to receive this benefit, a visa weight delivered to handlers from that DEPARTMENT OF JUSTICE petition must be filed on behalf of the alien relative and approved by the specific area. If the information Immigration and Naturalization Service submitted by producers on the Service. The alien must then qualify for immigrant visa issuance abroad or application concerning a unit’s 8 CFR Part 204 production is significantly greater than adjustment of status in the United States. past production on the unit, production [INS No. 1845±97] Historically, the initiation of the visa on neighboring units, or the industry petition process was solely at the RIN 1115±AE77 norm, or the production is unable to be discretion of the U.S. citizen or LPR verified based on submitted Prima Facie Review of Form I±360 relative. For that reason, the citizen or documentation, the Committee may LPR effectively controlled the ability of request additional documentation such When Filed by Self-Petitioning Battered Spouse/Child an alien spouse or child to regularize his as tray count, payroll records, prior or her immigration status. Congress, in years’ production, and insurance AGENCY: Immigration and Naturalization the Violent Crime Control and Law records to substantiate the tonnage of Service, Justice. Enforcement Act of 1994 (the Crime raisins produced on all production units ACTION: Interm rule with request for Bill), Public Law 103–322, dated that such applicant controls or owns. comments. September 13, 1994, recognized the Producers’ would not be precluded from potential for misuse of this discretion submitting other information SUMMARY: This interim rule amends the within households where domestic substantiating production if those Immigration and Naturalization Service violence occurs. Title IV of the Crime producers’ desired. A new production (Service) regulations to enable the Bill, the Violence Against Women Act unit will not be eligible for the raisin Service to review Form I–360, Petition (VAWA), contains provisions which diversion program until at least 1 year’s for Amerasian, Widow(er) or Special enable these battered spouses and production has been grown and is Immigrant, filed by a battered spouse or children to self-petition for immigrant documented. An existing production child, to determine whether a prima classification, thus limiting the ability of unit, transferred to a new or expanding facie case has been established. Recent an abusive citizen or LPR to use the producer, is eligible for the raisin legislation broadened the definition of immigration laws to perpetuate further diversion program as soon as the aliens who qualify for public assistance violence against a spouse or child previous year’s production can be to include battered aliens, and residing in the United States. properly documented. specifically those aliens whose self- Interim Rule * * * * * petitions have been approved and those who file a self-petition which On March 26, 1996, the Service (s) Additional opportunity for vine establishes a prima facie case for published an interim rule at 61 FR removal. (1) The Committee may immigrant classification under the 13061, establishing the eligibility announce a date later than that provided Violence Against Women Act. requirements for battered spouses and in § 989.156(b), by which producers, children using the self-petitioning who agree to remove the vines on a DATES: Effective Date: This interim rule process. The Service received numerous production unit may file an application is effective November 13, 1997. comments which are under to participate in a raisin diversion Comment Date: Written comments must consideration as the final rule is program. The announced date shall be be submitted on or before January 12, prepared for publication. This rule does not later than May 1. The diversion 1998. not in any way alter the eligibility or certificates will be issued only for the ADDRESSES: Please submit written evidentiary requirements set forth in production units from which vines are comments, in triplicate, to the Director, that interim rule. removed. The total tonnage available to Policy Directives and Instructions such applicants shall not exceed the Branch, Immigration and Naturalization Impact of New Legislation tonnage determined by deducting the Service, 425 I Street NW., Room 5307, Since the Service published its tonnage approved for applications Washington, DC 20536, Attn: Public interim rule, Congress has enacted new received on or before December 20 from Comment Clerk. To ensure proper legislation that affects the ability of most the total tonnage announced as eligible handling, please reference the INS aliens to receive public assistance. In by the Committee for diversion. number 1845–97 on your the Personal Responsibility and Work Applications shall be considered and correspondence. Comments are Opportunity Reconciliation Act of 1996 approved on a first-come, first-served, available for public inspection at this (PRWORA), Congress mandated that basis and shall not be given preference location by calling (202) 514–3291 to only ‘‘qualified aliens,’’ as defined by over the tonnage approved for arrange an appointment. statute, were eligible for public applications received on or before FOR FURTHER INFORMATION CONTACT: assistance. Section 501 of the Illegal December 20. The vines shall be Karen FitzGerald, Staff Officer, Immigration Reform and Immigrant removed from the production units for Residence and Status Branch, Responsibility Act of 1996 (IIRIRA), which such applications are approved Immigration and Naturalization Service, amended the definition of ‘‘qualified not later than June 1. 425 I Street, Room 3214, Washington, alien’’ to include battered aliens, * * * * * DC 20536, telephone (202) 514–5014. including certain aliens who file or have 60770 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations approved self-petitions. This ‘‘qualified regulations at § 204.2 (c)(1) and (e)(1). (or any other credible evidence) which alien’’ status is afforded not only to Accordingly, self-petitioners should come to the attention of the Service after aliens with approved self-petitions, but submit Form I–360 and credible a favorable prima facie determination also to those who file a self-petition relevant evidence in support of the has been made. Self-petitioners should which establishes a prima facie case for petition addressing each of the statutory be aware that such situations may result immigrant classification. elements as detailed in the instructions in the denial of the I–360 petition, even accompanying Form I–360: (1) existence if a favorable prima facie determination Purpose of Establishing a Prima Facie of the qualifying relationship; (2) the was initially made. Conversely, the Case citizenship or immigration status of the Service’s decision not to issue the At the present time, the Service abuser; (3) the self-petitioner’s eligibility Notice of Prima Facie Case is not fatal adjudicates the Form I–360, Petition for for immigrant classification; (4) to the underlying petition. Amerasian, Widow(er) or Special residence in the United States; (5) The prima facie evaluation will Immigrant, and issues a notice of evidence that, during the qualifying consist of an initial review of the Form approval to those self-petitioning relationship, the petitioner and abuser I–360 and the supporting spouses and children who demonstrate resided together in the United for some documentation. Applicants who set eligibility. Upon approval of the self- unspecified period of time; (6) battery or forth a prima facie case will receive a petition, the applicant is a ‘‘qualified extreme cruelty; (7) good moral Notice of Prima Facie Case to document alien’’ for purposes of the PRWORA. character; (8) extreme hardship; and (9) their ‘‘qualified alien’’ status for public Often, however, the initial submission in the case of a self-petitioning spouse, benefits. The Notice is valid until the does not comply with all of evidentiary good faith marriage. The elements and Service has adjudicated the petition. At burdens required for the Service to evidentiary requirements are set forth in present, the Service intends to issue the adjudicate the self-petition. In such 8 CFR § 204.2 (c)(1) and (e)(1). Notice with a validity period of 150 cases, pursuant to Service regulations, If the Service determines that a days, which exceeds the time required self-petitioners are generally sent a petitioner has demonstrated prima facie for adjudication in the majority of these request for evidence which sets forth the eligibility, a Notice of Prima Facie Case cases. In those few cases when the deficiencies of the application and will be issued. The Notice is neither a Service is unable to complete the allows the applicant 60 days in which benefit nor immigration status in its adjudication within the 150-day period, to submit supplemental documentation. own right, and an applicant cannot the applicant will be able to request an The applicant may be granted an apply solely for a Notice of Prima Facie extension pursuant to the instructions additional 60 days at the discretion of Case. The decision to issue such a on the Notice. Because the Notice is the Service pursuant to current notice rests solely with the Service. intended solely for the purpose of regulations at 8 CFR 204.1(h). Applicants are encouraged to submit enabling petitioners to apply for public However, because battered aliens can full documentation at the earliest benefits within the United States, the be ‘‘qualified aliens’’ without approval possible time. However, bona fide Service will only issue the Notice to of the petition, the Service must also candidates for self-petitioning should petitioners residing in the United States. evaluate the petition and the evidence not postpone filing the petition because Filing and Initial Processing submitted in support of the petition to they are unable to immediately comply determine if the alien has established a with all of the regulatory requirements. Because the prima facie determination prima facie case. Although the statute As an example, an applicant who has is not a separate benefit granted by the affords benefits to those who establish been unable to obtain police reports Service, the procedures that an prima facie eligibility, neither the from each place of residence during the applicant must follow are those set forth statute nor the legislative history past 3 years could submit other in the interim rule. The only procedural adequately details the requirements for supporting documentation which change concerns the filing of the Form establishing this eligibility. addresses the good moral character I–360. As a result of the Direct Mail Conventional dictionary definitions are element of the adjudication. For the Notice published at 62 FR 16607 on of little assistance in this regard. purpose of making a prima facie April 7, 1997, all I–360 petitions filed Without standards, determinations determination, an affidavit from the by a self-petitioning spouse, child, or could be made inconsistently and with applicant stating he or she has never parent on behalf of a battered child, varying constancy to Congressional been arrested and is a person of good must be mailed directly to the Vermont intent, which would be detrimental to moral character may be considered Service Center, 75 Lower Weldon Street, the purpose of the statute and to the acceptable for purposes of establishing a St. Albans, VT 05479. Self-petitioners individual petitioner trying to meet it. prima facie case. However, on its own, will be provided with documentation This interim rule explains the standards this affidavit is not sufficient to meet the indicating the Service has received the to be utilized by the Service in evidentiary burden of § 204.2 (c)(2)(v) self-petition (Notice of Receipt). After determining whether the petitioner has and (e)(2)(v). Before final adjudication, reviewing the petition, the Service will established a prima facie case. the applicant must still submit police mail applicants notification of the status reports or, if they are unavailable, some of the petition. Regardless of whether a Requirements for Demonstrating a other type of documentation as required Notice of Prima Facie Case is issued, Prima Facie Case by those provisions. applicants who receive notice of an The prima facie determination will be The Service’s decision to issue or not adverse preliminary finding will have made only after a self-petition has been to issue a Notice will not be a factor in the opportunity to respond with filed with the Service, and the decision the adjudication of the underlying additional evidence or arguments. The to issue that Notice of Prima Facie Case petition, nor will it constitute a binding self-petitioner will be advised by the (Notice) rests solely with the Service. In determination of the credibility of the Service as to the additional evidence or evaluating whether a self-petitioner has evidence submitted. Prima facie documentation needed to support the established a prima facie case, the evidence will not always fully or petition, and will be provided the Service must have evidence of each of completely satisfy the evidentiary opportunity to submit this additional the required elements of the self- burdens, and may be contradicted by evidence until the Service makes a final petition as detailed in Service evidence, documentation, or affidavits decision. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations 60771

Good Cause Exception private sector, of $100 million or more submits a completed Form I–360 and The Service’s implementation of this in any one year, and it will not other evidence supporting all of the rule as an interim rule, with provisions significantly or uniquely affect small elements required of a self-petitioner in for post-promulgation public comments, governments. Therefore, no actions were paragraph (c)(1) of this section. A is based upon the ‘‘good cause’’ deemed necessary under the provisions finding of prima facie eligibility does exceptions found at 5 U.S.C. 553(b)(B) of the Unfunded Mandates Reform Act not relieve the petitioner of the burden and (d). It is in the public interest to of 1995. of providing additional evidence in support of the petition and does not provide prima facie determinations, Small Business Regulatory Enforcement establish eligibility for the underlying which will enable qualifying spouses Act of 1996 and children to apply for public petition. assistance benefits. These resources and This rule is not a major rule as (iii) If the Service determines that a services may be critical to some defined by section 804 of the Small petitioner has made a ‘‘prima facie applicants as they seek safety and Business Regulatory Enforcement Act of case,’’ the Service shall issue a Notice of independence from the abuser. 1996. This rule will not result in an Prima Facie Case to the petitioner. Such annual effect on the economy of $100 Notice shall be valid until the Service Regulatory Flexibility Act million or more; a major increase in either grants or denies the petition. The Commissioner of the Immigration costs or prices; or significant adverse (iv) For purposes of adjudicating the and Naturalization Service, in effects on competition, employment, petition submitted under paragraph accordance with the Regulatory investment, productivity, innovation, or (c)(1) of this section, a prima facie Flexibility Act (5 U.S.C. 605(b)), has on the ability of United States-based determination— reviewed this regulation and, by companies to compete with foreign- (A) Shall not be considered evidence approving it, certifies that this rule will based companies in domestic and in support of the petition; not have a significant economic impact export markets. (B) Shall not be construed to make a on a substantial number of small entities Paperwork Reduction Act determination of the credibility or because of the following factors: This probative value of any evidence rule addresses the grant of immigration This interim rule does not impose any submitted along with that petition; and, benefits to certain individuals based on new reporting or recordkeeping (C) Shall not relieve the self-petitioner a family relationship to an abusive requirements. The information of his or her burden of complying with citizen or lawful permanent resident of collection requirements contained in all of the evidentiary requirements of the United States. This rule affects this rule have been previously approved paragraph (c)(2) of this section. individuals, not small entities, and the by the Office of Management and * * * * * economic impact is not significant. Budget under the provisions of the (e) * * * Paperwork Reduction Act. The Executive Order 12866 (6) prima facie determination—(i) clearance number for this collection is Upon receipt of a self-petition under This rule is considered by the contained in 8 CFR 299.5, Display of paragraph (e)(1) of this section, the Department of Justice, Immigration and control numbers. Service shall make a determination as to Naturalization Service, to be a List of Subjects in 8 CFR Part 204 whether the petition and the supporting ‘‘significant regulatory action’’ under Administrative practice and documentation establish a ‘‘prima facie Executive Order 12866, section 3(f), case’’ for purposes of 8 U.S.C. 1641, as Regulatory Planning and Review. procedure, Aliens, Employment, Immigration, Petitions. amended by section 501 of Public Law Accordingly, this regulation has been 104–208. submitted to and approved by the Office PART 204±IMMIGRANT PETITIONS (ii) For purposes of paragraph (e)(6)(i) of Management and Budget. of this section, a prima facie case is Executive Order 12612 1. The authority citation for part 204 established only if the petitioner is revised to read as follows: The regulations adopted herein will submits a completed Form I–360 and not have substantial direct effects on the Authority: 8 U.S.C. 1101, 1103, 1151, 1153, other evidence supporting all of the States, on the relationship between the 1154, 1182, 1186a, 1255; 1641; 8 CFR part 2. elements required of a self-petitioner in National Government and the States, or 2. Section 204.2 is amended by paragraph (e)(1) of this section. A on the distribution of power and adding new paragraphs (c)(6) and (e)(6), finding of prima facie eligibility does responsibilities among the various to read as follows: not relieve the petitioner of the burden levels of government. Therefore, in of providing additional evidence in accordance with Executive Order 12612, § 204.2 Petitions for relatives, widows, and support of the petition and does not widowers, and abused spouses and establish eligibility for the underlying it is determined that this rule does not children. have sufficient federalism implications petition. to warrant the preparation of a * * * * * (iii) If the Service determines that a Federalism Assessment. (c) * * * petitioner has made a ‘‘prima facie case’’ (6) Prima facie determination—(i) the Service shall issue a Notice of Prima Executive Order 12988 Civil Justice Upon receipt of a self-petition under Facie Case to the petitioner. Such Notice Reform paragraph (c)(1) of this section, the shall be valid until the Service either This interim rule meets the applicable Service shall make a determination as to grants or denies the petition. standards set forth in sections 3(a) and whether the petition and the supporting (iv) For purposes of adjudicating the 3(b)(2) of E.O. 12988. documentation establish a ‘‘prima facie petition submitted under paragraph case’’ for purposes of 8 U.S.C. 1641, as (e)(1) of this section, a prima facie Unfunded Mandates Reform Act of amended by section 501 of Public Law determination: 1995 104–208. (A) Shall not be considered evidence This rule will not result in the (ii) For purposes of paragraph (c)(6)(i) in support of the petition; expenditure by State, local and tribal of this section, a prima facie case is (B) Shall not be construed to make a governments, in the aggregate, or by the established only if the petitioner determination of the credibility or 60772 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations probative value of any evidence Administration (FAA), Central Region, The FAA’s Determination submitted along with that petition; and, Office of the Regional Counsel, This airplane model is manufactured (C) Shall not relieve the self-petitioner Attention: Rules Docket 97–CE–89–AD, in France and is type certificated for of his or her burden of complying with Room 1558, 601 E. 12th Street, Kansas operation in the United States under the all of the evidentiary requirements of City, Missouri 64106. provisions of section 21.29 of the paragraph (e)(2) of this section. Service information that applies to Federal Aviation Regulations (14 CFR * * * * * this AD may be obtained from Avions 21.29) and the applicable bilateral Dated: July 21, 1997. Pierre Robin, 1, route de Troyes, 21121 airworthiness agreement. Pursuant to Doris Meissner, Darois-France; telephone: 03 80 44 20 this bilateral airworthiness agreement, Commissioner, Immigration and 50; facsimile: 03 80 35 60 80. This the DGAC has kept the FAA informed Naturalization Service. information may also be examined at of the situation described above. [FR Doc. 97–29770 Filed 11–12–97; 8:45 am] the Federal Aviation Administration The FAA has examined the findings (FAA), Central Region, Office of the BILLING CODE 4410±10±M of the DGAC; reviewed all available Regional Counsel, Attention: Rules information, including the service Docket No. 97–CE–89–AD, Room 1558, information referenced above; and DEPARTMENT OF TRANSPORTATION 601 E. 12th Street, Kansas City, Missouri determined that AD action is necessary 64106; or at the Office of the Federal for products of this type design that are Federal Aviation Administration Register, 800 North Capitol Street, NW., certificated for operation in the United suite 700, Washington, DC. States. 14 CFR Part 39 FOR FURTHER INFORMATION CONTACT: Mr. Karl M. Schletzbaum, Aerospace Explanation of the Provisions of This [Docket No. 97±CE±89±AD; Amendment 39± AD 10196; AD 97±23±08] Engineer, Small Airplane Directorate, Airplane Certification Service, FAA, Since an unsafe condition has been RIN 2120±AA64 1201 Walnut, suite 900, Kansas City, identified that is likely to exist or Missouri 64106; telephone (816) 426– Airworthiness Directives; Avions develop on other Pierre Robin Model 6932; facsimile (816) 426–2169. Pierre Robin Model R3000 Airplanes R3000 airplanes of the same type design SUPPLEMENTARY INFORMATION: registered in the United States that are AGENCY: Federal Aviation equipped with yaw damper Administration, DOT. Events Leading to Issuance of This AD Modification No. 013, the FAA is ACTION: Final rule; request for The Direction Ge´ne´rale de l’Aviation issuing an AD. This AD requires comments. Civile (DGAC), which is the inspecting the bridle cable ends for airworthiness authority for France, correct installation in the grooved SUMMARY: This amendment adopts a recently notified the FAA that an unsafe screw, inspecting for correct cable new airworthiness directive (AD) that condition may exist on Avion Pierre winding on the capstan and correct applies to all Avions Pierre Robin Robin Model R3000 airplanes that are cable tension, correcting any Model R3000 airplanes that are equipped with yaw damper discrepancies found, and installing equipped with yaw damper Modification No. 013. The DGAC lockwire to the tension adjustment Modification No. 013. This AD requires reports an incident where the yaw screw. Accomplishment of the actions inspecting the bridle cable ends for damper jammed due to the cable of this AD would be in accordance with correct installation in the grooved slipping out of the tension adjustment the previously referenced service screw, inspecting for correct cable screw during operation. This condition, bulletin. winding on the capstan and correct if not corrected in a timely manner, Comments Invited cable tension, and correcting any could result in the rudder control discrepancies found. This AD also becoming jammed with possible Although this action is in the form of requires installing lockwire to the reduction in the directional a final rule and was not preceded by tension adjustment screw. This AD is controllability of the airplane. notice and opportunity for public the result of mandatory continuing comment, comments are invited on this airworthiness information (MCAI) Relevant Service Information rule. Interested persons are invited to issued by the airworthiness authority for Avions Pierre Robin has issued comment on this rule by submitting France. The actions specified in this AD Service Bulletin No. 152, dated such written data, views, or arguments are intended to prevent the rudder September 30, 1996, which specifies the as they may desire. Communications control from becoming jammed because following: shall identify the Rules Docket number of the yaw damper control cables —inspecting the bridle cable ends for and be submitted in triplicate to the slipping out of the groove on the tension correct installation in the grooved address specified under the caption adjustment screw, which could result in screw; ADDRESSES. All communications a reduction in the directional —inspecting for correct cable winding received on or before the closing date controllability of the airplane. on the capstan and correct cable for comments will be considered, and DATES: Effective December 5, 1997. tension; this rule may be amended in light of the The incorporation by reference of —correcting any discrepancies found; comments received. Factual information certain publications listed in the and that supports the commenter’s ideas and regulations is approved by the Director —installing lockwire to the tension suggestions is extremely helpful in of the Federal Register as of December adjustment screw. evaluating the effectiveness of the AD 5, 1997. The DGAC classified this service action and determining whether Comments for inclusion in the Rules bulletin as mandatory and issued additional rulemaking action would be Docket must be received on or before French AD 97–079(A), dated March 12, needed. December 8, 1997. 1997, in order to assure the continued Comments are specifically invited on ADDRESSES: Submit comments in airworthiness of these airplanes in the overall regulatory, economic, triplicate to the Federal Aviation France. environmental, and energy aspects of Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations 60773 the rule that might suggest a need to § 39.13 [Amended] Bulletin No. 152, dated September 30, 1996. modify the rule. All comments 2. Section 39.13 is amended by This incorporation by reference was submitted will be available, both before adding a new airworthiness directive approved by the Director of the Federal and after the closing date for comments, (AD) to read as follows: Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be obtained in the Rules Docket for examination by 97–23–08 Avions Pierre Robin: from Avions Pierre Robin, 1, route de Troyes, interested persons. A report that Amendment 39–10196; Docket No. 97– 21121 Darois-France. Copies may be summarizes each FAA-public contact CE–89–AD. inspected at the FAA, Central Region, Office concerned with the substance of this AD Applicability: Model R3000 airplanes; all of the Regional Counsel, Room 1558, 601 E. will be filed in the Rules Docket. serial numbers; certificated in any category, 12th Street, Kansas City, Missouri, or at the Commenters wishing the FAA to that are equipped with yaw damper Office of the Federal Register, 800 North acknowledge receipt of their comments Modification No. 013. Capitol Street, NW., suite 700, Washington, submitted in response to this rule must Note 1: This AD applies to each airplane DC. submit a self-addressed, stamped identified in the preceding applicability Note 3: The subject of this AD is addressed postcard on which the following provision, regardless of whether it has been in French AD 97–079(A), dated March 12, statement is made: ‘‘Comments to modified, altered, or repaired in the area 1997. Docket No. 97–CE–89–AD.’’ The subject to the requirements of this AD. For (f) This amendment (39–10196) becomes airplanes that have been modified, altered, or effective on December 5, 1997. postcard will be date stamped and repaired so that the performance of the Issued in Kansas City, Missouri, on returned to the commenter. requirements of this AD is affected, the October 31, 1997. Regulatory Impact owner/operator must request approval for an alternative method of compliance in James E. Jackson, The regulations adopted herein will accordance with paragraph (d) of this AD. Acting Manager, Small Airplane Directorate, not have substantial direct effects on the The request should include an assessment of Aircraft Certification Service. States, on the relationship between the the effect of the modification, alteration, or [FR Doc. 97–29535 Filed 11–12–97; 8:45 am] repair on the unsafe condition addressed by national government and the States, or BILLING CODE 4910±13±U on the distribution of power and this AD; and, if the unsafe condition has not been eliminated, the request should include responsibilities among the various specific proposed actions to address it. levels of government. Therefore, in DEPARTMENT OF TRANSPORTATION Compliance: Required prior to further accordance with Executive Order 12612, flight after the effective date of this AD, Federal Aviation Administration it is determined that this final rule does unless already accomplished. not have sufficient federalism To prevent the rudder control from 14 CFR Part 39 implications to warrant the preparation becoming jammed because of the yaw of a Federalism Assessment. damper control cables slipping out of the [Docket No. 97±NM±275±AD; Amendment For the reasons discussed above, I groove on the tension adjustment screw, 39±10202; AD 97±21±16] certify that this action (1) is not a which could result in a reduction in the ‘‘significant regulatory action’’ under directional controllability of the airplane, RIN 2120±AA64 Executive Order 12866; (2) is not a accomplish the following: (a) Inspect the bridle cable ends for correct ‘‘significant rule’’ under DOT Airworthiness Directives; Dassault installation in the grooved screw and inspect Model Mystere-Falcon 50 Series Regulatory Policies and Procedures (44 for correct cable winding on the capstan and FR 11034, February 26, 1979); and (3) correct cable tension in accordance with Airplanes will not have a significant economic Avions Pierre Robin Service Bulletin No. AGENCY: Federal Aviation impact, positive or negative, on a 152, dated September 30, 1996. Prior to Administration, DOT. substantial number of small entities further flight, correct any discrepancies in under the criteria of the Regulatory accordance with this service bulletin. ACTION: Final rule; request for Flexibility Act. A final evaluation has (b) Install lockwire to the tension comments. been prepared for this action and it is adjustment screw in accordance with Avions Pierre Robin Service Bulletin No. 152, dated SUMMARY: This document publishes in contained in the Rules Docket. A copy September 30, 1996. the Federal Register an amendment of it may be obtained from the Rules (c) Special flight permits may be issued in adopting airworthiness directive (AD) Docket at the location provided under accordance with sections 21.197 and 21.199 97–21–16 that was sent previously to all the caption ADDRESSES. of the Federal Aviation Regulations (14 CFR known U.S. owners and operators of 21.197 and 21.199) to operate the airplane to Dassault Model Mystere-Falcon series List of Subjects in 14 CFR Part 39 a location where the requirements of this AD airplanes by individual notices. This AD Air transportation, Aircraft, Aviation can be accomplished. requires a revision to the Limitations safety, Incorporation by Reference, (d) An alternative method of compliance or section of the FAA-approved Airplane Safety. adjustment of the compliance time that provides an equivalent level of safety may be Flight Manual (AFM) to include Adoption of the Amendment approved by the Manager, Small Airplane procedures to use certain values to Accordingly, pursuant to the Directorate, FAA, 1201 Walnut, suite 900, correctly gauge the minimum allowable Kansas City, Missouri 64106. The request N1 speed of the operative engines authority delegated to me by the should be forwarded through an appropriate Administrator, the Federal Aviation during operation in icing conditions. FAA Maintenance Inspector, who may add This action is prompted by a report Administration amends part 39 of the comments and then send it to the Manager, Federal Aviation Regulations (14 CFR Small Airplane Directorate. indicating that erroneous minimum anti-icing N1 thrust setting indications part 39) as follows: Note 2: Information concerning the existence of approved alternative methods of were displayed on the Engine Indication PART 39ÐAIRWORTHINESS compliance with this AD, if any, may be Electronic Display (EIED). The actions DIRECTIVES obtained from the Small Airplane specified by this AD are intended to Directorate. prevent flightcrew use of erroneous N1 1. The authority citation for part 39 (e) The inspections and installation thrust setting information displayed on continues to read as follows: required by this AD shall be done in the EIED, which could result in in-flight Authority: 49 U.S.C. 106(g), 40113, 44701. accordance with Avions Pierre Robin Service shutdown of engine(s). 60774 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations

DATES: Effective November 18, 1997, to registered in the United States, the FAA and after the closing date for comments, all persons except those persons to issued emergency AD 97–21–16 to in the Rules Docket for examination by whom it was made immediately prevent flightcrew use of erroneous N1 interested persons. A report that effective by emergency AD 97–21–16, thrust setting information displayed on summarizes each FAA-public contact issued October 14, 1997, which the EIED, which could result in in-flight concerned with the substance of this AD contained the requirements of this shutdown of engine(s). The AD requires will be filed in the Rules Docket. amendment. revision of the Limitations Section of Commenters wishing the FAA to Comments for inclusion in the Rules the AFM to include procedures to use acknowledge receipt of their comments Docket must be received on or before values indicated in Normal Section 4, submitted in response to this rule must December 15, 1997. Sub-section 140, Page 2, of the AFM to submit a self-addressed, stamped ADDRESSES: Submit comments in correctly gauge the minimum allowable postcard on which the following triplicate to the Federal Aviation N1 speed of the operative engines statement is made: ‘‘Comments to Administration (FAA), Transport during operation in icing conditions. Docket Number 97–NM–275–AD.’’ The Airplane Directorate, ANM–103, Interim Action postcard will be date stamped and Attention: Rules Docket No. 97–NM– returned to the commenter. 275–AD, 1601 Lind Avenue, SW., This AD is considered to be interim Regulatory Impact Renton, Washington 98055–4056. action until final action is identified, at which time the FAA may consider FOR FURTHER INFORMATION CONTACT: The regulations adopted herein will additional rulemaking. International Branch, ANM–116, FAA, not have substantial direct effects on the Transport Airplane Directorate, 1601 Publication and Effectivity of AD States, on the relationship between the Lind Avenue, SW., Renton, Washington Since it was found that immediate national government and the States, or 98055–4056; telephone (425) 227–2110; corrective action was required, notice on the distribution of power and fax (425) 227–1149. and opportunity for prior public responsibilities among the various SUPPLEMENTARY INFORMATION: On comment thereon were impracticable levels of government. Therefore, in October 14, 1997, the FAA issued and contrary to the public interest, and accordance with Executive Order 12612, emergency AD 97–21–16, which is good cause existed to make the AD it is determined that this final rule does applicable to Dassault Model Mystere- effective immediately by individual not have sufficient federalism Falcon 50 series airplanes. That action notices issued on October 14, 1997, to implications to warrant the preparation was prompted by a report indicating all known U.S. owners and operators of of a Federalism Assessment. that erroneous minimum anti-icing N1 Dassault Model Mystere-Falcon series The FAA has determined that this thrust setting indications were airplanes. These conditions still exist, regulation is an emergency regulation displayed on the Engine Indication and the AD is hereby published in the that must be issued immediately to Electronic Display (EIED). The Federal Register as an amendment to correct an unsafe condition in aircraft, erroneous minimum N1 indications do section 39.13 of the Federal Aviation and that it is not a ‘‘significant not correspond with minimums Regulations (14 CFR 39.13) to make it regulatory action’’ under Executive specified in the Normal Procedures effective as to all persons. Order 12866. It has been determined Section of the FAA-approved Airplane further that this action involves an Flight Manual (AFM) for operations in Comments Invited emergency regulation under DOT icing conditions. This condition, if not Although this action is in the form of Regulatory Policies and Procedures (44 corrected, could result in flightcrew use a final rule that involves requirements FR 11034, February 26, 1979). If it is of erroneous N1 thrust setting affecting flight safety and, thus, was not determined that this emergency information displayed on the EIED and preceded by notice and an opportunity regulation otherwise would be consequent in-flight shutdown of for public comment, comments are significant under DOT Regulatory engine(s). invited on this rule. Interested persons Policies and Procedures, a final are invited to comment on this rule by regulatory evaluation will be prepared FAA’s Conclusions submitting such written data, views, or and placed in the Rules Docket. A copy This airplane model is manufactured arguments as they may desire. of it, if filed, may be obtained from the in France and is type certificated for Communications shall identify the Rules Docket at the location provided operation in the United States under the Rules Docket number and be submitted under the caption ADDRESSES. provisions of section 21.29 of the in triplicate to the address specified List of Subjects in 14 CFR Part 39 Federal Aviation Regulations (14 CFR under the caption ADDRESSES. All 21.29) and the applicable bilateral communications received on or before Air transportation, Aircraft, Aviation airworthiness agreement. Pursuant to the closing date for comments will be safety, Safety. this bilateral airworthiness agreement, considered, and this rule may be Adoption of the Amendment the DGAC has kept the FAA informed amended in light of the comments of the situation described above. The received. Factual information that Accordingly, pursuant to the FAA has examined the findings of the supports the commenter’s ideas and authority delegated to me by the DGAC, reviewed all available suggestions is extremely helpful in Administrator, the Federal Aviation information, and determined that AD evaluating the effectiveness of the AD Administration amends part 39 of the action is necessary for products of this action and determining whether Federal Aviation Regulations (14 CFR type design that are certificated for additional rulemaking action would be part 39) as follows: operation in the United States. needed. Comments are specifically invited on PART 39ÐAIRWORTHINESS Explanation of the Requirements of the the overall regulatory, economic, DIRECTIVES Rule environmental, and energy aspects of Since the unsafe condition described the rule that might suggest a need to 1. The authority citation for part 39 is likely to exist or develop on other modify the rule. All comments continues to read as follows: airplanes of the same type design submitted will be available, both before Authority: 49 U.S.C. 106(g), 40113, 44701. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations 60775

§ 39.13 [Amended] immediately effective by emergency AD 97– Third Floor, Valley Stream, New York 2. Section 39.13 is amended by 21–16, issued October 14, 1997, which 11581; telephone (516) 256–7514; fax adding the following new airworthiness contained the requirements of this (516) 568–2716. amendment. directive: SUPPLEMENTARY INFORMATION: A Issued in Renton, Washington, on proposal to amend part 39 of the Federal 97–21–16 Dassault Aviation: Amendment November 5, 1997. 39–10202. Docket 97–NM–275–AD. Aviation Regulations (14 CFR part 39) to Darrell M. Pederson, Applicability: Model Mystere-Falcon 50 include an airworthiness directive (AD) series airplanes, serial numbers 251, 253, and Acting Manager, Transport Airplane that is applicable to all Fairchild Model subsequent, equipped with Allied-Signal Directorate, Aircraft Certification Service. F–27 series airplanes was published in TFE–731–40 engines; certificated in any [FR Doc. 97–29789 Filed 11–12–97; 8:45 am] the Federal Register on April 24, 1997 category. BILLING CODE 4910±13±P (62 FR 19948). That action proposed to Note 1: This AD applies to each airplane require revising the Limitations Section identified in the preceding applicability of the Airplane Flight Manual (AFM) to provision, regardless of whether it has been DEPARTMENT OF TRANSPORTATION prohibit positioning the power levers modified, altered, or repaired in the area below the flight idle stop while the subject to the requirements of this AD. For Federal Aviation Administration airplanes that have been modified, altered, or airplane is in flight, and to provide a repaired so that the performance of the 14 CFR Part 39 statement of the consequences of requirements of this AD is affected, the positioning the power levers below the owner/operator must request approval for an [Docket No. 97±NM±35±AD; Amendment flight idle stop while the airplane is in alternative method of compliance in 39±10204; AD 97±23±15] flight. accordance with paragraph (b) of this AD. RIN 2120±AA64 Interested persons have been afforded The request should include an assessment of an opportunity to participate in the the effect of the modification, alteration, or Airworthiness Directives; Fairchild making of this amendment. Due repair on the unsafe condition addressed by Model F±27 Series Airplanes consideration has been given to the this AD; and, if the unsafe condition has not comments received. been eliminated, the request should include AGENCY: Federal Aviation specific proposed actions to address it. Conditional Support for the Proposal Compliance: Required as indicated, unless Administration, DOT. accomplished previously. ACTION: Final rule. One commenter supports the intent of To prevent in-flight shutdown of the the proposed rule, but remarks that, if engine(s) due to the flightcrew using SUMMARY: This amendment adopts a an inherent design problem exists on erroneous N1 speed values displayed on the new airworthiness directive (AD), the affected airplanes to allow Engine Indication Electronic Display (EIED), applicable to all Fairchild Model F–27 flightcrews to select the power levers accomplish the following: series airplanes, that requires revising below the flight idle stop while in flight, (a) Within 1 day after the effective date of the Airplane Flight Manual (AFM) to the FAA should consider the addition of this AD, revise the Limitations Section of the prohibit positioning power levers below a mechanical means to preclude such FAA-approved Airplane Flight Manual selection. The FAA acknowledges the (AFM) to add the following. This may be the flight idle stop during flight, and to accomplished by inserting a copy of this AD provide a statement of the consequences commenter’s concern, and may consider in the AFM. of positioning the power levers below additional rulemaking to address that ‘‘Operation in Icing Conditions: The N1 the flight idle stop during flight. This concern in the future on certain speed of the operating engines must not be amendment is prompted by incidents airplanes. However, until such final less than the minimum values specified in and accidents involving airplanes action is identified, the FAA considers Normal Section 4, Sub-section 140, Page 2, of equipped with turboprop engines in it appropriate to proceed with issuance the AFM.’’ which the propeller ground beta range of this AD. No change to the AD is (b) An alternative method of compliance or required. adjustment of the compliance time that was used improperly during flight. The provides an acceptable level of safety may be actions specified by this AD are Request To Withdraw the Proposal intended to prevent loss of airplane used if approved by the Manager, One commenter, an operator, requests International Branch, ANM–116, Transport controllability, or engine overspeed and Airplane Directorate. Operators shall submit consequent loss of engine power caused that the proposed rule be withdrawn for their requests through an appropriate FAA by the power levers being positioned the following reasons. One, the Principal Operations Inspector, who may add below the flight idle stop while the commenter points out that the Fairchild comments and then send it to the Manager, airplane is in flight. Model F–27 series airplane has been International Branch, ANM–116. type certificated for more than 35 years EFFECTIVE DATE: December 18, 1997. Note 2: Information concerning the and has flown millions of flight hours existence of approved alternative methods of ADDRESSES: Information pertaining to without a single report of an intentional compliance with this AD, if any, may be this rulemaking action may be examined or inadvertent ground fine pitch (GFP) obtained from the International Branch, at the Federal Aviation Administration selection in flight. Two, the ANM–116. (FAA), Transport Airplane Directorate, commenter’s research of the flight (c) Special flight permits may be issued in Rules Docket, 1601 Lind Avenue, SW., manuals revealed that there is no accordance with sections 21.197 and 21.199 Renton, Washington; or at the FAA, normal or abnormal operational of the Federal Aviation Regulations (14 CFR New York Aircraft Certification Office, condition that would result in GFP 21.197 and 21.199) to operate the airplane to Engine and Propeller Directorate, 10 selection being made in flight. a location where the requirements of this AD Fifth Street, Third Floor, Valley Stream, can be accomplished. Therefore, the commenter considers the New York. Note 3: The subject of this AD is addressed unsafe condition to be a ‘‘perceived’’ in French telegraphic airworthiness directive FOR FURTHER INFORMATION CONTACT: problem. Three, the commenter states No. T 97–310–019 (B), dated October 10, Peter LeVoci, Aerospace Engineer, that, because the Model F–27 series 1997. Systems and Flight Test Branch, ANE– airplane is equipped with a Rolls-Royce (d) This amendment becomes effective on 172, FAA, New York Aircraft Dart engine that requires a positive November 18, 1997, to all persons except Certification Office, Engine and torque pressure on approach, the power those persons to whom it was made Propeller Directorate, 10 Fifth Street, lever must be positioned beyond flight 60776 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations idle with the propeller in a determined that this change will neither Adoption of the Amendment corresponding position above the flight increase the economic burden on any Accordingly, pursuant to the fine lock to maintain a positive torque operator nor increase the scope of the authority delegated to me by the pressure. Therefore, the commenter AD. Administrator, the Federal Aviation concludes that the system design is Interim Action Administration amends part 39 of the adequate and that an unsafe condition Federal Aviation Regulations (14 CFR does not exist. Four, the commenter This is considered interim action part 39) as follows: considers that the proposed rule would until final action is identified, at which cause a ‘‘great economic burden’’ to the time the FAA may consider further PART 39ÐAIRWORTHINESS owners and operators. Five, the rulemaking. DIRECTIVES commenter states that the FAA did not specify that the ‘‘perceived’’ unsafe Cost Impact 1. The authority citation for part 39 condition does affect airplanes built in continues to read as follows: accordance with the requirements of There are approximately 70 Fairchild Authority: 49 U.S.C. 106(g), 40113, 44701. part 4B of the Civil Air Regulations Model F–27 series airplanes of the (CAR). affected design in the worldwide fleet. § 39.13 [Amended] The FAA does not concur with the The FAA estimates that 7 airplanes of 2. Section 39.13 is amended by commenter’s request to withdraw the U.S. registry will be affected by this AD, adding the following new airworthiness proposed rule. As explained in the that it will take approximately 1 work directive: proposed rule, the accident/incident hour per airplane to accomplish the 97–23–15 Maryland Air Industries: history of several airplanes involving required actions, and that the average Amendment 39–10204. Docket 97–NM– intentional or inadvertent operation of labor rate is $60 per work hour. Based 35–AD. the propellers in the beta range on these figures, the cost impact of the Applicability: All Fairchild Model F–27 indicates that an unsafe condition does AD on U.S. operators is estimated to be series airplanes, certificated in any category. exist on airplanes equipped with $420, or $60 per airplane. Note 1: This AD applies to each airplane identified in the preceding applicability turboprop engines. The FAA considers The cost impact figure discussed that revision of the AFM, as required in provision, regardless of whether it has been above is based on assumptions that no modified, altered, or repaired in the area the final rule, will ensure that pilots are operator has yet accomplished any of reminded that positioning of power subject to the requirements of this AD. For the requirements of this AD action, and airplanes that have been modified, altered, or levers below the flight idle stop while that no operator would accomplish repaired so that the performance of the the airplane is in flight is prohibited. those actions in the future if this AD requirements of this AD is affected, the The FAA further considers this to be a were not adopted. owner/operator must request approval for an minimum action to ensure that pilots do alternative method of compliance in not carry certain flight habits from an Regulatory Impact accordance with paragraph (b) of this AD. airplane design that mitigates the effects The request should include an assessment of of beta inflight over to a design that does The regulations adopted herein will the effect of the modification, alteration, or not have substantial direct effects on the repair on the unsafe condition addressed by not. this AD; and, if the unsafe condition has not However, the FAA notes that the States, on the relationship between the been eliminated, the request should include commenter addresses GFP rather than national government and the States, or specific proposed actions to address it. operations below the flight idle stop, on the distribution of power and Compliance: Required as indicated, unless although the operations manual refers to responsibilities among the various accomplished previously. both. To clarify the usage of those terms, levels of government. Therefore, in To prevent loss of airplane controllability, the FAA has added the phrase ‘‘(i.e., accordance with Executive Order 12612, or engine overspeed and consequent loss of including ground fine pitch)’’ as a it is determined that this final rule does engine power caused by the power levers parenthetical definition of ‘‘below the not have sufficient federalism being positioned below the flight idle stop flight idle stop’’ in paragraph (a) of the implications to warrant the preparation while the airplane is in flight, accomplish the following: final rule. of a Federalism Assessment. (a) Within 30 days after the effective date In addition, since operators may For the reasons discussed above, I of this AD, revise the Limitations Section of simply insert a copy of the AD into the certify that this action (1) is not a the FAA-approved Airplane Flight Manual AFM in order to comply with the ‘‘significant regulatory action’’ under (AFM) to include the following statements. This action may be accomplished by requirements of this rule, the FAA Executive Order 12866; (2) is not a cannot consider that action to be a inserting a copy of this AD into the AFM. ‘‘significant rule’’ under DOT ‘‘Positioning of power levers below the ‘‘great economic burden.’’ Regulatory Policies and Procedures (44 Finally, the FAA did not specify that flight idle stop (i.e., including ground fine FR 11034, February 26, 1979); and (3) pitch) while the airplane is in flight is the AD was also applicable to airplanes will not have a significant economic prohibited. Such positioning may lead to loss that had been type certificated in impact, positive or negative, on a of airplane control or may result in an accordance with the requirements of substantial number of small entities overspeed condition and consequent loss of part 4b of the CAR since, by definition, under the criteria of the Regulatory engine power.’’ the applicability of this AD specifically (b) An alternative method of compliance or Flexibility Act. A final evaluation has states that the AD applies to all adjustment of the compliance time that been prepared for this action and it is airplanes. provides an acceptable level of safety may be contained in the Rules Docket. A copy used if approved by the Manager, New York Conclusion of it may be obtained from the Rules Aircraft Certification Office (ACO), FAA, Engine and Propeller Directorate. Operators After careful review of the available Docket at the location provided under the caption ADDRESSES. shall submit their requests through an data, including the comments noted appropriate FAA Principal Operations above, the FAA has determined that air List of Subjects in 14 CFR Part 39 Inspector, who may add comments and then safety and the public interest require the send it to the Manager, New York ACO. adoption of the rule with the change Air transportation, Aircraft, Aviation Note 2: Information concerning the previously described. The FAA has safety, Safety. existence of approved alternative methods of Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations 60777 compliance with this AD, if any, may be FOR FURTHER INFORMATION CONTACT: Conclusion obtained from the New York ACO. Peter LeVoci, Aerospace Engineer, After careful review of the available (c) Special flight permits may be issued in Systems and Flight Test Branch, ANE– data, including the comment noted accordance with sections 21.197 and 21.199 172, FAA, Engine and Propeller of the Federal Aviation Regulations (14 CFR above, the FAA has determined that air Directorate, New York Aircraft safety and the public interest require the 21.197 and 21.199) to operate the airplane to Certification Office, 10 Fifth Street, a location where the requirements of this AD adoption of the rule with the change can be accomplished. Third Floor, Valley Stream, New York previously described. The FAA has (d) This amendment becomes effective on 11581; telephone (516) 256–7514; fax determined that this change will neither December 18, 1997. (516) 568–2716. increase the economic burden on any Issued in Renton, Washington, on SUPPLEMENTARY INFORMATION: A operator nor increase the scope of the November 6, 1997. proposal to amend part 39 of the Federal AD. Aviation Regulations (14 CFR part 39) to Darrell M. Pederson, Interim Action Acting Manager, Transport Airplane include an airworthiness directive (AD) Directorate, Aircraft Certification Service. that is applicable to all Fairchild Model This is considered interim action [FR Doc. 97–29824 Filed 11–12–97; 8:45 am] FH–227 series airplanes was published until final action is identified, at which time the FAA may consider further BILLING CODE 4910±13±U in the Federal Register on April 24, 1997 (62 FR 19951). That action rulemaking. proposed to require revising the Cost Impact DEPARTMENT OF TRANSPORTATION Limitations Section of the Airplane The FAA estimates that there are Flight Manual (AFM) to prohibit approximately 45 Fairchild Model FH– Federal Aviation Administration positioning the power levers below the 227 series airplanes of the affected flight idle stop while the airplane is in design in the worldwide fleet. The FAA 14 CFR Part 39 flight, and to add a statement of the estimates that 1 airplane of U.S. registry consequences of positioning the power [Docket No. 97±NM±34±AD; Amendment will be affected by this AD, that it will levers below the flight idle stop while 39±10203; AD 97±23±14] take approximately 1 work hour per the airplane is in flight. airplane to accomplish the required RIN 2120±AA64 Interested persons have been afforded actions, and that the average labor rate an opportunity to participate in the is $60 per work hour. Based on these Airworthiness Directives; Fairchild making of this amendment. Due figures, the cost impact of the AD on the Model FH±227 Series Airplanes consideration has been given to the single U.S. operator is estimated to be single comment received. AGENCY: Federal Aviation $60. Administration, DOT. Conditional Support for the Proposal The cost impact figure discussed above is based on assumptions that no ACTION: Final rule. The commenter supports the intent of operator has yet accomplished any of the proposed rule, but remarks that, if SUMMARY: This amendment adopts a the proposed requirements of this AD an inherent design problem exists on action, and that no operator would new airworthiness directive (AD), the affected airplanes to allow applicable to all Fairchild Model FH– accomplish those actions in the future if flightcrews to select the power levers this AD were not adopted. 227 series airplanes, that requires below the flight idle stop while in flight, revising the Airplane Flight Manual the FAA should consider the addition of Regulatory Impact (AFM) to prohibit positioning of the a mechanical means to preclude such power levers below the flight idle stop The regulations adopted herein will selection. The FAA acknowledges the not have substantial direct effects on the during flight, and to add a statement of commenter’s concern, and may consider the consequences of such positioning of States, on the relationship between the additional rulemaking to address that national government and the States, or the power levers. This amendment is concern in the future on certain prompted by incidents and accidents on the distribution of power and airplanes. However, until such final responsibilities among the various involving airplanes equipped with action is identified, the FAA considers turboprop engines in which the levels of government. it appropriate to proceed with issuance Therefore, in accordance with propeller ground beta range was used of this AD. No change to the AD is Executive Order 12612, it is determined improperly during flight. The actions required. that this final rule does not have specified by this AD are intended to sufficient federalism implications to prevent loss of airplane controllability, Clarification of the Rule warrant the preparation of a Federalism or engine overspeed and consequent Since the issuance of the NPRM, the Assessment. loss of engine power caused by the FAA has noted that operations manuals For the reasons discussed above, I power levers being positioned below the for certain airplanes equipped with Dart certify that this action (1) is not a flight idle stop when the airplane is in turboprop engines may contain ‘‘significant regulatory action’’ under flight. reference to ‘‘ground fine pitch’’ rather Executive Order 12866; (2) is not a EFFECTIVE DATE: December 18, 1997. than ‘‘operations below the flight idle ‘‘significant rule’’ under DOT ADDRESSES: Information pertaining to stop,’’ as specified in the proposed rule. Regulatory Policies and Procedures (44 this rulemaking action may be examined Although the operations manuals refer FR 11034, February 26, 1979); and (3) at the Federal Aviation Administration to both of those phrases, the FAA finds will not have a significant economic (FAA), Transport Airplane Directorate, that some clarification is necessary. impact, positive or negative, on a Rules Docket, 1601 Lind Avenue, SW., Therefore, the FAA has added the substantial number of small entities Renton, Washington; or at the FAA, phrase ‘‘(i.e., including ground fine under the criteria of the Regulatory Engine and Propeller Directorate, New pitch)’’ in paragraph (a) of the final rule Flexibility Act. A final evaluation has York Aircraft Certification Office, 10 as a parenthetical definition of been prepared for this action and it is Fifth Street, Third Floor, Valley Stream, ‘‘operations below the flight idle stop’’ contained in the Rules Docket. A copy New York. in the final rule. of it may be obtained from the Rules 60778 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations

Docket at the location provided under Aircraft Certification Office (ACO), FAA, Airspace Branch, Air Traffic Division, the caption ADDRESSES. Engine and Propeller Directorate. ACE–520, Federal Aviation Operators shall submit their requests Administration, Docket Number 97– List of Subjects in 14 CFR Part 39 through an appropriate FAA Maintenance ACE–17, 601 East 12th Street, Kansas Operations Inspector, who may add Air transportation, Aircraft, Aviation City, MO 64106. safety, Safety. comments and then send it to the Manager, New York ACO. The official docket may be examined Adoption of the Amendment Note 2: Information concerning the in the Office of the Regional Counsel for existence of approved alternative methods of the Central Region at the same address Accordingly, pursuant to the between 9:00 a.m. and 3:00 p.m., authority delegated to me by the compliance with this AD, if any, may be obtained from the New York ACO. Monday through Friday, except Federal Administrator, the Federal Aviation holidays. Administration amends part 39 of the (c) Special flight permits may be issued in accordance with sections 21.197 and 21.199 An informal docket may also be Federal Aviation Regulations (14 CFR of the Federal Aviation Regulations (14 CFR examined during normal business hours part 39) as follows: 21.197 and 21.199) to operate the airplane to in the Air Traffic Division at the same a location where the requirements of this AD address listed above. PART 39ÐAIRWORTHINESS can be accomplished. FOR FURTHER INFORMATION CONTACT: DIRECTIVES (d) This amendment becomes effective on December 18, 1997. Kathy Randolph, Air Traffic Division, 1. The authority citation for part 39 Airspace Branch, ACE–520C, Federal continues to read as follows: Issued in Renton, Washington, on November 6, 1997. Aviation Administration, 601 East 12th Street, Kansas City, Missouri 64106; Authority: 49 U.S.C. 106(g), 40113, 44701. Darrell M. Pederson, telephone: (816) 426–3408. § 39.13 [Amended] Acting Manager, Transport Airplane SUPPLEMENTARY INFORMATION: The FAA 2. Section 39.13 is amended by Directorate, Aircraft Certification Service. [FR Doc. 97–29825 Filed 11–12–97; 8:45 am] has developed a RWY 30 SIAP utilizing adding the following new airworthiness the NDB at Jefferson City, MO. The BILLING CODE 4910±13±U directive: amendment to Class E airspace at 97–23–14 Maryland Air Industries: Jefferson City, MO, will provide Amendment 39–10203. Docket 97–NM– DEPARTMENT OF TRANSPORTATION additional controlled airspace at and 34–AD. above 700 feet AGL to contain the SIAP Applicability: All Fairchild Model FH–227 Federal Aviation Administration within controlled airspace. A review of series airplanes, certificated in any category. the airspace required for instrument Note 1: This AD applies to each airplane 14 CFR Part 71 approaches at Jefferson City Memorial identified in the preceding applicability [Docket No. 97±ACE±17] Airport indicates that the Class E provision, regardless of whether it has been surface area extension to the southeast modified, altered, or repaired in the area subject to the requirements of this AD. For Amendment to Class E Airspace, can be removed. The areas will be airplanes that have been modified, altered, or Jefferson City, MO depicted on appropriate aeronautical repaired so that the performance of the charts. Class E surface area extensions requirements of this AD is affected, the AGENCY: Federal Aviation are published in paragraph 6004, and owner/operator must request approval for an Administration (FAA), DOT. areas extending from 700 feet or more alternative method of compliance in ACTION: Direct final rule; request for above the surface of the earth are accordance with paragraph (b) of this AD. comments. published in paragraph 6005 of FAA The request should include an assessment of Order 7400.9E, dated September 10, SUMMARY: the effect of the modification, alteration, or This action amends the Class 1997, and effective September 16, 1997, repair on the unsafe condition addressed by E airspace area at Jefferson City this AD; and, if the unsafe condition has not which is incorporated by reference in 14 Municipal Airport, Jefferson City, MO. CFR 71.1. The Class E airspace been eliminated, the request should include The FAA has developed a specific proposed actions to address it. designation listed in this document will Nondirectional Radio Beacon (NDB) be published subsequently in the order. Compliance: Required as indicated, unless Runway (RWY) 30 Standard Instrument accomplished previously. Approach Procedure (SIAP) to serve the The Direct Final Rule Procedure To prevent loss of airplane controllability, or engine overspeed and consequent loss of Jefferson City Municipal Airport. The FAA anticipates that this engine power caused by the power levers Additional controlled airspace regulation will not result in adverse or being positioned below the flight idle stop extending upward from 700 feet Above negative comment and, therefore, is while the airplane is in flight, accomplish the Ground Level (AGL) is needed to issuing it as a direct final rule. Previous following: accommodate this SIAP and for actions of this nature have not been (a) Within 30 days after the effective date Instrument Flight Rules (IFR) operations controversial and have not resulted in of this AD, revise the Limitations Section of at this airport. A review of the airspace the FAA-approved Airplane Flight Manual adverse comments or objections. The required for instrument approaches at amendment will enhance safety for all (AFM) to include the following statements. Jefferson City Memorial Airport This action may be accomplished by flight operations by designating an area inserting a copy of this AD into the AFM. indicates that the surface airspace area where VFR pilots may anticipate the ‘‘Positioning of power levers below the extension to the southeast can be presence of IFR aircraft at lower flight idle stop (i.e., including ground fine removed. The enlarged area will contain altitudes, especially during inclement pitch) while the airplane is in flight is the new NDB RWY 30 SIAP in weather conditions. A greater degree of prohibited. Such positioning may lead to loss controlled airspace. safety is achieved by depicting the area of airplane control or may result in an DATES: Effective date: 0901 UTC April on aeronautical charts. Unless a written overspeed condition and consequent loss of 23, 1998. adverse or negative comment, or a engine power.’’ Comment date: Comments must be (b) An alternative method of compliance or written notice of intent to submit an adjustment of the compliance time that received on or before January 15, 1998. adverse or negative comment is received provides an acceptable level of safety may be ADDRESSES: Send comments regarding within the comment period, the used if approved by the Manager, New York the rule in triplicate to: Manager, regulation will become effective on the Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations 60779 date specified above. After the close of accordance with Executive Order 12612, E airspace area is effective during the specific the comment period, the FAA will it is determined that this final rule does dates and times established in advance by a publish a document in the Federal not have sufficient federalism Notice to Airmen. The effective date and time Register indicating that no adverse or implications to warrant the preparation will thereafter be continuously published in the Airport/Facility Directory. negative comments were received and of a Federalism Assessment. confirming the date on which the final The FAA has determined that this * * * * * rule will become effective. If the FAA regulation is noncontroversial and Paragraph 6005 Class E airspace areas does receive, within the comment unlikely to result in adverse or negative extending upward from 700 feet or more period, an adverse or negative comment, comments. For the reasons discussed in above the surface of the earth. or written notice of intent to submit the preamble, I certify that this * * * * * such a comment, a document regulation (1) is not a ‘‘significant ACE MO E5 Jefferson City, MO [Revised] withdrawing the direct final rule will be regulatory action’’ under Executive published in the Federal Register, and Jefferson City Memorial Airport, MO Order 12866; (2) is not a ‘‘significant ° ′ ′′ ° ′ ′′ a notice of proposed rulemaking may be rule’’ under Department of (Lat. 38 35 28 N., long. 92 09 22 W.) published with a new comment period. NOAH NDB Transportation (DOT) Regulatory (Lat. 38°38′14′′ N., long. 92°14′41′′ W.) Comments Invited Policies and Procedures (44 FR 11034, ALGOA LOM February 26, 1979); and (3) if ° ′ ′′ ° ′ ′′ Although this action is in the form of (Lat. 38 32 53 N., long. 92 04 19 W.) promulgated, will not have significant That airspace extending upward from 700 a final rule and was not preceded by a economic impact, positive or negative, notice of proposed rulemaking, feet above the surface within a 6.6-mile on a substantial number of small entities radius of Jefferson City Memorial Airport and comments are invited on this rule. under the criteria of the Regulatory within 3.1 miles each side of the NOAH NDB Interested persons are invited to Flexibility Act. 303° bearing extending from the 6.6-mile comment on this rule by submitting radius to 14.3 miles northwest of the airport, such written data, views, or arguments List of Subjects in 14 CFR Part 71 and within 4 miles each side of the Jefferson as they may desire. Communications Airspace, Incorporation by reference, City ILS localizer course extending from the should identify the Rules Docket Navigation (air). 6.6-mile radius to 11.8 miles southeast of the number and be submitted in triplicate to airport. the address specified under the caption Adoption of the Amendment * * * * * ADDRESSES. All communications Accordingly, the Federal Aviation Issued in Kansas City, MO, on November received on or before the closing date Administration amends 14 CFR part 71 4, 1997. for comments will be considered, and as follows: Herman J. Lyons, Jr., this rule may be amended or withdrawn Manager, Air Traffic Division, Central Region. in light of the comments received. PART 71ÐDESIGNATION OF CLASS A, [FR Doc. 97–29834 Filed 11–12–97; 8:45 am] Factual information that supports the CLASS B, CLASS C, CLASS D, AND BILLING CODE 4910±13±M commenter’s ideas and suggestions is CLASS E AIRSPACE AREAS; extremely helpful in evaluating the AIRWAYS; ROUTES; AND REPORTING effectiveness of this action and POINTS DEPARTMENT OF TRANSPORTATION determining whether additional rulemaking action would be needed. 1. The authority citation for part 71 Federal Aviation Administration Comments are specifically invited on continues to read as follows: the overall regulatory, economic, Authority: 49 U.S.C. 106(g), 40103, 40113, 14 CFR Part 71 environmental, and energy-related 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– [Docket No. 97±ACE±19] aspects of the rule that might suggest a 1963 Comp., p. 389. Amendment to Class E Airspace, Eagle need to modify the rule. All comments § 71.1 [Amended] submitted will be available, both before Grove, IA and after the closing date for comments, 2. The incorporation by reference in AGENCY: in the Rules Docket for examination by 14 CFR 71.1 of Federal Aviation Federal Aviation interested persons. A report that Administration Order 7400.9E, Airspace Administration (FAA), DOT. summarizes each FAA-public contact Designations and Reporting Points, ACTION: Direct final rule; request for concerned with the substance of this dated September 10, 1997, and effective comments. action will be filed in the Rules Docket. September 16, 1997, is amended as Commenters wishing the FAA to follows: SUMMARY: This action amends the Class E airspace area at Eagle Grove acknowledge receipt of their comments Paragraph 6004 Class E airspace areas submitted in response to this rule must designated as an extension to a Class D or Municipal Airport, Eagle Grove, IA. The submit a self-addressed, stamped Class E surface area. FAA has developed a Global Positioning System (GPS) Runway (RWY) 31 postcard on which the following * * * * * statement is made: ‘‘Comments to Standard Instrument Approach ACE MO E4 Jefferson City, MO [Revised] Docket No. 97–ACE–17.’’ The postcard Procedure (SIAP) to serve the Eagle Jefferson City Memorial Airport, MO Grove Municipal Airport, Eagle Grove, will be date stamped and returned to the ° ′ ′′ ° ′ ′′ commenter. (Lat. 38 35 28 N., long. 92 09 22 W.) IA. Additional controlled airspace NOAH NDB extending upward from 700 feet Above Agency Findings (Lat. 38°38′14′′ N., long. 92°14′41′′ W.) Ground Level (AGL) is needed to ALGOA LOM accommodate this SIAP and for The regulations adopted herein will (Lat. 38°32′53′′ N., long. 92°04′19′′ W.) not have substantial direct effects on the Instrument Flight Rules (IFR) operations That airspace extending upward from the States, on the relationship between the at this airport. The enlarged area will surface within 2.6 miles each side of the contain the new GPS RWY 31 SIAP in national government and the States, or Jefferson City Memorial Airport localizer on the distribution of power and back course extending from the 4.1-mile controlled airspace. responsibilities among the various radius of Jefferson City Memorial Airport to DATES: Effective date: 0901 UTC April levels of government. Therefore, in 5 miles northwest of the airport. This Class 23, 1998. 60780 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations

Comment date: Comments must be publish a document in the Federal not have sufficient federalism received on or before January 15, 1998. Register indicating that no adverse or implications to warrant the preparation ADDRESSES: Send comments regarding negative comments were received and of a Federalism Assessment. the rule in triplicate to: Manager, confirming the date on which the final The FAA has determined that this Airspace Branch, Air Traffic Division, rule will become effective. If the FAA regulation is noncontroversial and ACE–520, Federal Aviation does receive, within the comment unlikely to result in adverse or negative Administration, Docket Number 97– period, an adverse or negative comment, comments. For the reasons discussed in ACE–19, 601 East 12th Street, Kansas or written notice of intent to submit the preamble, I certify that this City, MO 64106. such a comment, a document regulation—(1) is not a ‘‘significant The official docket may be examined withdrawing the direct final rule will be regulatory action’’ under Executive in the Office of the Regional Counsel for published in the Federal Register, and Order 12866; (2) is not a ‘‘significant the Central Region at the same address a notice of proposed rulemaking may be rule’’ under Department of between 9:00 a.m. and 3:00 p.m., published with a new comment period. Transportation (DOT) Regulatory Monday through Friday, except Federal Comments Invited Policies and Procedures (44 FR 11034, holidays. February 26, 1979); and (3) if An informal docket may also be Although this action is in the form of promulgated, will not have a significant examined during normal business hours a final rule and was not preceded by a economic impact, positive or negative, in the Air Traffic Division at the same notice of proposed rulemaking, on a substantial number of small entities address listed above. comments are invited on this rule. under the criteria of the Regulatory Interested persons are invited to FOR FURTHER INFORMATION CONTACT: Flexibility Act. comment on this rule by submitting Kathy Randolph, Airspace Branch, Air such written data, views, or arguments List of Subjects in 14 CFR Part 71 Traffic Division, ACE–520C, Federal as they may desire. Communications Aviation Administration, 601 East 12th Airspace, Incorporation by reference, should identify the Rules Docket Navigation (air). Street, Kansas City, Missouri 64106; number and be submitted in triplicate to telephone: (816) 426–3408. the address specified under the caption Adoption of the Amendment SUPPLEMENTARY INFORMATION: The FAA ADDRESSES. All communications Accordingly, the Federal Aviation has developed a GPS RWY 31 SIAP at received on or before the closing date Administration amends 14 CFR part 71 Eagle Grove Municipal Airport, Eagle for comments will be considered, and as follows: Grove, IA. The amendment to Class E this rule may be amended or withdrawn airspace at Eagle Grove, IA, will provide in light of the comments received. PART 71ÐDESIGNATION OF CLASS A, additional controlled airspace at and Factual information that supports the CLASS B, CLASS C, CLASS D, AND above 700 feet AGL in order to contain commenter’s ideas and suggestions is CLASS E AIRSPACE AREAS; the new SIAP within controlled extremely helpful in evaluating the AIRWAYS; ROUTES; AND REPORTING airspace. The area will be depicted on effectiveness of this action and POINTS appropriate aeronautical charts. Class E determining whether additional airspace areas extending from 700 feet rulemaking action would be needed. 1. The authority citation for part 71 or more above the surface of the earth Comments are specifically invited on continues to read as follows: are published in paragraph 6005 of FAA the overall regulatory, economic, Authority: 49 U.S.C. 106(g), 40103, 40113, Order 7400.9E, dated September 10, environmental, and energy-related 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– 1997, and effective September 16, 1997, aspects of the rule that might suggest a 1963 Comp., p. 389. which is incorporated by reference in 14 need to modify the rule. All comments § 71.1 [Amended] CFR 71.1. The Class E airspace submitted will be available, both before 2. The incorporation by reference in designation listed in this document will and after the closing date for comments, 14 CFR 71.1 of Federal Aviation be published subsequently in the Order. in the Rules Docket for examination by Administration Order 7400.9E, Airspace interested persons. A report that The Direct Final Rule Procedure Designations and Reporting Points, summarizes each FAA-public contact dated September 10, 1997, and effective The FAA anticipates that this concerned with the substance of this September 10, 1997, is amended as regulation will not result in adverse or action will be filed in the Rules Docket. negative comment and, therefore, is Commenters wishing the FAA to follows: issuing it as a direct final rule. Previous acknowledge receipt of their comments Paragraph 6005 Class E airspace areas actions of this nature have not been submitted in response to this rule must extending upward from 700 feet or more controversial and have not resulted in submit a self-addressed, stamped above the surface of the earth. adverse comments or objections. The postcard on which the following * * * * * amendment will enhance safety for all statement is made: ‘‘Comments to ACE IA E5 Eagle Grove, IA [Revised] flight operations by designating an area Docket No. 97–ACE–19.’’ The postcard where VFR pilots may anticipate the will be date stamped and returned to the Eagle Grove Municipal Airport, IA (Lat. 42°42′35′′ N., long 93°54′58′′ W.) presence of IFR aircraft at lower commenter. altitudes, especially during inclement Eagle Grove NDB (Lat. 42°42′31′′ N., long 93°54′38′′ W.) weather conditions. A greater degree of Agency Findings safety is achieved by depicting the area The regulations adopted herein will That airspace extending upward from 700 feet above the surface within a 6.4-mile on aeronautical charts. Unless a written not have substantial direct effects on the radius of the Eagle Grove Municipal Airport adverse or negative comment, or a States, on the relationship between the and within 2.6 miles each side of the 306° written notice of intent to submit an national government and the States, or bearing from the Eagle Grove NDB extending adverse or negative comment is received on the distribution of power and from the 6.4-mile radius to 7.4 miles within the comment period, the responsibilities among the various northwest of the airport, excluding that regulation will become effective on the levels of government. Therefore, in airspace within the Clarion, IA, Class E date specified above. After the close of accordance with Executive Order 12612, airspace area. the comment period, the FAA will it is determined that this final rule does * * * * * Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations 60781

Issued in Kansas City, MO, on November Alpharma Inc., provides for using § 510.600 [Amended] 4, 1997. approved SACOX (Hoechst-Roussel 2. Section 510.600 Names, addresses, Herman J. Lyons, Jr., Vet’s salinomycin ANADA 200–075) and drug labeler codes of sponsors of Manager, Air Traffic Division, Central Region. and ALBAC (Alpharma Inc.’s approved applications is amended in [FR Doc. 97–29833 Filed 11–12–97; 8:45 am] bacitracin zinc ANADA 200–223) Type the table in paragraph (c)(1) in the entry BILLING CODE 4910±13±M A medicated articles to make the for ‘‘ALPHARMA INC.’’ and in combination drug Type C medicated paragraph (c)(2) in the entry for feeds. ‘‘046573’’ by removing the name DEPARTMENT OF HEALTH AND Alpharma Inc.’s ANADA 200–204 is ‘‘ALPHARMA INC.’’ and adding in its HUMAN SERVICES approved as a generic copy of place ‘‘Alpharma Inc.’’ Hoffmann-LaRoche, Inc.’s NADA 139– Food and Drug Administration 235. Alpharma Inc.’s ANADA 200–210 PART 558ÐNEW ANIMAL DRUGS FOR is approved as a generic copy of USE IN ANIMAL FEEDS 21 CFR Parts 510 and 558 Hoechst-Roussel Vet’s ANADA 200– 3. The authority citation for 21 CFR 089. The ANADA’s are approved as of part 558 continues to read as follows: New Animal Drugs for Use in Animal September 19, 1997, and the regulations Feeds; Salinomycin and Bacitracin are amended in 21 CFR Authority: 21 U.S.C. 360b, 371. Zinc 558.550(b)(1)(vii)(c) to reflect the § 558.550 [Amended] approvals. The basis for approval is AGENCY: Food and Drug Administration, 4. Section 558.550 Salinomycin is discussed in the freedom of information HHS. amended in paragraph (b)(1)(vii)(c) by summaries. ACTION: Final rule. removing ‘‘No. 000004’’ and adding in FDA is also amending the animal drug its place ‘‘Nos. 000004 and 046573’’. SUMMARY: The Food and Drug regulations in 21 CFR 510.600(c)(1) and Administration (FDA) is amending the (c)(2) to reflect the correct firm name for Dated: October 30, 1997. animal drug regulations to reflect Alpharma Inc. Stephen F. Sundlof, approval of two abbreviated new animal In accordance with the freedom of Director, Center for Veterinary Medicine. drug applications (ANADA’s) filed by information provisions of 21 CFR part [FR Doc. 97–29905 Filed 11–12–97; 8:45 am] Alpharma Inc. The ANADA’s provide 20 and 514.11(e)(2)(ii), a summary of BILLING CODE 4160±01±F for using approved salinomycin and safety and effectiveness data and bacitracin zinc Type A medicated information submitted to support articles to make Type C medicated approval of these applications may be DEPARTMENT OF THE TREASURY broiler chicken feeds used for the seen in the Dockets Management Branch prevention of coccidiosis and for (HFA–305), Food and Drug Departmental Offices increased rate of weight gain. This Administration, 12420 Parklawn Dr., document is also amending the animal rm. 1–23, Rockville, MD 20857, between 31 CFR Part 1 drug regulations to reflect the correct 9 a.m. and 4 p.m., Monday through sponsor name for Alpharma Inc. Friday. Privacy Act of 1974; Implementation FDA has determined under 21 CFR EFFECTIVE DATE: November 13, 1997. AGENCY: Departmental Offices, Treasury. 25.33(a)(1) that these actions are of a FOR FURTHER INFORMATION CONTACT: ACTION: Final Rule. type that do not individually or Jeffrey M. Gilbert, Center for Veterinary cumulatively have a significant effect on Medicine (HFV–128), Food and Drug SUMMARY: In accordance with the the human environment. Therefore, Administration, 7500 Standish Pl., requirements of the Privacy Act of 1974, neither an environmental assessment Rockville, MD 20855, 301–594–1602. as amended, 5 U.S.C. 552a, the nor an environmental impact statement Department of the Treasury gives notice SUPPLEMENTARY INFORMATION: Alpharma is required. Inc., One Executive Dr., P.O. Box 1399, of an amendment to exempt the system Fort Lee, NJ 07024, is sponsor of List of Subjects of records entitled, ‘‘Integrated Data Retrieval System (IDRS) Security Files— ANADA’s 200–204 and 200–210 that 21 CFR Part 510 provide for combining approved Treasury/IRS 34.018,’’ from certain salinomycin and bacitracin zinc Type A Administrative practice and provisions of the Privacy Act. medicated articles to make Type C procedure, Animal drugs, Labeling, EFFECTIVE DATE: November 13, 1997. medicated broiler feeds containing Reporting and recordkeeping FOR FURTHER INFORMATION CONTACT: salinomycin 40 to 60 grams per ton (g/ requirements. Michael Sincavage, Director, 6103/ t) and bacitracin zinc 10 to 50 g/t. The 21 CFR Part 558 Privacy Operations, Governmental Type C medicated feed is used for the Liaison & Disclosure, Internal Revenue Animal drugs, Animal feeds. Service at (202) 622–6240. prevention of coccidiosis caused by Therefore, under the Federal Food, SUPPLEMENTARY INFORMATION: Eimeria tenella, E. necatrix, E. Drug, and Cosmetic Act and under The acervulina, E. brunetti, E. mivati, and E. authority delegated to the Commissioner Department of the Treasury published a maxima, and for increased rate of of Food and Drugs and redelegated to notice of a proposed rule exempting a weight gain. the Center for Veterinary Medicine, 21 system of records from certain ANADA 200–204, filed by Alpharma CFR parts 510 and 558 are amended as provisions of the Privacy Act of 1974, as Inc., provides for using approved BIO– follows: Amended, at 60 FR 40797, dated August COX (Hoffmann-LaRoche Inc.’s 10, 1995. The Internal Revenue Service salinomycin NADA 128–686) and PART 510ÐNEW ANIMAL DRUGS published an alteration to the system ALBAC (Alpharma Inc.’s bacitracin notice on July 31, 1995, at 60 FR 30972. zinc ANADA 200–223) Type A 1. The authority citation for 21 CFR Under 5 U.S.C. 552a(k)(2), the head of medicated articles to make the part 510 continues to read as follows: an agency may promulgate rules to combination drug Type C medicated Authority: 21 U.S.C. 321, 331, 351, 352, exempt any system of records within the feeds. ANADA 200–210, also filed by 353, 360b, 371, 379e. agency from certain provisions of the 60782 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations

Privacy Act of 1974 if the system is investigating this person and the scope exemption from the foregoing provision investigatory material compiled for law of the investigation, and could aid the is needed because, particularly in the enforcement purposes. The Internal individual in impeding or early stages of a tax audit or other Revenue Service has as its principal compromising investigations by those investigation, it is not possible to function enforcement of the tax law of agencies. determine the relevance or necessity of the United States. System of records (2) 5 U.S.C. 552a(d)(1),(2),(3), and (4), specific information. Treasury/IRS 34.018—Integrated Data (e)(4)(G) and (H) and (f). These (ii) Relevance and necessity are Retrieval System Security Files, provisions of the Privacy Act relate to questions of judgement and timing. contains records that enable the Service an individual’s right to notification of What appears relevant and necessary to investigate and monitor the activities the existence of records pertaining to when collected may subsequently be of its employees to ensure the protection such individual; requirements for determined to be irrelevant or and confidentiality of tax return identifying an individual who requests unnecessary. It is only after the information. The information in this access to records; the agency procedures information is evaluated that the system is used in investigations relating relating to access to records and the relevance and necessity of such to unauthorized use of the Integrated contest of the information contained in information can be established with Data Retrieval Files. such records; and the civil remedies certainty. The proposed rule requested that available to the individual in the event (iii) When information is received by public comments be sent to the Director, of adverse determinations by an agency the Internal Revenue Service relating to Office of Disclosure, Internal Revenue concerning access to or amendment of violations of law within the jurisdiction Service no later than September 11, information contained in such record of other agencies, the Service processes 1995. No comments pertaining to the systems. The reasons for exempting this information through Service proposed rule were received by the systems of records from the foregoing systems in order to forward the material Office of Disclosure. Accordingly, the provisions are as follows: To notify an to the appropriate agencies. Department of the Treasury is hereby individual at the individual’s request of As required by Executive Order giving notice that the system of records the existence of records in an 12866, it has been determined that this entitled, ‘‘Integrated Data Retrieval investigative file pertaining to such final rule is not a significant regulatory System (IDRS) Security Files—Treasury/ individual or to grant access to an action and, therefore, does not require a IRS 34.018,’’ is exempt from certain investigative file could interfere with regulatory impact analysis. provisions of the Privacy Act. The investigative and enforcement Pursuant to the requirements of the following are the reasons why certain proceedings; deprive co-defendants of a Regulatory Flexibility Act, 5 U.S.C. 601– systems of records maintained by the right to a fair trial or an impartial 612, it is hereby certified that this rule Internal Revenue Service are exempt adjudication; constitute an unwarranted will not have significant economic pursuant to 5 U.S.C. 552a(k)(2) of the invasion of the personal privacy of impact on a substantial number of small Privacy Act of 1974. others, disclose the identity of entities. The final rule imposes no (1) 5 U.S.C. 552a(c)(3). This provision confidential sources and reveal duties or obligations on small entities. of the Privacy Act provides for the confidential information supplied by In accordance with the provisions of release of the disclosure accounting such sources; and disclose investigative the Paperwork Reduction Act of 1995, required by 5 U.S.C. 552a(c)(1) and (2) techniques and procedures. the Department of the Treasury has to the individual named in the record at (3) 5 U.S.C. 552a(e)(4)(I). This determined that this rule will not his request. The reasons for exempting provision of the Privacy Act requires the impose new record keeping, systems of records from the foregoing publication of the categories of sources application, reporting, or other types of provision are as follows: of records in each system of records. In information collection requirements. (i) The release of disclosure cases where an exemption from this accounting would put the subject of an provision has been claimed, the reasons List of Subjects in 31 CFR Part 1 investigation on notice of the existence are as follows: Privacy. of an investigation and that such person (i) Revealing categories of sources of Part 1 of Title 31 of the Code of is the subject of that investigation; information could disclose investigative Federal Regulations is amended as (ii) Such release would provide the techniques and procedures; follows: subject of an investigation with an (ii) Revealing categories of sources of 1. The authority citation for Part 1 accurate accounting of the date, nature, information could cause sources who continues to read as follows: and purpose of each disclosure and the supply information to investigators to name and address of the person or refrain from giving such information Authority: 5 U.S.C. 301 and 31 U.S.C. 321. agency to whom the disclosure is made. because of fear of reprisal, or fear of Subpart A also issued under 5 U.S.C. 552 as The release of such information to the amended. Subpart C also issued under 5 breach of promises of anonymity and U.S.C. 552a. subject of an investigation would confidentiality. provide the subject with significant (4) 5 U.S.C. 552a(e)(1). This provision § 1.36 [Amended] information concerning the nature of the of the Privacy Act requires each agency 2. Section 1.36 of Subpart C is investigation and could result in the to maintain in its records only such amended by adding the following text in altering or destruction of documentary information about an individual as is numerical order under the heading THE evidence, the improper influencing of relevant and necessary to accomplish a INTERNAL REVENUE SERVICE: witnesses, and other activities that purpose of the agency required to be * * * * * could impede or compromise the accomplished by statute or executive (b) * * * investigation. In the case of a delinquent order. The reasons for exempting (1) * * * account, such release might enable the systems of records from the foregoing subject of the investigation to dissipate provisions are as follows: Name of System No. assets before levy; (i) The Internal Revenue Service will (iii) Release to the individual of the limit its inquiries to information which ***** disclosure accounting would alert the is necessary for the enforcement and Integrated Data Reporting System individual as to which agencies were administration of tax laws. However, an (IDRS) Security Files ...... 34.018 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations 60783

Name of System No. normally be adequate because the grant Philippines, Reporting and award in the second fiscal year would recordkeeping requirements, be for the same project which received Scholarships and fellowships, Travel ***** the partial grant award. and transportation expenses, Veterans. Further, the final rule provides that Approved: November 3, 1997. * * * * * the total amount awarded for the Hershel W. Gober, Dated: October 3, 1997. application may not exceed 65 percent of the total cost of the project as Acting Secretary of Veterans Affairs. Alex Rodriguez, determined at the time of the second For the reasons set forth above, 38 Deputy Assistant Secretary (Administration) grant award for that grant application. CFR part 17 is amended as set forth [FR Doc. 97–29794 Filed 11–12–97; 8:45 am] This is consistent with the statutory below: Billing Code: 4830±01±F requirement that limits grant awards to no more than 65 percent of the PART 17ÐMEDICAL estimated cost construction or acquisition. 1. The authority citation for part 17 DEPARTMENT OF VETERANS continues to read as follow: AFFAIRS DATES: Effective Date: December 15, 1997. Authority: 38 U.S.C. 501, 1721, unless otherwise noted. 38 CFR Part 17 FOR FURTHER INFORMATION CONTACT: Ms. RIN 2900±AI84 Kathleen Greve, Geriatrics and Extended 2. In § 17.212, paragraph (d) is added Care Strategic Healthcare Group, (202) and the authority citation for the section Grants to States for Construction or 273–8534. is revised to read as follows: SUPPLEMENTARY INFORMATION Acquisition of State Home Facilities : In a § 17.212 Scope of grants program. document published in the Federal AGENCY: Department of Veterans Affairs. Register on July 29, 1997 (62 FR 40492), * * * * * ACTION: Final rule. VA proposed to amend the ‘‘Medical’’ (d)(1) Notwithstanding paragraph (c) regulations in 38 CFR part 17 as set of this section and the provisions for SUMMARY: This document amends the forth in the SUMMARY portion of this ranking projects within a priority group ‘‘Medical’’ regulations regarding document. The document provided a in § 17.213(c)(3)(i), the Secretary shall applications for grants to States for the 60-day comment period, which ended give an application first priority within construction or acquisition of State on September 29, 1997. Three the priority group to which it is home facilities. VA awards grants based commentors submitted comments, all of assigned on the list of projects on a priority ranking system. Usually, whom expressed full approval for the established under § 17.213(d) for the the higher priority applications deplete provisions of the proposed rule. next fiscal year if: the available funding to the extent that Based on the rationale set forth in the (i) the State has accepted a grant for the lowest ranking application to be proposed rule and this document, the that application as of August 15 of the offered funding is offered only a partial provisions of the proposed rule are current fiscal year that is less than the grant. This final rule provides that if the adopted as a final rule without change. amount that the Secretary would have lowest ranking grant application The Secretary hereby certifies that the awarded if VA had sufficient grant receives only a partial grant in a fiscal adoption of this final rule will not have funds to award the grant in such amount year and if such grant award is partial a significant economic impact on a in that fiscal year; and solely because VA has insufficient funds substantial number of small entities as (ii) the application is the lowest for a full grant, the application would be they are defined in the Regulatory ranking application on the priority list placed at the top of the list within its Flexibility Act, 5 U.S.C. 601–612. The for the current fiscal year for which priority group for the next fiscal year. rule will affect grants to States and will grant funds are available as of August 15 Often applicants are hesitant to accept not directly affect small entities. of that year. a partial grant because of the Therefore, pursuant to 5 U.S.C. 605(b), (2) The Secretary shall not require a uncertainty of receiving an additional this rule is exempt from the initial and State to submit a second grant grant the next fiscal year. This final rule final regulatory flexibility analyses application for a project which receives will encourage States to accept a partial requirements of secs. 603 and 604. priority under paragraph (d)(1) of this grant by creating the likelihood that the The Catalog of Federal Domestic section but may require the State to State would receive an additional grant Assistance program number for this update information already submitted in in the subsequent fiscal year. document is 64.005. the application for the project. The Accordingly, this will help ensure that List of Subjects in 38 CFR Part 17 Secretary shall determine the amount of VA would be able to award grants to a second grant at the time of the award higher priority applicants that might Administrative practice and of that grant. In no case shall the total otherwise reject partial funding. procedure. Alcohol abuse, Alcoholism, amount awarded for the application Also, this final rule provides that the Claims, Drug abuse, Foreign relations, exceed 65 percent of the total cost of the applicant receiving partial funding and Government contracts, Grant programs- project as determined at the time of the receiving priority as proposed will not health, Grant programs-veterans, Health second grant award for that grant be required to submit a second care, Health facilities, Health application. application for additional funds in the professions, Health records, Homeless, (Authority: 38 U.S.C. 8135(b)) subsequent fiscal year, but could be Medical and dental schools, Medical required to update information already devices, Medical research, Mental [FR Doc. 97–29788 Filed 11–12–97; 8:45 am] submitted. The first application would health programs, Nursing homes, BILLING CODE 8320±01±M 60784 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations

ENVIRONMENTAL PROTECTION Hawthorne Street, San Francisco, CA 1990 and Rule 462 was adopted by AGENCY 94105. SCAQMD on June 9, 1995. These rules Environmental Protection Agency, Air were submitted by the CARB to EPA on 40 CFR Part 52 Docket (6102), 401 ‘‘M’’ Street, S.W., May 13, 1991 and October 13, 1995, [CA 034±0048; FRL±5917±5] Washington, D.C. 20460. respectively. These rules were California Air Resources Board, submitted in response to EPA’s 1988 SIP Approval and Promulgation of Stationary Source Division, Rule Call and the CAA section 182(a)(2)(A) Implementation Plans; California State Evaluation Section, 2020 ‘‘L’’ Street, requirement that nonattainment areas Implementation Plan Revision, South Sacramento, CA 92123–1095. fix their reasonably available control Coast Air Quality Management District South Coast Air Quality Management technology (RACT) rules for ozone in District, 21865 E. Copley Drive, accordance with EPA guidance that AGENCY: Environmental Protection Diamond Bar, CA 91765–4182. interpreted the requirements of the pre- Agency (EPA). FOR FURTHER INFORMATION CONTACT: amendment Act. A detailed discussion ACTION: Final rule. Christine Vineyard, Rulemaking Office, of the background for each of the above (AIR–4), Air Division, U.S. rules and nonattainment areas is SUMMARY: EPA is finalizing limited Environmental Protection Agency, provided in the proposed rules (PRs) approvals and limited disapprovals of Region IX, 75 Hawthorne Street, San cited above. revisions to the California State Francisco, CA 94105, Telephone: (415) EPA has evaluated the above rules for Implementation Plan (SIP) proposed in 744–1197. consistency with the requirements of the Federal Register on September 23, the CAA and EPA regulations and EPA’s 1992 and May 14, 1997. This final SUPPLEMENTARY INFORMATION: interpretation of these requirements as action will incorporate these rules into I. Applicability expressed in the various EPA policy the federally approved SIP. The guidance documents referenced in the intended effect of finalizing this action The rules being approved into the PRs. EPA is finalizing the limited is to regulate emissions of volatile California SIP include: South Coast Air approval of these rules in order to organic compounds (VOCs) in Quality Management District strengthen the SIP and finalizing the accordance with the requirements of the (SCAQMD) Rule 1103, Pharmaceuticals limited disapproval requiring the Clean Air Act, as amended in 1990 and Cosmetic Manufacturing correction of the remaining deficiencies. (CAA or the Act). The revised rules Operations; and SCAQMD Rule 462, SCAQMD Rule 1103 deficiencies control VOC emissions from the Organic Liquid Loading. These rules include the following: (1) Air Pollution formulation and manufacture of were submitted by the California Air Control Officer discretion in the pharmaceuticals and cosmetics and Resources Board (CARB) to EPA on May approval of equivalent control systems; from facilities that load organic liquids 13, 1991 and October 13, 1995, (2) inadequate recordkeeping into tank trucks, trailers, or railroad tank respectively. requirements for key operating cars. Thus, EPA is finalizing a This Federal Register action for the parameters for monitoring control simultaneous limited approval and South Coast Air Quality Management systems; (3) the lack of necessary limited disapproval under CAA District excludes the Los Angeles recordkeeping requirements to show provisions regarding EPA action on SIP County portion of the Southeast Desert compliance with exemption levels; and submittals and general rulemaking AQMA, otherwise known as the (4) the lack of a test method for authority because these revisions, while Antelope Valley Region in Los Angeles measuring vapor pressure. In SCAQMD strengthening the SIP, also do not fully County, which is now under the Rule 462 the deficiency is the definition meet the CAA provisions regarding plan jurisdiction of the Antelope Valley Air of ‘‘facility vapor leak’’ that allows a Pollution Control District as of July 1, submissions and requirements for 1 measurement distance of 2 centimeters nonattainment areas. As a result of this 1997. from the source according to procedures limited disapproval EPA will be II. Background listed in EPA Test Method 21. This 2 centimeter distance is inconsistent with required to impose highway funding or On September 23, 1992 in 57 FR EPA Test Method 21, which requires emission offset sanctions under the 43960 and May 14, 1997 in 62 FR measurement at the surface of the CAA unless the State submits and EPA 26460, EPA proposed granting limited source or 1 centimeter for moving parts. approves corrections to the identified approval and limited disapproval of the A detailed discussion of the rule deficiencies within 18 months of the following rules into the California SIP: provisions and evaluations has been effective date of this disapproval. SCAQMD Rule 1103, Pharmaceutical provided in the PRs and in the technical Moreover, EPA will be required to and Cosmetic Manufacturing support documents (TSDs) available at promulgate a Federal implementation Operations, and SCAQMD Rule 462, EPA’s Region IX office (TSDs dated June plan (FIP) unless the deficiencies are Organic Liquid Loading. Rule 1103 was 19, 1992 (Rule 1103) and March 12, corrected within 24 months of the adopted by SCAQMD on December 7, effective date of this disapproval. 1997 (Rule 462)). EFFECTIVE DATE: This action is effective 1 The State has recently changed the names and III. Response to Public Comments on December 15, 1997. boundaries of the air basins located within the Southeast Desert Modified AQMA. Pursuant to A 30-day public comment period was ADDRESSES: Copies of the rules and State regulation the Coachella-San Jacinto Planning provided in 57 FR 43960 and 62 FR EPA’s evaluation report for each rule are Area is now part of the Salton Sea Air Basin (17 26460. EPA received no comments on available for public inspection at EPA’s Cal. Code. Reg. § 60114); the Victor Valley/Barstow the PRs. Region 9 office during normal business region in San Bernardino County and Antelope Valley Region in Los Angeles County is a part of IV. EPA Action hours. Copies of the submitted rules are the Mojave Desert Air Basin (17 Cal. Code. Reg. available for inspection at the following § 60109). In addition, in 1996 the California EPA is finalizing a limited approval locations: Legislature established a new local air agency, the and a limited disapproval of the above- Antelope Valley Air Pollution Control District, to Rulemaking Office, (AIR–4), Air have the responsibility for local air pollution referenced rules. The limited approval Division, U.S. Environmental planning and measures in the Antelope Valley of these rules is being finalized under Protection Agency, Region IX, 75 Region (California Health & Safety Code § 40106). section 110(k)(3) in light of EPA’s Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations 60785 authority pursuant to section 301(a) to with jurisdiction over populations of Office prior to publication of this rule in adopt regulations necessary to further less than 50,000. today’s Federal Register. This rule is air quality by strengthening the SIP. The SIP approvals under sections 110 and not a ‘‘major rule’’ as defined by 5 approval is limited in the sense that the 30l, and subchapter I, part D of the CAA U.S.C. 804(2). rules strengthen the SIP. However, the do not create any new requirements but List of Subjects in 40 CFR Part 52 rules do not meet the section simply approve requirements that the 182(a)(2)(A) CAA requirement because State is already imposing. Therefore, Environmental protection, Air of the rule deficiencies which were because the Federal SIP approval does pollution control, Hydrocarbons, discussed in the PRs. Thus, in order to not impose any new requirements, I Incorporation by reference, strengthen the SIP, EPA is granting certify that it does not have a significant Intergovernmental relations, Ozone, limited approval of these rules under impact on any small entities affected. Reporting and recordkeeping sections 110(k)(3) and 301(a) of the Moreover, due to the nature of the requirements, Volatile organic CAA. This action approves the rules Federal-State relationship under the compound. into the SIP as federally enforceable CAA, preparation of a flexibility Dated: October 24, 1997. analysis would constitute Federal rules. Felicia Marcus, inquiry into the economic At the same time, EPA is finalizing Regional Administrator. the limited disapproval of these rules reasonableness of state action. The because they contain deficiencies that Clean Air Act forbids EPA to base its Part 52, chapter I, title 40 of the Code have not been corrected as required by action concerning SIPS on such of Federal Regulations is amended as section 182(a)(2)(A) of the CAA, and, as grounds. Union Electric Co. v. U.S. EPA, follows: 427 U.S. 246, 255–66 (1976); 42 U.S.C. such, the rules do not fully meet the PART 52Ð[AMENDED] requirements of Part D of the Act. As 7410(a)(2). stated in the PRs, upon the effective C. Unfunded Mandates 1. The authority citation for part 52 date of this FR, the 18-month clock for continues to read as follows: Under Section 202 of the Unfunded sanctions and the 24-month FIP clock Mandates Reform Act of 1995 Authority: 42 U.S.C. 7401–7671q. will begin. Sections 179(a) and 110(c). If (‘‘Unfunded Mandates Act’’), signed the State does not submit the required into law on March 22, 1995, EPA must Subpart FÐCalifornia corrections and EPA does not approve prepare a budgetary impact statement to the submittal within 18 months of the 2. Section 52.220 is amended by accompany any proposed or final rule FR, either the highway sanction or the adding paragraphs (c)(184)(i)(B)(5) and that includes a Federal mandate that offset sanction will be imposed at the 18 (225)(i)(A)(2) to read as follows: may result in estimated costs to State, month mark. It should be noted that the local, or tribal governments in the § 52.220 Identification of plan. rules covered by this FR have been aggregate; or to private sector, of $100 * * * * * adopted by the SCAQMD and are million or more. Under Section 205, (c) * * * currently in effect in the SCAQMD. EPA must select the most cost-effective (184) * * * EPA’s limited disapproval action will and least burdensome alternative that (i) * * * not prevent a local agency or EPA from achieves the objectives of the rule and (B) * * * enforcing these rules. is consistent with statutory (5) Rule 1103, adopted on December Nothing in this action should be requirements. Section 203 requires EPA 7, 1990. construed as permitting or allowing or to establish a plan for informing and establishing a precedent for any future * * * * * advising any small governments that request for revision to any state (225) * * * may be significantly or uniquely implementation plan. Each request for (i) * * * impacted by the rule. (A) * * * revision to the state implementation EPA has determined that the approval (2) Rule 462, revised on June 9, 1995. plan shall be considered separately in action promulgated does not include a light of specific technical, economic, * * * * * Federal mandate that may result in and environmental factors and in [FR Doc. 97–29863 Filed 11–12–97; 8:45 am] estimated costs of $100 million or more relation to relevant statutory and BILLING CODE 6560±50±P to either State, local, or tribal regulatory requirements. governments in the aggregate, or to the V. Administrative Requirements private sector. This Federal action ENVIRONMENTAL PROTECTION approves pre-existing requirements A. Executive Order 12866 AGENCY under State or local law, and imposes The Office of Management and Budget no new Federal requirements. 40 CFR Part 62 (OMB) has exempted this regulatory Accordingly, no additional costs to [FL±70±1±9738a; FRL±5920±3] action from E.O. 12866 review. State, local, or tribal governments, or to B. Regulatory Flexibility Act the private sector, result from this Approval and Promulgation of State action. Plans for Designated Facilities and Under the Regulatory Flexibility Act, Pollutants: Florida 5 U.S.C. 600 et seq., EPA must prepare D. Submission to Congress and the General Accounting Office a regulatory flexibility analysis AGENCY: Environmental Protection assessing the impact of any proposed or Under 5 U.S.C. 801(a)(1)(A) as added Agency (EPA). final rule on small entities. 5 U.S.C. 603 by the Small Business Regulatory ACTION: Direct final rule. and 604. Alternatively, EPA may certify Enforcement Fairness Act of 1996, EPA that the rule will not have a significant submitted a report containing this rule SUMMARY: EPA is approving the Sections impact on a substantial number of small and other required information to the 111(d)/129 State Plan submitted by entities. Small entities include small U.S. Senate, the U.S. House of Florida on November 18, 1996, for businesses, small not-for-profit Representatives and the Comptroller implementing and enforcing the enterprises, and government entities General of the General Accounting Emissions Guidelines (EG) applicable to 60786 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations existing Municipal Waste Combustors requires States to submit to EPA for implement and enforce the EG for large (MWCs) with capacity to combust more approval State Plans that implement MWCs, and (2) FDEP also demonstrated than 250 tons/day of municipal solid and enforce the emission guidelines. legal authority to adopt emission waste (MSW). See 40 CFR part 60, State Plans must be at least as protective standards and compliance schedules subpart Cb. as the emission guidelines, and become applicable to the designated facilities; DATES: This final rule is effective Federally enforceable upon approval by enforce applicable laws, regulations, January 12, 1998 unless significant EPA. The procedures for adoption and standards and compliance schedules; material, and adverse comments are submittal of State Plans are codified in seek injunctive relief; obtain received by December 15, 1997. If the 40 CFR Part 60, Subpart B. EPA information necessary to determine effective date is delayed, timely notice originally promulgated the Subpart B compliance; require recordkeeping; will be published in the Federal provisions on November 17, 1975. EPA conduct inspections and tests; require Register. amended Subpart B on December 19, the use of monitors; require emission ADDRESSES: Written comments on this 1995, to allow the subparts developed reports of owners and operators; and action should be addressed to Joey under section 129 to include make emission data publicly available. LeVasseur at the Environmental specifications that supersede the general In Sections 2.1, 2.2, and 2.3 of the Protection Agency, Region 4, Air provisions in Subpart B regarding the State Plan, FDEP cites all emission Planning Branch, 61 Forsyth Street, SW, schedule for submittal of State Plans, standards and limitations for the major Atlanta, Georgia 30303–3104. Copies of the stringency of the emission pollutant categories related to the materials submitted to EPA may be limitations, and the compliance designated sites and facilities. These examined during normal business hours schedules. See 60 FR 65414. standards and limitations in Rules 62– at the following locations: EPA Region This action approves the State Plan 204.800(8) and 62–296.416 are approved 4, Atlanta Federal Center, 61 Forsyth submitted by Florida to implement and as being at least as protective as the Street, SW, Atlanta, Georgia 30303– enforce Subpart Cb, as it applies to large Federal requirements contained in 3104, and at Florida Department of MWC units only. Subpart Cb for existing large MWC Environmental Protection, Air units. II. Discussion Florida submitted compliance Resources Management Division, Twin The Florida Department of schedules and legally enforceable Towers Office Building, 2600 Blair Environmental Protection (FDEP) increments of progress and, where Stone Road, Tallahassee, Florida 32399– submitted to EPA the following in their applicable, closure agreements for each 2400. 111(d)/129 State Plan for implementing large MWC. This portion of the State FOR FURTHER INFORMATION CONTACT: and enforcing the emission guidelines Plan (Section 5.0) has been reviewed Scott Davis at 404/562–9127 or Joey for existing MWCs in the State: Legal and approved as being at least as LeVasseur at 404/562–9035. Authority; Enforceable Mechanisms; protective as Federal requirements for SUPPLEMENTARY INFORMATION: Inventory of MWC Units; Emission existing large MWC units. Inventory; Compliance Schedules and Florida’s Plan includes its legal I. Background Closure Agreements; Testing, authority to require owners and On December 19, 1995, pursuant to Monitoring, Recordkeeping and operators of designated facilities to sections 111 and 129 of the Clean Air Reporting; Annual State Progress maintain records and report to the State Act (Act), EPA promulgated new source Reports; and applicable State the nature and amount of emissions and performance standards (NSPS) regulations (Rules 62–204.800(8), 62– any other information that may be applicable to new MWCs and EG 296.416, and 62–296.401(6) of the necessary to enable the State to judge applicable to existing MWCs. The NSPS Florida Administrative Code) on the compliance status of the facilities. and EG are codified at 40 CFR part 60, November 18, 1996. FDEP submitted its Florida also cites its legal authority to Subparts Eb and Cb, respectively. See 60 plan before the Court of Appeals provide for periodic inspection and FR 65387. Subparts Cb and Eb regulate vacated Subpart Cb as it applies to small testing and provisions for making the following: particulate matter, MWC units. Thus, FDEP’s plan covers reports of MWC emissions data, opacity, sulfur dioxide, hydrogen both large and small MWC units. As a correlated with emission standards that chloride, oxides of nitrogen, carbon result of the Davis decision and apply, available to the general public. monoxide, lead, cadmium, mercury, and subsequent vacatur order, there are no Florida submitted Rule 62–204.800(8)(b) dioxins and dibenzofurans. emission guidelines promulgated under F.A.C. to support the requirements of On April 8, 1997, the United States sections 111 and 129 that apply to small monitoring, reporting, and compliance Court of Appeals for the District of MWC units. Accordingly, EPA’s review assurance. These State rules have been Columbia Circuit vacated Subparts Cb and approval of FDEP’s State Plan for reviewed and approved as meeting and Eb as they apply to MWC units with MWCs addresses only those parts of Federal requirements for existing large capacity to combust less than or equal FDEP’s Plan which affect large MWC MWC units. to 250 tons/day of MSW (small MWCs), units. Small units are not subject to the As stated in Section 8.0 of the State consistent with their opinion in Davis requirements of the Federal Rule and Plan, Florida plans to provide progress County Solid Waste Management and not part of this approval. Until EPA reports of plan updates on an annual Recovery District v. EPA, 101 F.3d 1395 again promulgates emission guidelines basis in conjunction with the required (D.C. Cir. 1996), as amended, 108 F.3d for small MWC units, EPA has no annual reports pursuant to 40 CFR 1454 (D.C. Cir. 1997). As a result, authority under section 129(b)(2) of the section 51.321. This meets the Subparts Eb and Cb apply only to MWC Act to review and approve State Plans minimum requirement for State units with individual capacity to applying state rules to small MWC reporting and is approved. combust more than 250 tons/day of units. municipal solid waste (large MWC The approval of FDEP’s State Plan is Final Action units). based on finding that: (1) FDEP The EPA is publishing this action Under section 129 of the Act, provided adequate public notice of without prior proposal because the emission guidelines are not Federally public hearings for the proposed Agency views this as a noncontroversial enforceable. Section 129(b)(2) of the Act rulemaking which allows Florida to amendment and anticipates no adverse Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations 60787 comments. However, in a separate this rule, including small entities. extend the time within which a petition document in this Federal Register Therefore, these amendments will not for judicial review may be filed, and publication, the EPA is proposing to have a significant impact on a shall not postpone the effectiveness of approve the revision should significant, substantial number of small entities. such rule or action. This action may not material, and adverse comments be be challenged later in proceedings to C. Unfunded Mandates filed. This action will be effective enforce its requirements. (See section January 12, 1998 unless, by December Under Section 202 of the Unfunded 307(b)(2).) 15, 1997, adverse or critical comments Mandates Reform Act of 1995 List of Subjects in 40 CFR Part 62 are received. (‘‘Unfunded Mandates Act’’), signed If the EPA receives such comments, into law on March 22, 1995, EPA must Environmental protection, this action will be withdrawn before the prepare a budgetary impact statement to Administrative practice and procedure, effective date by publishing a accompany any proposed or final rule Air pollution control, Intergovernmental subsequent notice that will withdraw that includes a Federal mandate that relations, Municipal waste combustors, the final action. All public comments may result in estimated costs to State, Reporting and recordkeeping received will be addressed in a local, or tribal governments in the requirements. subsequent final rule based on this aggregate, or to the private sector, of Dated: October 14, 1997. action serving as a proposed rule. The $100 million or more. Under Section A. Stanley Meiburg, EPA will not institute a second 205, EPA must select the most cost- comment period on this action. Any effective and least burdensome Acting Regional Administrator. parties interested in commenting on this alternative that achieves the objectives 40 CFR part 62 of the Code of Federal action should do so at this time. If no of the rule and is consistent with Regulations is amended as follows: such comments are received, the public statutory requirements. Section 203 is advised that this action will be requires EPA to establish a plan for PART 62Ð[AMENDED] effective January 12, 1998. informing and advising any small 1. The authority citation for part 62 Nothing in this action should be governments that may be significantly continues to read as follows: construed as permitting or allowing or or uniquely impacted by the rule. establishing a precedent for any future EPA has determined that the approval Authority: 42 U.S.C. 7401–7642. request for revision to any state action promulgated does not include a implementation plan. Each request for Federal mandate that may result in Subpart KÐFlorida revision to the state implementation estimated costs of $100 million or more plan shall be considered separately in to either State, local, or tribal 2. Part 62.2350 is amended by adding light of specific technical, economic, governments in the aggregate, or to the paragraphs (b)(5) and (c)(3) to read as and environmental factors and in private sector. This Federal action follows: relation to relevant statutory and approves pre-existing requirements § 62.2350 Identification of plan. regulatory requirements. under State or local law, and imposes * * * * * III. Administrative Requirements no new requirements. Accordingly, no additional costs to State, local, or tribal (b) * * * A. Executive Order 12866 governments, or to the private sector, (5) Control of metals, acid gases, The Office of Management and Budget result from this action. organic compounds and nitrogen oxide emissions from existing municipal (OMB) has exempted this regulatory D. Submission to Congress and the action from E.O. 12866 review. waste combustors was submitted by the General Accounting Office Florida Department of Environmental B. Regulatory Flexibility Act Under 5 U.S.C. 801(a)(1)(A) as added Protection on November 18, 1996. Under the Regulatory Flexibility Act, by the Small Business Regulatory (c) * * * 5 U.S.C. 600 et seq., EPA must prepare Enforcement Fairness Act of 1996, EPA (3) Existing municipal waste a regulatory flexibility analysis submitted a report containing this rule combustors. assessing the impact of any proposed or and other required information to the 3. Subpart K is amended by adding a final rule on small entities. 5 U.S.C. 603 U.S. Senate, the U.S. House of new § 62.2355 and a new undesignated and 604. Alternatively, EPA may certify Representatives and the Comptroller center heading to read as follows: that the rule will not have a significant General of the General Accounting impact on a substantial number of small Office prior to publication of the rule in Metals, Acid Gases, Organic entities. Small entities include small today’s Federal Register. This rule is Compounds and Nitrogen Oxide businesses, small not-for-profit not a ‘‘major rule’’ as defined by 5 Emissions From Existing Municipal enterprises, and government entities U.S.C. 804(2). Waste Combustors With the Capacity To with jurisdiction over populations of Combust Greater Than 250 Tons Per Day E. Petitions for Judicial Review less than 50,000. of Municipal Solid Waste Pursuant to section 605(b) of the Under section 307(b)(1) of the Clean § 62.2355 Identification of sources. Regulatory Flexibility Act, I certify that Air Act, petitions for judicial review of The plan applies to existing facilities this rule will not have a significant this action must be filed in the United with a municipal waste combustor economic impact on a substantial States Court of Appeals for the (MWC) unit capacity greater than 250 number of small entities. This Federal appropriate circuit by January 12, 1998. tons per day of municipal solid waste action approves pre-existing Filing a petition for reconsideration by (MSW). requirements under Federal, State or the Administrator of this final rule does local law, and imposes no new not affect the finality of this rule for the [FR Doc. 97–29860 Filed 11–12–97; 8:45 am] requirements on any entity affected by purposes of judicial review, nor does it BILLING CODE 6560±50±P 60788 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations

DEPARTMENT OF COMMERCE Administrator, Northwest Region, Fishery Management Council and the NMFS, 7600 Sand Point Way NE., Oregon Department of Fish and Wildlife National Oceanic and Atmospheric Seattle, WA 98115–0070. Information regarding this adjustment. The State of Administration relevant to this action is available for Oregon managed the commercial fishery public review during business hours at in state waters adjacent to this area of 50 CFR Part 660 the office of the Regional Administrator, the exclusive economic zone in [Docket No. 970429101±7101±01; I.D. Northwest Region, NMFS. accordance with this Federal action. As 103097A] FOR FURTHER INFORMATION CONTACT: provided by the inseason notice William Robinson, 206–526–6140. procedures of 50 CFR 660.411, actual Fisheries Off West Coast States and in SUPPLEMENTARY INFORMATION: In the notice to fishermen of this action was the Western Pacific; West Coast annual management measures for ocean given prior to 0001 hours local time, Salmon Fisheries; Inseason salmon fisheries (62 FR 24355, May 5, August 13, 1997 by telephone hotline Adjustment From Sisters Rocks to 1997), NMFS announced that the numbers (206) 526–6667 and (800) 662– Mack Arch, OR commercial fishery in the area from 9825, and by U.S. Coast Guard Notice to AGENCY: National Marine Fisheries Sisters Rocks to Mack Arch, OR, would Mariners broadcasts on Channel 16 Service (NMFS), National Oceanic and open August 1 and continue through the VHF-FM and 2182 kHz. Because of the Atmospheric Administration (NOAA), earlier of August 31 or attainment of the need for immediate action to take Commerce. 3,000 chinook salmon quota. The season advantage of the opportunity to harvest was scheduled to follow a cycle of 2 the available quota, NMFS has ACTION: Inseason adjustment; request for days open/2 days closed for the purpose determined that good cause exists for comments. of dampening catch rates and extending this notice to be issued without SUMMARY: NMFS announces that the the fishing season. affording a prior opportunity for public commercial salmon fishery in the area The best available information on comment. This action does not apply to from Sisters Rocks to Mack Arch, OR, August 11 indicated that a sufficient other fisheries that may be operating in opened for 7 days per week beginning number of chinook salmon remained in other areas. the quota to rescind the catch August 13, 1997. This adjustment was Classification intended to provide commercial dampening measure. Hence, effective 0001 hours local time, August 13, the fishermen with additional opportunity This action is authorized by 50 CFR commercial salmon fishery in this area to harvest chinook salmon without 660.409 and 660.411 and is exempt from opened 7 days per week. This fishery exceeding the ocean share allocated to review under E.O. 12866. the commercial fishery in this area. operated through August 31. Modification of fishing seasons is Authority: 16 U.S.C. 1801 et seq. DATES: Effective 0001 hours local time, authorized by regulations at 50 CFR Dated: November 6, 1997. August 13, through 2400 hours local 660.409(b)(1)(i). All other restrictions time, August 31, 1997. Comments will that applied to this fishery remained in Gary C. Matlock, be accepted through November 28, effect as announced in the annual Director, Office of Sustainable Fisheries, 1997. management measures. National Marine Fisheries Service. ADDRESSES: Comments may be mailed to The Regional Administrator consulted [FR Doc. 97–29878 Filed 11–12–97; 8:45 am] William Stelle, Jr., Regional with representatives of the Pacific BILLING CODE 3510±22±F 60789

Proposed Rules Federal Register Vol. 62, No. 219

Thursday, November 13, 1997

This section of the FEDERAL REGISTER availability to upload comments as files which the agency and the interests contains notices to the public of the proposed (any format), if your web browser affected by a rulemaking meet to issuance of rules and regulations. The supports that function. For information attempt to reach a consensus on a draft purpose of these notices is to give interested about the interactive rulemaking site, proposed rule. If a consensus is reached, persons an opportunity to participate in the contact Ms. Carol Gallagher, (301) 415– the agency publishes the negotiated rule rule making prior to the adoption of the final rules. 5905; e-mail [email protected]. as the agency’s proposed rule. The Documents related to this rulemaking, Commission selected the negotiated including comments received, may be rulemaking approach to address the LSS NUCLEAR REGULATORY examined at the NRC Public Document issue for several reasons. In 1987, the COMMISSION Room, 2120 L Street NW., (Lower idea of use of an electronic information Level), Washington, DC. These same management system in a Commission 10 CFR Part 2 documents also may be viewed and adjudicatory proceeding was novel, not downloaded electronically via the RIN 3150±AF88 only for the Commission, but in general. interactive rulemaking website Therefore, the development of the rules Procedures Applicable to Proceedings established by NRC for this rulemaking. for the use of such a system would for the Issuance of Licenses for the FOR FURTHER INFORMATION CONTACT: benefit from discussion and joint Receipt of High-Level Radioactive Kathryn L. Winsberg, U.S. Nuclear problem solving by those who might Waste at a Geologic Repository Regulatory Commission, Washington, ultimately use the system and had DC 20555, telephone (301) 415–1641, experience with the Commission’s AGENCY: Nuclear Regulatory e-mail [email protected]. traditional adjudicatory process. Commission. SUPPLEMENTARY INFORMATION: Furthermore, the potential users of the ACTION: Proposed rule. LSS possessed unique information that I. Background would be important to the design of the SUMMARY: The Nuclear Regulatory The existing procedures for licenses system, such as their computer Commission is proposing to amend its to receive high-level radioactive waste capability and the amount and types of Rules of Practice for the licensing at a geologic repository were developed relevant documents that they might proceeding on the disposal of high-level to address the Nuclear Regulatory generate. In addition, the potential for radioactive waste at a geologic Commission’s concern regarding how consensus was enhanced by the fact that repository (HLW proceeding). The best to review the U.S. Department of the LSS rule focused on procedures for proposed amendments are intended to Energy (DOE) license application for a conducting the licensing process that allow application of technological first-of-a-kind high-level radioactive might benefit all parties, rather than developments that have occurred since waste (HLW) repository during the 3- focusing on substantive technical the original rule was adopted in 1989, year time period dictated by Section criteria for a licensing process. Finally, while achieving the original goals of 114(d) of the Nuclear Waste Policy Act. the success of the LSS concept facilitating the Commission’s ability to The Commission believed it necessary depended upon potential parties comply with the schedule for decision to reduce the time normally spent on voluntarily complying with the on the construction authorization for the the discovery process at the start of a licensing process for document repository contained in Section 114(d) licensing proceeding and the time- identification and submission in the of the Nuclear Waste Policy Act, and consuming service of documents during period before the DOE license providing for a thorough technical the proceeding if the Commission were application was submitted. Therefore, review of the license application and to reach its decision within the allotted the involvement of interested parties in equitable access to information for the time. The Licensing Support System the development of the provisions to parties to the hearing. (LSS) concept, an electronic information govern the use of the LSS was essential. DATES: Submit comments by January 27, management system, was created to The Commission initiated the 1998. Comments received after this date achieve this time reduction by making negotiated rulemaking in August 1987. will be considered if it is practical to do the information and data supporting a The negotiating committee, composed of so, but the NRC is able to assure DOE application available State, local, and tribal governments, consideration only for comments simultaneously in a centralized database industry representatives, NRC, DOE, received on or before this date. to all interested parties before the and environmental groups, completed ADDRESSES: Send comments by mail application is submitted and formal its work in July 1988. Except for the addressed to the Secretary, U.S. Nuclear NRC review begins. Emerging industry coalition, all the parties on the Regulatory Commission, Washington, information management technologies negotiating committee agreed on the text DC 20555–0001. Attention: Rulemakings for issue identification, electronic and supplementary information of a and Adjudications Staff. storage and retrieval, and electronic draft proposed rule. However, even the Hand-deliver comments to: 11555 mail were recommended for these one dissenting party, the industry Rockville Pike, Rockville, Maryland, functions to help achieve the objectives representative, had been a full and between 7:30 am and 4:15 pm on of more effective and efficient review. active participant in the drafting of the Federal workdays. The Commission employed the regulatory text and supporting You may also provide comments via technique of negotiated rulemaking to information. Industry did not join the the NRC’s interactive rulemaking web develop the regulations governing the final consensus at the end of the process site through the NRC home page (http:/ development and use of the LSS. based on its belief that the use of a new /www.nrc.gov). This site provides the Negotiated rulemaking is the process by technology in the licensing process 60790 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules would not prove cost-beneficial. At that accumulation of potential licensing geologic repository. This would time, the cost of the LSS was estimated information. eliminate the LSS as a uniquely by DOE to be in the $200 million range. Because of the length of time involved designed stand-alone system, while still The Commission, recognizing the and the narrowing of the repository maintaining the following primary agreement among the other parties on development program, much of the functions of the LSS as a mechanism for the negotiating committee, decided to early material thought to be relevant at the: publish the negotiated draft proposed the time the rule was developed may no (1) Discovery of documents before the rule as the Commission’s proposed rule longer be relevant to the actual licensing license application is filed; in November 1988. Because of this proceeding that may not begin until (2) Electronic transmission of filings effort, the final LSS rule (10 CFR part 2, about 2002. Also because of the by the parties during the proceeding; subpart J), ‘‘Procedures Applicable to extended period of time it has taken to (3) Electronic transmission of orders Proceeding for the Issuance of Licenses develop the LSS for DOE’s use as a and decisions related to the proceeding; for the Receipt of High-Level document management system, it and Radioactive Waste at a Geologic appears that all accumulated documents (4) Access to an electronic version of Repository’’, was promulgated on April may not have been identified and the docket. 24, 1989 (54 FR 14925). maintained properly for tracking of The Commission believes that the The LSS rule assigned the LSS important repository development proposed rule would continue to Administrator (LSSA) function to the decisions. In addition, because support the model schedule for NRC which would be responsible for the document capture may now involve conducting the licensing proceeding management, administration, operation, much larger backlogs than originally within the 3-year statutory period that and maintenance of the LSS; pursuant contemplated, the risk of failing to was published in the Statement of to DOE’s agreement, gave DOE capture all the material originally Considerations for the original 10 CFR responsibility for the design, required to be placed in the LSS is part 2, subpart J, rule published on development, and implementation of substantially larger than originally April 14, 1989 (54 FR 14925, 14939). the LSS; and established the charter of assumed. In order for the current The proposed rule would eliminate the LSS Advisory Review Panel Subpart J rules to apply, the LSSA must the current prescriptive requirement in (LSSARP) to provide consensus certify that the DOE has complied with 10 CFR part 2, subpart J, for a guidance on the design and the requirement to enter all relevant centralized ‘‘Licensing Support System’’ development of the LSS to both NRC documents in the LSS. Therefore, all of administered by the NRC and therefore and DOE. The LSS was intended to these factors combine to produce the also would eliminate the requirement provide a central, shared, federally high likelihood that the current rule for an LSS Administrator to ensure the funded database of licensing cannot be implemented as originally viability of the central database. To information beginning in 1995, the year envisioned. If not, then 10 CFR part 2, replace these features of the existing DOE was expected to submit its subpart J, will no longer apply. Instead, rule, the proposed rule would require application for a construction permit for subpart G, the generally applicable that all potential parties, including the the repository. The Commission procedures for licensing proceedings, NRC and DOE, make their documentary adopted minor amendments further will apply. This means that there would material available in electronic form to clarifying these procedures in a final be no pre-license application access to all other participants beginning in the rule published on February 26, 1991 (56 documents. pre-license application phase. This FR 7787). Although the development of the LSS requirement is stated without unduly The Licensing Support System has remained stalled, the state of restrictive technological specifications, Administrator (LSSA) was appointed in technology in document automation and in order to accommodate flexible January 1989. The LSSARP was formed, retrieval has overtaken the 1986 implementation consistent with current holding its first meeting in December technology on which the original LSS or future technological developments. 1989. Also in December 1989, well was to be based. The use of computers Documentary material would be before any serious development work to generate and maintain the complex defined as the material upon which a could be started on the LSS, the documents of a party in litigation is party intends to rely in support of its Department of Energy revised its widespread and commonplace. The position in the licensing proceeding; repository program schedule to extend Internet is universally available to tie any material which is relevant to, but its anticipated license application date disparate and geographically dispersed does not support, that material or that from 1995 to 2001. Consequently, the systems together. Readily available party’s position; and all reports and LSS development schedule was commercial software applications can studies, prepared by or on behalf of the extended. perform the document management potential party, interested governmental functions of the LSS. Therefore, the participant, or party, including all II. Discussion centralized LSS envisioned at the time related ‘‘circulated drafts,’’ relevant to The development of the LSS that was the LSS rule was developed has become the issues set forth in the Topical devised in the original procedural rules obsolete. The enormous expense of Guidelines in Regulatory Guide 3.69, in 10 CFR Part 2, Subpart J, has not been designing and maintaining a stand-alone regardless of whether they will be relied accomplished during the time that has system required by the current rules upon and/or cited by a party. For the passed since adoption of the rule. Many appears to be an unjustified expense, purposes of this rule, the pre- delays and changes in personnel and especially when it appears unlikely that application phase would begin on the program structure have attended the the rule will be able to be implemented date that the President submits the site Department of Energy’s efforts to successfully even if the LSS is created. recommendation to Congress. This develop the LSS. Budgetary shortfalls Consequently, the Commission is timing would allow access to the and the unanticipated length of time proposing to amend its rules to allow parties’ documentary material enough that it has taken to develop the licensing more flexibility to incorporate the before DOE submits the license application for the repository not only advantages of new information application to allow advance delayed the development of the LSS, but management technologies in the preparation of contentions and also resulted in several additional years’ procedural rules for the licensing of the discovery requests before the license Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules 60791 application, but late enough in the all reports and studies, prepared by or and also to refer to that act for the repository development process to on behalf of the potential party, definition of affected Indian tribe. In provide meaningful information. interested governmental participant, or addition, any affected unit of local A Pre-License Application Presiding party, including all related ‘‘circulated government, the host State, and any Officer would resolve any disputes over drafts,’’ relevant to the issues set forth affected Indian Tribe would be required electronic access to documents during in the Topical Guidelines in Regulatory to file a list of contentions. the pre-license application phase. Guide 3.69, regardless of whether they Potential Party Potential parties would be required to will be relied upon and/or cited by a certify to the Pre-License Application party. This definition would be used in This definition would be revised to Presiding Officer that they have the rule in § 2.1003 to define what remove the reference to the LSS, and to complied with the requirement to material must be provided in electronic substitute the term integrated electronic provide electronic access to their form for access beginning in the pre- information to describe the material to documentary material. The license application phase. Therefore the which the potential party will be given requirements of the current rule for an term ‘‘documentary material’’ would be access. electronic hearing docket would be intended to describe the most important Pre-license Application Electronic retained, as well as the limitations on body of material and would be defined Docket the permissible forms of discovery after clearly to require that all parties include the application is filed. electronic access to any relevant A new definition would be added to The Commission is considering two material in their possession that does describe NRC’s electronic information alternatives regarding the LSS Advisory not support their position in the system to receive, distribute, store, and Review Panel. In this proposed rule, licensing proceeding, as well as maintain NRC pre-license application because the concept of the LSS would providing access to the material that docket materials during the pre-license be replaced, the requirement for an LSS does support their position, and any application phase. Advisory Review Panel would be reports and studies prepared by the Pre-License Application Phase modified so the panel can advise the party on issues described in the Topical Secretary of the Commission regarding Guidelines, regardless of whether or not This definition is being specified for standards and procedures for electronic they would be relied upon or cited by the purposes of this rule to begin on the access to documents and for the party. The scope of the documentary date that the President submits the site maintenance of the electronic docket. material would still be governed by the recommendation to the Congress. This This would require renaming of the topical guidelines. date has been chosen to allow access to advisory committee and redrafting of the potential parties’ documentary the committee charter. However, the Electronic Docket material enough before the license Commission is also considering the A new definition would be added to application to allow advance alternative of replacing the Advisory describe NRC’s electronic information preparation of contentions and Review Panel with a more informal system to receive, distribute, store, and discovery requests before the users group, and particularly requests maintain NRC adjudicatory docket application is filed, but late enough in comments from potential parties to the materials in the licensing proceeding. the repository development process to provide meaningful information. HLW repository licensing proceeding Integrated Electronic Information regarding these two alternative Searchable Full Text arrangements. A new definition would be added to describe material made available in This definition would be revised to III. Section-by-Section Description of electronic form to potential parties, remove references to ASCII and to the Changes parties, or interested governmental LSS. In § 2.1000, the reference to § 2.709 participants to the licensing proceeding Topical Guidelines would be removed because it would for the high-level waste geologic require compliance with § 2.708 that repository, either as part of the NRC’s A new definition would be added to would not apply to this subpart. pre-license application electronic describe the set of topics set forth in In § 2.1001, the following definitions docket or electronic docket or pursuant Regulatory Guide 3.69 that are intended would be added, amended, or removed: to electronic access to documentary to guide the scope of documentary material made available by individual material under this subpart. ASCII File potential parties, parties, and interested Section 2.1002 would be removed This definition would be removed governmental participants. This is a because the LSS would no longer be and no longer used in the rule. term for the information access that required. Access to integrated electronic Prescriptive references to specific would replace the LSS in this rule. information would provide the major technical standards would be removed functions which the LSS was designed to allow flexible implementation LSS Administrator to provide. Paragraphs (c) and (d), consistent with developing technology. This term would be eliminated from which state that participation by the the rule because the concept of the LSS host State in the pre-application phase Documentary Material would also be removed. The Pre-license will not affect its disapproval rights, and The definition of documentary Application Presiding Officer will that this subpart shall not affect any material would be revised to cover resolve disputes about electronic access participant’s independent right to material upon which a party, potential to documents in the pre-license receive information, would be party, or interested governmental application phase. incorporated in the revised § 2.1003 as participant intends to rely and/or cite in paragraphs (a)(2) and (3). support of its position in the licensing Party Section 2.1003 would be revised to proceeding; any material or other This definition would be revised to describe information that would be information which is relevant to, but add ‘‘affected unit of local government’’, required to be made available does not support, that material or as that term is defined in the Nuclear electronically by all potential parties, information or that party’s position; and Waste Policy Act of 1982, as amended, parties, and interested governmental 60792 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules participants (including the NRC and than providing terminals for access to proposed rule to accommodate a new DOE). This information would have to the LSS. These systems must be purpose, the advisory committee would be made available to all other maintained by DOE and NRC at the have to be renamed and the committee participants beginning in the pre-license locations specified in the current charter would have to be redrafted. application phase, which starts at the version of the rule (except for the However, the Commission is also date of the President’s submission of the Uranium Recovery Field Office which considering the alternative of site recommendation to the Congress. no longer exists), beginning in the pre- eliminating the requirement for an The requirements of the rule would be license application phase. advisory committee chartered under the simplified to require only that access to Section 2.1008 would be revised to Federal Advisory Committee Act, and an electronic file be provided. All allow electronic access to the integrated substituting a more informal voluntary references to specific formats would be electronic information to any person users group to perform the functions of removed to allow flexibility in who complies with the requirements of discussing electronic format standards, implementation. The Commission Subpart J, including the requirement in procedures, and other details. If this intends that a potential party, party, or § 2.1003 to make documentary material option were adopted, the final rule interested governmental participant available, and who agrees to comply would be revised to refer to the users might offer electronic access to its with the orders of the Pre-license group. This group would be able to documentary material in a number of Application Presiding Officer. The interact using Internet discussion areas different ways, including by providing previous requirement to petition to the (like LSSNet) as well as meetings, video its documents in electronic form either Pre-license Application Presiding conferences, or teleconferences. This to the NRC or to the DOE, to have the Officer would be removed. users group would ideally make use of NRC or the DOE maintain the Section 2.1009 would be revised to the current LSSARP members’ documents for electronic access. delete references to the LSS and the knowledge and experience. The Although the draft rule would require LSSA, and to refer instead to the Commission is particularly requesting that documentary material be made responsibility to provide electronic files. comment from potential parties to the available electronically beginning on the The responsible official for each HLW repository concerning their date of the President’s site potential party would be required to interest and support for the informal recommendation to the Congress, the certify to the Pre-License Presiding users group alternative. Officer that procedures to comply with Commission would encourage the Section 2.1012(a) would be revised to § 2.1003 have been implemented and earliest feasible availability of allow the Director of the NRC Office of documentary material in order to that its documentary material has been Nuclear Material Safety and Safeguards enhance the future smooth operation of made electronically available. A new (NMSS) to determine that the the licensing proceeding. The requirement to update the certification application would not be acceptable if paragraphs relating to evaluations and at the request of the presiding officer it is not able to be accessed through the certifications by the LSS Administrator would be added to replace a previous electronic docket. Section 2.1012(b)(1) would be removed because the LSS (and requirement to provide this certification would be revised to substitute LSSA) concept would be removed. at 6 month intervals. integrated electronic information for Section 2.1010 states that the Pre- Section 2.1010 would be revised to Licensing Support System so that a License Application Presiding Officer delete references to the LSS and the person who has had access to the will resolve any disputes relating to LSSA and to refer instead to electronic electronic access to documents in the access. The reference to petitions for integrated electronic information would pre-license application phase. access would be removed to conform to not be granted party status in the Accordingly, the paragraphs which removal of this requirement. licensing proceeding if it cannot stated that the application would have Section 2.1011 is being considered for demonstrate compliance with the to be docketed under Subpart G if the revision in either of two alternative requirements of § 2.1003. Section 2.1012 LSSA did not certify compliance would ways and the Commission requests (d) would be revised to substitute pre- be removed, and Subpart J (including specific comments on these alternatives. license application electronic docket or specifically referenced sections of This proposed rule would revise electronic docket for Licensing Support Subpart G) would unconditionally § 2.1011 to reflect that the electronic System to indicate that access to either embody the rules of procedure for the availability of documentary material the pre-license application electronic HLW licensing proceeding. that is specified in this rule no longer docket or the electronic docket may be Section 2.1004 would be revised to requires special equipment. The name suspended or terminated for failure to provide procedures for providing access and functions of the LSS Advisory comply with the orders of the Pre- to a document that has not previously Review Panel would be amended to License Application Presiding Officer or been provided in electronic form and to delete the reference to the LSS and the Presiding Officer. delete previous references to the LSS substitute the purpose of arriving at Section 2.1013 would be revised to and the LSSA. standards and procedures to facilitate delete references to the LSS and LSSA Section 2.1005 would be revised to the electronic access to material and to and would refer to the provision of delete reference to the LSS and to add the electronic docket. Because of the information in electronic form. The an exclusion of readily available broad and non-prescriptive requirement in § 2.1013(c)(5) to file one references, such as journal articles or requirements regarding providing signed paper copy of each filing with proceedings, which may be subject to electronic files in this proposed rule, the the Secretary, NRC, would be removed copyright. Advisory Review Panel would be very because the electronic docket would not Section 2.1006 would be revised to useful in discussing standards and require signed paper copies. refer to providing a document in procedures to ensure that all Section 2.1014(c)(4) would delete a electronic form and to delete references participants are able to access the reference to the LSS and make the to the LSS and the LSSA. electronic information. Because the LSS failure of a petitioner to participate in Section 2.1007 would be revised to concept would be replaced, and the the pre-license application phase a refer to providing systems for access to requirement for an LSS Advisory criterion in considering whether to grant integrated electronic information rather Review Panel would be modified in the a petition to intervene. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules 60793

Section 2.1017 would use the difficult to quantify, however the in the pre-application phase (presided unavailability of the electronic docket lengthened discovery phase could over by a Pre-License Application instead of the LSS as a justification for prevent the Commission from meeting Presiding Officer). This definition of extending the computation of time in the statutory deadline for decision on documentary material would provide the proceeding. the application. This delay could also pre-application access to a more Sections 2.1018 and 2.1019 would be result in possible increased spent fuel focussed set of the materials most revised to delete references to the LSS storage costs for the additional length of important to the licensing proceeding. It and instead to refer to providing the licensing proceeding. would not require electronic access to documents electronically. the entire backlog of DOE and other Option 2: 10 CFR Part 2, Subpart G In addition, minor editorial changes parties’ material, some of which may no have been made throughout the Because the NRC is developing a new longer be relevant to the licensing proposed rule to improve readability. system called the Agency-wide proceeding. The electronic docket Documents Access and Management functionality of the LSS would be Environmental Impact: Categorical System (ADAMS), which will provide provided by the NRC agency-wide Exclusion an agency-wide electronic docket, it system with supervision of the The NRC has determined that this would be possible to rely on existing Presiding Officer. Participation in the proposed regulation is the type of action adjudicatory procedure rules in 10 CFR pre-license application phase would be described in categorical exclusion 10 part 2, subpart G (which will have to be one criterion for participating in the CFR 51.22(c)(1). Therefore, neither an updated to reflect the electronic docket) hearing. After the application is filed, in environmental impact statement nor an to conduct the licensing proceeding. addition to the electronically available environmental assessment has been However, this approach would not material, discovery would be limited to prepared for this proposed regulation. provide pre-license application access interrogatories and depositions as in the to documents and could result in a Paperwork Reduction Act Statement current rule. The specific method of protracted discovery phase. The costs of providing electronic access to This proposed rule contains no using this approach are difficult to documentary would not be specified, information collection requirements quantify. However the lengthened which would allow flexibility to and, therefore, is not subject to the discovery phase could prevent the accommodate current and future requirements of the Paperwork Commission from meeting the statutory technology advances. Individual parties Reduction Act of 1995 (44 U.S.C. 3501 deadline for decision on the application may give their documents in electronic et seq.). and result in possible increased spent form to NRC or DOE in order to provide Regulatory Analysis fuel storage costs, as in Option 1. electronic access. Because this rule would unconditionally provide the The history of the development of the Option 3: Existing Rule Using a Distributed System procedural rules for the HLW licensing existing rule, 10 CFR part 2, subpart J, proceeding, there would be no last and the current regulatory problem are This approach would allow using minute danger that the proceeding described in the Background and linked individual Internet sites to serve would have to be conducted under 10 Discussion sections of this notice. To as the LSS. However, this approach does CFR part 2, subpart G. address the regulatory problem, several not solve the problem discussed in The Commission believes that Option alternative approaches to amending the Option 1 concerning the requirement to 4 provides the most effective solution regulations in subpart J of part 2 were capture a huge backlog of material that for maintaining the basic functionality considered. may not have been maintained in a of the LSS conceptual design, while manner that would ever permit Option 1: Existing Rule most flexibly accommodating current compliance with the rule, and which and future technological developments. This approach would not take may not all be relevant to the future The Commission requests public advantage of current and future license application. Therefore, the costs comment on the draft regulatory technology. It would require an of this approach, as in Option 1, would analysis. Comments on the draft enormously expensive custom designed include the possibility that the LSS rule analysis may be submitted to the NRC system to be developed using old compliance finding could not be made as indicated under the Addresses assumptions about technological and the proceeding would have to be heading. standards and the universe of ‘‘relevant’’ conducted under 10 CFR part 2, subpart Regulatory Flexibility Certification material. At the time of the development G. A lengthened discovery phase could of the existing rule, the cost of the LSS prevent the Commission from meeting The amendments would modify the was estimated by DOE to be in the $200 the statutory deadline for decision on Commission’s rules of practice and million range. Furthermore, given the the application and result in possible procedures. The rule would be amended large backlog that contains a substantial increased spent fuel storage costs, as in to allow more widely available amount of documents that may no Option 1. electronic access to information before longer be relevant because of the the license application is filed. unanticipated delay in developing the Option 4: Revised Rule With More Participants would be required to make LSS as initially designed in 1988, there Realistic Document Discovery Approach their own documentary material is a substantial chance that it would be This approach would remove the available electronically. This proposed impossible for the DOE to achieve, and requirement for a central LSS system rule would not have a significant for the LSSA to certify, compliance with and LSS Administrator, but would economic impact upon a substantial the provisions of the current rule. In this require each potential party to provide number of small entities. The license case, the proceeding would have to be for the electronic availability of both the applicant for the HLW repository would conducted under 10 CFR part 2, subpart material it intends to rely upon to be the Department of Energy . DOE G, and could result in a protracted support its position, any material which would not fall within the definition of discovery phase. In addition to the very does not support that material or that a ‘‘small entity’’ in the NRC’s size costly and ineffective system, the position, and any reports or studies standards (10 CFR 2.810). Although a further costs of using this approach are prepared by or for the party, beginning few of the intervenors in the HLW 60794 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules proceeding would likely qualify as 2111, 2133, 2134, 2135); sec. 114(f), and LSS Administrator; adding small entities, the impact on intervenors Pub. L. 97–425, 96 Stat. 2213, as definitions of Electronic docket, or potential intervenors would not be amended (42 U.S.C. 10134(f)); sec. 102, Integrated electronic information, Pre- significant. The requirement for Pub. L. 91–190, 83 Stat. 853, as license application electronic docket, participants to make their own amended (42 U.S.C. 4332); sec. 301, 88 and Topical Guidelines; and revising the documentary material available Stat. 1248 (42 U.S.C. 5871). Sections definitions of Documentary material, electronically is stated in a manner that 2.102, 2.103, 2.104, 2.105, 2.721 also Party, Potential party, Pre-license would allow flexibility in issued under secs. 102, 103, 104, 105, application phase, and Searchable full implementation. Furthermore, it is 183, 189, 68 Stat. 936, 937, 938, 954, text, to read as follows: consistent with current business 955, as amended (42 U.S.C. 2132, 2133, practice to create documents 2134, 2135, 2233, 2239). Section 2.105 § 2.1001 Definitions. electronically. Therefore, the exact also issued under Pub. L. 97–415, 96 * * * * * additional costs involved in making the Stat. 2073 (42 U.S.C. 2239). Sections Documentary material means any documentary materials available 2.200–2.206 also issued under secs. material or other information upon electronically are difficult to quantify. 161b, i, o, 182, 186, 234, 68 Stat. 948– which a party, potential party, or However, to avoid those costs, 951, 955, 83 Stat. 444, as amended (42 interested governmental participant participants would have the option of U.S.C. 2201 (b), (i), (o), 2236, 2282); sec. intends to rely and/or to cite in support providing their documents to NRC or 206, 88 Stat 1246 (42 U.S.C. 5846). of its position in the proceeding for a DOE to maintain electronic availability. Section 2.205(j) also issued under Pub. license to receive and possess high-level Thus, in accordance with the Regulatory L. 101–410, 104 Stat. 890, as amended radioactive waste at a geologic Flexibility Act, 5 U.S.C. 605(b), the NRC by Section 31001(s), Pub. L. 104–134, repository operations area pursuant to hereby certifies that this proposed rule 110 Stat. 1321–373 (28 U.S.C. 2461 part 60 of this chapter; any material or would not have a significant economic note.) Sections 2.600–2.606 also issued other information that is relevant to, but impact upon a substantial number of under sec. 102, Pub. L. 91–190, 83 Stat. does not support, that material or small entities. 853, as amended (42 U.S.C. 4332). information or that party’s position; and Sections 2.700a, 2.719 also issued under all reports and studies, prepared by or Backfit Analysis 5 U.S.C. 554. Sections 2.754, 2.760, on behalf of the potential party, The NRC has determined that the 2.770, 2.780 also issued under 5 U.S.C. interested governmental participant, or backfit rules in 10 CFR Chapter 1, 557. Section 2.764 also issued under party, including all related ‘‘circulated §§ 50.109, 72.62, and 76.76, do not secs. 135, 141, Pub. L. 97–425, 96 Stat. drafts,’’ relevant to the issues set forth apply to this rule, and therefore, a 2232, 2241 (42 U.S.C. 10155, 10161). in the Topical Guidelines in Regulatory backfit analysis is not required because Section 2.790 also issued under sec. Guide 3.69, regardless of whether they these amendments do not involve any 103, 68 Stat. 936, as amended (42 U.S.C. will be relied upon and/or cited by a provisions that would impose backfits 2133) and 5 U.S.C. 552. Sections 2.800 party. The scope of documentary as defined in those rules. and 2.808 also issued under 5 U.S.C. material shall be guided by the topical 553. Section 2.809 also issued under 5 guidelines in the applicable NRC List of Subjects in 10 CFR Part 2 U.S.C. 553 and sec. 29, Pub. L. 85–256, Regulatory Guide. Administrative practice and 71 Stat. 579, as amended (42 U.S.C. * * * * * procedure, Antitrust, Byproduct 2039). Subpart K also issued under sec. Electronic docket means the NRC material, Classified information, 189, 68 Stat. 955 (42 U.S.C. 2239); sec. information system that receives, Environmental protection, Nuclear 134, Pub. L. 97–425, 96 Stat. 2230 (42 distributes, stores, and retrieves the materials, Nuclear power plants and U.S.C. 10154). Subpart L also issued Commission’s adjudicatory docket reactors, Penalties, Sex discrimination, under sec. 189, 68 Stat. 955 (42 U.S.C. materials. Source material, Special nuclear 2239). Appendix A also issued under * * * * * material, Waste treatment and disposal. sec. 6, Pub. L. 91–560, 84 Stat. 1473 (42 Integrated electronic information For the reasons set out in the U.S.C. 2135). means the material that is made 2. Section 2.1000 is revised to read as preamble and under the authority of the available electronically to parties, follows: Atomic Energy Act of 1954; as amended, potential parties, and interested the Energy Reorganization Act of 1974, § 2.1000 Scope of subpart. governmental participants to the as amended; and 5 U.S.C. 553; the proceeding for a license to receive and Nuclear Regulatory Commission is The rules in this subpart govern the procedure for applications for a license possess high-level radioactive waste at a proposing to adopt the following geologic repository operations area amendments to 10 CFR part 2. to receive and possess high-level radioactive waste at a geologic pursuant to part 60 of this chapter, as PART 2ÐRULES OF PRACTICE FOR repository operations area noticed part of the electronic docket or DOMESTIC LICENSING PROCEEDINGS pursuant to § 2.101(f)(8) or § 2.105(a)(5). electronic access to documentary AND ISSUANCE OF ORDERS The procedures in this subpart take material, beginning in the pre-license precedence over the 10 CFR part 2, application phase. 1. The authority citation for part 2 subpart G, rules of general applicability, * * * * * continues to read as follows: except for the following provisions: Party for the purpose of this subpart Authority: Secs. l6l, l8l, 68 Stat. 948, 953, §§ 2.702, 2.703, 2.704, 2.707, 2.711, means the DOE, the NRC staff, the host as amended (42 U.S.C. 2201, 2231); sec. 191, 2.713, 2.715, 2.715a, 2.717, 2.718, 2.720, State, any affected unit of local as amended, Pub. L. 87–615, 76 Stat. 409 (42 2.721, 2.722, 2.732, 2.733, 2.734, 2.742, government as defined in section 2 of U.S.C. 2241); sec. 201, 88 Stat. 1242, as 2.743, 2.750, 2.751, 2.753, 2.754, 2.755, the Nuclear Waste Policy Act of 1982, amended (42 U.S.C. 5841); 5 U.S.C. 552. 2.756, 2.757, 2.758, 2.759, 2.760, 2.761, as amended (42 U.S.C. 10101), any Section 2.101 also issued under secs. 2.763, 2.770, 2.771, 2.772, 2.780, 2.781, affected Indian Tribe as defined in 53, 62, 63, 81, 103, 104, 105, 68 Stat. 2.786, 2.788, and 2.790. section 2 of the Nuclear Waste Policy 930, 932, 933, 935, 936, 937, 938, as 3. Section 2.1001 is amended by Act of 1982, as amended (42 U.S.C. amended (42 U.S.C. 2073, 2092, 2093, removing the definitions of ASCII File 10101), and a person admitted under Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules 60795

§ 2.1014 to the proceeding on an interested government participants or make available electronically a application for a license to receive and parties— bibliographic header for each possess high-level radioactive waste at a (1) An electronic file for all documentary material— geologic repository operations area documentary material (including (1) For which a claim of privilege is pursuant to part 60 of this chapter; circulated drafts but excluding asserted; provided that a host State, affected unit preliminary drafts) generated by, or at (2) Which constitutes confidential of local government, or affected Indian the direction of, or acquired by, a financial or commercial information; or Tribe shall file a list of contentions in potential party, interested governmental (3) Which constitutes safeguards accordance with the provisions of participant, or party. Concurrent with information under § 73.21 of this §§ 2.1014(a)(2) (ii) and (iii). the production of the electronic file will chapter. (d) Basic licensing documents * * * * * be an authentication statement that indicates where an authenticated image generated by DOE, such as the Site Potential party means any person Characterization Plan, the who, during the period before the copy of the document can be obtained. (2) The participation of the host State Environmental Impact Statement, and issuance of the first pre-hearing in the pre-license application phase the license application, or by NRC, such conference order under § 2.1021(d), is shall not affect the State’s ability to as the Site Characterization Analysis, given access to the integrated electronic exercise its disapproval rights under and the Safety Evaluation Report, shall information and who consents to section 116(b)(2) of the Nuclear Waste be made available in electronic form by comply with the regulations set forth in Policy Act, as amended, 42 U.S.C. the respective agency that generated the subpart J of this part, including the 10136(b)(2). document. authority of the Pre-License Application (3) This subpart shall not affect any 6. Section 2.1004 is revised to read as Presiding Officer designated pursuant to independent right of a potential party, follows: § 2.1010. interested governmental participant or § 2.1004 Amendments and additions. Pre-license application electronic party to receive information. docket means the NRC’s electronic (b)(1) Each potential party, interested Any document that has not been information system that receives, governmental participant, or party shall provided to other parties in electronic distributes, stores, and maintains NRC make available in electronic image form, form must be identified in an electronic pre-license application docket materials subject to the claims of privilege in notice and made available for inspection during the pre-license application § 2.1006, graphic-oriented documentary and copying by the potential party, phase. material that includes raw data, interested governmental participant, or Pre-license application phase means computer runs, computer programs and party responsible for the submission of the time period before the license codes, field notes, laboratory notes, the document within two days after it application to receive and possess high- maps, diagrams and photographs which has been requested unless some other level radioactive waste at a geologic have been printed, scripted, or hand time is approved by the Pre-License repository operations area is docketed written. Text embedded within these Application Presiding Officer or the under § 2.101(f)(3). For the purpose of documents need not be separately Presiding Officer designated for the this subpart, this period begins on the entered in searchable full text. Graphic- high-level waste proceeding. The time date that the President submits the site oriented documents may include— allowed under this paragraph will be recommendation to the Congress Calibration procedures, logs, stayed pending Officer action on a pursuant to section 114(a)(2)(A) of the guidelines, data and discrepancies; motion to extend the time. Nuclear Waste Policy Act of 1982, as (ii) Gauge, meter and computer 7. Section 2.1005 is revised to read as amended (42 U.S.C. 10134(a)(2)(A)). . settings; follows: * * * * * (iii) Probe locations; § 2.1005 Exclusions. (iv) Logging intervals and rates; Searchable full text means the The following material is excluded electronic indexed entry of a document (v) Data logs in whatever form captured; from the requirement to provide that allows the identification of specific electronic access, either pursuant to words or groups of words within a text (vi) Text data sheets; (vii) Equations and sampling rates; § 2.1003, or through derivative file. (viii) Sensor data and procedures; discovery pursuant to § 2.1019(i)— Topical Guidelines means the set of (ix) Data Descriptions; (a) Official notice materials; topics set forth in Regulatory Guide (x) Field and laboratory notebooks; (b) Reference books and text books; 3.69, Topical Guidelines for the (xi) Analog computer, meter or other (c) Material pertaining exclusively to Licensing Support System, which are device print-outs; administration, such as material related intended to guide the scope of (xii) Digital computer print-outs; to budgets, financial management, ‘‘documentary material’’. (xiii) Photographs; personnel, office space, general (xiv) Graphs, plots, strip charts, distribution memoranda, or § 2.1002 [Removed and reserved] sketches; procurement, except for the scope of 4. Section 2.1002 is removed and (xv) Descriptive material related to the work on a procurement related to reserved. information identified in paragraph repository siting, construction, or 5. Section 2.1003 is revised to read as (b)(1) of this section. operation, or to the transportation of follows: (2) Each potential party, interested spent nuclear fuel or high-level waste; governmental participant, or party shall § 2.1003 Availability of material. (d) Press clippings and press releases; make available in an electronic file, (e) Junk mail; (a) Beginning in the pre-license subject to the claims of privilege in (f) Preferences cited in contractor application phase, subject to the § 2.1006, only a bibliographic header for reports that are readily available; exclusions in § 2.1005 and paragraphs each item of documentary material that (g) Classified material subject to (b) and (c) of this section, each potential is not suitable for image or searchable subpart I of this part; party, interested governmental full text. (h) Readily available references, such participant or party, shall make (c) Each potential party, interested as journal articles and proceedings, available to other potential parties, governmental participant, or party shall which may be subject to copyright. 60796 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules

8. Section 2.1006 is revised to read as (b) Public availability of paper and and made electronically available. Upon follows: electronic copies of the records, as well order of a duly appointed presiding as duplication fees, and fee waiver for officer, the responsible official shall § 2.1006 Privilege. those records, is governed by the update this certification. (a) Subject to the requirements in Freedom of Information Act (FOIA) 12. Section 2.1010 is revised to read § 2.1003(c), the traditional discovery regulations of the respective agencies. as follows: privileges recognized in NRC (c) Documents to which electronic adjudicatory proceedings and the access has been provided by other § 2.1010 Pre-License Application Presiding Officer. exceptions from disclosure in § 2.790 parties, potential parties, or interested may be asserted by potential parties, governmental participants pursuant to (a)(1) The Commission may designate interested governmental participants, this subpart shall not be considered as one or more members of the and parties. In addition to Federal agency records of the Nuclear Commission, or an atomic safety and agencies, the deliberative process Regulatory Commission or the licensing board, or a named officer who privilege may also be asserted by State Department of Energy unless and until has been delegated final authority on and local government entities and they have been entered into the docket the matter (Pre-License Application Indian Tribes. of the proceeding pursuant to § 2.702 for Presiding Officer) to rule on disputes (b) Any document for which a claim purposes of the FOIA, 5 U.S.C. 552, if over the electronic availability of of privilege is asserted, but is denied in these documents remain under the documents during the pre-license whole or in part by the Pre-License custody and control of the agency or application phase, including disputes Application Presiding Officer or the organization that identified the relating to privilege, and disputes Presiding Officer, must be provided in documents. Requests for access relating to the implementation of the electronic form by the party, interested pursuant to the FOIA to documents recommendations of the Advisory governmental participant, or potential submitted by a Federal agency shall be Review Panel established under party that asserted the claim to— transmitted to that Federal agency. § 2.1011(e). (2) The Pre-License Application (1) The other participants; or 10. Section 2.1008 is revised to read Presiding Officer shall be designated (2) To the Pre-License Application as follows: before the integrated electronic Presiding Officer or to the Presiding § 2.1008 Potential parties. information is scheduled to be available. Officer, for entry into a Protective Order Any person who complies with the (b) The Pre-License Application file, if the Pre-License Application Presiding Officer shall rule on any claim Presiding Officer or the Presiding regulations in this subpart, including § 2.1003, and agrees to comply with the of document withholding to Officer so directs under §§ 2.1010(b) or determine— 2.1018(c). orders of the Pre-License Application Presiding Officer designated under (1) Whether it is documentary (c) Notwithstanding any availability § 2.1010, may have electronic access to material within the scope of this of the deliberative process privilege the integrated electronic information subpart; under paragraph (a) of this section, made available pursuant to this subpart (2) Whether the material is excluded circulated drafts not otherwise in the pre-license application phase. under § 2.1005; privileged shall be provided for 11. Section 2.1009 is revised to read (3) Whether the material is prvileged electronic access pursuant to as follows: or otherwise excepted from disclosure § 2.1003(a). under § 2.1006; 9. Section 2.1007 is being revised to § 2.1009 Procedures. (4) If privileged, whether it is an read as follows: (a) Each potential party, interested absolute or qualified privilege; (5) If qualified, whether the document § 2.1007 Access. governmental participant, or party shall— should be disclosed because it is (a)(1) A system to provide electronic (1) Designate an official who will be necessary to a proper decision in the access to the integrated electronic responsible for administration of its proceeding; information shall be provided at the responsibility to provide electronic files (6) Whether the material should be headquarters of DOE, and at all DOE of documentary material ; disclosed under a protective order Local Public Document Rooms (2) Establish procedures to implement containing such protective terms and established in the vicinity of the likely the requirements in § 2.1003; conditions (including affidavits of candidate site for a geologic repository, (3) Provide training to its staff on the nondisclosure) as may be necessary and beginning in the pre-license application procedures for implementation of the appropriate to limit the disclosure to phase. responsibility to provide electronic files potential participants, interested (2) A system to provide electronic of documentary material; governmental participants and parties in access to the integrated electronic (4) Ensure that all documents carry the proceeding, or to their qualified information shall be provided at the the submitter’s unique identification witnesses and counsel. When headquarters Public Document Room of number; Safeguards Information protected from NRC, and at all NRC Local Public (5) Cooperate with the advisory disclosure under section 147 of the Document Rooms established in the review process established by the NRC Atomic Energy Act of 1954, as amended, vicinity of the likely candidate site for under § 2.1011(c). is received and possessed by a potential a geologic repository, and at the NRC (b) The responsible official designated party, interested governmental Regional Offices beginning in the pre- pursuant to paragraph (a)(1) of this participant, or party, other than the license application phase. section shall certify to the Pre-License Commission staff, it shall also be (3) The systems for electronic access Application Presiding Officer that the protected according to the requirements specified in paragraphs (a)(1) and (a)(2) procedures specified in paragraph (a)(2) of § 73.21 of this chapter. The Pre- of this section shall include locations at of this section have been implemented, License Application Presiding Officer Las Vegas, Nevada; Reno, Nevada; and that to the best of his or her may also prescribe such additional Carson City, Nevada; Nye County, knowledge, the documentary material procedures as will effectively safeguard Nevada; and Lincoln County, Nevada. specified in § 2.1003 has been identified and prevent disclosure of Safeguards Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules 60797

Information to unauthorized persons Committee members identified in through the Commission’s electronic with minimum impairment of the paragraph (c)(2) of this section who docket. procedural rights which would be wish to serve. The Secretary of the (b)(1) A person, including a potential available if Safeguards Information were Commission shall have the authority to party given access to the integrated not involved. In addition to any other appoint additional representatives to the electronic information under this sanction that may be imposed by the Advisory Review Panel consistent with subpart, shall not be granted party status Pre-License Application Presiding the requirements of the Federal under § 2.1014, or status as an interested Officer for violation of an order Advisory Committee Act, 5 U.S.C. app. governmental participant under pertaining to the disclosure of I, giving particular consideration to § 2.715(c), if it cannot demonstrate Safeguards Information protected from potential parties, parties, and interested substantial and timely compliance with disclosure under section 147 of the governmental participants who were not the requirements of § 2.1003 at the time Atomic Energy Act of 1954, as amended, members of the NRC HLW Licensing it requests participation in the high- the entity in violation may be subject to Support System Advisory Committee. level waste licensing proceeding under a civil penalty imposed pursuant to (2) The Advisory Committee § 2.1014 or § 2.715(c). § 2.205. For the purpose of imposing the membership will initially include the * * * * * criminal penalties contained in section State of Nevada, a coalition of affected (d) Access to the pre-license 223 of the Atomic Energy Act of 1954, units of local government in Nevada application electronic docket or as amended, any order issued pursuant who were on the NRC High-Level Waste electronic docket may be suspended or to this paragraph with respect to Licensing Support System Advisory terminated by the Pre-License Safeguards Information shall be deemed Committee, DOE, NRC, the National Application Presiding Officer or the to be an order issued under section 161b Congress of American Indians, the Presiding Officer for any potential party, of the Atomic Energy Act of 1954, as coalition of national environmental interested governmental participant or amended. groups who were on the NRC High- party who is in noncompliance with any (c) Upon a final determination that Level Waste Licensing Support System applicable order of the Pre-License the material is relevant, and not Advisory Committee and such other Application Presiding Officer or the privileged, exempt from disclosure, or members as the Commission may from Presiding Officer or the requirements of otherwise exempt from production time to time designate to perform the this subpart. under § 2.1005, the potential party, responsibilities in paragraph (d) of this 15. Section 2.1013 is revised to read interested governmental participant, or section. as follows: party who asserted the claim of (d)(1) The Advisory Review Panel withholding must make the document shall provide advice to— § 2.1013 Use of the electronic docket available in accordance with the (i) NRC on the fundamental issues of during the proceeding. provisions of this subpart within two the type of computer system necessary (a)(1) Pursuant to § 2.702, the days. to access the integrated electronic Secretary of the Commission will (d) The service of all pleadings and information effectively under paragraph maintain the official docket of the answers, orders, and decisions during (b) of this section; and proceeding on the application for a the pre-license application phase shall (ii) The Secretary of the Commission license to receive and possess waste at be made according to the procedures on the operation and maintenance of the a geologic repository operations area. specified in § 2.1013(c) and entered into electronic docket under the (2) Commencing with the docketing in the pre-license application electronic Commission’s Rules of Practice (10 CFR an electronic form of the license docket. part 2). application to receive and possess high- (2) The responsibilities of the (e) The Pre-License Application level radioactive waste at a geologic Advisory Review Panel shall include Presiding Officer shall possess all the repository operations area pursuant to advice on— general powers specified in §§ 2.721(c) part 60 of this chapter, the Secretary of (i) Format standards for providing and 2.718. the Commission, upon determining that electronic access to documentary (f) The Commission, in designating the application can be properly accessed material to the parties, interested the Pre-License Application Presiding under the Commission’s electronic governmental participants, or potential Officer in accordance with paragraphs docket rules, will establish an electronic (a) (1) and (2) of this section, shall parties; (ii) The procedures and standards for docket to contain the official record specify the jurisdiction of the Officer. materials of the high-level radioactive 13. Section 2.1011 is revised to read the electronic transmission of filings, waste licensing proceeding in as follows: orders, and decisions during both the pre-license application phase and the searchable full text, or for material that § 2.1011 Management of electronic high-level waste licensing proceeding; is not suitable for entry in searchable information. (iii) Other duties as specified in this full text, by header and image, as (a) Electronic document production subpart or as directed by the Secretary appropriate. and the electronic docket are subject to of the Commission. (b) Absent good cause, all exhibits the provisions of this subpart. 14. In § 2.1012, paragraphs (a), (b)(1), tendered during the hearing must have (b) The NRC, DOE, parties, and and (d) are revised to read as follows: been made available to the parties in potential parties participating in electronic form before the accordance with the provisions of this § 2.1012 Compliance. commencement of that portion of the subpart shall be responsible for (a) In addition to the requirements of hearing in which the exhibit will be obtaining the computer system § 2.101(f), the Director of the NRC’s offered. The electronic docket contains necessary to comply with the Office of Nuclear Materials Safety and a list of all exhibits, showing where in requirements for electronic document Safeguards may determine that the the transcript each was marked for production and service. tendered application is not acceptable identification and where it was received (c)(1) The Secretary of the for docketing under this subpart if the into evidence or rejected. Transcripts Commission shall establish an Advisory Secretary of the Commission determines will be entered into the electronic Review Panel composed of the Advisory that it cannot be effectively accessed docket on a daily basis in order to 60798 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules provide next-day availability at the § 2.1017 Computation of time. 19. In § 2.1019, paragraphs (d), (e), hearing. In computing any period of time, the and (i) are revised to read as follows: (c)(1) All filings in the adjudicatory day of the act, event, or default after § 2.1019 Depositions. proceeding on the license application to which the designated period of time receive and possess high-level begins to run is not included. The last * * * * * radioactive waste at a geologic day of the period so computed is (d) When the testimony is fully repository operations area pursuant to included unless it is a Saturday, transcribed, the deposition shall be part 60 of this chapter shall be Sunday, or legal holiday at the place submitted to the deponent for transmitted electronically by the where the action or event is to occur, in examination and signature unless the deponent is ill or cannot be found or submitter to the Presiding Officer, which event the period runs until the refuses to sign. The officer shall certify parties, and the Secretary of the end of the next day which is neither a the deposition or, if the deposition is Commission, according to established Saturday, Sunday, nor holiday. not signed by the deponent, shall certify format requirements. Parties and Whenever a party, potential party, or the reasons for the failure to sign, and interested governmental participants interested governmental participant, has shall promptly transmit an electronic will be required to use a password the right or is required to do some act copy of the deposition to the Secretary security code for the electronic within a prescribed period after the of the Commission for entry into the transmission of these documents. service of a notice or other document (2) Filings required to be served shall electronic docket. upon it, one day shall be added to the (e) Where the deposition is to be taken be served upon either the parties and prescribed period. If the electronic interested governmental participants, or on written questions as authorized docket is unavailable for more than four under § 2.1018(a)(2), the party or their designated representatives. When a access hours of any day that would be party or interested governmental interested governmental participant counted in the computation of time, that taking the deposition shall serve a copy participant has appeared by attorney, day will not be counted in the service must be made upon the attorney of the questions, showing each question computation of time. separately and consecutively numbered, of record. 18. In § 2.1018, paragraph (a)(1) and (3) Service upon a party or interested on every other party and interested the introductory text of paragraph (e) are governmental participant with a notice governmental participant is completed revised to read as follows: when the sender receives electronic stating the name and address of the acknowledgment (‘‘delivery receipt’’) § 2.1018 Discovery. person who is to answer them, and the name, description, title, and address of that the electronic submission has been (a)(1) Parties, potential parties, and the officer before whom they are to be placed in the recipient’s electronic interested governmental participants in asked. Within ten days after service, any mailbox. the high-level waste licensing other party or interested governmental (4) Proof of service, stating the name proceeding may obtain discovery by one participant may serve cross-questions. and address of the person on whom or more of the following methods: The questions, cross-questions, and served and the manner and date of (i) Access to the documentary answers shall be recorded and signed, service, shall be shown for each material made available pursuant to and the deposition certified, returned, document filed, by— § 2.1003 ; and transmitted in electronic form to the (i) Electronic acknowledgment (ii) Entry upon land for inspection, Secretary of the Commission for entry (‘‘delivery receipt’’); access to raw data, or other purposes into the electronic docket as in the case (ii) The affidavit of the person making pursuant to § 2.1020; of a deposition on oral examination. the service; or (iii) Access to, or the production of, (iii) The certificate of counsel. copies of documentary material for * * * * * (5) All Presiding Officer and which bibliographic headers only have (i)(1) After receiving written notice of Commission issuances and orders will been submitted pursuant to § 2.1003 (b) the deposition under paragraph (a) or be transmitted electronically to the and (c); paragraph (e) of this section, and ten parties and interested governmental (iv) Depositions upon oral days before the scheduled date of the participants. examination pursuant to § 2.1019; deposition, the deponent shall submit (d) Online access to the electronic (v) Requests for admission pursuant to an electronic index of all documents in docket, including a Protective Order § 2.742; his or her possession, relevant to the File if authorized by a Presiding Officer, (vi) Informal requests for information subject matter of the deposition, shall be provided to the Presiding not made electronically available, such including the categories of documents Officer, the representatives of the parties as the names of witnesses and the set forth in paragraph (i)(2) of this and interested governmental subjects they plan to address; and section, to all parties and interested participants, and the witnesses while (vii) Interrogatories and depositions governmental participants. The index testifying, for use during the hearing. upon written questions, as provided in shall identify those records which have Use of paper copy and other images will paragraph (a)(2) of this section. already been made available also be permitted at the hearing. electronically. All documents that are 16. In § 2.1014, paragraph (c)(4) is * * * * * not identical to documents already revised to read as follows: (e) A party, potential party, or made available electronically , whether interested governmental participant by reason of subsequent modification or § 2.1014 Intervention. who has made available in electronic by the addition of notations, shall be * * * * * form all material relevant to any treated as separate documents. (c) * * * discovery request or who has responded (2) The following material is excluded (4) The failure of the petitioner to to a request for discovery with a from the initial requirements of § 2.1003 participate as a potential party in the response that was complete when made to be made available electronically, but pre-license application phase. is under no duty to supplement its is subject to derivative discovery under * * * * * response to include information paragraph (i)(1) of this section— 17. Section 2.1017 is revised to read thereafter acquired, except as follows: (i) Personal records; as follows: * * * * * (ii) Travel vouchers; Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules 60799

(iii) Speeches; other things, sets forth new procedures information in three ways. First, FOIA (iv) Preliminary drafts; NCUA will employ to implement requires agencies to disclose basic (v) Marginalia. provisions of E–FOIA, such as information about agency structure and (3) Subject to paragraph (i)(6) of this expedited treatment of requests and general rules of procedure within the section, any party or interested multi-track processing. The proposed agency by publication in the Federal governmental participant may request rule also clarifies the information which Register. Second, FOIA requires from the deponent a paper copy of any must be included in FOIA requests so agencies to make certain categories of or all of the documents on the index that NCUA can process them. Other records available for the public to that have not already been provided proposed changes to the rule are inspect and copy. Many agencies have electronically. designed to provide guidance to the established public reading rooms to (4) Subject to paragraph (i)(6) of this public on how to obtain records comply with this requirement. And, section, the deponent shall bring a contained in the files of the Office of third, FOIA requires agencies to respond paper copy of all documents on the Inspector General. to individual requests for other specific index that the deposing party or DATES: Comments must be submitted on agency records. Records must be interested governmental participant or before January 12, 1998. released unless one or more of FOIA’s requests that have not already been ADDRESSES: Comments should be nine statutory exemptions applies. provided electronically to an oral directed to Becky Baker, Secretary of the Under E–FOIA, public access to deposition conducted pursuant to Board. Mail or hand-deliver comments ‘‘reading room’’ records, which are paragraph (a) of this section, or in the to: National Credit Union those records that must be made case of a deposition taken on written Administration, 1775 Duke Street, available for inspection and copying, questions pursuant to paragraph (e) of Alexandria, Virginia 22314–3428. Fax will be enhanced in two ways. The this section, shall submit such comments to (703) 518–6319. E-mail categories of records which fall within documents with the certified comments to [email protected]. the ‘‘reading room’’ provision of FOIA deposition. Please send comments by one method have been expanded. Previously, three (5) Subject to paragraph (i)(6) of this only. categories of records were required to be section, a party or interested made available for inspection and FOR FURTHER INFORMATION CONTACT: copying: Final opinions, including governmental participant may request Dianne Salva, Staff Attorney, or Sheila concurring and dissenting opinions, as that any or all documents on the index Albin, Associate General Counsel, (703) well as orders, made in the adjudication that have not already been provided 518–6540. electronically, and on which it intends of cases; statements of policy and to rely at hearing, be made SUPPLEMENTARY INFORMATION: interpretations which have been electronically available by the deponent. Background adopted by the agency and are not (6) The deposing party or interested published in the Federal Register; and governmental participant shall assume The Freedom of Information Act administrative staff manuals and the responsibility for the obligations set (FOIA) was enacted in 1966 to establish instructions to staff that affect a member forth in paragraphs (i)(1), (i)(3), (i)(4), the right of any member of the public to of the public. Under E–FOIA two new and (i)(5) of this section when deposing obtain access to government categories have been added: Records someone other than a party or interested information. FOIA was amended several released under the FOIA after March 31, governmental participant. times before 1996, when the Electronic 1997, which the agency determines have Freedom of Information Act become or are likely to become the * * * * * Amendments of 1996, Pub. L. 104–231, Dated at Rockville, MD, this 6th day of subject of subsequent requests, and a November, 1997. was enacted. E–FOIA has twin goals of general index of the new category of making records contained in For the Nuclear Regulatory Commission. records. government files more easily accessible John C. Hoyle, Public access to reading room records to the public and improving will be further enhanced by the Secretary of the Commission. administration of FOIA programs in the provision in E–FOIA which requires [FR Doc. 97–29884 Filed 11–12–97; 8:45 am] agencies. In particular, Congress moved that agencies make their reading room BILLING CODE 7590±01±P to amend the FOIA because it found that records available electronically, if they government agencies were increasingly are created by the agency on or after using computers to conduct agency November 1, 1996. The ‘‘electronic NATIONAL CREDIT UNION business and store valuable agency reading room’’ can be implemented by ADMINISTRATION records and information. When the placing records on the internet. Senate passed FOIA in 1966, the As for individual requests, E–FOIA 12 CFR Part 792 government is reported to have had just clarifies that reasonable efforts must be 1,826 computers in use. By 1994, in made to search for records The Freedom of Information Act and addition to the proliferation of electronically. It also requires agencies Privacy Act individual personal computers used by to provide requesters with records in the AGENCY: National Credit Union government employees, the number of form or format the requester chooses, if Administration (NCUA). government computers had climbed to the agency can readily do so. Perhaps ACTION: Proposed rule. almost 35,000. In recognition of the vast most fundamental to the new law is its amount of information the government provision that clarifies that records, if SUMMARY: NCUA proposes to revise its maintains in electronic format, E–FOIA they meet other legal requirements, are regulations governing the disclosure of was designed to ensure continued subject to FOIA even though they are information pursuant to the Freedom of public access to government maintained in electronic format. Information Act (FOIA) to reflect recent information, including that maintained The other goal of E–FOIA was to changes to FOIA brought about by the in electronic format. improve the administration of FOIA enactment of the Electronic Freedom of FOIA ensures that the public has programs in the agencies. Congress Information Act Amendments of 1996 access to government information by found that due to a lack of resources, (E–FOIA). The proposed rule, among requiring agencies to disclose some agencies suffered stubborn 60800 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules backlogs. E–FOIA is designed to ensure records contained in Office of Inspector criteria. This section also contains a timely responses to FOIA requests by General files. new provision advising requesters that, requiring that specific types of requests Sections 792.08 and 792.09 clarify if NCUA sends them a notice extending be answered on an expedited basis and administrative requirements and the processing time due to unusual by encouraging a dialogue between the procedures for submitting FOIA circumstances, it will also tell them that agency and the requester to frame more requests. In order to improve they may reduce the scope of their targeted requests. E–FOIA also enlarges communications between the agency request so that it can be processed the time for response to requests from and requesters, requesters are instructed within the statutory time frame or agree 10 to 20 business days. Agencies are to include their name, address and to an alternative time frame. encouraged to employ multi-track telephone number with their request. In Section 792.18 has been added to processing systems, so that requesters recognition of the new requirement that implement the expedited processing who seek simple information are not agencies honor form or format requests, provision of E–FOIA. It sets forth the made to wait while the agency processes requesters are also asked to designate criteria for a requester seeking to more complex requests or requests for their form or format of choice, if other establish a compelling need to support voluminous material. than paper copy, at the time they make a request for expedited processing. E– their request. FOIA permits two categories of requests Proposal Section 792.10 sets forth the involving compelling needs to be NCUA is proposing changes to 12 CFR procedures for the multi-track granted expedited treatment: Those part 792 to implement both expedited processing system comprised of a fast- which entail an imminent threat to the processing and multi-track processing. track and regular-track. Fast-track life or physical safety of an individual In addition, changes are proposed to processing will apply to records that are or those which are filed by persons incorporate the new processing easily identifiable by NCUA staff and primarily engaged in disseminating deadlines, appeal rights and other have been previously cleared for release information and involve an urgency to disclosure procedures mandated by E– to the public. Fast-track requests will be inform the public concerning actual or FOIA. NCUA is also proposing a change handled as expeditiously as possible in alleged government activity. For ease of to reflect the delegation of authority the order in which they are received. All administration and consistency, the from NCUA’s Board to the Inspector information requests that do not meet proposed rule uses the term General to grant or deny initial requests the fast-track processing standards will ‘‘representative of the news media’’ to for records contained in Office of be handled under regular processing describe a person primarily engaged in Inspector General files. Subpart A has procedures. A requester who desires disseminating information, because the been reorganized, streamlined and fast-track processing, but whose request term has been used for many years in rewritten in question and answer format does not meet those standards, may other provisions of the regulation and is to improve its readability and simplify contact the NCUA to try to narrow the familiar to the public and agency staff. its use. A description of the more scope of the request so that it will In keeping with Congress’ express intent significant proposed changes is set forth qualify for fast-track processing. that the specified criteria for compelling Section 792.12 was added to inform below. Due to the fact that the need be narrowly applied, expedited requesters that, as long as it is regulation has been rewritten in processing will only be granted in those technically feasible and would not harm question and answer format, the section extraordinary cases meeting the specific an interest that a FOIA exemption is numbers in the proposed rule in most requirements of the regulation. H.R. intended to protect, then NCUA will cases do not correlate to the section Rep. 795, 104th Cong., 2d Sess. 26 indicate where, why and how much numbers in the existing regulation. (1996). As the legislative history states, information was withheld from its ‘‘the expedited process procedure is Section 792.02 now reflects the response. intended to be limited to circumstances additional category of records NCUA Section 792.13 was added to advise in which a delay in obtaining will make publicly available for requesters that they may obtain information can reasonably be foreseen inspection and copying: Records information in any readily reproducible to cause a significant adverse released under FOIA after March 31, form or format they request. It also consequence to a recognized interest.’’ 1997, which the agency determines have clarifies that only one copy of a record Id. To meet the criterion of an urgency become or are likely to become the will be produced. to inform the public concerning an subject of subsequent requests. Section 792.15 sets forth the new actual or alleged Federal Government Section 792.03 sets forth the indices processing time limit of 20 working activity, the requester must show that a of records made available for public days. It also sets forth the two delay in the release of the information inspection and copying and includes exceptions to the 20 working day time would compromise a significant the additional index of popular FOIA limit: the suspension of time for the recognized interest, and that the responses. payment of fees or if unusual requested information pertains to a Section 792.04 informs the public that circumstances exist. matter of current exigency to the certain records created by NCUA after Section 792.16 describes the criteria American public. This section also November 1, 1996 are also available on for determining whether unusual informs the public of the right of appeal the NCUA website. circumstances exist. The criteria have for denial of a request for expedited Section 792.06 clarifies that records not changed. The proposed regulation processing. maintained in electronic format are contains a new provision on aggregating Section 792.19 has been amended to subject to FOIA. multiple requests which, together, cause reflect that the current fee schedule is Section 792.07 identifies the places unusual circumstances to exist. NCUA available on the NCUA website. The within NCUA where the public may will now aggregate multiple requests current regulation sets out that searches write to request records. The Office of from the same requester or group of for records responsive to a FOIA request Inspector General has been added to requesters acting in concert, if it will be conducted by computer using reflect that the NCUA Board delegated believes they constitute a single request, existing programming. The proposal authority to the Inspector General to and if, taken together, the requests strikes the reference to existing respond to initial FOIA requests for satisfy the unusual circumstances programming and adds language to say Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules 60801 that no modification of existing List of Subjects in 12 CFR Part 792 792.09 What if my request does not meet programming or system will be made if the requirements of this section? Administrative practice and it would significantly interfere with the 792.10 What will NCUA do with my procedure, Confidential business operation of an NCUA automated request? information, Credit unions, Freedom of information system. 792.11 What kind of records are exempt from public disclosure? Section 792.28 clarifies that appeals Information Act, Privacy. By the National Credit Union 792.12 How will I know what records were are permitted when NCUA denies a determined to be exempt? Administration Board on October 22, 1997. request for a fee waiver or reduction. 792.13 Can I get the records in different Hattie M. Ulan, Regulatory Procedures forms or formats? Acting Secretary of the Board. 792.14 Who is responsible for responding to Regulatory Flexibility Act For the reasons set forth in the my request? The Regulatory Flexibility Act preamble, NCUA proposes to amend 12 792.15 How long will it take to process my request? requires the NCUA to prepare an CFR part 792 as follows: analysis to describe any significant 792.16 What unusual circumstances can delay NCUA’s response? PART 792Ð[AMENDED] economic impact any proposed 792.17 What can I do if the time limit regulation may have on a substantial 1. The authority citation for part 792 passes and I still have not received a number of small credit unions, meaning response? those under $1 million in assets. The is revised to read as follows: NCUA Board has determined and Authority: 5 U.S.C. 301, 552, 552a, 552b; Expedited Processing certifies that the proposed rule, if 12 U.S.C. 1752a(d), 1766, 1789, 1795f; E.O. 792.18 What if my request is urgent and I adopted, will not have a significant 12600, 52 FR 23781, 3 CFR, 1987 Comp., p. cannot wait for the records? 235; E.O. 12958, 60 FR 19825, 3 CFR, 1995 economic impact on a substantial Fees number of small credit unions. The Comp., p.333. 792.19 How does NCUA calculate the fees proposal simplifies some of the §§ 792.20±792.37 (Subpart B) for processing my request? procedures regarding the release of [Redesignated as §§ 792.52±792.69 (Subpart 792.20 What are the charges for each fee information and requires disclosure of E)] category? information in certain instances in 2. Redesignate subpart B (§§ 792.20– 792.21 Will NCUA provide a fee estimate? accordance with law. The disclosure 792.37) as subpart E (§§ 792.52–792.69) 792.22 What will NCUA charge for other requirements are imposed on the NCUA, and reserve subpart B. services? therefore, they should not have a 792.23 Can I avoid charges by sending significant economic impact on a 3. Revise subpart A of part 792 to read multiple, small requests? substantial number of small credit as follows: 792.24 Can NCUA charge me interest if I unions. fail to pay my bill? Subpart AÐThe Freedom of 792.25 Will NCUA charge me if the records Paperwork Reduction Act Analysis Information Act are not found or are determined to be exempt? These regulations, if adopted, will General Purpose impose no additional information 792.26 Will I be asked to pay the fees in Sec. advance? collection, reporting or record keeping 792.01 What is the purpose of this subpart? requirements subject to the approval of Fee Waiver or Reduction Records Publicly Available the Office of Management and Budget 792.27 Can fees be reduced or waived? pursuant to the Paperwork Reduction 792.02 What records does NCUA make Act of 1995, 44 U.S.C. 3501, et seq. available to the public for inspection and Appeals copying? 792.28 What if I am not satisfied with the Executive Order 12,612 792.03 How will I know which records to response I receive? request? The NCUA Board certifies that the Submitter Notice proposal will not have a substantial 792.04 How can I obtain these records? direct effect on the States, on the 792.05 What is the significance of records 792.29 If I send NCUA confidential made available and indexed? commercial information, can it be relationship between the national disclosed under FOIA? government and the States, or on the Records Available Upon Request distribution of power and 792.06 Can I obtain other records? Release of Exempt Records responsibilities among various levels of 792.07 Where do I send my request? 792.30 Is there a prohibition against government. 792.08 What must I include in my request? disclosure of exempt records? 60802 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules

792.31 Can exempt records be disclosed to inspection and copying and are Central Office, Regional Offices, Office credit unions, financial institutions and provided at their duplication cost. The of Inspector General and the Asset state or federal agencies? indices are: Management and Assistance Center are 792.32 Can exempt records be disclosed to (a) NCUA Publications List: Manuals designated as Information Centers for investigatory agencies? relating to general and technical the NCUA. The Freedom of Information Subpart AÐThe Freedom of information, booklets published by Officer of the Office of General Counsel Information Act NCUA, and the Credit Union Directory. is responsible for the operations of the The NCUA Publications list is available Information Center maintained at the General Purpose on the NCUA Website. Central Office. The Regional Directors (b) Directives Control Index: A list of are responsible for the operation of the § 792.01 What is the purpose of this statements of policy, NCUA subpart? Information Centers in their Regional Instructions, Bulletins, Letters to Credit Offices. The Inspector General is This subpart describes the procedures Unions, and certain internal manuals. responsible for the operation of the you must follow to obtain records from (c) Popular FOIA Index: Records Office of Inspector General Information NCUA under the Freedom of released in response to a FOIA request, Center. Information Act (FOIA), (5 U.S.C. 552). which NCUA determines are likely to be (b) If you think that the records are Records Publicly Available the subject of subsequent requests located at one of NCUA’s Regional because of the nature of their subject Offices, then you should send your § 792.02 What records does NCUA make matter. The Popular FOIA Index will be request to the appropriate Regional available to the public for inspection and available on the NCUA website on or Director, whose address can be found in copying? before December 31, 1999. § 790.2(c) of this chapter. Except for records that are exempt (c) If you think that the records are from public disclosure under FOIA as § 792.04 How can I obtain these records? located at the Asset Management and amended (5 U.S.C. 552) or are promptly You may obtain these types of records Assistance Center, then you should send published and copies are available for or information in the following ways: your request to the President, Asset purchase, NCUA routinely makes the (a) You may obtain copies of the Management and Assistance Center, following five types of records available records referenced in § 792.02 by 4807 Spicewood Springs Road, Suite for you to inspect and copy: obtaining the index referred to in 5100, Austin, Texas 78759–8490. (a) Final opinions, including § 792.03 and following the ordering (d) If you think that the records you concurring and dissenting opinions, and instructions it contains, or by making a want are in the files of the Office of orders made in the adjudication of request to the FOIA Officer, NCUA, Inspector General, then you should send cases; Office of General Counsel at 1775 Duke your request to the Inspector General, (b) Statements of policy and Street, Alexandria, Virginia 22314– NCUA, 1775 Duke Street, Alexandria, interpretations which have been 3428. Virginia 22314–3428. adopted by the agency but not (b) If they were created by NCUA on (e) When you are not sure of the published in the Federal Register; or after November 1, 1996, records location of records, or if you think that (c) Administrative staff manuals and referenced in § 792.02 are available on the records you want are located in the instructions to staff that affect a member the NCUA website, found at Central Office, you should send your of the public; http://www.ncua.gov. request to the Freedom of Information (d) Copies of all records, regardless of Officer at NCUA, Office of the General form or format, which have been § 792.05 What is the significance of records made available and indexed? Counsel, 1775 Duke Street, Alexandria, released after March 31, 1997, in Virginia 22314–3428. response to a FOIA request and which, The records referred to in § 792.02 because of the nature of their subject may be relied on, used, or cited as § 792.08 What must I include in my matter, NCUA determines have been or precedent by NCUA against a party, request? are likely to become the subject of provided: Your request must include the subsequent requests; and (a) The materials have been indexed following: (e) Indices of the documents referred and either made available or published; (a) Your name, address and a to in this paragraph. or telephone number where you can be (b) The party has actual and timely reached during normal business hours. § 792.03 How will I know which records to notice of the materials’ contents. (b) A reasonable description of the request? Records Available Upon Request records you seek. A reasonable NCUA maintains current indices description is one which enables an providing identifying information for § 792.06 Can I obtain other records? NCUA employee, who is familiar with the public for any matter referred to in Except with respect to records the subject area of the request, to locate § 792.02, issued, adopted, or routinely made available under § 792.02 the record with a reasonable amount of promulgated after July 4, 1967. The or published in the Federal Register, or effort. listing of material in an index is for the to the extent that records are exempt (c) A statement agreeing to pay all convenience of possible users and does under the FOIA, if you make a request applicable fees or to pay fees up to a not constitute a determination that all of for records in accordance with this certain maximum amount, or requesting the items listed will be disclosed. NCUA section, NCUA will make such records a fee reduction or waiver in accordance has determined that publication of the available to you, including records with § 792.27. If the actual fees are indices is unnecessary and impractical. maintained in electronic format, as long expected to exceed the maximum You may obtain copies of indices by as you agree to pay the actual, direct amount you indicate in your request, making a request to the Office of costs. NCUA will contact you to see if you are Administration, at NCUA, 1775 Duke willing to pay the estimated fees. If you Street, Alexandria, VA 22314–2387 or, § 792.07 Where do I send my request? do not want to pay the estimated fees, as indicated, on the NCUA website. The (a) You must send your request to one your request will be closed and no bill indices are available for public of NCUA’s Information Centers. The will be sent. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules 60803

(d) If other than paper copy, you must from disclosure, except as otherwise (iii) Files containing reports, records identify the form and format of provided in this part, if they are: or other material pertaining to responsive information you are (1) Records specifically authorized individual cases in which disciplinary requesting. under criteria established by an or other administrative action has been Executive Order to be kept secret in the or may be taken. § 792.09 What if my request does not meet interest of national defense or foreign (7) Records or information compiled the requirements of this subpart? policy and are in fact properly classified for law enforcement purposes, but only NCUA need not accept or process pursuant to an Executive Order. to the extent that the production of such your request if it does not comply with (2) Records related solely to NCUA law enforcement records or information: the requirements of this subpart. NCUA internal personnel rules and practices. (i) Could reasonably be expected to may return such a request to you with This exemption applies to internal rules interfere with enforcement proceedings; an explanation of the deficiency. You or instructions which must be kept (ii) Would deprive a person of a right may then submit a corrected request, confidential in order to assure effective to a fair trial or an impartial which will be treated as a new request. performance of the functions and adjudication; § 792.10 What will NCUA do with my activities for which NCUA is (iii) Could reasonably be expected to request? responsible and which do not materially constitute an unwarranted invasion of (a) On receipt of any request, the affect members of the public. This personal privacy; Information Center assigns it to the exemption also applies to manuals and (iv) Could reasonably be expected to appropriate processing schedule, instructions to the extent that release of disclose the identity of a confidential pursuant to paragraph (b) of this section. the information contained therein source, including a state, local, or The date of receipt for any request, would permit circumvention of laws or foreign agency or authority or any including one that is addressed regulations. private institution which furnished incorrectly or that is referred to NCUA (3) Specifically exempted from information on a confidential basis, and, by another agency, is the date the disclosure by statute, where the statute in the case of a record or information appropriate Information Center actually either makes nondisclosure mandatory compiled by a criminal law enforcement receives the request. or establishes particular criteria for authority in the course of a criminal (b) NCUA has a multi-track processing withholding information. investigation on or by an agency system. Requests for records that are (4) Records which contain trade conducting a lawful national security readily identifiable by the Information secrets and commercial or financial intelligence investigation, information Center and have already been cleared information which relate to the furnished by the confidential source; for public release may qualify for fast- business, personal or financial affairs of (v) Would disclose techniques and track processing. All other requests will any person or organization, are procedures for law enforcement be handled under normal processing furnished to NCUA, and are confidential investigation or prosecutions, or would procedures. or privileged. This exemption includes, disclose guidelines for law enforcement (c) The Information Center will make but is not limited to, various types of investigations or prosecutions if such the determination whether a request confidential sales and cost statistics, disclosure could reasonably be expected qualifies for fast-track processing. You trade secrets, and names of key to risk circumvention of the law; or may contact the Information Center to customers and personnel. Assurances of (vi) Could reasonably be expected to learn whether your request has been confidentiality given by staff are not endanger the life or physical safety of assigned to fast-track processing. If your binding on NCUA. any individual. This includes, but is not request has not qualified for fast-track (5) Inter-agency or intra-agency limited to, information relating to processing, you will be given an memoranda or letters which would not enforcement proceedings upon which opportunity to limit the scope of be available by law to a private party in NCUA has acted or will act in the material requested in order to qualify for litigation with NCUA. This exemption future. fast-track processing. Limitations of preserves the existing freedom of NCUA (8) Contained in or related to requests must be in writing. officials and employees to engage in full examination, operating or condition (d) In accordance with sound and frank written or taped reports prepared by, or on behalf of, or administrative procedure, the communications with each other and for the use of NCUA or any agency Information Center will normally with officials and employees of other responsible for the regulation or process requests in the order they are agencies. It includes, but is not limited supervision of financial institutions. received in the separate processing to, inter-agency and intra-agency This includes all information, whether tracks. However, in NCUA’s discretion a reports, memoranda, letters, in formal or informal report form, the particular request may be processed out correspondence, work papers, and disclosure of which would harm the of turn. minutes of meetings, as well as staff financial security of credit unions or (e) Upon a determination by the papers prepared for use within NCUA or would interfere with the relationship appropriate Information Center to in concert with other governmental between NCUA and credit unions. comply with your initial request for agencies. (b) We will provide any reasonably records, the records will be made (6) Personnel, medical, and similar segregable portion of a record that is promptly available to you. If we notify files (including financial files), the requested after deleting those portions you of a denial of your request, we will disclosure of which without written that are exempt from disclosure under include the names and titles or permission would constitute a clearly this section. positions of each person responsible for unwarranted invasion of personal the denial. privacy. Files exempt from disclosure § 792.12 How will I know what records include, but are not limited to: NCUA has determined to be exempt? § 792.11 What kind of records are exempt (i) The personnel records of the As long as it is technically feasible from public disclosure? NCUA; and does not threaten an interest (a) All records of NCUA or any officer, (ii) The personnel records voluntarily protected by the FOIA, we will: employee, or agent thereof, are submitted by private parties in response (a) Mark the place where we redacted confidential, privileged and exempt to NCUA’s requests for proposals; and information from documents released to 60804 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules you and note the exemption that provide you with written notice, setting Expedited Processing protects the information from public forth the reasons for such extension and disclosure; or the date on which a determination is § 792.18 What if my request is urgent and I cannot wait for the records? (b) Make reasonable efforts to include expected to be dispatched. Our notice with our response to you an estimate of will not specify a date that would result You may request expedited the volume of information withheld. in an extension for more than 10 processing of your request if you can working days, except as set forth in show a compelling need for the records. § 792.13 Can I get the records in different In cases where your request for forms or formats? paragraph (c) of this section. The unusual circumstances that can delay expedited processing is granted or if NCUA will provide a copy of the NCUA’s response to your request are: NCUA has determined to expedite the record in any form or format requested, (1) The need to search for, and collect response, it will be processed as soon as such as computer disk, if the record is the requested records from field practicable. readily reproducible by us in that form facilities or other establishments that are (a) To demonstrate a compelling need or format, but we will not provide more separate from the office processing the for expedited processing, you must than one copy of any record. request; provide a certified statement. The § 792.14 Who is responsible for (2) The need to search for, collect, and statement, certified by you to be true responding to my request? appropriately examine a voluminous and correct to the best of your The appropriate Regional Director, the amount of separate and distinct records knowledge and belief, must demonstrate Inspector General, the President of the which are demanded in a single request; that: Asset Management and Assistance or (1) The failure to obtain the records Center, or the Freedom of Information (3) The need for consultation, which on an expedited basis could reasonably Officer, or, in their absence, their will be conducted with all practicable be expected to pose an imminent threat designee, is responsible for making the speed, with another agency having to the life or physical safety of an initial determination on whether to substantial interest in the determination individual; or grant or deny a request for information. of the request or among two or more (2) The requester is a representative of This official may refer a request to an components of NCUA having the news media, as defined in § 792.20, NCUA employee who is familiar with substantial subject-matter interest and there is urgency to inform the the subject area of the request. Other therein. public concerning actual or alleged (b) If you, or you and a group of others NCUA staff members may aid the NCUA activity. acting in concert, submit multiple official by providing information, (b) In response to a request for requests which NCUA believes actually advice, recommending a decision, or expedited processing, the Information constitute a single request, which would implementing a decision, but no NCUA Center will notify you of the otherwise satisfy the unusual employee other than an authorized determination within ten days of receipt circumstances criteria specified in this official may make the initial of the request. If the Information Center section, and the requests involve related determination. Referral of a request by denies your request for expedited matters, then NCUA may aggregate the official to an employee will not processing, you may file an appeal those requests and the provisions of affect the time limitation imposed in pursuant to the procedures set forth in § 792.15(b) will apply. § 792.15 unless the request involves an § 792.28, and NCUA will expeditiously (c) If NCUA sends you an extension unusual circumstance as provided in respond to the appeal. notice, it will also advise you that you § 792.16. (c) Priority of responses. The can either limit the scope of your Information Center will normally § 792.15 How long will it take to process request so that it can be processed process requests in the order they are my request? within the statutory time limit or agree received in the separate processing NCUA will respond to requests within to an alternative time frame for tracks. However, in NCUA’s discretion, 20 working days, except: processing your request. a particular request may be processed (a) Where the running of such time is § 792.17 What can I do if the time limit out of turn. suspended for payment of fees pursuant passes and I still have not received a Fees to § 792.26; response? (b) In unusual circumstances, as You can file suit against NCUA § 792.19 How does NCUA calculate the defined in 5 U.S.C. 552(a)(6)(B) and because you will be deemed to have fees for processing my request? § 792.16, the time limit may be extended exhausted your administrative remedies We will charge fees that recoup the for: (1) An additional 10 working days as if NCUA fails to comply with the time full allowable direct costs we incur, provided by written notice to you, limit provisions of this subpart. But if unless those costs are less than our cost stating the reasons for the extension and NCUA can show that exceptional of processing your remittance. Direct the date on which a determination will circumstances exist and that it is costs means those expenditures which be sent; or exercising due diligence in responding NCUA actually incurs in searching for, (2) Such alternative time period as to your request, the court may retain duplicating and reviewing documents to mutually agreed by you and the jurisdiction and allow NCUA to respond to a FOIA request. Search Information Office, when NCUA notifies complete its review of the records. In means all time spent looking for you that the request cannot be processed determining whether exceptional material that is responsive to a request, in the specified time limit. circumstances exist, the court will including page-by-page or line-by-line consider your refusal to reasonably identification of material within § 792.16 What unusual circumstances can modify the scope of your request or documents. Searches may be done delay NCUA's response? arrange an alternative time frame for manually or by computer. Search does (a) In unusual circumstances, the time processing after being given the not include modification of an existing limits for responding to your request (or opportunity to do so by NCUA, when it program or system that would your appeal) may be extended by notifies you of the existence of unusual significantly interfere with the operation NCUA. If NCUA extends the time it will circumstances as set forth in § 792.16. of an automated information system. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules 60805

Review means examining documents of that rate to cover benefits, plus the higher education, an institution of to determine whether any portion hourly cost of operating the computer graduate higher education, an should be withheld and preparing for computer searches for records. institution of professional education, documents for disclosure. Fees are (c) NCUA will charge the following and an institution of vocational subject to change as costs increase. The duplication fees: education operating a program or current rate schedule is available on our (1) The per-page fee for paper copy programs of scholarly research. website at http://www.ncua.gov. reproduction of a document is $.25; (c) Noncommercial scientific We may contract with the private (2) The fee for documents generated institution means an institution that is sector to locate, reproduce or by computer is the hourly fee for the not operated for a ‘‘commercial’’ disseminate records. In no case will computer operator, plus the cost of purpose as that term is used in NCUA contract out responsibilities materials (computer paper, tapes, labels, paragraph (a) of this section and is which the FOIA requires us alone to etc.); operated solely for the purpose of discharge, such as determining the (3) If any other method of duplication conducting scientific research, the applicability of an exemption, or is used, NCUA will charge the actual results of which are not intended to determining whether to waive or reduce direct cost of duplication. promote any particular product or fees. The following labor and industry. duplication rate calculations apply: § 792.20 What are the charges for each fee (a) NCUA will charge fees at the category? (d) Representative of the news media following rates for manual searches for The fee category definitions are: means any person actively gathering and review of records: (a) Commercial use request means a news for an entity that is organized and (1) If search/review is done by clerical request from or on behalf of one who operated to publish or broadcast news to staff, the hourly rate for CU–5, plus 16 seeks information for a use or purpose the public. percent of that rate to cover benefits; that furthers the commercial, trade, or Included within the meaning of (2) If search/review is done by profit interests of the requester or the public is the credit union community. professional staff, the hourly rate for person on whose behalf the request is The term news means information that CU–13, plus 16 percent of that rate to made. is about current events or that would be cover benefits. (b) Educational institution means a of current interest to the public. You (b) NCUA will charge fees at the preschool, an elementary or secondary may consult the following chart to find hourly rate for CU–13, plus 16 percent school, an institution of undergraduate the fees applicable to your request:

And you'll be If your fee category is You'll receive charged

Commercial use ...... 0 hours free search ...... Search time. 0 hours free review ...... Review time. 0 free pages ...... Duplication. Educational institution, noncommercial scientific institution, Unlimited free search hours newsmedia. Unlimited free review hours 100 free pages ...... Duplication. All others ...... 2 hours free search ...... Search time. Unlimited free review hours 100 free pages ...... Duplication.

§ 792.21 Will NCUA provide a fee NCUA may aggregate any such requests (a) NCUA estimates or determines that estimate? and charge you accordingly. allowable charges that you may be NCUA will notify you of the required to pay are likely to exceed § 792.24 Can NCUA charge me interest if I $250. NCUA will notify you of the likely estimated amount if fees are likely to fail to pay my bill? exceed $25, unless you have indicated cost and obtain satisfactory assurance of NCUA can assess interest charges on in advance a willingness to pay fees as full payment where you have a history an unpaid bill starting on the 31st day high as those anticipated. You will then of prompt payment of FOIA fees, or following the date of the bill. If you fail have the opportunity to confer with require an advance payment of an to pay your bill within 30 days, interest NCUA personnel to reformulate the amount up to the full estimated charges will be at the rate prescribed in 31 request to meet your needs at a lower in the case where you have no history U.S.C. 3717, and will accrue from the cost. of payment; or date of the billing. (b) You have previously failed to pay § 792.22 What will NCUA charge for other § 792.25 Will NCUA charge me if the a fee charged in a timely fashion. NCUA services? records are not found or are determined to may require you to pay the full amount Complying with requests for special be exempt? owed, plus any applicable interest, or services is entirely at the discretion of NCUA may assess fees for time spent demonstrate that you have, in fact, paid NCUA. NCUA will recover the full costs searching and reviewing, even if it fails the fee, and to make an advance of providing such services to the extent to locate the records or if records payment of the full amount of the it elects to provide them. located are determined to be exempt estimated fee before we begin to process from disclosure. a new request or a pending request from § 792.23 Can I avoid charges by sending you. multiple, small requests? § 792.26 Will I be asked to pay fees in (c) If you are required to make an You may not file multiple requests, advance? advance payment of fees, then the each seeking portions of a document or NCUA will require you to give an administrative time limits prescribed in similar documents, solely in order to assurance of payment or an advance § 792.16 will begin only after NCUA has avoid payment of fees. If this is done, payment only when: received the fee payments described. 60806 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules

Fee Waiver or Reduction Management and Assistance Center, or time of submission or at a reasonable responsible Regional Director, (or time thereafter, those portions of their § 792.27 Can fees be reduced or waived? designee,) will notify you that you may submissions deemed to be protected You may request that NCUA waive or appeal any adverse determination to the from disclosure under § 792.11(a)(4). reduce fees if disclosure of the Office of General Counsel. The General Such a designation shall expire ten information you request is in the public Counsel, or designee, as set forth in this years after the date of submission. interest because it is likely to contribute paragraph, will: (d) We will provide a submitter with significantly to public understanding of (a) Make a determination with respect written notice of a FOIA request or the operations or activities of the to any appeal within 20 days (except administrative appeal encompassing government, and is not primarily in Saturdays, Sundays, and legal public designated business information when: your commercial interest. holidays) after the receipt of such (1) The information has been (a) NCUA will make a determination appeal. If, on appeal, the denial of the designated in good faith by the of whether the public interest request for records is, in whole or in submitter as confidential commercial requirement above is met based on the part, upheld, the Office of General information deemed protected from following factors: Counsel will notify you of the disclosure under § 792.11(a)(4); or (1) Whether the subject of the provisions for judicial review of that (2) NCUA has reason to believe that requested records concerns the determination under FOIA. Where you the information may be protected from operations or activities of the do not address your request or appeal to disclosure under § 792.11(a)(4). government; the proper official, the time limitations (e) A copy of the notice to the (2) Whether the disclosure is likely to stated above will be computed from the contribute to an understanding of submitter will also be provided to the receipt of the request or appeal by the FOIA requester. government operations or activities; proper official. (3) Whether disclosure of the (f) Through the notice described in (b) The General Counsel is the official requested information will contribute to paragraph (d) of this section, NCUA will responsible for determining all appeals public understanding; and afford the submitter a reasonable period from initial determinations. In case of (4) Whether the disclosure is likely to of time within which to provide a this person’s absence, the appropriate contribute significantly to public detailed written statement of any officer acting in the General Counsel’s understanding of government operations objection to disclosure. The statement stead will make the appellate or activities, must describe why the information is (b) If the public interest requirement determination, unless such officer was confidential commercial information is met, NCUA will make a responsible for the initial determination, and why it should not be disclosed. determination on the commercial in which case the Vice-Chairman of the (g) Whenever we decide that we must interest requirement based upon the NCUA Board will make the appellate disclose confidential commercial following factors: determination. information over the objection of the (1) Whether you have a commercial (c) All appeals should be addressed to submitter, we will send both the interest that would be furthered by the the General Counsel in the Central submitter and the FOIA requester, requested disclosure; and if so Office and should be clearly identified within a reasonable number of days (2) Whether the magnitude of your as such on the envelope and in the letter prior to the specified disclosure date, a commercial interest is sufficiently large of appeal by using the indicator ‘‘FOIA- written notice which will include: in comparison with the public interest APPEAL.’’ Failure to address an appeal (1) A statement of the reasons for in disclosure, that disclosure is properly may delay commencement of which the submitter’s disclosure primarily in your commercial interest. the time limitation stated in paragraph objection was not sustained; and (c) If the required public interest (a)(1) of this section, to take account of (2) A description of the information to exists and your commercial interest is the time reasonably required to forward be disclosed; and not primary in comparison, NCUA will the appeal to the Office of General (3) A specified disclosure date. waive or reduce fees. Counsel. (h) If a requester brings suit to compel (d) If you are not satisfied with our § 792.29 If I send NCUA confidential disclosure of confidential commercial determination on your fee waiver or commercial information can it be disclosed information, we will promptly notify reduction request, you may submit an under FOIA? the submitter. appeal to the General Counsel in (a) If you submit confidential (i) The notice requirements of accordance with § 792.28. commercial information to NCUA , it paragraph (d) of this section do not Appeals may be disclosed in response to a FOIA apply if: request in accordance with this section. (1) We determine that the information § 792.28 What if I am not satisfied with the (b) For purposes of this section: should not be disclosed; response I receive? (1) Confidential commercial (2) The information has been lawfully If you are not satisfied with NCUA’s information means commercial or published or has been officially made response to your request, you can file an financial information provided to NCUA available to the public; administrative appeal. Your appeal by a submitter that arguably is protected (3) Disclosure of the information is must be in writing and must be filed from disclosure under § 792.11(a)(4) required by law; or within 30 days from receipt of the initial because disclosure could reasonably be (4) The designation made by the determination (in cases of denials of an expected to cause substantial submitter in accordance with paragraph entire request, or denial of a request for competitive harm. (c) of this section appears obviously fee waiver or reduction), or from receipt (2) Submitter means any person or frivolous; except that in such case, of any records being made available entity who provides business NCUA will provide the submitter with pursuant to the initial determination (in information, directly or indirectly, to written notice of any final cases of partial denials.) In its response NCUA. administrative decision to disclose the to your initial request, the Freedom of (c) Submitters of business information information within a reasonable number Information Act Officer, Inspector must use good faith efforts to designate, of days prior to the specified disclosure General, President of the Asset by appropriate markings, either at the date. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules 60807

Release of Exempt Information: SUMMARY: This document proposes the environmental, and energy aspects of adoption of a new airworthiness the proposed rule. All comments § 792.30 Is there a prohibition against directive (AD) that is applicable to submitted will be available, both before disclosure of exempt records? certain Boeing Model 757–200 series and after the closing date for comments, Except as provided in §§ 792.31– airplanes. This proposal would require in the Rules Docket for examination by 792.32, and subpart C of this part, no modification of certain passenger doors. interested persons. A report officer, employee, or agent of NCUA or This proposal is prompted by reports summarizing each FAA-public contact of any federally-insured credit union that certain passenger doors could not concerned with the substance of this shall disclose or permit the disclosure of be opened due to the escape slide shelf proposal will be filed in the Rules any exempt records of NCUA to any assembly and escape slide falling onto Docket. person other than those NCUA or credit the girt bar lifting mechanism of the Commenters wishing the FAA to union officers, employees, or agents door. The actions specified by the acknowledge receipt of their comments properly entitled to such information for proposed AD are intended to prevent submitted in response to this notice the performance of their official duties. the escape slide shelf assembly and must submit a self-addressed, stamped § 792.31 Can exempt records be disclosed escape slide from falling on the girt bar postcard on which the following to credit unions, financial institutions and of a passenger door due to failed rivets statement is made: ‘‘Comments to state or federal agencies? of the escape slide shelf assembly, and Docket Number 96–NM–232–AD.’’ The consequent inability to open the The NCUA Board, in its sole postcard will be date stamped and passenger door and to use the escape discretion, or any person designated by returned to the commenter. slide at that door during an emergency it in writing, may make available to evacuation of the airplane. Availability of NPRMs certain governmental agencies and DATES: Comments must be received by Any person may obtain a copy of this insured financial institutions copies of NPRM by submitting a request to the reports of examination and other December 29, 1997. ADDRESSES: Submit comments in FAA, Transport Airplane Directorate, documents, papers or information for ANM–103, Attention: Rules Docket No. their use, when necessary, in the triplicate to the Federal Aviation Administration (FAA), Transport 96–NM–232–AD, 1601 Lind Avenue, performance of their official duties or SW., Renton, Washington 98055–4056. functions. All reports, documents and Airplane Directorate, ANM–103, papers made available pursuant to this Attention: Rules Docket No. 96–NM– Discussion 232–AD, 1601 Lind Avenue, SW., paragraph shall remain the property of The FAA has received reports Renton, Washington 98055–4056. NCUA. No person, agency or employee indicating that various passenger doors Comments may be inspected at this shall disclose the reports or exempt (Number 1, 2, or 4) could not be opened. location between 9:00 a.m. and 3:00 records without NCUA’s express written Investigation revealed that the escape p.m., Monday through Friday, except authorization. slide shelf assembly and escape slide Federal holidays. § 792.32 Can exempt records be disclosed The service information referenced in had fallen onto the girt bar lifting to investigatory agencies? the proposed rule may be obtained from mechanism of the passenger door due to The NCUA Board, or any person Boeing Commercial Airplane Group, failure of four rivets of the shelf designated by it in writing, in its P.O. Box 3707, Seattle, Washington assembly. Such failure, if not corrected, discretion and in appropriate 98124–2207. This information may be could result in inability to open the circumstances, may disclose to proper examined at the FAA, Transport Number 1, 2, or 4 passenger door, and federal or state authorities copies of Airplane Directorate, 1601 Lind consequent inability to use the escape exempt records pertaining to Avenue, SW., Renton, Washington. slide at the door during an emergency evacuation of the airplane. irregularities discovered in credit FOR FURTHER INFORMATION CONTACT: unions which may constitute either Keith Ladderud, Aerospace Engineer, Explanation of Relevant Service unsafe or unsound practices or Airframe Branch, ANM–120S, FAA, Information violations of federal or state, civil or Seattle Aircraft Certification Office, The FAA has reviewed and approved criminal law. 1601 Lind Avenue, SW., Renton, Boeing Service Bulletin 757–25–0175, [FR Doc. 97–28586 Filed 11–12–97; 8:45 am] Washington; telephone (425) 227–2780; dated May 30, 1996, and Revision 1, BILLING CODE 7535±01±U fax (425) 227–1181. dated March 6, 1997, which describes SUPPLEMENTARY INFORMATION: procedures for modifying the escape slide shelf assemblies of the Number 1, Comments Invited 2, and 4 passenger doors. The DEPARTMENT OF TRANSPORTATION Interested persons are invited to modification entails replacing the four Federal Aviation Administration participate in the making of the existing rivets of the escape slide shelf proposed rule by submitting such assembly of the passenger doors with 14 CFR Part 39 written data, views, or arguments as steel rivets. The modification will they may desire. Communications shall ensure that the escape slide shelf [Docket No. 96±NM±232±AD] identify the Rules Docket number and assembly and escape slide do not fall be submitted in triplicate to the address onto the girt bar lifting mechanism. RIN 2120±AA64 specified above. All communications received on or before the closing date Explanation of Requirements of Airworthiness Directives; Boeing for comments, specified above, will be Proposed Rule Model 757±200 Series Airplanes considered before taking action on the Since an unsafe condition has been AGENCY: Federal Aviation proposed rule. The proposals contained identified that is likely to exist or Administration, DOT. in this notice may be changed in light develop on other products of this same type design, the proposed AD would ACTION: Notice of proposed rulemaking of the comments received. Comments are specifically invited on require modification of the escape slide (NPRM). the overall regulatory, economic, shelf assemblies of the Numbers 1, 2, 60808 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules and 4 passenger doors. The actions Administration proposes to amend part Issued in Renton, Washington, on would be required to be accomplished 39 of the Federal Aviation Regulations November 6, 1997. in accordance with the service bulletin (14 CFR part 39) as follows: Darrell M. Pederson, described previously. Acting Manager, Transport Airplane PART 39ÐAIRWORTHINESS Directorate, Aircraft Certification Service. Cost Impact DIRECTIVES [FR Doc. 97–29822 Filed 11–12–97; 8:45 am] There are approximately 673 Boeing 1. The authority citation for part 39 BILLING CODE 4910±13±U Model 757–200 series airplanes of the continues to read as follows: affected design in the worldwide fleet. The FAA estimates that 381 airplanes of Authority: 49 U.S.C. 106(g), 40113, 44701. DEPARTMENT OF TRANSPORTATION U.S. registry would be affected by this § 39.13 [Amended] proposed AD, that it would take Federal Aviation Administration 2. Section 39.13 is amended by approximately 6 work hours per adding the following new airworthiness airplane to accomplish the proposed 14 CFR Part 39 directive: actions, and that the average labor rate [Docket No. 97±NM±157±AD] is $60 per work hour. Required parts Boeing: Docket 96–NM–232–AD. would cost approximately $234 per Applicability: Model 757–200 series RIN 2120±AA64 airplanes, as listed in Boeing Service Bulletin airplane. Based on these figures, the cost Airworthiness Directives; Boeing impact of the proposed AD on U.S. 757–25–0175, Revision 1, dated March 6, 1997, certificated in any category. Model 737±100, ±200, ±300, ±400, and operators is estimated to be $226,314, or ±500 Series Airplanes $594 per airplane. Note 1: This AD applies to each airplane The cost impact figure discussed identified in the preceding applicability provision, regardless of whether it has been AGENCY: Federal Aviation above is based on assumptions that no otherwise modified, altered, or repaired in Administration, DOT. operator has yet accomplished any of the area subject to the requirements of this ACTION: Notice of proposed rulemaking the proposed requirements of this AD AD. For airplanes that have been modified, (NPRM). action, and that no operator would altered, or repaired so that the performance accomplish those actions in the future if of the requirements of this AD is affected, the SUMMARY: This document proposes to this AD were not adopted. owner/operator must request approval for an revise an existing airworthiness alternative method of compliance in directive (AD), applicable to all Boeing Regulatory Impact accordance with paragraph (c) of this AD. Model 737–100, –200, –300, –400, and The regulations proposed herein The request should include an assessment of the effect of the modification, alteration, or –500 series airplanes, that currently would not have substantial direct effects repair on the unsafe condition addressed by requires a one-time inspection to on the States, on the relationship this AD; and, if the unsafe condition has not determine the part number of the engage between the national government and been eliminated, the request should include solenoid valve of the yaw damper on the the States, or on the distribution of specific proposed actions to address it. rudder power control unit, and power and responsibilities among the Compliance: Required as indicated, unless replacement of the valve with a valve various levels of government. Therefore, accomplished previously. having a different part number, if in accordance with Executive Order To prevent inability to open the Number 1, necessary. That AD was prompted by a 12612, it is determined that this 2, or 4 passenger door and to use the escape review of the design of the flight control slide at that door during an emergency proposal would not have sufficient systems on Model 737 series airplanes. federalism implications to warrant the evacuation of the airplane, accomplish the following: The actions specified by that AD are preparation of a Federalism Assessment. (a) Within 18 months after the effective intended to prevent sudden For the reasons discussed above, I date of this AD, modify the escape slide shelf uncommanded yawing of the airplane certify that this proposed regulation (1) assemblies of the Numbers 1, 2, and 4 due to potential failures within the yaw is not a ‘‘significant regulatory action’’ passenger doors in accordance with Boeing damper system, and consequent injury under Executive Order 12866; (2) is not Service Bulletin 757–25–0175, dated May 30, to passengers and crewmembers. This a ‘‘significant rule’’ under the DOT 1996, or Revision 1, dated March 6, 1997. action would make certain editorial Regulatory Policies and Procedures (44 (b) As of the effective date of this AD, no person shall install an escape slide shelf changes to clarify the requirements of FR 11034, February 26, 1979); and (3) if the existing AD. promulgated, will not have a significant assembly having part number 416N2400–6 or 416N2400–7 on any airplane. DATES: Comments must be received by economic impact, positive or negative, (c) An alternative method of compliance or December 29, 1997. on a substantial number of small entities adjustment of the compliance time that ADDRESSES: Submit comments in under the criteria of the Regulatory provides an acceptable level of safety may be Flexibility Act. A copy of the draft used if approved by the Manager, Seattle triplicate to the Federal Aviation regulatory evaluation prepared for this Aircraft Certification Office (ACO), FAA, Administration (FAA), Transport action is contained in the Rules Docket. Transport Airplane Directorate. Operators Airplane Directorate, ANM–103, A copy of it may be obtained by shall submit their requests through an Attention: Rules Docket No. 97–NM– contacting the Rules Docket at the appropriate FAA Principal Maintenance 157–AD, 1601 Lind Avenue, SW., Inspector, who may add comments and then Renton, Washington 98055–4056. location provided under the caption send it to the Manager, Seattle ACO. ADDRESSES. Comments may be inspected at this Note 2: Information concerning the location between 9:00 a.m. and 3:00 List of Subjects in 14 CFR Part 39 existence of approved alternative methods of p.m., Monday through Friday, except compliance with this AD, if any, may be Federal holidays. Air transportation, Aircraft, Aviation obtained from the Seattle ACO. safety, Safety. The service information referenced in (d) Special flight permits may be issued in the proposed rule may be obtained from The Proposed Amendment accordance with sections 21.197 and 21.199 of the Federal Aviation Regulations (14 CFR Boeing Commercial Airplane Group, Accordingly, pursuant to the 21.197 and 21.199) to operate the airplane to P.O. Box 3707, Seattle, Washington authority delegated to me by the a location where the requirements of this AD 98124–2207. This information may be Administrator, the Federal Aviation can be accomplished. examined at the FAA, Transport Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules 60809

Airplane Directorate, 1601 Lind a review of the design of the flight Cost Impact Avenue, SW., Renton, Washington. control systems on Model 737 series There are approximately 2,675 Boeing FOR FURTHER INFORMATION CONTACT: Tin airplanes. The requirements of that AD Model 737 series airplanes of the Truong, Aerospace Engineer, ANM– are intended to prevent sudden affected design in the worldwide fleet. 130S, FAA, Transport Airplane uncommanded yawing of the airplane The FAA estimates that 1,091 airplanes Directorate, Seattle Aircraft Certification due to potential failures within the yaw of U.S. registry would be affected by this Office, 1601 Lind Avenue, SW., Renton, damper system, and consequent injury proposed AD. Washington 98055–4056; telephone to passengers and crewmembers. The FAA estimates that it would take (425) 227–2764; fax (425) 227–1181. Actions Since Issuance of Previous Rule approximately 1 work hour per airplane to accomplish the proposed one-time SUPPLEMENTARY INFORMATION: Since the issuance of AD 97–09–15, inspection, at an average labor rate of the FAA has re-reviewed the Comments Invited $60 per work hour. Based on these requirements of paragraph (a) and the Interested persons are invited to figures, the cost impact of the inspection information specified in ‘‘Note 3’’ of participate in the making of the proposed by this AD on U.S. operators that AD. proposed rule by submitting such is estimated to be $65,460, or $60 per written data, views, or arguments as The FAA finds that, as paragraph (a) airplane. The requirements of this AD they may desire. Communications shall of AD 97–09–15 is currently worded, will add no new costs to affected identify the Rules Docket number and operators could misinterpret exactly operators. be submitted in triplicate to the address which engage solenoid value of the yaw The cost impact figure discussed specified above. All communications damper must be inspected. Therefore, above is based on assumptions that no received on or before the closing date the FAA has revised the phrase ‘‘engage operator has yet accomplished any of for comments, specified above, will be solenoid valve of the yaw damper’’ to the proposed requirements of this AD considered before taking action on the read ‘‘engage solenoid valve of the yaw action, and that no operator would proposed rule. The proposals contained damper on the rudder power control accomplish those actions in the future if in this notice may be changed in light unit (PCU).’’ this AD were not adopted. of the comments received. The FAA also finds that paragraph (a) Regulatory Impact Comments are specifically invited on of AD 97–09–15 specifies only the the overall regulatory, economic, Boeing part number (P/N) for some The regulations proposed herein environmental, and energy aspects of affected parts. For clarification would not have substantial direct effects the proposed rule. All comments purposes, the FAA has revised on the States, on the relationship submitted will be available, both before paragraph (a) of the existing AD to between the national government and and after the closing date for comments, include both the Boeing P/N and the the States, or on the distribution of in the Rules Docket for examination by vendor P/N’s for all affected parts. power and responsibilities among the interested persons. A report The FAA also has revised paragraph various levels of government. summarizing each FAA-public contact (a) of the existing AD to reference Therefore, in accordance with concerned with the substance of this Chapter 22–11–61 (for Model 737–100 Executive Order 12612, it is determined proposal will be filed in the Rules and –200 series airplanes) and Chapter that this proposal would not have Docket. 22–12–21 (for Model 737–300, –400, sufficient federalism implications to Commenters wishing the FAA to and –500 series airplanes) of the Boeing warrant the preparation of a Federalism acknowledge receipt of their comments Maintenance Manual as the appropriate Assessment. submitted in response to this notice sources of service information for For the reasons discussed above, I must submit a self-addressed, stamped accomplishment of the actions required certify that this proposed regulation (1) postcard on which the following by that paragraph. is not a ‘‘significant regulatory action’’ statement is made: ‘‘Comments to Furthermore, the FAA finds that some under Executive Order 12866; (2) is not Docket Number 97–NM–157–AD.’’ The engage solenoid valves may be labeled a ‘‘significant rule’’ under the DOT postcard will be date stamped and with only the name ‘‘Bertea,’’ rather Regulatory Policies and Procedures (44 returned to the commenter. than ‘‘Parker’’ or ‘‘Parker-Bertea.’’ FR 11034, February 26, 1979); and (3) if Therefore, the FAA has revised ‘‘Note promulgated, will not have a significant Availability of NPRMs 3’’ of AD 97–09–15 to include such economic impact, positive or negative, Any person may obtain a copy of this information regarding the labeling of the on a substantial number of small entities NPRM by submitting a request to the engage solenoid valves. under the criteria of the Regulatory FAA, Transport Airplane Directorate, Explanation of Requirements of Flexibility Act. A copy of the draft ANM–103, Attention: Rules Docket No. Proposed Rule regulatory evaluation prepared for this 97–NM–157–AD, 1601 Lind Avenue, action is contained in the Rules Docket. SW., Renton, Washington 98055–4056. Since an unsafe condition has been A copy of it may be obtained by identified that is likely to exist or Discussion contacting the Rules Docket at the develop on other products of this same location provided under the caption On April 24, 1997, the FAA issued type design, the proposed AD would ADDRESSES. AD 97–09–15, amendment 39–10011 (62 revise AD 97–09–15 to continue to FR 24325, May 5, 1997), applicable to require a one-time inspection to List of Subjects in 14 CFR Part 39 all Boeing Model 737–100, –200, –300, determine the part number of the engage Air transportation, Aircraft, Aviation –400, and –500 series airplanes, to solenoid valve of the yaw damper on the safety, Safety. require a one-time inspection to rudder PCU, and replacement of the determine the part number of the engage valve with a valve having a different The Proposed Amendment solenoid valve of the yaw damper, and part number, if necessary. The proposed Accordingly, pursuant to the replacement of the valve with a valve AD would make certain editorial authority delegated to me by the having a different part number, if changes to clarify the requirements of Administrator, the Federal Aviation necessary. That action was prompted by the existing AD. Administration proposes to amend part 60810 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules

39 of the Federal Aviation Regulations Note 2: Boeing In-Service Activities Report proposal would require installation of a (14 CFR part 39) as follows: 95–03–2725–10, dated February 16, 1995 (for placard that warns the cabin crew not to Model 737–100 and –200 series airplanes), or put the selector valve for the forward PART 39ÐAIRWORTHINESS 95–04–2725–10, dated February 24, 1995 (for lavatory water supply in the ‘‘DRAIN’’ DIRECTIVES Model 737–300, –400, and –500 series position during flight. This proposal airplanes), provides additional information concerning interchangeability of solenoid also would require installation of an 1. The authority citation for part 39 isolation valve in the drain line continues to read as follows: valve part numbers. Note 3: Operators should note that, as downstream of the selector valve. This Authority: 49 U.S.C. 106(g), 40113, 44701. specified in paragraph (a) of this AD, both the proposal is prompted by reports of Parker and Sterer P/N’s have the same Boeing damage to the horizontal stabilizer and § 39.13 [Amended] P/N (10–60811–3). If, upon inspection, engine flameout caused by ice formed Boeing P/N 10–60811–3 is found to be 2. Section 39.13 is amended by from water drained inadvertently installed, operators must ascertain the vendor through a mispositioned selector valve. removing amendment 39–10011 (62 FR P/N. Parts having Boeing P/N 10–60811–3 24325, May 5, 1997), and by adding a The actions specified by the proposed and Parker P/N 59600–5007 must be replaced AD are intended to prevent damage to new airworthiness directive (AD), to and are not considered to be acceptable the engines, airframe, or horizontal read as follows: replacement parts. In addition, some engage solenoid valves may be labeled with only the stabilizer, and/or prevent a hazard to Boeing: Docket 97–NM–157–AD. Revises AD name ‘‘Bertea,’’ rather than ‘‘Parker’’ or persons or property on the ground, as a 97–09–15, Amendment 39–10011. ‘‘Parker-Bertea.’’ result of ice that could dislodge from the Applicability: All Model 737–100, –200, airplane. –300, –400, and –500 series airplanes, (b) An alternative method of compliance or certificated in any category. adjustment of the compliance time that DATES: Comments must be received by Note 1: This AD applies to each airplane provides an acceptable level of safety may be December 29, 1997. identified in the preceding applicability used if approved by the Manager, Seattle ADDRESSES: Submit comments in provision, regardless of whether it has been Aircraft Certification Office (ACO), FAA, triplicate to the Federal Aviation Transport Airplane Directorate. Operators otherwise modified, altered, or repaired in Administration (FAA), Transport the area subject to the requirements of this shall submit their requests through an appropriate FAA Principal Maintenance Airplane Directorate, ANM–103, AD. For airplanes that have been modified, Attention: Rules Docket No. 97–NM– altered, or repaired so that the performance Inspector, who may add comments and then of the requirements of this AD is affected, the send it to the Manager, Seattle ACO. 238–AD, 1601 Lind Avenue, SW., owner/operator must request approval for an Note 4: Information concerning the Renton, Washington 98055–4056. alternative method of compliance in existence of approved alternative methods of Comments may be inspected at this accordance with paragraph (b) of this AD. compliance with this AD, if any, may be location between 9:00 a.m. and 3:00 The request should include an assessment of obtained from the Seattle ACO. p.m., Monday through Friday, except the effect of the modification, alteration, or (c) Special flight permits may be issued in Federal holidays. accordance with sections 21.197 and 21.199 repair on the unsafe condition addressed by FOR FURTHER INFORMATION CONTACT: Don of the Federal Aviation Regulations (14 CFR this AD; and, if the unsafe condition has not Eiford, Aerospace Engineer, Systems been eliminated, the request should include 21.197 and 21.199) to operate the airplane to specific proposed actions to address it. a location where the requirements of this AD and Equipment Branch, ANM–130S, FAA, Transport Airplane Directorate, Compliance: Required as indicated, unless can be accomplished. accomplished previously. Issued in Renton, Washington, on Seattle Aircraft Certification Office, To prevent sudden uncommanded yawing November 6, 1997. 1601 Lind Avenue, SW., Renton, of the airplane due to potential failures Darrell M. Pederson, Washington 98055–4056; telephone within the yaw damper system, and Acting Manager, Transport Airplane (425) 227–2788; fax (425) 227–1181. consequent injury to passengers and Directorate, Aircraft Certification Service. SUPPLEMENTARY INFORMATION: crewmembers, accomplish the following: (a) Perform a one-time inspection of the [FR Doc. 97–29820 Filed 11–12–97; 8:45 am] Comments Invited engage solenoid valve of the yaw damper on BILLING CODE 4910±13±U the rudder power control unit (PCU) to Interested persons are invited to determine the part number (P/N) of the valve. participate in the making of the If any valve having Parker P/N 59600–5011 DEPARTMENT OF TRANSPORTATION proposed rule by submitting such (Boeing P/N 10–60811–9), Parker P/N 59600– written data, views, or arguments as 5007 (Boeing P/N 10–60811–3), or Parker P/ Federal Aviation Administration they may desire. Communications shall N 59600–5003 (Boeing P/N 10–60811–1) is identify the Rules Docket number and installed, prior to further flight, replace it 14 CFR Part 39 be submitted in triplicate to the address with a valve having Parker P/N 881600–1001 [Docket No. 97±NM±238±AD] specified above. All communications (Boeing P/N 10–60811–13), Sterer P/N received on or before the closing date 45080–1 (Boeing P/N 10–60811–8), or Sterer RIN 2120±AA64 P/N 45080 (Boeing P/N 10–60811–3). for comments, specified above, will be Accomplish the actions in accordance with Airworthiness Directives; Boeing considered before taking action on the procedures specified in Chapter 22–11–61 Model 737±100, ±200, ±300, ±400, and proposed rule. The proposals contained (for Model 737–100 and –200 series ±500 Series Airplanes in this notice may be changed in light airplanes) or Chapter 22–12–21 (for Model of the comments received. 737–300, –400, and –500 series airplanes) of AGENCY: Federal Aviation Comments are specifically invited on the Boeing Maintenance Manual, as Administration, DOT. the overall regulatory, economic, applicable. Accomplish the inspection at the ACTION: environmental, and energy aspects of earlier of the times specified in paragraphs Notice of proposed rulemaking (NPRM). the proposed rule. All comments (a)(1) and (a)(2) of this AD. submitted will be available, both before (1) Within 5 years or 15,000 flight hours SUMMARY: after June 9, 1997 (the effective date of AD This document proposes the and after the closing date for comments, 97–09–15, amendment 39–10011), whichever adoption of a new airworthiness in the Rules Docket for examination by occurs first. directive (AD) that is applicable to all interested persons. A report (2) At the next time the PCU is sent to a Boeing Model 737–100, –200, –300, summarizing each FAA-public contact repair facility. –400, and –500 series airplanes. This concerned with the substance of this Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules 60811 proposal will be filed in the Rules Cost Impact The Proposed Amendment Docket. There are approximately 2,830 Boeing Accordingly, pursuant to the Commenters wishing the FAA to Model 737–100, –200, –300, –400, and authority delegated to me by the acknowledge receipt of their comments –500 series airplanes of the affected Administrator, the Federal Aviation submitted in response to this notice design in the worldwide fleet. The FAA Administration proposes to amend part must submit a self-addressed, stamped estimates that 1,037 airplanes of U.S. 39 of the Federal Aviation Regulations postcard on which the following registry would be affected by this (14 CFR part 39) as follows: statement is made: ‘‘Comments to proposed AD. Docket Number 97–NM–238–AD.’’ The It would take approximately 1 work PART 39ÐAIRWORTHINESS postcard will be date stamped and hour per airplane to accomplish the DIRECTIVES proposed placard installation, at an returned to the commenter. 1. The authority citation for part 39 average labor rate of $60 per work hour. continues to read as follows: Availability of NPRMs Based on these figures, the cost impact of this installation proposed by this AD Authority: 49 U.S.C. 106(g), 40113, 44701. Any person may obtain a copy of this on U.S. operators is estimated to be § 39.13 [Amended] NPRM by submitting a request to the $62,220, or $60 per airplane. FAA, Transport Airplane Directorate, It would take approximately 6 work 2. Section 39.13 is amended by ANM–103, Attention: Rules Docket No. hours per airplane to accomplish the adding the following new airworthiness 97–NM–238–AD, 1601 Lind Avenue, proposed installation of an isolation directive: SW., Renton, Washington 98055–4056. valve, and that the average labor rate is Boeing: Docket 97–NM–238–AD. $60 per work hour. Required parts Applicability: All Model 737–100, –200, Discussion would cost approximately $300 per –300, –400, and –500 series airplanes, The FAA has received several reports airplane. Based on these figures, the cost certificated in any category. that ice has formed on the skin of impact of this installation proposed by Note 1: This AD applies to each airplane this AD on U.S. operators is estimated identified in the preceding applicability Boeing Model 737 series airplanes due provision, regardless of whether it has been to drainage of potable water through an to be $684,420, or $660 per airplane. The cost impact figures discussed otherwise modified, altered, or repaired in incorrectly positioned selector valve for the area subject to the requirements of this the forward lavatory water supply. Two above are based on assumptions that no AD. For airplanes that have been modified, of these incidents resulted in engine operator has yet accomplished any of altered, or repaired so that the performance flameout and two other incidents the proposed requirements of this AD of the requirements of this AD is affected, the resulted in damage to the horizontal action, and that no operator would owner/operator must request approval for an accomplish those actions in the future if alternative method of compliance in stabilizer. this AD were not adopted. accordance with paragraph (c) of this AD. The selector valve is a three-position The request should include an assessment of (‘‘DRAIN,’’ ‘‘SUPPLY,’’ and Regulatory Impact the effect of the modification, alteration, or ‘‘SHUTOFF’’) selector valve for the The regulations proposed herein repair on the unsafe condition addressed by this AD; and, if the unsafe condition has not forward lavatory water supply. It is would not have substantial direct effects been eliminated, the request should include possible to place the selector valve in on the States, on the relationship specific proposed actions to address it. the ‘‘DRAIN’’ position instead of the between the national government and Compliance: Required as indicated, unless ‘‘SHUTOFF’’ position during flight, the States, or on the distribution of accomplished previously. which results in the contents of the power and responsibilities among the To prevent damage to the engines, potable water supply tank draining onto various levels of government. Therefore, airframe, or horizontal stabilizer, and/or a the skin of the airplane. This condition, in accordance with Executive Order hazard to persons or property on the ground, if not corrected, could result in the 12612, it is determined that this accomplish the following: formation of ice that could dislodge proposal would not have sufficient (a) Within 6 months after the effective date federalism implications to warrant the of this AD, install a placard (as shown in from the airplane and, consequently, Figure 1 of this AD) on the door beneath the cause damage to the engines, airframe, preparation of a Federalism Assessment. forward lavatory sink that warns the cabin or horizontal stabilizer and/or pose a For the reasons discussed above, I crew not to put the selector valve for the hazard to persons or property on the certify that this proposed regulation (1) forward lavatory water supply in the ground. is not a ‘‘significant regulatory action’’ ‘‘DRAIN’’ position during flight. The under Executive Order 12866; (2) is not installation shall be accomplished in Explanation of Requirements of a ‘‘significant rule’’ under the DOT accordance with a method approved by the Proposed Rule Regulatory Policies and Procedures (44 Manager, Seattle Aircraft Certification Office FR 11034, February 26, 1979); and (3) if (ACO), FAA, Transport Airplane Directorate. Since an unsafe condition has been (b) Within 36 months after the effective promulgated, will not have a significant date of this AD, install an isolation valve in identified that is likely to exist or economic impact, positive or negative, develop on other products of this same the drain line downstream of the selector on a substantial number of small entities valve for the forward lavatory water supply, type design, the proposed AD would under the criteria of the Regulatory in accordance with a method approved by require installation of a placard to warn Flexibility Act. A copy of the draft the Manager, Seattle ACO. the cabin crew not to put the selector regulatory evaluation prepared for this (c) An alternative method of compliance or valve for the forward lavatory water action is contained in the Rules Docket. adjustment of the compliance time that supply in the ‘‘DRAIN’’ position during A copy of it may be obtained by provides an acceptable level of safety may be used if approved by the Manager, Seattle flight. In addition, the proposed AD contacting the Rules Docket at the would require installation of an ACO. Operators shall submit their requests location provided under the caption through an appropriate FAA Principal isolation valve in the drain line ADDRESSES. Maintenance Inspector, who may add downstream of the selector valve. These comments and then send it to the Manager, actions would be required to be List of Subjects in 14 CFR Part 39 Seattle ACO. accomplished in accordance with a Air transportation, Aircraft, Aviation Note 2: Information concerning the method approved by the FAA. safety, Safety. existence of approved alternative methods of 60812 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules compliance with this AD, if any, may be (d) Special flight permits may be issued in a location where the requirements of this AD obtained from the Seattle ACO. accordance with sections 21.197 and 21.199 can be accomplished. of the Federal Aviation Regulations (14 CFR BILLING CODE 4910±13±U 21.197 and 21.199) to operate the airplane to

Issued in Renton, Washington, on November 6, 1997. Darrell M. Pederson, Acting Manager, Transport Airplane Directorate, Aircraft Certification Service. [FR Doc. 97–29819 Filed 11–12–97; 8:45 am] BILLING CODE 4910±13±C Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules 60813

DEPARTMENT OF TRANSPORTATION be submitted in triplicate to the address airworthiness directive 96–289, dated specified above. All communications October 10, 1996, in order to assure the Federal Aviation Administration received on or before the closing date continued airworthiness of these for comments, specified above, will be airplanes in Germany. 14 CFR Part 39 considered before taking action on the FAA’s Conclusions [Docket No. 97±NM±111±AD] proposed rule. The proposals contained in this notice may be changed in light This airplane model is manufactured RIN 2120±AA64 of the comments received. in Germany and is type certificated for Comments are specifically invited on operation in the United States under the Airworthiness Directives; Dornier the overall regulatory, economic, provisions of section 21.29 of the Model 328±100 Series Airplanes environmental, and energy aspects of Federal Aviation Regulations (14 CFR AGENCY: Federal Aviation the proposed rule. All comments 21.29) and the applicable bilateral Administration, DOT. submitted will be available, both before airworthiness agreement. Pursuant to ACTION: Notice of proposed rulemaking and after the closing date for comments, this bilateral airworthiness agreement, (NPRM). in the Rules Docket for examination by the LBA has kept the FAA informed of interested persons. A report the situation described above. The FAA SUMMARY: This document proposes the summarizing each FAA-public contact has examined the findings of the LBA, adoption of a new airworthiness concerned with the substance of this reviewed all available information, and directive (AD) that is applicable to proposal will be filed in the Rules determined that AD action is necessary certain Dornier Model 328–100 series Docket. for products of this type design that are airplanes. This proposal would require Commenters wishing the FAA to certificated for operation in the United modification of a certain electrical panel acknowledge receipt of their comments States. and relay support. This proposal is submitted in response to this notice Explanation of Requirements of prompted by issuance of mandatory must submit a self-addressed, stamped Proposed Rule continuing airworthiness information by postcard on which the following a foreign civil airworthiness authority. statement is made: ‘‘Comments to Since an unsafe condition has been The actions specified by the proposed Docket Number 97–NM–111–AD.’’ The identified that is likely to exist or AD are intended to prevent possible postcard will be date stamped and develop on other airplanes of the same electrical short circuits, which could returned to the commenter. type design registered in the United result in loss of certain electrical States, the proposed AD would require indicating and recording systems, and Availability of NPRMs accomplishment of the actions specified the possibility of a fire. Any person may obtain a copy of this in the service bulletin described DATES: Comments must be received by NPRM by submitting a request to the previously. FAA, Transport Airplane Directorate, December 15, 1997. Cost Impact ADDRESSES: Submit comments in ANM–103, Attention: Rules Docket No. The FAA estimates that 41 airplanes triplicate to the Federal Aviation 97–NM–111–AD, 1601 Lind Avenue, of U.S. registry would be affected by this Administration (FAA), Transport SW., Renton, Washington 98055–4056. proposed AD, that it would take Airplane Directorate, ANM–103, Discussion approximately 16 work hours per Attention: Rules Docket No. 97–NM– The Luftfahrt-Bundesamt (LBA), airplane to accomplish the proposed 111–AD, 1601 Lind Avenue, SW., which is the airworthiness authority for actions, and that the average labor rate Renton, Washington 98055–4056. Germany, notified the FAA that an is $60 per work hour. Required parts Comments may be inspected at this unsafe condition may exist on certain would be provided by the manufacturer location between 9:00 a.m. and 3:00 Dornier Model 328–100 series airplanes. at no cost to the operators. Based on p.m., Monday through Friday, except The LBA advises that it has received a these figures, the cost impact of the Federal holidays. The service information referenced in report of loose relay terminals, caused proposed AD on U.S. operators is the proposed rule may be obtained from by vibration, in certain electrical estimated to be $39,360, or $960 per Dornier Luftfahrt GmbH, P.O. Box 1103, circuits. These loose relay terminals airplane. The cost impact figure discussed D–82230 Wessling, Federal Republic of could result in an electrical short circuit above is based on assumptions that no Germany. This information may be at electrical panel 35VE, and relay operator has yet accomplished any of examined at the FAA, Transport support 36VE. This condition, if not the proposed requirements of this AD Airplane Directorate, 1601 Lind corrected, could result in loss of certain action, and that no operator would Avenue, SW., Renton, Washington. electrical indicating and recording systems, and the possibility of a fire. accomplish those actions in the future if FOR FURTHER INFORMATION CONTACT: this AD were not adopted. International Branch, ANM–116, FAA, Explanation of Relevant Service Transport Airplane Directorate, 1601 Information Regulatory Impact Lind Avenue, SW., Renton, Washington Dornier has issued Service Bulletin The regulations proposed herein 98055–4056; telephone (425) 227–2110; SB–328–31–172, dated June 18, 1996, would not have substantial direct effects fax (425) 227–1149. which describes procedures for on the States, on the relationship SUPPLEMENTARY INFORMATION: modifications of electric panel 35VE between the national government and and relay support 36VE by installing the States, or on the distribution of Comments Invited new terminal studs, spacers, and U- power and responsibilities among the Interested persons are invited to sections. Accomplishment of the actions various levels of government. Therefore, participate in the making of the specified in the service bulletin is in accordance with Executive Order proposed rule by submitting such intended to adequately address the 12612, it is determined that this written data, views, or arguments as identified unsafe condition. The LBA proposal would not have sufficient they may desire. Communications shall classified this service bulletin as federalism implications to warrant the identify the Rules Docket number and mandatory and issued German preparation of a Federalism Assessment. 60814 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules

For the reasons discussed above, I (a) Within 90 days after the effective date 97–AEA–43, F.A.A. Eastern Region, certify that this proposed regulation (1) of this AD, modify electrical panel 35VE and Federal Building #111, John F. Kennedy is not a ‘‘significant regulatory action’’ relay support 36VE in accordance with Int’l Airport, Jamaica, NY 11430. under Executive Order 12866; (2) is not Dornier Service Bulletin SB–328–31–172, The official docket may be examined dated June 18, 1996. in the Office of the Assistant Chief a ‘‘significant rule’’ under the DOT (b) An alternative method of compliance or Regulatory Policies and Procedures (44 Counsel, AEA–7, F.A.A. Eastern Region, adjustment of the compliance time that # FR 11034, February 26, 1979); and (3) if provides an acceptable level of safety may be Federal Building 111, John F. Kennedy promulgated, will not have a significant used if approved by the Manager, International Airport, Jamaica, New economic impact, positive or negative, International Branch, ANM–116, FAA, York 11430. on a substantial number of small entities Transport Airplane Directorate. Operators An informal docket may also be under the criteria of the Regulatory shall submit their requests through an examined during normal business hours Flexibility Act. A copy of the draft appropriate FAA Principal Maintenance in the Airspace Branch, AEA–520, regulatory evaluation prepared for this Inspector, who may add comments and then F.A.A. Eastern Region, Federal Building send it to the Manager, International Branch, #111, John F. Kennedy International action is contained in the Rules Docket. ANM–116. A copy of it may be obtained by Airport, Jamaica, NY 11430. Note 2: Information concerning the contacting the Rules Docket at the existence of approved alternative methods of FOR FURTHER INFORMATION CONTACT: location provided under the caption compliance with this AD, if any, may be Mr. Francis T. Jordan, Jr., Airspace ADDRESSES. obtained from the International Branch, Specialist, Airspace Branch, AEA–520 List of Subjects in 14 CFR Part 39 ANM–116. F.A.A. Eastern Region, Federal Building (c) Special flight permits may be issued in #111, John F. Kennedy International Air transportation, Aircraft, Aviation accordance with sections 21.197 and 21.199 Airport, Jamaica, New York 11430; safety, Safety. of the Federal Aviation Regulations (14 CFR telephone: (718) 553–4521. 21.197 and 21.199) to operate the airplane to The Proposed Amendment a location where the requirements of this AD SUPPLEMENTARY INFORMATION: Accordingly, pursuant to the can be accomplished. Comments Invited authority delegated to me by the Note 3: The subject of this AD is addressed in German airworthiness directive 96–289, Interested parties are invited to Administrator, the Federal Aviation participate in this proposed rulemaking Administration proposes to amend part dated October 10, 1996. Issued in Renton, Washington, on by submitting such written data, views, 39 of the Federal Aviation Regulations or arguments as they may desire. (14 CFR part 39) as follows: November 6, 1997. Darrell M. Pederson, Comments that provide the factual basis supporting the views and suggestions PART 39ÐAIRWORTHINESS Acting Manager, Transport Airplane Directorate, Aircraft Certification Service. presented are particularly helpful in DIRECTIVES developing reasoned regulatory [FR Doc. 97–29826 Filed 11–12–97; 8:45 am] decisions on the proposal. Comments 1. The authority citation for part 39 BILLING CODE 4910±13±U are specifically invited on the overall continues to read as follows: regulatory, economic, environmental, Authority: 49 U.S.C. 106(g), 40113, 44701. DEPARTMENT OF TRANSPORTATION and energy-related aspects of the § 39.13 [Amended] proposal. Communications should Federal Aviation Administration identify the airspace docket number and 2. Section 39.13 is amended by be submitted in triplicate to the address adding the following new airworthiness 14 CFR Part 71 listed above. Commenters wishing the directive: [Airspace Docket No. 97±AEA±43] FAA to acknowledge receipt of their DORNIER: Docket 97–NM–111–AD. comments on this notice must submit Applicability: Model 328–100 series Proposed Amendment to Class E with those comments a self-addressed, airplanes, serial numbers 3005 through 3065 Airspace; Somerset, PA stamped postcard on which the inclusive, certificated in any category. following statement is made: Note 1: This AD applies to each airplane AGENCY: Federal Aviation ‘‘Comments to Airspace Docket No. 97– identified in the preceding applicability Administration (FAA), DOT. AEA–43.’’ The postcard will be date/ provision, regardless of whether it has been ACTION: Notice of proposed rulemaking. time stamped and returned to the otherwise modified, altered, or repaired in commenter. All communications the area subject to the requirements of this SUMMARY: This notice proposes to received on or before the closing date AD. For airplanes that have been modified, amend the Class E airspace area at for comments will be considered before altered, or repaired so that the performance Somerset, PA. The development of a of the requirements of this AD is affected, the taking action on the proposed rule. The new Standard Instrument Approach proposal contained in this notice may owner/operator must request approval for an Procedure (SIAP) based on the Global alternative method of compliance in be changed in light of comments accordance with paragraph (b) of this AD. Positioning System (GPS) at Somerset received. All comments submitted will The request should include an assessment of County Airport has made this proposal be available for examination in the the effect of the modification, alteration, or necessary. Additional controlled Rules Docket both before and after the repair on the unsafe condition addressed by airspace extending upward from 700 closing date for comments. A report this AD; and, if the unsafe condition has not feet Above Ground Level (AGL) is summarizing each substantive public been eliminated, the request should include needed to accommodate the SIAP and specific proposed actions to address it. contact with the FAA personnel for Instrument Flight Rules (IFR) concerned with this rulemaking will be Compliance: Required as indicated, unless operations at the airport. filed in the docket. accomplished previously. DATES: Comments must be received on To prevent possible electrical short or before December 15, 1997. Availability of NPRMs circuits, which could result in loss of certain electrical indicating and recording systems, ADDRESSES: Send comments on the Any person may obtain a copy of this and the possibility of a fire, accomplish the proposal in triplicate to: Manager, Notice of Proposed Rulemaking (NPRM) following: Airspace Branch, AEA–520, Docket No. by submitting a request to the Office of Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules 60815 the Assistant Chief Counsel, AEA–7, Authority: 49 U.S.C. 106(g), 40103, 40113, Blue Mountain Lakes area of the park F.A.A. Eastern Region, Federal Building 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959– because such use is consistent with the #111, John F. Kennedy International 1963 Comp., p. 389. protection of the park’s natural, scenic Airport, Jamaica, NY 11430. § 71.1 [Amended] and aesthetic values, safety Communications must identify the considerations and management 2. The incorporation by reference in notice number of this NPRM. Persons objectives and will not disturb wildlife 14 CFR 71.1 of Federal Aviation interested in being placed on a mailing or park resources. The requirement to Administration Order 7400.9E, Airspace list for future NPRMs should also register for climbing activities was Designations and Reporting Pants, dated request a copy of Advisory Circular No. originally intended to promote climbing September 10, 1997, and effective 11–2A, which describes the application safety, provide information concerning September 16, 1997, is amended as procedure. the location and difficulty of routes and follows: provide climbers with procedures to The Proposal Paragraph 6005 Class E airspace areas follow in the event of an emergency. The FAA is considering an extending upward from 700 feet or more However, the registration system has not amendment to 14 CFR Part 71 to amend above the surface of the earth. been effective and the NPS believes that the Class E airspace area at Somerset, * * * * * a better course of action will be to PA. A GPS RWY 6 SIAP has been AEA PA E5 Somerset, PA [Revised] promote self-responsibility within the developed for the Somerset County climbing community. Many NPS areas Airport. Additional controlled airspace Somerset County Airport, PA (lat. 40°02′20′′N., long. 79°00′47′′W.) with significant rock climbing activities extending upward from 700 feet AGL is Stoystown NDB do not require technical climbing needed to accommodate the SIAP and (lat. 40°05′09′′N., long. 78°55′00′′W.) registration. The deletion of this for IFR operations at the airport. Class That airspace extending upward from 700 regulation will also remove an E airspace designations for airspace feet above the surface within a 6.4-mile unnecessary administrative burden for areas extending upward from 700 feet or radius of Somerset County Airport and both the climbing community and the more above the surface are published in within 3.1 miles each side of the 058° bearing NPS. Paragraph 6005 of FAA Order 7400.9E, from the Stoystown NDB extending from the DATES: Written comments will be dated September 10, 1997, and effective 6.4-mile radius to 9.6 miles northeast of the accepted until January 12, 1998. September 16, 1997, which is NDB and 4 miles each side of the 236° bearing from the Somerset County Airport ADDRESSES: Comments should be incorporated by reference in 14 CFR addressed to: Superintendent, Delaware 71.1. The Class E airspace designation extending from the 6.4-mile radius to 9.5 miles southwest of the airport, excluding that Water Gap National Recreation Area, listed in this document would be portion that coincides with the Seven Bushkill, Pennsylvania, 18324. published subsequently in the Order. Springs, PA, Class E airspace area. FOR FURTHER INFORMATION CONTACT: The FAA has determined that this * * * * * Wayne Valentine, Kittatinny Subdistrict proposed regulation only involves an Issued in Jamaica, New York, on October Ranger, Delaware Water Gap National established body of technical 7, 1997. Recreation Area. Telephone 908–841– regulations for which frequent and Franklin D. Hatfield, 9533. routine amendments are necessary to Manager, Air Traffic Division, Eastern Region. keep them operationally current. SUPPLEMENTARY INFORMATION: [FR Doc. 97–29835 Filed 11–12–97; 8:45 am] Therefore, this proposed regulation—(1) Background is not a ‘‘significant regulatory action’’ BILLING CODE 4910±13±M under Executive Order 12866; (2) is not Bicycle Routes a ‘‘significant rule’’ under DOT This proposed rule will designate DEPARTMENT OF THE INTERIOR Regulatory Policies and Procedures (44 certain trails and former roads for FR 11034; February 26, 1979); and (3) National Park Service bicycle use in the Blue Mountain Lakes does not warrant preparation of a area of the park. This area was originally regulatory evaluation as the anticipated 36 CFR Part 7 intended for a housing development impact is so minimal. Since this is a associated with the proposed Tocks routine matter that would only affect air RIN 1024±AC62 Island Dam prior to the establishment of traffic procedures and air navigation, it Delaware Water Gap National is certified that this proposed rule Delaware Water Gap National Recreation Area; Designation of Recreation Area in 1965. would not have significant economic On April 2, 1987, the NPS published impact on a substantial number of small Bicycle Routes; Deletion of Climbing Registration Regulation revised regulations in the Federal entities under the criteria of the Register amending 36 CFR part 4 which, Regulatory Flexibility Act. AGENCY: National Park Service, Interior. among other regulations, states that List of Subjects in 14 CFR Part 71 ACTION: Proposed rule. ‘‘(T)he use of a bicycle is prohibited except on park roads, in parking areas Airspace, Incorporation by reference, SUMMARY: The National Park Service and on routes designated for bicycle Navigation (air). (NPS) is proposing to amend its special use’’ (52 FR 10670). This regulation, The Proposed Amendment regulations to designate certain routes found at 36 CFR 4.30, requires that such within a nondeveloped area as open for designation be made only after ‘‘a In consideration of the foregoing, the bicycle use and to regulate their use in written determination that such use is Federal Aviation Administration this area and to delete the regulation consistent with the protection of a park proposes to amend 14 CFR Part 71 as concerning the mandatory registration area’s natural, scenic and aesthetic follows: of technical rock climbing activities at values, safety considerations and PART 71Ð[AMENDED] Delaware Water Gap National management objectives and will not Recreation Area. Bicycle use has been disturb wildlife or park resources’’ (36 1. The authority citation for Part 71 determined by the Superintendent to be CFR 4.30(a)). This regulation further continues to read as follows: a desirable recreational use within the requires that, ‘‘except for routes 60816 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules designated in developed areas and visitor center is a climbing safety Reform Act, 2 U.S.C. 1502 et seq., that special use zones, routes designated for handout. The check-in and check-out this rule will not impose a cost of $100 bicycle use shall be promulgated as portion of the registration system has million or more in any given year on special regulations’’ (36 CFR 4.30(b)). failed to provide a timely method to local, State or tribal governments or The trails and former roads in the insure that all climbers have safely private entities. Blue Mountain Lakes area of the park completed their climbs. There have NPS has determined that this are proposed for designation as open to been no documented cases of lives rulemaking will not have a significant bicycle use. These trails will not saved as a result of the check-in and effect on the quality of the human adversely impact other park users such check-out registration system. environment, health and safety because as hikers and hunters, nor the park’s Many NPS areas with significant rock it is not expected to: natural and cultural resources. climbing activity such as Joshua Tree, (a) increase public use to the extent of Currently, approximately eleven miles Rocky Mountain and Yosemite National compromising the nature and character of trail and former road in the Blue Parks do not require climbers to register of the area or causing physical damage Mountain Lakes area are recommended and have not experienced any adverse to it; for bicycle trail use. All have suitable results. Denali National Park revised its (b) introduce incompatible uses width and visibility and can be mandatory climbing registration which compromise the nature and adequately maintained for multiple regulation in 1996. With the deletion of characteristics of the area or cause uses, including bicycling. This same this park specific regulation, it will be physical damage to it; trail network is also designated as a the climbing party’s responsibility to (c) conflict with adjacent ownership cross country ski trail during the winter insure that responsible friends or or land uses; or months when snow covered. relatives are advised of where they will (d) cause a nuisance to adjacent Any additional trails, other than those be climbing, what kind of equipment owners or occupants. in the Blue Mountain Lakes area, will be they will use, the experience level of the Based on this determination, this permitted on routes in developed areas climbers and when they expect to rulemaking is categorically excluded and special use zones which have been complete the climb and return. designated by the Superintendent by the from the procedural requirements of the posting of signs and as designated on Public Participation National Environmental Policy Act (NEPA) by Departmental guidelines in maps which will be available in the It is the policy of the Department of office of the superintendent and at other 516 DM 6 (49 FR 21438). As such, Interior, whenever practicable, to afford neither an Environmental Assessment places convenient to the public. Further, the public an opportunity to participate the authority of the Superintendent to nor an Environmental Impact Statement in the rule making process. Accordingly, has been prepared. ‘‘impose public use limits, or close all interested persons may submit written or a portion’’ of a designated trail comments regarding this proposed rule List of Subjects in 36 CFR Part 7 according to the criteria at 36 CFR 1.5 to the address noted at the beginning of is not restricted by this rule. District of Columbia, National parks, this rulemaking. The NPS will review Reporting and recordkeeping Climbing Registration all comments and consider making requirements. changes to the rule based upon analysis The present regulation concerning of the comments. In consideration of the foregoing, 36 mandatory registration for technical CFR Chapter I is proposed to be rock climbing at Delaware Water Gap Drafting Information amended as follows: National Recreation Area is codified at The primary authors of this rule PART 7ÐSPECIAL REGULATIONS, 36 CFR 7.71(c)(2). Mandatory making are Wayne Valentine, Kittatinny AREAS OF THE NATIONAL PARK registration of technical rock climbing Subdistrict Ranger, Robert Wilson, Law SYSTEM activities was instituted at Delaware Enforcement Specialist, both of Water Gap in 1976. This regulation was Delaware Water Gap National 1. The authority citation for Part 7 intended to promote safety by educating Recreation Area, and Dennis Burnett, continues to read as follows: climbers, especially novice or new Washington Office of Ranger Activities, Authority: 16 U.S.C. 1, 3, 9a, 460(q), climbers to the area about safety National Park Service. hazards, to provide climbers with the 462(k); Sec. 7.96 also issued under D.C. Code location and difficulty of climbing Paperwork Reduction Act 8–137(1981) and D.C. code 40–721(1981). routes, and to provide climbers with This rulemaking does not contain 2. Section 7.71 is amended by revising procedures to follow in the event of an collections of information requiring paragraph (c) to read as follows: emergency. A check-in and check-out approval by the Office of Management system that would activate a search and § 7.71 Delaware Water Gap National and Budget under the Paperwork Recreation Area. rescue effort for overdue climbers was Reduction Act of 1995. also implemented. * * * * * Although many climbers register, just Compliance With Other Laws (c) Designated bicycle routes. The use as many climbers do not, especially This rule was not subject to Office of of a bicycle is permitted according to those climbing at locations not in the Management and Budget review under § 4.30 of this chapter and, in immediate vicinity of the Kittatinny Executive Order 12866. nondeveloped areas, as follows: Bicycle Point Visitor Center where registration The Department of the Interior use is permitted on trails and former occurs. In most instances, climbers do determined that this document will not roads in the Blue Mountain Lakes area not receive good practical information have a significant economic effect on a of the park which have been designated about the climbing area, because the substantial number of small entities by the Superintendent as bicycle routes rangers on duty at the visitor center are under the Regulatory Flexibility Act (5 by the posting of signs, and as often not climbers and are often not U.S.C. 601 et. seq.). The economic designated on maps which are available familiar with the routes or with specific effects of this rulemaking are negligible. in the office of the Superintendent and climbing hazards. Too often, the only NPS has determined and certifies other places convenient to the public. information climbers receive at the pursuant to the Unfunded Mandates * * * * * Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules 60817

Date: August 26, 1997. Technology Branch, 61 Forsyth Street, DATES: The meeting will be held on William Leary, SW, Atlanta, Georgia 30303–3104. December 8, 1997. The meeting will Acting Deputy Assistant Secretary for Fish Florida Department of Environmental begin at 9:00 a.m. and end at 4:00 p.m. and Wildlife and Parks. Protection, Air Resources The meeting will include a presentation [FR Doc. 97–29776 Filed 11–12–97; 8:45 am] Management Division, Twin Towers of the results to date from the brake BILLING CODE 4310±70±P Office Building, 2600 Blair Stone tester evaluation program and a review Road, Tallahassee, Florida 32399– of preliminary functional specifications. 2400. ADDRESSES: The meeting will be held at FOR FURTHER INFORMATION CONTACT: the National Highway Traffic Safety ENVIRONMENTAL PROTECTION Administration’s (NHTSA) Vehicle AGENCY Scott Davis at 404/562–9127 or Joey LeVasseur at 404/562–9035. Research and Test Center in East 40 CFR Part 62 SUPPLEMENTARY INFORMATION: See the Liberty, Ohio. information provided in the Direct Final FOR FURTHER INFORMATION CONTACT: Mr. [FL±70±9738b; FRL±5920±4] action which is located in the Rules Larry W. Minor, Vehicle and Operations Section of this Federal Register and Division, Office of Motor Carrier Approval and Promulgation of State incorporated by reference herein. Research and Standards, (202) 366– Plans For Designated Facilities and 4009; Mr. Steve Keppler, Intelligent Dated: October 15, 1997. Pollutants: Florida Transportation Systems—Commercial A. Stanley Meiburg, Vehicle Operations Division, Office of AGENCY: Environmental Protection Acting Regional Administrator. Motor Carrier Safety and Technology, Agency (EPA). [FR Doc. 97–29859 Filed 11–12–97; 8:45 am] (202) 366–0950; or Mr. Paul Alexander, ACTION: Proposed rule. BILLING CODE 6560±50±P State Programs Division, Office of Motor Carrier Safety and Technology (202) SUMMARY: EPA proposes to approve the Section 111(d)/129 State Plan submitted 366–9579, Federal Highway by Florida on November 18, 1996. The DEPARTMENT OF TRANSPORTATION Administration, 400 Seventh Street, SW., Washington, D. C. 20590. Office State Plan was submitted by Florida to Federal Highway Administration satisfy certain Federal Clean Air Act hours are from 7:45 a.m. to 4:15 p.m., e.t., Monday through Friday, except requirements. In the Final Rules Section 49 CFR Part 350 of this Federal Register, EPA is Federal holidays. approving the State’s Plan submittal as Public Meeting To Discuss the SUPPLEMENTARY INFORMATION: a direct final rule without prior proposal Development of Functional Background because the Agency views this as a Specifications for Performance-Based noncontroversial submittal and Brake Testers Used To Inspect In 1993, the FHWA initiated a anticipates that it will not receive any Commercial Motor Vehicles research program to evaluate various significant, material, and adverse performance-based brake testing comments. A detailed rationale for the AGENCY: Federal Highway technologies for use on commercial approval is set forth in the direct final Administration (FHWA), DOT. motor vehicles. The purpose of the rule and incorporated by reference ACTION: Notice of public meeting. program was to determine, through herein. If no significant, material, and field-test data collection, if adverse comments are received in SUMMARY: The FHWA is announcing a performance-based brake inspection response to this proposed rule, no public meeting to discuss the technologies could improve or assist further activity is contemplated in development of functional with the throughput and accuracy of the relation to this proposed rule. If EPA specifications for performance-based current inspection techniques which receives adverse comments, the direct brake testing machines purchased with involve visual examination of final rule will be withdrawn and all Federal funds through the FHWA’s components, measurement of push-rod public comments received will be Motor Carrier Safety Assistance Program travel on air-braked vehicles, and addressed in a subsequent final rule (MCSAP). The FHWA is nearing the listening for air leaks. Following the based on this proposed rule. EPA will completion of a multi-year research completion of the first task of the not institute a second comment period program to evaluate prototype program, in which various performance- on this action. performance-based brake testing based technologies were analyzed, technologies, including roller several of the systems were selected for DATES: Comments on this proposed rule dynamometers, flat-plate brake testers, evaluation in a roadside field-test must be received in writing by and breakaway torque brake testers. The December 15, 1997. inspection program. agency has determined that certain During the field tests, inspections ADDRESSES: Written comments should performance-based brake testing were performed using both visual and be addressed to Joey LeVasseur at the machines are eligible for funding under performance-based methods to compare EPA Regional Office listed below. MCSAP but only as screening and their ability to detect vehicle brake Copies of the documents relevant to this sorting devices in commercial vehicle defects. In particular, a Commercial proposed rule are available for public inspections. The purpose of the public Vehicle Safety Alliance Level 4 inspection during normal business meeting is to discuss the establishment inspection (consisting of the brake and hours at the following locations. The of generic functional specifications that tire portion of a Level 1 inspection) was interested persons wanting to examine would be applicable to a range of brake conducted in addition to a performance- these documents should make an testing technologies. The functional based brake test. The dual inspections appointment with the appropriate office specifications would serve as guidelines were performed by State officials in at least 24 hours before the day of the for the States to use in determining each of eight States that volunteered to visit. whether the purchase of a specific brake participate in the field test program. Environmental Protection Agency, tester would be an eligible expense The data collected from these dual Region 4, Air and Radiation under the MCSAP. inspections were tabulated and 60818 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Proposed Rules correlations were sought between Determination of Eligibility for MCSAP vehicles will be considered for Federal Motor Carrier Safety Funding rulemaking but will not be a topic of Regulations (FMCSRs) violations, the On April 1, 1996, the FHWA issued discussion at the meeting. The meeting North American Uniform Vehicle Out- a memorandum advising agency staff will focus only on the development of of-Service Criteria used by officials in that two specific performance-based functional specifications for the brake the United States, Canada, and Mexico, brake testing machines are eligible for testing technologies to ensure that the and various pass/fail criteria used by funding under MCSAP. The equipment accepted as eligible expenses manufacturers of performance-based memorandum indicated that the devices under the MCSAP are capable of technology. In addition to the are prototypes, and are approved for accurately measuring brake forces. performance-based brake ‘‘failure’’ screening and sorting purposes only. Meeting Information information, data relating to the This means that States may request operational characteristics of each MCSAP funding to purchase one of the The meeting will be held on prototype machine were also collected approved brake testers for use in December 8, 1997, at the NHTSA’s and evaluated. These data included screening or sorting vehicles at Vehicle Research and Test Center, setup and tear down times, vehicle inspection cites. Vehicles that fail the located near the intersection of State inspection times, maintenance performance test would be inspected to Routes 33 and 347, East Liberty, Ohio. requirements, user friendliness, determine the reason for the poor test This location is approximately 55 miles calibration procedures and results, results. Generally, motor carriers cannot northwest of Columbus, Ohio. The operator skill-level requirements and be cited for brake-related violations of meeting is scheduled from 9:00 a.m. to information to generate a cost-benefit the FMCSRs solely on the basis of the 4:00 p.m. The NHTSA’s Vehicle analysis. A key source of data was the results from a performance-based brake Research and Test Center is located on interviews with State inspectors. tester. Citations are based upon the the grounds of the Transportation The preliminary findings from the specific defects or deficiencies found Research Center, a privately owned first phase of the prototype brake testing during the in-depth inspection. facility with controlled access. All program are documented in an interim The FHWA is considering the visitors to the Transportation Research report, ‘‘Evaluation of Performance- development of pass/fail criteria for Center must be registered with the Based Brake Testing Technologies,’’ braking force that could be enforced by security office and wear a visitor’s badge December 1995, FHWA–MC–96–004. A Federal and State officials using at all times while on the premises. copy of this report may be obtained by performance-based brake testing Therefore, the FHWA requests that all contacting one of the individuals listed technologies. As inspection criteria or interested parties contact one of the regulations are developed through the at the beginning of this notice. The individuals listed at the beginning of rulemaking process, the use of the interim report presents findings based this notice by December 1 to provide performance-based brake testing upon approximately one year of data their name and company affiliation so machines could be expanded to include from roller dynamometers used in that security personnel at TRC can be enforcement of the new Federal brake Colorado and Ohio, and a flat plate notified in advance. This will prevent performance standards. The new tester in Minnesota. delays in gaining access to the facility. standards would be an alternative to the West Virginia is currently stopping distances from 32.2 kilometers List of Subjects in 49 CFR Part 350 participating in the field test evaluation per hour (20 miles per hour) currently of a roller dynamometer, Wisconsin is specified in 49 CFR 393.52 but rarely Highway safety, Motor carriers, motor collecting data on a flat-plate tester, and enforced by Federal and State officials vehicle safety. Maryland and Nevada are collecting because of difficulties in performing Authority: 49 U.S.C. 31136, 31502; 49 CFR data on breakaway torque testers. such tests at roadside. If brake force 1.48. Connecticut participated in the testing standards are developed through the Issued on: November 5, 1997. of a roller dynamometer for several rulemaking process, the States would be George L. Reagle, months but elected to discontinue its able to issue citations based upon the involvement in the research program. output from the brake testers. Associate Administrator for Motor Carriers. The final report on the research program The development of pass/fail criteria [FR Doc. 97–29832 Filed 11–12–97; 8:45 am] will be published in 1998. for braking force in commercial motor BILLING CODE 4910±22±P 60819

Notices Federal Register Vol. 62, No. 219

Thursday, November 13, 1997

This section of the FEDERAL REGISTER displays a currently valid OMB control Description of Respondents: Business contains documents other than rules or number. or other for-profit; Individuals or proposed rules that are applicable to the • Agricultural Marketing Service households; Farms. public. Notices of hearings and investigations, Title: Regulations for the Donation of Number of Respondents: 6. committee meetings, agency decisions and Foods for use in the United States, its Frequency of Responses: rulings, delegations of authority, filing of Territories and Possessions and Areas petitions and applications and agency Recordkeeping; Reporting: On occasion. statements of organization and functions are Under its Jurisdiction (7 CFR Part 250). Total Burden Hours: 220. examples of documents appearing in this OMB Control Number: 0581–New. • Animal and Plant Health Inspection section. Summary of Collection: The State Service Option Contract is completed by Title: Export certification: cooperating State agencies. The States Accreditation of non-Government DEPARTMENT OF AGRICULTURE report contractual information to assure Facilities. the correct billing between the Agency OMB Control Number: 0579–New. Submission for OMB Review; and the State agency. Summary of Collection: Non- Comment Request Need and Use of the Information: The government facilities wishing to become information is used to assure November 7, 1997. accredited laboratories must submit an compliance with and administration of application and provide information on The Department of Agriculture has the SOC program. equipment a quality manual, and submitted the following information Description of Respondents: State, personnel employed. collection requirement(s) to OMB for Local or Tribal Government Need and Use of the Information: The review and clearance under the Number of Respondents: 20. information will be used to provide Paperwork Reduction Act of 1995, Frequency of Responses: Reporting: additional qualified personnel and Public Law 104–13. Comments On occasion. laboratory facilities to conduct export regarding (a) whether the collection of Total Burden Hours: 40. certification activities. • Food Safety and Inspection Service information is necessary for the proper Description of Respondents: Business Title: Processing Procedures and performance of the functions of the or other for-profit. Quality Control Systems. agency, including whether the Number of Respondents: 15. information will have practical utility; OMB Control Number: 0583–0089. Summary of Collection: The Frequency of Responses: Reporting: (b) the accuracy of the agency’s estimate On occasion. of burden including the validity of the information collection addresses processing procedures for meat and Total Burden Hours: 300. methodology and assumptions used; (c) Donald Hulcher, ways to enhance the quality, utility and poultry products and quality control Departmental Clearance Officer. clarity of the information to be systems. collected; (d) ways to minimize the Need and Use of the Information: The [FR Doc. 97–29800 Filed 11–12–97; 8:45 am] burden of the collection of information information is necessary to ensure that BILLING CODE 3410±01±M on those who are to respond, including meat and poultry products are wholesome, unadulterated, and through the use of appropriate DEPARTMENT OF AGRICULTURE automated, electronic, mechanical, or properly labeled and packaged. Description of Respondents: Business other technological collection Animal and Plant Health Inspection techniques or other forms of information or other for-profit. Number of Respondents: 6,186. Service technology should be addressed to: Desk Frequency of Responses: Officer for Agriculture, Office of [Docket No. 94±116±7] Recordkeeping; Reporting: On occasion; Information and Regulatory Affairs, Daily. Agency Information Collection Office of Management and Budget Total Burden Hours: 743,906. Activities; OMB Approval Received (OMB), Washington, DC 20503 and to • Animal and Plant Health Inspection Department Clearance Office, USDA, Service AGENCY: Animal and Plant Health OCIO, Mail Stop 7602, Washington, DC Title: Importation of Tomatoes from Inspection Service, USDA. 20250–7602. Comments regarding these France, Morocco and Western Sahara, ACTION: Notice. information collections are best assured Chile, and Spain. of having their full effect if received OMB Control Number: 0579–New. SUMMARY: In accordance with the within 30 days of this notification. Summary of Collection: Each Paperwork Reduction Act of 1995, this Copies of the submission(s) May be shipment of tomatoes must be notice announces the Office of obtained by calling (202) 720–6746. accompanied by a phytosanitary Management and Budget’s approval of a An agency May not conduct or certificate stating that the tomatoes were collection of information contained in sponsor a collection of information grown in registered greenhouses. the Animal and Plant Health Inspection unless the collection of information Need and Use of the Information: The Service’s final rule that allows fresh displays a currently valid OMB control information will provide importers and Hass avocado fruit from Michoacan, number and the agency informs consumers in the U.S. with additional Mexico, to be imported into certain potential persons who are to respond to sources of tomatoes while continuing to areas of the United States under certain the collection of information that such provide protection against the conditions. persons are not required to respond to introduction and dissemination of FOR FURTHER INFORMATION CONTACT: Ms. the collection of information unless it injurious plant pests. Cheryl Jenkins, APHIS Information 60820 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

Collection Coordinator, AIM, APHIS, some reporting items and a reduction in items. In addition, respondents’ suite 2C42, 4700 River Road Unit 103, burden for the Recipient Report based experience in implementing and Riverdale, MD 20737–1235, (301) 734– on the elimination of the monthly administering the program has reduced 5360. reporting requirement. the cost overall. The number of SUPPLEMENTARY INFORMATION: DATES: Comments on this notice must be estimated hours per response for postmarked by January 12, 1998. selection of farmers/farmers’ markets Background ADDRESSES: Comments are invited on: has been reduced from 2 hours to 1 hour On February 5, 1997, we published a (a) whether the proposed collection of for a total of 1,248 burden hours. The final rule in the Federal Register (62 FR information is necessary for the proper number of estimated hours per response 5293–5315, Docket No. 94–116–5) performance of the functions of the for completion of the State Plan has amending 7 CFR 319.56 to allow fresh agency, including whether the been reduced from 50 hours to 30 hours Hass avocado fruit from Michoacan, information will have practical utility; for a total of 900 burden hours. The Mexico, to be imported into certain (b) the accuracy of the agency’s estimate overall burden for FMNP regulations areas of the United States under certain of the burden of the proposed collection has been reduced from 5,952 hours to conditions. That rule contains of information including the validity of 4,664 hours. information collection requirements. On the methodology and assumptions used; The burden hours for completion of October 23, 1997, the Office of (c) ways to enhance the quality, utility the FMNP Recipient Report (FCS–203) Management and Budget (OMB) and clarity of the information to be have been decreased from 1.5 hours to approved the collection of information collected; and (d) ways to minimize the 1 hour per response due to elimination requirements with respect to that final burden of the collection of information of the requirement for monthly recipient rule under OMB control number 0579– on those who are to respond, including counts. This revision allows States to 0129 (expires October 31, 2000). through the use of appropriate report annual totals for each category of Done in Washington, DC, this 6th day of automated, electronic, mechanical, or information indicated on the form rather November 1997. other technological collection than entering monthly totals. Due to the Charles P. Schwalbe, techniques or other forms of information short, seasonal nature of the program, it Acting Administrator, Animal and Plant technology. Comments may be sent to: is administratively more efficient for Barbara Hallman, Chief, Policy and Health Inspection Service. States to report data once for the entire Program Development Branch, [FR Doc. 97–29870 Filed 11–12–97; 8:45 am] program year rather than on a monthly Supplemental Food Programs Division, BILLING CODE 3410±34±P basis. Food and Consumer Service, USDA, 3101 Park Center Drive, Room 540, Affected Public: State Directors of the DEPARTMENT OF AGRICULTURE Alexandria, Virginia 22302. FMNP, farmers and market managers. All responses to this notice will be Estimated Number of Respondents: Food and Consumer Service summarized and included in the request 30. for OMB approval, and will become a Agency Information Collection matter of public record. Estimated Number of Responses Per Activities: Proposed Collection; Respondent: 39. FOR FURTHER INFORMATION CONTACT: Comment Request Forms FCS±683, Requests for additional information or Estimated Total Annual Burden: WIC Farmers' Market Nutrition copies of information collection forms Public reporting burden for this Program Financial Report and FCS± and instructions should be directed to: collection of information is estimated to 203, WIC Farmers' Market Nutrition Barbara Hallman or Debra Whitford, average 3 hours per response for the Program Recipient Report, and WIC (703) 305–2730. Financial Report (FCS–683); 1 hour per Farmers' Market Nutrition Program response for the Recipient Report (FCS– Regulations. SUPPLEMENTARY INFORMATION: 203); and 76.5 hours per response for AGENCY: Food and Consumer Service, Title: WIC Farmers’ Market Nutrition other program reporting requirements USDA Program Financial Report, WIC Farmers’ that do not require specific forms. Market Nutrition Program Recipient Examples include, but are not limited to ACTION: Notice Report and WIC Farmers’ Market the submission of State Plans, SUMMARY: In accordance with the Nutrition Program Regulations. monitoring requirements and Paperwork Reduction Act of 1995, this OMB Number: 0584–0447. authorization of farmers and markets. notice announces the Food and Expiration Date: June 30, 1998. These requirements, together with the Consumer Service’s (FCS) intention to Type of Request: Revision and financial and recipient reporting request revision and extension of a extension of a Currently Approved requirements; give an overall total of currently approved information Collection Form. 80.5 hours per response. These totals collection pursuant to the WIC Farmers’ Abstract: Pursuant to section 17(m)(8) include the time for reviewing Market Nutrition Program Regulations. of the Child Nutrition Act of 1966, 42 instructions, searching existing data The currently approved collection U.S.C. § 1786(m)(8), section 248.23 of sources, gathering and maintaining the includes the WIC Farmers’ Market the WIC Farmers’ Market Nutrition data needed, and completing and Nutrition Program Financial Report, the Program (FMNP) regulations requires reviewing the collection of information. WIC Farmers’ Market Nutrition Program that certain Program-related information Dated: October 30, 1997. Recipient Report and WIC Farmers’ be compiled and submitted to FCS. Market Nutrition Program Regulations. Based on reassessment of our previous Yvette S. Jackson, The proposed revision and extension calculations for reporting and Acting Administrator, Food and Consumer will include a reduction in overall recordkeeping for the FMNP, we Service. burden under the regulations due to realized that we had overstated the time [FR Doc. 97–29871 Filed 11–12–97; 8:45 am] previous overestimation of costs for necessary to complete some reporting BILLING CODE 3410±30±U Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60821

DEPARTMENT OF AGRICULTURE the EIS to Linda Earley, 4. Air Quality: Air quality may be Interdisciplinary Team Leader, affected by emissions from motorized Forest Service Georgetown Ranger District, 7600 vehicles as well as dust from use of Wentworth Springs Road, Georgetown, roads and trails. Environmental Statements; California, 95634; phone (916) 333– 5. Noise: The sound of OHVs is Availability, etc.: Eldorado National 4312. unacceptable to many people, and Forest, CA SUPPLEMENTARY INFORMATION: Work on therefore may have a negative impact on AGENCY: Forest Service, USDA. the EIS began in 1989 with a study of adjacent landowners and the experience ACTION: Revision of notice of intent to impacts to the Pacific Deer Herd. Since of other Forest users. The sound of prepare an environmental impact that time the deer study has been OHVs may also contribute to statement. completed, issues identified, alternative disturbance of wildlife. management plans developed, and 6. Opportunity and Quality of the SUMMARY: On November 7, 1989, the extensive data collection and analysis Recreation Experience: The quality of Forest Service filed a notice of intent in conducted. The draft Rock Creek the recreation experience may be the Federal Register to prepare an Recreational Trails EIS was released for affected by: the condition, variety, and environmental impact statement (EIS) to public comment in April 1996. level of challenge of the trails; the analyze management of off-highway The draft EIS analyzed alternative availability of staging areas and the level vehicle use in the Rock Creek area, management plans for all types of of development there; other uses Eldorado National Forest, Georgetown recreation uses on the trails: hiking, allowed on the trails; and the aesthetics Ranger District, El Dorado County, equestrians, mountain bikes, and OHVs. of the trail experience. Opportunity for California. An update was filed in the The need to look at all uses of the trails recreation is determined by the trail Federal Register on March 5, 1996 to arose from concerns that other types of mileage available and uses allowed on update the expected date for release of recreation use may have some of the each; the number and size of recreation the draft EIS (DEIS), provide a list of same impacts as OHVs; as well as events allowed; and the frequency and issues and alternatives considered, and concerns about compatibility of uses. duration of trail closures. to note that the scope was expanded to Another concern identified in the 7. Health and Safety: Safety may be include non-motorized uses (hiking, analysis is open road densities which affected by a variety of factors. Width of equestrians, and mountain bikes) in exceed limits established in the trails may affect speeds traveled, and response to public comments. Notice of Eldorado National Forest Land and therefore risk of accidents. Intersections availability of the Rock Creek Resource Management Plan (LRMP). of roads and trails may pose increased Recreational Trails DEIS was filed in the Because the EIS analyzes road and trail risks of accidents. Combination of Federal Register on April 26, 1996. densities, and because the EIS proposes equestrian and mountain bike use on Another update was filed in the Federal designation of both open and closed trails may pose a risk since bikes come Register on August 4, 1997, to notify the roads for OHV use, it was decided that up quietly and may startle horses. Two- public that changes were made to the proposals for road closures to meet the way traffic poses a risk for OHVs since alternatives in response to comments on LRMP management direction would they cannot hear each other coming, the DEIS, and that a Revised Draft EIS also be analyzed in this EIS. which could result in a head-on The following issues identified during (RDEIS) was being prepared. Since then, collision. Chipsealing of road surfaces scoping for this EIS were used to it was determined that five of the six poses a risk to equestrians due to the develop and compare alternative alternatives under consideration would slippery contact between the chipseal management plans. require nonsignificant amendments to and the horseshoes. Trail structures the Eldorado National Forest Land and 1. Erosion: The bare soils on road and trail surfaces create a potential for such as gabions and cinderblocks may Resources Management Plan (LMRP). also pose a risk to horses. Health may For this reason, the responsible official erosion. The amount of erosion may be affected by total miles of roads and be affected by availability of drinking has been changed from the Georgetown water and sanitation facilities for District Ranger to the Eldorado National trails, soil type, trail location, design, maintenance, grade, vegetative cover, recreationists. Forest Supervisor. This notice is filed to 8. Risk of Fire: Risk of fire is increased notify interested parties of the type and intensity of use, and use in excessively dry conditions. Use in by human activity such as campfires nonsignificant amendments under and smoking that may be associated consideration, the change in responsible excessively wet conditions may cause rutting which will accelerate erosion by with use of trails. Internal combustion official, and the new expected release engines, such as OHVs also increase the date. channeling water. 2. Water Quality: Erosion of soils can risk, particularly if proper spark DATES: The RDEIS is expected to be filed impact water quality by adding arresters are not in place. with the Environmental Protection sedimentation to streams. 9. Funding: Levels of funding Agency (EPA) and available for public Sedimentation may be affected by available affects the ability to maintain review in November 1997. At that time erosion from trails, design of stream trails properly, the number of trails that EPA will publish a notice of availability approaches and crossings, and can be maintained, ability to construct in the Federal Register. The public proximity of trails to streams. Another trails, ability to effectively rehabilitate comment period on the RDEIS would potential impact to water quality from closed trails, the amount of monitoring normally be 45 days from the date of use of trails is the risk of oil or fuel that can be conducted, and the level of EPA’s notice of availability in the spills at stream crossings. law enforcement that can be Federal Register; however, the comment 3. Wildlife Species: Use of the trails maintained. These, in turn, affect the period will be extended to 60 days. has the potential to impact wildlife ability to implement the chosen ADDRESSES: John Phipps, Forest species primarily through disturbance alternative and, therefore, to protect the Supervisor, Eldorado National Forest, by human presence or noise. Road and environment and the quality of the 100 Forni Road, Placerville, CA 95667. trail densities influence the potential recreation experience. FOR FURTHER INFORMATION CONTACT: disturbance by providing increased or The following alternatives are Direct questions or requests for copies of decreased access into the area. analyzed in the revised draft EIS: 60822 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

Alternative 1—No Action routes. Approximately 28 miles of roads treatments, including mastication of This alternative would continue the would be closed. Staging areas in the brush and understory burning, would be current management of the Rock Creek critical deer winter range would be implemented on the critical deer winter Trails. Most trails in the area are closed from February 1 to May 1. Trails range to improve the quantity and multiple use, open to all four use types: would be closed to OHVs, equestrians, quality of forage for the wintering deer. hiking, equestrians, mountain bikes, and and mountain bikes during wet weather The critical deer winter range would be OHVs. There are approximately 136 conditions. One large recreation event divided into two zones: north and miles of multiple use routes (roads and would be allowed per year for each use south. Routes in the south would be trails) and 5 miles of routes restricted to type, with up to 300 participants in closed to OHVs and mountain bikes non-motorized uses. The current each. This Alternative would require a from November 10 to May 1 each year. management plan includes closure of nonsignificant LRMP amendment to Deer use would be monitored and the the critical deer winter range to OHVs designate the staging areas as developed seasonal deer closure reevaluated in five and mountain bikes from generally recreation sites, to close staging areas in years. Up to two recreation events, with November 1 to May 1 each year. Trails the critical deer winter range from up to 300 participants, would be are also closed to OHVs during wet February 1 to May 1, and to prohibit allowed each year for each type of use. weather conditions. This alternative OHV use on trails when the Sale This Alternative would require a would require a nonsignificant LRMP Activity Level is 4 or 5. These nonsignificant LRMP amendment to amendment to increase the open road amendments would apply to the Rock designate the staging areas as developed density limit in the Rock Creek area to Creek area only. recreation sites, and to close the Crossier Loop Staging Area from 3.25 miles per square mile. Alternative 5—Reduced Multiple Use November 10 to May 1. These Recreation Alternative 2—No OHV Use amendments would apply to the Rock OHV use would be eliminated in this This alternative includes Creek area only. alternative. There would be approximately 71 miles of multiple use John Phipps, Forest Supervisor, approximately 46 miles of non- routes and 28 miles of non-motorized Eldorado National Forest, Eldorado motorized routes available. routes. Approximately 34 miles of roads National Forest, is the responsible Approximately 33 miles of roads would would be closed. Routes in the critical official. be closed. Trails would be closed to deer winter range would be closed to all The revised draft EIS is expected to be equestrians and mountain bikes during uses from November 10 to May 1 of each filed with the Environmental Protection wet weather conditions, and staging year. Roads and trails would be closed Agency (EPA) and to be available for areas in the critical deer winter range to OHVs, equestrians, and mountain public review in November 1997. At would be closed from February 1 to May bikes during the Forest seasonal road that time the EPA will publish a notice 1. Up to two large recreation events, closures (generally November through of availability of the revised draft EIS in with up to 300 participants, would be March). Trails would be closed to OHVs the Federal Register. allowed each year for each non- during Forest fire restrictions (generally The comment period on the draft EIS motorized use type. August and September). Large would normally be 45 days from the recreation events with over 75 people date EPA’s notice of availability appears Alternative 3—Increased Multiple Use involved would be prohibited. This in the Federal Register; however, the Recreation Alternative would require a comment period will be extended to 60 This alternative reduces trail closures nonsignificant LRMP amendment to days. It is very important that reviewers and allows the maximum trail density. designate the staging areas as developed participate at that time. To be the most Approximately 130 miles of multiple recreation sites, to close staging areas in helpful, comments on the revised draft use routes would be available, and 15 the critical deer winter range from EIS should be as specific as possible and miles of non-motorized routes. November 10 to May 1, to close trails to may address the adequacy of the Approximately 30 miles of roads would OHVs during Forestwide fire statement or the merits of the be closed. There would be no closure of restrictions, to close trails in the critical alternatives discussed (see The Council the critical deer winter range. Wet deer winter range to all uses from on Environmental Quality Regulations weather closures would apply to OHVs, November 10 to May 1, to prohibit large for implementing the procedural equestrians, and mountain bikes. Up to recreation events, and to limit OHV provisions of the National two large recreation events per year, sound levels to 94 dB using 20-inch Environmental Policy Act at 40 CFR with up to 500 participants each, would SAE J1287 test methods. These 1503.3). In addition, Federal court be allowed for each use type. This amendments would apply to the Rock decisions have established that Alternative would require a Creek area only. reviewers of draft EIS’s must structure nonsignificant LRMP amendment to their participation in the environmental Alternative 6—‘‘Carrying Capacity’’ review of the proposal so that it is designate the staging areas as developed Alternative recreation sites, and to establish a meaningful and alerts an agency to the vegetation buffer along the trails. These This alternative was developed based reviewers’ position and contentions, amendments would apply to the Rock on a review of effects of other Vermont Yankee Nuclear Power Corp.v. Creek area only. alternatives. The goal of the alternative NRDC, 435 U.S. 519, 553 (1978), and is to maximize recreation opportunity that environmental objections that could Alternative 4—Separated Multiple Use while providing protection of the have been raised at the draft stage may Recreation natural resources. The system would be waived if not raised until after This alternative addresses concerns include approximately 111 miles of completion of the final EIS. City of about shared use of trails by different multiple use routes, and 14 miles of Angoon v. Hodel, 803F.2d 1016, 1022 types of uses. The system would include non-motorized routes. Approximately (9th Cir. 1986) and Wisconsin Heritages, approximately 86 miles of multiple use 34 miles of roads would be closed. Inc. v. Harris, 490 F. Supp. 1334, 1338 routes, 17 miles of non-motorized Routes would be closed to OHVs, (E.D. Wis. 1980). The reason for this is routes, 5 miles of hiking only routes, equestrians, and mountain bikes during to ensure that substantive comments and 11 miles of hiking and equestrian wet weather conditions. Vegetation and objections are made available to the Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60823

Forest Service at a time when it can DEPARTMENT OF COMMERCE source designs. The industrial partners meaningfully consider them and will also be able to schedule at NIST respond to them in the final EIS. National Institute of Standards and collaborative projects in which they Comments received, including names Technology could participate. All partners will and addresses of those who comment, receive a copy of all non-proprietary Announcement of a Meeting To data on all materials measured. All will be considered part of the public Discuss an Opportunity To Join a record on this proposed action and will partners will have a certain amount of Cooperative Research and NIST measurements made on materials be available for public inspection. Development Consortium on Comments submitted anonymously will they request. All partners have some Brachytherapy Manufacturing influence as to the type and accuracy of be accepted and considered; however, Technology those who submit anonymous the measurements and calculations comments will not have standing to AGENCY: National Institute of Standards pursued by the consortium. Development of standard reference appeal the subsequent decision under and Technology. materials suitable for use for the range 36 CFR parts 215 or 217. Additionally, ACTION: Notice of public meeting. of activities and radioisotopes and pursuant to 7 CFR 1.27(d), any person SUMMARY: The National Institute of photon energies appropriate for use in may request the agency to withhold a Standards and Technology (NIST) brachytherapy in accordance with U.S. submission from the public record by invites interested parties to attend a regulatory protocols and accepted showing how the Freedom of meeting on December 9, 1997 to discuss standard protocols is an integral part of Information Act (FOIA) permits such the possibility of setting up a the mission of the NIST Brachytherapy confidentiality. Persons requesting such cooperative research consortium on Manufacturing Technology Consortium. confidentiality should be aware that, Brachytherapy Manufacturing Dated: November 6, 1997. under the FOIA, the confidentiality may Technology. The goal of the consortium Elaine Bunten-Mines, be granted in only very limited is to identify critical industrial needs for circumstances, such as to protect trade NIST to be involved in source dosimety Director, Program Office. secrets. The Forest Service will inform modeling, developing necessary [FR Doc. 97–29883 Filed 11–12–97; 8:45 am] the requester of the Agency’s decision standards and standard reference BILLING CODE 3510±13±M regarding the request for confidentiality, materials, and developing and disseminating systems for performing and where the request is denied, the DEPARTMENT OF COMMERCE agency will return the submission and automated high accuracy dosimety notify the requester that the comments measurements and calculations. National Oceanic and Atmospheric may be resubmitted with or without DATES: The meeting will take place on Administration name and address within five days. December 9, 1997 at 10:00 a.m. Interested parties should contact NIST [Docket No. 970828208±7262±02; I.D. After the comment period ends on the to confirm their interest at the address, 072997C] revised draft EIS, the comments will be telephone number or FAX number Scup and Black Sea Bass; Interstate analyzed and considered by the Forest shown below. Service in preparing the final EIS. the Fishery Management Plans; ADDRESSES: The meeting will take place Cancellation of Moratorium final EIS is scheduled to be completed and inquiries should be sent to Room in March 1998. The Forest Service is C301, Building 245, National Institute of AGENCY: National Marine Fisheries required to respond in the final EIS to Standards and Technology, Service (NMFS), National Oceanic and the comments received (40 CFR 1503.4). Gaithersburg, MD 20899–0001. Atmospheric Administration (NOAA), The responsible official will consider FOR FURTHER INFORMATION: Christopher Commerce. the comments, responses, disclosure of Soares, 301–975–5589; FAX 301–869– ACTION: Notice of determination of environmental consequences, and 7682 compliance; cancellation of moratorium. applicable laws, regulations, and SUPPLEMENTARY INFORMATION: Any policies in making a decision regarding program undertaken will be within the SUMMARY: In accordance with the this proposal. The responsible official scope and confines of The Federal Atlantic Coastal Fisheries Cooperative will document the decision and Technology Transfer Act of 1986 (Public Management Act of 1993 (Act), the rationale in the Record of Decision. That Law 99–502, 15 U.S.C. 3710a), which Federal moratorium on fishing for scup decision will be subject to appeal. provides federal laboratories including and black sea bass in the coastal waters NIST, with the authority to enter into of the State of Maryland and the Dated: November 3, 1997. Commonwealth of Massachusetts that Raymond E. Laboa, cooperative research agreements with qualified parties. Under this law, NIST would have been effective on November Acting Forest Supervisor, Eldorado National may provide ‘‘personnel, service, 15, 1997, is cancelled. The Secretary Forest. facilities, equipment, or other resources was notified by the Atlantic States [FR Doc. 97–29791 Filed 11–12–97; 8:45 am] with or without reimbursement (but not Marine Fisheries Commission BILLING CODE 3410±11±M funds to non-federal parties)’’—to the (Commission) that because Maryland cooperative research program. and Massachusetts are now in Members will be expected to make a compliance with the provisions of the contribution to the consortium’s efforts Commission’s Interstate Fishery in the form of personnel, data, and/or Management Plans (FMPs) for scup and funds. This is not a grant program. black sea bass, that it was withdrawing The R&D staff of each industrial its findings and determinations of partner in the Consortium will be able noncompliance. The Secretary concurs. to interact with NIST researchers on Accordingly, the moratorium is generic measurement needs in the cancelled. industry for specific brachytherapy DATES: Effective November 14, 1997. 60824 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

FOR FURTHER INFORMATION CONTACT: in Maryland and Massachusetts state implementation of certain of their Richard H. Schaefer, Chief, Staff Office waters is canceled. provisions. for Intergovernmental and Recreational Dated: November 6, 1997. Troy H. Cribb, Fisheries, NMFS, 301–427–2014. David L. Evans, Chairman, Committee for the Implementation SUPPLEMENTARY INFORMATION: of Textile Agreements. Deputy Assistant Administrator for Fisheries, Background National Marine Fisheries Service. Committee for the Implementation of Textile Agreements On September 12, 1997, NMFS [FR Doc. 97–29877 Filed 11–7–97; 4:04 pm] November 6, 1997. published a document in the Federal BILLING CODE 3510±22±F Register (FR) (62 FR 48060) announcing Commissioner of Customs, Department of the Treasury, Washington, DC the Secretary’s determination that the 20229. State of Maryland and the Dear Commissioner: This directive Commonwealth of Massachusetts were COMMITTEE FOR THE amends, but does not cancel, the directive not in compliance with the IMPLEMENTATION OF TEXTILE issued to you on December 20, 1996, by the Commission’s FMPs for scup and black AGREEMENTS Chairman, Committee for the Implementation sea bass. In the document a moratorium of Textile Agreements. That directive was declared on fishing for these two Adjustment of an Import Limit for concerns imports of certain cotton, wool, species in Maryland and Massachusetts Certain Cotton Textile Products man-made fiber, silk blend and other state waters, effective November 15, Produced or Manufactured in Bahrain vegetable fiber textile products, produced or 1997, if Maryland and Massachusetts manufactured in Bahrain and exported were not in compliance by November 1, November 6, 1997. during the twelve-month period which began 1997. Details were provided in the on January 1, 1997 and extends through AGENCY: Committee for the December 31, 1997. September 12, 1997, FR document and Implementation of Textile Agreements Effective on November 13, 1997, you are are not repeated here. (CITA). directed to increase the limit for Categories The Act specifies that, if, after a 338/339 to 581,866 dozen 1, as provided for ACTION: moratorium is declared with respect to Issuing a directive to the under the Uruguay Round Agreements Act a State, the Secretary is notified by the Commissioner of Customs increasing a and the Uruguay Round Agreement on Commission that it is withdrawing the limit. Textiles and Clothing. determination of noncompliance, the The Committee for the Implementation of Secretary shall immediately determine EFFECTIVE DATE: November 13, 1997. Textile Agreements has determined that this whether the State is in compliance with action falls within the foreign affairs FOR FURTHER INFORMATION CONTACT: the applicable plan(s). If the State is exception to the rulemaking provisions of 5 Janet Heinzen, International Trade U.S.C. 553(a)(1). determined to be in compliance, the Specialist, Office of Textiles and Sincerely, moratorium shall be terminated. Apparel, U.S. Department of Commerce, Troy H. Cribb, Activities Pursuant to the Act (202) 482–4212. For information on the Chairman, Committee for the Implementation On October 31, 1997, the Secretary quota status of this limit, refer to the of Textile Agreements. received letters from the Commission Quota Status Reports posted on the [FR Doc.97–29879 Filed 11–12–97; 8:45 am] prepared pursuant to the Act. The bulletin boards of each Customs port or BILLING CODE 3510±DR±F Commission’s letters stated that the call (202) 927–5850. For information on State of Maryland and the embargoes and quota re-openings, call Commonwealth of Massachusetts had (202) 482–3715. COMMITTEE FOR THE IMPLEMENTATION OF TEXTILE now in effect regulations on scup and SUPPLEMENTARY INFORMATION: black sea bass implementing the AGREEMENTS provisions of the Commission’s FMPs, Authority: Executive Order 11651 of March 3, 1972, as amended; section 204 of the Announcement of Import Restraint and, therefore, the Commission was Agricultural Act of 1956, as amended (7 Limits for Certain Cotton, Wool, Man- withdrawing its determinations of U.S.C. 1854); Uruguay Round Agreements Made Fiber, Silk Blend and Other noncompliance. In addition, upon Act. Vegetable Fiber Textile Products further evaluation of the noncompliance Produced or Manufactured in Burma status of the Commonwealth of The current limit for Categories 338/ (Myanmar) Massachusetts, the Secretary has 339 is being increased for carryforward. determined that Massachusetts had in A description of the textile and November 6, 1997. place the proper permit and reporting apparel categories in terms of HTS AGENCY: Committee for the requirements for scup, and, therefore, numbers is available in the Implementation of Textile Agreements was not out of compliance on these CORRELATION: Textile and Apparel (CITA). measures. Categories with the Harmonized Tariff ACTION: Issuing a directive to the Cancellation of the moratorium Schedule of the United States (see Commissioner of Customs establishing limits. Based on the Commission’s October Federal Register notice 61 FR 66263, published on December 17, 1996). Also 31, 1997, letter, and information EFFECTIVE DATE: January 1, 1998. see 61 FR 68241, published on received from the State of Maryland, the FOR FURTHER INFORMATION CONTACT: December 27, 1996. Ross Commonwealth of Massachusetts, and Arnold, International Trade Specialist, the Department of Interior’s U.S. Fish The letter to the Commissioner of Office of Textiles and Apparel, U.S. and Wildlife Service, the Secretary has Customs and the actions taken pursuant Department of Commerce, (202) 482– determined that Maryland and to it are not designed to implement all 4212. For information on the quota Massachusetts are now in compliance of the provisions of the Uruguay Round status of these limits, refer to the Quota with the Commission’s FMPs for scup Agreements Act and the Uruguay Round and black sea bass. Therefore, the Agreement on Textiles and Clothing, but 1 The limit has not been adjusted to account for moratorium on fishing for these species are designed to assist only in the any imports exported after December 31, 1996. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60825

Status Reports posted on the bulletin Twelve-month restraint The import restraint limits for textile boards of each Customs port or call Category limit products, produced or manufactured in (202) 927–5850. For information on Colombia and exported during the embargoes and quota re-openings, call 647/648/847 ...... 25,548 dozen. period January 1, 1998 through (202) 482–3715. December 31, 1998 are based on limits The limits set forth above are subject to notified to the Textiles Monitoring Body SUPPLEMENTARY INFORMATION: adjustment pursuant to the provisions of the pursuant to the Uruguay Round Authority: Section 204 of the Agricultural ATC and administrative arrangements Act of 1956, as amended (7 U.S.C. 1854); notified to the Textiles Monitoring Body. Agreement on Textiles and Clothing Executive Order 11651 of March 3, 1972, as Products in the above categories exported (ATC). amended. during 1997 shall be charged to the In the letter published below, the applicable category limits for that year (see Chairman of CITA directs the The import restraint limits for textile directive dated November 4, 1996) to the products, produced or manufactured in Commissioner of Customs to establish extent of any unfilled balances. In the event the 1998 limits. Burma (Myanmar) and exported during the limits established for that period have the period January 1, 1998 through been exhausted by previous entries, such A description of the textile and December 31, 1998 are based on limits products shall be charged to the limits set apparel categories in terms of HTS notified to the Textiles Monitoring Body forth in this directive. numbers is available in the pursuant to the Uruguay Round In carrying out the above directions, the CORRELATION: Textile and Apparel Agreement on Textiles and Clothing Commissioner of Customs should construe Categories with the Harmonized Tariff (ATC). entry into the United States for consumption Schedule of the United States (see In the letter published below, the to include entry for consumption into the Federal Register notice 61 FR 66263, Commonwealth of Puerto Rico. Chairman of CITA directs the The Committee for the Implementation of published on December 17, 1996). Commissioner of Customs to establish Textile Agreements has determined that Information regarding the 1998 the 1998 limits. these actions fall within the foreign affairs CORRELATION will be published in the A description of the textile and exception of the rulemaking provisions of 5 Federal Register at a later date. apparel categories in terms of HTS U.S.C. 553(a)(1). Troy H. Cribb, numbers is available in the Sincerely, Chairman, Committee for the Implementation CORRELATION: Textile and Apparel Troy H. Cribb, of Textile Agreements. Categories with the Harmonized Tariff Chairman, Committee for the Implementation Committee for the Implementation of Textile Schedule of the United States (see of Textile Agreements. Agreements Federal Register notice 61 FR 66263, [FR Doc. 97–29875 Filed 11–12–97; 8:45 am] November 6, 1997. published on December 17, 1996). BILLING CODE 3510±DR±F Information regarding the availability of Commissioner of Customs, Department of the Treasury, Washington, DC the 1998 CORRELATION will be 20229. published in the Federal Register at a COMMITTEE FOR THE Dear Commissioner: Pursuant to section later date. IMPLEMENTATION OF TEXTILE 204 of the Agricultural Act of 1956, as Troy H. Cribb, AGREEMENTS amended (7 U.S.C. 1854); Executive Order Chairman, Committee for the Implementation 11651 of March 3, 1972, as amended; and the of Textile Agreements. Announcement of Import Limits for Uruguay Round Agreement on Textiles and Certain Cotton and Wool Textile Clothing (ATC), you are directed to prohibit, Committee for the Implementation of Textile Products Produced or Manufactured in effective on January 1, 1998, entry into the Agreements Colombia United States for consumption and November 6, 1997. withdrawal from warehouse for consumption Commissioner of Customs, November 6, 1997. of cotton, wool and man-made fiber textile Department of the Treasury, Washington, DC AGENCY: Committee for the products in the following categories, 20229. Implementation of Textile Agreements produced or manufactured in Colombia and exported during the twelve-month period Dear Commissioner: Pursuant to section (CITA). 204 of the Agricultural Act of 1956, as beginning on January 1, 1998 and extending amended (7 U.S.C. 1854); Executive Order ACTION: Issuing a directive to the through December 31, 1998, in excess of the 11651 of March 3, 1972, as amended; and the Commissioner of Customs establishing following restraint limits: Uruguay Round Agreement on Textiles and limits. Clothing (ATC), you are directed to prohibit, Category Twelve-month limit effective on January 1, 1998, entry into the EFFECTIVE DATE: January 1, 1998. United States for consumption and 315 ...... 23.696,384 square meters. withdrawal from warehouse for consumption FOR FURTHER INFORMATION CONTACT: Roy 443 ...... 127,799 numbers. of cotton, wool, man-made fiber, silk blend Unger, International Trade Specialist, and other vegetable fiber textile products in Office of Textiles and Apparel, U.S. The limits set forth above are subject to the following categories, produced or Department of Commerce, (202) 482– adjustment pursuant to the provisions of the manufactured in Burma (Myanmar) and 4212. For information on the quota ATC and administrative arrangements exported during the twelve-month period status of these limits, refer to the Quota notified to the Textiles Monitoring Body. Products in the above categories exported beginning on January 1, 1998 and extending Status Reports posted on the bulletin through December 31, 1998, in excess of the during 1997 shall be charged to the following levels of restraint: boards of each Customs port or call applicable category limits for that year (see (202) 927–5850. For information on directive dated November 4, 1996) to the Twelve-month restraint embargoes and quota re-openings, call extent of any unfilled balances. In the event Category limit (202) 482–3715. the limits established for that period have been exhausted by previous entries, such 340/640 ...... 97,791 dozen. SUPPLEMENTARY INFORMATION: products shall be charged to the limits set 342/642 ...... 26,414 dozen. Authority: Section 204 of the Agricultural forth in this directive. 347/348 ...... 137,005 dozen. Act of 1956, as amended (7 U.S.C. 1854); In carrying out the above directions, the 351/651 ...... 41,513 dozen. Executive Order 11651 of March 3, 1972, as Commissioner of Customs should construe 448 ...... 2,410 dozen. amended. entry into the United States for consumption 60826 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices to include entry for consumption into the for the Implementation of Textile exported during the period March 31, 1997 Commonwealth of Puerto Rico. Agreements, U.S. Department of through December 31, 1997. The Committee for the Implementation of Commerce, Washington, DC 20230; Also effective on January 1, 1998, I request Textile Agreements has determined that ATTN: Helen L. LeGrande. that entry/entry summary procedures be these actions fall within the foreign affairs required, and that you count imports for exception of the rulemaking provisions of Comments or information submitted consumption and withdrawals from U.S.C.553(a)(1). in response to this notice will be warehouse for consumption of textile Sincerely, available for public inspection in the products in HTS number 5403.31.0040 in Troy H. Cribb, Office of Textiles and Apparel, room Category 606(2), produced or manufactured Chairman, Committee for the Implementation H3100, U.S. Department of Commerce, in India and exported during the period of Textile Agreements. 14th and Constitution Avenue, NW., January 1, 1998 through December 31, 1998. Inasmuch as these imports may later be [FR Doc.97–29876 Filed 11–12–97; 8:45 am] Washington, DC. charged against the Group II level, it is BILLING CODE 3510±DR±F Further comments may be invited important that an accurate count be taken. regarding particular comments or The Committee for the Implementation of information received from the public Textile Agreements has determined that this COMMITTEE FOR THE which the Committee for the action falls within the foreign affairs IMPLEMENTATION OF TEXTILE Implementation of Textile Agreements exception of the rulemaking provisions of 5 AGREEMENTS U.S.C. 553(a)(1). considers appropriate for further Sincerely, consideration. Extension of Suspension of Group II Troy H. Cribb, Restriction for Certain Man-Made Fiber The solicitation of comments is not a Chairman, Committee for the Implementation Textile Products Produced or waiver in any respect of the exemption of Textile Agreements. Manufactured in India contained in 5 U.S.C. 553(a)(1) relating [FR Doc. 97–29896 Filed 11–12–97; 8:45 am] to matters which constitute ‘‘a foreign BILLING CODE 3510±DR±F November 6, 1997. affairs function of the United States.’’ AGENCY: Committee for the A description of the textile and Implementation of Textile Agreements apparel categories in terms of HTS COMMITTEE FOR THE (CITA). numbers is available in the IMPLEMENTATION OF TEXTILE ACTION: Issuing a directive to the CORRELATION: Textile and Apparel AGREEMENTS Commissioner of Customs extending Categories with the Harmonized Tariff suspension of the Group II restriction Schedule of the United States (see Adjustment of Import Limits for Certain for certain products from India. Federal Register notice 61 FR 66263, Cotton, Man-Made Fiber, Silk Blend published on December 17, 1996). and Other Vegetable Fiber Textiles and EFFECTIVE DATE: January 1, 1998. Textile Products Produced or Troy H. Cribb, FOR FURTHER INFORMATION CONTACT: Lori Manufactured in India Mennitt, International Trade Specialist, Chairman, Committee for the Implementation Office of Textiles and Apparel, U.S. of Textile Agreements. November 6, 1997. Department of Commerce, (202) 482– Committee for the Implementation of Textile AGENCY: Committee for the 3400. Agreements Implementation of Textile Agreements November 6, 1997. (CITA). SUPPLEMENTARY INFORMATION: Commissioner of Customs, ACTION: Issuing a directive to the Authority: Executive Order 11651 of March Department of the Treasury, Washington, DC 3, 1972, as amended; section 204 of the Commissioner of Customs adjusting 20229. Agricultural Act of 1956, as amended (7 limits. U.S.C. 1854); Uruguay Round Agreements Dear Commissioner: Effective on January 1, Act. 1998, man-made fiber textile products in EFFECTIVE DATE: November 13, 1997. HTS 5403.31.0040 in Category 606, in Group FOR FURTHER INFORMATION CONTACT: A document published in the Federal II, produced or manufactured in India and Janet Heinzen, International Trade Register on March 31, 1997 (62 FR exported during the twelve-month period Specialist, Office of Textiles and 15159) announces suspension of the beginning on January 1, 1998 and extending Apparel, U.S. Department of Commerce, Group II restriction for rayon filament through December 31, 1998, shall not be (202) 482–4212. For information on the yarn in HTS number 5403.31.0040 in subject to the Group II quota established for quota status of these limits, refer to the Category 606 from India for the period the 1998 period. A visa is still required for Quota Status Reports posted on the March 31, 1997 through December 31, this product. bulletin boards of each Customs port or 1997. For U.S. Customs’ administrative purposes, call (202) 927–5850. For information on The Committee for the the remaining HTS numbers in Category 606 shall be designated Category 606(1) 1. embargoes and quota re-openings, call Implementation of Textile Agreements To facilitate implementation of the (202) 482–3715. has decided to extend the suspension Uruguay Round Agreements Act and the for the twelve-month period beginning Uruguay Round Agreement on Textiles and SUPPLEMENTARY INFORMATION: on January 1, 1998 and extending Clothing (ATC), I request that, effective on Authority: Executive Order 11651 of March through December 31, 1998. A visa is January 1, 1998, entry/entry summary 3, 1972, as amended; section 204 of the still required for this product. procedures be required, and that you Agricultural Act of 1956, as amended (7 Anyone wishing to comment or continue to count imports for consumption U.S.C. 1854); Uruguay Round Agreements provide data or information regarding and withdrawals from warehouse for Act. the treatment of imports in HTS number consumption of textile products in HTS The current limits for certain number 5403.31.0040 in Category 606(2) 2, 5403.31.0040 from India or to comment produced or manufactured in India and categories are being adjusted for swing on domestic production or availability and carryforward. of products included in HTS number A description of the textile and 1 Category 606(1): all HTS numbers except 5403.31.0040 is invited to submit 10 5403.31.0040 (Category 606(2)). apparel categories in terms of HTS copies of such comments or information 2 Category 606(2): only HTS number numbers is available in the to Troy H. Cribb, Chairman, Committee 5403.31.0040. CORRELATION: Textile and Apparel Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60827

Categories with the Harmonized Tariff Authority: Section 204 of the Agricultural Category Adjusted twelve-month Schedule of the United States (see level 1 Act of 1956, as amended (7 U.S.C. 1854); Federal Register notice 61 FR 66263, Executive Order 11651 of March 3, 1972, as amended. published on December 17, 1996). Also Group II 200, 201, 220±229, 110,796,693 square see 61 FR 68143, published on The import restraint limits for textile 237, 239, 300, meters equivalent. products, produced or manufactured in December 27, 1996. 301, 330±333, 349, 350, 352, Kuwait and exported during the period The letter to the Commissioner of January 1, 1998 through December 31, Customs and the actions taken pursuant 359±362, 600± 607, 611±629, 1998 are based on limits notified to the to it are not designed to implement all 630±633, 638, Textiles Monitoring Body pursuant to of the provisions of the Uruguay Round 639, 643±646, the Uruguay Round Agreement on Agreements Act and the Uruguay Round 649, 650, 652, Textiles and Clothing (ATC). Agreement on Textiles and Clothing, but 659, 665±O 4, 666, In the letter published below, the are designed to assist only in the 669, 670, and Chairman of CITA directs the implementation of certain of their 831±859, as a Commissioner of Customs to establish provisions. group. the limits for the 1998 period. The 1998 Troy H. Cribb, 1 The limits have not been adjusted to ac- level for Category 361 is zero. count for any imports exported after December A description of the textile and Chairman, Committee for the Implementation 31, 1996. apparel categories in terms of HTS of Textile Agreements. 2 Category 369±D: only HTS numbers 6302.60.0010, 6302.91.0005 and numbers is available in the Committee for the Implementation of Textile 6302.91.0045. CORRELATION: Textile and Apparel Agreements 3 Category 369±S: only HTS number Categories with the Harmonized Tariff November 6, 1997. 6307.10.2005. Schedule of the United States (see 4 Category 665±O: all HTS numbers except Commissioner of Customs, 5702.10.9030, 5702.42.2020, 5702.92.0010 Federal Register notice 61 FR 66263, Department of the Treasury, Washington, DC and 5703.20.1000 (rugs). published on December 17, 1996). 20229. Information regarding the 1998 The Committee for the Implementation of Dear Commissioner: This directive Textile Agreements has determined that CORRELATION will be published in the amends, but does not cancel, the directive these actions fall within the foreign affairs Federal Register at a later date. issued to you on December 20, 1996, by the exception to the rulemaking provisions of 5 Troy H. Cribb, Chairman, Committee for the Implementation U.S.C. 553(a)(1). Chairman, Committee for the Implementation of Textile Agreements. That directive Sincerely, of Textile Agreements. concerns imports of certain cotton, man- Troy H. Cribb, Committee for the Implementation of Textile made fiber, silk blend and other vegetable Chairman, Committee for the Implementation Agreements fiber textiles and textile products, produced of Textile Agreements. November 6, 1997. or manufactured in India and exported [FR Doc. 97–29898 Filed 11–12–97; 8:45 am] Commissioner of Customs, during the twelve-month period which began BILLING CODE 3510±DR±F Department of the Treasury, Washington, DC on January 1, 1997 and extends through 20229. December 31, 1997. Dear Commissioner: Pursuant to section Effective on November 13, 1997, you are COMMITTEE FOR THE 204 of the Agricultural Act of 1956, as directed to adjust the limits for the following IMPLEMENTATION OF TEXTILE amended (7 U.S.C. 1854); Executive Order categories, as provided for under the Uruguay AGREEMENTS 11651 of March 3, 1972, as amended; and the Round Agreements Act and the Uruguay Uruguay Round Agreement on Textiles and Round Agreement on Textiles and Clothing: Announcement of Import Restraint Clothing (ATC), you are directed to prohibit, Limits for Certain Cotton and Man- effective on January 1, 1998, entry into the United States for consumption and Category Adjusted twelve-month Made Fiber Textile Products Produced level 1 withdrawal from warehouse for consumption or Manufactured in Kuwait of cotton and man-made fiber textile products in the following categories, 218 ...... 11,140,199 square November 6, 1997. meters. produced or manufactured in Kuwait and AGENCY: Committee for the exported during the twelve-month period 219 ...... 63,803,082 square Implementation of Textile Agreements beginning on January 1, 1998 and extending meters. (CITA). through December 31, 1998, in excess of the 314 ...... 7,163,193 square me- following levels of restraint: ters. ACTION: Issuing a directive to the 315 ...... 12,236,009 square Commissioner of Customs establishing Twelve-month restraint meters. limits. Category limit 334/634 ...... 143,977 dozen. 335/635 ...... 507,735 dozen. EFFECTIVE DATE: January 1, 1998. 340/640 ...... 272,125 dozen. 336/636 ...... 900,539 dozen. FOR FURTHER INFORMATION CONTACT: 341/641 ...... 149,669 dozen. 338/339 ...... 3,899,054 dozen. Janet Heinzen, International Trade 361 ...... ±0± 340/640 ...... 1,996,493 dozen. Specialist, Office of Textiles and 342/642 ...... 1,210,095 dozen. Apparel, U.S. Department of Commerce, The limits set forth above are subject to 351/651 ...... 265,272 dozen. adjustment pursuant to the provisions of the (202) 482–4212. For information on the ATC and administrative arrangements 363 ...... 42,398,013 numbers. quota status of these limits, refer to the notified to the Textiles Monitoring Body. 2 369±D ...... 1,250,947 kilograms. Quota Status Reports posted on the Products in the above categories exported 369±S 3 ...... 510,233 kilograms. bulletin boards of each Customs port or during 1997 shall be charged to the 641 ...... 1,321,069 dozen. call (202) 927–5850. For information on applicable category limits for that year (see 647/648 ...... 462,706 dozen. embargoes and quota re-openings, call directive dated November 4, 1996) to the (202) 482–3715. extent of any unfilled balances. In the event the limits established for that period have SUPPLEMENTARY INFORMATION: been exhausted by previous entries, such 60828 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices products shall be charged to the limits set In the letter published below, the These limits may be revised if Nepal forth in this directive. Chairman of CITA directs the becomes a member of the World Trade In carrying out the above directions, the Commissioner of Customs to establish Organization (WTO) and the United States Commissioner of Customs should construe the 1998 limits. applies the WTO agreement to Nepal. entry into the United States for consumption A description of the textile and In carrying out the above directions, the to include entry for consumption into the Commissioner of Customs should construe Commonwealth of Puerto Rico. apparel categories in terms of HTS entry into the United States for consumption The Committee for the Implementation of numbers is available in the to include entry for consumption into the Textile Agreements has determined that CORRELATION: Textile and Apparel Commonwealth of Puerto Rico. these actions fall within the foreign affairs Categories with the Harmonized Tariff The Committee for the Implementation of exception to the rulemaking provisions of 5 Schedule of the United States (see Textile Agreements has determined that U.S.C. 553(a)(1). Federal Register notice 61 FR 66263, these actions fall within the foreign affairs Sincerely, published on December 17, 1996). exception of the rulemaking provisions of 5 Troy H. Cribb, Information regarding the 1998 U.S.C. 553(a)(1). Sincerely, Chairman, Committee for the Implementation CORRELATION will be published in the of Textile Agreements. Federal Register at a later date. Troy H. Cribb, [FR Doc. 97–29899 Filed 11–12–97; 8:45 am] Troy H. Cribb, Chairman, Committee for the Implementation of Textile Agreements. BILLING CODE 3510±DR±F Chairman, Committee for the Implementation of Textile Agreements. [FR Doc. 97–29874 Filed 11–12–97; 8:45 am] Committee for the Implementation of Textile BILLING CODE 3510±DR±F COMMITTEE FOR THE Agreements IMPLEMENTATION OF TEXTILE November 6, 1997. AGREEMENTS COMMITTEE FOR THE Commissioner of Customs, IMPLEMENTATION OF TEXTILE Department of the Treasury, Washington, DC Announcement of Import Restraint 20229. AGREEMENTS Limits for Certain Cotton and Man- Dear Commissioner: Pursuant to section Made Fiber Textile Products Produced Announcement of Import Restraint 204 of the Agricultural Act of 1956, as Limits for Certain Cotton and Man- or Manufactured in Nepal amended (7 U.S.C. 1854); Executive Order 11651 of March 3, 1972, as amended; the Made Fiber Textile Products Produced November 6, 1997. Bilateral Textile Agreement, effected by or Manufactured in Qatar AGENCY: Committee for the exchange of notes dated May 30 and June 1, Implementation of Textile Agreements 1986, as amended and extended; and November 6, 1997. (CITA). Memoranda of Understanding dated AGENCY: Committee for the November 6, 1996 and June 20, 1997 between Implementation of Textile Agreements ACTION: Issuing a directive to the the Governments of the United States and (CITA). Commissioner of Customs establishing Nepal, you are directed to prohibit, effective ACTION: limits. Issuing a directive to the on January 1, 1998, entry into the United Commissioner of Customs establishing States for consumption and withdrawal from EFFECTIVE DATE: January 1, 1998. warehouse for consumption of cotton and limits. man-made fiber textile products in the FOR FURTHER INFORMATION CONTACT: EFFECTIVE DATE: January 1, 1998. following categories, produced or Janet Heinzen, International Trade FOR FURTHER INFORMATION CONTACT: Specialist, Office of Textiles and manufactured in Nepal and exported during the twelve-month period beginning on Janet Heinzen, International Trade Apparel, U.S. Department of Commerce, January 1, 1998 and extending through Specialist, Office of Textiles and (202) 482–4212. For information on the December 31, 1998, in excess of the following Apparel, U.S. Department of Commerce, quota status of these limits, refer to the levels of restraint: (202) 482–4212. For information on the Quota Status Reports posted on the quota status of these limits, refer to the bulletin boards of each Customs port or Twelve-month restraint Category limit Quota Status Reports posted on the call (202) 927–5850. For information on bulletin boards of each Customs port or embargoes and quota re-openings, call 336/636 ...... 234,214 dozen. call (202) 927–5850. For information on (202) 482–3715. 340 ...... 338,279 dozen. embargoes and quota re-openings, call SUPPLEMENTARY INFORMATION: 341 ...... 1,086,589 dozen. (202) 482–3715. 342/642 ...... 295,242 dozen. Authority: Section 204 of the Agricultural 347/348 ...... 761,956 dozen. SUPPLEMENTARY INFORMATION: Act of 1956, as amended (7 U.S.C. 1854); 363 ...... 6,890,000 numbers. Authority: Section 204 of the Agricultural Executive Order 11651 of March 3, 1972, as 369±S 1 ...... 927,000 kilograms. Act of 1956, as amended (7 U.S.C. 1854); amended. 640 ...... 170,254 dozen. Executive Order 11651 of March 3, 1972, as The Bilateral Textile Agreement, 641 ...... 383,880 dozen. amended. effected by exchange of notes dated May 1 Category 369±S: only HTS number The import restraint limits for textile 30 and June 1, 1986, as amended and 6307.10.2005. products, produced or manufactured in extended, and Memoranda of The limits set forth above are subject to Qatar and exported during the period Understanding (MOUs) dated November adjustment pursuant to the provisions of the January 1, 1998 through December 31, 6, 1996 and June 20, 1997, between the current bilateral agreement between the 1998 are based on limits notified to the Governments of the United States and Governments of the United States and Nepal. Textiles Monitoring Body pursuant to Nepal establish limits for the period Products in the above categories exported the Uruguay Round Agreement on January 1, 1998 through December 31, during 1997 shall be charged to the Textiles and Clothing (ATC). 1998. applicable category limits for that year (see In the letter published below, the These limits may be revised if Nepal directive dated December 5, 1996) to the extent of any unfilled balances. In the event Chairman of CITA directs the becomes a member of the World Trade the limits established for that period have Commissioner of Customs to establish Organization (WTO) and the United been exhausted by previous entries, such the limits for the 1998 period. States applies the WTO agreement to products shall be charged to the limits set A description of the textile and Nepal. forth in this directive. apparel categories in terms of HTS Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60829 numbers is available in the COMMITTEE FOR THE see 42 Fr 5994, published on February CORRELATION: Textile and Apparel IMPLEMENTATION OF TEXTILE 1, 1977; and 57 FR 2713, published on Categories with the Harmonized Tariff AGREEMENTS January 23, 1992. Schedule of the United States (see Interested persons are advised to take Federal Register notice 61 FR 66263, Consolidation and Amendment of all necessary steps to ensure that textile published on December 17, 1996). Export Visa Requirements to Include products that are entered into the Information regarding the 1998 the Electronic Visa Information System United States for consumption, or CORRELATION will be published in the for Certain Cotton, Wool, Man-Made withdrawn from warehouse for Federal Register at a later date. Fiber, Silk Blend and Other Vegetable consumption, will meet the visa Troy H. Cribb, Fiber Textiles and Textile Products requirements set forth in the letter Chairman, Committee for the Implementation Produced or Manufactured in Thailand published below to the Commissioner of Customs. of Textile Agreements. November 6, 1997. Troy H. Cribb, Committee for the Implementation of Textile AGENCY: Committee for the Agreements Chairman, Committee for the Implementation Implementation of Textile Agreements of Textile Agreements. November 6, 1997. (CITA). Committee for the Implementation of Textile Commissioner of Customs, ACTION: Issuing a directive to the Agreements Department of the Treasury, Washington, DC Commissioner of Customs consolidating November 6, 1997. 20229. and amending visa requirements. Dear Commissioner: Pursuant to section Commissioner of Customs, 204 of the Agricultural Act of 1956, as EFFECTIVE DATE: January 1, 1998. Department of the Treasury, Washington, DC 20229. amended (7 U.S.C. 1854); Executive Order FOR FURTHER INFORMATION CONTACT: Ross 11651 of March 3, 1972, as amended; and the Arnold, International Trade Specialist, Dear Commissioner: This directive Uruguay Round Agreement on Textiles and amends, but does not cancel, the directive Office of Textiles and Apparel, U.S. issued to you on January 16, 1992, by the Clothing (ATC), you are directed to prohibit, Department of Commerce, (202) 482– effective on January 1, 1998, entry into the Chairman, Committee for the Implementation United States for consumption and 4212. of Textile Agreements, that directed you to withdrawal from warehouse for consumption SUPPLEMENTARY INFORMATION: prohibit entry of certain cotton, wool, man- made fiber, silk blend and other vegetable of cotton and man-made fiber textile Authority: Executive Order 11651 of March fiber textiles and textile products, produced products in the following categories, 3, 1972, as amended; section 204 of the or manufactured in Thailand for which the produced or manufactured in Qatar and Agricultural Act of 1956, as amended (7 Government of Thailand has not issued an exported during the twelve-month period U.S.C. 1854); Uruguay Round Agreements appropriate export visa or exempt beginning on January 1, 1998 and extending Act. through December 31, 1998, in excess of the certification. following levels of restraint: In exchange of notes, the Under the terms of section 204 of the Governments of the United States and Agricultural Act of 1956, as amended (7 Thailand agreed to amend the existing U.S.C. 1854); and pursuant to the Uruguay Category Twelve-month restraint limit visa arrangement for textile products, Round Agreements Act, the Uruguay Round Agreement on Textiles and Clothing (ATC) produced or manufactured in Thailand 340/640 ...... 436,033 dozen. and the Export Visa Arrangement, effected by and exported on and after January 1, exchange of notes between the Governments 341/641 ...... 201,246 dozen. 1998. The amended arrangement 347/348 ...... 496,407 dozen. of the United States and Thailand; and in consolidates existing and new accordance with the provisions of Executive provisions of the export visa Order 11651 of March 3, 1972, as amended, The limits set forth above are subject to you are directed to prohibit, effective on adjustment pursuant to the provisions of the arrangement, including provisions for January 1, 1998, entry into the Customs ATC and administrative arrangements the Electronic Visa Information System territory of the United States (i.e., the 50 notified to the Textiles Monitoring Body. (ELVIS). In addition to the ELVIS requirements, shipments will continue states, the District of Columbia and the Products in the above categories exported Commonwealth of Puerto Rico) for during 1997 shall be charged to the to be accompanied by an original visa consumption and withdrawal from applicable category limits for that year (see stamped on the front of the original warehouse for consumption of cotton, wool, directive dated November 7, 1996) to the commercial invoice issued by the man-made fiber, silk blend and other extent of any unfilled balances. In the event Government of Thailand. Goods which vegetable fiber textiles and textile products in the limits established for that period have currently require an exempt certificate Categories 200–239, 300–369, 400–469, 600– been exhausted by previous entries, such shall not require an ELVIS transmission, 670 and 800–899, including part categories products shall be charged to the limits set but will continue to require the exempt and merged categories (see Annex A), forth in this directive. produced or manufactured in Thailand and In carrying out the above directions, the certificate. In the letter published below, the exported on and after January 1, 1998 for Commissioner of Customs should construe which the Government of Thailand has not entry into the United States for consumption Chairman of CITA directs the issued an appropriate export visa and to include entry for consumption into the Commissioner of Customs to amend the Electronic Visa Information System (ELVIS) Commonwealth of Puerto Rico. existing visa requirements for textile transmission or exempt certification fully The Committee for the Implementation of products produced or manufactured in described below. Should additional Textile Agreements has determined that Thailand and exported on and after categories, part categories or merged these actions fall within the foreign affairs January 1, 1998. categories become subject to import quota the exception to the rulemaking provisions of 5 A description of the textile and entire category(s), part category(s) or merged U.S.C. 553(a)(1). apparel categories in terms of HTS category(s) shall be included in the coverage Sincerely, numbers is available in the of this arrangement. Troy H. Cribb, A visa must accompany each commercial CORRELATION: Textile and Apparel shipment of the aforementioned textile Chairman, Committee for the Implementation Categories with the Harmonized Tariff products. A circular stamped marking in blue of Textile Agreements. Schedule of the United States (see ink will appear on the front of the original [FR Doc. 97–29897 Filed 11–12–97; 8:45 am] Federal Register notice 61 FR 66263, commercial invoice or its successor BILLING CODE 3510±DR±F published on December 17, 1996). Also document. The original visa shall not be 60830 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices stamped on duplicate copies of the invoice. a visa with the shipment. Visa waivers will II. if the ELVIS transmission for that The original invoice with the original visa only be issued for classification purposes or shipment is missing any of the following: stamp will be required to enter the shipment for one time special purpose shipments that a. visa number into the United States. Duplicates of the are not part of an ongoing commercial b. category, part category or merged invoice and/or visa may not be used for this enterprise. category purpose. If the visaed invoice is deficient, the U.S. c. quantity Each visa stamp shall include the Customs Service will not return the original d. unit of measure following information: document after entry, but will provide a e. date of issuance 1. The visa number. The visa number shall certified copy of that visaed invoice for use f. manufacturer ID number be in the standard nine digit letter format, in obtaining a new correct original visaed III. if the ELVIS transmission for the beginning with one numeric digit for the last invoice, or a visa waiver. shipment does not match the information digit of the year of export, followed by the If a shipment from Thailand has been supplied by the importer or the Customs two character alpha country code specified allowed entry into the commerce of the Broker acting as an agent on behalf of the by the International Organization for United States with either an incorrect visa or importer, with regard to any of the following: Standardization (ISO) (the code for Thailand no visa, and redelivery is requested but a. visa number is ‘‘TH’’), and a six digit numeric serial cannot be made, the shipment will be b. category, part category or merged number identifying the shipment; e.g., charged to the correct category limit whether category 8TH123456. Typewritten letters and numbers or not a replacement visa or waiver is c. unit of measure may be used in the visa seal instead of provided. d. manufacturer ID number handwritten letters and numbers. ELVIS Requirements: IV. if the quantity being entered is greater 2. The date of issuance. The date of An ELVIS transmission as well as an than the quantity transmitted. issuance shall be the day, month and year on export visa is required for each non-exempt V. if the visa number has previously been which the visa was issued, which could be entry subject to this directive. used, or canceled, except in the case of a split the year after the actual date the merchandise A. Each ELVIS message will include the shipment or if any entry has already been leaves the country of exportation. However, following information: made using the visa number. the date of export and the year of the visa I. The visa number. The visa number shall C. A new, correct ELVIS transmission from must agree. For example, if the date of export be in the standard nine digit letter format, the country of origin is required before a is 1997, the visa number must begin with beginning with one numeric digit for the last shipment that has been denied entry for one ‘‘7TH,’’ even though the date of issuance is digit of the year of export, followed by the of the circumstances mentioned in paragraph 1998. two character alpha country code specified B.I–V will be released. 3. The original signature of the issuing by the International Organization for D. Visa waivers will only be considered for Standardization (ISO) (the code for Thailand circumstances described in paragraph B.I, if official of the Royal Thai Government. is ‘‘TH’’), and a six digit numeric serial the shipment qualifies as a one time special 4. The correct category(s), merged number identifying the shipment; e.g., purpose shipment that is not part of an category(s), part category(s), quantity(s) and 8TH123456. ongoing commercial enterprise or for unit(s) of quantity in the shipment in the II. The date of issuance. The date of legitimate classification disputes. unit(s) of quantity provided for in the issuance shall be the day, month and year on E. Shipments will not be released for forty- bilateral agreement shall be reported in the which the visa was issued, which could be eight hours in the event of a system failure. spaces provided within the visa stamp (e.g., the year after the actual date the merchandise If system failure exceeds forty-eight hours, ‘‘Cat. 434–210 DZ’’). leaves the country of exportation. However, for the remaining period of the system failure Quantities must be stated in whole the date of export and the year of the visa the U.S. Customs Service will release numbers. Decimals or fractions will not be number must agree. For example, if the date shipments on the basis of the paper visaed accepted. Merged category quota of export is 1997, the visa number must begin document. merchandise may be accompanied by either with ‘‘7TH,’’ even though the date of If a shipment from Thailand has been the appropriate merged category visa or the issuance is 1998. allowed entry into the commerce of the correct category visa corresponding to the III. The correct category(s), merged United States with an incorrect visa, no visa, actual shipment (e.g., quota Category 359–H/ category(s), part category(s), quantity(s) and an incorrect ELVIS transmission, or no ELVIS 659–H may be visaed as 359–H/659–H or if unit(s) of quantity in the shipment as set transmission, and redelivery is requested but the shipment consists solely of Category 359– forth in the U.S. Department of Commerce cannot be made, and if the Government of H merchandise, the shipment may be visaed Correlation and in the Harmonized Tariff Thailand does not issue a visa or ELVIS as ‘‘Category 359–H,’’ but not as ‘‘Category Schedule of the United States, annotated or transmission or request a visa waiver (if 659–H’’). If, however, a merged quota successor documents. applicable), the shipment will be charged to category such as 625/626/627/628/629 has a IV. The quantity of the shipment in the the correct category limit whether or not a quota sublimit on Category 625, then there correct units of quantity. replacement visa or visa waiver is provided must be a ‘‘Cat. 625’’ visa for the shipment V. The manufacturer ID number (MID). The or a new ELVIS tansmission is transmitted. if it includes Category 625. MID shall begin with ‘‘TH,’’ followed by the Exempt certification requirements: U.S. Customs shall not permit entry if the first three characters from each of the first A. The exempt certification system shipment does not have a visa, or if the visa two words of the name of the manufacturer, established in a directive dated January 26, number, date of issuance, signature, category, followed by the largest number on the 1977, as amended, which exempts handmade quantity or units of quantity are missing, address line up to the first four digits, cottage industry products of handloomed incorrect or illegible, or have been crossed followed by three letters from the city name. fabric, and an agreed list of Thai traditional out or altered in any way. If the quantity However, due to the absence of an official folklore products, shall be continued indicated on the visa is less than that of the English language address conversion in unchanged, except for the following: shipment, entry shall not be permitted. If the Thailand, the Government of Thailand shall 1. The exemption for all items valued at quantity indicated on the visa is more than provide the most accurate MID number U.S.$250 or less shall not be continued. that of the shipment, entry shall be permitted possible to the U.S. Customs Service. The 2. Handloomed fabrics produced in and only the amount entered shall be charged U.S. Government understands and Thailand may be certified as exempt. to any applicable quota. acknowledges that the MID number is highly 3. The exemption for handknotted/tufted If the visa is not acceptable then a new visa sensitive and should be kept confidential for carpets shall be clarified to be for ‘‘handmade must be obtained from the Government of official use only. The MID number is not to carpets,’’ (i.e., carpets in which the pile was Thailand or a visa waiver may be issued by be released to third parties without prior inserted/knotted by hand in HTS numbers the U.S. Department of Commerce at the written consent by the Government of 5701.10.1600 (Category 465), 5701.10.4000 request of the Embassy of Thailand in Thailand. (Category 465), 5702.42.2020 (Category 665), Washington, DC., and presented to the U.S. B. Entry of a shipment shall not be 5702.49.1020 (Category 369); and Customs Service before any portion of the permitted: 5703.20.1000 (Category 665)). shipment will be released. The waiver, if I. if an ELVIS transmission has not been B. Textiles and textile articles provided for used, only waives the requirement to present received for the shipment from Thailand; in the exempt certification system ae exempt Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60831 from the levels of restraint (quotas), and visa Annex AÐContinued Annex AÐContinued and ELVIS requirements if they are properly certified, prior to the shipment leaving Thailand. 301±O Chief weight cotton 659±O Other man-made fiber ap- Other Provisions: combed yarn, 85 percent parel, not elsewhere speci- Merchandise imported for the personal use or more cotton: only HTS fied: all HTS numbers ex- of the importer and not for resale, regardless numbers 5205.21.0020, cept those in Category of value, and properly marked commercial 5205.21.0090, 659±H. 669±P Man-made fiber bags: only sample shipments valued at U.S. $250 or less 5205.22.0020, 5205.22.0090, HTS numbers do not require a visa or ELVIS transmission 5205.23.0020, 6305.32.0010, for entry and shall not be charged to 5205.23.0090, 6305.32.0020, agreement levels. 5205.24.0020, 6305.33.0010, Any shipment which is not accompanied 5205.24.0090, 6305.33.0020 and by a valid and correct visa with an ELVIS 5205.26.0020, 6305.39.0000. transmission or exempt certification in 5205.26.0090, 669±O Other man-made fiber accordance with the foregoing provisions 5205.27.0020, manufactures, NSPF: all shall be denied entry by the Government of 5205.27.0090, HTS numbers except those the United States unless the Government of 5205.28.0020, in Category 669±P. Thailand authorizes the entry and any 5205.28.0090, Merged Categories and Subcategories charges to the agreement levels. 5205.41.0020, 317/326 The actions taken concerning the 5205.41.0090, 331/631 5205.42.0020, Government of Thailand with respect to 334/634 5205.42.0090, 335/635/835 imports of textiles and textile products in the 5205.43.0020, foregoing categories have been determined by 336/636 5205.43.0090, 338/339 the Committee for the Implementation of 5205.44.0020, 341/641 Textile Agreements to involve foreign affairs 5205.44.0090, 342/642 functions of the United States. Therefore, 5205.46.0020, 347/348/847 these directions to the Commissioner of 5205.46.0090, 351/651 Customs, which are necessary for the 5205.47.0020, 359±H/659±H implementation of such actions, fall within 5205.47.0090, 613/614/615 (Subcategories 614 and 613/ the foreign affairs exception to the 5205.48.0020 and 615) rulemaking provisions of 5 U.S.C. 553(a)(1). 5205.48.0090. 625/626/627/628/629 (Subcategory 625) This letter will be published in the Federal 359±H Cotton headwear: only 638/639 HTS numbers Register. 645/646 6505.90.1540 and 647/648 Sincerely, 6505.90.2060. [FR Doc. 97–29780 Filed 11–12–97; 8:45 am] Troy H. Cribb, 359±O Other cotton apparel, not BILLING CODE 3510±DR±F Chairman, Committee for the Implementation elsewhere specified: all of Textile Agreements. HTS numbers except those in Category 359±H. Annex A 369±D Cotton dish towels: only COMMODITY FUTURES TRADING HTS numbers COMMISSION 6302.60.0010, Part Categories (Descriptions below are for 6302.91.0005 and Chicago Board of Trade Futures general reference only.) 6302.91.0045. Contracts in Corn and Soybeans; 301±P Chief weight cotton 369±S Cotton shop towels: only Order To Change and To Supplement combed yarn, less than 85 HTS number Delivery Specifications percent cotton: only HTS 6307.10.2005. numbers 5206.21.0000, 369±O Other cotton made-ups, not AGENCY: Commodity Futures Trading 5206.22.0000, elsewhere specified: all Commission. 5206.23.0000, HTS numbers except those ACTION: Final order to Chicago Board of 5206.24.0000, in Category 369±D and Trade to change and to supplement 5206.25.0000, Category 369±S. delivery specifications. 5206.41.0000, 604±A Piled acrylic spun yarn: 5206.42.0000, only HTS number SUMMARY: The Commodity Futures 5206.43.0000, 5509.32.0000. Trading Commission (Commission) is 5206.44.0000 and 604±O Other staple fiber yarn, 85 5206.45.0000. issuing an Order to the Board of Trade percent or more synthetic: of the City of Chicago (CBT), under all HTS numbers except Section 5a(a)(10) of the Commodity those in Category 604±A. Exchange Act (Act), 7 U.S.C. 7a(a)(10), 659±H Man-made fiber headwear: only HTS numbers to change and to supplement the 6502.00.9030, delivery terms of the CBT corn and 6504.00.9015, soybean futures contracts. The CBT 6504.00.9060, submitted proposed changes to the 6505.90.5090, delivery specifications of its corn and 6505.90.6090, soybean futures contracts in response to 6505.90.7090 and a December 19, 1996, notification to the 6505.90.8090. CBT by the Commission that the CBT corn and soybean futures contracts no longer accomplish the objectives of that section of the Act. The Commission in 60832 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices its Order changes and supplements the Architzel, Chief Counsel, Division of its futures contracts in corn and CBT proposal for its soybean futures Economic Analysis, Commodity Futures soybeans as shown in attachment 1 to contract by making all changes to such Trading Commission, Three Lafayette this Order. Under this Order, the CBT rules as required to effect the Centre, 1155 21st Street, N.W., Commission takes the following actions: following: (i) retaining the Toledo, Ohio Washington, D.C. 20581, (202) 418– (1) changes and supplements under switching district as a delivery location; 5260, or electronically, Mr. Architzel at section 5a(a)(10) of the Commodity (ii) retaining St. Louis-East St. Louis- [[email protected]]. Exchange Act (Act) the proposed Alton as a delivery location for shipping SUPPLEMENTARY INFORMATION: Section delivery specifications of the CBT’s stations; and (iii) making soybeans from 5a(a)(10) of the Act provides that, as a soybean futures contract by making all the Toledo delivery location deliverable condition of contract market changes to such rules as required to at contract price and from all other designation, boards of trade are required effect the following: i. retaining the Toledo, Ohio locations at a premium over contract to: price of 150 percent of the difference switching district as a delivery location; Permit the delivery of any commodity, on ii. retaining St. Louis-East St. Louis- between the Waterways Freight Bureau contracts of sale thereof for future delivery, Tariff No. 7 rate applicable to that Alton as a delivery location for shipping of such grade or grades, at such point or stations; and location and the rate applicable to points and at such quality and locational Chicago, Illinois, with Chicago at iii. making soybeans from the Toledo price differentials as will tend to prevent or delivery location deliverable at contract contract price. diminish price manipulation, market The Commission changes and congestion, or the abnormal movement of price and making soybeans from supplements the CBT proposal for its such commodity in interstate commerce. If shipping locations within the St. Louis- corn futures contracts by making corn the Commission after investigation finds that East St. Louis-Alton and the northern from shipping locations on the northern the rules and regulations adopted by a Illinois River delivery locations Illinois River deliverable at a premium contract market permitting delivery of any deliverable at a premium over contract commodity on contracts of sale thereof for over contract price of 150 percent of the price of 150 percent of the difference future delivery, do not accomplish the between the Waterways Freight Bureau difference between the Waterways objectives of this subsection, then the Freight Bureau Tariff No. 7 rate Tariff No. 7 rate applicable to that Commission shall notify the contract market location and the rate applicable to applicable to that location and the rate of its finding and afford the contract market Chicago, Illinois, with Chicago at applicable to Chicago, Illinois, with an opportunity to make appropriate changes in such rules and regulations. If the contact contract price; Chicago at contract price. With respect (2) changes and supplements under to both the CBT corn and soybean market within seventy-five days fails to make the changes which in the opinion of the section 5a(a)(10) of the Act the proposed futures contracts, the Commission also delivery specifications of CBT’s corn is ordering that the proposed CBT Commission are necessary to accomplish the objectives of this subsection, then the futures contract by making all changes contingency plan for alternative Commission after granting the contract to such rules as required to make corn delivery procedures when traffic on the market an opportunity to be heard, may from shipping locations on the northern northern Illinois River is obstructed be change or supplement such rules and Illinois River deliverable at a premium changed and supplemented and is regulations of the contract market to achieve over contract price of 150 percent of the ordering that the $40 million minimum the above objectives * * *. difference between the Waterways net worth eligibility requirement for The Commission, on November 7, Freight Bureau Tariff No. 7 rate issuers of shipping certificates be 1997, issued an Order under section applicable to that location and the rate eliminated. Finally, the Commission is 5a(a)(10) of the Act to change and to applicable to Chicago, Illinois, with disapproving the proposed terms for the supplement the delivery specifications Chicago at contract price; March, July and December 1999 corn proposed by the CBT for its corn and (3) changes and supplements under futures contracts and the January, July soybean futures contracts. That proposal section 5a(a)(10) of the Act the proposed and November 1999 soybean futures was submitted in response to prior CBT contingency plan for alternative contracts. Such contract months and Commission notification to the CBT that delivery when river traffic is obstructed any other 1999 contract months are its futures contracts for corn and by reducing the continuous period of hereby authorized to trade under the soybeans no longer were in compliance such an obstruction which triggers existing contract terms. The terms of the with the requirements of section application of the plan’s special corn and soybean futures contracts 5a(a)(10) of the Act. The text of the procedures from the 45 days proposed proposed by the CBT as changed and Order is set forth below. to 15 days, by eliminating the condition supplemented herein will apply In the Matter of the Section 5a(a)(10) which triggers the contingency plan that beginning with the January 2000 notice of the obstruction must have been soybean futures contract and the March Notification to the Board of Trade of the City of Chicago Dated December 19, 1996, given six-months prior to such an 2000 corn futures contract. Regarding Delivery Point Specifications of obstruction, by making the contingency The Commission has determined that the Corn and Soybean Futures Contracts plan applicable whenever a majority of publication of the Order is in the public Dated: November 7, 1997. shipping stations within the northern interest, will provide the public with Illinois River delivery area is affected by notice of its action, and is consistent Order of the Commodity Futures Trading Commission to Change and to Supplement an obstruction and by changing the with the purposes of the Commodity Proposed Rules of the Board of Trade of the differential from 100 percent of the Exchange Act. City of Chicago Submitted for Commission Waterways Freight Bureau Tariff No. 7 DATES: This Order became effective on Approval in Response to a Section 5a(a)(10) rate as proposed to 150 percent; November 7, 1997. Notice Relating to Futures Contracts in Corn (4) changes and supplements under ADDRESSES: Commodity Futures Trading and Soybeans. sections 5a(a)(10) and 15 of the Act the Commission, Three Lafayette Centre, The Commodity Futures Trading proposed CBT corn and soybean futures 1155 21st Street, N.W., Washington, Commission (CFTC or Commission) contracts by eliminating the $40 million D.C. 20581. hereby orders changes and supplements minimum net worth eligibility FOR FURTHER INFORMATION CONTACT: John to the Board of Trade of the City of requirement for issuers of shipping Mielke, Acting Director, or Paul M. Chicago (CBT) proposed rules relating to certificates; Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60833

(5) disapproves under sections supplies historically has failed to reach delivery points, as section 5a(a)(10) of 5a(a)(10), 5a(a)(12), and 15 of the Act an adequate level on a significant the Act requires. In addition to tending and Commission rule 1.41(b) CBT’s number of occasions during the past 11 to reduce deliverable supplies, the lack proposed terms for the March, July, and years which the Commission has of locational price differentials December 1999 corn futures contracts examined. Moreover, on those occasions reflecting the differentials in the and the January, July, and November when the gross amount of potentially underlying cash markets for corn and 1999 soybean futures contracts. Such deliverable supplies did reach that soybeans would render the futures contract months and any other 1999 level, it frequently did so only because contracts susceptible to price contract months are hereby authorized of supplies available at the Chicago/ manipulation, market congestion, and to trade under the existing contract Burns Harbor (Chicago) delivery point, the abnormal movement of the terms or, if the CBT so elects, under the the continuing decline of which commodities in interstate commerce.1 contract terms proposed by the CBT as precipitated the section 5a(a)(10) In addition, the proposed contingency changed and supplemented by this notification in the first instance. This plan providing for alternative delivery Order; inadequacy is further demonstrated procedures when river traffic is (6) orders that the terms of the corn when required downward adjustments obstructed does not meet the objectives and soybean futures contracts proposed are made to reflect only that portion of of section 5a(a)(10). By requiring by the CBT as changed and gross deliverable supplies which would lengthy advance notice of a river traffic supplemented by this Order shall apply likely be available for futures deliveries. obstruction before the contingency plan to contract months beginning with and Thus, gross deliverable supplies would applies, by limiting the contingency subsequent to the January 2000 soybean be diminished by the effects of the plan only to instances of river traffic futures contract month and the March proposed three-day barge queuing rule, obstructions south of the delivery area, 2000 corn futures contract month, prior commercial commitments of by limiting the relevant river traffic whenever such contract months are available stocks, the lack of locational obstructions to lock closures, by listed for trading. price differentials, and the unjustifiably requiring unduly lengthy obstructions, Nothing in this Order precludes the high financial eligibility requirements. and by specifying a differential that CBT from submitting for Commission The frequent interruptions in barge does not conform to the locational review and approval under sections transportation on the northern Illinois differentials found to be appropriate by 5a(a)(10) and 5a(a)(12) of the Act any River due to lock closings and weather the Commission, the CBT’s proposed alternative proposed delivery conditions also create foreseeable plan fails to diminish the potential for specifications for its corn or soybean disruptions to deliverable supplies price manipulation, market congestion, futures contracts. under the CBT proposal. The or the abnormal movement of the The Commission, as discussed below, inadequacy of deliverable supplies of commodities in interstate commerce bases these actions on its finding that soybeans under the CBT proposal arising from foreseeable river traffic the CBT proposal in response to the requires the retention of the CBT’s obstructions. Commission’s section 5a(a)(10) current delivery points at Toledo and St. Finally, in addition to its likely notification relating to the CBT’s corn Louis, where additional deliverable detrimental effect on the amount of and soybean futures contracts does not supplies would be available. available deliverable supplies on the meet the requirements, or accomplish The Commission does not find that contracts, the proposed $40 million net the statutory objectives, of that section available deliverable supplies of corn worth eligibility requirement for issuers and also violates sections 8a(7) and 15 under the CBT’s proposal are so of shipping certificates poses a of the Act. The Commission’s inadequate under section 5a(a)(10) as to significant, unnecessary, and unjustified determination is based upon: (1) the require additional delivery points. barrier to entry to those wishing to inadequate amount of deliverable However, changes and supplements to participate as issuers of shipping supplies of soybeans available under the other aspects of the CBT’s proposal as certificates on the contracts in violation proposed contract terms in the delivery to its corn contracts are required to meet of section 15 of the Act. This proposed area as proposed by the CBT; (2) the the objectives of section 5a(a)(10), as $40 million net worth requirement is in failure of the CBT’s proposed corn and discussed below. Moreover, the addition to other minimum financial soybean contracts to include required adequacy of corn supplies cannot be requirements that shipping certificate locational differentials; (3) the failure of accurately and fully ascertained until issuers must meet, including minimum the CBT’s proposed corn and soybean after there is a history of deliveries working capital of $2 million, a bond or contracts to provide an adequate rule for occurring under the CBT’s proposal, as alternative deliveries if river other financial guarantee equal to the changed and supplemented by this full market value of all outstanding transportation is obstructed; and (4) the Order. If in operation the proposal substantial impediment to eligibility for shipping certificates, and a limitation on results in inadequate deliverable the value of outstanding certificates an issuing corn and soybean shipping supplies of corn, the Commission will issuer may issue to 25 percent of the certificates imposed by the CBT’s reconsider the need to require issuer’s net worth. These requirements proposed $40 million net worth additional delivery points for the corn are fully adequate to ensure the requirement. contract. To that end, the Commission financial ability of issuers to perform Specifically, under the CBT proposal, directs the CBT to report on the their responsibilities under the the amount of deliverable supplies of experience with deliveries and contracts. The burden imposed by the soybeans during the critical summer expiration performance in the corn delivery months of July, August, and futures contract on an annual basis for 1 The lack of locational price differentials not September fails to meet the level that, in a five-year period after contract only violates section 5a(a)(10) of the Act, but also the opinion of the Commission, is expirations begin under the revised is contrary to Commission Guideline No. 1 and the necessary to tend to prevent or diminish contract terms. Commission’s policy on differentials. See, CFTC price manipulation, market congestion, Neither the CBT proposal for Guideline No. 1, 17 CFR part 5, appendix A; and Memorandum from Mark Powers, Chief Economist or the abnormal movement of soybeans soybeans nor its proposal for corn to the Commission, dated March 22, 1977, adopted in interstate commerce. The gross provides for locational price by the Commission at its meeting of May 3, 1977 amount of potentially deliverable differentials among spatially separated (Powers Memorandum). 60834 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices additional $40 million net worth 1 to the proposed order because they are consistency between the cash market for requirement on those otherwise eligible surplusage. these commodities and the delivery to participate in the contract as shipping In addition, as explained in greater provisions of the contracts. Id. at 68000– certificate issuers would not only be detail below, the Commission has 68004. unnecessary, but would act as a determined to authorize for trading the The section 5a(a)(10) notification also significant barrier to participation as an 1999 contract months in the CBT’s corn recounted the CBT’s failure over the last issuer and would create and tend to and soybean futures contracts under the 25 years adequately to address these preserve a high level of concentration current terms of those contracts, while structural problems with the contracts. among issuers. disapproving the CBT’s proposed terms As noted in the section 5a(a)(10) The Commission’s conclusions, as for those contracts. In doing so, the notification, section 5a(a)(10) was itself discussed in greater detail below, are Commission is responding to many expressly added to the Act in 1974 after supported by factual analyses made by commenters who requested that the a number of apparent manipulations the CFTC staff and by a large number of Commission authorize the listing of and problem liquidations involving the well-informed written comments these trading months in order to permit CBT grain contracts. Id. at 68005. In July submitted to the Commission by trading without delays or interruption. 1989 an emergency action was required commercial users of the corn and The Commission recognizes the urgent relating to CBT’s soybean contract soybean futures contracts and by other need to have certainty with respect to because of a commercial trader’s interested persons both prior to and in the terms of those contracts and the holding of futures positions which response to the Commission’s issuance legality of their listing. substantially exceeded the total amount of the proposed order. The Commission This action by the Commission of soybeans that could be delivered at also analyzed the documentary evidence permits the continuation of trading in the contract’s delivery points. By 1991 submitted by the CBT and other the corn and soybean contracts under several major studies had been commenters in support of the CBT the current terms, which are familiar to completed demonstrating the proposal. In addition, the CBT and other the CBT, its members, and the inadequacy of the CBT’s delivery points. agricultural users of these contracts, interested members of the public Nevertheless, the CBT’s response to until contract months for the year 2000, presented oral and written comments to these problems was limited. Id. at which would be governed by the new the Commission during an open meeting 68006. As the Commission noted in the terms of the contracts as contained in of the Commission prior to its issuance section 5a(a)(10) notification, when the this Order. In the interim the CBT will of the proposed order. The CBT was also Commission approved certain changes continue to be free to propose revisions heard by the Commission at a public proposed by the CBT to address these of the new terms to the Commission for hearing convened subsequent to problems in 1992, it cautioned that the its consideration under sections issuance of the proposed order. The CBT’s response was merely a short-term 5a(a)(10) and 5a(a)(12) or to submit a written and oral comments of the CBT palliative and urged the CBT actively to petition to the Commission to consider more significant contract received in connection with that reconsider or to amend this Order. If the hearing, along with comments filed by CBT believes that an alternative to the changes. Id. at 68007. the public on the proposed order and new terms and to its original proposal Only three years later, three of the written exceptions filed by the CBT, would better serve its business interests existing six Chicago warehouses regular were reviewed by the Commission and and would also meet the statutory for delivery under the futures contracts were considered by it in arriving at its requirements, the CBT should submit ceased operations, a symptom of the conclusions and in adopting this final such a proposed rule revision or serious, fundamental problems with the Order. petition. contracts’ delivery specifications. At the The CBT and a number of urging of the Commission, the CBT commenters raised objections to the I. The Section 5a(a)(10) Proceeding formed a special task force to address Commission’s proposed order. In The Commission, by letter dated the delivery problems. That task force response to some of these points, the December 19, 1996, commenced this spent a year developing proposed Commission has made a number of proceeding by issuing to the CBT a changes to the contracts’ specifications changes from the order as proposed in notification under section 5a(a)(10) of which were modified by the CBT’s adopting this Order as final. These the Act finding that the delivery board of directors. The modified changes include revisions to the specifications of its corn and soybean proposal was then defeated by a vote of calculation of some of the data in the futures contracts no longer accomplish the CBT membership on October 17, Order. These revisions were made in the statutory objectives of ‘‘permit[ting] 1996. response to suggestions and questions the delivery of any commodity * * * at Subsequently, after an additional raised by the CBT at its hearing and in such point or points and at such quality Chicago delivery warehouse stopped its various filings and in informal and locational price differentials as will accepting soybeans and corn in late discussions with the CBT staff. They tend to prevent or diminish price October 1996, the Commission formally reflect corrections of calculations and of manipulation, market congestion, or the commenced this proceeding under the formatting of certain data submitted abnormal movement of such commodity section 5a(a)(10) of the Act on December to the Commission by the CBT. In in interstate commerce.’’ Letter of 19, 1996. The section 5a(a)(10) addition, at the suggestion of the CBT in December 19, 1996, to Patrick Arbor notification found that the CBT corn its oral and written statements filed at from the Commission, 61 FR 67998 and soybean futures contracts no longer the hearing and in its written exceptions (December 26, 1996) (section 5a(a)(10) met the requirements of that section of filed thereafter, the Commission has notification). The section 5a(a)(10) the Act and notified the CBT that it had modified its estimate of September corn notification detailed long-term trends in until March 4, 1997, the statutory period and soybean production. the storage, transportation and of 75 days, to submit for Commission The final Order clarifies two processing of corn and soybeans, related approval proposed amendments to the provisions in attachment 1 by deleting those trends to changes in cash market contracts’ delivery specifications to several references to ‘‘warehouse conditions at the CBT delivery bring them into compliance with the receipts’’ which appeared in attachment locations, and analyzed the lack of Act. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60835

The CBT, on April 16, 1997, Commission granted the CBT’s request 1997, at which the CBT was afforded the submitted its response to the section (62 F.R. 29107 (May 29, 1997)), holding opportunity mandated under section 5a(a)(10) notification in the form of a public meeting on June 12, 1997, to 5a(a)(10) of the Act to appear before the proposed exchange rule amendments.2 accept oral and written statements by Commission and to be heard. In Previously, the Commission had the CBT and interested members of the addition to its oral presentations, the published the substance of the CBT’s public. The participants represented a CBT submitted written statements and proposed amendments in the Federal cross-section of views, both favoring documentary evidence. A transcript of Register for a 15-day comment period.3 and opposing the CBT proposal. 6 the hearing and all attendant written 62 FR 12156 (March 14, 1997). In On September 15, 1997, the statements and documents have been response to requests for additional time Commission issued a proposed order, included in the public comment file of to comment on the proposal, the publishing its text in the Federal this proceeding. 9 The CBT was also Commission on April 24, 1997, Register with a request for public provided with an opportunity to file extended the comment period until June comment. 7 62 FR 49474 (September 22, exceptions to the proposed order by 16, 1997. 62 FR 1992. 4 1997). It should be noted that problems October 22, 1997, and the CBT did so. The CBT requested the opportunity to under the current corn and soybean II. The CBT Proposal Responding to the appear before the Commission ‘‘to contracts have continued to the present. Section 5a(a)(10) Notification address issues that have been generated For example, the September 1997 during the comment period.’’ 5 The soybean contract experienced In correspondence dated April 16, significant price distortions during 1997, the CBT responded to the section 2 While the CBT labeled its submission of the September apparently due in part to 5a(a)(10) notification by submitting proposed rule amendments as having been made shortness of available deliverable proposed amendments to the terms and pursuant to section 5a(a)(12) of the Act as well as conditions of its corn and soybean section 5a(a)(10), the Commission is applying its supplies. authority and procedures set forth in section The comment period on the proposed futures contracts for Commission 5a(a)(10) with regard to its consideration of the order expired on October 22, 1997. Over review. The data submitted by the CBT CBT’s submission. 230 commenters submitted comments to to justify its proposal were inadequate Section 5a(a)(12) of the Act provides that ‘‘the the Commission on the proposed to permit a determination of whether Commission shall disapprove after appropriate 8 the proposal met the requirements of notice and opportunity for hearing any such order. In addition, the Commission [exchange] rule which the Commission determines held a public hearing on October 15, section 5a(a)(10) of the Act and at any time to be in violation of the provisions of contained certain flaws.10 Therefore, the this Act or the regulations of the Commission.’’ In data which were important supplements to the Commission was required addition, section 8a(7) of the Act empowers the information provided by the CBT in its submission. independently to collect and to analyze Commission to alter or to supplement exchange 6 Written statements in connection with the the data necessary for a proper analysis rules as necessary or appropriate ‘‘to insure fair meeting were submitted to the Commission for dealing in commodities traded for future delivery inclusion in the record and, along with a transcript of the CBT’s proposal. The CBT on such contract market.’’ Such changes or of the meeting, have been entered into the supplemented its original submission alterations may address contract terms or Commission’s comment file. Participants included on more than one occasion—most conditions, among other matters. a United States Senator, a United States recently on August 25, 1997. It also The Commission is exercising its authority under Representative and a state government section 5a(a)(10) of the Act to change and to representative from the state of Ohio, (transcript at modified and supplemented its analysis supplement the CBT proposal. Nevertheless, the 69–75, 29–35, 19–26); a United States supporting its proposal during the Commission, for the reasons discussed in this Representative and a state government meeting of June 12, 1997, during the Order, necessarily also finds that the CBT proposal representative from the state of Michigan, hearing of October 15, 1997, and in its must be disapproved under section 5a(a)(12) of the (transcript at 9–14, 14–19); representatives of six Act as being inconsistent with the requirements of commercial users of the contracts (transcript at various written submissions and sections 5a(a)(10), 8a(7) and 15 of the Act and must 116–168); and representatives of three producer comments. be altered and supplemented under section 8a(7) of associations (transcript at 169–183). The CBT The CBT’s proposal would replace the the Act. presented its views through the statements of six existing delivery system involving 3 On March 4, 1997, the CBT notified the persons (transcript at 27–29, 36–69). Commission that its Board had authorized the 7 Subsequently, the Commission also published delivery of warehouse receipts submission of the proposed amendments to the CBT for public comment notice that it was proposing to representing stocks of grain stored at membership for a formal vote. On April 15, 1997, disapprove application of the terms proposed by the terminal elevators in Chicago, Toledo, the CBT membership voted in favor of the proposed CBT to the January 1999 soybean futures contract and St. Louis with delivery of shipping amendments, and the CBT formally submitted them and the March 1999 corn futures contract. 62 FR 11 for Commission review the next day. 5108 (September 30, 1997). The CBT purportedly certificates. A shipping certificate 4 Also on April 24, 1997, the CBT informed the listed those futures contracts for trading after Commission by letter that it would the next day list, issuance of the September 15, 1997, proposed order. 9 Testimony given by CBT spokespersons during or relist, for trading the July and December 1999 The comment period on that notice also ended on the October 15, 1997, public hearing, as reflected corn futures contract months and the July and October 22, 1997. in the hearing transcript, is cited hereinafter by November 1999 soybean futures contract months. 8 Comments were received by the Commission using the abbreviation ‘‘tr.’’ followed by the By letter dated May 2, 1997, the Commission offering a wide range of opinion. Many took issue relevant page number(s). Citations to the CBT letter notified the CBT that the listing or relisting of these with the philosophy underlying the section of exceptions dated October 22, 1997, use the contract months ‘‘is not legally authorized at the 5a(a)(10) statutory authority which permits the abbreviation ‘‘October 22, 1997 exceptions’’ present time,’’ that the Commission ‘‘reserves all of Commission to order an exchange to change or to followed by the relevant page number(s). its authority under sections 5a(a)(10), 5a(a)(12) and supplement contract terms that in its opinion do 10 In this regard, the Act, Guideline No. 1, and 8a(7) of the Act to approve, disapprove, not accomplish the objectives of providing for Commission rule 1.41 provide that an exchange supplement, or modify the proposed delivery delivery at such point or points and at such price must demonstrate that its proposed rule specifications of the CBT corn and soybeans futures differentials as will tend to prevent or to diminish amendments meet the requirements of the law. contract and to apply that determination to the[se] price manipulation, market congestion, or the When exchange submissions fail to provide . . . trading months,’’ and that the CBT ‘‘must notify abnormal movement of such commodity in sufficient information to permit the Commission to all market participants that the Commission has not interstate commerce. Others took issue with the make a determination, the Commission can refuse approved the listing of these contract months.’’ Commission’s proposed order for not going far to consider a proposed amendment and can remit 5 The Commission received almost 700 comments enough, particularly with respect to its failure to the proposed rule for further justification. See, 17 on the CBT’s proposal, the largest number of order the retention of Toledo and St. Louis as CFR 1.41(b). However, in this case the Commission comments ever received by the Commission on any delivery points for the CBT corn contract. As chose to supplement the CBT submission with its issue before it. The vast majority of the comments discussed above, the Commission has considered own research and to act on the CBT proposal. were opposed to the CBT proposal for a variety of carefully all of the comments submitted and has 11 A shipping certificate is a negotiable reasons. Many of the comments were well reasoned made several changes or modifications to the final instrument that represents a commitment by the and contained valuable factual information and Order in response to them. Continued 60836 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices would provide for corn or soybeans to other agricultural futures contracts and begin loading product within three be loaded into a barge at one of the would be in addition to the CBT’s business days of surrender and receipt shipping stations located along a 153- existing requirement of $2 million of loading orders or one business day mile segment of the Illinois River from working capital required of firms regular after placement of the certificate Chicago (including Burns Harbor, for delivery under all of its futures holder’s barge, whichever were later. Indiana) to Pekin, Illinois. (See map contracts for agricultural products. The This loading would be required to take below.) Delivery in Chicago would also CBT proposal also would require the precedence over all other barge loadings be permitted by rail or vessel. Delivery issuer to have a letter of credit or other for eight hours per day at the issuer’s at all eligible locations would be at par. guaranteed credit instrument loading facility. The CBT’s proposal would eliminate the collateralizing the full market value of Shipping certificate holders would be current delivery points on its corn and the issued certificates and would required to pay shipping certificate soybean futures contracts at Toledo, establish limits on the amount of issuers a daily premium charge until the Ohio, and St. Louis, Missouri. outstanding shipping certificates issued certificate were surrendered. 13 The last In addition to having a shipping by an issuer. These limitations would trading day for expiring corn and station located along the specified be: (a) for northern Illinois River soybean futures months would be the segment of the Illinois River capable of locations, 30 times the registered daily business day preceding the 15th loading barges, firms eligible to issue barge loading rate of each shipping calendar day of the delivery month, shipping certificates would be required station; (b) a value no greater than 25% with all deliveries of shipping to meet a minimum net worth standard of the issuer’s net worth; and (c) for certificates required to be completed by of $40 million. This minimum net worth Chicago locations only, the registered the second business day following the standard is not applicable to the CBT’s storage capacity of the facility. last trading day. (Currently, the last In addition, the proposal would trading day is the eighth-to-last business issuer to deliver (e.g., load into a barge) corn or impose requirements regarding an day of the delivery month, with futures soybeans to the certificate holder, pursuant to terms issuer’s rate of loading barges. 12 Once a specified by the CBT, whenever the holder decides delivery of warehouse receipts shipping certificate was surrendered to to surrender the certificate to the issuer. Unlike an continuing through the end of the the issuer, the issuer would have to issuer of a corn or soybean warehouse receipt, month.) which must have the product in storage to back the receipt, an issuer of a shipping certificate would be 12 The issuer’s registered daily rate of loading BILLING CODE 6351±01±P able to honor its delivery obligation not only from would be not less than (a) for northern Illinois River inventories, but also from anticipated receipts or locations, one barge per day per shipping station 13 This charge would be 12/100 of one cent per purchases of corn or soybeans after the holder and (b) for Chicago locations, three barges per day bushel for Chicago and 10/100 of one cent per surrenders the certificate. per shipping station. bushel for issuers along the northern Illinois River. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60837

BILLING CODE 6351±01±P 60838 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

III. Deliverable Supplies of Soybeans expected to be available to the short particularly when traders hold large Are Inadequate Under Section 5a(a)(10) trader and saleable by the long trader at positions.15 their market value in normal cash For soybeans, the Commission’s staff A. The Standard for Measuring market channels.14 analysis demonstrated a positive Adequacy of Deliverable Supplies Judging the adequacy of deliverable relationship between price inverses and Pursuant to section 5a(a)(10), the supply in the context of a section deliverable supplies of less than 12 Commission must assess whether the 5a(a)(10) proceeding is more important million bushels (2,400 contracts). Price CBT proposal meets the standard set by than and significantly different from inversions occurred in 12 of the 17 that section to ‘‘permit the delivery determining adequacy in the routine expirations of the CBT’s soybean futures ** * at such point or points and at review of applications for new contract contracts when deliverable supplies such * * * locational price differentials market designations. This section were less than 12 million bushels or as will tend to prevent or diminish price 5a(a)(10) proceeding involves contracts 2,400 contracts. Furthermore, such manipulation, market congestion, or the that are known to have very large and inversions occurred in 10 of the 11 such abnormal movement of such commodity well-established markets, a history of expirations when a trader’s position in interstate commerce.’’ exceeded 600 contracts, a relatively One criterion for whether a delivery large trader positions, and a decades- long history of surveillance problems. common occurrence in the soybean proposal meets the standards of section futures market. In contrast, when 5a(a)(10) is whether the available Indeed, the Commission has already made an affirmative finding that the deliverable supplies exceeded 2,400 deliverable supplies of the commodity contracts, regardless of the size of large at the delivery points specified are delivery provisions of the current contracts do not meet the standards of traders’ positions, there was only a adequate to tend to prevent or to single instance of price inversion. The diminish price manipulation, market section 5a(a)(10) of the Act, and the Commission must decide whether the 2,400-contract level of deliverable congestion, and the abnormal movement supplies constitutes four times the of the commodity in interstate CBT’s proposal goes far enough to cure that failure. speculative position limit for the commerce. As discussed below, other contract, a benchmark historically used To determine an appropriate standard aspects of a proposed futures contract by the Commission’s staff in analyzing for measuring the adequacy of may violate section 5a(a)(10) by tending the adequacy of deliverable supplies for deliverable supplies under the CBT to cause the prohibited results, but new contracts. adequate deliverable supplies are a sine proposal, the Commission has examined The analysis for the corn market qua non for any contract under section separately for corn and soybeans the found a comparable relationship 5a(a)(10). relationship between the level of between price inverses and deliverable The Commission believes that, to deliverable stocks and the presence of a supplies at the level of 15 million meet the statutory requirement of price premium for the expiring futures bushels or 3,000 contracts. Price tending to prevent or to diminish price month over the next futures month (a inverses occurred in seven of the ten manipulation, market congestion, or the price inverse). The presence of such a corn expirations when deliverable abnormal movement of a commodity in premium is an indication of tight supplies were less than 3,000 interstate commerce, a futures contract deliverable supplies, potentially contracts.16 This analysis supports using should have a deliverable supply that, creating a price distortion. In situations as a measure of an inadequate level of for all delivery months on the contract, where limited supplies lead to such a deliverable supplies under section is sufficiently large and available to price inverse, futures contracts are 5a(a)(10) a level below 2,400 contracts market participants that futures significantly vulnerable to price for soybeans and a level below 3,000 deliveries, or the credible threat thereof, manipulation, market congestion, and can assure an appropriate convergence contracts for corn. the abnormal movement of the However, the history of these of cash and futures prices. To prevent commodity in interstate commerce contracts demonstrates that a higher unwarranted distortion of futures prices under the terms of section 5a(a)(10), level of deliverable supplies may, in in relation to the cash market, the fact, be necessary to protect against futures contract’s delivery terms must 14 This Commission standard addresses concerns price manipulation. Therefore, the reflect a product—in quality, form, over manipulation from both the long and short Commission also has decided to location, mode of transportation, etc.— side. Availability of adequate deliverable supplies consider an additional measure based that is readily saleable in the cash tends to prevent price manipulation by the longs on a futures contract by ensuring that the shorts on the on historic experience with market. futures contract can obtain the commodity to make Commission Guideline No. 1 (17 CFR manipulation and price distortion in delivery on the futures contract without artificial these contracts. During the July 1989 part 5, appendix A) provides some constraints at a price reflecting fundamental guidance with respect to the adequacy demand and supply conditions in the cash market. soybean futures contract expiration, the The ready saleability in the cash market of the Commission exercised its surveillance of the delivery terms of a futures commodity received through delivery on the futures contract. Guideline No. 1 requires that powers to force the reduction of the long contract by contract longs tends to prevent price futures position of the Ferruzzi group of exchanges provide justification manipulation by the shorts on the futures contract. concerning significant contract terms— The Commission has considered both short-side and long-side manipulations in making its 15 Of course, price inverses in futures contracts particularly delivery provisions—for determinations in this Order. can occur as a normal result of short supplies in the new or amended futures contracts. This The CBT has attempted to justify its proposal by cash market and can thus accurately reflect the cash justification should provide evidence arguing that restricting available deliverable market. However, when the available deliverable that the proposed contract terms and supplies through contract delivery terms is an supplies under a futures contract have been so appropriate method of reducing the likelihood of limited by the contract terms as to create such a conditions are in conformity with short-side price manipulation. The Commission shortage artificially, then the resultant practices in the underlying cash market, disagrees with this argument. Such restrictions in susceptibility to price manipulation and price that those terms and conditions will supplies render a contract highly vulnerable to distortion are exactly the results forbidden by provide for deliverable supplies that price manipulation by the longs and are section 5a(a)(10). The CBT proposal’s contract terms unnecessary if the contract is designed so as to would cause such a limitation in available will not be conducive to price permit the saleability of the commodity received by deliverable supplies, as discussed below. manipulation or distortion, and that the takers of delivery at the normal cash market 16 In all seven expirations the largest long position such supplies reasonably can be price. exceeded 600 contracts. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60839 companies, and the CBT declared a must be based on historical barge submission, attachment 4.) However, market emergency and ordered the shipment data. Such data are the best the CBT’s reliance on the loading phased reduction of all positions above measure of that portion of the stocks in capacity of firms in the delivery area as a specified size. Both the Commission the vicinity of the northern Illinois an indicator of adequacy of deliverable and the CBT believed that the position River delivery points which is supplies is misplaced. As the unused of the Ferruzzi group posed a significant realistically available for delivery onto delivery capacity in Chicago clearly threat of manipulation and acted on that barges on the river as required by the demonstrates, delivery capacity bears belief.17 Just prior to the CBT emergency CBT proposal.18 little relation to the amount of action, Ferruzzi’s long position in the To rely on additional supplies deliverable supplies actually available July 1989 soybean future was about 20 destined for domestic processing and at a particular location. The CBT’s million bushels or 4,000 contracts. To other uses would be to assume that the loading capacity measure, which is avoid a repetition of such a situation, futures contract would divert those based on its proposed maximum limits deliverable supplies of at least 4,000 supplies to the export market which on the shipping station’s ability to issue contracts would be necessary. barge delivery largely constitutes, thus shipping certificates (30 times a In its analysis of the adequacy of the causing an abnormal movement in station’s 8-hour loading capacity), far deliverable supplies under the CBT interstate commerce forbidden by exceeds the highest observed level of proposal, the Commission has section 5a(a)(10). The CBT has actual combined monthly corn and considered both of these measures, as suggested that an appropriate measure soybean barge shipments at the delivery well as other relevant information. of deliverable supplies is the amount of points during the 11-year period commodity that would be made studied, 1986 through 1996. B. The CBT Submission Does Not available for futures deliveries in Moreover, the CBT overstated the Demonstrate That Its Proposal Meets the response to price increases on the loading capacity related to the contracts Statutory Standard of Adequate futures markets resulting from by including the capacity of three firms Deliverable Supplies manipulation attempts and other that would not meet the CBT’s proposed The CBT has failed to provide data causes—its ‘‘elasticity of supply’’ $40 million minimum net worth that demonstrates the adequacy of argument. CBT October 22, 1997 requirement to qualify as shipping available deliverable supplies under its exceptions at p. 19. However, diversions certificate issuers under the contracts. In proposal. It supports its proposal by of a commodity from its normal doing so, the CBT also significantly general statements about production movement and uses in the cash market understated the level of concentration of and transactions in the cash markets in in response to rising prices on futures the proposed delivery system and the vicinity of the delivery area, markets which are not reflective of price ignored the exclusionary effect of its $40 contending, for example, that its increases in the cash market are million net worth requirement. proposed delivery area precisely the prohibited effects which The CBT, in its initial submission, ** * is located along more than 150 miles section 5a(a)(10) seeks to prevent. also provided inflated data on barge of the northern Illinois River, which is one The CBT also argued that deliverable shipments. These data significantly of the world’s largest and most active cash supplies are adequate based on the overstated the amount of barge grain markets, handling over 500 million delivery capacity of firms along the shipments by including shipments from bushels of corn and soybeans per year. It river. The CBT states that there are part of the Illinois River outside of the substantially increases the supply of grain seven firms with a cumulative daily CBT’s proposed delivery area of the eligible for delivery on our futures contracts barge loading capacity of 5.5 million contracts. The CBT’s data also included over the current delivery system, thereby bushels of grain and a 30-day loading barge shipments by all shippers, minimizing the potential for price distortions including three shippers not meeting and manipulation. capacity of 171.8 million bushels of grain.19 (CBT April 16, 1997, the eligibility requirements to be issuers CBT July 1, 1997, submission, p. 2–2. of certificates under the contracts, and Data concerning total corn and 18 At the October 15, 1997 hearing (tr. at pp. 34– thus overstated the deliverable supplies soybean production and handling in the 35) and in its October 22, 1997 exceptions at pp. available in that respect as well. areas near the delivery points are not an 29–30, the CBT introduced new arguments relating adequate measure of deliverable to corn and soybean stocks based upon data C. The CBT Proposal Fails to Provide supplies under the proposed contracts provided to the CBT by the Commission. Those data Adequate Deliverable Supplies For consisted of a survey of data for one year estimating Soybeans in light of the CBT proposal’s heavy September stocks within the vicinity of the reliance on barge delivery along the northern Illinois River and extrapolations from that 1. Methodology northern Illinois River, which involves data for additional years. The Commission placed The Commission staff compiled an product primarily destined for the little weight on these data not only because they rely upon only one year’s actual observation, but extensive amount of data from which export market. Most production and more importantly because they provide no guidance the Commission could estimate handling of corn and soybeans in the in determining the proportion of such stocks which deliverable supplies. These data were vicinity of the proposed delivery points form part of the proposed contracts’ deliverable assembled from information supplied by historically have involved product supplies. The CBT argued that all stocks of soybeans within the United States Department of destined for the domestic market, and twenty-five miles (or more) of the northern Illinois Agriculture (USDA), the U.S. Army only a portion of that product has River should be included in deliverable supplies. Corps of Engineers, the Coast Guard, traditionally been loaded on barges as However, only that relatively small portion of the grain merchants, and the CBT. required in the CBT proposal. Therefore, stocks available for barge shipment is properly considered as available for delivery under the terms The CBT proposal provides for the proper measure of available supplies of the contract proposed by the CBT. Stocks delivery from Chicago by rail, vessel, destined for other uses, such as the larger domestic and barge and along the northern 17 Although this incident involved soybean processing market, cannot be considered to be futures, it was recognized to have broader available. Illinois River by barge. The contracts are implications for the CBT’s grain contracts and led 19 According to the CBT, the firms and their to a reappraisal of the adequacy of the CBT’s percentage share of loading capacity are: Archer Grain Company, six percent; American Milling delivery terms for its wheat, corn, and soybean Daniels Midland Co., 41 percent; Continental Grain Company, six percent; and Garvey International, futures contracts and to revisions of all three Company, 23 percent; Cargill, Inc., 12 percent; two percent. (CBT April 16, 1997, submission, contracts. Consolidated Grain and Barge, ten percent; Sours attachment 14.) 60840 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices essentially designed to reflect the export potentially available for delivery from futures deliveries, an abnormal market price for corn and soybeans, the proposed delivery points during movement in interstate commerce since the vast majority of corn and each delivery month.21 would occur. Therefore, such other soybeans loaded on vessels and barges Because these stocks reflect the supplies should not be considered in at Chicago and on barges along the quantity of soybeans and corn actually determining the adequacy of potentially northern Illinois River is destined for shipped via the northern Illinois River, available deliverable supplies. export markets. While Chicago rail they represent a reasonable and accurate For Chicago, potentially available shipments play some role in the historical estimate reflecting the domestic market, that role has gross deliverable supplies were quantity of these commodities that was estimated as the sum of stocks available diminished so as to be very small. potentially available to the proposed The potentially available gross at the beginning of each delivery month northern Illinois River delivery points at plus receipts of corn or soybeans during deliverable stocks along the northern prevailing cash market supply and Illinois River delivery area for each that month. Receipts were included demand conditions. While other because shipping certificates do not delivery month were estimated by supplies of corn and soybeans are in the summing barge shipments from the require the commodity to be in store at vicinity, they historically moved to the delivery point. Thus, Chicago CBT’s proposed delivery points on the other demand centers rather than northern Illinois River for that month warehouse operators potentially could moving into the flow of product via issue shipping certificates against stocks and all subsequent months of the same barge shipment down the northern crop year to and including September, in store at the beginning of a delivery Illinois River primarily destined for the month and against actual and/or which was assumed to be the end of the export market. If the CBT contracts 20 anticipated receipts of corn or soybeans crop year. Since the amount shipped under the proposed delivery terms were during a given month and in each as well. to draw these supplies from their usual succeeding month of the crop year must destinations in the domestic market to These estimates of potentially have been in transit or in storage in available gross deliverable supplies some location near the river at the 21 The amount of barge shipments for September were adjusted to reflect the effect of the beginning of the month, this summing was reduced by 50% prior to its inclusion in the CBT’s proposed minimum net worth procedure provides an estimate of the sum for earlier old crop months. This 50% requirement on the number of firms that gross corn and soybean supplies reduction is an amount suggested by trade sources would be eligible to make delivery and, to reflect the likelihood that September barge for Chicago, the proposed limits on the 20 Corn and soybeans are both harvested shipments consisted, in part, of new crop supplies beginning in mid-September or October, the start of which were not available for shipment during the number of shipping certificates that a new crop year. All deliveries of corn and soybeans old crop year. The full amount of September could be issued by those firms. The CBT throughout the year subsequent to harvest are made shipments was included, however, in determining proposal restricts eligibility of issuers of from stored supplies. These supplies are consumed September supplies. This calculation has been shipping certificates to firms meeting a over time, reaching their lowest level during the adjusted in response to the CBT’s suggestions. summer, until the next harvest replenishes the Generally, September new crop production occurs $40 million minimum net worth supply. late in the month. requirement. This eligibility Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60841 requirement would eliminate barge Through this analysis, the charts for soybean supplies attributable shipments made by ineligible firms Commission arrived at potentially to the four firms which would be among those firms which currently available gross deliverable supplies, as eligible to issue shipping certificates, operate loading facilities along the discussed below. As is also described in potentially available gross deliverable northern Illinois River delivery area and more detail below, those gross amounts supplies under the CBT proposal for likely would reduce deliverable do not constitute a basis for determining July, August, and September do not supplies originating from the proposed whether deliverable supplies under the meet an adequate level considered by northern Illinois River delivery area by CBT proposal are adequate to meet the the Commission to be required by an average of about five percent. requirements of section 5a(a)(10). section 5a(a)(10) of the Act. Specifically, However, it is possible that some Instead, those amounts are only the for July, the gross deliverable supplies portion of the supplies that normally are beginning point for an analysis of of soybeans were less than the 2,400- shipped by the firms not meeting that deliverable supplies and must be contract level in three of the 11 years eligibility requirement—although reduced because of various additional covered by the analysis, while the certainly not all those supplies—would factors limiting the available deliverable 4,000-contract level was not reached in become available for futures delivery by supplies, as discussed below. eight of the 11 years. For August, gross diversion of the supplies to the four 2. Potentially Available Gross deliverable soybean supplies fell below eligible firms. Accordingly, the Deliverable Soybean Supplies 2,400 contracts in four years, and the Commission calculated two separate 4,000-contract level was not reached in estimates of potentially available gross Delivery months under the CBT any of the 11 years. Gross deliverable deliverable supplies: one excluding proposed soybean futures contract supplies in September were less than shipments by firms not eligible to issue include July, August, and September, the 2,400-contract level in seven of the shipping certificates under the CBT’s inter alia. These months are at the end 11 years and did not reach the 4,000- proposal and the second including such of the crop year and therefore contract level on any occasion.23 As ineligible firms’ shipments. historically reflect the lowest available demonstrated in the following charts, Another adjustment was made to supplies. As shown in the following Chicago supplies played a critically reflect current capacity restraints. important role in almost all instances in the estimated supplies of corn and soybeans were Because of the recent closure of four of reduced proportionately by share of stocks. The which the 2,400-contract level was the six elevators in Chicago, prior years’ result clearly overstates potential gross deliverable reached or exceeded. supplies of corn and soybeans in Chicago because data for Chicago were adjusted to reflect BILLING CODE 6351±01±P current maximum capacity levels in that it assumes that the facilities eligible for delivery of 22 such commodities would be operating at full area. capacity, while Chicago facilities have historically 23 As shown in the charts for shipments by all operated at a fraction of capacity and continue to firms, including those firms that would be ineligible 22 The procedure to determine the amount of this do so, as shown on a chart below. The numbers in to issue certificates under the CBT proposal, the adjustment was to sum the observed stocks and the final Order are adjusted from those in the proposal improved marginally in that gross receipts of corn and soybeans in Chicago plus proposed order to reflect corrections in deliverable supplies for all firms were less than stocks of wheat. Whenever such a sum would have computation and in the CBT data on stocks of grain 2,400 contracts in six rather than seven years for exceeded current total registered storage capacity, and soybeans in Chicago. September. 60842 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60843

BILLING CODE 6351±01±C 60844 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

3. Potentially Available Gross case of corn, the potentially available level in seven of the 11 years analyzed Deliverable Corn Supplies estimated gross deliverable supplies for and were less than 4,000 contracts in The CBT’s proposed corn contract July attributable to the four eligible nine years. The gross deliverable supply would include the contract months of firms reached or exceeded the 3,000 and estimates for all existing firms differed July and September, inter alia.24 In the 4,000 contract levels in all years. only slightly from the results for the However, gross deliverable supplies of four eligible firms. 24 Unlike the soybean futures contract, there is no corn for the four eligible firms in BILLING CODE 6351±01±P August contract month listed for corn. September fell below the 3,000-contract Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60845 60846 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

BILLING CODE 6351±01±C Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60847

4. September New Crop Production usually become available in areas ESTIMATED CORN AND SOYBEAN PRO- Neither corn nor soybeans reached tributary to the northern Illinois River DUCTION LOCATED NEAR PROPOSED adequate levels of potentially available by mid October. The incentive to DELIVERY POINTS DURING SEPTEM- gross deliverable supplies for manipulate prices of the September BERÐContinued futures contracts by attempting to corner September. However, because [5,000-Bushel Contract Units] September is a transition month the remaining old crop supplies might be reduced by the potential losses that between the old crop and the new crop, Estimated September a manipulator might incur in reselling deliverable supplies estimates based Crop year production * upon barge shipments data for the shipping certificates or product September may understate September obtained through September deliveries Corn Soybeans potentially available gross deliverable at lower prices after the arrival of new crop supplies. 1990 ...... 9,305 2,491 supplies. The harvest of the new crops 1991 ...... 41,663 8,729 of corn and soybeans generally begins Nonetheless, it should be noted that a 1992 ...... 2,884 3,536 sometime in mid to late September, and significant price distortion was 1993 ...... 6,513 1,670 thus, new crop production may be experienced in connection with the 1994 ...... 13,299 10,417 available for delivery on the September expiration of the September 1997 1995 ...... 12,359 5,646 contracts. Accordingly, the Commission soybean futures contract. Under the CBT 1996 ...... 5,271 1,013 proposal, the use of shipping certificates also calculated estimates of new crop * The estimated production by September 30 production of corn and soybeans that rather than warehouse receipts to effect of each year was calculated by multiplying may have become available during the delivery might permit expanded U.S. Department of Agriculture harvesting month of September. Those estimates, deliveries of new crop production under progress estimates for the Illinois and Indiana the September contract. Rather than crop reporting districts adjacent to the revised however, are less reliable than the barge delivery points by U.S. Department of Agri- shipment data discussed above. requiring movement of new crop culture production data for counties located The following table shows estimated supplies into a warehouse at a terminal within about 25 miles of the proposed delivery September new crop production within market before delivery, as is necessary points. 25 miles (trucking distance) of the under current warehouse receipt 5. The CBT’s Objections on Gross proposed delivery points for corn and delivery, the CBT proposal would allow Deliverable Supplies soybeans derived from U.S. Department the issuance of shipping certificates for of Agriculture data submitted to the locations closer to the production area At the October 15, 1997 hearing and Commission by the CBT.25 Some portion and for up to 30 days of loading in its October 22, 1997 letter of of this new crop production might have capacity and thus would give issuers exceptions, the CBT raised various been available for delivery during more opportunity to deliver some new objections to the Commission’s September. However, the Commission crop production. Issuers might issue evaluation of potentially available gross has already assumed that half of the some shipping certificates on the basis deliverable supplies of soybeans. In September northern Illinois River that new crop supplies which were not doing so, the CBT failed to recognize shipment data shown above constitutes immediately in hand might be available that the estimate of such supplies is new crop supplies, based on discussions by the time loading was required under merely the starting point for the with trade sources. Furthermore, a the shipping certificates. Commission’s analysis of available substantial portion of the new crop The Commission considers the low deliverable supplies, which can be production historically has been level of potentially available gross arrived at only after taking into destined for uses other than barge deliverable supplies of corn, which is consideration various factors reducing shipments, such as domestic processing. limited to September, to be of less the availability of supplies, as is A significant amount of corn was regulatory concern than the low levels discussed below. Furthermore, the CBT produced during September and of such supplies of soybeans which focused solely on the 2,400 contract possibly might augment to some extent extend throughout the three summer measure for soybeans and virtually the potentially available gross months. The shortage of corn supplies is ignores the other important measure of deliverable supplies discussed above. apparently of brief duration, and the 4,000 contracts. September soybean production has expectation of abundant supplies of new The CBT objected to the generally been considerably smaller crop production of corn by October Commission’s consideration of 1987 and than September corn production. reduces the likelihood that the corn 1993 river shipment data because floods Moreover, September soybean shortage in September would lead to the and lock closings occurred during those production does not overcome the prohibited effects under section years. For example, the CBT objected inadequate potentially available gross 5a(a)(10). that the gross deliverable supplies for deliverable supplies of soybeans in July 1993 obtained from barge shipment data and August. ESTIMATED CORN AND SOYBEAN PRO- should be augmented because in that The likelihood of price manipulation DUCTION LOCATED NEAR PROPOSED year the upper Midwest experienced in September may be somewhat less DELIVERY POINTS DURING SEPTEM- severe floods. CBT October 22, 1997 than in July or August because it is a exceptions at p. 38, tr. at pp. 22–28. The transitional month between old and new BER CBT argued that the Commission should crop years. The end of the crop year [5,000-Bushel Contract Units] assume that the CBT would have generally is a period of low supplies and responded by declaring a market relatively high prices. However, the Estimated September production * emergency and requiring use of harvest of the new crop replenishes Crop year alternate delivery areas with additional supplies and frequently leads to lower Corn Soybeans deliverable supplies. However, U.S. prices. Significant new crop supplies 1986 ...... 15,218 3,109 Army Corps of Engineer data show that barge shipments continued to move 25 The table has been modified to reflect 1987 ...... 26,784 6,056 corrections to the CBT-supplied data noted by the 1988 ...... 12,955 5,749 down the Illinois River throughout this CBT at the October 15, 1997, hearing. 1989 ...... 10,169 6,143 period despite the flooding and the area 60848 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices from which the CBT argued it would large volume during the eleven years northern Illinois River delivery area have required deliveries may have studied. Shipments from any one reached or exceeded the 2,400-contract experienced even greater flooding than shipping station on the northern Illinois level in only three of the 11 years. In the regular delivery area. Whether the River at a rate as high as one barge per August and September, under the CBT CBT would have taken any action under day per month have been observed only proposal gross deliverable supplies of such circumstances and, if so, what once in July and once in September and soybeans originating from the northern action it would have taken are in the only three times in August during the Illinois River alone did not exceed the realm of pure speculation. Similarly, the entire eleven year period analyzed. 2,400-contract level on any occasion. CBT argued that the deliverable Moreover, shipments from a shipping The 4,000-contract level was not supplies for 1987 should be augmented station at a daily rate of one barge for exceeded by northern Illinois River because certain locks were closed, one month would have exceeded by five gross deliverable supplies of soybeans which arguably would have triggered times the monthly average number of under the CBT proposal in any year in the CBT’s contingency plan.26 While the barges of soybeans shipped from the July, August, or September delivery CBT’s argument does underscore the individual shipping stations during months. Thus, to the very limited extent need for an effective contingency plan July, August, and September over that that potentially available gross because of foreseeable periods of river period. deliverable supplies in the past would traffic obstruction, it does not justify Furthermore, it is extremely unlikely have reached an adequate level before ignoring historical data concerning gross that an issuer would undertake the risk consideration of necessary reductions, deliverable supplies. involved in the CBT’s hypothetical they would have done so because of The CBT also sought to bolster the scenario. An issuer would have to have supplies in Chicago. potentially available gross deliverable a very large amount of old crop supplies Cash market activity in Chicago is supplies for the August and September available to deliver until significant likely to continue its historical decline. soybean futures contracts by relying on supplies from the harvest became While the estimation procedure for new crop production. See, tr. at pp. 17– available, and the timing of the harvest 22 and October 22, 1997 exceptions at is extremely variable and difficult to gross deliverable supplies used in this pp. 29–30. As noted above, the predict. analysis tried to correct for the Commission has considered the precipitous decline of the cash market availability of some new crop 6. Necessary Reductions From Gross in Chicago by using 100 percent of the production for the September futures Deliverable Supplies current capacity as a constraint on past contract. Although the ability to issue Additional factors must be considered supplies, that method certainly shipping certificates would give issuers which necessarily reduce the above overstates the actual deliverable some flexibility to effect deliveries from estimates of potentially available gross supplies that may originate from potential new crop production during deliverable supplies. These factors Chicago in the future. Chicago elevators September, new crop production would include: (a) the CBT proposal’s reliance for many years have held stocks well not realistically be available for delivery on Chicago as a source of deliverable below their maximum capacity levels, on the August futures contract, and the supplies; (b) the CBT’s proposed three- particularly in the critical summer CBT has grossly overstated the amount day barge queuing and priority load-out months. The following chart of new crop production available for requirements; and (c) prior commercial demonstrates that significant delivery on the September futures commitments of available supplies. underutilization of the remaining contract. In addition, further reductions must capacity in Chicago is continuing It is not realistic to assume that be made from gross deliverable supplies despite the dramatic contraction in issuers would issue certificates resulting from the CBT proposal’s lack available capacity and is highly likely to representing their full 30-day capacity of locational price differentials and continue to do so in the future. Indeed, and would choose to load out at least foreseeable disruptions in barge stocks in Chicago in the recent past have one barge per day over a six-week transportation on the Illinois River. As been at less than half of capacity. Thus, period. Shipments on the northern discussed above, the CBT’s proposed Chicago supplies will most likely be Illinois River in the August-September $40 million minimum net worth reduced significantly in the future and period have never approached such a requirement for issuers of shipping would not be available in significant 27 certificates also reduces gross quantities under the CBT proposal. 26 In addition to being speculative, the CBT’s approach improperly over-counts gross deliverable deliverable supplies. These additional BILLING CODE 6351±01±P supplies during this period. The CBT apparently factors are analyzed separately in later uses as a base amount the deliverable supplies sections of this Order. 27 Moreover, there is no reason to believe, as the shown by the Commission’s analysis for those a. Reliance on Chicago. To the extent CBT argued in its October 22, 1997 exceptions at months and then adds to that base an additional that potentially available gross p. 39, that any significant amount, much less 20%, amount based on shipments for those same months deliverable supplies of soybeans in of the soybeans that previously flowed to Chicago from areas eligible for delivery under the proposed would be redirected to flow down the northern contingency rule. However, the contingency plan some years have been at or above the Illinois River on barges to the Gulf. There has not would be triggered only during such period as 2,400 and 4,000 contract levels, they been a notable increase in barge shipments from the shipment on the northern Illinois River was have generally depended on Chicago obstructed. Hence, even if the Commission were to shipping stations on the northern Illinois River accept the CBT’s assumptions, the shipments supplies to do so. For July, under the closest to Chicago during the recent closures of shown in the Commission’s analysis should not be CBT proposal gross deliverable supplies elevators in Chicago, demonstrating that such a included in the CBT’s calculation. of soybeans originating solely from the redirection has probably not occurred and is not likely in the future. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60849

BILLING CODE 6351±01±C 60850 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

b. The Three-Day Barge Queuing and equivalent market price. While a million minimum net worth eligibility Priority Load-Out Requirements. The number of commenters indicated that requirement, and to broaden the CBT proposal includes a provision much of the corn and soybeans shipped contingency plan for river disruptions, requiring a shipping certificate issuer to on the northern Illinois River is not discussed below, will have the effect of begin loading onto the certificate irrevocably committed at the time of the alleviating some limitations on holder’s barges within three business shipment’s origination, the ability of deliverable supplies of corn under days after it receives loading firms economically to obtain supplies to CBT’s proposal. In light of those instructions and the holder’s barges are meet existing commitments for changes and supplements, the at the delivery facility ready to load. shipment from alternative sources Commission does not find that the Most significantly, the issuer would be would certainly be limited at times. available deliverable supplies of corn required to give preference to shipping This situation would be more likely to under the revised CBT proposal are so certificate holders relative to any other occur in those periods when supplies inadequate under section 5a(a)(10) that customer and proprietary business for are limited, such as during the critical additional delivery points are necessary. eight hours of load-out capacity per day. summer months of July, August, and Actual trading experience will reveal This requirement is contrary to the September. The commitment of supplies whether the level of deliverable current contracts’ delivery terms and to of corn and soybeans under forward supplies meets the requirements of cash market practice, where customers contracts or other marketing section 5a(a)(10). Accordingly, the are generally accommodated on a first- arrangements would at times make them Commission directs the CBT to report come, first-served basis. Concerns have unavailable to the futures delivery on the actual delivery and contract been expressed by some commenters process until futures prices were expiration experience on an annual that, by requiring issuers to cease significantly distorted relative to cash basis for the first five years after contract loading corn and soybeans in barges for prices, a result that section 5a(a)(10) is expirations begin under the revised their cash market business in order to intended to prevent. Thus, it is likely contract terms. meet the requirements of the shipping that the actual available deliverable IV. The Lack of Locational Price certificates and by requiring that only supplies for the futures contracts would Differentials Violates Section 5a(a)(10) limited advance notice would have to be be significantly less than indicated by given to issuers, the CBT proposal the above gross estimates. Section 5a(a)(10) requires that, where would discourage potential issuers from more than one delivery point or 7. Conclusion issuing shipping certificates for futures commodity grade is specified, a futures delivery. In summary, the proposed delivery contract must specify quality and The CBT, on the other hand, has provisions of the soybean contract locational price differentials to the argued that the impact of the proposed clearly fail to meet the statutory extent necessary to prevent price preferential load-out requirement for requirement for adequate levels of manipulation, market congestion, or the futures deliveries on an issuer’s deliverable supplies throughout the abnormal movement of the commodity willingness to issue shipping certificates summer months of July, August, and in interstate commerce. Guideline No. 1 would be limited because the rules September even before the above and the Commission’s policy on price would require the issuer to load out reductions (plus those discussed below) differentials are based on section only eight hours per day, leaving the have been made, and the additional 5a(a)(10) requirements. As discussed remaining 16 hours of each day to load adjustments required by such factors above, Guideline No. 1 requires that other barges. CBT’s position assumes, would further reduce the available futures contract terms and conditions without providing supporting data, that deliverable supplies. For these reasons, provide for deliverable supplies that issuers would be able and willing to price distortions and manipulation, will not be conducive to price obtain labor for a 24-hour day, to market congestion, and abnormal manipulation or distortion and that procure additional transportation and movements of soybeans in interstate such supplies reasonably can be supplies quickly, and to move the commerce would be likely to occur. expected to be available to the short supplies to the waiting barges Additional delivery points to increase trader and saleable by the long trader at efficiently. the available deliverable supplies of their market value in normal cash While the effect of the proposed soybeans, as well as other adjustments market channels. 17 CFR Part 5, loading requirements on the willingness to the CBT’s proposal discussed below, Appendix A(a)(2)(i). In addition, the of issuers to issue shipping certificates are necessary to achieve the objectives Commission’s policy on price for futures delivery is difficult to of section 5a(a)(10). differentials requires that, where cash measure in advance, it represents a As to the CBT proposal for corn, gross market locational or quality differentials significant departure from cash market deliverable supplies throughout the year are stable, the futures contract should practice and most likely would reduce appear to be adequate except for reflect ‘‘normal commercial price the amount of gross deliverable September. Gross deliverable supplies differences as represented by cash price supplies. for September as estimated by the differences * * *’’ Powers c. Prior Commercial Commitments of Commission may be further Memorandum, supra note 1, at p.15. Stocks for Shipment. An additional supplemented to some extent by new When cash market price differences are factor which would reduce the above crop production in September, and the unstable or where the product flow in estimates of gross deliverable supplies is September corn contract would be the cash market is not relevant to the prior commitment of stocks for somewhat less likely to be subject to futures delivery points, the shipment. Determining deliverable manipulation than other months with Commission’s policy requires that supplies on the basis of shipment similar low levels because of the differentials must be set at levels which information does not make necessary expectation of abundant supplies of new fall within the range of values that are deductions for that amount of the crop production in the immediate commonly observed. shipments which would be unavailable future. The Commission’s action in The CBT’s failure to specify locational for futures delivery because they were changing and supplementing the CBT’s price differentials violates section otherwise committed and because no proposed corn contract to add locational 5a(a)(10) as well as the requirements of substitution was possible at an differentials, to eliminate the $40 Guideline No. 1 and the Commission’s Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60851 policy on locational price differentials. percentage of the fixed amounts found locational price differentials violates The cash market on the northern Illinois in the Waterways Freight Bureau Tariff section 5a(a)(10). River clearly reflects a unidirectional No. 7. By backing out the freight The CBT argued that section 5a(a)(10) flow of corn and soybeans and exhibits amounts from the CIF price, one can is not violated by its proposal’s lack of significant locational price differences calculate the differences in the value of differentials because ‘‘locational at the proposed delivery points which the commodities FOB various Illinois differentials for corn and soybeans at have a stable relationship with one River points. par fall well within the expected values another. The failure of the CBT proposal During the critical summer months of cash market differentials between the to provide for locational price the price differential based on the delivery points.’’ CBT June 16, 1997 differentials reflecting the cash market freight rate between Chicago (the most submission, at 40. However, this is not not only would reduce available northerly Illinois River delivery point) the appropriate standard because the deliverable supplies on the contracts, and Pekin (the most southerly Illinois relative value of these commodities but would result in price distortions and River delivery point) has ranged in among the northern Illinois River susceptibility to price manipulation, recent years between 4.1 and 5.3 cents delivery points is constant, quite market congestion, and the abnormal per bushel of corn and between 4.4 and transparent and based on established movement of corn and soybeans. 5.7 cents per bushel of soybeans. These barge freight differences, as discussed Although the CBT describes its differences are very significant and are above. Furthermore, even if it were the delivery system as a simple single sufficient to distort prices, to limit appropriate standard, we find that a lack delivery area, in fact it is a multiple deliverable supplies, and to divert of price differentials is not commonly delivery point system without supplies from one delivery point to observed in the cash market, for the 30 differentials. This multiple delivery another. reasons discussed above. point system is comprised of spatially- Where as here, futures contracts provide for multiple delivery points and The CBT’s argument erroneously separated points along the northern relies on bid prices to farmers at various Illinois River, which are affected by a significant normal commercial price differences exist in the cash market delivery points rather than prices FOB unidirectional demand from the Gulf barge, the prices that the CBT’s market across five different barge freight between those locations, section 5a(a)(10) requires that the terms of the proposed contracts are designed to zones, including Chicago. Chicago may reflect. The CBT also relies on also be affected, at times, by a number futures contracts include locational price differentials. The failure to set information that suggests that the cash of competing cash market demand pulls. market value of corn and soybeans The value of corn and soybeans locational price differentials reflecting normal cash market price differences loaded onto vessels and rail cars at loaded into barges generally is greater at Chicago may at times equal or exceed barge-loading facilities located down has the economic effect of excluding the disadvantaged delivery point from being the value of corn or soybeans loaded river relative to the value of grain used for delivery. Such an exclusion onto barges at locations on the northern loaded in barges at upriver locations, may result in abnormal movement of the Illinois River delivery area. However, including Chicago. As indicated above, commodity away from the with the precipitous decline in the the CBT proposal essentially would disadvantaged delivery point and to the available deliverable supplies in price corn and soybeans when they are advantaged delivery point. In order for Chicago, such occasional variances from loaded on barges along the northern a disadvantaged delivery point to the prices loaded on barges at Chicago Illinois River destined for the export function, the futures price has to and along the northern Illinois River market centered in New Orleans. The increase above the commodity’s play a small role in the cash market and futures contracts would be priced FOB should not be a significant factor in 28 underlying cash market value at the barge at the loading facilities. disadvantaged delivery point to setting locational differentials under the Currently, the cash market for such overcome this built-in penalty. This CBT’s proposal. The prices for barges products prices them at the CIF New opens the door to price distortion and loaded on the northern Illinois River at Orleans price, which is uniform and Chicago and at delivery points south of 29 price manipulation in the amount of the widely known. The cost of barge ‘‘differential penalty.’’ Alternatively, Chicago reflect the differences in freight freight to New Orleans included in that market congestion at the advantaged costs on which the Commission bases it price varies based on established barge delivery point may result. These are price differentials for those delivery freight costs that are higher at Chicago precisely the types of market abuse that points. and lower as one descends the northern section 5a(a)(10) sought to avoid by V. The Failure Adequately To Address Illinois River and thus is closer to New requiring exchanges to ‘‘permit delivery Orleans. Those freight rates are Foreseeable Interruptions to Deliveries * * * at such * * * locational price Violates Section 5a(a)(10) transparent and widely reported differentials as will tend to prevent or publicly. While they vary to some diminish price manipulation, market An additional concern regarding the extent, they are expressed as a varying congestion, or the abnormal movement operation of the CBT proposal of such commodity in interstate applicable to both the corn and soybean 28 The acronym FOB, free on board, means that, contracts is its reliance chiefly upon a under the terms of the sale of a commodity, the commerce.’’ For these reasons, the price agreed between the buyer and seller includes Commission finds that the lack of single mode of transportation to effect the cost of loading the product into transportation delivery—Illinois River barge equipment (barge, rail car, vessel, etc.) at a 30 The CBT implicitly recognized these cash transportation. A large number of designated location. market value relationships and the importance of commenters questioned the reliability of 29 CIF New Orleans means that, under the terms barge-freight differences in valuing the commodities of the sale, the price agreed upon between the buyer in its proposed contingency plan to allow deliveries barge transportation on the Illinois River and the seller includes the freight and insurance to at alternative delivery locations during from the standpoint of assuring that transport the products to New Orleans and to transportation disruptions on the Illinois River. As takers of futures delivery would be able deliver them there. This market, which calls for the described below, that proposal provides that to receive and to transport their grain products to be shipped at the cost of the seller to deliveries at alternative locations must be priced export points in New Orleans, is very liquid, with CIF New Orleans with the delivery taker promptly in the event of a disruption of corn and soybeans being actively traded throughout reimbursing the issuer for the cost of freight to New barge transportation on the river due to the year. Orleans from the original delivery location. weather or lock maintenance. 60852 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

There has been a history of repeated, of contract terms.33 In response to at a majority of shipping stations. significant interruptions in repeated requests by the Commission Repairs are often made to more than one transportation along the northern staff, the CBT, by submission dated lock at a time, having the potential to Illinois River. In three of the last 13 August 22, 1997, sought to cure this increase the impact of the disruption years, one or more of the locks on this defect in its proposal by proposing a within the delivery area from such portion of the river have been closed for plan to be followed in the case of projects. Thus, although the same repair by the U.S. Army Corps of transportation disruptions. This foreseeable situation rendering the Engineers for 60 or more consecutive proposed contingency plan provides contracts vulnerable to price days during the critical summer months, that, in the event that either the Peoria manipulation and market congestion with the result that no barge traffic or LaGrange lock on the Illinois River exists when the disruption is within the could pass through that point on the (the two most southerly locks without delivery area as when it is south of the river on its way south to New Orleans.31 an auxiliary lock allowing river delivery area, the contingency plan fails In addition, traffic on the Illinois River movement) is scheduled, with six- to address that situation. Furthermore, is frequently impacted by weather months prior notice, to be closed for a obstructions and disruptions to river conditions, including wind, high water period of 45 days or more, then the traffic other than lock closures—such as during the spring and summer, and delivery maker and taker may mutually those caused by flooding—are icing during the winter. The Coast agree to alternative terms or, failing foreseeable, would render the proposed Guard, an agency of the U.S. such agreement, the deliverer is contracts vulnerable to price Department of Transportation, is obligated to provide loaded barges to the manipulation and market congestion responsible for maintaining safe passage taker at a point between the lowest and should be addressed in the along the nation’s waterways and, when closed lock and St. Louis or on the mid- contingency plan. conditions warrant, issues compulsory Mississippi River between St. Louis and Secondly, when a sustained river safety zones restricting transportation Dubuque, inclusive. The loaded barges traffic obstruction of less than 45 days on certain segments of the river. would be valued CIF New Orleans, with is announced, vulnerability to price Between January 1991 and June 1997 the delivery taker responsible for paying manipulation and market congestion is the Coast Guard issued compulsory to the delivery maker the transportation foreseeable. This is also true when there safety zones on segments of the northern cost between the original shipping has been less than the six-month Illinois River on 21 separate occasions. station and New Orleans. The advance notice which the CBT has The delivery area on the northern reimbursement in transportation cost proposed as a condition for triggering Illinois River was affected by such a would be computed based upon 100 the contingency procedures. This safety zone for substantial portions of percent of the Waterways Freight vulnerability arises from the ability of the river south of the delivery area from Bureau Tariff No. 7 barge freight rate. shipping certificate issuers under the early June through the middle of August This proposal falls short of achieving CBT proposal to issue certificates in 1993.32 its apparent objective of addressing the representing up to 30 days of their The CBT proposal’s heavy reliance on susceptibility of the corn and soybean capacity. Thus, an announced river barge delivery would disadvantage futures contracts to price manipulation, traffic obstruction of between 30 and 45 delivery takers during those periods market congestion, or the abnormal days, for example, would enable eligible when barge traffic is negatively movement of the commodity in issuers to deliver into the market the impacted by weather conditions or lock interstate commerce resulting from maximum number of shipping maintenance and repair. Prolonged disruptions to river traffic. First, the certificates permitted, secure in the obstruction of transportation on the proposed rule only addresses sustained knowledge that the holders of those river would increase the susceptibility blockages due to lock closures south of certificates could not accept delivery of of the futures contract to manipulation the delivery area. However, similar the corn or soybeans while the river was by issuers, who could issue large problems could be caused by closure of obstructed and that, once the numbers of certificates during periods one or a number of locks within the obstruction to river movement was when those taking delivery would be delivery area sufficient to disrupt traffic ended, the issuer could only be required unable to transport and to sell the to deliver on the certificates over an product at an economic value in relation 33 The CBT proposed a separate rule, regulation entire-month period. to the CIF New Orleans market. 1081.01(12)(G)(8), to address possible disruptions to In this connection, it should be noted shipping traffic within the delivery area. That that closures for lock repairs generally The Commission is of the view that it proposed rule provides that, if it becomes is not an appropriate use of exchange impossible to load at a designated shipping station are scheduled for the summer months, emergency authority to address such ‘‘because of an Act of God, fire, * * * an act of the time when deliverable supplies are foreseeable disruptions to the operation government, labor difficulties, or unavoidable lowest and futures contracts are most mechanical breakdown, the shipper will arrange for susceptible to manipulation. (Indeed, a water conveyance to be loaded at another regular 31 Specifically, in 1984 the Lockport and Brandon shipping station * * *’’ and will compensate the prolonged closure extending to the Road locks were closed for 60 days in July, August, taker for resulting transportation costs, if any. It arrival of the new crop could allow and September; in 1987 the Peoria lock was closed further provides, however, that if the impossibility futures deliverers to depress the price of for 60 days in July, August, and September; and in of delivery exists at a majority of shipping stations an old crop futures month to levels 1995 the Lockport, Brandon Road, Dresden Island, within the delivery area, then delivery may be and Marseilles locks each were closed for between delayed. Although this proposed rule addresses reflecting new crop values at a time 64 days and 77 days in July, August, and conditions impeding delivery at one or some when the broader cash market was September. The CBT, in its October 22, 1997 locations within the delivery area, it does not offer reflecting the usual old crop/new crop exceptions at p. 38, agrees that these disruptions an acceptable solution to the contingency that all price differences based on supply and have in the past (in 1987, for example) been severe or most deliveries may be rendered impossible due and prolonged enough to curtail the ability to take to disruptions of river traffic south of the delivery demand conditions.) delivery within the northern Illinois River delivery area or at points affecting a majority of shipping In addition, the proposal to value area. See also, tr. at 22–24. stations within the delivery area. Because of the alternate delivery locations using 100 32 In addition to weather actions taken by the increased likelihood of price manipulation and percent of the Waterways Freight Coast Guard, the U.S. Army Corps of Engineers, market congestion arising from delayed delivery in which has operational control over river locks, may such circumstances, a different and more effective Bureau Tariff No. 7 rate is inconsistent close a lock when it determines that icing contingency plan is required under section with the locational price differential conditions so require. 5a(a)(10). found to be applicable by the Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60853

Commission, as discussed below. The certificates have through-loading approximately 3,300.36 This increase in application of different differentials to facilities on the northern Illinois River, concentration as compared with the the contracts, depending upon whether obtain an irrevocable letter of credit in current delivery system—530 points in deliveries were subject to the an amount equal to the value of their the HHI—would likely create or contingency rule or to normal delivery delivery commitments, and maintain a enhance market power or facilitate its procedures, could also contribute to minimum of two million dollars in exercise in an already highly price manipulation, market congestion, working capital. These requirements are concentrated market. or the abnormal movement of comparable to those imposed on The CBT has failed to demonstrate a commodities in interstate commerce.34 shipping certificate issuers in other need for this particular requirement. Accordingly, the Commission finds that VI. The Minimum Net Worth Eligibility futures markets, including the CBT’s own soybean meal, diammonium the $40 million minimum net worth Requirement for Issuers Violates requirement would be an unjustified Section 15 phosphate and anhydrous ammonia futures contracts, the New York Cotton barrier to entry into a highly In addition to the CBT’s existing Exchange’s frozen concentrated orange concentrated market and its approval by requirement of $2 million working juice futures contract and the the Commission would be contrary to capital required of firms regular for 37 Minneapolis Grain Exchange’s white section 15 of the Act. delivery under all its agricultural wheat futures contract. Moreover, futures contracts, the CBT has proposed VII. Proposed Changes and issuers of a shipping certificate under to require that firms eligible to issue Supplements to Comply With Sections the CBT proposal would also be limited shipping certificates under its soybean 5a(a)(10) and 15 and corn contracts must also meet a to issuing certificates of a value no Under the provisions of section minimum net worth standard of $40 greater than 25 percent of the issuer’s 5a(a)(10) of the Act, the Commission, million. As discussed above, this net worth. However, in addition to all having found that the response of the requirement has the effect of reducing these requirements, the CBT’s proposed CBT to the notification relating to its the amount of deliverable supplies by corn and soybean contracts would corn and soybean futures contracts does making ineligible for delivery certain require shipping certificate issuers to not accomplish the statutory objectives existing loading facilities in the delivery have a minimum net worth of $40 of that section and ‘‘after granting the areas owned by otherwise eligible firms. million, a requirement that is not contract market an opportunity to be In addition, the requirement constitutes imposed in any other futures contract heard, may change or supplement such a barrier to entry of firms wishing to involving shipping certificates. rules and regulations of the contract establish facilities and to become The effect of the proposed $40 million market to achieve the above objectives eligible to issue shipping certificates. minimum net worth requirement would ** *.’’ The Commission has The Commission has analyzed this be to limit issuance of shipping determined that the following changes requirement under the provisions of certificates to four large grain firms and supplements to the CBT’s proposal section 15 of the Act and finds that it among the seven firms with shipping are necessary to achieve the objectives constitutes an unjustifiable barrier to stations along the northern Illinois River of section 5a(a)(10) and compliance entry and leads to undue market delivery area. At least three firms which with section 15 of the Act. concentration when considered in the currently operate shipping stations on The Commission has determined that context of the other requirements the designated segment of the northern deliverable supplies of soybeans under issuing firms must meet. Illinois River and have participated in the CBT’s proposal should be increased Section 15 of the Act requires the the cash market by loading barges of through the retention of those delivery Commission, when considering corn and soybeans would be excluded points under the CBT’s current contracts exchange rule proposals or from issuing shipping certificates for which the CBT has proposed to amendments, to consider the public delivery on the CBT’s proposed futures eliminate and that appropriate interest to be protected by the antitrust contracts. The Commission does not locational differentials should be laws and to endeavor to take the least believe that the CBT has presented a anticompetitive means of achieving the reasonable justification for this 36 The HHI is calculated by summing the squares objectives of the Act.35 Therefore, the requirement. of the individual market share of each of a market’s CBT proposal’s possible anticompetitive participants. The 3,300 figure is obtained using rated delivery capacity of the four firms currently effects must be evaluated against its Although the CBT’s objective of protecting the financial integrity of the meeting the proposed capital requirements to potential effectiveness in achieving the measure market share. Those firms and their policies and purposes of the Act. delivery process is reasonable, it is respective market shares are Archer Daniels All existing futures contracts that adequately achieved through the Midland Co. (49 percent), Continental Grain provide for delivery using shipping working capital and letter of credit Company (22 percent), Cargill, Incorporated (19 requirements, as it has been for all other percent), and Consolidated Grain and Barge (10 certificate delivery specify certain percent). Adding in the three firms (American financial requirements for certificate shipping certificate contracts, and Milling Company, Garvey International, and Sours issuers. Consistent with this approach, through the limit on the value of Grain Company) which, absent the proposal’s $40 the CBT proposal requires that issuers of certificates issued to 25 percent of an million net worth requirement, also would be issuer’s net worth. Forty million dollars eligible to issue delivery certificates in the proposed markets would lower the HHI to 2,511, still a high 34 Even if such differing differentials would not is a high level of net worth that excludes level of concentration but substantially less than have such adverse results, it would be nonetheless three of the seven existing firms with that under the CBT proposal (and indeed less than ‘‘necessary or appropriate * * * to insure fair loading facilities along the northern under the current delivery system). dealing * * *’’ in such futures contracts to apply Illinois River and would act as a barrier 37 Concerns about concentration among those the same differential in both instances under firms eligible to issue shipping certificates under section 8a(7) of the Act. to new entrants. The resulting extremely the CBT’s proposal are compounded by the sizeable 35 British American Commodity Options Corp. v. high level of concentration of the market ownership interests some of the firms have in barge Bagley, [1975–1977 Transfer Binder] Comm. Fut. L. restricted to four issuers is fleets operating on the northern Illinois River and Rep. (CCH) ¶ 20,245 at 21,334 (S.D.N.Y. 1976) aff’d demonstrated by the fact that the in Gulf export and processing facilities. Several in part and rev’d in part on other grounds, 552 F. commenters expressed concern that this vertical 2d. 282 (2d. Cir. 1977, cert. denied, 98 S. Ct. 427 Herfindahl-Hirschman Index (HHI) for integration increases their opportunity for price (1977). the proposed market would be manipulation. 60854 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices applied to such delivery points. In In this regard, many commenters The retention of Toledo and St. Louis addition, the Commission has supported retaining the delivery point at as delivery points provides a substantial determined for both the corn and Toledo, pointing out that Toledo’s increase in the available deliverable soybean contracts to revise the CBT’s effectiveness as a delivery point is supplies of soybeans and in the number proposal to impose appropriate proven. They also maintained that of potential shipping certificate issuers locational differentials for northern Toledo brings with it the advantage of on the contract. When Toledo and St. Illinois River delivery points. The having transportation ties to both the Louis are included as delivery points on Commission has determined to revise export market via vessels on the Great the soybean futures contract, the the proposed eligibility requirements for Lakes and the expanding livestock feed number of entities eligible as issuers issuers of corn and soybean shipping demand in the southeastern U.S. via rail increases by three, significantly certificates by eliminating the minimum transportation. Although St. Louis has reducing the degree of concentration net worth requirement of $40 million, not been an important delivery point among potential shipping certificate which is an unnecessary barrier to under the current contract, it likely issuers. The following chart shows the entry. The Commission also has would become one under the contract’s increases in gross deliverable supplies determined to revise the river traffic revised shipping certificate format.38 of soybeans which result from the obstruction contingency rule by These two delivery points have the retention of Toledo and St. Louis as reducing the continuous period of strong advantage of having been chosen delivery points and from the obstruction from 45 days as proposed to by the CBT as appropriate delivery elimination of the $40 million minimum 15 days, by making it applicable points for its soybean contract and net worth requirement for eligibility as whenever a majority of shipping having been used as delivery points for shipping certificate issuers, as discussed stations within the northern Illinois the contract for a number of years. in section D, below. Pursuant to these River delivery area are affected by Toledo has been a delivery point on the changes ordered by the Commission, obstruction of river traffic, by making it CBT soybean contract since 1979; St. potentially available gross deliverable applicable to all announced Louis has been a delivery point since supplies of soybeans are at or above the obstructions with no minimum 1993. The resulting experience and 2,400-contract level in both July and notification period specified and by familiarity with these delivery points of August during each of the past 11 years changing the differential from 100 the CBT, its members and commercial and in September during all but one of percent of the Waterways Freight users of the soybean contract are strong the 11 years. Indeed, the gross Bureau Tariff No. 7 rate as proposed to indicators that the delivery points are deliverable supplies are also at or above 150 percent. feasible, workable and acceptable.39 the 4,000-contract level for 25 of the 33 A. Delivery Points months examined. 38 Some commenters advocated the addition of In determining how to remedy the new and completely untried delivery points, such BILLING CODE 6351±01±P inadequacy of deliverable supplies as locations in the interior of Iowa, or delivery points that have been used for other contracts, such fail to accomplish the objectives of that section of under the CBT soybean proposal, the as Minneapolis, Minnesota. Although those Commission accepts the delivery points the Act, and additional delivery points are suggestions may have merit, the Commission has necessary to assure adequate deliverable supplies in the proposal itself as a starting point decided that the experience with the current under section 5a(a)(10) in this instance. By delivery points is entitled to significant weight. and believes that the most reasonable beginning its analysis with the CBT’s proposed 39 The CBT argues that the Commission should and feasible way to enhance deliverable delivery specifications and next considering not determine to order the CBT to retain Toledo and supplies is by adding additional delivery points already chosen and used by the St. Louis as delivery points because their retention delivery points. To do so, the would permit multiple delivery locations on the exchange as existing delivery points, the Commission has decided to retain the soybean futures contracts and because selection of Commission has sought to achieve the most delivery points under which the CBT’s delivery points is the responsibility of the contract conservative means of reaching the required levels existing contract has been operating for market alone. However, the current contract has of deliverable supplies. Of course, the CBT years. Thus, the Commission had included Toledo and St. Louis as delivery points for continues to be free to indicate by proposed rule or many years with no apparent ill effects. Moreover, petition that its business preference for delivery determined to retain Toledo and St. section 5a(a)(10) directs the Commission to act locations is otherwise, and the Commission would Louis as delivery points for soybeans. when the contract market’s proposed contract terms consider such a new proposal under the standards for review provided under the Act. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60855

BILLING CODE 6351±01±C 60856 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

Accordingly, the retention of Toledo the objectives of section 5a(a)(10), the Illinois River and does not tend to and St. Louis as delivery points is locational differentials must be set for deliver soybeans CIF New Orleans. The appropriate to provide adequate levels the delivery locations on the corn and Commission’s policy on locational of gross deliverable supplies of soybeans soybean contracts. differentials provides that such for the July and August futures In setting those differentials, the differentials must fall within the range contracts. Although the retention of Commission has been guided by of commonly observed cash market Toledo and St. Louis does not yield commonly observed cash market price price differences. Available data gross deliverable supplies which meet differences among the delivery points. indicate that cash price differentials the 2,400-contract level in one of the The cash market differences in the between Chicago and Toledo commonly last 11 years in September, September is prices of corn and soybeans for delivery range from Chicago’s being at a a transition month between the old and points on the northern Illinois River are premium to its being at a discount to new crop year, as discussed above. New based primarily upon the cost of barge Toledo. Therefore, establishing Toledo crop production is in the offing. Thus, freight—the price of the product deliveries at par with Chicago is well even if September gross deliverable increases as one goes down the river within the range of commonly observed supplies might on rare occasion fall and the cost of freight to New Orleans cash market price differences and below the 2,400-contract level, the decreases. These differences in freight provides an adequate approximation of incentive to manipulate prices based on prices are transparent, readily available, the cash market price relationship a shortfall of old crop supplies is and commonly accepted as the best between the two delivery points. Most reduced because of the likelihood of measure of cash price values. An commenters expressing an opinion on rapidly falling prices as significant analysis of barge freight rate data this issue agreed that soybeans should amounts of new crop supplies become indicates that 150 percent of the be deliverable in Toledo at par with available in the near future. In light of Waterways Freight Bureau Rate Tariff Chicago. the reduced threat of price manipulation No. 7 rate provides an appropriate basis Accordingly, the Commission has due to the imminence of new crop for the differential. The difference determined that for soybeans Chicago production, the Commission is not between that rate as applicable to the and Toledo should be at contract price ordering that additional delivery points delivery location and that rate as with all other delivery locations at a be added to the contract beyond applicable to Chicago, Illinois, premium over contract price of 150 retention of Toledo and St. Louis. If constitutes an appropriate differential percent of the difference between the September deliverable supplies of reflecting cash market price differences. Waterways Freight Bureau Tariff No. 7 soybeans appear to be inadequate once Barge freight rate data for the years rate applicable to that location and the trading under the revised soybean 1990 through 1996 indicate that 150 rate applicable to Chicago, Illinois. For contract begins, the Commission would percent of tariff is well within the range corn, Chicago should be at contract take appropriate steps to provide for of commonly observed freight rates and price with all other delivery locations at additional delivery locations.40 closely approximates the average a premium over contract price of 150 Accordingly, the Commission finds percent of tariff quoted by barge percent of the difference between the that retention of Toledo and St. Louis is companies for Illinois River shipment Waterways Freight Bureau Tariff No. 7 appropriate to provide an adequate level during this period. These data also rate applicable to that location and the of available deliverable supplies as indicate that 150 percent of tariff rate applicable to Chicago, Illinois. required by section 5a(a)(10). approximates the average percent of tariff quoted for July, August, and C. Disruptions to River Traffic B. Differentials September, the months when The CBT proposal’s heavy reliance on Section 5a(a)(10) requires that, where deliverable supply concerns and the a single mode of transportation to effect more than one delivery point is need to maximize available deliverable delivery renders the contract susceptible specified in a futures contract, the supplies are the greatest. A majority of to significant disruption of the delivery contract terms must provide for those commenting on the issue agreed process, increasing the possibility of locational differentials to the extent that it was appropriate to base price price manipulation, market congestion, necessary to prevent price differentials on barge freight cost or the abnormal movement of corn and manipulation, market congestion, or the differences, and several of the soybeans in interstate commerce. abnormal movement of the commodity commenters that suggested a fixed rate Although the CBT submitted a in interstate commerce. As discussed recommended 150 percent of tariff. contingency plan for alternate delivery above, in light of the significant St. Louis is being retained as a procedures to address disruptions to locational price differentials in the cash delivery point for soybeans. The relative river traffic, that plan only addressed market among the proposed delivery price of soybeans in the cash market long-term disruption to river traffic locations, the CBT’s par delivery among the various delivery points on resulting from closure of locks south of proposal for all proposed corn and the northern Illinois River and St. Louis the delivery area announced six months soybean delivery locations would is consistently determined based on the in advance. As the Commission discussed above, however, the threat of reduce the level of economically difference in freight costs to New manipulation of prices arises from the available deliverable supplies and Orleans, and therefore the Commission possible inability of long position would increase the susceptibility of the has decided to base the differential for holders to take delivery from all, or a contracts to the prohibited effects under St. Louis on 150 percent of the freight significant number, of shipping stations section 5a(a)(10). Accordingly, to meet tariff as well. Most commenters agreed that this approach is the appropriate due to the closures of a lock or locks or 40 Should actual trading experience reveal that measure of such cash market price other river traffic obstructions located September supplies must be supplemented, one differences. either within or south of the delivery means of accomplishing that objective would be to The differential applicable to Toledo, area. The longer the period of the delay expand the delivery area to include a greater which is also retained as a delivery before alternate delivery procedures can segment of the northern Illinois River. With the specification of appropriate locational differentials, point for soybeans, cannot be set based be invoked, the greater the potential for such a change could probably be made at a later on the differentials relating to barge manipulation. Moreover, this threat also time with little disruption to the contract. freight since Toledo is not located on exists when an obstruction to river Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60857 traffic has occurred with less than six- eliminating several firms and and the July 1999 and December 1999 months notice. Accordingly, section potentially barring new entrants. As the corn contracts. Four days later, the CBT 5a(a)(10) of the Act requires that this Commission found above, although the notified its members of its intent to list threat be diminished by reducing the CBT’s objective of protecting the for trading the January 1999 soybean period during which delivery may be financial integrity of the delivery futures contract and the December 1999 delayed by eliminating the six-month process is reasonable, it would be corn futures contract under the same notice requirement and by applying the adequately achieved through the CBT’s proposed terms as the Commission had contingency delivery provision to all proposed requirements on working proposed to disapprove. The obstructions to movement on the river capital, letters of credit, and the ceiling Commission then notified the CBT that arising either inside or outside of the on issuance of shipping certificates to it proposed to disapprove the listing for delivery area. 25 percent of net worth. Contrary to the trading of these two contract months In determining the length of an policies underlying the federal antitrust and to disapprove, to change and to announced obstruction which should laws, the $40 million minimum net supplement the terms proposed by the give rise to a contingency plan, the worth requirement would operate as a CBT for these two trading months on the Commission analyzed information on significant bar to entry for entities that same basis and for the same reasons as past lock closures by the U.S. Army would be eligible in all other respects, it previously determined in its proposed Corps of Engineers and on the issuance and the resulting market concentration order to disapprove, to change and to of river advisories or safety zones by the would be very high. The CBT has failed supplement the terms of the July 1999 Coast Guard. During the last 17 years for to demonstrate a regulatory need for the and November 1999 soybean contracts which this information could be requirement. Accordingly, the and the July 1999 and December 1999 ascertained, it appears that there have Commission eliminates the requirement corn contracts. 62 FR 51087 (Sept. 30, been no unplanned and unannounced under sections 5a(a)(10) and 15 of the 1997). river obstructions of greater than two Act. A number of commenters on the weeks duration. Accordingly, E. 1999 Contract Months proposed order requested that the obstructions lasting at least 15 days after Commission authorize the listing of they are announced are appropriately The Commission’s section 5a(a)(10) these trading months. They suggested addressed by application of the notification advised the CBT that the that having these trading months contingency plan. terms of its corn and soybean futures available to them without delay or In addition, as discussed above, the contracts did not meet the objectives of interruption was important for their application of different differentials to that provision of the Act. In light of that ability to use the markets for hedging the futures contracts depending upon determination, the Commission advised purposes. Other commenters suggested whether the delivery is subject to the the CBT that ‘‘the CBT should refrain that authorizing the trading of these contingency rule might also contribute from listing additional months of contract months under the current to price manipulation or market trading in those contracts during the contract terms rather than the CBT’s congestion. Since the Commission has pendency of these proceedings.’’ 61 FR proposed contract terms would provide determined that a differential based on at 67999. Nevertheless, by letter dated the CBT with a period of time in which 150 percent of the Waterways Freight April 24, 1997, to the Chairperson of the to propose alternative amendments to Bureau Tariff No. 7 rate should be Commission, the CBT advised the the delivery specifications of the corn applied to the corn and soybean futures Commission that it had determined to and soybean futures contracts terms. list or to relist for trading the July 1999 contracts, the Commission believes that The Commission, in response to these and November 1999 soybean contracts the provision in the contingency plan comments, hereby authorizes the listing and the July 1999 and December 1999 should be conformed to that differential, of the January, July and November 1999 corn contracts, respectively, prior to which will be applicable to all soybean futures contract and the March, Commission review and approval of the deliveries made on the contracts at non- July and December 1999 corn futures proposed changes to the delivery par locations. contracts under their current terms, Accordingly, the Commission under specifications.41 while disapproving the application of section 5a(a)(10) of the Act changes and By letter dated May 2, 1997, the the terms contained in the CBT’s supplements the provisions of this part Commission responded that it ‘‘will proposal to these contract months.42 The of the CBT proposal by reducing the consider whether to approve the listing of these contract months as part of its continuous period of river traffic 42 The CBT in the October 15, 1997, hearing and obstruction from 45 days as proposed to ongoing proceeding pursuant to section in its October 22, 1997 letter of exceptions argued 15 days, by making the rule applicable 5a(a)(10) of the Act * * *.’’ The that these trading months were approved for listing to any obstruction which affects Commission found that the ‘‘listing of subject to previously approved listing procedures. these trading months is not consistent The Commission rejects these arguments. The four shipments from a majority of shipping contract months cited in the proposed Order were stations within the northern Illinois with Commission rule 1.41(l) and that listed initially (December and July 1999 corn River delivery area, by making the rule ** * their listing for trading by the futures contracts)—or relisted after having been applicable to all announced CBT is not legally authorized at the previously delisted (July and November 1999 obstructions with no minimum present time.’’ On September 15, 1997, soybean futures contracts)—at a time and in a the Commission issued its proposed manner other than specified in a previously notification period specified and by approved rule, thus requiring the prior approval of changing the differential from 100 Order which, in part, proposed to the Commission, which was never granted. percent of the Waterways Freight disapprove the application of the CBT’s Moreover, all of the futures contract months at Bureau Tariff No. 7 rate as proposed to proposed delivery terms to the July 1999 issue, including the January 1999 soybean futures and November 1999 soybean contracts contract and the March 1999 corn futures, were not 150 percent. eligible for automatic listing procedures. A condition in such automatic listing procedures is D. Net Worth 41 In doing so, the CBT indicated that it would: that the contract terms or their listing not violate The $40 million minimum net worth list the aforementioned contracts with a special legal requirements. See, e.g., 1.41(l). The indicator * * * denot[ing] that the Exchange’s Commission’s finding in the December section requirement for eligibility of shipping Board of Directors and Membership have approved 5a(a)(10) notification that the corn and soybean certificate issuers restricts deliverable the terms of the listed contracts; however, the terms futures contracts are not in compliance with section supplies of corn and soybeans by are subject to CFTC approval. Continued 60858 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

Commission also authorizes the listing Commissioners Tull and Holum Concurring The Commission hereby makes the following of other 1999 corn and soybean futures in Part and Dissenting in Part with Opinion) changes: 43 contracts under their current terms. Edward W. Colbert, 1. To change and to supplement the paragraph of Rule 1036.00 immediately However, the CBT may propose to list Deputy Secretary of the Commission. following the paragraph beginning with the the 1999 corn and soybean contracts Order of the Commodity Futures Trading words ‘‘Corn Differentials,’’ to read as incorporating the changes and Commission to Change and to Supplement follows: supplements contained in this Order, Proposed Rules of the Board of Trade of the In accordance with the provisions of Rule and the Commission would approve City of Chicago Submitted for Commission 1041.00A, corn for shipment from regular such listing. Approval in Response to a Section 5a(a)(10) warehouses or shipping stations located Notice Relating to Futures Contracts in Corn within the Chicago Switching District or the In approving the 1999 contract Burns Harbor, Indiana Switching District and Soybeans, Opinion of Commissioner months for trading under their current may be delivered in satisfaction of corn John E. Tull, Jr., Concurring in Part and terms, the Commission is responding to futures contracts at contract price, subject to Dissenting in Part, Joined by Commissioner the views of numerous agricultural the differentials for class and grade outlined Barbara Pedersen Holum. above. Corn for shipment from shipping interests that there is a need for I concur in that part of the order which certainty and clarity about the legality stations located on the northern Illinois River provides that the CBOT may continue to may be delivered at a premium over contract and terms of these contracts and for trade the 1999 contracts under the existing price of 150 percent of the difference their immediate availability for trading contract terms. I also concur in that part of between the Waterways Freight Bureau Tariff for hedging purposes. It also responds to the order which provides that the CBOT may No. 7 rate* applicable to that location and the arguments of the CBT urging that the submit alternative proposed delivery rate applicable to Chicago, Illinois, subject to Commission allow listing of the 1999 specifications for those two contracts. the differentials for class and grade outlined contract months pursuant to the current I strongly disagree with the majority’s above. contract terms in the event that the decision to issue this order which changes * The factor for converting the tariff rate and supplements the CBOT’s proposed quoted in tonnage to a bushel basis shall be Commission disapproves the CBT’s amendments to the delivery specifications to 35.714 bushels per ton. proposal, as it has done in this Order. their corn and soybean contracts. 2. To change and to supplement the The Commission’s action in this regard As I noted in my earlier dissent, Section paragraph of Rule 1036.00 immediately obviates the need to address a difficult 5a(a)(10) of the Commodity Exchange Act following the paragraph beginning with the legal issue of the interpretation of requires us to determine whether the delivery words ‘‘Soybean Differentials,’’ to read as section 5a(a)(10) as to contracts which terms proposed by the CBOT ‘‘will tend to follows: have been illegally listed by an prevent or diminish price manipulation, In accordance with the provisions of Rule market congestion, or the abnormal 1041.00D, soybeans for shipment from exchange but have nonetheless been regular warehouses or shipping stations trading. Finally, the Commission’s movement of such commodity in interstate commerce.’’ We must also ‘‘take into located within the Chicago Switching action permits all 1999 contract months District, the Burns Harbor, Indiana Switching to trade on identical terms and consideration the public interest to be protected by the antitrust laws in requiring District, or the Toledo, Ohio Switching District may be delivered in satisfaction of establishes a clear point at which the or approving any rule of a contract market.’’ soybean futures contracts at contract price, new terms ordered by the Commission Based on my review of the data available at subject to the differentials for class and grade will be applicable. the time of the Commission’s proposed order outlined above. For the reasons discussed herein, the and as supplemented by the CBOT on In accordance with the provisions of Rule Commission in this Order is changing October 15, 1997, I remain convinced that the 1041.00D, soybeans for shipment from and supplementing the amendments to proposed terms for both contracts as shipping stations located on the northern submitted by the CBOT meet these statutory the CBT corn and soybean futures Illinois River or from shipping stations requirements. within the St. Louis-East St. Louis and Alton contracts which the CBT has proposed In conclusion, both of these contracts will and is directing that they be made Switching Districts (i.e., the upper have a tremendous effect on the world Mississippi River between river miles 170 effective for all contract months, marketplace. For both markets, the price and 205) may be delivered in satisfaction of whenever listed for trading, beginning discovery process and the published prices soybean futures contracts at a premium over with and subsequent to the January determine the price, through basis, to every contract price of 150 percent of the difference 2000 soybean futures contract and the soybean and corn farmer in the United States; between the Waterways Freight Bureau Tariff March 2000 corn futures contract. In so actually every oil seed and corn farmer and No. 7 rate* applicable to that location and the ordering, the Commission finds that the end user throughout the world. While it is rate applicable to Chicago, Illinois, subject to amendments proposed by the CBT to its my serious hope that the contracts designed the differentials for class and grade outlined above. corn and soybean futures contract are by the Commission will work, I believe we could have had better contracts and I * The factor for converting the tariff rate not consistent with section 5a(a)(10) and sincerely hope that the Exchange will take quoted in tonnage to a bushel basis shall be that their approval by the Commission advantage of the opportunity to resubmit 33.333 bushels per ton. would violate section 15 of the Act. proposed terms for both contracts and that 3. To change and to supplement Rule Accordingly, the Commission under the majority will approve such resubmission 1041.00A to read as follows: sections 5a(a)(10), 5a(a)(12), 8a(7), and if it satisfies the requirements of the Act. Corn. Corn for shipment from regular warehouses or shipping stations located 15 of the Act is disapproving Attachment 1 application of those proposed terms to within the Chicago Switching District or the For the reasons explained in the ‘‘Order of Burns Harbor, Indiana, Switching District the CBT’s corn and soybean contracts, may be delivered in satisfaction of corn including the 1999 contracts. the Commodity Futures Trading Commission to Change and to Supplement Proposed Rules futures contracts at contract price. Corn for Dated: November 7, 1997. of the Board of Trade of the City of Chicago shipment from shipping stations located Submitted For Commission Approval in within the northern Illinois River may be By the Commission (Chairperson Born, delivered in satisfaction of corn futures Commissioner Dial, Commissioner Spears; Response to a Section 5a(a)(10) Notice Relating to Futures Contracts in Corn and Soybeans,’’ the Commission is changing and 43 Bold-face type denotes the Commission’s 5a(a)(10) of the Act rendered further automatic supplementing under section 5a(a)(10) of the proposed changes or supplements to the CBT listings unavailable, as did the Commission’s proposal. Underlinings denote changes proposed by explicit direction to the CBT to refrain from any Commodity Exchange Act proposed rules of the CBT. Deletions to proposed CBT language are such further listings. the Board of Trade of the City of Chicago. not shown. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60859 contracts at a premium over contract price of Except for shippers located on the northern 15. To change and to supplement the first 150 percent of the difference between the Illinois River and within the St. Louis-East paragraph of Regulation 1081.01(13)A by Waterways Freight Bureau Tariff No. 7 rate* St. Louis and Alton Switching Districts (i.e., eliminating the words ‘‘and soybeans’’ in applicable to that location and the rate the upper Mississippi River between river both instances in which they appear. applicable to Chicago, Illinois, subject to the miles 170 and 205), such warehouse shall be 16. To change and to supplement differentials for class and grade outlined connected by railroad tracks with one or Regulation 1081.01(13)D by retaining it and above. more railway lines. changing it to read as follows: * The factor for converting the tariff rate 10. To change and to supplement the first Soybeans. For the delivery of soybeans, quoted in tonnage to a bushel basis shall be sentence of Regulation 1081.01(12)A to read regular warehouses or shipping stations may 35.714 bushels per ton. as follows: be located within the Chicago Switching 4. To change and to supplement Rule A. Load-Out Procedures for Wheat and District, within the Burns Harbor, Indiana, 1041.00D to read as follows: Oats and Rail and Vessel Load-Out Switching District (subject to the provisions Soybeans. Soybeans for shipment from Procedures for Corn and Soybeans from of paragraph A above), within the Toledo, regular warehouses or shipping stations Chicago, Illinois, Burns Harbor, Indiana, and Ohio, Switching District, or shipping stations located within the Chicago Switching Toledo, Ohio, Switching Districts Only may be located on the northern Illinois River District, the Burns Harbor, Indiana, * * *. (subject to the provisions of paragraph A Switching District or the Toledo, Ohio, 11. To change and to supplement the first above), or within the St. Louis-East St. Louis Switching District may be delivered in sentence of Regulation 1081.01(12)B to read and Alton Switching Districts (i.e., the upper satisfaction of soybean futures contracts at as follows: Mississippi River between river miles 170 contract price. Soybeans for shipment from B. Load-Out Rates for Wheat and Oats and and 205). shipping stations located on the northern Rail and Vessel Load-Out Rates for Corn and Delivery in Toledo must be made at regular Illinois River or from shipping stations Soybeans from Chicago, Illinois, Burns warehouses or shipping stations providing within the St. Louis-East St. Louis and Alton Harbor, Indiana, and Toledo, Ohio, water loading facilities and maintaining Switching Districts (i.e., the upper Switching Districts Only * * *. water depth equal to normal seaway draft of Mississippi River between river miles 170 12. To change and to supplement 27 feet. However, deliveries of soybeans may Regulation 1081.01(12)G(7) to eliminate the and 205) may be delivered in satisfaction of be made in off-water elevators within the words ‘‘on the Illinois Waterway,’’ to read as soybean futures contracts at a premium over Toledo, Ohio, Switching District PROVIDED follows: contract price of 150 percent of the difference that the party making delivery makes the Any expense for making the grain available between the Waterways Freight Bureau Tariff soybeans available upon call within five No. 7 rate* applicable to that location and the for loading will be borne by the party making delivery, provided that the taker of delivery calendar days to load into water equipment rate applicable to Chicago, Illinois, subject to at one water location within the Toledo, the differentials for class and grade outlined presents barge equipment clean and ready to load within ten calendar days following the Ohio, Switching District. The party making above. delivery must declare within one business The factor for converting the tariff rate scheduled loading date of the barge. If the taker’s barges are not made available within day after receiving shipping certificates and quoted in tonnage to a bushel basis shall be loading orders the water location at which 33.333 bushels per ton. ten calendar days following the scheduled loading date, the taker shall reimburse the soybeans will be made available. Any 5. To change and to supplement Regulation additional expense incurred to move delivery 1044.01 following the list of delivery shipper for any expenses for making the grain available. Taker and maker of delivery have soybeans from an off-water elevator into locations and immediately prior to the water facilities shall be borne by the party issuer’s signature block by adding, as follows: three days to agree to these expenses. 13. To change and to supplement the last making delivery PROVIDED that the party soybeans only: sentence of Regulation 1081.10(12)(G)(8) to taking delivery presents water equipment llSt. Louis, MO, river mile marker lll clean and ready to load within 15 calendar ll read as follows: Toledo, OH, Switching District (8) * * * If the aforementioned condition days from the time the soybeans have been 6. To change and to supplement Regulation of impossibility prevails at a majority of made available. Official weights and official 1056.01 by adding after the last paragraph the regular shipping stations, then shipment grades as loaded into the water equipment following: shall be made under the provisions of rule shall govern for delivery purposes. Delivery The premium charges on soybeans for 1081.(12)(G)(9). in the greater St. Louis river-loading area delivery from regular shippers within the 14. To change and to supplement the first must be made at regular warehouses or Toledo, Ohio, Switching District shall not paragraph and paragraph 9(b)(iii) and add a shipping stations providing water loading exceed 12/100 of one cent per bushel per new paragraph at the end of Regulation facilities and maintaining water depth equal day. 1081.01(12)(G)(9) to read as follows: to the average draft of the current barge The premium charges on soybeans for (9). In the event that it has been announced loadings in this delivery area. Official delivery from regular shippers within the St. that river traffic will be obstructed for a weights and official grades as loaded into the Louis-East St. Louis and Alton Switching period of fifteen days or longer as a result of water equipment shall govern for delivery Districts (i.e., the upper Mississippi River one of the conditions of impossibility listed purposes. between river miles 170 and 205) shall not in regulation 1081.10(12)(G)(8) and in the 17. To change and to supplement exceed 10/100 of one cent per bushel per event that the obstruction will affect a Regulation 1081.01(14)E by retaining it and day. majority of regular shipping stations located changing it to read as follows: 7. To change and to supplement the second on the northern Illinois River, then the Soybeans. The warehouseman or shipper is paragraph of Regulation 1081.01(1) to read as following barge load-out procedures for corn not required to furnish transit billing on follows: and soybeans shall apply: soybeans represented by shipping certificate (c) and in the case of Chicago, Illinois, (b) * * * delivery in Toledo, Ohio. Delivery shall be Burns Harbor, Indiana, and Toledo, Ohio, (iii) The taker of delivery shall pay the flat. Switching Districts only, his registered maker 150% of the Waterways Freight storage capacity. 18. To change and to supplement the first Bureau Tariff Number 7 barge benchmark paragraph of the applicant’s declaration 8. To change and to supplement the third rate from the original delivery point stated on contained in Regulation 1085.01 to read as paragraph of Regulation 1081.01(1)(a) to read the Shipping Certificate to NOLA. follows: as follows: (c) In the event that the obstruction or llllllll (a) one barge per day at each shipping condition of impossibility listed in regulation We, the (hereinafter station on the northern Illinois River and 1081.10(12)(G)(8) will affect a majority of called the Warehouseman/Shipper) owner or within the St. Louis-East St. Louis and Alton regular shipping stations located on the lessee of the warehouse located at llllllll Switching Districts (i.e., the upper northern Illinois River, but no announcement or shipping station located lllll lllll Mississippi River between river miles 170 of the anticipated period of obstruction is at mile marker of the and 205); and made, then shipment may be delayed for the River, having a storage capacity * * *. 9. To change and to supplement Regulation number of days that such impossibility 19. To change and to supplement appendix 1081.01(2) to read as follows: prevails. 4E, paragraph 2, by eliminating the sentence 60860 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices which reads, ‘‘The net worth of a firm regular must submit any written supplemental presentation also will be provided in to deliver corn or soybeans must be greater data, views or arguments within 30 days accordance with the requirements of the than or equal to $40,000,000.’’ of receipt of this proposed Order. Government in the Sunshine Act, 5 The Commission has determined that ADDRESSES: CME’s requests for oral U.S.C. 552b (Supp. I 1995). publication of the Order will provide presentation and submission of written Proposed Order Granting Conditional notice to interested members of the supplements are to be sent to the Office Dual Trading Exemptions public of its action, is consistent with of the Secretariat, Commodity Futures the Commodity Exchange Act and is in Trading Commission, Three Lafayette On October 20, 1993, CME submitted the public interest. Centre, 1155 21st Street, N.W., a Petition for Exemption from the Dual Trading Prohibition contained in Issued in Washington, D.C., this 7th day of Washington, D.C. 20581. November 1997, by the Commodity Futures Section 4j of the Act and Commission FOR FURTHER INFORMATION CONTACT: Regulation 155.5 in CME’s Live Cattle, Trading Commission. Duane C. Andresen, Special Counsel, or Edward W. Colbert, Deutsche Mark, Japanese Yen, Swiss Rachel Fanaroff Berdansky, Special Franc, British Pound, Eurodollar and Deputy Secretary of the Commission. Counsel, Division of Trading and S&P 500 futures contracts and the [FR Doc. 97–29895 Filed 11–12–97; 8:45 am] Markets, Commodity Futures Trading option contracts on the Deutsche Mark, BILLING CODE 6351±01±P Commission, Three Lafayette Centre, Eurodollar and S&P 500 futures. The 1155 21st Street, N.W., Washington, Exchange corrected that petition on D.C. 20581; telephone: (202) 418–5490. December 1, 1993. Subsequently, the COMMODITY FUTURES TRADING SUPPLEMENTARY INFORMATION: A floor COMMISSION Exchange amended its petition on broker engages in dual trading when he January 21, 1994. CME updated its Chicago Mercantile Exchange Petition or she executes a customer’s order petition on January 21, 1997, with for Exemptions From the Dual Trading during the same trading session in respect to eight affected contract Prohibition Set Forth in Section 4j(a) of which he or she executes, directly or markets.3 Notice of the public the Commodity Exchange Act and indirectly, a trade in the same contract availability of the CME’s updated Commission Regulation 155.5 for his or her own account or an account exemption petition was published in the in which he or she has an interest. Dual Federal Register on February 20, 1997.4 AGENCY: Commodity Futures Trading trading can afford floor brokers the Upon consideration of CME’s petition, Commission. opportunity to abuse customer orders if as supplemented, and other data and ACTION: Notice of intent to condition audit trail information and surveillance analysis, including, but not limited to: and proposed order granting conditional are insufficient to permit the detection Exchange audit trail test results exemptions from the prohibition on of such abuses. Specifically, a dual reconciling imputed times to dual trading in seven affected contract trading floor broker can directly commit markets. abuses of customer orders such as 3 Affected contract market means a contract trading ahead or against those orders market with an average daily volume equal to or in SUMMARY: For the reasons set forth in and also has an informational advantage excess of 8,000 contracts for each of four quarters the Proposed Order Granting 2 during the most recent volume year. Commission for his or her personal trading. Section Regulation 155.5(a)(9). See Section 4j(a)(4) of the Conditional Dual Trading Exemptions 4j(a) of the Act and Regulation 155.5 (‘‘proposed Order’’), the Commodity Act. As noted by the Commission in promulgating prohibit dual trading and establish trade Regulation 155.5, a contract market trading on an Futures Trading Commission monitoring standards that must be met exchange floor will be considered separate from a (‘‘Commission’’) intends to grant, contract market in the same commodity trading a in order for contract markets to be subject to a stated condition, the screen-based trading system. The Commission exempted from the prohibition. petition of the Chicago Mercantile further stated that, while not excluding electronic The Commission intends to issue the trading from the dual trading prohibition, the Exchange (‘‘CME’’ or ‘‘Exchange’’) for following proposed Order granting CME Commission was retaining the flexibility to exemptions from the dual trading consider the matter further. See 58 FR 40335 (July conditional dual trading exemptions prohibition in Section 4j(a) of the 28, 1993). The Commission is not addressing pursuant to Section 4j(a) of the Act and Commodity Exchange Act (‘‘Act’’) and screen-based trading in this proposed Order. Commission Regulation 155.5. In Two contract markets included in the original Commission Regulation 155.5 for its accordance with Regulation 155.5(d)(8), petition, British Pound futures and options on Live Cattle, Deutsche Mark, Japanese CME may submit to the Commission in Deutsche Mark futures, no longer are affected Yen, Swiss Franc and Eurodollar futures contract markets as defined in the Act and writing any supplemental data, views or contracts and the option contracts on regulations. This proposed Order is not applicable arguments within 30 days of receipt of to those two contract markets. As previously noted, Eurodollar and S&P 500 futures.1 this Notice and proposed Order. In this proposed Order also is not applicable to the Pursuant to the Act and Commission addition, CME may request, in writing S&P 500 futures contract market. Regulation 155.5(d)(8)(C)(iii), CME may 4 within ten days of receipt of this Notice 62 FR 7755 (February 20, 1997). The submit written supplemental data, Commission did not address the Exchange’s dual and proposed Order, an opportunity to views or arguments and will have the trading exemption petition in 1994 in large part make an oral presentation to the because of the Exchange’s prior representation that opportunity to make an oral Commission. If CME submits a request it intended to automate the entry of trade execution presentation to the Commission before for an oral presentation, the Exchange times by developing a handheld electronic trading the Commission makes its final terminal. In June 1994, the Commission was will be notified by the Commission of determination. informed that the proposed handheld terminal the date and the terms under which would not be in place by the October 1995 deadline DATES: If CME intends to make an oral CME may make such presentation. for compliance with the heightened audit trail presentation, it must submit its request Public notice of such an oral standards set forth in Section 5a(b)(3) of the Act. in writing no later than ten days after Because CME had not sufficiently demonstrated that its existing audit trail system met current and receipt of this proposed Order. CME 2 The Commission has previously discussed in future standards, the Commission required the several instances, including its November 28, 1994 Exchange to demonstrate its ability to meet the 1 The Commission is granting CME an Report to Congress on Futures Exchange Audit audit trail requirements using Commission- unconditional exemption from the dual trading Trails, the possible abuses attendant to dual trading. designed tests and, thus, deferred consideration of prohibition for its S&P 500 futures contract. An See also the Commission’s Proposed Regulation the Exchange’s petition. Subsequent to evaluating Order granting such exemption is being submitted Prohibiting Dual Trading by Floor Brokers, 56 FR the results of the tests, the Commission offered CME for publication together with this Notice. 13025 (March 9, 1993). the opportunity to supplement its petition. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60861

underlying trade documentation and the Act and Regulation 155.5 in the Thus, an impermissible amount of trade verifying data on ‘‘window sizes’’; seven affected contract markets. timing data, an integral part of an actions taken in response to the The Commission is granting the exchange’s trade monitoring system, is Commission’s November 1994 Report Exchange’s petition subject to the not reliably accurate in accordance with to Congress on Futures Exchange Exchange taking the corrective action that standard and thus negatively Audit Trails, June 1995 Report on specified below and implementing and impacts the Exchange’s surveillance Audit Trail Accuracy and Sequencing enforcing the dual trading restriction systems and investigatory and Tests (‘‘Audit Trail Report’’), and described in the Appendix to this disciplinary action programs. August 12, 1996 Report on Audit Trail proposed Order. The Commission has The Commission has made clear that Status and Re-Test (‘‘Audit Trail Re- concluded that the proposed dual a reliably accurate imputed trade Test Report’’); trading restriction, which imposes a execution time only can be Commission trade practice prohibition on dual trading in actively demonstrated by a timing window that investigations and compliance traded months but has no impact on less narrows the time assigned to the trade reviews conducted in conjunction actively traded back months, is to a two-minute period within which with rule enforcement reviews or appropriate as a method to deter dual the trade is most likely to have other investigatory or surveillance trading-related abuses and other occurred. Even where an exchange can activities;5 customer abuses. The Commission’s demonstrate a trade timing window of the Exchange’s existing dual trading and limited restriction, as opposed to the two minutes or less, it is not possible to top step trading restrictions; 6 statutory dual trading ban, strikes a determine where within that window, the Division of Trading and Markets balance between the need to preserve the trade occurred. This underscores the Memorandum dated October 28, 1997; liquidity in certain low volume months critical need for compliance with the 90 and upon review of each element of and the need to protect customers from percent performance standard. CME’s trade monitoring system and of the potential abuses that are associated CME’s Regulatory Trade Timing CME’s trade monitoring system as a with dual trading. System (‘‘RTT’’) imputes an execution whole, the Commission finds that the The Commission Hereby finds as time for every trade.8 Trade times are Exchange’s trade monitoring system follows: imputed based upon entry and exit does not fully satisfy the requirements Components of Exchange’s Trade timestamps on order tickets; time and of Sections 5a(b) and 4j(a)(3) of the Act Monitoring System sales reports; times that the trades were and Regulation 155.5 in that the audit submitted for clearing; trading card trail component is deficient. The Audit Trail System numbers and sequence of trades on Commission finds that corrective One-Minute Execution Time Accuracy trading cards; 15-minute bracket codes; actions are sufficient and appropriate to manual execution times for certain meet those standards. In addition, the The Exchange’s audit trail system fails types of trades; calculated differentials Commission finds that, based on an to record ‘‘reliably accurate’’ trade times for spread trades; identification of analysis of the composition of trading in increments of no more than one spread legs and types of spread trades; (by transaction size and volume) of minute in length as required by Section and any available times resulting from certain distant contract expirations and 5a(b)(2) of the Act, Regulation 1.35(g), electronic order entry or trading 7 option markets, there is a substantial and Appendix A to Regulation 155.5. systems. Based on these data, RTT likelihood that the broad scope of the Specifically, the Exchange has not determines various time spans within dual trading prohibition specified under established for the seven affected which a trade is likely to have been Section 4j of the Act and Regulation contract markets that 90 percent or more executed and ultimately assigns an 155.5, which applies to a contract of imputed trade times, as assigned by imputed execution time for the trade. market as a whole, would harm the the Exchange’s trade timing system, are The audit trail tests designed and public interest in hedging or price reliable, precise, and verifiable as reviewed by the Commission and basing in less liquid months of the demonstrated by being imputed within conducted by the Exchange in response affected contract markets. Therefore, the a timing window of two minutes or less to a November 23, 1994 Commission Commission has determined to grant (‘‘90 percent performance standard’’). letter involved a determination of the CME conditional exemptions from the consistency of imputed trade execution dual trading prohibition of Section 4j of 7 Commission Regulation 1.35(g) requires that ‘‘[a]ctual times of execution shall be stated in times with all underlying audit trail increments of no more than one minute in length.’’ records and data. Based upon that 5 A list of the specific documents considered in Section 5a(b)(2) of the Act, among other things, process, trade timing accuracy and connection with this proposed Order will be made codified that timing requirement by stating that an sequencing rates for CME’s imputed available to the Exchange upon request. Copies of exchange’s audit trail system shall, ‘‘consistent with 9 any documents not originally furnished by CME Commission regulation, accurately record the times system were computed. In reviewing also will be made available upon request. of trades in increments of no more than one minute 6 Under CME Rule 552, adopted in 1991, dual in length.’’ Section II of Appendix A to Commission 8 An imputed timing system does not capture the trading is, with certain exceptions, prohibited in Regulation 155.5 requires that a contract market, in actual trade execution time but derives a time from any contract month which is mature and liquid, i.e., describing its audit trail system in a petition for other timing and trade data. a contract month by position in relation to the front exemption from the dual trading prohibition, 9 To the extent that the time imputed by a month contract at any given point in time that has ‘‘[d]emonstrate the highest degree of accuracy computer algorithm was consistent with required had during the prior six calendar months an average practicable (but in no event less than 90% accuracy) trade documentation, time and sequence data and daily pit-traded volume of 10,000 or more contracts. of trade execution times required under regulation time and sales information for the subject trade and In any such contract months, members may trade 1.35(g) (within one minute, plus or minus, of surrounding trades, that time was deemed accurate. only for their personal accounts until they have execution) * * * .’’ In addition, the contract market If that imputed time fell within a two-minute level executed a customer order and then may no longer must ‘‘[d]emonstrate the effective integration of of precision as measured by the size of the final execute personal trades in that contract month such trade timing data into the contract market’s time window determined by such algorithm, that during that trading session. Under CME Rule 555, surveillance system with respect to dual trading- imputed time was considered to be verifiable, effective July 1993, a member may not, with certain related abuses.’’ For contract markets that impute reliable and precise. Thus, the Commission stated exceptions, while standing on the top step, execute trade execution times, Appendix A requires that the in its Audit Trail Report, ‘‘[a]lthough 90 percent of a trade or place an order for his personal account contract market provide a description of the trade CME trade times satisfied the standards [of in any contract months subject to the CME Rule 552 imputation algorithm, ‘‘including how and why it consistency with underlying data] for Test I, dual trading restriction which are traded in the reliably establishes the accuracy of the imputed available data do not permit sufficiently precise contract month where the member stands. trade execution times.’’ Continued 60862 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

the results of the test designed to Commission requests. For December 10, the absence of such a recordation evaluate trade timing accuracy, 1996, the overall percentage of trades requirement, reliably accurate trade Commission staff determined that, with timing windows of two minutes or times are essential for effective although 90.4 percent of CME’s trade less was 82 percent. The percentage of determination of the sequence of trades. times satisfied the standard for trades with timing windows of two Where the sequence of customer and consistency with the underlying data, minutes or less computed separately for personal trades is not determined, only 72 percent of those trade times had each of the seven affected contract possible dual trading-related abuses, timing windows of two minutes or less market ranged from 37 percent to 89 such as trading ahead of customer and thus could be verified.10 In March percent. For March 12, 1997, the overall orders and trading against customer 1996, the Commission conducted a re- percentage of trades with timing orders, could go undetected. test of CME’s audit trail system. windows of two minutes or less was 83 Other Components of CME’s Audit Trail Although 94.2 percent of CME’s trades percent and the percentages for the System times satisfied the standard for seven affected contract markets ranged consistency with the underlying data, from 62 percent to 87 percent. With regard to the requirement that only 79.5 percent of those trade times On June 30, 1997, the Exchange trade data be provided continually to had timing windows of two minutes or provided windows data for three the Exchange in accordance with less and thus could be verified. additional trade dates selected at Section 5a(b)(3)(A)(ii) of the Act, Subsequent to the re-test, the random by the Commission which exchange audit trail systems must Exchange provided windows data for all showed that the overall percentage of provide trade data, including trade affected contract markets (including the trades with timing windows of two timing information, on a periodic, but S&P 500 futures market) in response to minutes or less ranged from 82 percent not necessarily real-time, basis.13 Such to 85 percent. The percentage of trades information also must be obtained in a verification of the accuracy of all of these trade with timing windows of two minutes or timely manner. The Exchange requires times.’’ Audit Trail Report at 11. that clearing members submit trade data Under the 90 percent performance standard, only less computed separately for each of the trade times assigned by the Exchange’s imputed seven affected contract market ranged for clearing no later than 60 minutes timing system within timing windows of two from 65 to 92 percent on May 28, 1997; after the end of the last time bracket on minutes or less are reliably accurate. As noted 66 to 86 percent on June 5, 1997; and the trading card or floor order ticket. above, Commission staff deems accurate those trades for which the imputed trade times are 60 to 88 percent on June 10, 1997. Thus, CME’s trade data, therefore, are consistent with all underlying audit trail records the Exchange has not demonstrated that provided periodically to the Exchange at and data, as determined by manual review. When its imputed trade execution times are no more than hourly intervals, which is comparing windows data for accurate trades and all sufficiently reliable, precise, and continual. trades, the Division has found that a higher percentage of accurate trades are assigned imputed verifiable in that it has not established With regard to unalterability, as times that fall within windows of two minutes or that 90 percent or more of such times mandated by Section 5a(b)(3)(A)(i) of less and thus meet the 90 percent performance are imputed within timing windows of the Act, the Exchange’s trade records are standard. However, the resulting percentage two minutes or less.11 unalterable, since they are recorded on difference between accurate and all trades generally has not exceeded one percent. In addition, since the The negative impact on the trading cards and order tickets in use of all trades data facilitates exchange components of the Exchange’s trade nonerasable ink. Trade corrections also submission of timing windows percentages because monitoring system resulting from its are not permitted to obscure original such data do not have to be generated in failure to satisfy the 90 percent data.14 conjunction with an accuracy test, which requires an analysis of extensive trade documentation, the performance standard is exacerbated Commission finds that the use of all trades data because CME does not require the trading prohibition require that customer and provides an acceptable basis for determining recordation of a member’s personal and personal trades be recorded sequentially on a single trading document. Similar to CME, one of those windows performance. customer trades in sequence.12 Given 10 In response to recommendations made in the exchanges, the Coffee, Sugar and Cocoa Exchange, Audit Trail Report, the Exchange modified its Inc., also uses an imputed timing system to assign trading card procedures such that only six trades 11 The windows data percentages indicated for the trade execution times. Such sequencing also can be can be recorded on a card, trade data can be entered trade dates December 10, 1996, through June 10, achieved by recording personal and customer trades only on one side of the card, and a new card must 1997, do not include windows data for the S&P in sequence on one set of sequentially numbered be used with the change of each time bracket. The futures contract market. As noted above, the trading documents. As the Commission noted in Exchange modified its reporting and enforcement Commission is issuing a separate order granting discussing the results of CME’s first audit trail test, procedures to supply members more promptly with CME an unconditional dual trading exemption for ‘‘recordation of a member’s personal and customer information on audit trail inconsistencies and to the S&P 500 futures contract market. trades in sequence should be the Exchange’s require corrections that reflect actual events, to The Exchange submitted data indicating that 90 objective.’’ Audit Trail Report at 14–15. Section enforce more aggressively data recordation and percent or more of the imputed trade times in its 5a(b)(3) of the Act provides, among other things, submission requirements, including spread quote S&P 500 futures contract had timing windows of that an exchange’s audit trail system must record reporting and timing data, and to enforce more two minutes or less on all three dates selected by accurately and promptly essential data on all trades, aggressively timestamping procedures for flashed Commission staff using a random sampling method, including execution time, through a means that is orders. as well as two prior dates selected by the Exchange adequately precise to determine the sequence of The Exchange also made a number of based upon Commission timeframes. The customer and personal trades, to the extent improvements to its trade timing system. Since Commission believes that, while timing windows practicable as determined by the Commission by 1995, the CME has required a trade submission data for all dates provided should be considered, rule or order. indicator for executions of orders flashed upon the dates selected randomly by persons other than 13 See Audit Trail Re-Test Report at 39. receipt, used seconds in the imputed timing system, those affiliated with the Exchange should be 14 The Commission requires retention of a record including seconds from order ticket timestamps, accorded greater weight in determining whether an of any cancellations, changes, or corrections to added exit timestamps to the imputed timing affected contract market attains the 90 percent trades. Commission Regulation 1.35(d) and the system, used order type information to time trades, performance standard. The windows data for the Outtrade Interpretation, 54 FR 37004 (September 6, and used the clearing receipt time in its timing S&P 500 futures contract market demonstrates 1989). The Commission amended Regulation system. The Exchange also made a number of consistent compliance with the 90 percent 1.35(d)(7), effective October 21, 1996, to require that programming improvements to its timing algorithm. performance standard. None of the Exchange’s other the correction of erroneous information on trading CME declined to implement two Commission affected contract markets demonstrated consistent records be accomplished in such a manner that the recommendations: that members record and use compliance. originally recorded information must not be manual execution times for at least the first and 12 Notably, although there are differences in obliterated or otherwise made illegible. 61 FR 42999 sixth trades on trading cards and that the Exchange various systems among the exchanges, the three (August 20, 1996). In November 1996, CME synchronize timestamp clocks across the floor and other exchanges for which the Commission has amended its CME Rule 536 to comport with the upgrade the clocks to record times to the second. granted unconditional exemptions from the dual Commission’s amendment to Regulation 1.35(d)(7). Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60863

CME’s imputed timing system, which Commission in its Order on flashed system to monitor member compliance uses data from sources other than the orders and broker receipt times.17 daily with certain trade timing and trader, as well as data provided by the sequencing requirements, regularly Physical Observation of Trading Areas trader, to derive times, also meets the examines trading records during the Section 5a(b)(3)(A)(iii) standards for CME’s trade monitoring system course of investigations for possible independence, to the extent satisfies the requirements of Section recordkeeping violations, and uses practicable.15 The Exchange’s existing 5a(b)(1)(A) of the Act in that CME information from these audits to system uses, among other things, data maintains and executes an adequate generate investigations. The Exchange generated by both buyers and sellers for program for physical observation of requires that the account identifier personal trades, including trading card Exchange trading areas and integrates reflected on the floor order ticket relate numbers and sequence of trades on the information obtained from such back to the ultimate customer account. trading cards, certain execution times observation into its compliance required to be entered manually, entry programs. The Exchange conducts daily Surveillance Systems and Disciplinary and exit timestamps on order tickets, floor surveillance during the open and Actions time and sales data and 15-minute close on all affected contract markets The inclusion of an impermissible bracket codes to impute trade execution and at random times during each amount of trade timing data that is not times. trading day. CME also performs floor reliably accurate in the Exchange’s trade The Exchange requires that personal surveillance when warranted by special monitoring system diminishes the trades be recorded in sequence, market conditions, such as exceptional capability of the Exchange’s trade consistent with Commission volatility or contract expirations. surveillance system to review trade data regulations, by requiring that members Finally, the Exchange employs a video effectively, and as a result, possible dual record such trades in sequence on pre- camera logging system in the interest trading-related abuses could go 16 numbered trading cards. The rate quadrant on the upper trading undetected. Further, the lack of reliably Exchange adopted a single-sided trading floor.18 accurate trade timing data diminishes card on which all personal buy and sell Recordkeeping System the capability of the Exchange’s trades are required to be recorded disciplinary program to bring sequentially in response to an Audit CME’s recordkeeping system captures appropriate disciplinary actions against Trail Report recommendation. However, certain essential data on trades and uses violators. In other respects, the as noted elsewhere, the Exchange does information from the records and Exchange’s trade surveillance system not require the recordation of a violations of recordkeeping may be capable of reviewing and is used member’s personal and customer trades requirements to bring appropriate to review trading data on a regular basis in sequence. Given the absence of such disciplinary actions. However, the to detect possible dual trading-related a recordation requirement, reliably Exchange needs to improve member abuses and other customer order abuses. accurate trade times are essential for compliance with Regulation 1.35(j), in In addition, CME did bring disciplinary effective determination of the sequence that only 83 percent of the trading cards actions against offenders and issued of trades. selected for review by Division staff meaningful penalties against violators. CME enforces its audit trail were submitted to the clearing member Therefore, CME has demonstrated the requirements and integrates audit trail within 15 minutes following 30-minute capability to use information generated data into its surveillance system for dual trading intervals and timestamped by its trade monitoring and audit trail trading-related abuses. However, promptly to the nearest minute systems on a consistent basis to bring because the Exchange’s trade following collection. appropriate disciplinary action for surveillance system incorporates into its In addition, because CME does not violations relating to the making of data, including exception reports, an meet the 90 percent performance trades and execution of customer orders impermissible amount of imputed trade standard, the system captures an as required by Sections 5a(b)(1)(C), (D) execution times that are not reliably impermissible amount of trade timing and (F) of the Act. Further, CME refers accurate, the effectiveness of the data that is not reliably accurate. This appropriate cases to the Commission. Exchange’s integration of audit trail data circumstance is compounded by the fact is diminished. On a daily basis, CME reviews that CME does not require the computerized surveillance reports As required by Section 5a(b)(1)(B) of recordation of personal and customer the Act, CME’s trade entry and outtrade generated by the Exchange’s Automated trades in sequence. As a result, the Trade Surveillance system to detect resolution programs capture certain Exchange’s recordkeeping system is essential data on cleared trades, possible instances of dual trading- limited in its capability to capture related abuses and other trading abuses. unmatched trades, and outtrades. essential data on the sequence of Finally, with regard to broker receipt All relevant trade data, including customer trades. times, the Commission finds that it is account numbers, are included in these CME generally conducts back office not practicable at this time for CME to reviews. Among the computerized audits of trading cards and order tickets record the time that each order is exception reports generated by the at each clearing member firm at least received by a floor broker for execution. Exchange and reviewed daily are those once a year for a representative sample Immediately executable flashed orders, designed to identify such suspicious of customer orders and personal trades. however, are in substantial compliance trading activity as trading ahead of a CME also uses a computerized tracking with the objectives of Section 5a(b)(3)(B) customer, trading against a customer, wash trading, and trading against a of the Act, as stated previously by the 17 60 FR 58049 (November 24, 1995). 18 Although primarily employed for dispute customer with a collaborator, as well as 15 See Audit Trail Re-Test Report at 40. resolution, the 38 cameras run continuously those designed to provide data on 16 Commission Regulation 1.35(d)(2) requires that throughout the trading day and may enable personal profit and loss, member dual each member of a contract market recording investigators to view virtually all activity in the trading and outtrade resolution. Once an purchases and sales on trading cards must record quadrant to resolve irregularities detected by the such purchases and sales in exact chronological Exchange’s computerized surveillance system or to investigation has been opened, the order of execution on sequential lines of the trading follow up on tips from members, clerks or floor Exchange’s Compliance Department can card. surveillance staff. use video cameras, on a for cause basis, 60864 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices to assist in the conduct of the contracts and the option contracts on account, (2) any account in which the floor investigation.19 Eurodollar and S&P 500 futures. broker’s ownership interest or share of During 1996, the Exchange initiated Accordingly, the Commission trading profits is ten percent or more, (3) any account for which the floor broker has 429 investigations and/or inquiries into proposes to grant CME’s Petition for Exemption, subject to the stated trading discretion, or (4) any other account all types of trading-related abuses. controlled by a person with whom such floor Approximately 80 percent of the condition, from the dual trading broker is subject to trading restrictions under investigations opened and closed during prohibition for trading in its Live Cattle, Section 4j(d) of the Act to the extent such 1996 were closed within the four-month Deutsche Mark, Japanese Yen, Swiss section is applied by Commission regulation standard set forth in Regulation 8.06. Franc and Eurodollar futures contracts or order. and the option contracts on Eurodollar During that same period, the Exchange b. Affected Contract Market Month (Volume) and S&P 500 futures. initiated 98 dual trading-related Affected contract market month means: (1) investigations and referred three of If, at any time, CME believes that it can demonstrate to the Commission’s For each affected non-agricultural contract these investigations to a disciplinary market, any contract market month with an action committee. During the period of satisfaction that it meets, for an affected average daily trading volume of 10,000 January 1994 through December 1996, contract market subject to this Order, all contracts or more as determined by, at the CME assessed substantial penalties in of the standards set forth in this Order, election of the Exchange, either (i) CME Rule 14 disciplinary actions involving dual including, but not limited to, those in 552 with respect to a contract month position trading-related abuses. Section 5a(b) and Regulation 155.5, the or (ii) trading in the previous calendar Exchange may petition for an month; and (2) For each affected agricultural Commitment of Resources unconditional exemption to the dual contract market, any contract market month trading prohibition for that affected with an average daily trading volume of The Commission finds that CME 10,000 contracts or more as determined by meets the requirements of Section contract market. trading in the previous calendar month. For 5a(b)(1)(E) of the Act by committing Unless otherwise specified, the this purpose, daily trading volume means the sufficient resources for its trade provisions of this proposed Order shall total number of contracts sold (or bought) in monitoring system to be effective in be effective on the date on which it is any contract month of an affected contract detecting and deterring violations and issued as a final Order by the market during a trading day, with the average by maintaining an adequate staff to Commission, and the condition shall computed as set forth above and excluding become effective as stated herein and ex-pit transactions as permitted under investigate and to prosecute disciplinary contract market rules that have been made actions. For fiscal year 1996, CME shall remain in effect unless and until removed, as provided above, or revoked effective under the Act. There will be a two committed 99 personnel to the business day allowance at the beginning of Exchange’s Compliance, Market in accordance with Section 8e(b)(3)(B) each calendar month for computation and Surveillance and Audits Departments of the Commodity Exchange Act, 7 member notification purposes. and reported its total self-regulatory U.S.C. 12e(b)(3)(B). Failure of CME to abide by the condition of a limited dual c. Affected Contract Market Month (Front costs to be $15,388,000. CME’s reported Month) volume for this period was 177,027,583 trading restriction will automatically cause the dual trading prohibition set Front month means, for each affected contracts, and the number of trades contract market, the month which is either exceeded 16,000,000. forth in Section 4j of the Act and Regulation 155.5 to go into effect. the expiration or delivery month which is Accordingly, the Commission Hereby nearest to expiration or, at the Exchange’s If other CME contract markets become Orders that: discretion, the expiration or delivery month affected contract markets after the date which is next nearest to expiration when the The Exchange must implement the this Order becomes final, the Exchange following corrective action: achieve contract month nearest to expiration is five would be required, absent submission of business days or less from the first notice day compliance with the 90 percent a dual trading exemption petition, to or last trading day for cash settled contracts performance standard. restrict dual trading in those affected for futures contracts or the expiration date for The Commission further orders that: contract markets in accordance with the futures options contracts. If a front month is Until such time as the Exchange dual trading prohibition set forth in not subject to a prohibition pursuant to demonstrates that its trade monitoring paragraph b. above, then it shall, nonetheless, Section 4j of the Act and Regulation be an affected contract market month and be system satisfies the relevant standards, 155.5. Further, if CME demonstrates to the Exchange shall be subject to the subject to a prohibition unless, on the basis the Commission’s satisfaction that an of historical data, that front month following condition: Within 60 days affected contract market subject to this reasonably can be expected to have an from the effective date of a final Order, Order has ceased to meet the Regulation average daily trading volume of less than 500 the Exchange must implement and 155.5(a)(9) affected contract market contracts. enforce the limited dual trading threshold, that contract market no d. Exceptions restriction described in the Appendix to longer would be subject to this Order. this proposed Order, which is less Dual trading shall be permitted under restrictive than the dual trading Dated: November 7, 1997. exceptions contained in CME Rule 552 or other exceptions consistent with Commission prohibition of Section 4j of the Act and By the Commission. Edward W. Colbert, Regulation 155.5(c)(4) in accordance with Regulation 155.5. Such dual trading Exchange rules which the Commission has restriction currently would apply to the Deputy Secretary. permitted to go into effect pursuant to following affected contract markets: Appendix—Dual Trading Restriction Section 5a(a)(12)(A) of the Act and Live Cattle, Deutsche Mark, Japanese Regulation 1.41. Yen, Swiss Franc and Eurodollar futures a. Restriction A floor broker is prohibited from executing Dissenting Opinion of Commissioner Barbara Pedersen Holum on the Disposition 19 customer orders in an affected contract During 1996, the CME significantly expanded market month, as defined below, during the of the Chicago Mercantile Exchange’s Dual its video surveillance capability. The two cameras Trading Petition on the upper trading floor were replaced with ten same pit trading session in which the floor cameras, and the single camera on the lower trading broker executes directly, or initiates and Section 4j(a)(3) of the Commodity floor was replaced with seven cameras. All 17 are passes to another member for execution, a Exchange Act requires the Commission to state-of-the-art ‘‘pan, tilt and zoom’’ professional transaction in any such affected contract exempt a contract market unconditionally grade cameras. market month for (1) the floor broker’s own from the dual trading prohibition of Section Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60865

4j(a) of the Act upon finding that the trade Commission before the Commission Commission. If CBT submits a request monitoring system satisfies the requirements makes its final determination. for an oral presentation, the Exchange of Section 5a(b) of the Act by effectively DATES: If CBT intends to make an oral will be notified by the Commission of detecting and deterring dual trading-related presentation, it must submit its request the date and the terms under which CBT abuses. I dissent from the Commission’s may make such presentation. Public proposed Order granting the CME a in writing no later than ten days after conditional exemption in seven affected receipt of this proposed Order. CBT notice of such an oral presentation also markets. must submit any written supplemental will be provided in accordance with the Based on information provided to the data, views or arguments within 30 days requirements of the Government in the Commission, I find that the CME’s trade of receipt of this proposed Order. Sunshine Act, 5 U.S.C. 552b (Supp. I monitoring system as a whole effectively ADDRESSES: CBT’s request for oral 1995). detects and deters dual trading abuses and presentation and submission of written therefore accomplishes the intended Proposed Order Granting Conditional objectives of the Act. Additionally, in 1991 supplements are to be sent to the Office Dual Trading Exemptions the CME implemented a dual trading of the Secretariat, Commodity Futures On October 25, 1993, CBT submitted restriction as part of its trade monitoring Trading Commission, Three Lafayette a Petition for Exemption from the Dual system which the Commission approved. The Centre, 1155 21st Street, N.W., Trading Prohibition contained in Commission has reviewed the CME’s Washington, D.C. 20581. Section 4j of the Act and Commission enforcement of that restriction over the past FOR FURTHER INFORMATION CONTACT: Regulation 155.5 for its Wheat, Corn, six years and found it to be effective. Rachel Fanaroff Berdansky, Special Therefore, I find that CME’s trade Soybean, Soybean Meal, Soybean Oil, monitoring system, including its dual trading Counsel, or Duane C. Andresen, Special U.S. Treasury Bond, 10-Year Treasury restriction, meets the standards for an Counsel, Division of Trading and Note, and 5-Year Treasury Note futures unconditional exemption from the dual Markets, Commodity Futures Trading contracts and the option contracts on trading prohibition. Commission, Three Lafayette Centre, the U.S. Treasury Bond and 10-Year 1155 21st Street, N.W., Washington, [FR Doc. 97–29892 Filed 11–12–97; 8:45 am] Treasury Note futures. The Exchange D.C. 20581; telephone: (202) 418–5490. corrected that petition on December 2, BILLING CODE 6351±01±P SUPPLEMENTARY INFORMATION: A floor 1993. Subsequently, by letters dated broker engages in dual trading when he March 25 and May 14, 1994, CBT COMMODITY FUTURES TRADING or she executes a customer’s order supplemented its petition to include the COMMISSION during the same trading session in option contracts on its Corn, Soybean which he or she executes, directly or and 5-Year Treasury Note futures since Chicago Board of Trade Petition for indirectly, a trade in the same contract such contract markets had reached Exemptions From the Dual Trading for his or her own account or an account average daily volumes of 8,000 contracts Prohibition Set Forth in Section 4j(a) of in which he or she has an interest. Dual and, thus, had become affected contract the Commodity Exchange Act and trading can afford floor brokers the markets (‘‘affected contract markets’’) as Commission Regulation 155.5 opportunity to abuse customer orders if defined in the Act and regulations audit trail information and surveillance thereunder.2 CBT updated its petition AGENCY: Commodity Futures Trading are insufficient to permit the detection on January 17, 1997, with respect to all Commission. of such abuses. Specifically, a dual 13 of its affected contract markets. ACTION: Notice of intent to condition trading floor broker can directly commit Notice of the public availability of the and proposed order granting conditional abuses of customer orders such as CBT’s updated exemption petition was exemptions from the prohibition on trading ahead or against those orders published in the Federal Register on dual trading in 13 affected contract and also has an informational advantage February 20, 1997.3 markets. for his or her personal trading.1 Section 4j(a) of the Act and Regulation 155.5 2 Affected contract market means a contract SUMMARY: For the reasons set forth in prohibit dual trading and establish trade market with an average daily volume equal to or in the Proposed Order Granting excess of 8,000 contracts for each of four quarters monitoring standards that must be met during the most recent volume year. Commission Conditional Dual Trading Exemptions in order for contract markets to be Regulation 155.5(a)(9). See Section 4j(a)(4) of the (‘‘proposed Order’’), the Commodity exempted from the prohibition. Act. As noted by the Commission in promulgating Futures Trading Commission The Commission intends to issue the Regulation 155.5, a contract market trading on an (‘‘Commission’’) intends to grant, exchange floor will be considered separate from a following proposed Order granting CBT contract market in the same commodity trading a subject to the stated conditions, the conditional dual trading exemptions screen-based trading system. The Commission petition of the Chicago Board of Trade pursuant to Section 4j(a) of the Act and further stated that, while not excluding electronic (‘‘CBT’’ or ‘‘Exchange’’) for exemptions Commission Regulation 155.5. In trading from the dual trading prohibition, the from the dual trading prohibition in Commission was retaining the flexibility to accordance with Regulation 155.5(d)(8), consider the matter further. See 58 FR 40335 (July Section 4j(a) of the Commodity CBT may submit to the Commission in 28, 1993). The Commission is not addressing Exchange Act (‘‘Act’’) and Commission writing any supplemental data, views or screen-based trading in this proposed Order. Regulation 155.5 for its Wheat, Corn, arguments within 30 days of receipt of 3 62 FR 7754 (February 20, 1997). The Soybean, Soybean Meal, Soybean Oil, Commission did not address the Exchange’s dual this Notice and proposed Order. In trading exemption petition in 1994 in large part U.S. Treasury Bond, 10-Year Treasury addition, CBT may request, in writing because of the Exchange’s prior representation that Note, and 5-Year Treasury Note futures within ten days of receipt of this Notice it intended to automate the entry of trade execution contracts and the option contracts on and proposed Order, an opportunity to times by developing a handheld electronic trading the Corn, Soybean, U.S. Treasury Bond, terminal. By letter dated June 22, 1994, CBT make an oral presentation to the informed the Commission that the proposed 10-Year Treasury Note, and 5-Year handheld terminal would not be in place by the Treasury Note futures. Pursuant to the 1 The Commission has previously discussed in October 1995 deadline for compliance with the Act and Commission Regulation several instances, including its November 28, 1994 heightened audit trail standards set forth in Section 155.5(d)(8)(C)(iii), CBT may submit Report to Congress on Futures Exchange Audit 5a(b)(3) of the Act. Because CBT had not Trails, the possible abuses attendant to dual trading. sufficiently demonstrated that its existing audit trail written supplemental data, views or See also the Commission’s Proposed Regulation system met current and future standards, the arguments and will have an opportunity Prohibiting Dual Trading by Floor Brokers, 56 FR Commission required the Exchange to demonstrate to make an oral presentation to the 13025 (March 9, 1993). Continued 60866 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

Upon consideration of CBT’s petition, specified below and implementing and impacts the Exchange’s surveillance as supplemented, and other data and enforcing the dual trading restriction systems and investigatory and analysis, including, but not limited to: described in the Appendix to this disciplinary action programs. Exchange audit trail test results proposed Order. The Commission has The Commission has made clear that reconciling imputed times to concluded that the proposed dual a reliably accurate imputed trade underlying trade documentation and trading restriction, which imposes a execution time only can be verifying data on ‘‘window sizes’’; prohibition on dual trading in actively demonstrated by a timing window that actions taken in response to the traded months but has no impact on less narrows the time assigned to the trade Commission’s November 1994 Report actively traded back months, is to a two-minute period within which to Congress on Futures Exchange appropriate as a method to deter dual the trade is most likely to have Audit Trails, June 1995 Report on trading-related abuses and other occurred. Even where an exchange can Audit Trail Accuracy and Sequencing customer abuses. The Commission’s demonstrate a trade timing window of Tests (‘‘Audit Trail Report’’), and limited restriction, as opposed to the two minutes or less, it is not possible to August 12, 1996 Report on Audit Trail statutory dual trading ban, strikes a determine where within that window Status and Re-Test (‘‘Audit Trail Re- balance between the need to preserve the trade occurred. This underscores the Test Report’’); liquidity in certain low volume months critical need for compliance with the 90 Commission trade practice and the need to protect customers from percent performance standard. investigations and compliance the potential abuses that are associated CBT’s Advanced Computerized Trade reviews conducted in conjunction with dual trading. Reconstruction (‘‘Advanced CTR’’) The Commission Hereby Finds as system imputes an execution time for with rule enforcement reviews or 6 other investigatory or surveillance follows: every trade. Trade times are imputed activities; 4 based upon entry and exit timestamps Components of Exchange’s Trade on order tickets; time and sales reports; the Division of Trading and Markets Monitoring System Memorandum dated October 28, 1997; trading card numbers and sequence of Audit Trail System trades on trading cards; certain and upon review of each element of handwritten execution times; times that CBT’s trade monitoring system and of One-Minute Execution Time Accuracy trades were submitted for clearing; 15- CBT’s trade monitoring system as a The Exchange’s audit trail system fails minute bracket codes; calculated whole, the Commission finds that the to record ‘‘reliably accurate’’ trade times differentials for spread trades; Exchange’s trade monitoring system in increments of no more than one identification of spread legs and types of does not fully satisfy the requirements minute in length as required by Section spread trades; and any available times of Sections 5a(b) and 4j(a)(3) of the Act 5a(b)(2) of the Act, Regulation 1.35(g), resulting from electronic order entry or and Regulation 155.5 in that the audit and Appendix A to Regulation 155.5. 5 trading systems. Based on these data, trail, recordkeeping, and physical Specifically, the Exchange has not Advanced CTR determines various time observation of trading areas components established for any of its 13 affected spans within which a trade is likely to are deficient. The Commission finds contract markets that 90 percent or more have been executed and ultimately that corrective actions are sufficient and of imputed trade times, as assigned by assigns an imputed execution time for appropriate to meet those standards. In the Exchange’s trade timing system, are the trade. addition, the Commission finds that, reliable, precise, and verifiable as The audit trail tests designed and based on an analysis of the composition demonstrated by being imputed within reviewed by the Commission and of trading (by transaction size and a timing window of two minutes or less conducted by the Exchange in response volume) of certain distant contract (‘‘90 percent performance standard’’). to a November 23, 1994 Commission expirations and option markets, there is Thus, an impermissible amount of the letter involved a determination of the a substantial likelihood that the broad trade timing data, an integral part of an consistency of imputed trade execution scope of the dual trading prohibition exchange’s trade monitoring system, is times with all underlying audit trail specified under Section 4j of the Act not reliably accurate in accordance with records and data. Based upon that and Regulation 155.5, which applies to that standard and thus negatively process, trade timing accuracy and a contract market as a whole, would sequencing rates for CBT’s imputed harm the public interest in hedging or 5 Commission Regulation 1.35(g) requires that system were computed. 7 In reviewing price basing in less liquid months of the ‘‘[a]ctual times of execution shall be stated in increments of no more than one minute in length.’’ affected contract markets. Therefore, the 6 Section 5a(b)(2) of the Act, among other things, An imputed timing system does not capture the Commission has determined to grant codified that timing requirement by stating that an actual trade execution time but derives a time from CBT conditional exemptions from the exchange’s audit trail system shall, ‘‘consistent with other timing and trade data. dual trading prohibition of Section 4j of Commission regulation, accurately record the times 7 To the extent that the time imputed by a computer algorithm was consistent with required the Act and Regulation 155.5 in its 13 of trades in increments of no more than one minute in length.’’ Section II of Appendix A to Commission trade documentation, time and sequence data and affected contract markets. Regulation 155.5 requires that a contract market, in time and sales information for the subject trade and The Commission is granting the describing its audit trail system in a petition for surrounding trades, that time was deemed accurate. Exchange’s petition subject to the exemption from the dual trading prohibition, If that imputed time fell within a two-minute level Exchange taking the corrective actions ‘‘[d]emonstrate the highest degree of accuracy of precision as measured by the size of the final practicable (but in no event less than 90% accuracy) time window determined by such algorithm, that of trade execution times required under regulation imputed time was considered to be verifiable, its ability to meet the audit trail requirements using 1.35(g) (within one minute, plus or minus, of reliable and precise. Thus, the Commission stated Commission-designed tests and, thus, deferred execution) * * *.’’ In addition, the contract market in its Audit Trail Report, ‘‘90 percent of CBT trade consideration of the Exchange’s petition. must ‘‘[d]emonstrate the effective integration of times satisfied the standards [of consistency with Subsequent to evaluating the results of the tests, the such trade timing data into the contract market’s underlying data] for Test I. However, for 59 percent Commission offered CBT the opportunity to surveillance system with respect to dual trading- of the trade times deemed accurate, available data supplement its petition. related abuses.’’ For contract markets that impute are not sufficiently precise to verify that the one- 4 A list of the specific documents considered in trade execution times, Appendix A requires that the minute audit trail time chosen was actually within connection with this proposed Order will be made contract market provide a description of the trade the minute of execution.’’ Audit Trail Report at 17. available to the Exchange upon request. Copies of imputation algorithm, ‘‘including how and why it Under the 90 percent performance standard, only any documents not originally furnished by CBT also reliably establishes the accuracy of the imputed trade times assigned by the Exchange’s imputed will be made available upon request. trade execution times.’’ timing system within timing windows of two Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60867

the results of the test designed to dates, the Exchange computed windows the absence of such a recordation evaluate trade timing accuracy, data separately for each affected requirement, reliably accurate trade Commission staff determined that, contract market in addition to times are essential for effective although 91 percent of CBT’s trade computing overall windows data. The determination of the sequence of trades. times satisfied the standard for overall percentage of trades with timing Where the sequence of customer and consistency with the underlying data, windows of two minutes or less was 84 personal trades is not determined, only 41 percent of those trade times had percent on March 26, 1997, and 85 possible dual trading-related abuses, timing windows of two minutes or less percent on May 28, 1997; June 5, 1997; such as trading ahead of customer and thus could be verified. 8 In March and June 10, 1997. For those same dates, orders and trading against customer 1996, the Commission conducted a re- the percentage of trades with timing orders, could go undetected. test of CBT’s audit trail system. windows of two minutes or less Although 92.7 percent of CBT’s trade computed separately for each affected Other Components of CBT’s Audit Trail times satisfied the standard for contract market ranged from 58 to 89 System consistency with the underlying data, percent on March 26, 1997; 74 to 89 With regard to the requirement that only 69.2 percent of the trade times had percent on May 28, 1997; 69 to 91 trade data be provided continually to timing windows of two minutes or less percent on June 5, 1997; and 70 to 90 the Exchange in accordance with and thus could be verified. percent on June 10, 1997. 9 Thus, the Section 5a(b)(3)(A)(ii) of the Act, Subsequent to the re-test, the Exchange has not demonstrated that its exchange audit trail systems must Exchange provided windows data for all imputed trade execution times are provide trade data, including trade affected contract markets in response to sufficiently reliable, precise, and timing information, on a periodic, but Commission requests. For December 19, verifiable in that it has not established not necessarily real-time, basis.11 Such 1996, the overall percentage of trades that 90 percent or more of such times information also must be obtained in a with timing windows of two minutes or are imputed within timing windows of timely manner. The Exchange requires less was 67 percent. For subsequent two minutes or less. that clearing members submit trade data The negative impact on the for clearing within one hour after the minutes or less are reliably accurate. As noted components of the Exchange’s trade end of each hour on the half-hour. above, Commission staff deems accurate those monitoring system resulting from its However, as explained below, the trades for which the imputed trade times are consistent with all underlying audit trail records failure to satisfy the 90 percent Exchange fails to enforce the and data, as determined by manual review. When performance standard is exacerbated requirement that trading cards be comparing windows data for accurate trades and all because CBT does not require the collected and timestamped in a timely trades, the Division has found that a higher recordation of a member’s personal and manner. This failure calls into question percentage of accurate trades are assigned imputed 10 times that fall within windows of two minutes or customer trades in sequence. Given the Exchange’s ability to assure that less and thus meet the 90 percent performance trade data are provided continually to standard. However, the resulting percentage 9 May 28, 1997; June 5, 1997; and June 10, 1997 clearing. difference between accurate and all trades generally were selected by Commission staff using a random With regard to unalterability, as has not exceeded one percent. In addition, since the sampling method. The Exchange also provided use of all trades data facilitates exchange similar percentage data for three days of its own mandated by Section 5a(b)(3)(A)(i) of submission of timing windows percentages because choosing. The overall percentage of trades with the Act, the Exchange’s trade records are such data do not have to be generated in timing windows of two minutes or less was 87 unalterable, since they are recorded on conjunction with an accuracy test, which requires percent on May 13 and May 20, 1997 and 88 trading cards and order tickets in an analysis of extensive trade documentation, the percent on May 15, 1997. For those same dates, the Commission finds that the use of all trades data percentage of trades with timing windows of two nonerasable ink. Trade corrections also provides an acceptable basis for determining minutes or less computed separately for each are not permitted to obscure original windows performance. affected contract market ranged from 74 to 90 data. 12 8 In response to recommendations made in the percent on May 13, 1997; 72 to 91 percent on May CBT’s imputed timing system, which Audit Trail Report, the Exchange modified its 15, 1997; and 68 to 90 percent on May 20, 1997. uses data from sources other than the trading card procedures such that a member can The Exchange submitted data indicating that 90 record only one time bracket per trading card, percent or more of the imputed trade times in its trader, as well as data provided by the record no more than six trades per trading card, and Soybean futures contract had timing windows of trader, to derive times, also meets the use only one-sided trading cards to record for each two minutes or less on one of the three dates Section 5a(b)(3)(A)(iii) standards for trader all personal buy and sell trades in sequence. selected at random by Commission staff and on all independence, to the extent Additionally, the Exchange implemented three dates selected by the Exchange. Although the recommendations that it enforce certain data Commission considers timing windows data for all recordation and submission requirements, dates provided, the dates selected by persons other objective.’’ Audit Trail Report at 20. Section 5a(b)(3) requirements to record correct customer type those affiliated with the Exchange are accorded of the Act provides, among other things, that an indicator codes, and timestamping procedures for greater weight in determining whether an affected exchange’s audit trail system must record flashed orders. contract market attains the 90 percent performance accurately and promptly essential data on all trades, The Exchange also made a number of standard. Overall, the windows data for the including execution time, through a means that is improvements to its trade timing system. CBT now Soybean futures contract market does not adequately precise to determine the sequence of requires a trade submission indicator for flashed demonstrate consistent compliance with the 90 customer and personal trades, to the extent orders, uses seconds in the imputed timing system, percent performance standard. practicable as determined by the Commission by when available, including seconds from order ticket 10 Notably, although there are differences in rule or order. timestamps, requires member firms to input the various systems among the exchanges, the three 11 See Audit Trail Re-Test Report at 39. seconds from order entry and order confirmation other exchanges for which the Commission has 12 The Commission requires retention of a record timestamps into the trade entry system, granted unconditional exemptions from the dual of any cancellations, changes, or corrections to reprogrammed CTR to impute proper execution trading prohibition require that customer and trades. Commission Regulation 1.35(d) and the times for trades executed during the close, and personal trades be recorded sequentially on a single Outtrade Interpretation, 54 FR 37004 (September 6, upgraded synchronized timestamp clocks to record trading document. Similar to CBT, one of those 1989). The Commission amended Regulation times to the nearest second. The Exchange also exchanges, the Coffee, Sugar and Cocoa Exchange, 1.35(d)(7), effective October 21, 1996, to require that made programming improvements to its timing Inc., also uses an imputed timing system to assign the correction of erroneous information on trading algorithm. trade execution times. Such sequencing also can be records be accomplished in such a manner that the CBT declined to implement two Commission achieved by recording personal and customer trades originally recorded information must not be recommendations: that members record and use in sequence on one set of sequentially numbered obliterated or otherwise made illegible. 61 FR 42999 manual execution times for at least the first and trading documents. As the Commission noted in (August 20, 1996). In December 1996, CBT amended sixth trades on trading cards, and that the Exchange discussing the results of CBT’s first audit trail test, its Floor Practices Rule 332.05 and 332.07 to include the identity of traders in the spread time ‘‘recordation of a member’s personal and customer comport with the Commission’s amendment to and sales. trades in sequence should be the Exchange’s Regulation 1.35(d)(7). 60868 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices practicable.13 The Exchange’s existing trading areas in accordance with Section essential data on the sequence of system uses, among other things, data 5a(b)(1)(A) of the Act in that the customer trades. generated by both buyers and sellers for Exchange does not conduct daily floor CBT generally conducts back office personal trades, including trading card surveillance on the open and close to audits of trading cards and order tickets numbers and sequence of trades on the extent practicable in each affected at each clearing member firm twice a trading cards, certain execution times contract market as required by year for a representative sample of required to be entered manually, entry Appendix A to Regulation 155.5. As customer orders and personal trades. and exit timestamps on order tickets, part of the Exchange’s Market Open/ CBT also uses a computerized tracking time and sales data and 15-minute Close Floor Surveillance Program, CBT system to monitor member compliance bracket codes to impute trade execution currently conducts floor surveillance on daily with certain trade timing and times. the open for only half of the affected sequencing requirements, regularly The Exchange requires that personal contract markets and on the close for the examines trading records during the trades be recorded in sequence, remaining half. The Exchange conducts course of investigations for possible consistent with Commission some additional open/close floor recordkeeping violations, and uses regulations, by requiring that members surveillance as part of other specialized information from these audits to record such trades in sequence on pre- surveillance programs. The Exchange generate investigations. The Exchange 14 numbered trading cards. The does conduct floor surveillance at requires that the account identifier Exchange adopted a single-sided trading random times and when special market reflected on the floor order ticket relate card on which all personal buy and sell conditions warrant. Information back to the ultimate customer account. trades are required to be recorded obtained during floor surveillance is Surveillance Systems and Disciplinary sequentially in response to an Audit integrated into the Exchange’s other Actions Trail Report recommendation. However, compliance activities. During 1996, the as noted elsewhere, the Exchange does Exchange initiated two investigations The inclusion of an impermissible not require the recordation of a based upon floor surveillance amount of trade timing data that is not member’s personal and customer trades observations. reliably accurate in the Exchange’s trade in sequence. Given the absence of such monitoring system diminishes the a recordation requirement, reliably Recordkeeping System capability of the Exchange’s trade accurate trade times are essential for surveillance system to review trade data effective determination of the sequence The recordkeeping component of effectively, and as a result, possible dual of trades. CBT’s trade monitoring system fails to CBT enforces its audit trail comply with Section 5a(b)(1)(B) of the trading-related abuses could go requirements and integrates audit trail Act because it does not satisfy the undetected. Further, the lack of reliably data into its surveillance system for dual trading record collection and accurate trade timing data diminishes trading-related abuses. However, timestamping requirements of the capability of the Exchange’s because the Exchange’s trade Regulation 1.35(j). These requirements disciplinary program to bring surveillance system incorporates into its are essential to maintaining the basic appropriate disciplinary actions against data, including exception reports, an integrity of trading records used in the violators. In other respects, the impermissible amount of imputed Exchange’s system to capture essential Exchange’s trade surveillance system execution times that are not reliably data on the sequence of transactions in may be capable of reviewing and is used accurate, the effectiveness of the that they ensure the removal of such to review trading data on a regular basis Exchange’s integration of audit trail data records from the member’s possession to detect possible dual trading-related is diminished. in a timely manner and thereby limit the abuses and other customer order abuses. As required by Section 5a(b)(1)(B) of opportunity to alter records, to fabricate In addition, CBT did bring disciplinary the Act, CBT’s trade entry and outtrade trades, or otherwise to use trading actions against offenders and issued resolution programs capture certain records to disadvantage customer meaningful penalties against violators.16 essential data on cleared trades, accounts. Only approximately 67 Therefore, CBT has demonstrated the unmatched trades, and outtrades. percent of the trading cards selected for capability to use information generated Finally, with regard to broker receipt review by Commission staff were by its trade monitoring and audit trail times, the Commission finds that it is submitted to the clearing member systems on a consistent basis to bring not practicable at this time for CBT to within 15 minutes of the 30-minute appropriate disciplinary action for record the time that each order is trading interval and timestamped violations relating to the making of received by a floor broker for execution. promptly to the nearest minute trades and execution of customer orders Immediately executable flashed orders, following collection as required by as required by Sections 5a(b)(1)(C), (D) however, are in substantial compliance Regulation 1.35(j). The Exchange, and (F) of the Act. Further, CBT refers with the objectives of Section 5a(b)(3)(B) however, does use information from the appropriate cases to the Commission. of the Act, as stated previously by the records and violations of recordkeeping On a daily basis, CBT reviews Trade Commission in its Order on flashed requirements to bring disciplinary Practice Investigation Reports and uses orders and broker receipt times.15 actions. its Sophisticated Market Analysis Physical Observation of Trading Areas In addition, because CBT does not Research Technology system, a meet the 90 percent performance framework for reviewing such data, to CBT’s trade monitoring system does detect possible instances of dual not provide for physical observation of standard, the system captures an impermissible amount of trade timing trading-related abuses and other trading abuses. All relevant trade data, 13 data that is not reliably accurate. This See Audit Trail Re-Test Report at 40. including account numbers, are 14 Commission Regulation 1.35(d)(2) requires that circumstance is compounded by the fact each member of a contract market recording that CBT does not require the purchases and sales on trading cards must record recordation of personal and customer 16 This proposed Order does not address certain such purchases and sales in exact chronological trades in sequence. As a result, the disciplinary actions taken by the Exchange order of execution on sequential lines of the trading regarding the March 1996 Wheat futures contract card. Exchange’s recordkeeping system is expiration. Those matters are before the 15 60 FR 58049 (November 24, 1995). limited in its capability to capture Commission in a separate proceeding. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60869 included in these reviews. Among the Accordingly, the Commission Hereby in accordance with Section 8e(b)(3)(B) computerized exception reports orders that: of the Commodity Exchange Act, 7 generated by the Exchange and The Exchange must implement the U.S.C. 12e(b)(3)(B). Failure of CBT to reviewed daily are those designed to following corrective actions: abide by the condition of a limited dual identify such suspicious trading activity (1) achieve compliance with the 90 trading restriction will automatically as trading ahead of a customer, trading percent performance standard, cause the dual trading prohibition set against a customer, preferential trading (2) significantly improve compliance forth in Section 4j of the Act and and wash trading and to review outtrade with the requirement that trading Regulation 155.5 to go into effect. resolution and U.S. Treasury Bond records be collected and If other CBT contract markets become futures contract broker association top timestamped in accordance with affected contract markets after the date step trading.17 Commission regulations, and this Order becomes final, the Exchange During 1996, CBT initiated 309 (3) conduct floor surveillance daily on would be required, absent submission of investigations into all types of trading the open and close for each affected a dual trading exemption petition, to related abuses. Of the 86 investigations contract market. restrict dual trading in those affected opened and closed during this period, The Commission Further orders that: contract markets in accordance with the 34 percent were closed within the four- Until such time as the Exchange dual trading prohibition set forth in month objective set forth in Commission demonstrates that its trade monitoring Section 4j of the Act and Regulation Regulation 8.06, and an additional 28 system satisfies the relevant standards, 155.5. Further, if CBT demonstrates to percent were closed within four to six the Exchange shall be subject to the the Commission’s satisfaction that an months. Thus, approximately 62 percent following condition: Within 60 days affected contract market subject to this of the investigations opened and closed from the effective date of a final Order, Order has ceased to meet the Regulation during 1996 were closed in six months the Exchange must implement and 155.5(a)(9) affected contract market or less. CBT should improve the enforce the limited dual trading threshold, that contract market no timeliness of its investigations or restriction described in the Appendix to longer would be subject to this Order. provide the reasons that such this proposed Order, which is less Dated: November 7, 1997. investigations require more than four restrictive than the dual trading By the Commission: months to complete. During that same prohibition of Section 4j of the Act and Edward W. Colbert, period, the Exchange opened and closed Regulation 155.5. Such dual trading Deputy Secretary. 45 dual trading-related investigations, restriction currently would apply to the and referred nine of those investigations following affected contract markets: Appendix—Dual Trading Restriction to a disciplinary committee. CBT Wheat, Corn, Soybean, Soybean Meal, a. Restriction assessed substantial penalties in 13 Soybean Oil, U.S. Treasury Bond, 10- A floor broker is prohibited from executing disciplinary actions involving dual Year Treasury Note, and 5-Year customer orders in an affected contract trading-related abuses. Treasury Note futures contracts and the market month, as defined below, during the Commitment of Resources option contracts on the Corn, Soybean, same pit trading session in which the floor U.S. Treasury Bond, 10-Year Treasury broker executes directly, or initiates and The Commission finds that CBT Note, and 5-Year Treasury Note futures. passes to another member for execution, a commits sufficient monetary resources Accordingly, the Commission transaction in any such affected contract to its trade monitoring system to be market month for (1) the floor broker’s own proposes to grant CBT’S Petition for account, (2) any account in which the floor effective in detecting and deterring Exemption, subject to the stated violations attributable to dual trading. broker’s ownership interest or share of conditions, from the dual trading trading profits is ten percent or more, (3) any The Exchange maintains an adequate prohibition for trading in its Wheat, account for which the floor broker has staff to conduct investigations and to Corn, Soybean, Soybean Meal, Soybean trading discretion, or (4) any other account develop and prosecute disciplinary Oil, U.S. Treasury Bond, 10-Year controlled by a person with whom such floor actions. For calendar year 1996, the Treasury Note, and 5-Year Treasury broker is subject to trading restrictions under Exchange reported that it committed Note futures contracts and the option Section 4j(d) of the Act to the extent such 141 personnel to the Exchange’s various section is applied by Commission regulation contracts on the Corn, Soybean, U.S. or order. self-regulatory activities and reported its Treasury Bond, 10-Year Treasury Note, total self-regulatory costs to be and 5-Year Treasury Note futures. b. Affected Contract Market Month (Volume) $15,456,317. CBT’s reported volume for If, at any time, CBT believes that it Affected contract market month means: (1) this period was 222,438,505 contracts, can demonstrate to the Commission’s For each affected non-agricultural contract and the number of trades was satisfaction that it meets, for an affected market, any contract market month with an 17,675,749. However, CBT should contract market subject to this Order, all average daily trading volume of 10,000 allocate its resources as appropriate to of the standards set forth in this Order, contracts or more as determined by, at the election of the Exchange, either (i) trading in improve its trade monitoring system, as including, but not limited to, those in discussed above. a contract month by position in relation to Section 5a(b) and Regulation 155.5, the the front month contract, as defined below, Exchange may petition for an during the prior six calendar months or (ii) 17 Broker association members trading on the top step of the U.S. Treasury Bond pit are subject to unconditional exemption to the dual trading in the previous calendar month; and trading restrictions. These restrictions limit the trading prohibition for that affected (2) For each affected agricultural contract amount of customer and personal trades members contract market. market, any contract market month with an can execute opposite each other in the most active Unless otherwise specified, the average daily trading volume of 10,000 contract month. Members cannot trade more than contracts or more as determined by trading 20% of their monthly volume (brokerage and provisions of this proposed Order shall be effective on the date on which it is in the previous calendar month. For this personal trades) opposite members of their broker purpose, daily trading volume means the association. The members also cannot trade more issued as a final Order by the total number of contracts sold (or bought) in than 20% of their monthly volume against members Commission, and the condition shall of a contiguous broker association. In total, the any contract month of an affected contract members cannot trade more than 30% of their become effective as stated herein and market during a trading day, with the average monthly volume against members of their own and shall remain in effect unless and until computed as set forth above and excluding a contiguous broker association. removed, as provided above, or revoked ex-pit transactions as permitted under 60870 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices contract market rules that have been made the dual trading prohibition of Section 4j(a) Trading Prohibition contained in effective under the Act. There will be a two of the Act upon finding that: (1) There is a Section 4j of the Commodity Exchange business day allowance at the beginning of substantial likelihood that a dual trading Act (‘‘Act’’) and Regulation 155.5 for its each calendar month for computation and suspension would harm the public interest in affected contract markets, including the member notification purposes. hedging or price basing at the contract 1 market, and (2) other corrective actions are S&P 500 futures contract market. The c. Affected Contract Market Month (Front sufficient and appropriate to bring the Exchange corrected that petition on Month) contract market into compliance with the December 1, 1993. Subsequently, the Front month means, for each affected standards of Section 5a(b) of the Act by Exchange amended its petition on contract market, the month which is either effectively detecting and deterring dual January 21, 1994. CME updated its the expiration or delivery month which is trading-related abuses. The Commission has petition on January 21, 1997. Notice of nearest to expiration or at the Exchange’s determined that the Chicago Board of Trade’s the public availability of the CME’s discretion the expiration or delivery month trade monitoring system fails to satisfy the updated exemption petition was which is next nearest to expiration when the standards necessary for an unconditional contract month nearest to expiration is five published in the Federal Register on exemption, but that it meets the criteria for 2 business days or less from the first notice day February 20, 1997. granting a conditional exemption. In Upon consideration of CME’s petition, or last trading day for cash settled contracts addition, the Commission has determined to for futures contracts or the expiration date for impose a dual trading restriction on the CBT as supplemented, and other data and futures options contracts. If a front month is a as condition to the exemption. Given these analysis, including, but not limited to: not subject to a prohibition pursuant findings, I agree with the majority’s view that Exchange audit trail test results paragraph b. above, then it shall, nonetheless, the CBT should be granted a conditional reconciling imputed times to underlying be an affected contract market month and be exemption. However, I dissent from the trade documentation and verifying data subject to a prohibition unless, on the basis proposed Order because it would impose a on ‘‘window sizes’’; actions taken in of historical data, that front month Commission-designed dual trading response to the Commission’s November reasonably can be expected to have an restriction on the CBT as a condition to the 1994 Report to Congress on Futures average daily trading volume of less than 500 exemption. contracts. Exchange Audit Trails, June 1995 Consistent with the statutory framework of Report on Audit Trail Accuracy and d. Exceptions self-regulation, I believe that the CBT should adopt its own rules to detect and deter dual Sequencing Tests (‘‘Audit Trail Dual trading shall be permitted under trading abuses. When the CBT’s trade Report’’), and August 12, 1996 Report exceptions consistent with Commission monitoring system as a whole is determined on Audit Trail Status and Re-Test Regulation 155.5(c)(4) in accordance with by the Commission to meet the objectives of (‘‘Audit Trail Re-Test Report’’); Exchange rules which the Commission has the Act by detecting and deterring dual Commission trade practice permitted to go into effect pursuant to trading abuses, the CBT would be granted an Section 5a(a)(12)(A) of the Act and investigations and compliance reviews Regulation 1.41. unconditional exemption. conducted in conjunction with rule enforcement reviews or other Notice of Intent To Condition and Proposed [FR Doc. 97–29893 Filed 11–12–97; 8:45 am] BILLING CODE 6351±01±P investigatory or surveillance activities. Order Granting Conditional Dual Trading The Exchange’s S&P 500 futures Exemptions to the Chicago Board of Trade, contract trading restrictions.3 Supplemental Statement of Commissioner John E. Tull, Jr. COMMODITY FUTURES TRADING COMMISSION 1 Affected contract market means a contract I am happy to support the Commission’s market with an average daily volume equal to or in action proposing to grant the CBOT excess of 8,000 contracts for each of four quarters conditional dual trading exemptions for its Chicago Mercantile Exchange Petition during the most recent volume year. Commission affected markets. I am troubled, however, by for Exemption From the Dual Trading Regulation 155.5(a)(9). See Section 4j(a)(4). The that part of the Commission’s Proposed Order Prohibition Set Forth in Section 4j(a) of Commission is granting CME conditional which orders the CBOT to conduct floor exemptions from the dual trading prohibition for its the Commodity Exchange Act and remaining seven affected contract markets. A Notice surveillance daily on the open and close for Commission Regulation 155.5 of Intent to Condition and proposed Order granting each affected market when such surveillance such conditional exemptions is being submitted for is not required by the Act or the AGENCY: Commodity Futures Trading publication together with this Order. Commission’s Regulations. Appendix A to Commission. 2 62 FR 7755 (February 20, 1997). The Regulation 155.5 states that such surveillance ACTION: Order. Commission did not address the Exchange’s dual should be conducted to the extent trading exemption petition in 1994 in large part because of the Exchange’s prior representation that practicable. In my opinion, the Commission SUMMARY: The Commodity Futures should not attempt to instruct an exchange it intended to automate the entry of trade execution Trading Commission (‘‘Commission’’) is times by developing a handheld electronic trading regarding the allocation of its resources with granting the petition of the Chicago terminal. In June 1994, the Commission was such specificity. Such management decisions Mercantile Exchange (‘‘CME’’ or informed that the proposed handheld terminal are better left to the exchange leadership, would not be in place by the October 1995 deadline which has hands-on, daily contact with the ‘‘Exchange’’) for exemption from the for compliance with the heightened audit trail markets at issue. Management should have prohibition against dual trading in its standards set forth in Section 5a(b)(3) of the Act. the discretion to assign exchange personnel S&P 500 futures contract. Because CME had not sufficiently demonstrated as needed to monitor ‘‘hot’’ markets or pits that its existing audit trail system met current and DATES: This Order is to be effective future standards, the Commission required the with trading activity of concern. November 7, 1997. Exchange to demonstrate its ability to meet the Opinion of Commissioner Barbara Pedersen FOR FURTHER INFORMATION CONTACT: audit trail requirements using Commission- Holum, Concurring in Part and Dissenting in designed tests and, thus, deferred consideration of Duane C. Andresen, Special Counsel, or the Exchange’s petition. Subsequent to evaluating Part, on the Disposition of the Chicago Board Rachel Fanaroff Berdansky, Special the results of the tests, the Commission offered CME of Trade’s Dual Trading Petition Counsel, Division of Trading and the opportunity to supplement its petition. For the reasons set out below, I concur Markets, Commodity Futures Trading 3 Under CME Rule 541 (S&P 500 Top Step rule), with the findings of the proposed Order but a member cannot trade an S&P futures contract for Commission, Three Lafayette Centre, his or her own account while on the top step of the I dissent from the proposed Order’s 1155 21st St., N.W., Washington, DC imposition of a Commission-designed dual S&P 500 futures pit, except to liquidate a position 20581; telephone (202) 418–5490. that resulted from an error. Further, a member who trading restriction. SUPPLEMENTARY INFORMATION: On has executed a customer order for an S&P 500 Section 4j(a)(3) of the Commodity futures contract while on the top step of the S&P Exchange Act requires the Commission to October 20, 1993, CME submitted a 500 futures pit may not on the same day trade such exempt a contract market conditionally from Petition for Exemption from the Dual contracts for his or her own account. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60871

The Division of Trading and Markets electronic order entry or trading percent performance standard for the Memorandum dated October 28, 1997; systems, if any. S&P 500 futures contract. and upon review of each element of The Commission has made clear that Accordingly, on this date, the CME’S trade monitoring system and of a ‘‘reliably accurate’’ imputed trade Commission HEREBY GRANTS CME’s CME’s trade monitoring system as a execution time can be demonstrated Petition for Exemption from the dual whole, the Commission hereby finds only by a timing window that narrows trading prohibition for trading in its S&P that CME meets the standards for the time assigned to the trade to a two- 500 futures contract. granting a dual trading exemption minute period within which the trade is For this exemption to remain in effect, contained in Section 4j(a) of the Act as most likely to have occurred. For the CME must demonstrate on a continuing interpreted in Regulation 155.5 for its S&P 500 futures contract, CME’s audit basis that it meets the relevant statutory S&P 500 futures contract market. trail system records reliably accurate and regulatory requirements. The Subject to CME’s continuing ability to trade times in increments of no more Commission will monitor continued demonstrate that it meets applicable than one minute in length as required compliance through its rule by Section 5a(b)(2) of the Act, requirements, the Commission enforcement review program and any Regulation 1.35(g), and Appendix A to specifically finds with respect to the other information it may obtain about Regulation 155.5.6 Specifically, the S&P 500 futures contract market that CME’s program. Exchange has established for the S&P CME maintains a trade monitoring Unless otherwise specified, the 500 futures contract market that 90 system which is capable of detecting provisions of this Order shall be percent or more of imputed trade times, and deterring, and is used on a regular effective on the date on which it is as assigned by RTT, are reliable, precise, basis to detect and to deter, all types of issued and shall remain in effect unless and verifiable as demonstrated by being and until it is revoked in accordance violations attributable to dual trading imputed within a timing window of two and, to the full extent feasible, other with Section 8e(b)(3)(B) of the minutes or less (‘‘90 percent Commodity Exchange Act, 7 U.S.C. violations involving the making of performance standard’’). trades and execution of customer orders, § 12e(b)(3)(B). In order to demonstrate attainment of as required by Section 5a(b) of the Act It is so ordered. the 90 percent performance standard, and Regulation 155.5.2 4 The Dated: November 7, 1997. the Exchange has provided windows Commission further finds that CME’s Edward W. Colbert, data for the S&P 500 futures contract trade monitoring system includes audit market in response to Commission Deputy Secretary to the Commission. trail and recordkeeping systems that requests. For both December 10, 1996, [FR Doc. 97–29894 Filed 11–12–97; 8:45 am] satisfy the Act and regulations. and March 12, 1997, the percentage of BILLING CODE 6351±01±P With regard to the S&P 500 futures trades with timing windows of two contract market, each required minutes or less was 90 percent. On June component of CME’s trade monitoring 30, 1997, the Exchange provided system, with the exception of one- windows data for three specific trade CONSUMER PRODUCT SAFETY minute execution time accuracy, is dates selected by the Commission using COMMISSION described in the Commission’s Notice of a random sampling method. The Intent to Condition and proposed Order windows data revealed that the Sunshine Act Meeting being submitted for publication together percentage of trades with timing AGENCY: U.S. Consumer Product Safety with this Order. With respect to one- windows of two minutes or less was 91 Commission, Washington, DC 20207. minute execution time accuracy, the percent on May 28, 1997, and June 5, Commission finds as follows: 1997, and 92 percent on June 10, 1997. TIME AND DATE: Friday, November 21, Thus, the Exchange has demonstrated 1997, 10:00 a.m. One-Minute Execution Time Accuracy consistent compliance with the 90 LOCATION: Room 410, East West Towers, CME’s Regulatory Trade Timing 4330 East West Highway, Bethesda, system (‘‘RTT’’) imputes an execution 6 Commission Regulation 1.35(g) requires that Maryland. 5 ‘‘[a]ctual times of execution shall be stated in time for every trade. Trade times are increments of no more than one minute in length.’’ STATUS: Closed to the Public. imputed based upon entry and exit Section 5a(b)(2) of the Act, among other things, MATTER TO BE CONSIDERED: timestamps on order tickets; time and codified that timing requirement by stating that an sales reports; times that the trades were exchange’s audit trail system shall, ‘‘consistent with Compliance Status Report Commission regulation, accurately record the times submitted for clearing; trading card of trades in increments of no more than one minute The staff will brief the Commission on numbers and sequence of trades on in length.’’ Section II of Appendix A to Commission the status of various compliance trading cards; 15-minute bracket codes; Regulation 155.5 requires that a contract market, in matters. manual execution times for certain describing its audit trail system in a petition for types of trades; calculated differentials exemption from the dual trading prohibition, For a recorded message containing the ‘‘[d]emonstrate the highest degree of accuracy latest agenda information, call (301) for spread trades; identification of practicable (but in no event less than 90% accuracy) spread legs and types of spread trades; of trade execution times required under regulation 504–0709. and available times resulting from 1.35(g) (within one minute, plus or minus, of CONTACT PERSON FOR ADDITIONAL execution) * * *. ..’’ In addition, the contract INFORMATION: market must ‘‘[d]emonstrate the effective Sadye E. Dunn, Office of 4 The Commission considers CME Rule 541 to be integration of such trade timing data into the the Secretary, 4330 East West Highway, an integral part of the Exchange’s trade monitoring contract market’s surveillance system with respect Bethesda, MD 20207, (301) 504–0800. system. In the event of any material change in such to dual trading-related abuses.’’ For contract system, the Commission may revisit its markets that impute trade execution times, Dated: November 10, 1997. determination to grant this exemption for the S&P Appendix A requires that the contract market Sadye E. Dunn, 500 futures contract. provide a description of the trade imputation Secretary. 5 An imputed timing system does not capture the algorithm, ‘‘including how and why it reliably actual trade execution time but derives a time from establishes the accuracy of the imputed trade [FR Doc. 97–30037 Filed 11–10–97; 2:38 pm] other timing and trade data. execution times.’’ BILLING CODE 6355±01±M 60872 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

CORPORATION FOR NATIONAL AND Frequency: The form will be used an current form, (2) clarify instructions for COMMUNITY SERVICE estimated average of 40,000 times per completing the form, (3) simplify year technical language on the original form, Submission for OMB Review; Affected Public: AmeriCorps and (4) put onto one document space for Comment Request participants and the loan holders or signatures and the statements for which schools to which they wish to make the signatories indicate affirmation. November 5, 1997. payments. Regarding this last point, the current The Corporation for National and Number of Respondents: 40,000. form refers those who complete the form Community Service (CNCS), has Estimated Time Per Respondent: to certain statements contained in a submitted the following public Three minutes (1/4 minute for separate document. It is assumed that, information collection requests (ICRs) to AmeriCorps participants and 2 3/4 by signing the form, the signatories are the Office of Management and Budget minute for school/loan holder) verifying agreement with those (OMB) for review and approval in Total Burden Hours: 2,000 hours statements. On the proposed revised accordance with the Paperwork Total Annualized capital/startup form, the statements and the signatures Reduction Act of 1995 (Pub. L. 104–13, costs: none will be on one document. This will (44 U.S.C. Chapter 35). Copies of these Total Annual Cost (operating/ clearly bind the statements to the individual ICRs, with applicable maintaining systems or purchasing affirming signatures. supporting documentation, may be services): $250,000 Dated: November 5, 1997. obtained by calling the Corporation for Description: The Corporation for David N. Spevacek, National and Community Service, National and Community Service Director, Financial Operations. proposes to revise a form that is Levon Buller, (202) 606–5000, Extension [FR Doc. 97–29779 Filed 11–12–97; 8:45 am] 383. Individuals who use a currently being used by former BILLING CODE 6050±28±P telecommunications device for the deaf AmeriCorps members to make payments (TTY/TDD) may call 1–(800) 833–3722 from their accounts in the National between the hours of 9:00 am and 5:00 Service Trust Fund. The National and Community Service Trust Act of 1993 pm Eastern time, Monday through DEPARTMENT OF DEFENSE Friday. states that individuals who complete a term of community service in an Office of the Secretary Comments should be sent to the approved national service position be Office of Information and Regulatory given an ‘‘educational award’’. These [Transmittal No. 97±29] Affairs, Attn: OMB Desk Officer for the awards represent amounts of money Corporation for National and kept in the National Service Trust, Community Service, Office of 36(b)(1) Arms Sales Notification; which is an account in the U.S. Republication Management and Budget, Room 10235, Treasury. The education awards may be Washington, D.C., 20503. (202) 395– used by the individuals who earn Editorial Note: FR Doc. 97–28687 which 7316, by December 15, 1997. The OMB them— AmeriCorps members—to pay was originally published in the issue of is particularly interested in comments costs of attending educational Thursday, October 30, 1997 on page 58709 is which: evaluate whether the proposed institutions and to repay student loans. being republished in its entirety because of collection of information is necessary The Act requires the Corporation for editorial errors. for the proper performance of the National Service to establish procedures AGENCY: Department of Defense, Defense functions of the Corporation, including that will allow AmeriCorps members to Security Assistance Agency. whether the information will have make payments to qualified institutions ACTION: Notice. practical utility; evaluate the accuracy of higher education and to holders of of the agency’s estimate of the burden of their qualified student loans. SUMMARY: The Department of Defense is the proposed collection of information, The form under consideration here, publishing the unclassified text of a including the validity of the the Voucher and Payment Request Form section 36(b)(1) arms sales notification. methodology and assumptions used; (OMB No. 3045–0014), has been used This is published to fulfill the enhance the quality, utility and clarity since the summer of 1994 to meet the requirements of section 155 of P.L. 104– of the information to be collected; and payment requirements of the Act. This 164 dated 21 July 1996. minimize the burden of the collection of form has three purposes. It is the vehicle FOR FURTHER INFORMATION CONTACT: Ms. information on those who are to by which an AmeriCorps member J. Hurd, DSAA/COMPT/CPD, (703) 604– respond, including through the use of authorizes and requests that a payment 6575. appropriate automated, electronic, be made from his or her account. It The following is a copy of a letter to mechanical, or other technological serves as the document by which the the Speaker of the House of collection techniques or other forms of school or loan company indicates the Representatives, Transmittal 97–29, information technology, e.g., permitting amount for which the individual is with attached transmittal, policy electronic submissions of responses. eligible. And the school or loan justification, and sensitivity of Type of Review: Renewal company uses it to certify that the technology. payment meets various legislative and Agency: Corporation for National and Dated: October 24, 1997. Community Service. regulatory requirements. This application is to renew the form L.M. Bynum, Title: Voucher and Payment Request but in a somewhat revised format. The Alternate OSD Federal Register Liaison Form revisions are to (1) eliminate one Officer, Department of Defense. OMB Number: 3045–0014 unnecessary response contained on the BILLING CODE 1505±01±M Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60873 60874 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60875 60876 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60877

Editorial Note: FR Doc. 97–28687 which was originally published in the issue of Thursday, October 30, 1997 at page 58709 is being republished in its entirety because of editorial errors. [FR Doc. 97–28687 Filed 10–29–97; 8:45 am] BILLING CODE 1505±01±C

DEPARTMENT OF DEFENSE

Office of the Secretary

[Transmittal No. 97±28]

36(b)(1) Arms Sales Notification; Republication

Editorial Note: FR Doc. 97–28688 which was originally published in the issue of Thursday, October 30, 1997, on page 58709 is being republished in its entirety because of editorial errors. AGENCY: Department of Defense, Defense Security Assistance Agency. ACTION: Notice.

SUMMARY: The Department of Defense is publishing the unclassified text of a section 36(b)(1) arms sales notification. This is published to fulfill the requirements of section 155 of P.L. 104– 164 dated 21 July 1996. FOR FURTHER INFORMATION CONTACT: Ms. J. Hurd, DSAA/COMPT/CPD, (703) 604–6575. The following is a copy of a letter to the Speaker of the House of Representatives, Transmittal 97–28, with attached transmittal, policy justification, and sensitivity of technology. Dated: October 24, 1997. L.M. Bynum, Alternate OSD Federal Register Liaison Officer, Department of Defense.

BILLING CODE 1505±01±M 60878 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60879 60880 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60881

Editorial Note: FR Doc. 97–28688 which Thursday, October 30, 1997, on page 58709 is being republished in its entirety because of was originally published in the issue of editorial errors. [FR Doc. 97–28688 Filed 10–29–97; 8:45 am] BILLING CODE 1505±01±C 60882 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

DEPARTMENT OF DEFENSE

Office of the Secretary

[Transmittal No. 97±26]

36(b)(1) Arms Sales Notification; Republication

Editorial Note: FR Doc. 97–28689 which was originally published in the issue of Thursday, October 30, 1997, at page 58710 is being republished in its entirety because of editorial errors. AGENCY: Department of Defense, Defense Security Assistance Agency. ACTION: Notice.

SUMMARY: The Department of Defense is publishing the unclassified text of a section 36(b)(1) arms sales notification. This is published to fulfill the requirements of section 155 of P.L. 104– 164 dated 21 July 1996. FOR FURTHER INFORMATION CONTACT: Mrs. J. Hurd, DSAA/COMPT/CPD, (703) 604–6575. The following is a copy of a letter to the Speaker of the House of Representatives, Transmittal 97–26, with attached transmittal, policy justification, and sensitivity of technology. Dated: October 24, 1997. L. M. Bynum, Alternate OSD Federal Register Liaison Officer, Department of Defense.

BILLING CODE 1505±01±M Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60883

Editorial Note: FR Doc. 97–28689 which being republished in its entirety because of was originally published in the issue of editorial errors. Thursday, October 30, 1997, at page 58710 is 60884 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60885 60886 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60887

Editorial Note: FR Doc. 97–28689 which This notification also is written DEPARTMENT OF DEFENSE was originally published in the issue of verification that the Panel was unable to Thursday, October 30, 1997, at page 58710 is provide notice of this meeting 15 days Department of the Air Force being republished in its entirety because of prior to the date of the meeting, due to editorial errors. the fact that this particular (additional) Community College of the Air Force [FR Doc. 97–28689 Filed 10–29–97; 8:45 am] meeting wasn’t added to the schedule (CCAF) Board of Visitors Meeting BILLING CODE 1505±01±C by the Panel until 3 November. FOR FURTHER INFORMATION CONTACT: The Community College of the Air Please contact the National Defense Force (CCAF) Board of Visitors will DEPARTMENT OF DEFENSE Panel at (703) 602–4175/6. hold a meeting on December 17, 1997, at 8:00 a.m. on the first floor Conference Office of the Secretary Dated: November 6, 1997. Room, Community College of the Air L.M. Bynum, National Defense Panel Meeting Force, Building 836, 130 West Maxwell Alternate OSD Federal Register Liaison Air Force Base, Alabama. The meeting AGENCY: DoD, National Defense Panel. Officer, Department of Defense. will be open to the public. ACTION: [FR Doc. 97–29784 Filed 11–12–97; 8:45 am] Notice. The purpose of the meeting is to BILLING CODE 5000±04±M SUMMARY: This notice sets forth the review and discuss academic policies schedule and summary agenda for the and issues relative to the operation of meeting of the National Defense Panel DEPARTMENT OF DEFENSE the CCAF. Agenda items include a on November 12, 1997. In accordance review of the operations of the CCAF with Section 10(d) of the Federal Office of the Secretary of Defense and an update on the activities of the Advisory Committee Act, Pub. L. No. CCAF Policy Council. Department of Defense Wage 92–463, as amended [5 U.S.C. App. II, Committee; Notice of Closed Meetings Members of the public who wish to (1982)], it has been determined that this make oral or written statements at the National Defense Panel meeting Pursuant to the provisions of section meeting should contact Major David concerns matters listed in 5 U.S.C. 10 of Public Law 92–463, the Federal Rogers, Designated Federal Officer for 552b(c)(1) (1982), and that accordingly Advisory Committee Act, notice is this meeting will be closed to the public the Board, at the address below no later hereby given that closed meetings of the than 4:00 p.m. on December 8, 1997. from 0900–1700, November 12, 1997 in Department of Defense Wage Committee order for the Panel to discuss classified Please mail or electronically mail all will be held on December 2, 1997; requests. Telephone requests will not be material. December 9, 1997; December 16, 1997; honored. The request should identify DATES: November 12, 1997. December 23, 1997; and December 30, the name of the individual who will ADDRESSES: Suite 532, 1931 Jefferson 1997, at 10:00 a.m. in Room A105, The make the presentation and an outline of Davis Hwy., Arlington, VA. Nash Building, 1400 Key Boulevard, the issues to be addressed. At least 35 SUPPLEMENTARY INFORMATION: Rosslyn, Virginia. The copies of the presentation materials National Defense Panel was established Under the provisions of section 10(d) must be given to Major David Rogers no on January 14, 1997 in accordance with of Public Law 92–463, the Department later than the time of the meeting for the Military Force Structure Review Act of Defense has determined that the of 1996, Pub. L. 104–201. The mission meetings meet the criteria to close distribution to the board and interested of the National Defense Panel is to meetings to the public because the members of the public. Visual aids must provide the Secretary of Defense and matters to be considered are related to be submitted to Major David Rogers on 1 ′′ Congress with an independent, non- internal rules and practices of the a 3 ⁄2 computer disc in Microsoft partisan assessment of the Secretary’s Department of Defense and the detailed PowerPoint format no later than 4:00 Quadrennial Defense Review and an wage data to be considered were p.m. on December 8, 1997 to allow Alternative Force Structure Analysis. obtained from officials of private sufficient time for virus scanning and This analysis will explore innovative establishments with a guarantee that the formatting of the slides. ways to meet the national security data will be held in confidence. For further information, contact Major challenges of the twenty-first century. However, members of the public who David Rogers or Lieutenant Cornel Proposed Schedule and Agenda may wish to do so are invited to submit Taite, (334) 953–7937, Community material in writing to the chairman College of the Air Force, Maxwell Air The National Defense Panel will meet concerning matters believed to be in closed session from 0900–1700 on Force Base, Alabama, 36112–6613, or deserving of the Committee’s attention. through electronic mail at November 12. During the closed session Additional information concerning on November 12th from 0900–1700 the [email protected] or the meetings may be obtained by writing [email protected]. Panel will discuss the NDP staff to the Chairman, Department of Defense presentations on various future Wage Committee, 4000 Defense Barbara A. Carmichael, strategies, desired capabilities, and Pentagon, Washington, DC 20301–4000. Alternate Air Force Federal Register Liaison developing force elements at the Crystal Officer. Dated: November 6, 1997. Mall 3 office. [FR Doc. 97–29790 Filed 11–12–97; 8:45 am] L.M. Bynum, The determination to close the BILLING CODE 3910±10±P meeting is based on the consideration Alternate OSD Federal Register Liaison that it is expected that discussion will Officer, Department of Defense. involve classified matters of national [FR Doc. 97–29783 Filed 11–12–97; 8:45 am] security concern throughout. BILLING CODE 5000±04±M 60888 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

DEPARTMENT OF DEFENSE open house will occur at each site from Magnetostrictive High Power 3:00 p.m. to 5:30 p.m. prior to each Transducers Department of the Navy scoping meeting. Anyone wishing to object to the grant A brief presentation will precede a of this license has 60 days from the date Notice of Intent To Prepare a request for public information and of this notice to file written objections Legislative Environmental Impact comments. Navy representatives will be along with supporting evidence, if any. Statement (LEIS) for the Continued available at these meetings to receive Written objections are to be filed with Withdrawal of Lands at Bravo 20 information and comments from the Carderock Division, Naval Surface Bombing Range (B±20), Fallon, Nevada agencies and the public regarding issues Warfare Center, Code 004, 9500 as Identified in the Military Land of concern. It is important that federal, MacArthur Blvd., West Bethesda, Withdrawal Act of 1986 state and local agencies, and interested Maryland 20817–5700. SUMMARY: The Department of the Navy individuals take this opportunity to FOR FURTHER INFORMATION CONTACT: Mr. announces its intent to prepare a provide information or identify Dick Bloomquist, Director, Technology Legislative Environmental Impact environmental concerns that should be Transfer, Naval Surface Warfare Center Statement (LEIS) pursuant to Section addressed during the analysis and Carderock Division, Code 0117, 9500 102(2)(c) of the National Environmental preparation of the LEIS. In the interest MacArthur Blvd., West Bethesda, Policy Act (NEPA) of 1969 as of the available time, each speaker will Maryland 20817–5700, telephone (301) implemented by Council on be asked to limit oral comments to three 227–4299. minutes. Comment forms will also be Environmental Quality regulations (40 Dated: November 4, 1997. CFR parts 1500–1508). The LEIS will available to submit written comments at Darse E. Crandall, analyze the proposed continued these meetings. withdrawal of lands supporting B–20 at Agencies and the public are also LCDR, JAGC, USN, Federal Register Liaison Officer. Naval Air Station (NAS) Fallon, Nevada. invited and encouraged to provide Section 5 of the Military Lands written comments in addition to, or in [FR Doc. 97–29793 Filed 11–12–97; 8:45 am] Withdrawal Act of 1986 (Pub. L. 99– lieu of, oral comments at the public BILLING CODE 3810±FF±P 606) directs the Navy to prepare an LEIS scoping meetings. To be most helpful, to evaluate the environmental effects of scoping comments should clearly continued naval operations on the describe specific information, data, DELAWARE RIVER BASIN checkerboard pattern of withdrawn issues or topics which the commenter COMMISSION public lands that make up the B–20 believes the LEIS should address. Notice of Commission Meeting training range. The LEIS will evaluate Written comments or questions the cumulative effects of all NAS Fallon regarding the scoping process and/or LEIS should be postmarked no later Notice is hereby given that the land withdrawals and serve as a Navy Delaware River Basin Commission will recommendation to Congress for than Friday, February 13, 1998 and sent to the following address. hold a regular business meeting on consideration in determining the Wednesday, November 19, 1997. The FOR FURTHER INFORMATION CONTACT: continued withdrawal of B–20 lands. In meeting is open to the public and Written statements and or questions order to maintain the military mission, scheduled to begin at 1:30 p.m. in the regarding the scoping process should be the Navy is proposing the continued use Goddard Conference Room of the mailed to: Commanding Officer, of the B–20 as defined by the Military Commission’s offices at 25 State Police Engineering Field Activity West, Naval Lands Withdrawal Act, Section 1(a). Drive, West Trenton, New Jersey. Facilities Engineering Command, 900 The actions considered in the LEIS The subjects of the meeting will be as Commodore Drive, San Bruno, CA would not result in the withdrawal of follows: 94066–5006 (Attn: Mr. Sam Dennis, additional lands. The LEIS will analyze A. Minutes of the October 22, 1997 Code 7031), telephone (650) 244–3007, the potential environmental effects of business meeting. the proposed action, public scoping fax (650) 244–3206, e-mail at: B. Announcements. alternatives, if applicable, and a ‘‘no [email protected]. C. Report on Hydrologic Conditions in action’’ alternative. Under the ‘‘no Dated: November 19, 1997. the Delaware River Basin. The report action’’ alternative, withdrawn lands Darse E. Crandall, will include an update on the Basin’s listed in Section 1(a) of the Military LCDR, JAGC, USN, Federal Register Liaison current drought warning status. Lands Withdrawal Act would not be Officer. D. General Counsel’s Report. renewed for continued military [FR Doc. 97–29904 Filed 11–12–97; 8:45 am] E. Jefferson Township Sewer purposes. BILLING CODE 3810±FF±P Authority Docket No. D–97–6 CP. The ADDRESSES: The Navy is initiating a Commission conducted public hearings public scoping process for the purpose on this project application on June 25 of determining public concerns and DEPARTMENT OF DEFENSE and July 28, 1997. issues to be analyzed and addressed for F. A Resolution to Adopt the this action. The Navy will hold public Department of the Navy Commission’s Annual Budgets for the scoping meetings on December 9, 1997, Notice of Intent To Grant Exclusive Fiscal Year Ending June 30, 1999 and to from 7:00 p.m. to 10:00 p.m., at the License; Edge Technologies, Inc. Apportion Among the Signatory Parties Fallon Convention Center, 100 Campus the Amounts Required for the Support Way, Fallon, Nevada; on December 10, SUMMARY: The Department of the Navy of the Current Expense and Capital 1997, from 7:00 p.m. to 10:00 p.m., at hereby gives notice of its intent to grant Budgets. A public hearing on this Pershing County District Office, 1150 to Edge Technologies, Inc., a revocable, budget was held on October 22, 1997. Elmhurst Avenue, Lovelock, Nevada; nonassignable, exclusive license in the G. A Resolution to Amend the and on December 11, 1997, from 7:00 United States to practice the Administrative Manual—Rules of p.m. to 10:00 p.m., at Reno Sparks Government-owned inventions Practice and Procedure. The Convention Center, 4590 S. Virginia described in: U.S. Patent Number Commission conducted a public hearing Street, Reno, Nevada. A Navy public 4,906,879 entitled Terbium-Dysprosium on the proposed amendments to its Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60889

Rules of Practice and Procedure on proposed action and reasonable DOE to support the construction and October 22, 1997. alternatives. Because the proposed operation of demonstration facilities H. Public Dialogue. project may involve an action in selected for cost-shared financial Dated: November 3, 1997. floodplains and wetlands, the EIS will assistance as part of DOE’s CCT include a floodplain and wetlands Susan M. Weisman, Program. In December 1985, Congress assessment and a statement of findings made funds available to DOE for Secretary. in accordance with DOE regulations for [FR Doc. 97–29868 Filed 11–12–97; 8:45 am] conducting the first round of the CCT compliance with floodplain and Program. Congress directed that this BILLING CODE 6360±01±P wetlands environmental review first solicitation for federal cost-sharing requirements (10 CFR Part 1022). (1) be open to all market applications of DATES: To ensure that the full range of clean coal technologies, (2) apply to any DEPARTMENT OF ENERGY issues related to this proposal is segment of the U.S. coal resource base, addressed, DOE invites comments on and (3) encompass both new and retrofit Notice of Intent To Prepare an the scope and content of the EIS from applications. In response to the Environmental Impact Statement and all interested parties. All comments solicitation, proposals were received Notice of Floodplain and Wetlands must be received by December 31, 1997, Involvement for the Proposed to ensure consideration. Late comments and projects were selected by DOE for Jacksonville Electric Authority will be considered to the extent negotiation. In addition, a list of Circulating Fluidized Bed Combustor practicable. In addition to receiving alternate candidates was established Project comments in writing and by telephone, from which replacement selection could DOE will conduct a public scoping be made should any of the original AGENCY: Department of Energy. meeting in which agencies, selections not proceed. JEA’s proposed ACTION: Notice of intent to prepare an organizations, and the general public are CFB combustor project has evolved Environmental Impact Statement (EIS), invited to present oral comments or through a series of site changes from a and notice of floodplain and wetlands suggestions with regard to the range of project that was selected from the involvement. actions, alternatives, and impacts to be alternate list for demonstration. considered in the EIS. The scoping SUMMARY: The Department of Energy The demonstration of JEA’s CFB meeting will be held at the Northside combustor project under the CCT (DOE) announces its intent to prepare Generating Station, In-Plant Conference Program would fulfill an existing DOE an Environmental Impact Statement Room, 4377 Heckscher Drive, (EIS) pursuant to the National Jacksonville, Florida, on Wednesday, programmatic need. Coal has the Environmental Policy Act (NEPA) of December 3, 1997, at 7 p.m. potential to address critical energy 1969, as amended (42 U.S.C. 4321 et supply issues because of its abundant ADDRESSES: Written comments and seq.), the Council on Environmental reserves; however, barriers to increased requests to participate in the public Quality NEPA regulations (40 CFR Parts use of coal include concerns about scoping process should be addressed to: 1500–1508), and the DOE NEPA environmental issues, such as acid regulations (10 CFR Part 1021), to assess Dr. Jan Wachter, NEPA Document Manager for the JEA Project, Federal deposition, global climate change, the potential environmental and human polyaromatic hydrocarbon emissions, health impacts of the construction and Energy Technology Center, U.S. Department of Energy, 3610 Collins and solid waste. Since the early 1970’s, operation of a project proposed by the DOE and its predecessor agencies have Jacksonville Electric Authority (JEA) Ferry Road, Morgantown, WV 26507– 0880. Individuals who would like to sponsored long-term programs to that has been selected by DOE to develop innovative coal technologies demonstrate circulating fluidized bed verbally or electronically provide through the proof-of-concept stage to (CFB) technology under the Clean Coal comments should contact Dr. Wachter at overcome these environmental barriers Technology (CCT) Program. The direct telephone 304–285–4607; toll free while improving combustion efficiency proposed project would involve number 1–800–432–8330 (ext. 4607); fax construction and operation of a CFB 304–285–4469; or E-mail and reducing costs. combustor fueled by coal and petroleum [email protected]. However, the availability of a coke to repower an existing steam FOR FURTHER INFORMATION CONTACT: To technology at the proof-of-concept stage turbine at JEA’s Northside Generating obtain additional information about this is not sufficient to ensure its continued Station in Jacksonville, Florida, to project or to receive a copy of the draft development and subsequent generate nearly 300 megawatts of EIS when it is issued, contact Dr. Jan commercialization. Before any electricity (MWe). This EIS will support Wachter at the address provided above. technology can seriously be considered a DOE decision regarding whether DOE For general information on the DOE for commercialization, it must be will provide approximately $75 million NEPA process, contact Ms. Carol M. demonstrated at a large enough scale to Borgstrom, Director, Office of NEPA in cost-shared funding (about 24% of prove its reliability and to show Policy and Assistance (EH–42), U.S. the total cost of approximately $309 economically competitive performance. million) for the proposed project. Department of Energy, 1000 Independence Avenue, S.W., The financial risk associated with such The purpose of this Notice of Intent large-scale demonstration is, in general, is to inform the public about the Washington, D.C. 20585–0119; telephone 202–586–4600; or leave a too high for the private sector to assume proposed action; present the schedule in the absence of strong incentives. The for the action; announce the plans for a message at 1–800–472–2756. congressionally-directed CCT Program public scoping meeting; invite public SUPPLEMENTARY INFORMATION: provides a mechanism to accelerate the participation in the scoping process; commercialization of innovative and solicit public comments for Background and Need for the Proposed consideration in establishing the scope Action technologies to meet the nation’s near- and content of the EIS. The EIS will Under Public Law 99–190, Congress term energy and environmental goals, to evaluate the potential impacts of the provided authorization and funds to 60890 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices reduce technological risk to industry to generate nearly 300 MWe by repowering plant electrical distribution systems, the an acceptable level, and to provide the existing Unit 2 steam turbine, a switchyard, and the control systems. private sector incentives required for 297.5-MWe unit that has been out of Options being considered for continued research and development service since 1983. The project is transport of coal include (1) an aimed at finding solutions to long-range expected to provide JEA with a low- extension of conveyors from the nearby energy supply problems. cost, efficient, and environmentally- St. Johns River Power Park, and (2) construction of new receiving, handling, Proposed Action sound generating resource. In addition, JEA plans to repower the currently and storage facilities for solid fuel. The proposed action is for DOE to operating Unit 1 steam turbine without Limestone and ash storage and handling provide, through a cooperative cost-shared funding from DOE. The Unit facilities also would be required. agreement with JEA, cost-shared 1 steam turbine will be essentially Wherever possible, existing facilities financial assistance to JEA for the identical to the turbine for Unit 2, and and infrastructure located at the design, construction, and operation of is scheduled to be repowered about 6 to Northside Generating Station would be the proposed project, as described 12 months after the Unit 2 repowering. used for the proposed project. These below. JEA plans to form an alliance While the proposed project only include the discharge system for cooling with Foster Wheeler Corporation consists of the Unit 2 repowering water to the St. Johns River, the through its subsidiary, Foster Wheeler (because DOE would provide no wastewater treatment system, and the Power Systems, Inc., to jointly own and funding for the Unit 1 repowering), the electric transmission lines and towers. operate the project. Together with other EIS will evaluate the Unit 1 repowering Because Unit 2 has not operated since Foster Wheeler affiliates, Foster Wheeler as a related action. 1983, the baseline emissions from that Power Systems, Inc. will provide the In a CFB combustor, coal and coal/ unit are zero. Units 1 and 3 have been CFB combustor and perform the project fuel blends, air, and limestone are operating at annual capacity factors of engineering, procurement, and introduced into the lower portion of the less than 40%, firing either heavy oil or construction. The demonstration project combustor, where initial combustion natural gas. Unit 3 would continue as a would last 24 months and cost occurs. As the fuel is reduced in size 563.7-MWe oil/gas-fired unit. With the approximately $309 million, with DOE’s through combustion and breakage, it is exception of low-NOX (nitrogen oxide) share being nearly $75 million (24%). transported higher in the combustor burners on Unit 3, Units 1 and 3 are not The proposed project would be located currently equipped with emission where additional air is introduced. Ash at JEA’s existing Northside Generating control systems. and unburned fuel and limestone pass Station in Jacksonville, Florida, which The area is in attainment of the out of the combustor, collect in a currently consists of 3 heavy oil- and National Ambient Air Quality particle separator, and recirculate to the natural gas-fired steam generation units Standards. However, as part of JEA’s lower portion of the combustor. Sulfur and 4 diesel oil-fired combustion commitment to the local community in reacts with limestone added in the turbine units. the implementation of this project, JEA The Northside Generating Station is furnace to form ash that can be has committed to a 10% reduction in approximately 10 miles north of marketed as a useful byproduct such as the annual stack emissions for criteria downtown Jacksonville, Florida. The roadbed material. pollutants (i.e., sulfur dioxide, nitrogen Northside Generating Station is an For the proposed project, the oxides, and particulate matter) from the industrial site encompassing combined installation of the CFB Northside Generating Station (as approximately 400 acres, with 200 acres combustor and a flue gas scrubber is compared to recent annual emissions). devoted to existing steam generation expected to remove over 97% of the In achieving this objective, the units, combustion turbine units, and sulfur dioxide emitted from burning combined emissions from the associated infrastructure. New coal that contains up to 4.5% sulfur. repowered Units 1 and 2 operating at construction associated with JEA’s The relatively low furnace operating annual capacity factors of 100% are ° proposed CFB combustor project would temperature of about 1650 F would projected to be less than recent typical occupy approximately 60 acres of result in appreciably lower nitrogen annual emissions from Unit 1 alone. previously disturbed land. The oxide emissions compared to Another part of JEA’s community Northside Generating Station contains a conventional coal-fired power plants. commitment is that groundwater number of wetland areas, especially in The project would also include a new consumption will be reduced by at least the perimeter areas. Preliminary selective non-catalytic reduction system 10% from recent levels. This would be analysis indicates that the site may be to further reduce emissions of nitrogen accomplished by increased recycling of in a hurricane storm surge area, in oxides. Over 99.8% of particulate the treated wastewater produced at the addition to the 100-year floodplain of emissions would be removed by a new station. Plant wastewater is presently the St. Johns River. The most significant baghouse or a new electrostatic treated with lime, followed by environmental feature associated with precipitator. clarification in settling basins. While the Northside Generating Station is the In addition to the CFB combustor some recycled water is currently nearby presence of estuarine salt marsh itself and the air pollution control utilized, most of the treated wastewater backwaters of the St. Johns River. St. systems, new equipment for the project is discharged to percolation ponds. Johns River Power Park, an industrial would include a new stack and new Should the proposed project be site which consists of two 624 MWe fuel, limestone, and ash handling implemented, the discharge of treated coal- and petroleum coke-burning systems. The height of the proposed wastewater to the ponds would be power plants on 1,656 acres, is adjacent new stack is expected to be reduced. to the Northside Generating Station. approximately 450 feet compared to 300 Project activities would include The overall objective of the project is feet for the existing stack at Unit 2. The engineering and design, permitting, to demonstrate the feasibility of CFB project would also require overhaul equipment procurement, construction, technology at a size that will be and/or modifications to existing systems startup, and a 24-month demonstration attractive for large-scale utility such as the steam turbine, condensate of the commercial feasibility of the operation. The new CFB combustor and feedwater systems, circulating technology. DOE plans to complete the would use coal and petroleum coke to water systems, water treatment systems, EIS and issue a Record of Decision Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60891 within 15 months of publication of this proposed action, which assumed that undisturbed area would be much Notice of Intent, assuming timely the clean coal projects would be higher, and the environmental impact delivery of environmental information selected and funded, and that likely would be much greater than at an from JEA for use in developing the EIS. successfully demonstrated technologies existing facility. The existing Northside Upon completing its NEPA review, if would undergo widespread Generating Station has several DOE decides to implement the proposed commercialization by the year 2010. advantages because it is an operating action, construction would commence For JEA’s proposed CFB combustor plant with land available for installation in early 1999 and finish in late 2001, project, the range of reasonable of new facilities. Much of the required startup would occur in early 2002, and alternatives to be considered in the EIS infrastructure, including the electric demonstration of the technology would is also narrowed in accordance with the transmission lines and towers, is begin in April 2002. During the overall NEPA strategy. The no action already in place, thereby reducing the demonstration, Unit 2 would be alternative will be analyzed in the EIS level of capital investment and operated on several different types of as a reasonable alternative to the construction impacts. The station has coal and coal/fuel blends to demonstrate proposed action of providing cost- the flexibility to accommodate possible the flexibility of the technology. Upon shared funding support for the proposed fuel delivery needs with its existing rail completion of the demonstration phase, project. DOE will consider any other and water facilities. Furthermore, most the facility would continue its reasonable alternatives that may be of the operational staffing for the new commercial operation. suggested during the public scoping facility would be accommodated by the period. existing Northside Generating Station Alternatives Under no action, DOE would not staff. NEPA requires that agencies discuss provide partial funding for the design, the reasonable alternatives to the construction, and operation of the Preliminary Identification of proposed action in an EIS. The purpose project. In the absence of DOE funding, Environmental Issues for agency action determines the range there are three options that JEA could The following issues have been of reasonable alternatives. Congress reasonably pursue. These options will tentatively identified for analysis in the established the CCT Program with a be analyzed under the no action EIS. This list, which was developed specific purpose: to demonstrate the alternative. JEA could construct the partly on the basis of concerns provided commercial viability of technologies proposed project without DOE cost- by the public in response to JEA’s that use coal in more environmentally shared funding. Under this scenario, the stakeholder outreach program, is not benign ways than conventional coal potential environmental impacts or intended to be all inclusive, but is technologies. Congress also directed benefits at Northside Generating Station presented to facilitate public comment DOE to pursue the goals of the CCT are expected to be identical to those of on the scope of the EIS. Additions to or Program by means of partial funding the proposed project. A second option is deletions from this list may occur as a (cost-sharing) of projects owned and that JEA could construct a new gas-fired result of the scoping process. The issues controlled by non-federal government combined cycle facility at Northside include: sponsors. This statutory requirement Generating Station or at another (1) Atmospheric Resources: potential places DOE in a much more limited role location. Under this scenario, potential air quality impacts resulting from air than if the federal government were the environmental impacts or benefits at emissions during current and future owner and operator of the project. In the Northside Generating Station would operation of Northside Generating latter situation, DOE would be vary from those of the proposed project. Station (e.g., effects of ground-level responsible for a comprehensive review A third option is that JEA could concentrations of criteria pollutants, of reasonable alternatives. However, in purchase electricity from other utilities and trace metals including mercury, on dealing with an applicant, the scope of to meet JEA’s projected demand. Under surrounding residential areas and the alternatives is necessarily more this scenario, potential environmental Timucuan Preserve (a National Park restricted. It is appropriate in such cases impacts or benefits at Northside Service Class II ecological and historic for DOE to give substantial weight to the Generating Station related to preserve adjacent to the western edge of applicant’s needs in establishing a demonstration of the proposed project the Northside Generating Station); project’s reasonable alternatives. would not be realized. In addition, the potential effects of greenhouse gas An overall strategy for compliance second and third options would not emissions on global climate change; with NEPA was developed for the CCT contribute to the objective of the CCT (2) Water Resources and Aquatic Program that includes consideration of Program, which is to make available to Ecology: potential effects on surface both programmatic and project-specific the U.S. energy marketplace advanced, water and groundwater resources environmental impacts during and after more efficient, economically feasible, consumed and discharged; potential the process of selecting a project. As and environmentally acceptable coal effects on estuarine salt marsh part of the NEPA strategy, the EIS for technologies. ecosystems and aquatic biota resulting JEA’s proposed CFB combustor project Because of DOE’s limited role of from withdrawing and discharging will tier off the program’s final providing cost-shared funding for JEA’s cooling water from the St. Johns River Programmatic Environmental Impact proposed project and because of the (e.g., thermal discharge, entrainment or Statement (PEIS) that was issued by advantages associated with the impingement of fish and invertebrate DOE in November 1989 (DOE/EIS– proposed location, DOE does not plan to species); 0146). Two alternatives were evaluated evaluate alternative sites for the (3) Infrastructure and Land Use: in the PEIS: (1) the no action alternative, proposed project. JEA considered potential effects resulting from the which assumed that the CCT Program additional sites during its site selection transport of coal, petroleum coke, and was not continued and that process. Site selection was governed limestone required for the proposed conventional coal-fired technologies, primarily by benefits that could be project, including the development of with flue gas desulfurization and realized by JEA. An existing plant site land for infrastructure, storage, or waste nitrogen oxide controls to meet New was preferred because the cost disposal; affected resource areas Source Performance Standards, would associated with construction of the including land (e.g., existing shoreline continue to be used; and (2) the project at a ‘‘greenfield’’ site in an and wetlands), utilities, and 60892 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices transportation routes (e.g., train traffic to December 3, 1997, at 7 p.m. The address submitted the energy information supply coal); of the Northside Generating Station is collection listed in this notice to Office (4) Solid Waste: pollution prevention 4377 Heckscher Drive, Jacksonville, of Management and Budget (OMB) for and waste management practices, Florida. DOE requests that anyone who review under provisions of Section 3507 including solid waste impacts, caused wishes to speak at this public scoping of the Paperwork Reduction Act of 1995 by the generation, treatment, transport, meeting contact Dr. Jan Wachter, either (Pub. L. No. 104–13). Any interested storage, and disposal of solid wastes; by phone, fax, computer, or in writing person may file comments on the (5) Construction: impacts associated (see ADDRESSES in this Notice). collection of information directly with with noise, traffic patterns, and Individuals who do not make advance OMB and should address a copy of construction-related emissions; arrangements to speak may register at those comments to the Commission as (6) Visual: impacts associated with a the meeting and will be given the explained below. The Commission new stack that is taller than existing opportunity to speak after all previously received no comments in response to an structures at Northside Generating scheduled speakers have made their earlier Federal Register notice of May Station; presentations. Speakers who wish to 28, 1997 (62 FR 28844) and has made (7) Floodplains: potential impacts make presentations longer than five this notation in its submission to OMB. (e.g., impeding floodwaters, re-directing minutes should indicate the length of DATES: Comments regarding this floodwaters, on-site and off-site time desired in their request. Depending collection of information are best property damage) of siting new on the number of speakers, it may be assured of having their full effect if buildings and infrastructure within necessary to limit speakers to five received within 30 days of this floodplain and hurricane storm surge minute presentations initially, with the notification. areas; opportunity for additional presentation ADDRESSES: Address comments to Office (8) Wetlands: potential reduction of as time permits. Speakers can also of Management and Budget, Office of wetlands due to new construction (e.g., provide additional written information Information and Regulatory Affairs, construction associated with feedstock to supplement their presentations. Oral Attention: Federal Energy Regulatory transport infrastructure); and written comments will be given Commission, Desk Officer, 726 Jackson (9) Community Impacts: impacts on equal weight. Place, N.W., Washington, D.C. 20503. A public safety related to fire and DOE will begin the meeting with an copy of the comments should also be emergency vehicle access to the overview of the proposed CFB sent to Federal Energy regulatory Northside community of Jacksonville; combustor project. A presiding officer Commission, Division of Information impacts to local traffic patterns resulting will be designated by DOE to chair the Services, Attention: Mr. Michael Miller, from rail traffic; socioeconomic impacts meeting. The meeting will not be 888 First Street N.E., Washington, D.C. on public services and infrastructure conducted as an evidentiary hearing, 20426. (e.g., police protection, schools, and and speakers will not be cross- FOR FURTHER INFORMATION CONTACT: utilities); noise associated with project examined. However, speakers may be Michael P. Miller may be reached by operation; environmental justice with asked to clarify their statements to telephone at (202) 208–1415, by fax at respect to the surrounding community; ensure that DOE fully understands the (202) 273–0873, and by e-mail at and comments or suggestions. The presiding [email protected]. (10) Cumulative effects that result officer will establish the order of from the incremental impacts of the speakers and provide, any additional SUPPLEMENTARY INFORMATION: proposed project when added to other procedures necessary to conduct the past, present, and reasonably meeting. Description foreseeable future actions (e.g., Issued in Washington, D.C., this 6th day of The energy information collection incremental discharge of cooling water November, 1997. submitted to OMB for review contains: 1. Collection of Information: FERC– affecting aquatic biota). Peter N. Brush, 512 ‘‘Application for Preliminary Public Scoping Process Acting Assistant Secretary, Environment, Safety and Health. Permit’’ To ensure that the full range of issues 2. Sponsor: Federal Energy Regulatory related to this proposal are addressed, [FR Doc. 97–29890 Filed 11–12–97; 8:45 am] Commission DOE will conduct an open process to BILLING CODE 6450±01±P 3. Control No.: OMB No. 1902–0073. define the scope of the EIS. The public The Commission is now requesting that scoping period will run until December OMB approve a three-year extension of DEPARTMENT OF ENERGY 31, 1997. Interested agencies, the current expiration date, with no organizations, and the general public are Federal Energy Regulatory changes to the existing collection. There encouraged to submit comments or Commission is a decrease in the reporting burden suggestions concerning the content of due to a decrease in the number of the EIS, issues and impacts to be [FERC±512] applicants filing with the Commission. addressed in the EIS, and the These are mandatory collection Information Collection Submitted for alternatives that should be analyzed. requirements. Review and Request For Comments Scoping comments should clearly 4. Necessity of Collection of describe specific issues or topics that November 6, 1997. Information: Submission of the the EIS should address in order to assist AGENCY: Federal Energy Regulatory information is necessary to enable the DOE in identifying significant issues. Commission. Commission to carry out its Written, e-mailed, faxed, or telephoned ACTION: Notice of submission for review responsibilities in implementing the comments should be communicated by by the Office of Management and provisions of the Federal Power Act December 31, 1997 (see ADDRESSES). Budget (OMB) and request for (FPA). The information reported under In addition, a public scoping meeting comments. Commission identifier FERC–512 is to be conducted by DOE will be held in filed in accordance with Sections 4(f), 5, the In-Plant Conference Room at the SUMMARY: The Federal Regulatory 7, (FPA). The Part I of the FPA gives the Northside Generating Station on Commission (Commission) has Commission authority to issue licenses Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60893 for hydroelectric projects on the waters requirements related to Electronic Data November 1, 1997, Standards, as over which Congress has jurisdiction. Interchange (EDI) and Electronic directed by the Commission. The purpose of obtaining a preliminary Delivery Mechanism (EDM). Granite Koch also states that it has served permit is to maintain priority status for State asserts that complications and copies of this filing upon each person an application for a license, while the delays have occurred in establishing designated on the official service list as applicant conducts site examinations computer capability to implement the compiled by the Secretary in this and surveys and to prepare maps, plans, GISB EDI/EDM standards and proceeding. specifications and estimates. The requirements in Granite State’s Commission’s staff use the information operations. Accordingly, Granite State Any person desiring to protest this collected under FERC–512 to conduct further requests an extension until filing should file a protest with the research on the jurisdictional aspects of December 31, 1997 to comply with the Federal Energy Regulatory Commission, the project. The research includes a EDI/EDM requirements and the 888 First Street, N.E., Washington, D.C. determination of the applicant’s foregoing tariff sheets remove from the 20426, in accordance with Section qualifications to hold a preliminary tariff those requirements until Granite 385.211 of the Commission’s rules and permit, a review of the proposed hydro State has the capability to comply with regulations. All such protests must be development for feasibility and to issue them. filed as provided by Section 154.210 of public notice of the application to Granite State states that copies of its the Commission’s rules and regulations. solicit public and agency comments. filing were served on its firm and Protests will be considered by the 5. Respondent Description: The interruptible customers, the regulatory Commission in determining the respondent universe currently agencies of the states of Maine, appropriate action to be taken, but will comprises on average, 45 applicants for Massachusetts and New Hampshire, and not serve to make protestants parties to an application for a hydroelectric the intervenor in Docket No. RP07–137– the proceeding. Copies of this filing are preliminary permit. 000. on file with the Commission and are 6. Estimated Burden: 3,285 total Any person desiring to protest this available for public inspection in the burden hours, 6 respondents, 1 response filing should file a protest with the Public Reference Room. annually, 73 hours per response Federal Energy Regulatory Commission, Lois D. Cashell, (average). 888 First Street, NE., Washington, DC Secretary. 7. Estimated Cost Burden to 20426, in accordance with Section [FR Doc. 97–29811 Filed 11–12–97; 8:45 am] Respondents: 3,285 hours ÷ 2,087 hours 385.211 of the Commission’s rules and BILLING CODE 6717±01±M per year × $110,000 per year = $173,142. regulations. All such protests must be Statutory Authority: Sections 4(f), 5, 7 of filed as provided in section 154.210 of the Federal Power Act (FPA), 16 U.S.C. the Commission’s Regulations. Protests DEPARTMENT OF ENERGY Sections 791a et seq. will be considered by the Commission Lois D. Cashell, in determining the appropriate action to Federal Energy Regulatory Secretary. be taken, but will not serve to make Commission [FR Doc. 97–29801 Filed 11–12–97; 8:45 am] protestants parties to the proceeding. BILLING CODE 6717±01±M Copies of this filing are on file with the [Docket No. RP97±373±000] Commission and are available for public inspection in the Public Reference Koch Gateway Pipeline Company; DEPARTMENT OF ENERGY Room. Notice of Informal Settlement Lois D. Cashell, Conference Federal Energy Regulatory Secretary. November 6, 1997. Commission [FR Doc. 97–29810 Filed 11–12–97; 8:45 am] [Docket No. RP97±153±008] BILLING CODE 6717±01±M Take notice that an informal settlement conference will be convened Granite State Gas Transmission, Inc., in this proceeding on November 19, Notice of Proposed Changes in FERC DEPARTMENT OF ENERGY 1997, at 10:00 a.m., at the offices of the Gas Tariff Federal Energy Regulatory Commission, Federal Energy Regulatory 888 First Street, N.E., Washington, D.C., November 6, 1997. Commission for the purpose of exploring the possible Take notice that on November 3, [Docket No. RP97±154±008] settlement of the above-referenced 1997, Granite State Gas Transmission, docket. Inc. (Granite State) tendered for filing as Koch Gateway Pipeline Company; Any party, as defined by 18 CFR part of its FERC Gas Tariff, Third Notice of Compliance Filing Revised Volume No. 1, the revised tariff 385.102(c), or any participant as defined sheets listed below, to become effective November 6, 1997. by 18 CFR 385.102(b), is invited to November 1, 1997: Take notice that on November 3, attend. Persons wishing to become a 1997, Koch Gateway Pipeline Company party must move to intervene and Fourth Revised Sheet No. 215 receive intervenor status pursuant to the Fourth Revised Sheet No. 289 (Koch) tendered for filing as part of its FERC Gas Tariff, Fifth Revised Volume Commission’s regulations (18 CFR Grante State Asserts that the tariff No. 1, the following tariff sheets, to 385.214). sheets are in compliance with the become effective November 1, 1997: For additional information, contact Director letter order issued in this Edith A. Gilmore at (202) 208–2158 or proceeding on October 30, 1997. Further Substitute Fourth Revised Sheet No. 802 Sandra J. Delude at (202) 208–0583. Granite State asserts that, it has Second Revised Sheet No. 2401 submitted prior tariff filings with the Koch states that this filing is being Lois D. Cashell, Commission adopting and making submitted in compliance with OPR Secretary. effective as of November 1, 1997 certain Letter Order dated October 22, 1997. [FR Doc. 97–29816 Filed 11–12–97; 8:45 am] Gas Industry Standard Board’s (GISB) Koch revised its tariff to reflect GISB BILLING CODE 6717±01±M 60894 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

DEPARTMENT OF ENERGY Volume No. 1, the following tariff All interested parties and Staff are sheets, to become effective November 1, permitted to attend. Federal Energy Regulatory 1997: Lois D. Cashell, Commission Substitute Third Revised Sheet No. 132 Secretary. [Docket No. RP97±176±006] Substitute Second Revised Sheet No. 133 [FR Doc. 97–29817 Filed 11–12–97; 8:45 am] Second Revised Sheet No. 134 BILLING CODE 6717±01±M MIGC, Inc.; Notice of Compliance Filing Mobile states that this filing is being submitted in compliance with OPR November 6, 1997. DEPARTMENT OF ENERGY Take notice that on November 3, Letter Order dated October 22, 1997. 1997, MIGC, Inc. (MIGC), tendered for Mobile revised its tariff to reflect GISB Federal Energy Regulatory filing as part of its FERC Gas Tariff, First November 1, 1997, Standards, as Commission Revised Volume No. 1, the revised tariff directed by the Commission. sheets listed on Appendix A to the Mobile also states that it has served [Docket Nos. RP97±275±008, and TM97±2± filing, to be effective November 1, 1997. copies of this filing upon each person 59±006] MIGC states that the purpose of the designated on the official service list as Northern Natural Gas Company; Notice filing is to comply with the compiled by the Secretary in this of Compliance Filing Commission’s June 10 Letter Order (as proceeding. modified by a June 20 Errata to the Any person desiring to protest this November 6, 1997. Letter Order) directing MIGC to file to filing should file a protest with the Take notice that on November 3, reflect changes in its tariff to conform to Federal Energy Regulatory Commission, 1997, Northern Natural Gas Company the standards adopted by the Gas 888 First Street, N.E., Washington, D.C. (Northern), tendered for filing to become Industry Standards Board and 20426, in accordance with Section part of Northern’s FERC Gas Tariff Fifth incorporated into the Commission’s 385.211 of the Commission’s rules and Revised Volume No. 1, the following Regulations by Order Nos. 587–C. regulations. All such protests must be tariff sheets: MIGC states that copies of its filing filed as provided by Section 154.210 of are being mailed to its jurisdictional the Commission’s rules and regulations. Fifth Revised Sheet No. 109 customers, all parties on the official Protests will be considered by the Third Revised Sheet No. 123 Fifth Revised Sheet No. 132 Commission in determining the service list in Docket No. RP97–176– Substitute Original Sheet No. 301 000, and interested state commissions. appropriate action to be taken, but will Substitue First Revised Sheet No. 301. Any person desiring to protest said not serve to make protestants parties to Original Sheet No. 301A filing should file a protest with the the proceeding. Copies of this filing are Substitute Original Sheet No. 301A Federal Energy Regulatory Commission, on file with the Commission and are 888 First Street, NE., Washington, DC available for public inspection in the Northern states that this filing is made 20426, in accordance with Section public Reference Room. in compliance with the Commission’s Order issued October 17, 1997 in the 385.211 of the Commission’s Rules and Lois D. Cashell, above-referenced dockets addressing the Regulations. Protests will be considered Secretary. by the Commission in determining the fuel periodic rate adjustment (PRA) [FR Doc. 97–29812 Filed 11–12–97; 8:45 am] mechanism. appropriate action to be taken, but will BILLING CODE 6717±01±M not serve to make protestants parties to Northern states that copies of the the proceeding. Copies of this filing are filing were serve upon Northern’s customers and interested State on file with the Commission and are DEPARTMENT OF ENERGY available for public inspection in the Commissions. Public Reference Room. Federal Energy Regulatory Any person desiring to to protest said Lois D. Cashell, Commission filing should file a protest with the Federal Energy Regulatory Commission, Secretary. 888 First Street, N.E., Washington, D.C., [FR Doc. 97–29813 Filed 11–12–97; 8:45 am] [Docket No. RP97±392±001] 20426, in accordance with Section BILLING CODE 6717±01±M National Fuel Gas Supply Corporation; 385.211 of the Commission’s Rules and Notice of Technical Conference Regulations. All such protests must be filed in accordance with Section DEPARTMENT OF ENERGY November 6, 1997. 154.210 of the Commission’s Federal Energy Regulatory Pursuant to the Commission’s order, Regulations. All protests will be Commission issued on October 29, 1997, a technical considered by the Commission in conference will be held to resolve the determining the appropriate action to be [Docket No. RP97±155±088] issues raised in the above-captioned taken in this proceeding, but will not proceeding. serve to make protestant a party to the Mobile Bay Pipeline Company; Notice proceeding. Copies of this filing are on of Compliance Filing The conference will be held on Tuesday, November 18, 1997 from 10:00 file with the Commission and are November 6, 1997. a.m. to 5:00 p.m., in a room to be available for inspection. Take notice that on November 3, designated at the offices of the Federal Lois D. Cashell, 1997, Mobile Bay Pipeline Company Energy Regulatory Commission, 888 Secretarty. (Mobile) tendered for filing as part of its First Street, N.E., Washington, D.C. [FR Doc. 97–29814 Filed 11–12–97; 8:45 am] FERC Gas Tariff, Second Revised 20426. BILLING CODE 6717±01±M Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60895

DEPARTMENT OF ENERGY customers and upon each state public parties to the proceeding. Any person service commission with retail rate wishing to become a party must file a Federal Energy Regulatory jurisdiction over such customers. motion to intervene. Copies of this filing Commission Any person desiring to be heard or to are on file with the Commission and are [Docket Nos. RP97±275±000 and TM97±2± protest said filing should file a motion available for public inspection. 59±000] to intervene or protest with the Federal Lois D. Cashell, Energy Regulatory Commission, 888 Secretary. Northern Natural Gas Company; Notice First Street, N.E., Washington, D.C. [FR Doc. 97–29803 Filed 11–12–97; 8:45 am] 20426, in accordance with Rules 211 of Informal Settlement Conference BILLING CODE 6717±01±M and 214 of the Commission’s Rules of November 6, 1997. Practice and Procedure (18 CFR 385.211 Take notice that an informal and 18 CFR 385.214). All such motions DEPARTMENT OF ENERGY settlement conference will be convened or protests should be filed on or before in the above-captioned proceeding at November 18, 1997. Protests will be Federal Energy Regulatory 10:00 a.m. on Wednesday, November considered by the Commission in Commission 12, 1997, at the offices of the Federal determining the appropriate action to be Energy Regulatory Commission, 888 taken, but will not serve to make [Docket Nos. EC96±19±007, ER96±1663± 008, et al.] First Street, NE, Washington, DC, for the protestants parties to the proceeding. purpose of exploring the possible Any person wishing to become a party Pacific Gas and Electric Company, San settlement of the above-referenced must file a motion to intervene. Copies Diego Gas & Electric Company, and dockets. of this application are on file with the Southern California Edison Company, Any party, as defined by 18 CFR Commission and are available for public et al.; Notice of Filings 385.102(c), or any participant as defined inspection. in 18 CFR 385.102(b), is invited to Lois D. Cashell, November 6, 1997. attend. Persons wishing to become a Secretary. Take notice that on October 31, 1997, party must move to intervene and [FR Doc. 97–29808 Filed 11–12–97; 8:45 am] Pacific Gas and Electric Company receive intervenor status pursuant to the (PG&E), San Diego Gas and Electric BILLING CODE 6717±01±M Commission’s regulations (18 CFR Company (SDG&E), and Southern 385.214) prior to attending. California Edison Company (Edison), For additional information please DEPARTMENT OF ENERGY (collectively ‘‘the Companies’’), and the contact Michael D. Cotleur, (202) 208– California Independent System Operator 1076, or Russell B. Mamone (202) 208– Federal Energy Regulatory Corporation (ISO), tendered for filing 0744. Commission several filings related to the pro forma Lois D. Cashell, [Docket Nos. EC96±19±006 and ER96±1663± reliability Must-Run Agreements Secretary. 007] contained in Exhibit G of the ISO [FR Doc. 97–29815 Filed 11–12–97; 8:45 am] Operating Agreement and Tariff. BILLING CODE 6717±01±M Pacific Gas and Electric Company, San Docket Nos. EC96–19–007 and ER96– Diego Gas & Electric Company, and 1663–008 Southern California Edison Company; Department of Energy Notice of Filings In Docket No. EC96–19–007 and ER96–1663–008, the ISO filed Federal Energy Regulatory November 6, 1997. amendments to the pro forma reliability Commission Take notice that on October 31, 1997, Must-Run Agreements contained in the California Power Exchange Exhibit G of the ISO Operating [Docket No. OA97±618±000] Corporation (PX), tendered for filing a Agreement and Tariff. The ISO requests Ohio Valley Electric Corporation pro forma agreement and PX protocols that these amendments be considered Indiana-Kentucky Electric Corporation; that it had committed to file with the with the reliability Must-Run Notice of Revision of Tariff Commission by November 1, 1997. In Agreement rate filings of the addition, the PX submitted proposed Companies, filed on October 31, 1997. November 6, 1997. amendments to the PX Tariff. The PX Take notice that on July 9, 1997, Ohio states that certain of these protocols and Docket No. ER98–495–000 Valley Electric Corporation and its proposed tariff changes are submitted In Docket No. ER98–495–000, PG&E wholly-owned subsidiary, Indiana- for informational purposes. tendered for filing a proposed Must-Run Kentucky Electric Corporation (together, Any person desiring to be heard or to Agreement and Cost support for rates the ‘‘OVEC System’’) tendered for filed protest said filings should file a motion included in schedules to the Agreement. an amended version of their Open to intervene or protest with the Federal PG&E requests that this filing be made Access Transmission Tariff (the Energy Regulatory Commission, 888 effective by January 1, 1998, to enable ‘‘compliance Tariff’’). First Street, N.E., Washington, D.C. the ISO to provide transmission service As required by the Commission’s 20426, in accordance with Rules 211 or using the dispatch of reliability must- Order No. 888–A, the Compliance Tariff 214 of the Commission’s Rules of run generating units covered by this incorporates changes to the OVEC Practice and Procedure (18 CFR Agreement when needed. System’s Open Access Transmission 385.211, 385.214). All such motions or PG&E states that this filing is a further Tariff filed with the Commission on July protests should be filed on or before part of the comprehensive restructuring 9, 1996. The requested effective date of November 21, 1997. Filings must proposal for the California electric the Compliance Tariff is September 7, include a one page executive summary. power industry whose implementation 1997, sixty (60) days after the date of the Protests filed with the Commission relies on several rate schedules filed and OVEC System’s filing. will be considered by it in determining to be filed with the Commission. Copies of the filing were served upon the appropriate action to be taken but According to PG&E, the Agreement the OVEC System’s jurisdictional will not serve to make the protestants authorizes the ISO to dispatch, for 60896 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices energy or specified ancillary services, DEPARTMENT OF ENERGY 1 of Pend Oreille County, Washington certain steam thermal, geothermal and (Pend Oreille), filed an application hydroelectric generating facilities Federal Energy Regulatory requesting Commission approval of a owned and operated by PG&E, when Commission contract for the sale of power from the needed to assure reliable service. PG&E [Docket Nos. EC96±19±008 and ER96±1663± Box Canyon Project No. 2042 for a states that this dispatch will normally 009] period extending approximately three be necessary when a local transmission and one-half years beyond the January Pacific Gas and Electric Company, San constraint limits the ability of the ISO 30, 2002 expiration date of the license. Diego Gas & Electric Company and to transmit enough energy or ancillary The project is located on the Pend Southern California Edison Company; services available from successful bids Oreille River in Pend Oreille County, into the California Power Exchange (PX) Notice of Filings Washington. to serve load in certain areas with transmission constraints. November 6, 1997. Section 22 provides that contracts for Take notice that on October 31, 1997, the sale and delivery of power for Docket No. ER98–496–000 the California Independent System periods extending beyond the In Docket No. ER98–496–000, SDG&E Corporation (ISO), tendered for filing termination date of a license may be tendered for filing the terms and pro forma agreements and ISO protocols entered into upon the joint approval of conditions, including rates and that it had committed to file with the the Commission and the appropriate Commission by November 1, 1997. In performance criteria of SDG&E’s state public service commission or other addition, the ISO submitted proposed proposed Master Must Run Agreement similar authority in the state in which amendments to the ISO Operating to be entered into with the ISO. SDG&E the sale or delivery of power is made. requests that the filing be made effective Agreement and Tariff. The ISO states Pend Oreille states in its application subject to refund within 60 days of this that certain of these protocols and that Commission approval of the power filing but no later than January 1, 1998. proposed tariff changes are submitted SDG&E states that the proposed filing for informational purposes. sales contract is in the public interest is intended to implement a portion of Any person desiring to be heard or to because the contract permitted Pend the comprehensive restructuring of the protest said filings should file a motion Oreille to finance the construction of the California electric industry proposed in to intervene or protest with the Federal project when it did not have the Docket Nos. EC96–19–000 and ER96– Energy Regulatory Commission, 888 necessary credit rating to do so 1663–000. SDG&E further states that the First Street, N.E., Washington, D.C. independently. proposed filing would establish the 20426, in accordance with Rules 211 or Anyone may submit comments, a rates, terms, and conditions under 214 of the Commission’s Rules of protest, or a motion to intervene in which it will provide energy and Practice and Procedure (18 CFR accordance with the requirements of the ancillary services to the ISO as 385.211, 385.214). All such motions or Commission’s Rules of Practice and necessary to ensure reliability of the ISO protests should be filed on or before Procedure, 18 CFR 385.210, 385.211 and controlled grid. November 21, 1997. Filings must 385.214. In determining the appropriate include a one page executive summary. Docket No. ER98–441–000 Protests filed with the Commission action to take, the Commission will In Docket No. ER98–441–000, Edison will be considered by it in determining consider all protests and other filed six Must-Run Agreements, the appropriate action to be take but comments, but only those who file a applicable to Edison’s six must-run will not serve to make the protestants motion to intervene may became a party facilities. Edison requests that the parties to the proceeding. Any person to the proceeding. Comments, protests, proposed filing be made effective on the wishing to become a party must file a or motions to intervene must be filed by date that the PX commences operations. motion to intervene. Copies of this filing [the 30th day following publication of Any person desiring to be heard or to are on file with the Commission and are this notice in the Federal Register]; protest said filings should file a motion available for public inspection. must bear in all capital letters the title to intervene or protest with the Federal Lois D. Cashell, ‘‘COMMENTS,’’ ‘‘PROTEST,’’ or Energy Regulatory Commission, 888 ‘‘MOTION TO INTERVENE,’’ as First Street, NE., Washington, DC 20426, Secretary. applicable, and ‘‘Project No. 2042.’’ in accordance with Rules 211 or 214 of [FR Doc. 97–29805 Filed 11–12–97; 8:45 am] the Commission’s Rules or Practice and BILLING CODE 6717±01±M Send the filings (original and 14 copies) Procedure (18 CFR §§ 385.211, 385.214). to: The Secretary, Federal Energy All such motions or protests should be Regulatory Commission, 888 First filed on or before November 21, 1997. DEPARTMENT OF ENERGY Street, N.E. Washington, D.C. 20426. A copy of any filing must also be served Filings must include a one page FEDERAL ENERGY REGULATORY executive summary. upon each representative of the licensee Protests filed with the Commission COMMISSION specified in its application. will be considered by it in determining [Project No. 2042±008] Lois D. Cashell, the appropriate action to be taken but Secretary. will not serve to make the protestants Public Utility District No. 1 of Pend [FR Doc. 97–29806 Filed 11–12–97; 8:45 am] parties to the proceeding. Any person Oreille County, Washington; Notice Of wishing to become a party must file a Application For Approval of Contracts BILLING CODE 6717±01±M motion to intervene. Copies of this filing For The Sale Of Power for A Period are on file with the Commission and are Extending Beyond The Term of The available for public inspection. License Lois D. Cashell, November 6, 1997. Secretary. On October 3, 1997, pursuant to [FR Doc. 97–29804 Filed 11–12–97; 8:45 am] Section 22 of the Federal Power Act, 16 BILLING CODE 6717±01±M U.S.C. § 815, Public Utility District No. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60897

DEPARTMENT OF ENERGY DEPARTMENT OF ENERGY FERC should do so in accordance with 18 CFR 385.211. Federal Energy Regulatory Federal Energy Regulatory The FEIS has been placed in the Commission Commission public files of the FERC and is available [Docket Nos. CP96±655±001 and CP97±291± for public inspection at: Federal Energy [Docket No. RP97±146±006] 000, et al. Regulatory Commission, Public Reference and Files Maintenance U±T Offshore System; Notice of Destin Pipeline Company, L.L.C. and Branch, 888 First Street, N.E. Compliance Filing Southern Natural Gas Company; Washington, D.C. 20426, (202) 208– Notice of Availability of the Final 1371. November 6, 1997. Environmental Impact Statement for A limited number of copies are Take notice that on November 3, the Proposed Destin Pipeline Project available from the Public Reference and Files Branch identified above. 1997, U–T Offshore System (U–TOS), November 6, 1997. tendered for filing as part of its FERC Copies of the FEIS have been mailed The staff of Federal Energy Regulatory to Federal, state, and local agencies, Gas Tariff, Third Revised Volume No. 1, Commission (FERC or Commission) has public interest groups, interested the following tariff sheets to be effective prepared a final environmental impact individuals, newspapers, and parties to November 1, 1997: statement (FEIS) on the natural gas this proceeding. Sub Seventh Revised Sheet No. 73 pipeline facilities proposed by Destin Additional information about the Sub Second Revised Sheet No. 73A Pipeline Company, L.L.C. and Southern proposed project is available from Paul Sub First Revised Sheet No. 73B Natural Gas Company in the above- McKee in the Commission’s Office of referenced dockets and referred to as the External Affairs, at (202) 208–1088. U–TOS asserts that the purpose of this Destin Pipeline Project. Lois D. Cashell filing is to comply with the The staff prepared the FEIS to satisfy Secretary. Commission’s October 24, 1997, letter the requirements of the National order in the captioned proceeding Environmental Policy Act. The staff [FR Doc. 97–29802 Filed 11–12–97; 8:45 am] regarding Order No. 587–C. The above concludes that approval of the proposed BILLING CODE 6717±01±M mentioned letter order indicated that a project, with appropriate mitigating measures, would have limited adverse number of the standards did not reflect DEPARTMENT OF ENERGY the correct version number set forth in environmental impact. Section 284.10(b) of the regulations, The FEIS assesses the potential Federal Energy Regulatory with the exception of the Electronic environmental effects of the Commission Delivery Mechanism Standards. construction and operation of the following facilities in the central Gulf of Notice of Amendment of License Any person desiring to protest this Mexico and Mississippi: filing should file a protest with the • November 6, 1997. Federal Energy Regulatory Commission, a total of about 215.5 miles of 36–, 30– , and 16-inch-diameter interstate pipeline, Take notice that the following 888 First Street, NE, Washington, DC consisting of 75.6 miles offshore pipeline and hydroelectric application has been filed 20426, in accordance with Section 139.9 miles of onshore pipeline; with the Commission and is available 385.211 of the Commission’s Rules of • about 27,078 horsepower of new for public inspection: Practice and Procedure. All such compression at two new compressor stations; a. Type of Application: Amendment protests should be filed in accordance • seven new meter stations; and of license. • with Section 154.210 of the associated aboveground facilities, b. Project No: 2170–008. including a liquids slug catcher, and offshore Commission’s Regulations. Protests will c. Date Filed: May 27, 1997. gathering platform, and a related d. Applicant: Chugach Electric be considered by the Commission in nonjurisdictional gas processing plant. determining the appropriate action to be Association, Inc. The purpose of the proposed facilities taken, but will not serve to make e. Name of Project: Cooper Lake. is to transport up to 1 billion cubic feet f. Location: On the Cooper Creek, protestants parties to the proceeding. per day of natural gas from the Copper Lake, and Kenai Lake on Kenai Copies of this filing are on file and are development of new offshore deepwater Peninsula, in the vicinity of Cooper available for public inspection in the production areas in the central Gulf of Landing, Alaska. Public Reference Room. Mexico to interconnections with six g. Filed Pursuant to: Federal Power Lois D. Cashell, major interstate pipelines in Act, 16 U.S.C. § 791(a)–825(r). Secretary. Mississippi. The proposed facilities h. Applicant Contact: Burke Wick, [FR Doc. 97–29809 Filed 11–12–97; 8:45 am] would provide a new natural gas Chugach Electric Association, Inc., 5601 BILLING CODE 6717±01±M transportation infrastructure that would Minnesota Drive, P.O. Box 196300, avoid the overburdened pipeline Anchorage, Alaska 99519–6300, Tel: systems in southeastern Louisiana. (907) 563–7494. The FEIS will be used in the i. FERC Contact: Mohamad Fayyad, regulatory decision-making process at (202) 219–2665. the FERC and may be presented as j. Comment Date: December 22, 1997. evidentiary material in formal hearings k. Description of Amendment: at the FERC. While the period for filing Licensee proposes to increase the interventions in this case has expired, spillway capacity to allow passage of motions to intervene out-of-time can be the probable maximum flood (PMF). filed with FERC in accordance with the The proposed work consists of installing Commission’s Rules of Practice and a 4.5-ft-high sheetpile parapet wall Procedures, 18 CFR 385.214(d). Further, along the crest of the dam. The spillway anyone desiring to file a protest with the channel will be deepened and the 60898 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices spillway crest elevation will be reduced ENVIRONMENTAL PROTECTION Washington, D.C. 20460, (202) 260– from 1,210 ft to 1,206 ft. This will allow AGENCY 3804. Written comments should be sent to Michael Goo, Air and Radiation raising the operating pool level of the [FRL±59206] lake to 1,206 ft. Division, Office of General Counsel, 1. This notice also consists of the Proposed Settlement; Municipal Solid U.S. Environmental Protection Agency, 401 M Street, S.W., Washington, D.C. following standard paragraphs: B, C1, Waste Landfills NSPS and EG 20460 and must be submitted on or and D2. Litigation before December 15, 1997. B. Comments, Protests, or Motions to AGENCY: Environmental Protection Copies of the settlement also are Intervene—Anyone may submit Agency (EPA). available through the Technology comments, a protest, or a motion to ACTION: Notice of proposed settlement; Transfer Network (‘‘TTN’’), which is an intervene in accordance with the request for public comment. Agency electronic bulletin board that requirements of Rules of Practice and may be accessed by dialing (919) 541– SUMMARY: In accordance with section Procedure, 18 CFR 385.210, .211, .214. 5472 for up to a 14,400 baud modem; 113(g) of the Clean Air Act, as amended this service is free except for the cost of In determining the appropriate action to (‘‘Act’’), 42 U.S.C. 7413(g), notice is the phone call. The TTN is also take, the Commission will consider all hereby given of a proposed settlement in available on the Internet (access: http:/ protests or other comments filed, but National Solid Wastes Management /ttnwww.rtpnc.epa.gov). If more only those who file a motion to Association v. Browner, et al., No. 96– information on the TTN is needed, call intervene in accordance with the 1152 (D.C. Cir). This case involves a the HELP line at (919) 541–5472. Commission’s Rules may become a challenge to EPA’s rule entitled party to the proceeding. Any comments, ‘‘Standards of Performance For New Dated: November 6, 1997. protests, or motions to intervene must Stationary Sources and Guidelines for Jonathan Z. Cannon, be received on or before the specified Control of Existing Sources: Municipal General Counsel. comment date for the particular Solid Waste Landfills,’’ issued on March [FR Doc. 97–29857 Filed 11–12–97; 8:45 am] application. 12, 1996. 61 FR 9905 (March 12, 1996). BILLING CODE 6560±50±M C1. Filing and Service of Responsive The major action the Environmental Documents—Any filings must bear in Protection Agency (‘‘Agency’’) would take under this proposed settlement all capital letters the title ENVIRONMENTAL PROTECTION would be to propose a subpart-specific AGENCY ‘‘COMMENTS’’, definition of the term ‘‘modification’’ for ‘‘RECOMMENDATIONS FOR TERMS landfills. Under this definition, the term [FRL±5920±7] AND CONDITIONS’’, ‘‘PROTEST’’, OR ‘‘modification’’ would be defined solely ‘‘MOTION TO INTERVENE’’, as Agency Information Collection for landfills as any increase in the Activities; OMB Responses applicable, the Project Number of the permitted volume design capacity of the particular application to which the landfill, by either vertical or horizontal AGENCY: Environmental Protection filing refers. Any of the above-named expansion. EPA believes this definition Agency (EPA). documents must be filed by providing is consistent with the existing definition ACTION: Notice. the original and the number of copies of modification found at 40 CFR 60.14 provided by the Commission’s and, in particular, is consistent with the SUMMARY: This notice announces the regulations to: The Secretary, Federal exemption at 40 CFR 60.14(e) for Office of Management and Budget’s Energy Regulatory Commission, 888 modifications that do not require a (OMB) responses to Agency clearance First Street, N.E., Washington, D.C. capital expenditure. Other actions to be requests, in compliance with the 20426. A copy of any motion to taken under the proposed settlement Paperwork Reduction Act (44 U.S.C. intervene must also be served upon each include a number of technical 3501 et seq.). An agency may not representative of the Applicant corrections and clarifications, including conduct or sponsor, and a person is not specified in the particular application. a clarification of the timing of Title V required to respond to, a collection of permitting obligations for sources information unless it displays a D.2. Agency Comments—Federal, subject to the rule. currently valid OMB control number. state, and local agencies are invited to For a period of thirty (30) days The OMB control numbers for EPA’s file comments on the described following the date of publication of this regulations are listed in 40 CFR part 9 application. A copy of the application notice, the Agency will receive written and 48 CFR Chapter 15. may be obtained by agencies directly comments relating to the settlement FOR FURTHER INFORMATION CONTACT: from the Applicant. If any agency does from persons who were not named as Sandy Farmer (202) 260–2740, please not file comments within the time parties to the litigation in question. The refer to the appropriate EPA Information specified for filing comments, it will be Agency or the Department of Justice Collection Request (ICR) Number. presumed to have no comments. One may withhold or withdraw consent to copy of an agency’s comments must also the proposed settlement if the SUPPLEMENTARY INFORMATION: be sent to the Applicant’s comments disclose facts or OMB Responses to Agency Clearance representatives. circumstances that indicate that such Requests Lois D. Cashell, consent is inappropriate, improper, inadequate, or inconsistent with the OMB Approvals Secretary. requirements of the Act. Copies of the EPA ICR No. 0234.06; Performance [FR Doc. 97–29807 Filed 11–13–97; 8:45 am] settlement, which includes a draft Evaluation Studies on Water and BILLING CODE 6717±01±M rulemaking proposal as an attachment, Wastewater Laboratories; was approved are available from Samantha Hooks, Air 09/30/97; OMB No. 2080–0021; expires And Radiation Division (2344), Office of 09/30/2000. General Counsel, U.S. Environmental EPA ICR No. 1791.01; Establishment Protection Agency, 401 M Street, S.W., of Drinking Water Intake No Discharge Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60899

Zone(s) under Clean Water Act; was ACTION: Notice of proposed settlement. 3. Any items carried forward from a approved 10/20/97; OMB No. 2040– previously announced meeting. SUMMARY: Under Sections 104, 106(a), 0187; expires 10/31/2000. CONTACT PERSON FOR MORE INFORMATION: 107 and 122 of the Comprehensive EPA ICR No. 1815.01; Small Business Joseph R. Coyne, Assistant to the Board; Environmental Response, Compensation Compliance Assistance Centers; was 202–452–3204. and Liability Act (CERCLA), the United approved 10/22/97; OMB No. 2020– SUPPLEMENTARY INFORMATION: You may 0010; expires 10/31/2000. States Environmental Protection Agency (EPA) has offered to Potentially call 202–452–3206 beginning at EPA ICR No. 1414.03; Hazardous approximately 5 p.m. two business days Organic NESHAP (HON)—NESHAP Responsible Parties (PRPs); the Loef Company, Inc., a debtor-in-possession before the meeting for a recorded Subparts F, G, H, and I; was approved announcement of bank and bank 05/30/97; OMB No. 2060–0282; expires in bankruptcy case no. 96–31517 pending before the United States holding company applications 05/31/2000. scheduled for the meeting; or you may EPA ICR No. 1695.03; Amendment to Bankruptcy Court for the Middle District of Georgia (Bankruptcy Court), contact the Board’s Web site at http:// the Information Collection Request; www.bog.frb.fed.us for an electronic Emission Standards for New Non-road Robert L. Blumberg, Frederick J. Loef, and Sarah G. Loef; an Agreement for announcement that not only lists Spark-Ignition Engines; was approved applications, but also indicates 11/03/97; OMB No. 2060–0338; expires Recovery of Response Cost at the Interstate Lead Company Superfund Site procedural and other information about 11/30/2000. the meeting. EPA ICR No. 0011.09; Selective (ILCO) in Leeds, Alabama, and the Sapp Enforcement Auditing and Battery Superfund Site (Sapp Battery) in Dated: November 7, 1997. Recordkeeping Requirements for On- Alford, Florida. EPA will consider Jennifer J. Johnson, Highway HDE, Non-road Compression public comments on the proposed Deputy Secretary of the Board. Ignition Engines, and On-Highway settlement for thirty (30) days. EPA may [FR Doc. 97–29963 Filed 11–7–97; 5:11 pm] Light-Duty Vehicles and Light-Duty withdraw from or modify the Agreement if comments received disclose facts or Trucks; was approved 11/03/97; OMB BILLING CODE 6210±01±P No. 2060–0064; expires 08/31/99. considerations which indicate that the EPA ICR No. 1684.04; Compression proposed settlement is inappropriate, improper, or inadequate. Copies of the Ignition Non-Road Engine Certification DEPARTMENT OF HEALTH AND proposed settlement are available from: Application; was approved 11/03/97; HUMAN SERVICES OMB No. 2060–0287; expires 11/30/ Ms. Paula V. Batchelor, Waste 2000. Management Division, U.S. EPA, Region Commission of Dietary Supplement EPA ICR No. 1826.01; Information 4, 61 Forsyth St., Atlanta, GA 30303, Labels: Notice of Meeting #10 Collection for Equipment Manufacturer 404–562–8887. Flexibility; was approved 11/03/97; Written comments may be submitted AGENCY: Office of Disease Prevention OMB No. 2060–0369; expires 11/30/ to Mrs. Kim Dao Vu at the address above and Health Promotion, HHS. 2000. within 30 days of the date of ACTION: Notice of meeting. EPA ICR No. 0282.10; Emission Defect publication. SUMMARY: Information and Voluntary Emission Dated: November 4, 1997. The Department of Health and Human Services (HHS) is providing Recall Report; was approved 11/03/97; Anita Davis, OMB No. 2060–0048; expires 7/31/99. notice of the tenth meeting of the Acting Chief, Programs Services Branch, Commission on Dietary Supplement EPA ICR No. 0095.10; Precertification Waste Management Division. Labels. and Testing Exemption Reporting and [FR Doc. 97–30017 Filed 11–12–97; 8:45 am] DATES: The Commission intends to hold Recordkeeping Requirements; was BILLING CODE 6560±50±M approved 11/03/97; OMB No. 2060– a brief meeting on November 24, 1997, 0007; expires 07/31/99. beginning about 1:30 p.m. E.S.T., or shortly thereafter, at the HHS FEDERAL RESERVE SYSTEM OMB Disapproval Auditorium, Hubert H. Humphrey EPA ICR No. 1821.01; National Sunshine Act Meeting Building, 200 Independence Avenue, Emission Standards for Hazardous Air S.W., Washington, DC 20201. The Pollutants for Steel Pickling; was AGENCY HOLDING THE MEETING: Board of meeting is open to the public; seating is disapproved by OMB 10/28/97. Governors of the Federal Reserve limited. System. Dated: November 6, 1997. FOR FURTHER INFORMATION CONTACT: Joseph Retzer, TIME AND DATE: 11:00 a.m., Monday, Kenneth D. Fisher, Ph.D., Executive November 17, 1997. Division Director, Regulatory Information Director, Commission on Dietary Division. PLACE: Marriner S. Eccles Federal Supplement Labels, Office of Disease [FR Doc. 97–29858 Filed 11–12–97; 8:45 am] Reserve Board Building, 20th and C Prevention and Health Promotion, Room 738G, Hubert H. Humphrey Building, BILLING CODE 6560±50±M Streets, N.W., Washington, D.C. 20551. STATUS: Closed. 200 Independence Ave. S.W., Washington, D.C. 20201, (202) 690– MATTERS TO BE CONSIDERED: ENVIRONMENTAL PROTECTION 7102. AGENCY 1. Proposed 1998 Federal Reserve SUPPLEMENTARY INFORMATION: Public Bank officer salary structure Law 103–417, Section 12, authorized [FRL±5922±1] adjustments. the establishment of a Commission on Proposed Settlement Involving EPA 2. Personnel actions (appointments, Dietary Supplement Labels whose seven and the Loef Company promotions, assignments, members have been appointed by the reassignments, and salary actions) President. The appointments to the AGENCY: Environmental Protection involving individual Federal Reserve Commission by the President and the Agency. System employees. establishment of the Commission by the 60900 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

Secretary of Health and Human Services Times and Dates: The public meeting ADDRESSES: Written comments should reflect the commitment of the President will span two days. On Tuesday, be submitted to the OMB Desk Officer and the Secretary to the development of November 18, 1997, the subcommittee at the following address: Allison Eydt, a sound and consistent regulatory policy break-out sessions will take place from Human Resources and Housing Branch, on labeling of dietary supplements. 8:30 a.m. until 4:30 p.m. On Office of Information and Regulatory The Commission is charged with Wednesday, November 19, 1997, the Affairs, OMB; New Executive Office conducting a study and providing general plenary session will begin at Building, Room 10235; Washington, recommendations for regulation of label 8:00 a.m. and it will continue until 4:00 20503. claims and statements for dietary p.m. All comments will become a matter of supplements, including the use of Purpose/Agenda: To hear testimony public record. supplemental literature in connection and continue formal proceedings of the FOR FURTHER INFORMATION CONTACT: with their sale and, in addition, Commission’s three (3) remaining Ruth A. Celtnieks, AHCPR Reports procedures for evaluation of label subcommittees (Subcommittee on Clearance Officer, (301) 594–1406, ext. claims. The Commission is evaluating Consumer Rights has completed its 1497. how best to provide truthful, work). Agenda items are subject to scientifically valid, and non-misleading change as priorities dictate. SUPPLEMENTARY INFORMATION: information to consumers in order that Contact Person: For more information, Proposed Project including substantive program they may make informed health care ‘‘Medical Expenditure Panel Survey information and summaries of the choices for themselves and their Household Component (MEPS–HC)— meeting, please contact: Edward (Chip) families. The Commission’s report may Panels 3 and 4.’’ include recommendations on Malin, Hubert Humphrey Building, The AHCPR is planning to conduct an legislation, if appropriate and necessary. Room 118F, 200 Independence Avenue, # annual panel survey of U.S. households The purpose of Meeting 10 is to SW., Washington, DC 20201; [202/205– to collect information on a variety of announce the completion and public 3333]. measures related to health status, health availability of the Final Report of the Dated: November 5, 1997. insurance coverage, health care use and Commission. The meeting agenda will Janet Corrigan, expenditures, and sources of payment include approval of the minutes of the Executive Director, Advisory Commission on for health services. Each panel consists previous meeting and follow-up Consumer Protection and Quality in the of a nationally representative sample of activities to be undertaken by the staff. Health Care Industry. U.S. households who remain in MEPS The meeting is open to the public; [FR Doc. 97–29873 Filed 11–12–97; 8:45 am] for two consecutive years of data however seating is limited. If you will BILLING CODE 4110±60±M collection. The first two panels of MEPS require a sign language interpreter, began in 1996 and 1997. Panels 3 and please call Sandra Saunders (202) 690– 4 of the MEPS–HC begin in 1998 and 7102 by 4:30 p.m. E.S.T. on November DEPARTMENT OF HEALTH AND 1999, respectively. The MEPS–HC is 14, 1997. HUMAN SERVICES jointly sponsored by the AHCPR and the Dated: November 5, 1997. National Center for Health Statistics Susanne A. Stoiber, Agency for Health Care Policy and (NCHS). It will be conducted using a Acting Deputy Assistant Secretary for Health Research sample of households selected from (Disease Prevention and Health Promotion), households which responded to the Agency Information Collection U.S. Department of Health and Human National Health Interview Survey Activities: Proposed Collection; Services. (NHIS) sponsored by NCHS. The NHIS Comment Request [FR Doc. 97–29872 Filed 11–12–97; 8:45 am] is a household survey which collects BILLING CODE 4160±17±M AGENCY: Agency for Health Care Policy health related data from approximately and Research, HHS. 50,000 households and 110,000 people. ACTION: Notice. Due to the Department of Health and DEPARTMENT OF HEALTH AND Human Services (HHS) efforts to HUMAN SERVICES SUMMARY: This notice announces that integrate survey data collection the Agency for Health Care Policy and Advisory Commission on Consumer activities, the NHIS is used as the Research (AHCPR) is planning to sampling frame for the MEPS and Protection and Quality in the Health request the Office of Management and Care Industry; Notice of Public Meeting several other surveys. Budget (OMB) to allow a proposed Data to be collected from each In accordance with Section 10(a)(2) of information collection of the ‘‘Medical household include detailed information the Federal Advisory Committee Act, Expenditure Panel Survey Household on demographics, health conditions, Pub. L. 92–463, notice is hereby given Component (MEPS–HC)—Panels 3 and current health status, utilization of of the meeting of the Advisory 4.’’ In accordance with the Paperwork health care providers, charges and Commission on Consumer Protection Reduction Act of 1995, Public Law 104– payments for health care services, and Quality in the Health Care Industry. 13 (44 U.S.C. 3506(c)(2)(A)), AHCPR medications, employment, and health This two-day meeting will be open to invites the public to comment on this insurance. Subject to AHCPR and NCHS the public, limited only by the space proposed information collection. confidentiality statutes, data will be available. This proposed information collection made available through publications, Place of Meeting: William Natcher was previously published in the Federal articles in major journals as well as Conference Center, National Institutes of Register on September 8, 1997 and public use data files. The data are Health (Building 45), 45 Center Drive, allowed 60 days for public comment. No intended to be used for purposes such Bethesda, MD 20892. Exact locations of public comments were received. The as: the sessions will be available at the purpose of this notice is to allow an • Generating national estimates of conference center and on the additional 30 days for public comment. individual and family health care use Commission’s web site, DATES: Comments on this notice must be and expenditures, private and public ‘‘www.hcqualitycommission.gov’’. received by December 15, 1997. health insurance coverage, and the Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60901 availability, costs, and scope of private included in the request for OMB cost-effectiveness of health care, health insurance benefits among approval of this information collection. effectiveness research, evidence-based Americans; Copies of these proposed collection medicine, and quality of care research. • Examining the effects of changes in plans and instruments can be obtained Agenda: The open sessions of these how chronic care and disability are from the AHCPR Reports Clearance meetings on November 19, from 8:00 managed and financed; Officer (see above). a.m. to 8:30 a.m., will be devoted to • Evaluating the growing impact of Dated: November 4, 1997. business meetings covering managed care and of enrollment in administrative matters and reports. John M. Eisenberg, different types of managed care plans; During the closed sessions, the and Administrator. Subcommittees will be reviewing • Examining access to and costs of [FR Doc. 97–29837 Filed 11–12–97; 8:45 am] research and demonstration grant health care for common diseases and BILLING CODE 4160±90±M applications relating to the delivery, conditions, prescription drug use, and organization, and financing of health other health issues. services. In accordance with the Federal Statisticians and researchers will use DEPARTMENT OF HEALTH AND Advisory Committee Act, section 10(d) these data to make important HUMAN SERVICES of 5 U.S.C., Appendix 2 and 5 U.S.C., generalizations on the civilian 552b(c)(6), the Administrator, AHCPR, noninstitutionalized population of the Agency for Health Care Policy and Research has made a formal determination that United States, as well as to conduct these latter sessions will be closed research in which the family is the unit Notice of Meetings because the discussions are likely to of analysis. reveal personal information concerning Method of Collection In accordance with section 10(a) of individuals associated with the the Federal Advisory Committee Act (5 applications. This information is The data will be collected using a U.S.C., Appendix 2) announcement is exempt from mandatory disclosure. combination of modes. For example, the made of the following advisory Anyone wishing to obtain rosters of AHCPR intends to introduce study subcommittees scheduled to meet members, minutes of the meetings, or participants to the survey through during November 1997: other relevant information should advance mailings. The first contact will Name: Health Services Research contact Sheila S. Simmons, Committee provide the household with information Initial Review Group (Subcommittees: Management Officer, Agency for Health regarding the importance and uses of Health Systems Research, Health Care Care Policy and Research, Suite 400, the information obtained. The AHCPR quality and Effectiveness Research, Executive Office Center, 2101 East will then conduct five (in-person) Health Care Technology and Decision Jefferson Street, Rockville, Maryland interviews with each household to Sciences, and Health Research 20852, Telephone (301) 594–1452 ext. obtain health care use and expense data. Dissemination and Implementation). 1627. Lastly, the AHCPR will conduct one Date and Time: November 19, 1997, Agenda items for all meetings are telephone interview with each 8:00 a.m. subject to change as priorities dictate. household to obtain tax and asset Place: Bethesda Hyatt Hotel, One Dated: November 4, 1997. information. Data will be collected Metro Plaza, Bethesda, Maryland 20816. using a computer-assisted personal Open November 19, 8:00 a.m. to 8:30 John M. Eisenberg, interviewing method (CAPI). In certain a.m. Administrator. cases, AHCPR will conduct interviews Closed for remainder of meetings. [FR Doc. 97–29836 Filed 11–12–97; 8:45 am] over the telephone, if necessary. Burden Purpose: The Health Systems BILLING CODE 4160±90±M estimates follow: Research Subcommittee is charged with Initial Number of Respondents: the initial review of research 10,000. applications relating to cost and DEPARTMENT OF HEALTH AND Panel 3: 4800. financing of health care, health care HUMAN SERVICES Panel 4: 5200. markets, organizational and delivery Number of Surveys Per Respondent: 6. system issues, and the provider Food and Drug Administration Average Burden Per Respondent: 9.0 workforce. The Health Research hours. Exchange of Letters Between the Food Estimated Burden Total: 81,100 Dissemination and Implementation and Drug Administration and the hours. Subcommittee is charged with the Australian Therapeutic Goods Panel 3: 39,050 hours. initial review of research applications Administration Panel 4: 42,050 hours. relating to behavior change, demonstrations and interventions, AGENCY: Food and Drug Administration, Request for Comments consumer decision-making, HHS. Comments are invited on: (a) the dissemination, health professional and ACTION: Notice. necessity of the proposed collection; (b) consumer education, and translation of the accuracy of the Agency’s estimate of research findings. The Health Care SUMMARY: The Food and Drug burden of the proposed collection of Technology and Decision Sciences Administration (FDA) is providing information; (c) ways to enhance the Subcommittee is charged with the notice of an exchange of letters (EOL) quality, utility, and clarity of the initial review of research applications between FDA and the Australian information to be collected; and (d) relating to the development, refinement, Therapeutic Goods Administration. The ways to minimize the burden of the assessment, cost-effectiveness, and purpose of the EOL is to facilitate the collection of information on application of health care technologies. exchange of documents and information respondents, including the use of The Health Care Quality and concerning a drug or biological automated collection techniques or Effectiveness Research Subcommittee is preparation that is considered for other forms of information technology. charged with the initial review of orphan status. Comments submitted in response to research applications relating to clinical DATES: The agreement became effective this notice will be summarized and/or outcomes and effectiveness, quality and August 12, 1997. 60902 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

FOR FURTHER INFORMATION CONTACT: preceding paragraph, the Center for Drug Dear Dr. Haffner: Marlene E. Haffner, Office of Orphan Evaluation and Research (CDER) or the The purpose of this letter is to formalise Products Development (HF–35), Food Center for Biologic Evaluation and Research our agreement regarding provision of and Drug Administration, 5600 Fishers (CBER) intends to provide summary information on orphan drugs by the U.S. information concerning evaluation and Food and Drug Administration (FDA) U.S.A. Lane, Rockville, MD 20857, 301–827– approval of a particular product. OPD to the Therapeutic Goods Administration 3666. expects to be receptive to requests for (TGA), Department of Health and Family SUPPLEMENTARY INFORMATION: It is FDA’s assistance in seeking permission of the Services, Australia. policy that EOL’s be used in lieu of a sponsor to permit TGA to utilize the The TGA formally requests that the U.S. formal agreement when the actions necessary information. We understand that FDA provide orphan drug designation reports contemplated require only a limited the reports and information FDA provides and orphan drug evaluation reports to the resource expenditure and do not rise to will form the basis for a similar orphan TGA. product evaluation for Australia. In the spirit of co-operation, and on behalf the significance of a formal agreement. Information provided by FDA pursuant to of the TGA, I agree as follows: For example, an exchange of letters this arrangement will be provided in 1. Following receipt by the TGA of an could formalize an understanding that confidence to the TGA. The information will application requesting orphan drug each agency will provide the other with be provided in accordance with FDA law and designation of a drug in Australia, the documents that are available upon regulations, including privacy and TGA will request from the Office of request to any member of the public. confidentiality requirements, and only with Orphan Drugs Development a copy of an Each letter should set out only the assurances of TGA’s authority and orphan drug designation report for the actions to be carried out by the agency commitment to protect the information from drug. public disclosure in Australia. Copies of This request will apply in cases where the signing the letter and not mutual designation or evaluation reports will be drug has been granted orphan drug considerations. FDA uses the same provided to the TGA in conformance with designation in the U.S. or where the drug has clearance for EOL’s as it does for the requirements of Part 20 of Title 21, U.S. been refused orphan drug designation in the memoranda of understanding (MOU’s). Code of Federal Regulations, and with the U.S. Therefore, MOU’s in accordance with 21 written consent (where appropriate) of the 2. Following receipt by the TGA of an CFR 20.108 (c), which states that all U.S. sponsor of the designation request or application to register a product for written agreements and MOU’s between product approval application. which orphan designation has been FDA and others shall be published in For the purpose of coordination, we granted for the drug in Australia, the propose that the respective liaison officials TGA will request from the U.S. FDA a the Federal Register, the agency is be: copy of the Center for Drug Evaluation publishing notice of this EOL. For the FDA: and Research (CDER) evaluation reports Dated: November 5, 1997. Director, Office of Orphan Products or the Center for Biologics Evaluation William K. Hubbard, Development and Research (CBER) evaluation report. Food and Drug Administration/HF–35 This request will apply in cases where a drug Associate Commissioner for Policy has been granted orphan drug designation in Coordination. 5600 Fishers Lane Room 8–73 Rockville, Maryland 20857 the U.S. and where an application to register The EOL’s are set forth as follows: U.S.A. a product containing that drug in the U.S. has Exchange of Letters Between the Food and Telephone: 301–827–3666 been approved, refused, or is pending. Drug Administration and the Australian FAX: 301–443–4915 3. It is intended that where possible, the Therapeutic Goods Administration For the Australian TGA: reports provided under this arrangement Director, Drug Safety and Evaluation Branch will form the basis of the evaluation of 225–97–8003 Therapeutic Goods Administration similar application sin Australia. August 12, 1997 P.O. Box 100 Therefore, the reports must be Mr. Terry Slater Woden, ACT 2606 sufficiently complete to enable National Manager Australia appropriate evaluation of the product. Therapeutic Goods Administration Telephone: 61 2 6232 8100 4. Information will be provided in Commonwealth Department of Health and FAX: 61 2 6232 8140 accordance with agency regulations Family Services To help ensure that this information (including confidentiality requirements). P.O. Box 100 exchange program works well and meets our 5. Copies of designation reports of Woden ACT 2606 mutual needs and requirements, we feel that evaluation reports will be provided to AUSTRALIA it is important that, at appropriate intervals, the TGA only after the written consent Dear Mr. Slater: and by mutual concurrence, a discussion or of the U.S. sponsor of the designation The U.S. Food and Drug Administration is meeting take place between representatives request or product registration pleased to cooperate with your government of our two agencies to assess the activities application has been obtained, except as in facilitating the exchange of documents and and the provisions outlined in this letter. otherwise provided in FDA’s regulations information concerning a drug or biological We anticipate that these arrangements will disclosure (21 CFR 20.89). preparation that your government is provide a sound basis on which further 6. Liaison officers for the purpose of considering for orphan product status. We cooperative arrangements between us on coordinating these provisions are as hope that this cooperation will facilitate and products for patients with rare diseases will follows: expedite access to needed therapy for develop. For the FDA: Australian patients with rare diseases. Sincerely, Director, Office of Orphan Products Upon request from the Australian Marlene E. Haffner, M.D., M.P.H. Development Therapeutic Goods Administration (TGA), Rear Admiral, United States Public Health Food and Drug Administration/HF–35 and to the extent permitted by U.S. law and Service 5600 Fishers Lane, Room 8–73 FDA regulations, and as appropriate, with the Director, Office of Orphan Products Rockville, Maryland 20857 permission of the U.S. sponsor, the FDA Development U.S.A. Office of Orphan Products Development Marlene E. Haffner, MD, MPH Telephone: 301–827–3666 (OPD) intends to provide to the TGA a copy Rear Admiral, United States Public Health FAX: 301–443–4915 of the U.S. designation request and review Service For the TGA: performed by the OPD on a particular Director, Office of Orphan Products Director, Drug Safety and Evaluation product, whether such orphan designation Development Branch request has or has not been granted. 5600 Fishers Lane, HF–35 Therapeutic Goods Administration Upon request from the TGA, and under the Room 8–73 P.O. Box 100 same terms and conditions noted in the Rockville, MD 20857 USA Woden, ACT 2606 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60903

Australia Safety and Applied Nutrition (HFS– notice of availability of the agency’s Telephone: 61 2 6232 8100 215), Food and Drug Administration, finding of no significant impact and the FAX: 61 2 6232 8140 200 C St. SW., Washington, DC 20204, evidence supporting that finding will be I am confident the implementation of these 202–418–3077. provisions will provide a sound basis on published with the regulation in the which to develop further cooperative SUPPLEMENTARY INFORMATION: Under the Federal Register in accordance with 21 arrangements between us on orphan drug Federal Food, Drug, and Cosmetic Act CFR 25.40(c). products and to work toward a reciprocal (sec. 409(b)(5) (21 U.S.C. 348(b)(5))), Dated: October 28, 1997. arrangement in the future. notice is given that a food additive Alan M. Rulis, I look forward to your official confirmation petition (FAP 7A4540) has been filed by Director, Office of Premarket Approval, these arrangements can be agreed. Nalco Chemical Co., One Nalco Center, Yours sincerely Center for Food Safety and Applied Nutrition. Naperville, IL 60568–1198. The petition Terry Slater [FR Doc. 97–29771 Filed 11–12–97; 8:45 am] National Manager proposes to amend the food additive BILLING CODE 4160±01±F Therapeutic Goods Administration regulations in § 173.310 Boiler water 12 August 1997 additives (21 CFR 173.310) to provide for the safe use of an emulsifier blend [FR Doc. 97–29906 Filed 11–12–97; 8:45 am] DEPARTMENT OF HEALTH AND containing sorbitan monostearate, BILLING CODE 4160±01±F HUMAN SERVICES polyoxyethylene (20) sorbitan monostearate, and polyoxyethylene (20) Office of Inspector General DEPARTMENT OF HEALTH AND sorbitan monolaurate as an anti- HUMAN SERVICES corrosive agent in boilers where steam Program Exclusions: October 1997 may contact food. Food and Drug Administration The potential environmental impact AGENCY: Office of Inspector General, [Docket No. 97F±0450] of this action is being reviewed. To HHS. encourage public participation ACTION: Nalco Chemical Co.; Filing of Food consistent with regulations promulgated Notice of program exclusions. Additive Petition under the National Environmental During the month of October 1997, Policy Act (40 CFR 1501.4(b)), the the HHS Office of Inspector General AGENCY: Food and Drug Administration, agency is placing the environmental imposed exclusions in the cases set HHS. assessment submitted with the petition forth below. When an exclusion is ACTION: Notice. that is the subject of this notice on imposed, no program payment is made public display at the Dockets to anyone for any items or services SUMMARY: The Food and Drug Management Branch (address above) for (other than an emergency item or Administration (FDA) is announcing public review and comment. Interested service not provided in a hospital that Nalco Chemical Co. has filed a persons may, on or before December 15, emergency room) furnished, ordered or petition proposing that the food additive 1997, submit to the Dockets prescribed by an excluded party under regulations be amended to provide for Management Branch (address above) the Medicare, Medicaid, Maternal and the safe use of an emulsifier blend written comments. Two copies of any Child Health Services Block Grant and containing sorbitan monostearate, comments are to be submitted, except Block Grants to States for Social polyoxyethylene (20) sorbitan that individuals may submit one copy. Services programs. In addition, no monostearate, and polyoxyethylene (20) Comments are to be identified with the program payment is made to any sorbitan monolaurate as an anti- docket number found in brackets in the business or facility, e.g., a hospital, that corrosive agent in boilers where steam heading of this document. Received submits bills for payment for items or may contact food. comments may be seen in the office services provided by an excluded party. DATES: Written comments on the above between 9 a.m. and 4 p.m., Program beneficiaries remain free to petitioner’s environmental assessment Monday through Friday. FDA will also decide for themselves whether they will by December 15, 1997. place on public display any continue to use the services of an ADDRESSES: Submit written comments amendments to, or comments on, the excluded party even though no program to the Dockets Management Branch petitioner’s environmental assessment payments will be made for items and (HFA–305), Food and Drug without further announcement in the services provided by that excluded Administration, 12420 Parklawn Dr., Federal Register. If, based on its review, party. The exclusions have national rm. 1–23, Rockville, MD 20857. the agency finds that an environmental effect and also apply to all Executive FOR FURTHER INFORMATION CONTACT: impact statement is not required and Branch procurement and non- Martha D. Peiperl, Center for Food this petition results in a regulation, the procurement programs and activities.

Subject Effective City, State date

Program-Related Convictions

ADEFIHAN, TITILAYO O, MILWAUKEE, WI ...... 11/20/97 ALEXANDER, EDNA DENISE, DEVINE, TX ...... 11/20/97 ALLEN, ANDREW JACKSON, WINSLOW, AZ ...... 11/20/97 AMICUCCI, DIANE CAROL, CARMEL, NY ...... 11/20/97 BANDY, BRIAN DWAYNE, ASHLAND, KY ...... 11/20/97 BARNES, DAVID L, HAMMOND, LA ...... 11/20/97 BATRA, KRISHAN KUMAR, ODESSA, FL ...... 11/20/97 BEAUDOIN, GERARD MARCEL JR, EGLIN AFB, FL ...... 11/20/97 BROWN, YVONNE, ROCKVILLE CENTRE, NY ...... 11/20/97 BROYLES, STEPHEN R, TAMPA, FL ...... 11/20/97 BUDDE, MICHAEL J, COLUMBIA, IL ...... 11/20/97 60904 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

Subject Effective City, State date

CASTILLO, JESUS N, ASHLAND, KY ...... 11/20/97 CATO, DEBORAH ANN, ATLANTA, GA ...... 11/20/97 CHAMPION, DAVID, DECATUR, GA ...... 11/20/97 CHAN, SOPHEATEVY, COACHELLA, CA ...... 11/20/97 CHERKAS, LEONARD A, HUNTINGDON VALLEY, PA ...... 11/20/97 CHERKAS DENTAL ASSOCIATES, HUNTINGDON VALLEY, PA ...... 11/20/97 CHRISTIAN, KELLY WAYNE, BEAVER, WV ...... 11/20/97 CIGGS, JIMMY D, LAKE WORTH, FL ...... 11/20/97 CONORMAN, GEORGE JAMES, BEAVER, WV ...... 11/20/97 CONTE, JOANNE, NEW YORK CITY, NY ...... 11/20/97 COTO'S PHARMACY, HIALEAH, FL ...... 11/20/97 DANLEY, MELANIE REBECCA, ARLINGTON, TX ...... 11/20/97 FEINISTEIN, DAVID S, CROSS RIVER, NY ...... 11/20/97 FERRIS, SAM, W PALM BEACH, FL ...... 11/20/97 GAMEZ, JORGE, MIAMI, FL ...... 11/20/97 GELLER, STANLEY J, SAN DIEGO, CA ...... 11/20/97 GIBSON, ROGER L, ASHLAND, KY ...... 11/20/97 GOLD COAST TAXI, INC, LAKE PARK, FL ...... 11/20/97 GONZALEZ, YOHANKA, MIAMI, FL ...... 11/20/97 GONZALEZ, RAFAEL, TEANECK, NY ...... 11/20/97 GREEN, TONY GERALD, LAKELAND, FL ...... 11/20/97 GUZMAN, CARMEN, BRONX, NY ...... 11/20/97 HALL, CHARLIEMAE, ATLANTA, GA ...... 11/20/97 HALL, WAYNE, ATLANTA, GA ...... 11/20/97 HARKLESS, WILLIE EARL, ATLANTA, GA ...... 11/20/97 HATCHER, KRISTIE, JUPITER, FL ...... 11/20/97 HATHCOCK, KITTY ARMEDIA, FORT WORTH, TX ...... 11/20/97 HATHCOCK, BOBBY EUGENE, BEAVER, WV ...... 11/20/97 HEALTH CARE PROVIDERS INC, CHESTERFIELD, MO ...... 08/04/97 HERNANDEZ, EDGAR, MIAMI, FL ...... 11/20/97 HICKMAN, MICHAEL, CHATTANOOGA, TN ...... 11/20/97 HOME MEDICAL EQUIPMENT, INC., FALSTON, MD ...... 08/11/97 HYSON, BRADFORD A., STREET, MD ...... 06/12/97 HYSON, MARY, BEL AIR, MD ...... 06/12/97 HYSON, RODNEY F., FALSTON, MD ...... 06/12/97 INNOVATIVE MEDICAL PRODUCTS INC, CHESTERFIELD, MO ...... 08/04/97 JOHNSON, EARL, STONE MOUNTAIN, GA ...... 11/20/97 JOHNSON, SHARON, MARIETTA, GA ...... 11/20/97 JOHNSON, CHARLENE L, EAST POINT, GA ...... 11/20/97 JONES, HENRY LEE, PINE BLUFF, AR ...... 11/20/97 JONES, BRENDA GAIL, ATLANTA, GA ...... 11/20/97 KNIGHT, FAY DENISE, ORLANDO, FL ...... 11/20/97 KNIGHT, LEONARD ISAIAH, ORLANDO, FL ...... 11/20/97 LAWRENCE, TERI TYLER, PINE GROVE, LA ...... 11/20/97 LEONE, JOSEPH J, MANALAPAN, NJ ...... 11/20/97 LIM, MILLIAN K, PALM BCH GARDENS, FL ...... 11/20/97 MALONE, HELEN, DECATUR, GA ...... 11/20/97 MARIN, PHILIP G, ELK GROVE, CA ...... 11/20/97 MARRERO, MARIA DEL CARMAN, MIAMI, FL ...... 11/20/97 MARSHALL, GARY SCOTT, PEEKSKILL, NY ...... 11/20/97 MCBROOM, WILLIAM DAVID, GOLDSBORO, NC ...... 11/20/97 MCCORMICK, MELINDA, SIKESTON, MO ...... 11/20/97 MCKISIC, BELINDA, ATLANTA, GA ...... 11/20/97 MILLBURG, LAURA HART, AUBURN, IL ...... 11/20/97 MORALES, IRIS, BRONX, NY ...... 11/20/97 MORRISON, WYVETTE J, LEXINGTON, KY ...... 11/20/97 MOSCH, PAUL G, COUDERSPORT, PA ...... 11/20/97 MOSS, CHARLES C, PORTLAND, OR ...... 11/20/97 MUKHTAR, JUNAID, ORLANDO, FL ...... 11/20/97 MURRAY, LINDA SUE PIERCE, BOWIE, TX ...... 11/20/97 NAWROCKI, RAYMOND, JUPITER, FL ...... 11/20/97 OREM MEDICAL CORPORATION, FALSTON, MD ...... 06/12/97 OTT, KENNETH J, BORON, CA ...... 11/20/97 PALMA, NITA ALMUETE PADDIT, WHITTIER, CA ...... 11/20/97 PAPPALARDO, JOSEPH F, STATEN ISLAND, NY ...... 11/20/97 PAUL, FITZPATRICK, BROOKLYN, NY ...... 11/20/97 PONDER, KATHY ANN, W PALM BEACH, FL ...... 11/20/97 PROHIAS, MARIA LOURDES, MARIANNA, FL ...... 11/20/97 QUALITY AMBULANCE SERVICE, INC, ASHLAND, KY ...... 11/20/97 RAY, EARL F, LENEXA, KS ...... 08/04/97 RODRIGUEZ, AMERICA, HIALEAH GARDENS, FL ...... 11/20/97 ROGOVE, JAY H, DIX HILLS, NY ...... 11/20/97 ROS, VANNARA, WHITTIER, CA ...... 11/20/97 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60905

Subject Effective City, State date

SACASAS, ROBERTO, MIAMI, FL ...... 11/20/97 SKJONSBERG, DOLLIE, SEATTLE, WA ...... 11/20/97 SLOMAN, ERIC, WALTHAM, MA ...... 11/20/97 SLOMAN, ROGER H, LAKE PARK, FL ...... 11/20/97 STECKELBERG, JUDITH A, LONE ROCK, WI ...... 11/20/97 STRAND, STEVEN D, DINUBA, CA ...... 11/20/97 SUMP, CAROLYN ANN, CLARINDA, IA ...... 11/20/97 SWAN, ROBERT N, HIALEAH, FL ...... 11/20/97 TANG, SARETH, LONG BEACH, CA ...... 11/20/97 THOMPSON, JACK JR, W PALM BEACH, FL ...... 11/20/97 TORRES, PEDRO, NEW ROCHELLE, NY ...... 11/20/97 UY, SIENG, LONG BEACH, CA ...... 11/20/97 VALLE, BLANCA, MIAMI, FL ...... 11/20/97 VASQUEZ, HUMBERTO, MIAMI, FL ...... 11/20/97 VERGEL, JAIME, MIAMI, FL ...... 11/20/97 WALKER, JOYCE OLA, HOUSTON, TX ...... 11/20/97 WALLACE, WILLIAM W, JACKSONVILLE, FL ...... 11/20/97 WARD, WOODROW W, BUTNER, NC ...... 11/20/97 WHITE, MARGARET E, BLAIRS, VA ...... 11/20/97 WILLIAMS, DAVID L, BAY SHORE, NY ...... 11/20/97 WORCESTER UNIVERSITY PHARMACY, WORCESTER, MA ...... 11/20/97

Patient Abuse/Neglect Convictions

AROJO, VANILZA, MARLBORO, MA ...... 11/20/97 BENNETT, KEVIN W, BUFFALO, NY ...... 11/20/97 BRUSO, LAUREEN, CHICOPEE, MA ...... 11/20/97 BUTLER, LISA RUTH, TWIN GROVES, AR ...... 11/20/97 CARSON, RODNEY D, JOPLIN, MO ...... 11/20/97 CRAGG, JOSEPH, ROCHESTER, NY ...... 11/20/97 DANTZLER, DEBORAH, HEIDELBERG, MS ...... 11/20/97 DAVIS, LATISHA, LAUREL, MS ...... 11/20/97 DUBE, CALVIN E, LEWISTON, ME ...... 11/20/97 ESLINGER, BERTA C, SIOUX CITY, IA ...... 11/20/97 FIRESTONE, MOREY HARVEY, W BLOOMFIELD, MI ...... 11/20/97 FONTANEZ, LINDA, E PATCHOGUE, NY ...... 11/20/97 FOREMAN, ROBIN LYNN CHASTAIN, DURANT, OK ...... 11/20/97 FOSS, CATHERINE E, FREDERICA, DE ...... 11/20/97 FOX, BETTY, DERMA, MS ...... 11/20/97 GAITER, SHANDRA NICOLE, SAGINAW, MI ...... 11/20/97 GRIFFIN, PATRICK H, NEW YORK CITY, NY ...... 11/20/97 GROCE, MICHELLE, WILMINGTON, DE ...... 11/20/97 HARTE, BRIAN K, PENSACOLA, FL ...... 11/20/97 HEROD, HAROLD J, MILWAUKEE, WI ...... 11/20/97 HOYLE, JACQUELINE D, JACKSON, TN ...... 11/20/97 JOHNSON, RICHARD H, AIRWAY HEIGHTS, WA ...... 11/20/97 JOHNSON, BRENDA CHRISTINE, PHOENIX, AZ ...... 11/20/97 JORDAN, ROBERT, CLEVELAND, OH ...... 11/20/97 JORDAN, JOY F, HILLSBORO, TX ...... 11/20/97 KEISTER, JERRY, JACKSONVILLE, AR ...... 11/20/97 LOWE, LINDA K, BESSEMER CITY, NC ...... 11/20/97 MARTINEZ, MARTHA O, BIG LAKE, TX ...... 11/20/97 MARTINEZ, JAY, ALTUS, OK ...... 11/20/97 MCCLOUD, ANNA SUE, NEWPORT, AR ...... 11/20/97 MCNEAR, REBECCA, CAWLING, IL ...... 11/20/97 MIDDLETON, TONJA G, FAYETTESVILLE, NC ...... 11/20/97 PAIGE, LAKISHA K, SWEENY, TX ...... 11/20/97 PURDOM, BERTHA L PRITCHETT, BIRMINGHAM, AL ...... 11/20/97 RAY, HENRY C, SEATTLE, WA ...... 11/20/97 ROBERTS, DONALD, STARKVILLE, MS ...... 11/20/97 SILVA, RAY, HURLEY, NM ...... 11/20/97 STEWART, SUSIE MAE, SHREVEPORT, LA ...... 11/20/97 THOMPSON, GENE A, SIDNEY, OH ...... 11/20/97 TUTOR, ROBERT LEE, TEMPLE, TX ...... 11/20/97 VON SEE, GERALDINE, SOMERSET, MA ...... 11/20/97 WATSON, MARY ANN, PORTLAND, OR ...... 11/20/97 WILLIS, VIDA MARIE, BALTIMORE, MD ...... 11/20/97 YOUNG, LATONYA, COMO, MS ...... 11/20/97

Conviction For Health Care Fraud

ALEXANDER, BRENDA, INDIANAPOLIS, IN ...... 11/20/97 ATKINS, VANESSA, CHICAGO, IL ...... 11/20/97 60906 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

Subject Effective City, State date

BIANCHI, MARIA, STATEN ISLAND, NY ...... 11/20/97 CHRONIS, KIM, CLINTON TWNSHP, MI ...... 11/20/97 HARRIS, STEFFENY T, CLINTON, SC ...... 11/20/97 JOHNSON, MICHAEL D, JACKSON, TN ...... 11/20/97 LEVIN, CHAIA, PHILADELPHIA, PA ...... 11/20/97 LYERLA, JON R, GREENVILLE, IL ...... 11/20/97 MARTIN, STELLA, CLINTON TWNSHP, MI ...... 11/20/97 MCDONALD, ROBIN, PORT BYRON, NY ...... 11/20/97 NAVARRA, ELIZABETH, DOBBS FERRY, NY ...... 11/20/97 NOE, ALBERT D, JACKSON, TN ...... 11/20/97 PROVENCIO, MICHELLE, ALBUQUERQUE, NM ...... 11/20/97 SARTIANO, FRANCIS A, MADISON, CT ...... 11/20/97 SHAFIR, RITA, PHILADELPHIA, PA ...... 11/20/97 STONE, MARY S, COLLINSVILLE, VA ...... 11/20/97

Conviction-Obstruction Of An Investig.

AZAN, MOHAMMAD, NEW YORK, NY ...... 11/20/97

Controlled Substance Convictions

ABDUL, DURRANI, STERLING HGHTS, MI ...... 11/20/97 BRADFIELD, SHARON L, WALLED LAKE, MI ...... 11/20/97 MUNSON, ERIC G, BIRMINGHAM, MI ...... 11/20/97

License Revocation/Suspension/Surrender

ANFENSON, DOROTHEA MAE, GLENDALE, CA ...... 11/20/97 ARMSTRONG, DIANA L, MURRAY, KY ...... 11/20/97 ATWOOD, RONALD DWIGHT, BRISBANE, CA ...... 11/20/97 BASCOM, DELLA M, VERGENNES, VT ...... 11/20/97 BHARMOTA, HARJIT S, MARION, OH ...... 11/20/97 BORISUK, LYNN MARIE, AKRON, OH ...... 11/20/97 BOROWEC, LAWRENCE W, NEWFIELD, NJ ...... 11/20/97 BOZZO, LAURA, NORTH CANAAN, CT ...... 11/20/97 BRAYSHAW, NORA, WOODSIDE, CA ...... 11/20/97 BROWN, IAN STEVEN, LOS ANGELES, CA ...... 11/20/97 BROWN, JIMMIE RUSSELL, SANGER, CA ...... 11/20/97 BRYANT, MARY M, PUYALLUP, WA ...... 11/20/97 BURKETT, ROX C, MODESTO, CA ...... 11/20/97 BUSER, MARCIA CYN, MAGALIA, CA ...... 11/20/97 CAHALL, JOSEPH WILLIAM, CINCINNATI, OH ...... 11/20/97 CAMPBELL, ALICE MARIE, ROANOKE, VA ...... 11/20/97 CHICKOS, PATRICK J, FELTON, CA ...... 11/20/97 CIELO, PATRIA CORDERO, FOSTER CITY, CA ...... 11/20/97 CLEGG, CHARLES T, ANAHEIM, CA ...... 11/20/97 CODERRE, JOHN DAVID, BAYSIDE, NY ...... 11/20/97 COLLING, SANDRA FAYE, LAPEER, MI ...... 11/20/97 DELACOSTE, MARGARET J, ANDOVER, MA ...... 11/20/97 DRYER, RICGINDA LYNN, AHWAHEE, CA ...... 11/20/97 EDDLEMAN-JOHNSON, PATRICIA ANN, VISALIA, CA ...... 11/20/97 EWERS, CYNTHIA, EAST HADDAM, CT ...... 11/20/97 FEENEY, JAY L, PLYMOUTH, MA ...... 11/20/97 FELDMAN, BENJAMIN J, RANCHO MIRAGE, CA ...... 11/20/97 FOSTER, LEBARON A, MOBILE, AL ...... 11/20/97 FREEMAN, TERRY MITCHELL, LOS ANGELES, CA ...... 11/20/97 GAITAN, ISABEL M, SAN FRANCISCO, CA ...... 11/20/97 GELLINGS, BRIAN, QUINTON, VA ...... 11/20/97 GREEN, MARK D, BOSTON, MA ...... 11/20/97 GREENE, MARIA A, WEST WARWICK, RI ...... 11/20/97 HAHS, GARY L, HESPERIA, CA ...... 11/20/97 HARNEDY, NOREEN THERESA, SAN FRANCISCO, CA ...... 11/20/97 HASSARD, ALEXANDER DANIEL, YOUNGSTOWN, OH ...... 11/20/97 HAZELTINE, LAURIE KYLE, CAMBRIDGE, VT ...... 11/20/97 HOLLOWAY, LAWRENCE M JR, FLINT, MI ...... 11/20/97 HRABARCHUK, EUGENE, CEDAR GROVE, NJ ...... 11/20/97 ISERMAN, BARBARA, ROCKFORD, MN ...... 11/20/97 JUAREZ, JESUS R, FRESNO, CA ...... 11/20/97 KATZ, GERALD S, LYNN, MA ...... 11/20/97 KAZALLA, SCOTT M, TAMARAC, FL ...... 11/20/97 KEENAN-FRIDAY, GERALDINE L, MINNEAPOLIS, MN ...... 11/20/97 KUTZNER, ROBERT RUSSELL, SANTA MARIA, CA ...... 11/20/97 LAFRANCE, MELODY R, ST LOUIS PARK, MN ...... 11/20/97 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60907

Subject Effective City, State date

LANDAU, ALLYN BETH, SAN FRANCISCO, CA ...... 11/20/97 LANO, PAUL MICHAEL, ALAMEDA, CA ...... 11/20/97 LASKY, KELLYE JO KING, SAN JOSE, CA ...... 11/20/97 LEE, MUN FA, CLEARLAKE, CA ...... 11/20/97 LEE, ROBERT, EVERGREEN PARK, IL ...... 11/20/97 LEWIS, CHARLES M, BROOKLYN, NY ...... 11/20/97 LEWIS, DANNY MICHAEL, FREMAN, VA ...... 11/20/97 LILLO, JOSE ALBERTO, SANTA ANA, CA ...... 11/20/97 LLOYD, DONALD B, WENTACHEE, WA ...... 11/20/97 MACCANI, JAMES E, MINNEAPOLIS, MN ...... 11/20/97 MANSMANN, PATRICIA A, EXTON, PA ...... 11/20/97 MARQUIS, BETTY, ELLINGTON, CT ...... 11/20/97 MCCARTHY, BRIAN ALAN, RICHMOND, VA ...... 11/20/97 MCFADDEN, MICHAEL J, SAN FRANCISCO, CA ...... 11/20/97 MCPARTLAND, SHAWN D, ROCKY POINT, NY ...... 11/20/97 MEREDITH, CATHERINE M, RICHMOND, VA ...... 11/20/97 MILLER, JANE E, STOCKTON, CA ...... 11/20/97 MILLER-LUNDAHL, MARIANNE, FULLERTON, CA ...... 11/20/97 MISTO, RALPH L, CRANSTON, RI ...... 11/20/97 NEGRON, ROSALINDA, PHILADELPHIA, PA ...... 11/20/97 NIGL, ALFRED JAMES, LA MESA, CA ...... 11/20/97 NODAL, RAUL FROILAN, TAMPA, FL ...... 11/20/97 NOSAL, JULIE A, BIRCHDALE, MN ...... 11/20/97 OKUN, JAMES D, BAKERSFIELD, CA ...... 11/20/97 PATHAK, RAMESHWAR, SHIRLEY, NY ...... 11/20/97 PAWLISZ, TADEUSZ, CHICAGO, IL ...... 11/20/97 POLITO, MATTHEW A, WILLOWICK, OH ...... 11/20/97 RAMIREZ, CARLOS, HARWICH, MA ...... 11/20/97 RANDALL, EDWARD A, LA QUINTA, CA ...... 11/20/97 REDFIELD, JOHN T, EUGENE, OR ...... 11/20/97 REED, JUDI, EUREKA, CA ...... 11/20/97 REIMAN, JOHN KARL, COLUMBIA, CA ...... 11/20/97 REITMAN, TONI JEAN, RIVERSIDE, CA ...... 11/20/97 RIVER, ELLIOT, SAN FRANCISCO, CA ...... 11/20/97 ROBERTS, MARY HOLLAND A, SANTA ANA, CA ...... 11/20/97 ROBERTS, IFOR JOHN, DURHAM, NC ...... 11/20/97 ROSENSTEIN, MELVYN, SANTA MONICA, CA ...... 11/20/97 ROTRAMEL, JAMES D, CASTAIC, CA ...... 11/20/97 RUSSELL, IDA MAY, NORTH POWNAL, VT ...... 11/20/97 SALEM, NYMPHA Y, TULARE, CA ...... 11/20/97 SANDERS, RAYMOND, CITRUS HEIGHTS, CA ...... 11/20/97 SANDLIN, CARROLL MILTON, ESCONDIDO, CA ...... 11/20/97 SANTIAGO, REYNALDO, PHILADELPHIA, PA ...... 11/20/97 SBORDONE, GARY N, MELROSE, MA ...... 11/20/97 SCHMUCKER-KARPOW, CELESTE, MONTVILLE, NJ ...... 11/20/97 SCHROETER, DAVID B, JENISON, MI ...... 11/20/97 SIETSEMA, GERALDINE, SACRED HEART, MN ...... 11/20/97 SMITH, KENNETH C, HUBBARD, OH ...... 11/20/97 SZYFERBLATT, LEO BERNARD, MONTICELLO, NY ...... 11/20/97 TANG, BING HUEI, FLUSHING, NY ...... 11/20/97 TAYLOR, DAVID L, REDONDA, AZ ...... 11/20/97 TAYLOR, KATHARINE, CONCORD, NH ...... 11/20/97 THUROW, JEAN, EVANSTON, IL ...... 11/20/97 TOWLES, WILLIAM J, SAN CLEMENTE, CA ...... 11/20/97 TUKEY, JAMES H, POWNAL, ME ...... 11/20/97 VAN VLIET, BRADLEY RUSSELL, CONCORD, CA ...... 11/20/97 WALDROP, RICHARD MORRIS, SOLEDAD, CA ...... 11/20/97 WALKER, DEANA L, CHICO, CA ...... 11/20/97 WALTON, JOYCE LEE, CARMICHAEL, CA ...... 11/20/97 WENTWORTH, THOMAS, MINNEAPOLIS, MN ...... 11/20/97 WILLIAMSON, WILLIAM T, REDLANDS, CA ...... 11/20/97 WONG, GEORGE S, WALNUT CREEK, CA ...... 11/20/97 WORLEY, RONALD D, OAKLAND, CA ...... 11/20/97 WYMAN, ROSEMARY A, SANTA ANA, CA ...... 11/20/97 YAGOOBIAN, EDWARD, DIAMOND BAR, CA ...... 11/20/97 YOUNG, YAVARACE, ALTON, IL ...... 11/20/97

Federal/State Exclusion/Suspension

BECKER, JON, LEWISTON, ME ...... 11/20/97 CAMPBELL, MARJORIE, NEW YORK, NY ...... 11/20/97 CUTLER-OROSI FAMILY MEDICAL, OROSI, CA ...... 11/20/97 DELUCA, VINCENT M, BEECHURST, NY ...... 11/20/97 60908 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

Subject Effective City, State date

GIBBONS, WAYNE L, WILLINGBORO, NJ ...... 11/20/97 JENAMED INC, E NORTHPORT, NY ...... 11/20/97 KANG, PETER, ELMHURST, NY ...... 11/20/97 LAWRENCE, ELSA L, MOSCOW, ID ...... 11/20/97 PEYKAR, EZZAT O, GREAT NECK, NY ...... 11/20/97 SCHWARTZ, JEFFREY SCOTT, ATLANTIC BEACH, NY ...... 11/20/97 SEARS, MARY JEAN, CALDWELL, ID ...... 11/20/97 TAMES, STEVEN M, HAWTHORNE, NY ...... 11/20/97 WOODLAKE RURAL HEALTH CLINIC, WOODLAKE, CA ...... 11/20/97

Fraud/Kickbacks And Other Prohibited Activities

EGOZI, MAURICE, NORTH MIAMI BEACH, FL ...... 07/29/97 EGOZI, ANOUCHKA, NORTH MIAMI BEACH, FL ...... 07/29/97 MEDEL, RAQUEL, MIAMI BEACH, FL ...... 07/29/97 MEDEL, ROGELIO, MIAMI BEACH, FL ...... 07/29/97 R & M LABORATORY, MIAMI, FL ...... 07/29/97

Owned/Controlled By Convicted Excluded

AMBULANCE SERVICE, INC, JACKSONVILLE, FL ...... 11/20/97 B & V MEDICAL SUPPLY, MIAMI, FL ...... 11/20/97 BBC MEDICAL CENTER, MIAMI, FL ...... 11/20/97 C & S LABORATORY, INC, MIAMI, FL ...... 11/20/97 CARIBMED CARE CENTER, INC, MARIANNA, FL ...... 11/20/97 CPC MEDICAL CENTER, HIALEAH, FL ...... 11/20/97 DADE DIAGNOSTIC SERVICES, INC, ASHLAND, KY ...... 11/20/97 DADE HEALTH CARE CENTER, INC, ASHLAND, KY ...... 11/20/97 FAR SOUTH SIDE HEALTH ASSOC, CHICAGO, IL ...... 11/20/97 FIRST COAST TRANS SVC, INC, JACKSONVILLE, FL ...... 11/20/97 FLORIDA NATIONAL HEALTH CORP, ALTAMONTE SPRGS, FL ...... 11/20/97 GREAT MIAMI PATIENT CARE, MIAMI, FL ...... 11/20/97 INSTITUTO LATINO AMER DE IMPOT, MIAMI, FL ...... 11/13/97 MEDIX PHYSICIAN INC, HIALEAH, FL ...... 11/20/97 MIRAMAR MEDICAL TRAUMA CENTER, ASHLAND, KY ...... 11/20/97 NEW HORIZONS OF PINELLAS, INC, TAMPA, FL ...... 11/20/97 ORLANDO RECOVERY CENTER, ORLANDO, FL ...... 11/20/97 P R MEDICAL SERVICES, MIAMI, FL ...... 11/20/97 PARADISE TAXI CAB, INC., DADE CITY, FL ...... 11/20/97 SMILE BRITE FAMILY DENTISTRY, ATLANTA, GA ...... 11/20/97 SUPREME MEDICAL SERVICES, MIAMI, FL ...... 11/20/97 WILLIAMS CLINICAL LABORATORY, BIRMINGHAM, AL ...... 11/20/97

Default On Heal Loan

ALTER, DON E, LUBBOCK, TX ...... 11/20/97 AYBAR, RANDALL, LOS ANGELES, CA ...... 11/20/97 BRITT, WILLIAM R, COLLEYVILLE, TX ...... 11/20/97 CARTER, KENNETH O, PIKESVILLE, MD ...... 11/20/97 CENTOLA, ROBERT L, RICHARDSON, TX ...... 11/20/97 COHEN, DOROTHY A, SAN JOSE, CA ...... 11/20/97 COLLYER, GEORGE H, SAN FRANCISCO, CA ...... 11/20/97 DODSON, MASON D, LINDALE, TX ...... 11/20/97 DREW, GARY WILLIAM, CARROLLTON, TX ...... 11/20/97 ELY, STEPHEN ROBERT, FRESNO, CA ...... 11/20/97 HENTHRON, WILLIAM H II, MCALLEN, TX ...... 11/20/97 HOEHN, FRANK G, MIDLAND, TX ...... 11/20/97 ITO, STEPHEN M, MURRIETA, CA ...... 11/20/97 LINDSEY-WRIGHT, KAREN N, LONG BEACH, CA ...... 11/20/97 MORONEY, WILLIAM P JR, SAN MATEO, CA ...... 11/20/97 PALLADINO, JENNIFER M, WHITTIER, CA ...... 11/20/97 WILLIAMS, LAURA ANN, LANHAM, MD ...... 11/20/97 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60909

Dated: October 30, 1997. Reduction Act of 1995, which provides a fully-structured interview designed to Joanne Lanahan, for an opportunity for public comment collect information on alcohol and drug Director, Health Care Administrative on proposed data collection projects, the use disorders and their associated Sanctions, Office of Investigations, OI. National Institute on Alcohol Abuse and psychiatric and medical conditions. The [FR Doc. 97–29792 Filed 11–12–97; 8:45 am] Alcoholism (NIAAA), National NIAAA is authorized by Section 464H BILLING CODE 4150±04±P Institutes of Health (NIH) will publish of Title IV of the Public Health Act (42 periodic summaries of proposed U.S.C. 285n). projects to be submitted to the Office of The information proposed for DEPARTMENT OF HEALTH AND Management and Budget (OMB) for collection in this study will be used by HUMAN SERVICES review and approval. the NIAAA to develop and finalize Proposed Collection psychometrically sound measures of National Institutes of Health The Biometry Branch (BB), Division alcohol and drug-related disabilities for Proposed Collection; Comment of Biometry and Epidemiology (DBE), use in major epidemiologic surveys Request; `Test-Retest Study of the NIAAA, intends to conduct the ‘Test- conducted in the United States. Alcohol Use Disorder and Associated Retest Study of the Alcohol Use Currently, there is a great need for more Disabilities Interview Schedule Disorder and Associated Disabilities reliable measurement of alcohol and (AUDADIS±IV) in a General Population Interview Schedule (AUDADIS–IV) in a drug use disorders and their associated Sample' General Population Sample’ to assess disabilities in all fields of substance use the test-retest reliability of new sections research. SUMMARY: In compliance with Section of the AUDADIS–IV in a general The annual burden estimates are as 3506(c)(2)(A) of the Paperwork population sample. The AUDADIS–IV is follows:

Responses Type and number of respondents per Total Hours Total hours respondent responses

(First (Test Interviews) 500 ...... 1 500 1 500 (Second (Retest) Interviews) 500 ...... 1 500 1 500 Total Number of RespondentsÐ500 (per year) Total Number of ResponsesÐ1000 (per year) Total hoursÐ1000 (per year)

Request for Comments Dated: November 5, 1997. Institutes of Health, 6011 Executive Martin K. Trusty, Boulevard, Suite 325, Rockville, Comments are invited on: (a) Whether Executive Officer, NIAAA. Maryland 20852–3804; telephone: 301/ the proposed collection is necessary, [FR Doc. 97–29841 Filed 11–12–97; 8:45 am] 496–7057; fax: 301/402–0220. A signed including whether the information has BILLING CODE 4140±01±M Confidential Disclosure Agreement will practical use; (b) ways to enhance the be required to receive copies of the clarity, quality, and use of the patent applications. information to be collected; (c) the DEPARTMENT OF HEALTH AND Identification of the Gene Causing accuracy of the agency estimate of HUMAN SERVICES burden of the proposed collection; and Familial Mediterranean Fever (d) ways to minimize the collection National Institutes of Health D Kastner (NIAMS) et al. burden of the respondents. Send written Serial No. 60/056,217 filed 21 Aug. 97 Government-Owned Inventions; comments to Dr. Bridget Grant, Licensing Contact: Stephen Finley, 301/ Availability for Licensing Biometry Branch, Division of Biometry 496–7056 ext. 215 and Epidemiology (DBE), NIAAA, NIH, AGENCY: National Institutes of Health, Willco Bldg., Suite 514, 6000 Executive The invention identifies the gene HHS. Boulevard, Bethesda, Maryland 20892– (MEFV) encoding the protein (pyrin) 7003. ACTION: Notice. that is associated with familial Mediterranean fever (FMF). FMF, a For Further Information SUMMARY: The inventions listed below recessive inherited disorder, is are owned by agencies of the U.S. characterized by episodes of fever, To request more information on the Government and are available for inflammation, and unexplained proposed project or to obtain a copy of licensing in the U.S. in accordance with arthritis, pleurisy, or abdominal pain. the data collection plans, contact Dr. 35 U.S.C. 207 to achieve expeditious Pyrin is thought to play a role in Bridget Grant, Biometry Branch, commercialization of results of keeping inflammation under control, Division of Biometry and Epidemiology, federally-funded research and whereas mutated forms lead to a NIAAA, Willco Bldg., 6000 Executive development. Foreign patent malfunctioning protein and Boulevard, Suite 514, Bethesda, applications are filed on selected uncontrolled inflammation. Mutated Maryland 20892–7003, or call non-toll- inventions to extend market coverage forms of MEFV were isolated and free number (301) 443–7370. for U.S. companies and may also be correlated to FMF disease. It is available for licensing. Comments Due Date anticipated that the immediate use of ADDRESSES: Licensing information and the pyrin gene and its mutations will be Comments regarding this information copies of the U.S. patent applications to aid in the diagnosis of FMF. It may collection are best assured of having listed below may be obtained by writing also prove useful for evaluating FMF as their full effect if received on or before to the indicated licensing contact at the a possible cause of currently January 12, 1998. Office of Technology Transfer, National unexplained fevers or abdominal pain. 60910 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

The normal gene and its mutations may detecting and distinguishing between information. Individuals who plan to also be useful for studying and the various forms of alpha-thalassemia attend and need special assistance, such controlling inflammation. using any biological material (dry or as sign language interpretation or other fluid) containing nucleic acid material. reasonable accommodations, should Methods for Inactivating Enveloped The invention further provides for a contact Ms. Welty. RNA Virus Particles and Compositions method and diagnostic kit for the for Use Therewith Dated: November 6, 1997. detection and quantitation of HF Rosenberg, JB Domachowske hemoglobin (Hb) alpha gene(s) in alpha- LaVerne Y. Stringfield, (NIAID) thalassemia patients, a method and kit Committee Management Officer, NIH. Serial Number: 60/052,986 filed 02 Jul for screening for carriers of this genetic [FR Doc. 97–29847 Filed 11–12–97; 8:45 am] 97 disorder, a sensitive non-radioisotopic BILLING CODE 4140±01±M Licensing Contact: Robert Benson, 301/ test capable of differentiating between 496–7056 ext. 267 the various forms of thalassemia, and a The inventors have discovered that means to identify persons who are at DEPARTMENT OF HEALTH AND treatment of enveloped single-stranded risk of having offspring with HUMAN SERVICES RNA viruses with eosinophil-derived homozygous alpha-thalassemia. National Institutes of Health neurotoxin (EDN), a ribonuclease, Dated: November 4, 1997. inactivates the viruses in cell culture. Barbara M. McGarey, National Cancer Institute; Notice of Respiratory Syncytial Virus (RSV) and Deputy Director, Office of Technology Closed Meeting Parainfluenza Virus (PIV) are medically Transfer. the most important enveloped RNA [FR Doc. 97–29843 Filed 11–12–97; 8:45 am] Pursuant to Section 10(d) of the viruses; together they hospitalize over BILLING CODE 4140±01±M Federal Advisory Committee Act, as 100,000 infants per year in the US. EDN amended (5 U.S.C. Appendix 2), notice is the major eosinophil ribonuclease. It is hereby given of the following has been cloned and recombinant EDN DEPARTMENT OF HEALTH AND National Cancer Institute Special is available. Despite its name, EDN is HUMAN SERVICES Emphasis Panel (SEP) meeting: not toxic to respiratory epithelial or other somatic cells. Both parenteral and National Institutes of Health Name of SEP: Cancer Drug Discovery: aerosol administration are Diversity Generation and Smart Assays. contemplated. Claimed are methods of National Institute of Child Health and Date: December 14–16, 1997. treatment and pharmaceutical Human Development; Notice of Time: December 14–7:00 p.m. to Recess, compositions. Meeting of the National Advisory December 15–8:00 a.m. to Recess, December Board on Medical Rehabilitation 16–8:00 a.m. to Adjournment. Actinomycin D: A New Use for AIDS Research Place: Key Bridge Marriott, 1401 Lee Therapy Highway, Arlington, VA 22209. Pursuant to Section 10(d) of the JG Levin, J Guo (NICHD) Contact Person: Ray Bramhall, Ph.D., Federal Advisory Committee Act, as Serial No. 60/047,223 filed 20 May 97 Scientific Review Administrator, National amended (5 U.S.C. Appendix 2), notice Cancer Institute, NIH, Executive Plaza North, Licensing Contact: Robert Benson, 301/ is hereby given of the meeting of the 496–7056 ext. 267 Room 643, 6130 Executive Boulevard, MSC National Advisory Board on Medical 7407, Bethesda, MD 20892–7407, Telephone: This invention is a method of treating Rehabilitation Research, National 301/496–3428. HIV infection by administering Institute of Child Health and Human Purpose/Agenda: To review, discuss and Actinomycin D. In a broader sense the Development, November 24–25, 1997, evaluate grant applications. invention is the discovery of a new Natcher Conference Center, Conference The meeting will be closed in accordance target for anti-HIV therapy, namely the Rooms E1–E2, Bethesda, Maryland. with the provisions set forth in secs. inhibition of the first strand transfer The meeting will be open to the 552b(c)(4) and 552b(c)(6), Title 5, U.S.C. step in reverse transcription, an early public from 8:00 a.m. to 5:00 p.m. on Applications and the discussions could step in HIV replication. Actinomycin D, November 24 and 8:00 a.m. to reveal confidential trade secrets or a licensed drug used to treat Wilm’s adjournment on November 25. commercial property such as patentable tumor, inhibits the first strand transfer Attendance by the public will be limited material and personal information step at a concentration estimated to be to space available. Board topics will concerning individuals associated with the an order of magnitude lower than that include: (1) A report on fiscal issues applications, the disclosure of which would used to treat cancer, as shown by concerning the National Center for constitute a clearly unwarranted invasion of inhibition studies with purified reverse Medical Rehabilitation Research personal privacy. transcriptase and detergent-treated HIV (Center) and the Institute; (2) reports on (Catalog of Federal Domestic Assistance virions. the program activities of the Center; (3) Program Numbers: 93.393, Cancer Cause and Rapid Method for Diagnosing the a discussion of general priority areas of Prevention Research; 93.394, Cancer Various Forms of Alpha-Thalassemia research for the Center; and (4) a Detection and Diagnosis Research; 93.395, discussion of support for medical Cancer Treatment Research; 93.396, Cancer GP Rodgers, DC Tang (NIDDK) rehabilitation research by government Biology Research; 93.397, Cancer Centers Serial No. 60/031,880 filed 27 Nov 96 agencies. Support; 93.398, Cancer Research Manpower; Licensing Contact: J. Peter Kim, 301/ Ms. Debbie Welty, Board Secretary, 93.399, Cancer Control) 496–7056 ext. 264 NICHD, 6100 Building, Room 2A03, Dated: November 6, 1997. The present invention is directed to a National Institutes of Health, Bethesda, simple, inexpensive, and rapid method Maryland 20892, Area Code 301–402– LaVerne Y. Stringfield, for detecting thalassemias. The present 2242, will provide a summary of the Committee Management Officer, NIH. invention provides for the identification meeting and a roster of Advisory Board [FR Doc. 97–29844 Filed 11–12–97; 8:45 am] of nucleic acid primers capable of members as well as substantive program BILLING CODE 4140±01±M Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60911

DEPARTMENT OF HEALTH AND Committee Name: Subcommittee D— Applications and the discussions could HUMAN SERVICES Clinical Research Studies. reveal confidential trade secrets or Date: December 2–3, 1997. commercial property such as patentable National Institutes of Health Time: 8 a.m. to Adjournment. material and personal information Place: Holiday Inn—Silver Spring, 8777 concerning individuals associated with the National Cancer Institute; Notice of Georgia Avenue, Silver Spring, MD 20910. applications, the disclosure of which would Closed Meeting Contact Person: Martin H. Goldrosen, constitute a clearly unwarranted invasion of Ph.D., Scientific Review Administrator, personal privacy. Pursuant to Section 10(d) of the National Cancer Institute, NIH, 6130 (Catalog of Federal Domestic Assistance Federal Advisory Committee Act, as Executive Blvd., EPN, Room 635C, Bethesda, Program Numbers: 93.393, Cancer Cause and amended (5 U.S.C. Appendix 2), notice MD 20892–7408, Telephone: 301–496–7930. The meeting will be closed in accordance Prevention Research; 93.394, Cancer is hereby given of the following of the Detection and Diagnosis Research; 93.395, National Cancer Institute Initial Review with the provisions set forth in secs. 552b(c)(4) and 552b(c)(6), Title 5, U.S.C. Cancer Treatment Research; 93.396, Cancer Group: Applications and the discussions could Biology Research; 93.397, Cancer Centers Agency/Purpose To review, discuss and reveal confidential trade secrets or Support; 93.398, Cancer Research Manpower; evaluate grant applications. commercial property such as patentable 93.399, Cancer Control) Committee Name: Subcommittee C—Basic material and personal information Dated: November 6, 1997. and Preclinical Sciences. concerning individuals associated with the LaVerne Y. Stringfield, Date: December 9–10, 1997. applications, the disclosure of which would Time: December 9—8:00 a.m. to Recess, constitute a clearly unwarranted invasion of Committee Management Officer, NIH. December 10—8:00 a.m. to Adjournment. personal privacy. [FR Doc. 97–29852 Filed 11–12–97; 8:45 am] Place: Ramada Inn—Rockville, 1775 (Catalog of Federal Domestic Assistance BILLING CODE 4140±01±M Rockville Pike, Rockville, MD 20852. Program Numbers: 93.393, Cancer Cause and Contact Person: Virginia P. Wray, Ph.D., Prevention Research; 93.394, Cancer Scientific Review Administrator, National Detection and Diagnosis Research; 93.395, DEPARTMENT OF HEALTH AND Cancer Institute, NIH, 6130 Executive Blvd., Cancer Treatment Research; 93.396, Cancer HUMAN SERVICES EPN, Room 635, Bethesda, MD 20892–7408, Biology Research; 93.397, Cancer Centers Telephone: 301–496–9236. Support; 93.398, Cancer Research Manpower; National Institutes of Health The meeting will be closed in accordance 93.399, Cancer Control) with the provisions set forth in secs. Dated: November 6, 1997. National Institute of Mental Health; 552b(c)(4) and 552b(c)(6), Title 5, U.S.C. Applications and the discussions could LaVerne Y. Stringfield, Notice of Closed Meeting reveal confidential trade secrets or Committee Management Officer, NIH. commercial property such as patentable [FR Doc. 97–29849 Filed 11–12–97; 8:45 am] Pursuant to Section 10(d) of the material and personal information BILLING CODE 4140±01±M Federal Advisory Committee Act, as concerning individuals associated with the amended (5 U.S.C. Appendix 2), notice applications, the disclosure of which would is hereby given of the following meeting constitute a clearly unwarranted invasion of DEPARTMENT OF HEALTH AND of the National Institute of Mental personal privacy. HUMAN SERVICES Health Special Emphasis Panel: (Catalog of Federal Domestic Assistance Agenda Purpose: To review and evaluate Program Numbers: 93.393, Cancer Cause and National Institutes of Health grant applications. Prevention Research; 93.394, Cancer Committee Name: National Institute of Detection and Diagnosis Research; 93.395, National Cancer Institute; Notice of Mental Health Special Emphasis Panel. Cancer Treatment Research; 93.396, Cancer Closed Meeting Date: December 2, 1997. Biology Research; 93.397, Cancer Centers Support; 93.398, Cancer Research Manpower; Pursuant to Section 10(d) of the Time: 8 a.m. 93.399, Cancer Control) Federal Advisory Committee Act, as Place: Chevy Chase Holiday Inn, 5520 Wisconsin Avenue, Chevy Chase, MD 20815. Dated: November 6, 1997. amended (5 U.S.C. Appendix 2), notice Contact Person: Lawrence E. Chaitkin, LaVerne Y. Stringfield, is hereby given of the following National Cancer Institute Special Parklawn, Room 9c–26, 5600 Fishers Lane, Committee Management Officer, NIH. Emphasis Panel (SEP) meeting: Rockville, MD 20857, Telephone: 301, 443- [FR Doc. 97–29845 11–12–97; 8:45 am] 4843. BILLING CODE 4140±01±M Name of SEP: NCI Scholars Program. The meeting will be closed in accordance Date: November 18, 1997. with the provisions set forth in secs. Time: 8:00 a.m. to Adjournment. 552b(c)(4) and 552b(c)(6), Title 5, U.S.C. DEPARTMENT OF HEALTH AND Place: Ramada Inn—Rockville, 1775 Applications and/or proposals and the HUMAN SERVICES Rockville Pike, Rockville, MD 20852. discussions could reveal confidential trade Contact Person: Gerald Lovinger, Ph.D., secrets or commercial property such as Scientific Review Administrator, National National Institutes of Health patentable material and personal information Cancer Institute, NIH, Executive Plaza North, concerning individuals associated with the Room 630C, 6130 Executive Boulevard, MSC National Cancer Institute; Notice of applications and/or proposals, the disclosure 7405, Bethesda, MD 20892–7405, Telephone: Closed Meeting of which would constitute a clearly 301/496–7987. unwarranted invasion of person privacy. Pursuant to Section 10(d) of the Purpose/Agenda: To review, discuss and Federal Advisory Committee Act, as evaluate grant applications. (Catalog of Federal Domestic Assistance amended (5 U.S.C. Appendix 2), notice This notice is being published less than 15 Program Numbers 93.242, 93.281, 93.282) is hereby given of the following days prior to the meeting due to the urgent Dated: November 6, 1997. meetings of the National Cancer need to meet timing limitations imposed by LaVerne Y. Stringfield, the review and funding cycle. Institute Initial Review Group: The meeting will be closed in accordance Committee Management Officer, NIH. Agenda/Purpose: To review, discuss and with the provisions set forth in secs. [FR Doc. 97–29848 Filed 11–12–97; 8:45 am] evaluate grant applications. 552b(c)(4) and 552b(c)(6), Title 5, U.S.C. BILLING CODE 4140±01±M 60912 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

DEPARTMENT OF HEALTH AND National Institute of Mental Health Purpose/Agenda: To evaluate and review a HUMAN SERVICES Special Emphasis Panel: research grant application. This meeting will be closed in accordance Agenda/Purpose: To review and evaluate with the provisions set forth in sections National Institutes of Health grant applications. 552b(c)(4) and 552b(c)(6), Title 5 U.S.C. The Committee Name: National Institute or National Institute of Mental Health; Mental Special Emphasis Panel. discussion of this application could reveal Notice of Closed Meetings Date: December 2, 1997. confidential trade secrets or commercial Time: 4 p.m. property such as patentable material and Pursuant to Section 10(d) of the Place: Parklawn, Room 9–101, 5600 personal information concerning individuals Federal Advisory Committee Act, as Fishers Lane, Rockville, MD 20857. associated with the application, the amended (5 U.S.C. Appendix 2), notice Contact Person: Shirley H. Maltz, disclosure of which would constitute a is hereby given of the following Parklawn, Room 9–101, 5600 Fishers Lane, clearly unwarranted invasion of personal meetings of the National Institute of Rockville, MD 20857; Telephone: 301–443– privacy. Mental Health Special Emphasis Panel: 3936. This notice is being published less than 15 days prior to the meeting due to the urgent Agenda/Purpose: To review and evaluate The meeting will be closed in need to meet timing limitations imposed by grant applications. accordance with the provisions set forth the review and funding cycle. Committee Name: National Institute of in secs. 552b(c)(4) and 552b(c)(6), Title Mental Health Special Emphasis Panel. 5, U.S.C. Applications and/or proposals (Catalog of Federal Domestic Assistance Program Nos. [93.864, Population Research Date: November 19, 1997. and the discussions could reveal Time: 12 p.m. and No. 93.865, Research for Mothers and Place: Parklawn, Room 9C–18, 5600 confidential trade secrets or commercial Children], National Institute of Health, HHS) property such as patentable material Fishers Lane, Rockville, MD 20857. Dated: November 6, 1997. Contact Person: Salvador H. Cuellar, and personal information concerning LaVerne Y. Stringfield, Parklawn, Room 9C–18, 5600 Fishers Lane, individuals associated with the Rockville, MD 20857; Telephone: 301, 443– applications and/or proposals, the Committee Management Officer, NIH. 4868. disclosure of which would constitute a [FR Doc. 97–29855 Filed 11–12–97; 8:45 am] Committee Name: National Institute of clearly unwarranted invasion of BILLING CODE 4140±01±M Mental Health Special Emphasis Panel. personal privacy. Date: December 4, 1997. This notice is being published less than Time: 10 a.m. fifteen days prior to the meeting due to the DEPARTMENT OF HEALTH AND Place: Parklawn, Room 9C–26, 5600 urgent need to meet timing limitations HUMAN SERVICES Fishers Lane, Rockville, MD 20857. imposed by the review and funding cycle. Contact Person: Phyllis D. Artis, Parklawn, (Catalog of Federal Domestic Assistance National Institutes of Health Room 9C–26, 5600 Fishers Lane, Rockville, Program Numbers 93.242, 93.281, 93.282). MD 20857; Telephone: 301, 443–6470. Dated: November 6, 1997. Center for Scientific Review; Notice of The meetings will be closed in accordance Closed Meetings with the provisions set forth in secs. LaVerne Y. Stringfield, 552b(c)(4) and 552b(c)(6), Title 5, U.S.C. Committee Management Officer, NIH. Pursuant to Section 10(d) of the Applications and/or proposals and the [FR Doc. 97–29854 Filed 11–12–97; 8:45 am] discussions could reveal confidential trade Federal Advisory Committee Act, as BILLING CODE 4140±01±M secrets or commercial property such as amended (5 U.S.C. Appendix 2), notice patentable material and personal information is hereby given of the following Center concerning individuals associated with the for Scientific Review Special Emphasis DEPARTMENT OF HEALTH AND applications and/or proposals, the disclosure Panel (SEP) meetings: of which would constitute a clearly HUMAN SERVICES Purpose/Agenda: To review individual unwarranted invasion of personal privacy. grant applications. This notice is being published less than National Institutes of Health fifteen days prior to the meetings due to the Name of SEP: Clinical Sciences. urgent need to meet timing limitations National Institute of Child Health and Date: November 13, 1997. imposed by the review and funding cycle. Human Development; Notice of Closed Time: 1:00 p.m. Meeting Place: NIH, Rockledge 2, Room 4118, (Catalog of Federal Domestic Assistance Telephone Conference. Program Numbers 93.242, 93.281, 93.282). Pursuant to Section 10(d) of the Contact Person: Dr. Christine Melchior, Dated: November 6, 1997. Federal Advisory Committee Act, as Scientific Review Administrator, 6701 LaVerne Y. Stringfield, amended (5 U.S.C. Appendix 2), notice Rockledge Drive, Room 4118, Bethesda, Committee Management Officer, NIH. is hereby given of the following Maryland 20892, (301) 435–1713. [FR Doc. 97–29853 Filed 11–12–97; 8:45 am] National Institute of Child Health and Name of SEP: Clinical Sciences. BILLING CODE 4140±01±M Human Development Special Emphasis Date: November 19–20, 1997. Panel (SEP) meeting: Time: 8:00 a.m. Place: Holiday Inn, Chevy Chase, Name of SEP: Specialized Cooperative Maryland. DEPARTMENT OF HEALTH AND Centers Program in Reproductive Research. HUMAN SERVICES Date: November 12–14, 1997. Contact Person: Dr. Richard Panniers, Time: November 12—6:00 p.m.–10:00 p.m.; Scientific Review Administrator, 6701 National Institutes of Health November 13—8:30 a.m.–5:00 p.m.; Rockledge Drive, Room 5106, Bethesda, November 14—8:30 a.m.–adjournment. Maryland 20892, (301) 435–1166. National Institutes of Mental Health; Place: Hyatt Regency Hotel, One Bethesda This notice is being published less than 15 Notice of Closed Meeting Metro Center, Bethesda, Maryland. days prior to the above meetings due to the Contact Person: A. T. Gregoire, Ph.D., urgent need to meet timing limitations Pursuant to Section 10(d) of the Scientific Review Administrator, NICHD, imposed by the grant review and funding Federal Advisory Act, as amended (5 6100 Executive Boulevard, Room 5E01, cycle. U.S.C. Appendix 2), notice is hereby Rockville, MD 20852; Telephone: 301–496– Name of SEP: Clinical Sciences. given of the following meeting of the 1485. Date: December 1, 1997. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60913

Time: 2:00 p.m. 552b(c)(4) and 552b(c)(6), Title 5, U.S.C. instruments, call the SAMHSA Reports Place: NIH, Rockledge 2, Room 4128, Applications and/or proposals and the Clearance Officer on (301) 443–8005. Telephone Conference. discussions could reveal confidential trade Contact Person: Dr. Anshumali Chaudhari, secrets or commercial property such as Comments are invited on: (a) whether Scientific Review Administrator, 6701 patentable material and personal information the proposed collection of information Rockledge Drive, Room 4128, Bethesda, concerning individuals associated with the is necessary for the proper performance Maryland 20892, (301) 435–1210. applications and/or proposals, the disclosure of the functions of the agency, including Name of SEP: Biological and Physiological of which would constitute a clearly whether the information shall have Sciences. unwarranted invasion of personal privacy. practical utility; (b) the accuracy of the Date: December 2–4, 1997. (Catalog of Federal Domestic Assistance Time: 7:00 p.m. agency’s estimate of the burden of the Program Nos. 93.306, 93.333, 93.337, 93.393– proposed collection of information; (c) Place: Colony Inn, New Haven, CT. 93.396, 93.837–93.844, 93.846–93.878, Contact Person: Dr. Dave Remondini, 93.892, 93.893, National Institutes of Health, ways to enhance the quality, utility, and Scientific Review Administrator, 6701 HHS) clarity of the information to be Rockledge Drive, Room 6154, Bethesda, Dated: November 6, 1997. collected; and (d) ways to minimize the Maryland 20892, (301) 435–1038. burden of the collection of information Name of SEP: Microbiological and LaVerne Y. Stringfield, Committee Management Officer, NIH. on respondents, including through the Immunological Sciences. use of automated collection techniques Date: December 4, 1997. [FR Doc. 97–29846 Filed 11–12–97; 8:45 am] or other forms of information Time: 8:30 a.m. BILLING CODE 4140±01±M Place: Doubletree Hotel, Rockville, MD. technology. Contact Person: Dr. Mohindar Poonian, Proposed Project: State Prevention Scientific Review Administrator, 6701 DEPARTMENT OF HEALTH AND Needs Assessments: Alcohol and Other Rockledge Drive, Room 5110, Bethesda, Maryland 20892, (301) 435–1713. HUMAN SERVICES Drugs—New—SAMHSA’s Center for Substance Abuse Prevention (CSAP) has Name of SEP: Biological and Physiological Substance Abuse and Mental Health Sciences. awarded contracts to several States to Date: December 9, 1997. Services Administration assess the nature and extent of Time: 12:00 p.m. substance abuse prevention services Agency Information Collection Place: NIH, Rockledge 2, Room 5146, needs. The information collected in this Activities: Proposed Collection; Telephone Conference. project will be combined with existing Contact Person: Dr. Ramesh Nayak, Comment Request Scientific Review Administrator, 6701 sources and may use multiple Rockledge Drive, Room 5146, Bethesda, In compliance with Section approaches to assess risk and protective Maryland 20892, (301) 435–1026. 3506(c)(2)(A) of the Paperwork factors for substance use, prevention Name of SEP: Clinical Sciences. Reduction Act of 1995 for opportunity service needs, and substance abuse Date: December 12, 1997. for public comment on proposed data prevalence. These needs assessment Time: 10:00 a.m. collection projects, the Substance Abuse studies will permit some cross-State Place: Holiday Inn, Chevy Chase, MD. and Mental Health Services comparisons of predictor variables to Contact Person: Dr. Harold Davidson, Administration will publish periodic assist Federal program planning, Scientific Review Administrator, 6701 Rockledge Drive, Room 4216, Bethesda, summaries of proposed projects. To allocating resources, and responding to Maryland 20892, (301) 435–1776. request more information on the GPRA. The estimated annualized The meetings will be closed in accordance proposed projects or to obtain a copy of burden for the three-year project is with the provisions set forth in secs. the data collection plans and shown below.

No. of re- Average bur- Total No. of re- sponses per den per re- Total burden annualized spondents respondent sponse hours burden hours

Students ...... 45,600 1 0.75 34,200 11,400 Young Adults ...... 3,100 1 0.50 1,550 517 Community/Program Providers ...... 1,253 1 1.00 1,253 418

Send comments to Beatrice Rouse, DEPARTMENT OF HEALTH AND SAMHSA. Public comments are SAMHSA Reports Clearance Officer, HUMAN SERVICES welcome during the open session. Room 16–105, Parklawn Building, 5600 Please notify the contact listed below if Fishers Lane, Rockville, MD 20857. Substance Abuse and Mental Health you would like to make comments or if Written comments should be received Services Administration you have a disability which requires on or before January 12, 1998. reasonable accommodation. Center for Mental Health Services; Dated: November 6, 1997. Notice of Meeting The meeting also will include the review, discussion, and evaluation of Richard Kopanda, Pursuant to Pub. L. 92–463, notice is individual contract proposals. Executive Officer, SAMHSA. hereby given of the meeting of the Therefore, a portion of the meeting will [FR Doc. 97–29839 Filed 11–12–97; 8:45 am] Center for Mental Health Services be closed to the public as determined by BILLING CODE 4162±20±P (CMHS) National Advisory Council in the Administrator, SAMHSA, in December 1997. accordance with Title 5 U.S.C. A portion of the meeting will be open 552b(c)(3), (4) and (6) and 5 U.S.C. App. and will include a general 2, Section 10(d). announcements and discussions and A summary of the agenda and a roster advice on issues and initiatives relevant of Council members may be obtained to the policy and operation of CMHS/ from Ms. Patricia Gratton, Committee 60914 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

Management Officer, CMHS, Room a copy of such documents to the DEPARTMENT OF THE INTERIOR 11C–26, Parklawn Building, Rockville, following office within 30 days of the Maryland 20857, telephone (301) 443– date of publication of this notice: U.S. Fish and Wildlife Service 7987. Fish and Wildlife Service, Office of Substantive program information may Management Authority, 4401 North Notice of Availability of the Draft be obtained from the contact whose Fairfax Drive, Room 430, Arlington, Sharon Steel Restoration Plan and name and telephone number is listed Virginia 22203. Phone: (703/358–2104); Public Information Meeting below. FAX: (703/358–2281). AGENCY: Fish and Wildlife Service, Committee Name: CMHS National Dated: November 6, 1997. Interior. Advisory Council. Dr. Susan Lieberman, ACTION: Notice of availability and public Meeting Dates: December 4–5, 1997. informational meeting. Place: Omni Shoreham Hotel, 2500 Chief, Branch of Operations, Office of Management Authority. Calvert Street, N.W. Washington, D.C. SUMMARY: The U.S. Fish and Wildlife Closed: December 4, 9:00 a.m.–9:15 [FR Doc. 97–29829 Filed 11–12–97; 8:45 am] Service (Service) announces the release a.m. BILLING CODE 4310±55±P of the Draft Sharon Steel Restoration Open: December 4, 9:15 a.m.–4:45 Plan for public review and comment. p.m. The draft plan identifies restoration DEPARTMENT OF THE INTERIOR Open: December 5, 9:00 a.m.– projects to restore migratory bird Adjournment. Fish and Wildlife Service resources injured by the release of Contact: Ina B. Lyons, Room 13–103, hazardous materials from the Sharon Parklawn Building, Telephone: (301) Notice of Receipt of Application for Steel and Midvale Slag Superfund Sites, 443–7586 and FAX (301) 443–5163. Approval along the Jordan River in Salt Lake Dated: November 6, 1997. County, Utah. Restoration proposals Jeri Lipov, The following applicant has applied were solicited through the Final Sharon Committee Management Officer, Substance for approval to conduct certain activities Steel Damage Settlement: A Conceptual Abuse and Mental Health Services with birds that are protected in Restoration Plan and the Commerce Administration. accordance with the Wild Bird Business Daily. [FR Doc. 97–29838 Filed 11–12–97; 8:45 am] Conservation Act of 1992. This notice is DATES: Written comments must be BILLING CODE 4162±20±P provided pursuant to Section 112(4) of submitted on or before December 15, the Wild Bird Conservation Act of 1992, 1997. 50 CFR 15.26(c). ADDRESSES: Requests for copies of the DEPARTMENT OF THE INTERIOR Applicant: Susan Boyer, Julian, CA. Draft Plan may be made to U.S. Fish and The applicant wishes to amend her Wildlife Service, Salt Lake City Field Fish and Wildlife Service approved cooperative breeding program Office, Lincoln Plaza, 145 East 1300 to include the Greater Indian Hill South, Suite 404, Salt Lake City, Utah Notice of Receipt of Application for mynah (Gracula religiosa intermedia). 84115. Written comments should be Approval The American Federation of Aviculture sent to the above address. The following applicant has applied maintains responsibility for the FOR FURTHER INFORMATION CONTACT: for approval to conduct certain activities oversight of the program. Reed Harris, Field Supervisor, or Elise with birds that are protected in Written data or comments should be Peterson Environmental Contaminants accordance with the Wild Bird submitted to the Director, U.S. Fish and Program, at the above Salt Lake City Conservation Act of 1992. This notice is Wildlife Service, Office of Management Field Office address (telephone 801/ provided pursuant to Section 112(4) of Authority, 4401 North Fairfax Drive, 524–5001 extension 123). the Wild Bird Conservation Act of 1992, Room 430, Arlington, Virginia 22203 SUPPLEMENTARY INFORMATION: 50 CFR 15.26(c). and must be received by the Director Applicant: Jan Roger van Oosten, within 30 days of the date of this Background Seattle, WA. The applicant wishes to publication. A $2.3 million damage settlement was amend his approved cooperative Documents and other information awarded to the U.S. Department of the breeding program to include additional submitted with these applications are Interior (DOI) in compensation for specimens of the Yellow-bibbed lory available for review, subject to the injuries to Federally-protected trust (Lorius chlorocercus). The International requirements of the Privacy Act and resources caused by contamination of Loriinae Society maintains Freedom of Information Act, by any the Jordan River corridor from the responsibility for the oversight of the party who submits a written request for Sharon Steel and Midvale Slag program. a copy of such documents to the Superfund Sites. Under Federal law, Written data or comments should be following office within 30 days of the these trust resources are specifically submitted to the Director, U.S. Fish and date of publication of this notice: U.S. protected on behalf of the public, and Wildlife Service, Office of Management Fish and Wildlife Service, Office of include migratory birds, as well as Authority, 4401 North Fairfax Drive, Management Authority, 4401 North threatened and endangered species and Room 430, Arlington, Virginia 22203 Fairfax Drive, Room 430, Arlington, their habitats. Consequently, Sharon and must be received by the Director Virginia 22203. Phone: (703/358–2104); Steel damage settlement money must be within 30 days of the date of this FAX: (703/358–2281). used to restore, replace, or acquire the publication. equivalent of the trust resources injured Documents and other information Dated: November 6, 1997. on site by contaminants. submitted with these applications are Dr. Susan Lieberman, The DOI and the State of Utah signed available for review, subject to the Chief, Branch of Operations, Office of a Memorandum of Understanding requirements of the Privacy Act and Management Authority. (MOU) July 11, 1991, to cooperate as Freedom of Information Act, by any [FR Doc. 97–29830 Filed 11–12–97; 8:45 am] trustees in planning and implementing party who submits a written request for BILLING CODE 4310±55±P resource restoration with Sharon Steel Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60915 settlement money. The MOU proposal, and deed restrictions, which planning in the Alturas, Eagle Lake and established a Trustee Committee stipulate future land uses and return of Surprise Resource Areas. Public consisting of representatives from DOI lands to DOI or the State of Utah if comments will be taken at 1 p.m. and the State of Utah to plan and direct cooperative agreements and Depending on the number of persons restoration activities. management plan objectives are not wishing to speak a time limit could be The Trustee Committee outlined the upheld. Monitoring of sites will be established. following project goals: (1) to restore, performed by the Service to document FOR FURTHER INFORMATION: Contact Jeff replace, enhance, or acquire appropriate project progress, assure compliance Fontana, public affairs officer, (530) natural , functioning habitats along the with management objectives and deed 257–5381. Jordan River corridor for the benefit of restrictions, and to measure timely John Bosworth, identified trust resources; (2) to ensure success in the restoration of trust Acting Area Manager. that funds are utilized to provide resources. [FR Doc. 97–29818 Filed 11–12–97; 8:45 am] maximum benefits for trust resources; Interested members of the public are and (3) to ensure the provision of invited to review and comment on the BILLING CODE 4310±40±P benefits to trust resources in perpetuity. Draft Restoration Plan. In Utah, copies Restoration alternatives to meet these are available for review at the U.S. Fish DEPARTMENT OF THE INTERIOR goals were identified. These alternatives and Wildlife Service’s Ecological included: (a) no-action or natural Services Office in Salt Lake City (145 Bureau of Land Management recovery, (b) restoration on the Sharon East 1300 South, Suite 404, Salt Lake Steel/Midvale Slag sites, and (c) Jordan City), the Utah Department of [AZ±050±07±1220±00; 8322] River Corridor replacement/ Environmental Quality, Division of Arizona: Closure of All Public Lands enhancement of habitat for trust Environmental Response and resources. Due to its protective and Within the La Posa Plain Camping Remediation (168 North 1950 West, Salt Closure Area to Overnight Occupation, relatively cost effective nature, Lake City), and the Salt Lake City replacement/enhancement of resources Identification of Five ``Fourteen-Day Library. Camping Areas,'' and Restriction of in the Jordan River corridor was chosen A public informational meeting will Native Wood Collection as the preferred alternative for be held to describe the restoration enhancement of wetland and riparian projects proposed in the Restoration AGENCY: Bureau of Land Management, migratory bird habitats. Plan and to answer questions. The Interior. The primary steps towards meeting will be held November 20, achievement of project restoration ACTION: Notice of closure of all public 1997, at Midvale City Hall at 7:30 p.m. lands within the La Posa Plain Camping objectives were subsequently identified All written and public meeting as: (1) definition of restoration targets in Closure Area to overnight occupation, comments will be considered and identification of five ‘‘Fourteen-Day terms of species and habitats, (2) addressed in the final Restoration Plan. development of criteria to consider Camping Areas,’’ and restriction of when identifying and ranking projects, Dated: November 6, 1997. Native Wood Collection. (3) identification of restoration tools or Joseph J. Webster, SUMMARY: Notice is hereby given that all activities and solicitation of cooperative Acting Regional Director, Denver, Colorado. types of camping and night-time project proposals, (4) identification and [FR Doc. 97–29828 Filed 11–12–97; 8:45 am] occupation must occur within ranking of specific restoration projects BILLING CODE 4310±55±M designated camping areas within the La (cooperative proposals) and/or sites, (5) Posa Plain Area, and that native wood implementation of selected project(s), and (6) monitoring of the project(s) to DEPARTMENT OF THE INTERIOR collection is prohibited on the public ensure long-term viability. land within the La Posa Plain Camping The Sharon Steel Damage Settlement Bureau of Land Management Closure Area. The area affected by the closure contains 121,500 acres more or Restoration Plan: A Concept Document [CA±350±1020±00] was subsequently issued which lent less. guidance to the restoration project Notice of Resource Advisory Council SUPPLEMENTARY INFORMATION: The selection process. The Draft Sharon Meeting Bureau of Land Management, Yuma Steel Restoration Plan identifies Field Office, La Posa Interdisciplinary restoration projects selected for funding AGENCY: Bureau of Land Mananagement, Management Plan specified that no through cooperative agreements that Northeast California Resource Advisory overnight occupation or collection of will be implemented through Council, Susanville, California. native wood shall be permitted with the partnerships with State or Federal ACTION: Notice of meeting. closure area. This closures of public agencies, county or local governments, land within this area to overnight or nonprofit organizations. Close SUMMARY: The U.S. Bureau of Land occupation and firewood collection is cooperation among all programs in the Management’s Northeast California being implemented to resolve natural Jordan River corridor (e.g., Central Utah Resource Advisory Council will meet resource impacts resulting from Project, Jordan River Parkway plans, Tuesday, Dec. 2, 1997, at the BLM’s unauthorized dumping of solid and Jordan River Sub-basin Watershed Eagle Lake Field Office, 2950 Riverside liquid waste, disturbance of native soils, Management Council, etc.) will insure Drive, Susanville, CA 96130. and depletion of native wood resources. cost-effective expenditure of public SUPPLEMENTARY INFORMATION: The Camping and occupation of public land funds, increase success of all programs, meeting begins at 10 a.m. in the within this area is restricted to five and provide maximum benefits to the conference room of the BLM office. designated 14-day camping areas and Jordan River ecosystem. Members will discuss development of the La Posa Long-Term Visitor Area Management in perpetuity for wildlife BLM-California’s Environmental Impact (LTVA). The five 14-day camping areas will be assured by Restoration Plan Statement for Healthy Rangeland are: Plomosa Road located 5 miles north stipulations which require land/wildlife Standards and Guidelines, and discuss of Quartzsite, Arizona, on the north and management plans for each project progress on phase one fire management south sides of Plomosa Road; Dome 60916 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

Rock located 6 miles west of Quartzsite SUPPLEMENTARY INFORMATION: In accordance with the National south of Interstate 10; Hi-Jolly located 3 Need for Correction Environmental Policy Act and Clean miles north of Quartzsite east of Water Act the NPS is soliciting Highway 95 at mile marker 112; The Summary action of the notice comments from the public, state, and Scaddan Wash located 3 miles east of published on Friday, October 17, 1997 local agencies and officials, and other Quartzsite south of Interstate 10 (62 FR 54127–54128) incorrectly stated interested parties. The public review adjacent to the south frontage road; and that the existing permits expire by and comment period for the draft Road-Runner located 5 miles south of limitation of time on December 31, 1997 feasibility study and draft Quartzsite west of Highway 95 at mile and that the term of the proposed new environmental assessment will begin on marker 99. These areas are clearly permits will be for ‘‘a period of five November 21, 1997 and close on identified on the ground with perimeter years from January 1, 1998 through December 21, 1997. signs and information kiosks at the December 31, 2002.’’ The Effective Date A public meeting will be held on ignress and egress points which provide was stated ‘‘December 16, 1997’’. November 21, 1997 at 7:00 p.m. at maps of the areas. Correction of Notice Patowmack Landing Restaurant meeting Authority for this action is contained room, located at the Washington Sailing The existing permits expire by in 43 CFR 8364.1. Violation of this Marina, one mile south of National limitation of time on December 31, regulation is punishable by a fine not to Airport, on George Washington 1998, and proposed new permits will exceed $100,000 and/or imprisonment Memorial Parkway. have a term of five years from January not to exceed 12 months. A map of the 1, 1999 through December 31, 2003. The For further information please contact overnight occupation and camping date applications are due has been Superintendent, George Washington closure areas and designate camping extended from December 16, 1997 to Memorial Parkway at 703–285–2600. areas is available at the Yuma Field January 15, 1998. Requests for copies of the draft plan or Office, 2555 Gila Ridge Road, Yuma, written comments may be addressed to Arizona 85365, or by mail. Paul Anderson, Acting Regional Director, Alaska Region. Superintendent, at George Washington Memorial Parkway, c/o Turkey Run EFFECTIVE DATES: September 30, 1997. [FR Doc. 97–29775 Filed 11–12–97; 8:45 am] Park, McLean, Virginia 22101. FOR FURTHER INFORMATION CONTACT: BILLING CODE 4310±70±M Comments must be received by Outdoor Recreational Planner John December 21, 1997, to be addressed by Reid, Yuma Field Office, 2555 Gila DEPARTMENT OF THE INTERIOR the Final Feasibility Study and Ridge Road, Yuma, Arizona 85365; (520 Environmental Assessment. 317–3274. National Park Service Dated: November 3, 1997. Dated: November 3, 1997. Audry F. Calhoun, Draft Environmental Assessment Curt Gunn, Superintendent, George Washington Program Manager, Resources, Lands, and ACTION: Memorial Parkway. Minerals. Release of Draft Environmental Assessment for Navigational [FR Doc. 97–29774 Filed 11–12–97; 8:45 am] [FR Doc. 97–29866 Filed 11–12–97; 8:45 am] Improvements for Washington Sailing BILLING CODE 4310±70±M BILLING CODE 4310±32±M Marina and Columbia Island Marina for public review and announcement of a DEPARTMENT OF THE INTERIOR DEPARTMENT OF THE INTERIOR public meeting on November 21, 1997 at Patowmack Landing Restaurant at the National Park Service National Park Service Washington Sailing Marina in Alexandria, Virginia. Notice of Public Meeting Concession Contract Negotiations: SUMMARY: National Preserve; Correction Washington Sailing Marina The National Park Service is seeking (WSM), located on Dangerfield Island, public comments and suggestions on the AGENCY: National Park Service, Interior. just opposite National Airport and planning of the 1997 Christmas Pageant Columbia Island Marina (CIM), at the of Peace, which opens December 4, on ACTION: Correction to public notice, southern end of Lyndon Baines Johnson proposal to award concession permits, the Ellipse (President’s Park), south of Grove and 3 miles upstream from WSM the White House. Wrangell—St. Elias National Preserve. are owned by the National Park Service (NPS) and managed by Guest Services, The meeting will be held at 1 p.m., SUMMARY: This notice contains a Inc. The marinas provide for Thursday, November 13, 1997, in room correction to the public notice that was recreational boating and access to the 234 of the National Park Service’s published Friday, October 17, 1997 (62 Federal navigational project in the National Capital Region Building, at FR 54127–54128). That notice Potomac River. The WSM provides 1100 Ohio Drive, S.W., in East Potomac advertised the National Park Service’s recreational sailing and the CIM Park. proposal to award 17 concession provides recreational power boating. Persons who would like to comment permits authorizing the operation of The access channels serving to connect at the meeting should notify the sport hunting guide-outfitter services for these marinas with the Federal National Park Service by November 10, the public at Wrangell St. Elias National Navigational channel are inadequate by calling the White House Visitor Preserve. and unsafe for the types of boats Center between 9 a.m. and 4 p.m. EFFECTIVE DATE: November 13, 1997. currently using these marinas. weekdays, at (202) 208–1631. Written Through both studies, the benefits comments may be sent to the Park FOR FURTHER INFORMATION CONTACT: which may reasonably be expected to Manager, White House Visitor Center, Superintendent, Wrangell St. Elias accrue from the proposed project are 1100 Ohio Drive, SW., Washington, DC National Park and Preserve, P.O. Box being balanced against its reasonable 20242, and can be accepted until 439,Copper Center, Alaska 99573. foreseeable detriments. November 7. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60917

Dated: November 3, 1997. Draft minutes of the meeting will be Suffolk County Tom Peyton, available for public inspection about 12 St. Luke’s and St. Margaret’s Church, 5–7 St. Park Manager, President’s Park. weeks after the meeting, in room 2414, Luke’s Rd., Boston, 97001472 [FR Doc. 97–29773 Filed 11–12–97; 8:45 am] Main Interior Building, 1849 C Street, MICHIGAN BILLING CODE 4310±70±M NW., Washington, DC. Cass County Dated: November 5, 1997. Denis P. Galvin, Jones, Carroll and Bessie E. (Caul), House, 170 W. Main St., Marcellus, 97001482 DEPARTMENT OF THE INTERIOR Acting Director, National Park Service. Delta County National Park Service [FR Doc. 97–29778 Filed 11–12–97; 8:45 am] BILLING CODE 4310±70±P Sand Lighthouse, 12 Waterplant Rd., National Park System Advisory Board Escanaba, 97001474 Newaygo County AGENCY: National Park Service, Interior. DEPARTMENT OF THE INTERIOR Hardy Hydroelectric Plant, 6928 E. 36th St., ACTION: Notice of meeting. National Park Service Newaygo vicinity, 97001479 Notice is hereby given in accordance Wayne County National Register of Historic Places; with the Federal Advisory Committee Ford—Bacon House, 45 Vinewood, Act, 5 U.S.C. Appendix (1994), that a Notification of Pending Nominations Wyandotte, 97001476 meeting of the National Park System Nominations for the following Grindley, Robert M. and Matilda (Kitch), Advisory Board will be held on properties being considered for listing House, 123 Parsons, Detroit, 97001475 Hook and Ladder House No. 5—Detroit Fire November 20–21, 1997, at the Presidio, in the National Register were received Golden Gate Club, Building 135, Fisher Department Repair Shop, 3400–3434 by the National Park Service before Russell, Detroit, 97001481 Loop, San Francisco, California. November 1,1997. Pursuant to section Warren—Prentis Historic District, Bounded November 20, 1997, will be a meeting 60.13 of 36 CFR Part 60 written by Woodward, Warren, Third, and alley S day for the committees of the Board. comments concerning the significance of Prentis, Detroit, 97001477 The Committee on Use, Recreation and of these properties under the National Willis—Selden Historic District, Bounded by Tourism will meet at the Presidio. The Register criteria for evaluation may be alley N of W. Willis, Woodward, alley S of Committee on Humanities, Science and forwarded to the National Register, Selden, and Third Ave., Detroit, 97001478 Education will meet at Point Reyes National Park Service, P.O. Box 37127, Woodbridge Neighborhood Historic District National Seashore. The full Board will Washington, D.C. 20013–7127. Written (Boundary Increase), 4304–14 Trumbull meet November 21, 1997, beginning at Ave. and 3800 Grand River, Detroit, comments should be submitted by 97001480 8:30 a.m. and will adjourn at 4:30 p.m. November 28, 1997. On November 21, after remarks from Carol D. Shull, MISSOURI the Chairman, the Board will be Keeper of the National Register. Jackson County addressed by Director Robert Stanton. CONNECTICUT Scarritt Point North Historic District, NPS Deputy Director Jackie Lowey will Roughly along Gladstone Blvd., Windor, report on the NPS Transportation Hartford County Bales, Indiana, and Norledge Aves., Kansas Working Group, followed by committee Hubbard Park, Roughly bounded by W. Main City, 97001484 reports. The Board will vote on National St., I–691, CT 66, Reservoir Ave., Scarritt Point South Historic District, Historic Landmark nominations in the Edgewood Dr, and Berlin, Meriden and Roughly along Gladstone and Benton afternoon. Southing townlines, Meriden, 97001466 Blvds., and Thompson Ave., Kansas City, 97001483 The Board may be addressed at New London County various times by other officials of the Burnett’s Corner, Along Packer Rd., S of CT Saline County National Park Service and the 184, Groton, 97001468 Sweet Springs Historic District (Sweet Department of the Interior; and other Woodbridge Farm, 29, 30, and 90 Springs MPS), Roughly along Lexington, miscellaneous topics and reports may be Woodbridge Rd., Salem, 97001467 Marshall, Miller, and Spring Sts., Sweet covered. The order of the agenda may be DISTRICT OF COLUMBIA Springs, 97001485 changed, if necessary, to accommodate NEW YORK travel schedules or for other reasons. District of Columbia State Equivalent The Board meeting will be open to the United States Daughters of 1812, National Cattaraugus County public. Space and facilities to Headquarters, 1461 Rhode Island Ave., Oak Hill Park Historic District, Roughly along accommodate the public are limited and NW., Washington, 97001469 Laurens, N. Second, Third, Fourth, and W. persons will be accommodated on a GEORGIA Sullivan Sts., Olean, 97001495 first-come basis. Anyone may file with Livingston County the Board a written statement Richmond County Bethlehem Historic District, Roughly Linwood, 1912 York Rd., York vicinity, concerning matters to be discussed. The 97001493 Board may also permit attendees to bounded by Wrightsboro Rd., MLK Jr. Blvd., Railroad, Poplar, and Clay Sts., Tioga County address the Board, but may restrict the Augusta, 97001470 length of the presentations, as necessary Belcher-Holden Farm (Newark Valley MPS), to allow the Board to complete its IOWA 5825 NY 38, Newark Valley, 97001486 agenda within the allotted time. Montgomery County Chamberlain, Daniel, House (Newark Valley MPS), 627 Brown Rd., Newark Valley, Persons wishing further information Moore, Josiah B. and Sara, House, 508 E. concerning the meeting, or who wish to 97001489 Second St., Villisca, 97001471 Farrand-Pierson House (Newark Valley MPS), submit written statements, may contact MASSACHUSETTS 441 Brown Rd., Newark Valley, 97001490 Loran Fraser, Office of Policy, National Maple Lawn Farm (Newark Valley MPS), Park Service, 1849 C Street, NW., Middlesex County 10981 NY 38, Newark Valley, 97001487 Washington, DC 20240 (telephone 202– Prince Hall Mystic Cemetery, Address Nowland House (Newark Valley MPS), 88 S. 208–7456). Restricted, Arlington, 97001473 Main St., Newark Valley, 97001488 60918 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

Sutton-Chapman-Howland House (Newark WISCONSIN SUPPLEMENTARY INFORMATION: Under Valley MPS), 55 Main St., Newark Valley, La Crosse County provisions of Section 3405(e) of the 97001492 CVPIA (Title 34 of Pub. L. 102–575), Wade Farm (Newark Valley MPS), 5579 NY Chicago, Milwaukee and Saint Paul Railway 38, Newark Valley, 97001491 Passenger Depot, 601 Saint Andrew Rd., ‘‘The Secretary [of the Interior] shall LaCrosse, 97001512 establish and administer an office on Westchester County Central Valley Project water Trinity Episcopal Church Complex, 335 [FR Doc. 97–29777 Filed 11–12–97; 8:45 am] conservation best management practices Fourth Ave., Mount Vernon, 97001494 BILLING CODE 4310±70±P that shall * * * develop criteria. For NORTH CAROLINA evaluating the adequacy of all water conservation plans developed by project Brunswick County DEPARTMENT OF THE INTERIOR contractors, including those plans Bald Head Creek Boathouse, Smith Island, Bureau of Reclamation required by section 210 of the mouth of Cape Fear R, Smith Island, Reclamation Reform Act of 1982.’’ Also, 97001496 Central Valley Project Improvement according to Section 3405(e)(1), these Surry County Act, Criteria for Evaluating Water criteria will be developed ‘‘* * * with Bank of Pilot Mountain, (Former), 100 E. Conservation Plans the purpose of promoting the highest Main St., Pilot Mountain, 97001497 level of water use efficiency reasonably AGENCY: Bureau of Reclamation, Wake County achievable by project contractors using Interior. best available cost-effective technology Odd Fellows Building, 19 W Hargett St., ACTION: Notice of draft decision of and best management practices.’’ Raleigh, 97001498 Pine Street Creamery, (Former), 414 evaluation of water conservation plan The MP Criteria states that all parties Glenwood Ave., Raleigh, 97001499 for Delano-Earlimart Irrigation District. (districts) that contract with Reclamation for water supplies TENNESSEE SUMMARY: To meet the requirements of (municipal and industrial contracts over Bedford County the Central Valley Project Improvement 2,000 irrigable acre-feet and agricultural Act (CVPIA), the Bureau of Reclamation River Side Farmhouse, 497 Shofner Rd., contacts over 2,000 irrigable acres) will Shelbyville vicinity, 97001501 (Reclamation) developed and published prepare water conservation plans which the Criteria for Evaluating Water Maury County will be evaluated by Reclamation based Conservation Plans (Criteria) dated on the following required information Prewitt-Amis-Finney House, 2629 Pullen April 30, 1993, and revised in detailed in the steps listed below to Mill Rd., Culleoka vicinity, 97001503 September 1996. These Criteria were develop, implement, monitor, and Roane County developed based on information update their water conservation plans. Kingston Avenue Historic District, Roughly provided during public scoping and The steps are: along N. Kingston, S. Kingston, and E. public review sessions held throughout 1. Coordinate with other agencies and Rockwood Aves., Rockwood, 97001500 Reclamation’s Mid-Pacific (MP) Region. the public. Reclamation uses these Criteria to Sevier County 2. Describe the district. evaluate the adequacy of all water 3. Inventory water resources. Wade, Dwight and Kate, House, 114 Joy St., conservation plans developed by project Sevierville, 97001502 4. Review the past water conservation contracts in the MP Region, including plan and activities. VIRGINIA those required by the Reclamation 5. Identify best management practices Albemarle County Reform Act of 1982. The Criteria were to be implemented. developed and the plans evaluated for Earlysville Union Church, VA 743, NW of jct. 6. Develop schedules, budgets, and with VA 633, Earlysville, 97001504 the purpose of promoting the most projected results. efficient water use reasonably Arlington County 7. Review, evaluate, and adopt the achievable by all MP Region contractors. water conservation plan. Calvert Manor, 1925–1927 N. Calvert St., Reclamation made a commitment Arlington vicinity, 97001506 8. Implement, monitor, and update (stated within the Criteria) to publish a the water conservation plan. Culpeper County notice of its draft determination on the The MP contractor listed below has Maple Springs, 20509 Clover Hill Rd., adequacy of each contractor’s water developed a water conservation plan Jeffersonton vicinity, 97001510 conservation plan in the Federal which Reclamation has evaluated and Register to allow the public a minimum Franklin County preliminarily determined meet the of 30 days to comment on its requirements of the Criteria. Early, Jubal A., House, NW of jct. of VA 116 preliminary determinations. This • and VA 684, Boones Mill vicinity, program is on-going; an updated list Delano-Earlimart Irrigation District 97001507 will be published to recognize districts Public comment on Reclamation’s Goochland County as plans are revised to meet the Criteria. preliminary (i.e., draft) determinations Jackson Blacksmith Shop, 2558 Blacksmith DATES: All public comments must be at this time is invited. Copies of the Shop Rd., Goochland vicinity, 97001511 received by December 15, 1997. plans listed above will be available for review at Reclamation’s MP Regional ADDRESSES: Please mail comments to Rappahannock County Office and MP’s area offices. If you wish Lucille Billingsley, Bureau of Flint Hill Baptist Church, 0.3 mi N of jct. of to review a copy of the plans, please Reclamation, 2800 Cottage Way, MP– US 522 and VA 729, Flint Hill, 97001509 contact Ms. Billingsley to find the office 402, Sacramento, CA 95825. Spotsylvania County nearest you. FOR FURTHER INFORMATION CONTACT: La Vista, 4420 Guinea Station Rd., Guinea To be placed on a mailing list for any Dated: November 6, 1997. vicinity, 97001508 subsequent information, please contact Robert F. Stackhouse, Bedford Independent City Lucille Billingsley at the address above, Regional Resources Manager. Ballard, John D., House, 525 Longwood Ave., or by telephone at (916) 978–5215 (TDD [FR Doc. 97–29827 Filed 11–12–97; 8:45 am] Bedford, 97001505 978–5608). BILLING CODE 4310±94±M Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60919

AGENCY FOR INTERNATIONAL (O/TA&TA) (202–205–2592). The Column 2 rates. Consistent with DEVELOPMENT O/TA&TA fax number is: 202/205–2616. guidelines for rate changes, the Mr. Rosengarden may also be reached Commission should avoid proposing Malaria Vaccine Development Program via Internet e-mail at or maintaining rate lines solely for the Federal Advisory Committee; Notice of [email protected]. Hearing purpose of reflecting Column 2 rates Meeting impaired individuals are advised that of duty. Pursuant to the Federal Advisory information on this matter can be —The Commission should suggest Committee Act, notice is hereby given of obtained by contacting our TDD conversions of all specific, a meeting of the USAID Malaria Vaccine terminal on (202) 205–1810. Media compound, and complex rates of duty Development Program (MVDP) Federal representatives should contact Margaret to ad valorem equivalent rates, Advisory Committee. The meeting will O’Laughlin, Public Affairs Officer (202– provided that such conversions would be held from 8:30 AM to 5:00 PM on 205–1819). This notice, and any not have significant effects on U.S. December 15, 1997 and from 8:30 to subsequent notices published pursuant industry and trade. In calculating rate noon on 16 December 1997 at the to section 332(g) of the Tariff Act of conversions, the Commission should Conference Room of the Environmental 1930, may be obtained from the ITC use trade data from the three most Health Project located in Suite 300, Internet web server: http:// recent calendar years. 1611 North Kent Street in Arlington, VA www.usitc.gov. —The Commission should suggest an appropriate simplification of HTS 22209–2111. SUMMARY: Following receipt of a letter statistical reporting categories for The agenda will concentrate on the from the Chairman, Committee on Ways consideration by the Committee for activities of the MVDP over the past six and Means, U.S. House of Statistical Annotation of the Tariff months and plans for the next year. Representatives, the Commission has Schedules, in accordance with section The meeting will be open to the instituted investigation No. 332–388, 484(f) of the Tariff Act of 1930, as public except for a 30 to 60 minute Simplification of the Harmonized Tariff amended. segment at approximately 2:30 PM on Schedule of the United States, under December 15, 1997, during which section 332(g) of the Tariff Act of 1930. The Committee on Ways and Means procurement sensitive information will The purpose of the investigation is to has requested that the Commission be discussed. Any interested person propose modifications to the complete its investigation and submit its may attend the meeting, may file written Harmonized Tariff Schedule of the report to that Committee, the Committee statements with the committee before or United States (HTS) in order to make it on Finance of the Senate, and to the after the meeting, or present any oral simpler, more transparent and easier to President, by July 13, 2000. statements in accordance with use. As requested by the Committee, the procedures established by the Commission will consult with committee, to the extent that time Background: interested agencies in the Executive available for the meeting permits. As requested by the Committee, the Branch, including the Office of the U.S. Those wishing to attend the meeting Commission will conduct the Trade Representative, the U.S. Customs or to obtain additional information investigation in accordance with the Service, and the U.S. Bureau of the about the USAID MVDP should contact following guidelines: Census. In addition, a primary focus of Carter Diggs, the designated Federal —The investigation should examine the the investigation will be to obtain the Officer for the USAID MDP Federal difficulties arising from the broadest possible range of private-sector Advisory Committee at the Office of complexity and size of the HTS, and input including U.S. producers, U.S. Health and Nutrition USAID/G/PHN/ the Commission should suggest importers, and, via foreign embassies, HN/EH, Room 3.07–013, 3rd floor, RRB, modifications to alleviate compliance major foreign exporters to the United Washington, DC 20523–3700, telephone and administrative burdens for the States. To that end, the Commission (202) 712–5728, Fax (202) 216–3702, business community and the U.S. anticipates that frequent notices and [email protected]. Customs Service. repeated contacts with interested parties Carter Diggs, —Concession-rate levels scheduled to will take place. Commission staff expect USAID Designated Federal Officer (Technical go into effect on January 1, 2004 to work closely with various industry Advisor, Malaria Vaccine Development should be used as the basis for general groups to ensure that the Commission is Program). rates and special rates of duty. Tariff in a position to understand their [FR Doc. 97–29867 Filed 11–12–97; 8:45 am] categories scheduled for rate interests and will be able to see that BILLING CODE 6116±01±M reductions beyond January 1, 2004 their concerns are recognized in the should be identified and their staging development of proposals to simplify schedules indicated in the report, the U.S. tariff structure. The INTERNATIONAL TRADE along with any suggested Commission believes that it is vital to COMMISSION modification that take delayed staging have significant private-sector input into account. during all phases of this work. [Investigation No. 332±388] —Consistent with sound nomenclature The Commission will from time to time issue notices and solicit comments Simplification of the Harmonized Tariff principles and U.S. international and proposals with respect to specific Schedule of the United States obligations under the Harmonized System Convention, the Commission portions of the HTS. However, AGENCY: United States International should suggest ways to simplify the comments addressed to the overall Trade Commission. U.S. tariff structure to the extent scope and direction of this investigation ACTION: Institution of investigation. practicable without affecting duty-rate must be submitted by C.O.B. May 29, changes with a significant effect on 1998. EFFECTIVE DATE: November 5, 1997. U.S. industry and trade. Written Submissions: All submissions FOR FURTHER INFORMATION CONTACT: —For each of HTS chapters 1 through in connection with this investigation Eugene A. Rosengarden, Director, Office 97, the Commission should suggest should be addressed to the Secretary, of Tariff Affairs and Trade Agreements appropriate methods of reflecting United States International Trade 60920 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

Commission, 500 E Street S.W., 5. Who will be required or asked to NUCLEAR REGULATORY Washington, D.C. 20436. report: Commercial nuclear power plant COMMISSION Commercial or financial information licensees who renew operating licenses. Agency Information Collection that a party desires the Commission to 6. An estimate of the number of Activities: Submission for OMB treat as confidential must be submitted responses: 1.33 responses (4 renewal on separate sheets of paper, each clearly Review; Comment Request applications during the 3-year marked ‘‘Confidential Business clearance). AGENCY: U. S. Nuclear Regulatory Information’’ at the top. All submissions Commission (NRC). requesting confidential treatment must 7. The estimated number of annual conform with the requirements of respondents: 1.33 respondents. ACTION: Notice of the OMB review of information collection and solicitation section 201.6 of the Commission’s Rules 8. An estimate of the total number of of public comment. of Practice and Procedure (19 CFR hours needed annually to complete the 201.6). All written submissions, except requirement or request: Approximately SUMMARY: The NRC has recently for confidential business information, 89,333 hours (85,333 hours one-time submitted to OMB for review the will be made available for inspection by reporting burden and 4,000 following proposal for the collection of interested persons. recordkeeping burden). information under the provisions of the Public Hearing: At an appropriate 9. An indication of whether Section Paperwork Reduction Act of 1995 (44 time during the investigation, the U.S.C. Chapter 35). The NRC hereby Commission will hold public hearings 3507(d), Pub. L. 104–13 applies: Not applicable. informs potential respondents that an to obtain the views of interested parties. agency may not conduct or sponsor, and Any such hearings will be announced in 10. Abstract: 10 CFR Part 54 of the that a person is not required to respond a future public notice. NRC regulations, ‘‘Requirements for to, a collection of information unless it Issued: November 6, 1997. Renewal of Operating Licenses for displays a currently valid OMB control By order of the Commission. Nuclear Power Plants,’’ specifies the number. Donna R. Koehnke, procedures, criteria, and standards 1. Type of submission, new, revision, Secretary. governing nuclear power plant license or extension: New [FR Doc. 97–29782 Filed 11–12–97; 8:45 am] renewal, including information 2. The title of the information collection: Request for Taxpayer BILLING CODE 7020±02±P submittal and recordkeeping requirements, so that the NRC may Identification Number. make determinations necessary to 3. The form number if applicable: NRC Form 531 NUCLEAR REGULATORY promote the health and safety of the 4. How often the collection is COMMISSION public. required: One time from each applicant A copy of the final supporting Agency Information Collection or individual to enable the Department statement may be viewed free of charge of Treasury to process electronic Activities: Submission for OMB at the NRC Public Document Room, Review; Comment Request financial payment or collect debts owed 2120 L Street, NW (lower level), to the government. AGENCY: U.S. Nuclear Regulatory Washington, DC. OMB clearance 5. Who will be required or asked to Commission (NRC). requests are available at the NRC report: All individuals doing business ACTION: Notice of the OMB review of worldwide web site (http:// with the Nuclear Regulatory information collection and solicitation www.nrc.gov) under the FedWorld Commission, including contractors and of public comment. collection link on the home page tool recipients of credit, licenses, permits, bar. The document will be available on and benefits. SUMMARY: The NRC has recently the NRC home page site for 60 days after 6. An estimate of the number of submitted to OMB for review the the signature date of this notice. responses: 2,600 (1,600 the first year following proposal for the collection of Comments and questions should be and 500 annually thereafter or 867 information under the provisions of the directed to the OMB reviewer by annually over a three year period). Paperwork Reduction Act of 1995 (44 7. The estimated number of annual December 15, 1997. Norma Gonzales, U.S.C. Chapter 35). The NRC hereby respondents: 867. Office of Information and Regulatory informs potential respondents that an 8. An estimate of the total number of agency may not conduct or sponsor, and Affairs (3150–0155), NEOB–10202, hours needed annually to complete the that a person is not required to respond Office of Management and Budget, requirement or request: 72 (5 minutes to, a collection of information unless it Washington, DC 20503. Comments can per response). displays a currently valid OMB control also be submitted by telephone at (202) 9. An indication of whether Section number. 395–3084. The NRC Clearance Officer is 3507(d), Pub. L. 104–13 applies: N/A. 1. Type of submission, new, revision, Brenda Jo Shelton, 301–415–7233. 10. Abstract: The Debt Collection or extension: Revision. Dated at Rockville, Maryland, this 6th day Improvement Act of 1996 requires that 2. The title of the information of November 1997. agencies collect taxpayer identification collection: 10 CFR Part 54, For the Nuclear Regulatory Commission. numbers (TINs) from individuals who ‘‘Requirements for Renewal of Operating do business with the Government, Brenda Jo Shelton, Licenses for Nuclear Power Plants’’. including contractors and recipients of 3. The form number if applicable: Not NRC Clearance Officer, Office of the Chief credit, licenses, permits, and benefits. applicable. Information Officer. The TIN will be used to process all 4. How often the collection is [FR Doc. 97–29887 Filed 11–12–97; 8:45 am] electronic payments (refunds) made to required: One-time submission of BILLING CODE 7590±01±P licensees by electronic funds transfer by operating license renewals and the Department of the Treasury. The occasional submissions for holders of Department of the Treasury will use the renewed licenses. TIN to determine whether the refund Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60921 can be used to administratively offset will install additional components that circuitry and ES–MCC–3AB do not initiate any delinquent debts reported to the could increase the probability of any accidents previously evaluated. Accident Treasury by other government agencies. occurrence of a malfunction of mitigation strategies assume that one train of In addition, the TIN will be used to equipment important to safety the Reactor Building Recirculation System is available. This license amendment does not collect and report to the Department of previously evaluated in the Final Safety restrict the availability of one train. One the Treasury any delinquent Analysis Report (FSAR). Therefore, this Reactor Building Recirculation System fan/ indebtedness arising out of the action requires NRC approval. The cooler unit will always be in operation even licensee’s or applicant’s relationship proposed modification to the fan logic if AHF–1C is not available because of a with the NRC. will enable utilization of AHF–1C, in malfunction in this control circuitry. A copy of the final supporting place of either AHF–1A or AHF–1B (the A failure to open or close a manual Nuclear statement may be viewed free of charge normally running RB Recirculation Services Closed Cycle Cooling (SW) System at the NRC Public Document Room, System fans), by providing engineered valve at a Reactor Building Recirculation safeguards (ES) auto-start permissive System cooling coil is a remote possibility. 2120 L Street, NW (lower level), Adequate procedural controls are in place to Washington, DC. OMB clearance interlocks from its MCC–3AB transfer ensure that proper steps are taken when a requests are available at the NRC switch. This modification will fan/cooler unit is being placed in service or worldwide web site (http:// automatically prevent inadvertent removed from service. These procedures are www.nrc.gov) under the FedWorld loading of two RB Recirculation System not required during an accident, but are part collection link on the home page tool fans on a single emergency diesel of the normal operation of CR–3. However, bar. The document will be available on generator when the ES–MCC–3AB should a failure occur, the other aligned the NRC home page site for 60 days after source is transferred. The AHF–1C Reactor Building Recirculation fan/cooler unit is available. In addition, both trains of the signature date of this notice. Engineered Safeguards ‘‘A’’ train auto start signal will be enabled only when the Reactor Building Spray System will be Comments and questions should be available to perform the post accident directed to the OMB reviewer by AHF–1C is ES-selected as the ‘‘A’’ train containment heat removal function. December 15, 1997. Norma Gonzales, fan with ES–MCC–3AB supplied from Failure to properly ES-select a fan/cooler Office of Information and Regulatory the ‘‘A’’ train source. Conversely, the unit could result in a failure of the ES start Affairs (3150- ), NEOB–10202, Office AHF–1C ES ‘‘B’’ train auto-start signal function. However, an alignment error in the of Management and Budget, will be enabled only when AHF–1C is ES-selection of AHF–1C is annunciated and Washington, DC 20503. Comments can ES-selected as the ‘‘B’’ train fan with printed out by the events recorder to also be submitted by telephone at (202) ES–MCC–3AB supplied from the ‘‘B’’ minimize the effect of this type of failure. 395–3084. The NRC Clearance Officer is train source. Also procedural controls are in place to align the ES-selection for the fan/cooler unit being Brenda Jo. Shelton, 301–415–7233. Before issuance of the proposed license amendment, the Commission placed in service. The other train of the Reactor Building Recirculation System would Dated at Rockville, Maryland, this 6th day will have made findings required by the of November 1997. be available, as well as, both trains of the Atomic Energy Act of 1954, as amended For the Nuclear Regulatory Commission. Reactor Building Spray System. Therefore, (the Act) and the Commission’s this license amendment does not involve a Brenda Jo. Shelton, regulations. significant increase in the probability of an NRC Clearance Officer, Office of the Chief The Commission has made a accident previously evaluated. Information Officer. proposed determination that the Because of CR–3 single failure design bases [FR Doc. 97–29888 Filed 11–12–97; 8:45 am] amendment request involves no considerations, a failure of one-half of the BILLING CODE 7590±01±P significant hazards consideration. Under Reactor Building Recirculation System the Commission’s regulations in 10 CFR during accident mitigation would mean that 50.92, this means that operation of the both trains of the Reactor Building Spray System are available for mitigating any NUCLEAR REGULATORY facility in accordance with the proposed COMMISSION accident previously evaluated. Accident amendment would not (1) involve a analyses for CR–3 assume only one train of [Docket No. 50±302] significant increase in the probability or the Reactor Building Recirculation System. consequences of an accident previously Either train of the Reactor Building Spray Florida Power Corporation; Notice of evaluated; or (2) create the possibility of System has the capability to maintain the Consideration of Issuance of a new or different kind of accident from accident dose consequences well below the Amendment to Facility Operating any accident previously evaluated; or requirements of 10 CFR 100 (25 rem whole License, Proposed No Significant (3) involve a significant reduction in a body, 300 rem thyroid) and General Design Hazards Consideration Determination, margin of safety. As required by 10 CFR Criteria 19 (5 rem whole body, or its equivalent to any part of the body). and Opportunity for a Hearing 50.91(a), the licensee has provided its Installation of the ES auto-start permissive analysis of the issue of no significant interlocks from the transfer switch for Motor The U.S. Nuclear Regulatory hazards consideration, which is Commission (NRC or the Commission) Control Center ES-MCC–3AB will not alter presented below: any assumptions made in evaluating the is considering issuance of an 1. Does not involve a significant increase radiological consequences of any accident amendment to Facility Operating described in the FSAR nor will it affect any License No. DPR 72, issued to the in the probability or consequences of an accident previously evaluated. fission product barriers since the post- Florida Power Corporation, (FPC or the This license amendment involves the accident containment heat removal functions licensee), for operation of the Crystal addition of electrical circuits to preclude the will still meet design requirements. Therefore River Nuclear Generating Unit 3 (CR3) loading of two Reactor Building installation of ES auto-start permissive located in Citrus County, Florida. Recirculation System fans onto the same interlocks from Motor Control Center ES- The proposed amendment involves Emergency Diesel Generator when AHF–1C MCC–3AB transfer switch does not involve a modifications to the electrical controls is in service. This equipment will enable use significant increase in the consequences of an accident previously evaluated. of the Reactor Building (RB) of Reactor Building Recirculation System fan/cooler unit AHF–1C in place of either 2. Does not create the possibility of a new Recirculation System Fan/Cooler, AHF– AHF–1A or AHF–1B by providing ES auto- or different kind of accident from any 1C. FPC has determined that the start permissive interlocks from the source accident previously evaluated. modification involves an Unreviewed transfer switch for Motor Control Center ES– The accident mitigation strategies for CR– Safety Question, in that modification MCC–3AB. The AHF–1C ES-select control 3 assume two different types of post-accident 60922 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices containment heat removal functions— amendment involves no significant how that interest may be affected by the Reactor Building Recirculation System and hazards consideration. The final results of the proceeding. The petition Reactor Building Spray System. This license determination will consider all public should specifically explain the reasons amendment will allow the use of Reactor and State comments received. Should why intervention should be permitted Building Recirculation System fan/cooler unit AHF–1C, which is presently the Commission take this action, it will with particular reference to the administratively out of service, to control the publish in the Federal Register a notice following factors: (1) the nature of the Reactor Building temperature during normal of issuance. The Commission expects petitioner’s right under the Act to be operations and to mitigate any postulated that the need to take this action will made a party to the proceeding; (2) the accidents. The use of AHF–1C in place of occur very infrequently. nature and extent of the petitioner’s either AHF–1A or AHF–1B does not alter the Written comments may be submitted property, financial, or other interest in success path for post-accident mitigation. by mail to the Chief, Rules Review and the proceeding; and (3) the possible The addition of the ES auto-start permissive Directives Branch, Division of Freedom effect of any order which may be interlocks from the ES-MCC–3AB transfer of Information and Publications entered in the proceeding on the switch will not introduce failure modes and Services, Office of Administration, U.S. effects that create the possibility of a new or petitioner’s interest. The petition should different kind of accident from any accident Nuclear Regulatory Commission, also identify the specific aspect(s) of the previously evaluated. Washington, DC 20555–0001, and subject matter of the proceeding as to 3. Does not involve a significant reduction should cite the publication date and which petitioner wishes to intervene. in the margin of safety. page number of this Federal Register Any person who has filed a petition for This license amendment will allow the use notice. Written comments may also be leave to intervene or who has been of Reactor Building Recirculation System delivered to Room 6D22, Two White admitted as a party may amend the fan/cooler unit AHF–1C that is presently Flint North, 11545 Rockville Pike, petition without requesting leave of the administratively out of service. AHF–1C is Rockville, Maryland, from 7:30 a.m. to Board up to 15 days prior to the first identical in design function to the other two 4:15 p.m. Federal workdays. Copies of fan/cooler units that are presently in service. prehearing conference scheduled in the During normal operation, two operating written comments received may be proceeding, but such an amended Reactor Building Recirculation System fan/ examined at the NRC Public Document petition must satisfy the specificity cooler units maintain the Reactor Building Room, the Gelman Building, 2120 L requirements described above. temperature below the Improved Technical Street, NW., Washington, DC. Not later than 15 days prior to the first Specification limit of 130°F. Installation of The filing of requests for hearing and prehearing conference scheduled in the this modification will allow the use of AHF– petitions for leave to intervene is proceeding, a petitioner shall file a 1C in place of either AHF–1A or AHF–1B, discussed below. supplement to the petition to intervene and maintain the licensing and design bases By December 15, 1997, the licensee which must include a list of the that assume two trains are operable for may file a request for a hearing with contentions which are sought to be accident mitigation. The use of AHF–1C in respect to issuance of the amendment to place of the other fan/cooler units will litigated in the matter. Each contention preserve the margin of safety, pre-accident the subject facility operating license and must consist of a specific statement of and post-accident, because the assumptions any person whose interest may be the issue of law or fact to be raised or used in FSAR analyses remain valid. Peak affected by this proceeding and who controverted. In addition, the petitioner Reactor Building pressures and temperatures wishes to participate as a party in the shall provide a brief explanation of the will not be exceeded and the margin proceeding must file a written request bases of the contention and a concise provided by this fission product barrier will for a hearing and a petition for leave to statement of the alleged facts or expert not be reduced. Therefore, this license intervene. Requests for a hearing and a opinion which support the contention amendment does not involve a significant petition for leave to intervene shall be and on which the petitioner intends to reduction in the margin of safety. filed in accordance with the rely in proving the contention at the The NRC staff has reviewed the Commission’s ‘‘Rules of Practice for hearing. The petitioner must also licensee’s analysis and, based on this Domestic Licensing Proceedings’’ in 10 provide references to those specific review, it appears that the three CFR Part 2. Interested persons should sources and documents of which the standards of 10 CFR 50.92(c) are consult a current copy of 10 CFR 2.714 petitioner is aware and on which the satisfied. Therefore, the NRC staff which is available at the Commission’s petitioner intends to rely to establish proposes to determine that the Public Document Room, the Gelman those facts or expert opinion. Petitioner amendment request involves no Building, 2120 L Street, NW., must provide sufficient information to significant hazards consideration. Washington, DC, and at the local public show that a genuine dispute exists with The Commission is seeking public document room located at the Coastal the applicant on a material issue of law comments on this proposed Region Library, 8619 W. Crystal Street, or fact. Contentions shall be limited to determination. Any comments received Crystal River, Florida. matters within the scope of the within 30 days after the date of If a request for a hearing or petition amendment under consideration. The publication of this notice will be for leave to intervene is filed by the contention must be one which, if considered in making any final above date, the Commission or an proven, would entitle the petitioner to determination. Atomic Safety and Licensing Board, relief. A petitioner who fails to file such Normally, the Commission will not designated by the Commission or by the a supplement which satisfies these issue the amendment until the Chairman of the Atomic Safety and requirements with respect to at least one expiration of the 30-day notice period. Licensing Board Panel, will rule on the contention will not be permitted to However, should circumstances change request and/or petition; and the participate as a party. during the notice period, such that Secretary or the designated Atomic Those permitted to intervene become failure to act in a timely way would Safety and Licensing Board will issue a parties to the proceeding, subject to any result, for example, in derating or notice of hearing or an appropriate limitations in the order granting leave to shutdown of the facility, the order. intervene, and have the opportunity to Commission may issue the license As required by 10 CFR 2.714, a participate fully in the conduct of the amendment before the expiration of the petition for leave to intervene shall set hearing, including the opportunity to 30-day notice period, provided that its forth with particularity the interest of present evidence and cross-examine final determination is that the the petitioner in the proceeding, and witnesses. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60923

If a hearing is requested, the NUCLEAR REGULATORY IV Commission will make a final COMMISSION In view of the foregoing and pursuant determination on the issue of no to Section 234 of the Atomic Energy Act significant hazards consideration. The [Docket No. 030±31373; License No. 12± of 1954, as amended (Act), 42 U.S.C. final determination will serve to decide 16559±01; EA 97±207] 2282, and 10 CFR 2.205, it is hereby when the hearing is held. ordered that: If the final determination is that the In the Matter of Conam Inspection, Inc. amendment request involves no Itasca, IL; Order Imposing Civil The Licensee pay a civil penalty in the Monetary Penalty amount of $16,000 within 30 days of the date significant hazards consideration, the of this Order, by check, draft, money order, Commission may issue the amendment I or electronic transfer, payable to the and make it immediately effective, Treasurer of the United States and mailed to notwithstanding the request for a Conam Inspection, Inc. (Conam or James Lieberman, Director, Office of hearing. Any hearing held would take Licensee) is the holder of Byproduct Enforcement, U.S. Nuclear Regulatory place after issuance of the amendment. Materials License No. 12–16559–01 Commission, One White Flint North, 11555 If the final determination is that the issued by the Nuclear Regulatory Rockville Pike, Rockville, MD 20852–2738. amendment request involves a Commission (NRC or Commission) on V significant hazards consideration, any January 2, 1990. The license authorizes hearing held would take place before the Licensee to possess and use certain The Licensee may request a hearing the issuance of any amendment. byproduct materials in accordance with within 30 days of the date of this Order. Where good cause is shown, A request for a hearing or a petition the conditions specified therein at the Licensee’s facilities in Columbus, Ohio; consideration will be given to extending for leave to intervene must be filed with the time to request a hearing. A request the Secretary of the Commission, U.S. Gary, Indiana; Reading, Pennsylvania; Gallipolis, Ohio; and at temporary job for extension of time must be made in Nuclear Regulatory Commission, writing to the Director, Office of Washington, DC 20555–0001, Attention: sites anywhere in the United States where the NRC maintains jurisdiction Enforcement, U.S. Nuclear Regulatory Rulemakings and Adjudications Staff Commission Washington, D.C. 20555, may be delivered to the Commission’s for regulating the use of licensed material. and include a statement of good cause Public Document Room, the Gelman for the extension. A request for a Building, 2120 L Street, NW., II hearing should be clearly marked as a Washington, DC, by the above date. A ‘‘Request for an Enforcement Hearing’’ copy of the petition should also be sent An inspection and investigation of the Licensee’s activities were conducted and shall be addressed to the Director, to the Office of the General Counsel, Office of Enforcement, U.S. Nuclear U.S. Nuclear Regulatory Commission, between March 28, 1996 and November 12, 1996. The results of the inspection Regulatory Commission Washington, Washington, DC 20555–0001, and to R. D.C. 20555, with a copy to the Alexander Glenn, General Counsel, and investigation indicated that the Licensee had not conducted its Commission’s Document Control Desk, Florida Power Corporation, MAC–A5A, Washington, D.C. 20555. Copies also P.O. Box 14042, St. Petersburg, Florida activities in full compliance with NRC requirements. A written Notice of shall be sent to the Assistant General 33733–4042, attorney for the licensee. Counsel for Hearings and Enforcement Nontimely filings of petitions for Violation and Proposed Imposition of Civil Penalty (Notice) was served upon at the same address and to the Regional leave to intervene, amended petitions, Administrator, NRC Region III, 801 supplemental petitions and/or requests the Licensee by letter dated June 9, 1997. The Notice states the nature of the Warrenville Road, Lisle, IL 60532. for hearing will not be entertained If a hearing is requested, the absent a determination by the violations, the provisions of the NRC’s requirements that the Licensee had Commission will issue an Order Commission, the presiding officer or the designating the time and place of the presiding Atomic Safety and Licensing violated, and the amount of the civil penalty proposed for three of the hearing. If the Licensee fails to request Board that the petition and/or request a hearing within 30 days of the date of should be granted based upon a violations in the aggregate (Violations I.A, I.B, and I.C). this Order (or if written approval of an balancing of the factors specified in 10 extension of time in which to request a CFR 2.714(a)(1) (i)–(v) and 2.714(d). The Licensee responded to the Notice in a letter dated July 7, 1997. In its hearing has not been granted), the For further details with respect to this response, the Licensee denied provisions of this Order shall be action, see the application for Violations I.B and I.C, and requested effective without further proceedings. If amendment dated October 4, 1997, remission or full mitigation of the civil payment has not been made by that which is available for public inspection penalty. time, the matter may be referred to the at the Commission’s Public Document Attorney General for collection. Room, the Gelman Building, 2120 L III In the event the Licensee requests a Street, NW., Washington, DC, and at the After consideration of the Licensee’s hearing as provided above, the issues to local public document room, located at response and arguments for mitigation be considered at such hearing shall be: the Coastal Region Library, 8619 W. contained therein, the NRC staff has (a) Whether the Licensee was in Crystal Street, Crystal River, Florida. determined, as set forth in the Appendix violation of the Commission’s Dated at Rockville, Maryland, this 6th day to this Order, that the Licensee did not requirements as set forth in Violations of November 1997. provide an adequate basis for I.B and I.C of the Notice referenced in For the Nuclear Regulatory Commission. withdrawing Violations I.B and I.C, or Section II above, and L. Raghavan, mitigating the severity level of (b) Whether, on the basis of such Sr. Project Manager, Project Directorate II– Violations I.A, I.B, and I.C in the violations and the additional violations 3, Division of Reactor Projects—I/II Office aggregate, or mitigating the civil penalty set forth in the Notice of Violation that of Nuclear Reactor Regulation. associated with Violations I.A, I.B, and the Licensee admitted, this Order [FR Doc. 97–29889 Filed 11–12–97; 8:45 am] I.C. Therefore, a civil penalty in the should be sustained. BILLING CODE 7590±01±P amount of $16,000 should be imposed. For the Nuclear Regulatory Commission. 60924 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

Dated at Rockville, Maryland this 5th day measured at the exit port (front) of the rems, based upon the radiographer’s of November 1997. radiographic exposure device. As noted description of time and motion. James Lieberman, on page 7 of the Licensee’s reply to the As a basis for its argument, the Licensee asserts that while the Director, Office of Enforcement. Notice, the Licensee states (regarding the radiographer’s survey) that: ‘‘He Licensee’s consultant calculated a dose Appendix A—Evaluations and then failed to properly read his survey to the right thigh of 9.369 rems, this Conclusion meter when he performed a radiation dose does not constitute the TEDE. The On June 9, 1997, the NRC issued to survey in a 360-degree motion around Licensee states that the dose limits are Conam Inspection, Inc., (Licensee or the camera.’’ The fact that the based on the 1976 [1977] Conam) a Notice of Violation and radiographer improperly read the survey recommendations of the International Proposed Imposition of Civil Penalty meter means that he failed to properly Commission on Radiological Protection (Notice) in the amount of $16,000 for determine: (1) Whether the source had (ICRP), which states that there is a violations identified during an NRC been completely withdrawn into the predictable relationship between inspection and investigation conducted radiographic exposure device; and (2) irradiation of the whole body and from March 28 through November 12, the radiological conditions and biological effects. The Licensee argues 1996. The Licensee responded to the potential hazards incident to use of that the dose to the radiographer’s thigh Notice by letter dated July 7, 1997. With radioactive material. is not an appropriate predictor of regard to the violations assessed a civil In addition, during the investigation biological effects, and thus should not penalty, the Licensee admitted Violation conducted by the NRC’s Office of be compared to the primary dose limit I.A; denied Violations I.B and I.C; and Investigations, the radiographer stated in 10 CFR 20.1201. requested remission or full mitigation of that he surveyed the radiographic The Licensee asserts that the ICRP the civil penalty. The NRC’s evaluations exposure device, but only on the sides. recommendations should take and conclusion regarding the Licensee’s He also stated to the investigator that precedence in determining how the TEDE is computed. As such, in requests are as follows: because of the position of the calculating the TEDE, the Licensee uses radiographic exposure device, he did Restatement of Violation I.B weighting factors for each tissue area not survey the front part. This conflicts which are derived from ICRP I.B 10 CFR 34.43(b) requires, in part, with the information provided by the Publication 26. The Licensee believes a licensee to ensure that a survey with radiographer to the Licensee’s RSO, but this is an acceptable approach because a calibrated and operable radiation appears to be more in line with the facts the Statements of Consideration for the survey instrument is made after each of the case given the elevated exposure issuance of the revised 10 CFR Part 20 radiographic exposure to determine that result to the radiographer’s film badge. the sealed source has been returned to included, as reasons for the revision, the In either case, whether the need to incorporate updated scientific its shielded position. The survey must radiographer improperly read the survey include the entire circumference of the information, to reflect changes in the meter or whether the radiographer failed radiographic exposure device and any basic philosophy of radiation to survey the front part, the NRC source guide tube. protection, and to put into practice Contrary to the above, on February 27, concludes that Violation I.B occurred as recommendations from ICRP 26 and 1996, at Eli Lilly, Indianapolis, IN, a stated in the Notice. subsequent ICRP publications. The Licensee radiographer did not perform Restatement of Violation I.C Licensee asserts that sections 10 CFR an adequate survey after each 20.1003, which defines the TEDE, and I.C 10 CFR 20.1201(a)(1)(i) requires, radiographic exposure to determine that 10 CFR 20.1201(a), which specifies with exceptions not applicable here, the sealed source had been returned to exposure limits, conform with ICRP 26 that a licensee control the occupational its shielded position, in that the survey recommendations. dose to individual adults to an annual did not include the entire circumference The Licensee maintains that the dose limit of 5 rems total effective dose of the radiographic exposure device and NRC’s guidance on interpretation of 10 equivalent. the source guide tube. CFR 20.1201(c) permits use of external Contrary to the above, the Licensee dose weighting factors. However, the Summary of Licensee’s Response to did not limit the annual occupational Licensee argues that the language in 10 Violation I.B dose to an adult radiographer to 5 rems, CFR 20.1201(c): (1) Conflicts with the The Licensee, in its response, denies total effective dose equivalent. definition of deep-dose equivalent Violation I.B and states that on February Specifically, the individual received a provided in 10 CFR 20.1003; (2) is 28, 1996, the day following the incident, radiation dose of a minimum of 6 rems, inconsistent with the ICRP the radiographer expressly stated to the total effective dose equivalent, during recommendations; and (3) deviates from Licensee’s Radiation Safety Officer an event on February 27, 1996. the fundamental principles underlying (RSO) that he had performed a full 360- Summary of Licensee’s Response to the dose limits in 10 CFR Part 20. The Licensee does note that the degree circumferential survey of the Violation I.C radiographic exposure device. specific use of weighting factors other The Licensee, in its response, denies than 1.0 for all organs was not approved NRC Evaluation of Licensee’s Response Violation I.C, states that the NRC’s by 10 CFR Part 20; rather, 10 CFR to Violation I.B methodology in determining the total 20.1003 states that ‘‘[f]or the purpose of The specific issue addressed in effective dose equivalent is flawed, and weighting the external whole-body dose Violation I.B is whether the does not agree with the intent of the (for adding it to the internal dose), a radiographer performed the required regulations. The Licensee contends that single weighting factor, Wt=1.0, has survey to determine that the source had using conventional dose assessment been specified. The use of other completely been withdrawn into the models, consensus industry standards, weighting factors for external exposures radiographic exposure device. This and the NRC’s own definitions, the will be approved on a case-by-case basis requires, among other things, that the maximum likely Total Effective Dose until such time as specific guidance is radiographer be aware of the results of Equivalent (TEDE) incurred by the issued.’’ The Licensee notes that the the survey, especially the dose rate radiographer during the event was 2.9 NRC has not yet issued specific Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60925 guidance in interpreting this issue; Measurements of time and distances as This is evident from the standard itself, however, since the American National re-enacted by the radiographer and the which states, under Scope, page 9, that Standards Institute (ANSI) has issued Licensee’s film badge dose; and (2) the ‘‘this standard contains criteria N13.41, ‘‘Criteria for Performing dose to the part of the body receiving applicable to routine occupational Multiple Dosimetry,’’ the Licensee the highest exposure (i.e., upper left activities (emphasis added) for when believes that it should be able to use this thigh), given that the individual and how to use multiple dosimeters to methodology in computing its TEDE monitoring device was not in the region monitor the body and extremity of value. This guidance was utilized and of highest potential exposure, the dose individuals exposed to sources of the resulting TEDE was 2.9 rems. field from the radiographic exposure ionizing radiation.’’ The next paragraph The Licensee asserts that in light of device was non-uniform, and the under this section goes on to state, the conflicting regulatory language in 10 position of the radiographer and his film ‘‘Sudden or unexpected changes in the CFR Part 20 regarding non-uniform badge in relationship to the radiation environment as might occur exposure of the whole body, and the fact radiographic exposure device. during accidents are beyond the scope that 10 CFR 20.1003 allows weighting of this standard’’ (emphasis added). 2. The Licensee’s Use of ICRP 26 and The dose calculated by the consultant factors to be considered, the dose ANSI N13.41 determined for the radiographer using to the radiographer’s right thigh was ANSI N13.41 protocol was appropriate The NRC agrees that the dose limits 9.369 rems. As noted in the Licensee’s and consistent with the rationale in 10 CFR Part 20 are based on the ICRP response, the footnote attached to 10 underlying the occupational dose limits. 26 recommendations and acknowledges CFR 20.1003 specifies that a single that the radiographer’s thigh may not be weighting factor, Wt=1.0, be used for NRC Evaluation of Licensee’s Response an appropriate predictor of biological external exposures. to Violation I.C effects. However, the Licensee’s use of However, rather than using this The specific issue addressed in ICRP 26 and the draft ANSI N13.41 for weighting factor, the Licensee applied Violation I.C is whether the calculating the radiographer’s whole- the factors provided in ANSI N13.41 radiographer’s total effective dose body dose is inappropriate in this case. (which are less than 1.0) to calculate equivalent as defined in the regulations While the ICRP 26 recommendations exposures of portions of the whole body exceeded the regulatory limits. The in principle permit the use of external to arrive at the overall dose Licensee’s use of ICRP 26 and ANSI weighting factors, no specific determination. The Licensee’s use of N13.41 (i.e., use of a recommendations were included weighting factors (on the basis that the compartmentalization methodology to concerning the use of weighting factors NRC has not issued new weighting sum the effective dose equivalents for for external dose because there are factors) without prior NRC approval is various areas of the whole body) was practical problems with such use. The contrary to NRC requirements. Given neither approved by the NRC nor in application of weighting factors also the above, the Licensee’s method for accordance with NRC requirements, for entails calculation of organ doses calculating the radiographer’s exposure the reasons described below. instead of whole-body doses from is incorrect. external radiation. One component of 1. NRC Basis for Violation I.C this calculation is the estimation of 3. Arguments Concerning Deep-Dose Equivalent As noted in the Notice, 10 CFR radiation attenuation as a function of 20.1201(a)(1)(i) requires, in part, that a the depth in the body. Therefore, as 10 CFR 20.1201(c) requires, in part, licensee control the occupational dose noted in the NRC’s Statement of that the assigned deep-dose equivalent to individual adults to an annual dose Consideration for 10 CFR Part 20 (56 FR must be for the part of the body limit of 5 rems total effective dose 23369), the Commission decided that receiving the highest exposure. 10 CFR equivalent. In addition, 10 CFR ‘‘application of weighting factors for 20.1003 defines deep-dose equivalent as 20.1201(c) requires, in part, that the external exposures will be evaluated on the dose equivalent at a tissue depth of assigned deep-dose equivalent must be a case-by-case basis until more guidance 1 cm (1000 mg/cm2) [regardless of the for the part of the body receiving the and additional weighting factors (such part of the whole body that is exposed]. highest exposure and that the deep-dose as for the head and the extremities) are Given that ICRP 26 did not include equivalent may be assessed from recommended * * * The use of other specific recommendations concerning surveys or other radiation weighting factors for external exposure the use of weighting factors for external measurements for the purpose of may be approved on a case-by-case dose, and the fact that there are practical demonstrating compliance with the basis upon request to the NRC.’’ problems in using weighting factors to occupational dose limits, if the (emphasis added). This means that, if a assess external exposure as noted above, individual monitoring device was not in licensee proposes to use other weighting the NRC disagrees with the Licensee’s the region of highest potential exposure. factors for external use, the licensee argument that 10 CFR 20.1201(c) is As defined in 10 CFR 20.1003, Whole needs to develop the basis and technical inconsistent with the ICRP body means: ‘‘for purposes of external justification for its request, submit the recommendations and that 10 CFR exposure, head, trunk (including male request to the NRC, and await approval 20.1201(c) deviates from the gonads), arms above the elbow, or legs of its request before using any modified fundamental principles underlying the above the knee.’’ 1 weighting factors. To date, the Licensee dose limits in 10 CFR Part 20. Based on the findings in the NRC has not submitted to the Commission such a request for an exemption of 10 4. Use of the Consultant Results and inspection report dated November 18, Part 20 Weighting Factors 1996, the NRC concluded, as described CFR 20.1201. With regard to ANSI N13.41, this is a The NRC bases its enforcement in the Notice, that the radiographer draft standard that has been neither actions on its regulations as codified in received a TEDE of 6 rems. The approved by ANSI, nor reviewed and Title 10, Code of Federal Regulations. In conclusion was based on: (1) approved by the Commission for use by this case, 10 CFR 20.1003 defines the 1 The NRC’s definition is based, in part, on the NRC licensees. Moreover, ANSI N13.41 weighting factor for the whole body as fact that these portions of the whole body contain is not applicable because this case falls 1.0. As noted in the Licensee’s response, blood-forming organs. outside of the scope of that standard. the NRC has not approved the use of 60926 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices other weighting factors for external Licensee chooses to use the consultant’s not be considered willful, for the exposures nor has the NRC issued results (which utilized variables from following reasons: specific guidance on the use of other the NRC’s re-enactment) in conjunction • Based on the Licensee’s discussion weighting factors. The regulations do with the Part 20 weighting factors, the of the event on February 28, 1996, allow for the use of a different radiographer’s TEDE for the event between the RSO and the radiographer, methodology, but only after review and would be: the Licensee concluded that the prior approval by the NRC. In this case, Dose to left thigh (42.075 rems) × radiographer was negligent in failing to such approval was not obtained by the weighting factor (1.0) = 42.075 rems rotate the selector ring from the Licensee. Because the thigh (right or ‘‘operate’’ to the ‘‘lock’’ position and left) is an area of the body meeting the 10 CFR 20.1201(c) states that ‘‘the failing to depress the plunger definition for whole body, the assigned deep-dose equivalent and mechanism of the radiographic appropriate weighting factor per the shallow-dose equivalent must be for the exposure device. • regulations is 1.0. Therefore, if the part of the body receiving the highest This act was not the result of Licensee chooses to use the consultant’s exposure. The deep-dose equivalent, eye deficiencies in the Licensee’s Radiation results in conjunction with the Part 20 dose equivalent and shallow-dose Safety Program, nor did it follow other weighting factors, the radiographer’s equivalent may be assessed from incidents of a similar nature. As TEDE for the event would be: surveys or other radiation evidence for its argument, the Licensee measurements for the purpose of Dose to right thigh (9.369 rems) × notes that seven prior unannounced demonstrating compliance with the NRC inspections had not identified any weighting factor (1.0) = 9.369 rems occupational dose limits, if the violations of applicable regulations. The Licensee correctly notes that the individual monitoring device was not in • The Licensee disputes the fact that limit for whole-body exposure in 10 the region of highest potential exposure, it was a ‘‘typical’’ practice of Conam CFR 20.1201(a)(1)(i) is a TEDE of 5 or the results of individual monitoring radiographers to rely upon the rems. 10 CFR 20.1003 defines the TEDE are unavailable.’’ In this case, the automatic locking mechanism of their as the sum of the deep-dose equivalent individual monitoring device was not in radiographic exposure devices rather (external exposure) and committed the region of highest potential exposure, than locking them in the manner effective dose equivalent (internal given the non-uniform nature of the required by the Licensee’s radiation exposure). In this case, the TEDE can be dose field from the radiographic safety procedures. considered to be equal to the deep-dose exposure device and the position of the • The Licensee believes that equivalent, because there was no radiographer and his film badge in ‘‘[b]ecause the NRC’s conclusion that a internal exposure involved. relationship to the radiographic ‘‘willful’’ violation has occurred is The circumstances surrounding the exposure device. Therefore, per this influenced by its erroneous conclusion exposure, as described in the inspection requirement, the assigned deep-dose that a violation of the occupational report and by the radiographer during equivalent must be for the right thigh exposure limit occurred, its the conduct of the NRC’s investigation, (using the Licensee’s computation), as it characterization of the violation as demonstrated that the radiographer’s is part of the whole body. This results ‘‘willful’’ is flawed.’’ body was between the radiographic in an assigned deep-dose equivalent of NRC Evaluation exposure device and the radiographer’s 9.369 rems. As noted above, the TEDE film badge. As noted in the consists of the sum of the deep-dose In its Notice, the NRC did not radiographer’s and RSO’s description of equivalent and committed effective dose conclude that the violations in Section the Licensee’s time-motion study, no equivalent. In this case, it is equal to the I were willful; rather, the NRC props were used—the event was deep-dose equivalent, 9.369 rems, a concluded that only Violation I.A was discussed at a table with the value that is in excess of the limit willful. In this regard, Section IV.C of radiographer describing to the RSO specified in 10 CFR 20.1201(a)(1)(i). the NRC Enforcement Policy defines what occurred. During this time-motion Given the above, the NRC concludes willful violations to encompass not discussion, it was not clear that the that: (a) The Licensee has not provided merely deliberate acts but acts of radiographer’s film badge was at the a basis to substantiate that the careless disregard as well. As part of the point nearest the source. It was clear radiographer’s TEDE was below 5 rems; NRC’s evaluation of this event, an that the beam from the exit port of the and (b) Violation I.C occurred as stated investigation was conducted by the radiographic exposure device would be in the Notice. NRC’s Office of Investigations (OI). That very directional and non-uniform. Later, investigation concluded that the on April 11, 1996, a re-enactment of the Summary of Licensee’s Request for Licensee’s radiographer willfully failed event by the radiographer in the Remission or Mitigation and to follow the Licensee’s procedures presence of the Licensee’s RSO and NRC Reconsideration of Severity Level while operating the radiographic personnel was performed and The Licensee offered several exposure device. The radiographer, who appropriate props were used. The arguments in support of its request for was knowledgeable of the requirement radiographer was asked to demonstrate remission or mitigation of the proposed but failed to perform it due to being his activities at the time the exposure penalty. Below is a summary listing of ‘‘lax,’’ demonstrated careless disregard occurred. This re-enactment provided the Licensee’s arguments that are related for NRC requirements, a condition that information that the Licensee had not to its request for remission or clearly meets the NRC’s definition of a obtained during its verbal time-motion mitigation, some of which have been willful violation. discussion, namely, that the Given the results of the OI consolidated. The NRC’s evaluation radiographer’s leg was significantly investigation, the problem with failing follows each argument. closer to the source than was his film to follow procedures was not isolated. badge. For the sake of argument, the Appendix A As noted both in the November 18, 1996 NRC has chosen to utilize the Licensee’s inspection report and during the 1. Licensee’s Argument dose calculation based on its verbal subsequent Predecisional Enforcement characterization, and the resulting dose The Licensee asserts that violations Conference, the Licensee’s policy for obtained to the right thigh. If the cited in Section I of the Notice should performing field audits did not Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60927 encompass multiple exposures or other deficient occurrences to identify the radiographer involved in the incident situations where the potential existed problem. reported the problem to the Licensee’s for a radiographer to fail to properly In addition, the Licensee argues that RSO; and the problem was not rotate the selector ring and depress the its corrective actions were also prompt identified through any self-monitoring plunger. A single radiographic shot was and comprehensive and should result in action of the Licensee’s RSO or often used, where this act would be credit. The Licensee believes that the management, such as an audit. performed prior to moving the incident was promptly and Regarding the degree of licensee radiographic exposure device. As such, comprehensively addressed and initiative in identifying the problem the Licensee was unaware of the corrected by the Licensee’s RSO through requiring corrective action, the problem until it manifested itself in the his analysis of the film badge, his Licensee’s initiative does not deserve exposure event that occurred on issuance of a February 29, 1996, credit, as described below. Regarding February 27, 1996, although a better memorandum reminding all Conam the existence of prior opportunities to field auditing technique may have radiographic personnel of the proper identify the problem, as stated earlier, allowed the Licensee to identify the procedure for operating radiographic the OI investigation revealed that problem prior to the February event. exposure devices, his withdrawal of the approximately 25% of the Licensee’s Therefore, the Licensee’s arguments radiographer from further radiographic radiographers and assistant (i.e., lack of deficiencies in its radiation duties, and the suspension of the radiographers at the Gary, Indiana safety program and the lack of NRC radiographer without pay for one week. facility admitted that on or prior to findings during prior unannounced NRC The Licensee disagrees with the February 28, 1996, they on occasion inspections) do not alter the NRC’s NRC’s position, as described in the failed to rotate the selector ring from the conclusion concerning the willful act of Notice, that credit should not be given ‘‘operate’’ to the ‘‘lock’’ position and the radiographer. because the Licensee did not confirm failed to depress the plunger mechanism that each radiographer had received the When questioned by the OI as required by the Licensee’s operating February 29, 1996, memorandum from investigator, approximately 25% of the procedures. Thus, the problem with the RSO, nor had the Licensee instituted Licensee’s radiographers at the Gary, failing to follow procedures was not any monitoring/auditing program to Indiana facility, including the isolated. The Licensee performs evaluate the effectiveness of the radiographer associated with the event, quarterly field audits of its memorandum. The Licensee states that admitted that on or prior to February 28, radiographers. As noted in the there is no evidence that the 1996, they failed on occasion to rotate inspection report and during the radiographers did not receive the the selector ring from the ‘‘operate’’ to Predecisional Enforcement Conference, memorandum, and that there has been the ‘‘lock’’ position and failed to depress the Licensee’s policy for performing no repetition of the problem since the field audits did not encompass multiple the plunger mechanism as required by February event’s occurrence. The the Licensee’s operating procedures. exposures or other situations where the Licensee believes that the NRC’s potential existed for a radiographer to They stated to the investigator that they dismissal of credit for identification and had been ‘‘lax,’’ but that they were fail to properly rotate the selector ring corrective action ignores the fact that and depress the plunger. Therefore, knowledgeable of the requirement. They the February event was the only one of numerous prior opportunities existed to also stated that after the memo was its kind against a record of no violations identify the problem, yet the problem issued by the RSO discussing the event whatsoever during seven prior NRC was not identified prior to the February and the need to follow procedures, they inspections, and no that subsequent 27, 1996 incident. Thus, credit for no longer violated this requirement. violations since the event have been identification is not warranted. In determining whether the identified by NRC inspections. The NRC Enforcement Policy, Section radiographer willfully failed to lock the VI.B.2.c, discusses the criteria to be NRC Evaluation radiographic exposure device, the NRC considered when deciding if a licensee based its conclusion on interviews with The NRC Enforcement Policy, Section should be given credit for prompt and the radiographer as noted above. The VI.B.2.b, discusses the criteria to be comprehensive corrective actions. These Licensee’s belief that the NRC’s considered when deciding if a licensee criteria include: (i) The timeliness of the conclusion concerning willfulness was should be given credit for actions corrective action, (ii) the adequacy of influenced by whether a violation of the related to identification. These the licensee’s root cause analysis for the occupational exposure limit occurred is circumstances include: (i) Whether the violation, and (iii) the simply incorrect. problem requiring corrective action was comprehensiveness of the corrective 2. Licensee’s Argument NRC-identified, licensee-identified, or action. As stated in the inspection revealed through an event; and (ii) for report, the NRC acknowledges the The Licensee asserts that the NRC a problem revealed through an event, Licensee’s prompt action in issuing a improperly denied identification and the ease of discovery, the licensee’s self- memorandum to all radiation safety corrective action credit under the terms monitoring effort, the degree of licensee supervisory personnel advising all of the NRC Enforcement Policy, Section initiative in identifying the problem radiography staff to complete a full and VI.B.2.b and c, by ignoring essential requiring corrective action, and whether accurate survey of the radiographic facts. The Licensee asserts that while prior opportunities existed to identify exposure device, collimator, guide tube, the incident was identified through an the problem (Section VI.B.2.b(2)(ii) of and connector after each exposure and event, this fact does not preclude the Enforcement Policy). to secure the source assembly in identification credit where the problem The NRC and the Licensee both agree accordance with the Licensee’s arose from a single incident of that the problem requiring corrective procedures. However, although the negligence by a radiographer in action was revealed through an event. issuance of the memorandum was violation of well-publicized Conam Therefore, the criteria in Section timely, it does not constitute a safety procedures, where the Licensee’s VI.B.2.b(2)(ii) of the Enforcement Policy comprehensive corrective action. quarterly radiation safety compliance are applicable in this case. Regarding Specifically, after the Licensee audit program was demonstrably the ease of discovery, as well as the received the vendor’s report indicating adequate, and where there were no prior Licensee’s self-monitoring effort, the the radiographer’s dose, the Licensee 60928 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices did not perform an exact time-motion NRC Evaluation a dose in excess of the occupational study at the scene of the event to As described above, the NRC has dose limits for adults as defined in 10 determine the locations of the whole determined that Violation I.A was CFR 20.1201. body, film badge and radiographic willful, that Violations I.A, I.B, and I.C Contrary to the above, on April 11, exposure device exit port. Photographs occurred as described in the inspection 1996, the Licensee learned of an event of the scene that were obtained later did report, and that credit for identification that caused an adult radiographer to not include the position of the and corrective action is not warranted. receive a total effective dose equivalent radiographer. In addition, the Licensee The NRC Enforcement Policy, Section of more than 5 rems total effective dose could not confirm that each IV.A, states, in part, that the purpose of equivalent and did not submit a written radiographer had received the aggregating violations is to focus the report within 30 days as required. memorandum, nor had the Licensee licensee’s attention on the fundamental Summary of Licensee’s Response to instituted any monitoring/auditing underlying causes for which Violation II.A program to evaluate the effectiveness of enforcement action appears warranted the memorandum. The Licensee’s and to reflect the fact that several The Licensee, in its response, denies argument that there is no evidence that violations with a common cause may be Violation II.A and states that, because the radiographers did not receive the more significant collectively than the radiographer was not exposed to a memorandum is not persuasive; a individually and may, therefore, dose in excess of 5 rems, total effective comprehensive corrective action would warrant a more substantial enforcement dose equivalent, no reporting obligation ensure that each radiographer had action. As noted in the Notice, in arose under applicable regulations. received, reviewed, and understood the consideration of the willfulness NRC Evaluation of Licensee’s Response memorandum, and would monitor the involved, the relationship of these to Violation II.A radiographers’ understanding of and violations to a single incident, and the compliance with the memorandum. fact that two safety barriers were The specific issue raised by Violation Such comprehensive corrective actions breached, the violations are of very II.A was whether the Licensee was were not implemented by the Licensee. significant regulatory concern. required to submit a report to the NRC Finally, the fact that no violations had Therefore, consistent with Section IV.A after learning of a dose in excess of the been identified during seven NRC of the Enforcement Policy, the occupational dose limits for adults as inspections prior to the February 27, violations in Section I of the Notice defined in 10 CFR 20.1201. In this case, 1996 event, although commendable, is were combined to reflect that, the Licensee’s evaluation of the not relevant as far as credit for collectively, they are more significant circumstances did not appear to be corrective action is concerned. Further, than individually and, therefore, adequate in that the Licensee did not in accordance with Section VI.B.2.c of warrant a more substantial enforcement complete an exact time/motion study at the NRC Enforcement Policy, the action. the scene of the event to determine the adequacy of a licensee’s corrective As to the Licensee’s argument locations of the whole body, film badge, actions is judged at the time of the concerning escalation of the $8,000 base and radiography exposure device. As a enforcement conference, not on the penalty, the NRC did not escalate the result, the Licensee did not conclude basis of whether subsequent violations civil penalty on the basis of a willful that an exposure in excess of the dose 2 following the event have been identified violation. The base amount for a limits occurred. by the NRC. Given the above, the NRC Severity Level II problem is $8,000. By letter dated June 23, 1997, the concludes that while the Licensee took Credit was not warranted for the Licensee did submit the report required some timely actions, on balance, such identification and corrective action by 10 CFR 20.2203(a)(2)(i), but solely on actions did not address the root cause of factors. Therefore, in accordance with the basis that the NRC’s letter the violations and were not the civil penalty assessment process transmitting the Notice of Violation and comprehensive. Thus, credit for prompt described in Section VI.b.2, the civil Proposed Imposition of Civil Penalty and comprehensive corrective actions is penalty for the Severity Level II problem specifically stated that the Licensee was not warranted. is twice the base amount (i.e., $16,000). required to make such a report. As noted above, the Licensee still contends NRC Conclusion 3. Licensee’s Argument that an exposure in excess of regulatory The NRC concludes that the Licensee limits did not occur based on the The Licensee asserts that the NRC did not provide an adequate basis for Enforcement Policy should find, at Licensee’s unapproved methodology it withdrawing Violations I.B and I.C, for used to compute the TEDE. worst, that the February 27,1996 mitigating the severity level of incident involved two non-willful Given that the Licensee did not learn Violations I.A, I.B, and I.C in the that the radiographer’s exposure was in Severity Level III violations which, with aggregate, or for mitigating the civil appropriate identification and corrective excess of regulatory limits, and that, penalty associated with Violations I.A, after being informed by the NRC of the action credit, do not justify any civil I.B, and I.C. Therefore, the proposed penalty. The Licensee asserts that to radiographer’s exposure, the Licensee civil penalty in the amount of $16,000 submitted a report per the requirements aggregate the violations cited in Section should be imposed by order. I of the Notice and assign a Severity of 10 CFR 20.2203(a)(2)(i), the NRC Level II ‘‘problem’’ to this collection is Appendix B Evaluation of Violations concludes that Violation II.A should be not consistent with the NRC’s Not Assessed a Civil Penalty withdrawn. Enforcement Policy published in 60 FR Of the violations not assessed a civil NRC Conclusion 34381 (June 30, 1995). The Licensee penalty, the Licensee admitted violation The NRC staff concludes that the believes that the NRC’s Notice II.B and denied Violation II.A. Licensee provided an adequate basis for compounds that error by determining that the Severity Level II problem was Restatement of Violation II.A 2 For details concerning the Licensee’s evaluation, willful, and on that basis justifying a II.A 10 CFR 20.2203(a)(2)(i) requires, see Summary of the Licensee’s Response to 100% escalation of the $8,000 Severity in part, that a licensee submit a written Violation I.C and the NRC’s Evaluation of the Level II base penalty. report within 30 days after learning of Licensee’s Response to Violation I.C. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60929 withdrawing Violation II.A. Therefore, the risk of loss to plan participants or SECURITIES AND EXCHANGE Violation II.A should be withdrawn. the PBGC. COMMISSION [FR Doc. 97–29886 Filed 11–12–97; 8:45 am] The PBGC’s regulation on Allocating BILLING CODE 7590±01±P Unfunded Vested Benefits (29 CFR Part [Release No. 35±26774] 4211) includes, in § 4211.22, rules for requesting the PBGC’s approval of an Filings Under the Public Utility Holding amendment to a plan’s allocation Company Act of 1935, as amended PENSION BENEFIT GUARANTY method. Section 4211.22(d) prescribes (``Act'') CORPORATION information that the PBGC needs to identify the plan and evaluate the risk November 6, 1997. Proposed Submission of Information of loss, if any, posed by the amendment Collection for OMB Review; Comment Notice is hereby given that the (and, hence, determine whether it following filing(s) has/have been made Request; Allocating Unfunded Vested should approve the amendment). Benefits with the Commission pursuant to Section 4211.22(e) requires the provisions of the Act and rules AGENCY: Pension Benefit Guaranty submission of other information that the promulgated thereunder. All interested PBGC may need to review the Corporation. persons are referred to the application(s) amendment. (The regulation may be ACTION: and/or declaration(s) for complete Notice of intention to request accessed on the PBGC’s home page at statements of the proposed extension of OMB approval. http://www.pbgc.gov.) transaction(s) summarized below. The The collection of information under SUMMARY: The Pension Benefit Guaranty application(s) and/or declaration(s) and the regulation has been approved by Corporation (‘‘PBGC’’) intends to any amendments thereto is/are available OMB under control number 1212–0035 request that the Office of Management for public inspection through the and Budget (‘‘OMB’’) extend approval, through February 28, 1998. The PBGC intends to request that OMB extend its Commission’s Office of Public under the Paperwork Reduction Act, of Reference. a collection of information in its approval for another three years. The regulation on Allocating Unfunded PBGC estimates that it receives five Interested persons wishing to Vested Benefits (29 CFR Part 4211) submissions from plan sponsors comment or request a hearing on the (OMB control number 1212–0035; annually under the regulation; that application(s) and/or declaration(s) expires February 28, 1998). This notice virtually all submissions are prepared should submit their views in writing by informs the public of the PBGC’s intent by outside consultants; that the total December 1, 1997, to the Secretary, and solicits public comment on the annual hour burden of engaging the Securities and Exchange Commission, collection of information. services of such consultants is one hour; Washington, D.C. 20549, and serve a DATES: Comments should be submitted and that the total annual cost burden of copy on the relevant applicant(s) and/or by January 12, 1998. having the submissions prepared is declarant(s) at the address(es) specified $1,575. below. Proof of service (by affidavit or, ADDRESSES: Comments may be mailed to The PBGC is soliciting public in case of an attorney at law, by the Office of the General Counsel, suite comments to— certificate) should be filed with the 340, Pension Benefit Guaranty • Corporation, 1200 K Street, NW., Evaluate whether the proposed request. Any request for hearing shall Washington, DC 20005–4026, or collection of information is necessary identify specifically the issues of fact or delivered to that address between 9 a.m. for the proper performance of the law that are disputed. A person who so and 4 p.m. on business days. Written functions of the agency, including requests will be notified of any hearing, comments will be available for public whether the information will have if ordered, and will receive a copy of inspection at the PBGC’s practical utility; any notice or order issued in the matter. • Communications and Public Affairs Evaluate the accuracy of the After said date, the application(s) and/ Department, suite 240 at the same agency’s estimate of the burden of the or declaration(s), as filed or as amended, address, between 9 a.m. and 4 p.m. on proposed collection of information, may be granted and/or permitted to business days. including the validity of the become effective. methodology and assumptions used; FOR FURTHER INFORMATION CONTACT: New England Electric System, et al. (70– • Enhance the quality, utility, and Deborah C. Murphy, Attorney, Office of 9143); Notice of Proposal to Amend the General Counsel, Pension Benefit clarity of the information to be collected; and Articles of Incorporation and Authorize Guaranty Corporation, 1200 K Street, Registered Holding Company to Acquire • Minimize the burden of the NW., Washington, DC 20005–4026, 202– Preferred Stock of Utility Subsidiaries; collection of information on those who 326–4024. (For TTY and TDD, call 800– Order Authorizing Solicitation of are to respond, including through the 877–8339 and request connection to Proxies 202–326–4024). use of appropriate automated, electronic, mechanical, or other SUPPLEMENTARY INFORMATION: Section New England Electric System technological collection techniques or 4211(c)(5)(A) of the Employee (‘‘NEES’’), a registered holding other forms of information technology, Retirement Income Security Act of 1974 company, and its wholly-owned public e.g., permitting electronic submission of (‘‘ERISA’’) requires the PBGC to utility subsidiaries, New England Power responses. prescribe by regulation a procedure Company (‘‘the Power Company’’), whereby multiemployer pension plans Issued in Washington, DC, this 7th day of Massachusetts Electric Company (‘‘Mass can change the way they allocate November, 1997. Electric’’), and the Narragansett Electric unfunded vested benefits to David M. Strauss, Company (‘‘Narragansett’’), all located at withdrawing employers, subject to Executive Director, Pension Benefit Guaranty 25 Research Drive, Westborough, PBGC approval. Approval of a change is Corporation. Massachusetts 01582, have filed an to be based on a determination that the [FR Doc. 97–29880 Filed 11–12–97; 8:45 am] application-declaration under sections change will not significantly increase BILLING CODE 7708±01±P 6(a), 7, 9(a), 10, 12(c), 12(d) and 12(e) of 60930 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices the Act and rules 43, 44, 51, 54, 62 and The Power Company proposes to in favor of the Power Company 65 under the Act.1 solicit proxies from the holders of Proposed Amendment. The Power Company outstanding shares of Power Company If the Power Company Proposed Dividend Series Preferred Stock and Amendment is adopted, the Power The Power Company has outstanding Common Stock (‘‘Power Company Proxy Company would make a special cash 6,449,896 shares of common stock, $100 Solicitation’’) for use at a special payment of $1.00 per share (‘‘Power par value per share (‘‘Power Company meeting of its stockholders (‘‘Power Company Cash Payment’’) to each Common Stock’’), all of which are held Company Special Meeting’’) to consider holder of Power Company Dividend by NEES. The Power Company also has a proposed amendment to the Power Series Preferred Stock of any Series who issued a 6% cumulative preferred stock, Company Articles that would eliminate voted shares (in person by ballot or by outstanding 75,020 shares, $100 par in its entirety the Power Company proxy) (each, a ‘‘Power Company value (‘‘Power Company Cumulative Restriction Provision (‘‘Power Company Share’’) in favor of the Power Company Preferred Stock’’). The Power Proposed Amendment’’) from the Power Proposed Amendment at the Power Company’s other outstanding preferred Company Articles. Approval of the Company Special Meeting (except that stock consists of 321,640 shares of Power Company Proposed Amendment no Power Company Cash Payment will dividend series preferred stock, $100 requires the affirmative vote at the be made with respect to any Power par value per share (‘‘Power Company Power Company Special Meeting of the Company Share validly tendered under Dividend Series Preferred Stock’’), the concurrent tender offer described issued in four series.2 There is also holders of not less than two-thirds of the total number of the then-outstanding below). The Power Company will authorized another class of preferred disburse Power Company Cash stock (‘‘Power Company Preferred shares of (1) The Power Company Dividend Series Preferred Stock of all Payments out of its general funds Stock—Cumulative’’), $25 par value, of following adoption of the Power which there are no series currently Power Company Series, voting together Company Proposed Amendment. outstanding. The Power Company as one class, and (2) the Power Concurrently with or shortly before Common Stock shares general voting Company Common Stock. NEES will rights with the Power Company vote its shares of Power Company Stock the Power Company Proxy Solicitation, Cumulative Preferred Stock, and are and subject to the terms and conditions entitled to one vote per share. No other unsecured notes, debentures or other securities stated in an Offer to Purchase and Proxy class of Power Company equity representing unsecured indebtedness issued or Statement and Information Statement assumed by the corporation and then outstanding securities is outstanding. and accompanying Letter of Transmittal (including unsecured securities then to be issued or (collectively, ‘‘Power Company Offer The Power Company’s by-laws and assumed but excluding unsecured securities articles of incorporation (‘‘Power theretofore so voted for by holders of Dividend Documents’’), NEES proposes to make a Company Articles’’) currently provide Series Preferred Stock and Preferred Stock— cash tender offer (‘‘Power Company that, without a vote of a majority of the Cumulative) (the ‘‘Unsecured Indebtedness’’) would Tender Offer’’) to acquire any and all exceed twenty per cent (20%) of the aggregate of (i) outstanding shares of Power Company outstanding Power Company Dividend the total principal amount of all bonds and other Series Preferred Stock and Preferred securities representing secured indebtedness issued Preferred Stock of each Power Company Stock—Cummulative, the Power or assumed by the corporation and then outstanding Series, at cash purchase prices which Company will not issue or assume any and (ii) the capital, premium and retained earnings NEES anticipates will include a market of the corporation as then stated on the books of premium for each Series (each, a evidence of unsecured indebtedness account of the corporation; provided, however, that (except for redemption of outstanding after July 1, 1976, short-term unsecured ‘‘Power Company Purchase Price’’). The shares of all series of the stock), if the indebtedness shall not exceed ten per cent (10%) Power Company Purchase Price and the total amount (exclusive of certain of such aggregate of (i) and (ii) above; and provided, other terms and conditions of the Power further, that after July 1, 1976, in the event Company Tender Offer apply equally to unsecured indebtedness) immediately unsecured securities representing short-term after the issue would exceed 20% of unsecured indebtedness (excluding unsecured all preferred stockholders of the total secured indebtedness, capital, securities theretofore so voted for by the holders of respective Power Company Series. The premium, and retained earnings, of Dividend Series Preferred Stock and Preferred offer for any one Power Company Series Stock—Cumulative) exceed ten per cent (10%) of (i) is independent of the offer for any other which 20%, not more than one-half and (ii) above, no unsecured securities representing shall be short-term unsecured unsecured indebtedness shall be issued or assumed Power Company Series or for the shares indebtedness.3 (‘‘(Power Company (except for the purpose of redemption or other of any other subsidiary. Restriction Provision’’). retirement of outstanding shares of all series of the NEES anticipates that the Power Dividend Series Preferred Stock and the Preferred Stock—Cumulative) unless such ratio of short-term Company Tender Offer will expire at 1 The Power Company, Mass. Electric and unsecured indebtedness immediately after such 5:00 p.m. Eastern Standard Time on Narragansett are sometimes referred to individually issue or assumption is to be not over ten per cent December 12, 1997, the date of the as a ‘‘Subsidiary’’ or collectively as ‘‘Subsidiaries.’’ (10%) of such aggregate of (i) and (ii) above. ‘‘Short- Power Company Special Meeting 2The four series of Power Company Dividend term unsecured indebtedness’’ as used herein Series Preferred Stock consist of a 4.56% series, of means unsecured indebtedness of an original (‘‘Power Company Expiration Date’’), which 100,000 shares are outstanding; a 4.60% maturity of less than ten years and ‘‘long-term unless otherwise extended. The Power series, of which 80,140 shares are outstanding; a unsecured indebtedness’’ means unsecured Company Tender Offer is not 4.64% series, of which 41,500 shares are indebtedness of ten years or more. For the purposes conditioned upon any minimum outstanding; and a 6.08% series, of which 100,000 hereof, when any long-term unsecured shares are outstanding (each, a ‘‘Power Company indebtedness becomes due within ten years, or number of shares of Power Company Series’’). when any long-term unsecured indebtedness is to preferred stock being tendered. 3 The Power Company Restriction Provision be retired within ten years through a sinking fund Preferred stockholders who tender their specifically provides that the Power Company will or otherwise, such long-term unsecured shares under a Power Company Tender not: indebtedness, in each case, shall be considered [I]ssue any unsecured notes, debentures or other short-term unsecured indebtedness; provided, Offer are required to vote in favor of or securities representing unsecured indebtedness, or however, that any long-term unsecured consent to the Power Company assume any such unsecured securities, for purposes indebtedness of a single maturity (except as Proposed Amendment, and one of the other than the redemption or other retirement of provided above in respect of a sinking fund conditions of the Power Company outstanding shares of all series of the Dividend therefore), or the last maturity of any long-term Series Preferred Stock and the Preferred Stock— unsecured indebtedness of serial maturities, shall Tender Offer requires that the Power Cumulative, if immediately after such issue or not be considered short-term unsecured Company Proposed Amendment be assumption the total principal amount of all indebtedness until due within five years. approved and adopted. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60931

Mass. Electric Mass. Electric proposes to solicit Electric Dividend Series Preferred Stock Mass Electric has outstanding proxies from the holders of outstanding of any Series, and 25 cents per share to 2,398,111 shares of common stock, $25 shares of Mass. Electric Dividend Series each holder of the Mass. Electric par value (‘‘Mass. Electric Common Preferred Stock and Common Stock Preferred Stock—Cumulative who voted Stock’’), all of which are held by NEES. (‘‘Mass. Electric Proxy Solicitation’’) for shares (each, a ‘‘Mass. Electric Share’’) Mass. Electric’s outstanding preferred use at a special meeting of its (in person by ballot or by proxy) in favor stock consists of 350,000 shares of stockholders (‘‘Mass. Electric Special of the Mass. Electric Proposed dividend series preferred stock, $100 Meeting’’) to consider a proposed Amendment at the Mass. Electric par value, issued in three series 4 amendment to the Mass. Electric Special Meeting (except that no Mass. (‘‘Mass. Electric Dividend Series Articles that would eliminate in its Electric Cash Payment will be made Preferred Stock’’), and 600,000 shares of entirety the Mass. Electric Restriction with respect to any Mass. Electric Share preferred stock—cumulative, $25 par Provision (‘‘Mass. Electric Proposed validly tendered under the concurrent value, of which there is one series Amendment’’) from the Mass. Electric tender offer described below). Mass. outstanding,5 all of which are traded Articles. Approval of the Mass. Electric Electric will disburse Mass. Electric over the counter. (‘‘Mass. Electric Proposed Amendment requires the Cash Payments out of its general funds Preferred Stock—Cumulative’’). Mass. affirmative vote at the Mass. Electric following adoption of the Mass. Electric Electric Common Stock and Mass. Special Meeting of the holders of not Proposed Amendment. Electric Dividend Series Preferred Stock less than two-thirds of the total number Concurrently with or shortly before are entitled to one vote per share. The of the then-outstanding shares of (1) the the Mass. Electric Proxy Solicitation, Mass. Electric Preferred Stock— Mass. Electric preferred stock of all and subject to the terms and conditions Cumulative is entitled to a quarter vote Mass. Electric Series, voting together as stated in an Offer to Purchase Proxy per share. No other class of Mass. one class, and (2) the Mass. Electric Statement and accompanying Letter of Electric equity securities is outstanding. Common Stock. NEES will vote its Transmittal (together, ‘‘Mass. Electric Mass. Electric’s By-Laws and Articles shares of Mass. Electric Common Stock Offer Documents’’), NEES proposes to of Organization (‘‘Mass. Electric in favor of the Mass. Electric Proposed make a cash tender officer (‘‘Mass. Articles’’) currently provide that, Amendment. Electric Tender Offer’’) to acquire any without a vote of a majority of the If the Mass. Electric Proposed and all outstanding shares of Mass. outstanding Mass. Electric Dividend Amendment is adopted, Mass. Electric Electric Preferred Stock of each Series, Series Preferred Stock and Preferred would make a special cash payment of at cash purchase prices which NEES Stock—Cumulative, Mass. Electric will $1.00 per share (‘‘Mass. Electric Cash anticipates will include a market not issue or assume any unsecured Payment’’) to each holder of Mass. premium for each Mass. Electric Series indebtedness (except for redemption of (each, a ‘‘Mass. Electric Purchase outstanding shares of all series of representing both long and short-term unsecured Price’’). The Mass. Electric Purchase preferred stock), if the total amount of indebtedness issued or assumed by the corporation Price and the other terms and and then to be outstanding (but excluding conditions of the Mass. Electric Tender the indebtedness (exclusive of certain unsecured indebtedness theretofore so voted for by unsecured indebtedness) immediately Offer apply equally to all preferred holders of Preferred Stock and Preferred Stock— stockholders of the respective Mass. after the issue would exceed 20% of Cumulative) would exceed twenty per cent (20%) total capitalization, or if, immediately of total capitalization, or if, immediately after such Electric Series. The offer for any one issue or assumption, such short-term unsecured Mass. Electric Series is independent of after the issue, the total amount of the indebtedness issued or assumed by the corporation the offer for any other Mass. Electric short-term unsecured indebtedness after September 30, 1998, and then to be Series or for the shares of any other (exclusive of certain short-term outstanding (but excluding short-term indebtedness subsidiary. unsecured indebtedness) issued or theretofore so voted for by holders of Preferred Stock or Preferred Stock—Cumulative) would NEES anticipates that the Mass. assumed by Mass. Electric after exceed ten per cent (10%) of total capitalization; Electric Tender Offer will expire at 5:00 September 30, 1998, would exceed 10% provided, however, that in the event such short- P.M. Eastern Standard Time on 6 term unsecured indebtedness (but excluding short- of total capitalization. (‘‘Mass. Electric December 12, 1997, the date of the Restriction Provision’’). term unsecured indebtedness theretofore so vetoed by holders of Preferred Stock and Preferred Stock— Mass. Electric Special Meeting (‘‘Mass. Cumulative) exceeds such latter limit, no unsecured Electric Expiration Date’’), unless 4 The three series of Mass. Electric Dividend securities representing unsecured indebtedness otherwise extended. The Mass. Electric Series Preferred Stock consist of a 4.44% series, of shall be issued or assumed (except for the purposes which 75,000 shares are outstanding; a 4.76% specified in clauses (x) and (y) above) unless such Tender Offer is not conditioned upon Series, of which 75,000 shares are outstanding; and ratio of short-term unsecured indebtedness any minimum number of shares of a 6.99% series, of which 200,000 shares are immediately after such issue or assumption is not Mass. Electric preferred stock being outstanding. in excess of such limit. tendered. Preferred stockholders who 5 The single series of Mass. Electric Preferred ‘‘Short-term unsecured indebtedness’’ as used in Stock—Cumulative is a 6.84% series. Each of the this subsection E(4) means unsecured indebtedness tender their shares under a Mass. series referred to in footnote 4 and this series shall of an original maturity of less than ten years and Electric Tender Offer are required to be referred as a ‘‘Mass. Electric Series.’’ ‘‘long-term unsecured indebtedness’’ means vote in favor of or consent to the Mass. 6 The Mass. Electric Restrictive Provision unsecured indebtedness of an original maturity of Electric Proposed Amendment, and one specifically provides that Mass. Electric will not: ten years or more. For the purposes hereof, when [I]ssue or assume any unsecured notes, any long-term unsecured indebtedness becomes due of the conditions of the Mass. Electric debentures or other securities representing within five years, or when any long-term unsecured Tender offer requires that the Mass. unsecured indebtedness for purposes other than (x) indebtedness is to be retired within five years Electric Proposed Amendment be the refunding of outstanding unsecured through a sinking fund or otherwise, such long-term approved and adopted. indebtedness theretofore issued or assumed by the unsecured indebtedness, in each case, shall be corporation resulting in maturities later than the considered short-term unsecured indebtedness. Narragansett maturity of the indebtedness being refunded or (y) ‘‘Total capitalization’’ as used in this subsection the reacquisition, redemption or other retirement of E(4) means the aggregate of (i) the total principal Narragansett has outstanding any indebtedness which reacquisition, redemption amount of all bonds and other securities 1,132,487 shares of common stock, $50 or other retirement has been authorized under the representing secured indebtedness issued or par value (‘‘Narragansett Common provisions of the Public Utility Holding Company assumed by the corporation and then outstanding Act of 1935, if, immediately after such issue or and (ii) the capital. premium and surplus of the Stock’’), all of which are held by NEES. assumption, the total principal amount of all corporation as then stated on the books of account Narragansett’s outstanding preferred unsecured notes, debentures or other securities of the corporation. stock consists of 730,000 shares of 60932 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices cumulative preferred stock, $50 par of the then-outstanding shares of offer requires that the Narragansett value, issued in three series,7 all of Narragansett preferred stock of all Proposed Amendment be approved and which are traded over the counter. Narragansett Series, voting together as adopted. (‘‘Narragansett Cumulative Preferred one class, (2) 75% of the preferred Tenders of Power Company Shares, Stock’’). Narragansett Common Stock shares present or represented at the Mass. Electric Shares and Narragansett and Narragansett Cumulative Preferred meeting, and (3) a majority of the Shares (collectively, ‘‘Shares’’) made Stock are entitled to one vote per share. Narragansett Common Stock. NEES will under the Power Company Tender No other class of Narragansett equity vote its shares of Narragansett Common Offer, Mass. Electric Tender Offer and securities is outstanding. Stock in favor of the Narragansett Narragansett Tender Offer, respectively Narragansett’s Preferred Stock Proposed Amendment. (individually, ‘‘Tender Offer’’ and Provisions (‘‘Narragansett Provisions’’) If the Narragansett Proposed collectively, ‘‘Tender Offers’’), may be currently provide that, without a vote of Amendment is adopted, Narragansett withdrawn at any time prior to the a majority of the outstanding would make a special cash payment of Power Company Expiration Date, Mass. Narragansett preferred stock, voting as a 50 cents per share (‘‘Narragansett Cash Electric Expiration Date and the class, Narragansett will not issue or Payment’’) to each holder of Narragansett Expiration Date, assume any unsecured indebtedness Narragansett Cumulative Preferred respectively (individually and (except for redemption of outstanding Stock of any Narragansett Series who collectively, ‘‘Expiration Date’’). shares of all series of preferred stock) if voted shares (each, a ‘‘Narragansett Thereafter, the tenders are irrevocable, the total amount of the indebtedness Share’’) (in person by ballot or by proxy) subject to certain exceptions identified (exclusive of certain unsecured in favor of the Narragansett Proposed in the Power Company Offer indebtedness) immediately after the Amendment at the Narragansett Special Documents, Mass. Electric Offer issue would exceed 10% of all secured Meeting (except that no Narragansett Documents and Narragansett Offer indebtedness and capital and surplus of Cash Payment will be made with respect Documents (individually and Narragansett.8 (‘‘Narragansett to any Narragansett Share validly collectively, ‘‘Offer Documents’’). NEES Restriction Provisions’’). tendered under the concurrent tender states that its obligations to proceed Narragansett proposes to solicit offer described below). Narragansett will with the Tender Offers and to accept for proxies from the holders of outstanding disburse Narragansett Cash Payments payment and to pay for any Shares shares of Narragansett Cumulative out of its general funds following tendered will be made in accordance Preferred Stock and Common Stock adoption of the Proposed Amendment. with rule 51 under the Act and are (‘‘Narragansett Proxy Solicitation’’) for Concurrently with or shortly before subject to various conditions use at a special meeting of its the Narragansett Proxy Solicitation, and enumerated in the Offer Documents, stockholders (‘‘Narragansett Special subject to the terms and conditions including the receipt of a Commission Meeting’’) to consider a proposed stated in an offer to Purchase Proxy order under the Act authorizing the amendment to the Narragansett Statement and accompanying Letter of proposed transactions and the adoption Provisions that would eliminate in its Transmittal (collectively, ‘‘Narragansett of the Power Company Proposed entirety the Narragansett Restriction Offer Documents’’), NEES proposes to Amendment, Mass. Electric Proposed Provision (‘‘Narragansett Proposed make a cash tender offer (‘‘Narragansett Amendment and the Narragansett Amendment’’) from the Narragansett Tender Offer’’) to acquire any and all Proposed Amendment (individually, Provisions. Approval of the Narragansett outstanding shares of Narragansett ‘‘Proposed Amendment’’ and Proposed Amendment requires the Cumulative Preferred Stock of each collectively, ‘‘Proposed Amendments’’) affirmative vote at the Narragansett Narragansett Series, at cash purchase at the Power Company Special Meeting, Special Meeting of the holders of (1) not prices which NEES anticipates will Mass. Electric Special Meeting and less than two-thirds of the total number include a market premium for each Narragansett Special Meeting, Narragansett Series (each, a respectively (individually and 7 The three series of Narragansett cumulative ‘‘Narragansett Purchase Price’’). The collectively, ‘‘Special Meeting’’). preferred stock consist of a 4.50% series, of which Narragansett Purchase Price and the Applicants undertake to comply with 180,000 shares are outstanding; a 4.64% series, of which 150,000 shares are outstanding; and a 6.95% other terms and conditions of the all requirements of the Securities series, of which 400,000 shares are outstanding Narragansett Tender Offer apply equally Exchange Act of 1934 (‘‘Exchange Act’’) (each, a ‘‘Narragansett Series’’). to all preferred stockholders of the and rules and regulations thereunder in 8 The Narragansett Restriction Provision respective Narragansett Series. The offer connection with the Power Company specifically provides that Narragansett will not: for any one Narragansett Series is Proxy Solicitation, Mass. Electric Proxy [I]ssue any unsecured notes, debentures or other securities representing unsecured indebtedness, or independent of the offer for any other Solicitation and Narragansett Proxy assume any such unsecured securities, for purposes Narragansett Series or for the shares of Solicitation, as applicable (individually, other than the refunding of outstanding unsecured any other subsidiary. ‘‘Proxy Solicitation’’ and collectively, securities theretofore issued or assumed by the NEES anticipates that the ‘‘Proxy Solicitations’’), except to the Company resulting in equal or longer maturities or the redemption or other retirement of all Narragansett Tender Offer will expire at extent applicants rely on exemptions outstanding shares of the Preferred Stock, if, 5:00 p.m. on December 12, 1997, the from the requirements of rule 13e–3 and immediately after such issue or assumption, the date of the Narragansett Special Meeting regulation 14A of the Exchange Act, and total principal amount of all unsecured notes, (‘‘Narragansett Expiration Date’’), unless acknowledge that any authorization debentures or other securities representing unsecured indebtedness issued or assumed by the otherwise extended. The Narragansett granted under the Act is conditioned Company and then outstanding (including Tender Offer is not conditioned upon upon their compliance. Shares validly unsecured securities then to be issued or assumed) any minimum number of shares of tendered will be held by NEES until the but excluding unsecured securities theretofore so Narragansett preferred stock being Expiration Date (or returned in the event consented to by holders of Preferred Stock, would exceed ten per cent (10%) of the aggregate of (i) the tendered. Preferred stockholders who a Tender Offer is terminated). Subject to total principal amount of all bonds and other tender their shares under a Narragansett the terms and conditions of the Tender securities representing secured indebtedness issued Tender Offer are required to vote in Offers, as promptly as practicable after or assumed by the Company and then outstanding favor of or consent to the Narragansett the Expiration Date, NEES will accept and (ii) the capital and surplus of the Company as then stated on the books of account of the Proposed Amendment, and one of for payment (and thereby purchase) and Company. conditions of the Narragansett Tender pay for Shares validly tendered and not Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60933 withdrawn. NEES intends to use its another special meeting and solicit plans to use general funds and incur general funds (which, in the ordinary proxies to secure the requisite debt under its committed lines of credit, course, include funds from the Power affirmative vote of stockholders to including any bank revolving credit Company, Mass. Electric and amend the Power Company Articles, agreements, in an amount sufficient to Narragansett) and incur indebtedness Mass. Electric Articles and Narragansett pay the Purchase Price for all tendered under NEES’ committed lines of credit, Provisions (individually and Shares, an amount expected to be including any bank revolving credit collectively, ‘‘Articles’’), to eliminate approximately $135 million, excluding agreements, in an amount sufficient to the Power Company Restriction payment of accrued dividends, but pay the Power Company Purchase Price, Provision, Mass. Electric Restriction including fees and other expenses. Mass. Electric Purchase Price and Provision and Narragansett Restriction The applicants also request Narragansett Purchase Price Provision (collectively, ‘‘Restriction authorization to deviate from the (individually and collectively, Provisions’’), as the case may be. At preferred stock provisions of the ‘‘Purchase Price’’) for all tendered each meeting, NEES would vote any Statement of Policy Regarding Preferred Shares. Merrill Lynch, Pierce, Fenner & Shares acquired by it under the Tender Stock Subject to the Public Utility Smith Incorporated will act as dealer Offer or otherwise 10 (as well as all of its Holding Company Act of 1935, HCAR manager for NEES in connection with shares of Common Stock of the affected No. 13106 (Feb. 16, 1956), to the extent the Tender Offers.9 Subsidiaries) in favor of the Proposed applicable with respect to the Proposed If a Proposed Amendment is adopted Amendment. If a Proposed Amendment Amendments. at a Subsidiary’s Special Meeting, is adopted at that meeting and in any It appears to the Commission that the promptly after consummation of the event within one year from the application-declaration, to the extent Tender Offer, either the issuing Expiration Date (including any potential that it relates to the proposed Proxy Subsidiary will purchase the Shares extension under a Tender Offer), NEES Solicitations should be permitted to sold to NEES under the Tender Offer at will promptly after the meeting or at the become effective immediately under the relevant Purchase Price plus expiration of the one-year period, as rule 62(d). expenses incurred in the Tender Offer, applicable, sell the Shares to the It is ordered, that the application- or NEES will donate the Shares to that Subsidiary at the applicable Purchase declaration, to the extent that it relates Subsidiary as a capital contribution. The Price plus expenses paid under the to the proposed Proxy Solicitations be, Subsidiary will then retire and cancel Tender Offer, and the Subsidiary will and it hereby is, permitted to become the shares. retire and cancel the Shares. effective immediately, under rule 62 If a Proposed Amendment is not The Applicants believe that the and subject to the terms and conditions adopted at the relevant Special Meeting, purchase of the Shares at this time prescribed in rule 24 under the Act. NEES may elect, but is not obligated, to represents an attractive economic waive adoption of the Proposed opportunity that will benefit NEES, its For the Commission, by the Division of Amendment as a condition to its shareholders, and its Subsidiaries. The Investment Management, pursuant to delegated authority. obligation to proceed with the Tender Applicants further contend that Offer, subject to applicable law. In that elimination of the Restriction Provisions Margaret H. McFarland, case, as promptly as practicable after will produce savings in financing costs Deputy Secretary. NEES’s waiver of the condition and its that outweigh the one-time costs of the [FR Doc. 97–29881 Filed 11–12–97; 8:45 am] purchase of Shares validly tendered Tender Offers and the Proxy BILLING CODE 8010±01±M under the Tender Offers, the affected Solicitations,11 and will be in the best Subsidiary anticipates that it would call interests of their customers and shareholders.12 SECURITIES AND EXCHANGE 9 NEES has agreed to pay the dealer manager a fee To finance its proposed purchase of COMMISSION of .5% of par per share for any Shares tendered, Shares under the Tender Offers, NEES accepted for payment and paid for pursuant to the [Release No. 34±39302; File No. SR±OPRA± Tender Offers, the Subsidiaries have agreed to pay 97±4] the dealer managers a fee of .5% of par per share 10 Applicant states that, in contrast, if the for any Shares that are not tendered pursuant to the Subsidiary, rather than NEES, had acquired its Options Price Reporting Authority; shares under the Tender Offer, upon the acquisition Tender Offers but which vote in favor of the Order Granting Approval of Proposed Amendment. NEES has agreed to the shares would be deemed treasury shares under reimburse the dealer manager for its reasonable out- applicable state law and, as such, the Subsidiary Amendment to OPRA Plan Revising of-pocket expenses, including attorneys’ fees. would be precluded from voting those shares under OPRA's Dial-Up Market Data Service any circumstance. In addition, NEES has agreed to pay soliciting Rider to Its Vendor Agreement To 11 Each of the Subsidiaries have engaged brokers and dealers a separate fee of 1.5% of par Accommodate the Vendor's Provision per share for any Shares tendered, accepted for Georgeson & Company, Inc. to act as information payment and paid for pursuant to the Tender Offers agent in connection with the Proxy Solicitations for of Dial-Up Service to Customers of except that for transactions with beneficial owners a fee and reimbursement of reasonable out-of- OPRA Subscribers equal to or exceeding 2,500 Shares, NEES will pay pocket expenses expected not to exceed approximately $10,000. a solicitation fee of 1% of par per share for Shares November 5, 1997. 12 of such Series. The Applicants state that the proposed acquisition by NEES of Shares under the Tender Any fee payable for transactions equal to or I. Introduction Offers will benefit NEES’ utility system customers exceeding 2,500 shares shall be payable 80% to the and shareholders by (1) contributing to the On September 11, 1997, the Options dealer manager and 20% to any soliciting dealer elimination of the provisions concerning unsecured Price Reporting Authority (‘‘OPRA’’) 1 (which may be the dealer manager). No fee shall be indebtedness, and (2) acquiring and retiring of payable to a soliciting dealer in respect of shares (a) outstanding shares of the preferred stock and their 1 beneficially owned by such soliciting dealer or (b) potential replacement with comparatively less OPRA is a National Market System Plan registered in the name of such soliciting dealer as expensive financing alternatives. Moreover, the approved by the Commission pursuant to Section nominee when the shares are being rendered for the applicants maintain that tendering Power Company 11A of the Exchange Act and Rule 11Aa3–2 benefit of one or more beneficial owners identified Preferred Stockholders, Mass. Electric Preferred thereunder. See Exchange Act Release No. 17638 in the applicable Letter of Transmittal or in the Stockholders and Narragansett Preferred (March 18, 1981). applicable Notice of Solicited Tenders (including in Stockholders will benefit by having the option to The Plan provides for the collection and the materials provided to brokers and dealers). sell their Preferred Stock at prices that NEES dissemination of last sale and quotation information NEES proposes to pay Boston Equiserve, L.P., in expects will be a premium to the market price and on options that are traded on the member its capacity as depositary for the Tender Offers, a without the usual transaction costs associated with exchanges. The five exchanges which agreed to the fee estimated at approximately $40,000. a sale. Continued 60934 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices submitted to the Securities and comparable provisions to be included in subscribers with alternatives for the Exchange Commission (‘‘SEC’’ or contracts between subscribers and their provision of the dial-up service to their ‘‘Commission’’), pursuant to Rule customers who receive a dial-up service customers. Accordingly, the 11Aa3–2 under the Securities Exchange from a third-party vendor.3 Commission believes that the proposed Act of 1934 (‘‘Exchange Act’’), an Other than as described above, OPRA amendment will provide additional amendment to the Plan for Reporting of proposes no change in the way in which flexibility to OPRA subscribers while Consolidated Options Last Sale Reports dial-up services may be offered to providing OPRA with the contractual and Quotation Information (‘‘Plan’’). investors. OPRA represents that no new protections that it requires. The proposed amendment revises the or additional OPRA fees will result from IV. Conclusion Dial-Up Market Data Service Rider this proposed amendment and the (‘‘Rider’’) to OPRA’s vendor agreement amendment will not make any new It is therefore ordered, pursuant to to accommodate a third party vendor’s parties subject to OPRA’s existing fee. Rule 11Aa3–2 of the Act, that the provisions of dial-up service to OPRA proposes to phase in the revised proposed amendment (SR–OPRA–97–4) customers of an OPRA subscriber. form of the Rider to take the place of the is approved. The proposed amendment was existing Rider. For the Commission, by the Division of published for comment in the Federal III. Discussion Market Regulation, pursuant to delegated Register on October 2, 1997.2 No authority.5 comments were received on the After careful review, the Commission Margaret H. McFarland, proposal. This order approves the finds that the proposed amendment is Deputy Secretary. consistent with the requirements of the proposal. [FR Doc. 97–29882 Filed 11–12–97; 8:45 am] Act and the rules and regulations II. Description and Purpose of the thereunder.4 Specifically, the BILLING CODE 8010±01±M Amendment Commission believes that the proposed The purpose of the amendment is to amendment, which accommodates the add provisions to OPRA’s Rider to the provision of OPRA data through third- DEPARMENT OF TRANSPORTATION vendor agreement to accommodate the party vendors, is consistent with Rule Federal Aviation Administration situation in which an OPRA vendor 11Aa3–2 in that it will contribute to the provides a dial-up service to the maintenance of fair and orderly markets [Summary Notice No. RE±97±57] customers of an OPRA subscriber, rather and remove impediments to and perfect than to its own customers. According to the mechanisms of a national market Petitions for Exemption Summary of OPRA, several vendors and broker- system. Petitions Received; Dispositions of dealer subscribers have recently The Commission notes that the Petitions Issued expressed interest in such an proposed amendment will require third AGENCY: Federal Aviation arrangement. As this arrangement is not party vendors that provide a dial-up Administration (FAA), DOT. service to the customers of OPRA currently contemplated under the Rider, ACTION: Notice of petitions for the proposal would amend the Rider to subscribers to obtain an agreement from exemption received and dispositions of address the one significant difference the subscribers, in writing, that the prior petitions. between the traditional situation of a subscribers will include provisions for firm providing a dial-up service to its the benefit of OPRA in the subscribers’ SUMMARY: Pursuant to FAA’s rulemaking own customers and the recent proposals written agreements with its customers. provisions governing the application, for firms to arrange for third-party The Commission believes that it is processing, and disposition of petitions vendors to provide a dial-up service for reasonable for OPRA to extend its for exemption (14 CFR Part 11), this the firms’ customers. In the former case, existing contractual protections to notice contains a summary of certain there is a direct contractual relationship situations in which a third party vendor petitions seeking relief from specified between the vendor, a party to the provides a dial-up service to the requirements of the Federal Aviation Rider, and the vendor’s customers. In customers of an OPRA subscriber. The Regulations (14 CFR Chapter I), the latter case, however, the vendor’s Commission notes that the proposed dispositions of certain petitions subscriber, rather than the vendor, has amendment also provides OPRA previously received, and corrections. a contractual relationship with the The purpose of this notice is to improve customer. 3 The proposal would require vendors to obtain the public’s awareness of, and a written agreement from each OPRA subscriber participation in, this aspect of FAA’s In its current form, the Rider imposes whose customers will be provided the dial-up certain obligations on vendors who service from the vendor that the subscriber will: (1) regulatory activities. Neither publication provide a dial-up service. These obtain from each of its customers to whom the of this notice nor the inclusion or obligations require that contracts vendor furnishes the service an agreement that the omission of information in the summary customer will: (a) receive OPRA data only for such is intended to affect the legal status of between vendors and their customers person’s use, (b) not retransmit the data to anyone contain specific provisions, for the else, and (c) acknowledge that OPRA data is the any petition or its final disposition. benefit of OPRA, relating to proprietary property of the respective exchange or market in DATES: Comments on petitions received rights to OPRA data, non-retransmission which a reported transaction occurred or a reported must identify the petition docket quotation was entered; (2) provide to the vendor a of data, the absence of any guarantee of current list of customers entitled to receive the number involved and must be received the data and a disclaimer of liability. service from the vendor and to certify that each on or before December 3, 1997. The proposed amendment to the Rider named customer has entered into the required ADDRESSES: Send comments on any would mandate that vendors require agreement; (3) maintain the same customer records required to be maintained by the vendor with petition in triplicate to: Federal respect to customers; and (4) acknowledge the Aviation Administration, Office of the OPRA Plan are the American Stock Exchange absence of any guarantee and the disclaimer of Chief Counsel, Attn: Rule Docket (AGC– (‘‘AMEX’’); the Chicago Board Options Exchange liability on the part of OPRA, OPRA’s processor and 200), Petition Docket No. llll, 800 (‘‘CBOE’’); the New York Stock Exchange (‘‘NYSE’’); each participating exchange. Independence Avenue, SW., the Pacific Exchange (‘‘PCX’’); and the Philadelphia 4 In approving this rule, the Commission notes Stock Exchange (‘‘Phlx’’). that it has considered the proposed rule’s impact on Washington, DC. 20591. 2 See Exchange Act Release No. 39137 (September efficiency, competition, and capital formation. 15 26, 1997) 62 FR 51707. U.S.C. 78c(f). 517 CFR 200.30–3(a)(29). Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60935

Comments may also be sent Petitioner: National Business Aviation DEPARTMENT OF TRANSPORTATION electronically to the following internet Association, Inc. address: 9–NPRM–CMNTS@faa,dot.gov. Sections of the FAR Affected: 14 CFR Federal Aviation Administration The petition, any comments received, 61.57(b). and a copy of any final disposition are Description of Relief Sought: To Flight Standards District Office at filed in the assigned regulatory docket permit NBAA-member companies to Scottsdale, AZ; Certificate and are available for examination in the meet night takeoff and landing recent Management Office at Phoenix, AZ; Rules Docket (AGC–200), Room 915G, flight experience requirements using a Notice of Consolidation FAA Headquarters Building (FOB 10A), Level C or Level D flight simulator, and Notice is hereby given that on or 800 Independence Avenue, SW., to accomplish the required takeoffs and about November 10, 1997, the Flight Washington, DC, 20591; telephone (202) landings every 180 days rather than Standards District Office at Scottsdale, 267–3132. every 90 days. Arizona and the Certificate Management FOR FURTHER INFORMATION CONTACT: Docket No.: 27052. Office at Phoenix, Arizona will be Heather Thorson, (202) 267–7470 or Petitioner: Petroleum Helicopters, Inc. consolidated as Arizona Flight Angela Anderson (202) 267–9681 Office Sections of the FAR Affected: 14 CFR Standards District Office. Services to the of Rulemaking (ARM–1), Federal 135.143(c). general public of Arizona will continue Aviation Administration, 800 Description of Relief Sought: To to be provided by the new organization Independence Avenue, SW., permit the petitioner to continue to at the same physical locations. This Washington, DC 20591. operate its Bell Model 206L–1 information will be reflected in the FAA This notice is published pursuant to helicopters (Registration Nos. N2761X, Organizational Statement the next time paragraphs (c), (e), and (g) of § 11.27 of N5005B, N50182, and N50046; and it is reissued. Part 11 of the Federal Aviation Serial Nos. 45283, 45175, 45242, 45173, Regulations (14 CFR part 11). respectively) without having a TSO– (Sec. 313(a), 72 Stat. 752; 49 U.S.C. 1354.) C112 (Mode S) transponder installed on Issued in Los Angeles, CA, on October 27, Issued in Washington, D.C., on November 1997. 6, 1997. those aircraft. Lynore C. Brekke, Donald P. Byrne, Docket No.: 29034. Acting Regional Administrator, Western- Assistant Chief Counsel for Regulations. Petitioner: Eagle Jet Charter, Inc. Sections of the FAR Affected: 14 CFR Pacific Region. Petitions for Exemption 93.316(b). [FR Doc. 97–29903 Filed 11–12–97; 8:45 am] Docket No.: 29038. Description of Relief Sought: To BILLING CODE 4910±13±M Petitioner: GE Varig. permit the petitioner to continue to Sections of the FAR Affected: 14 CFR operate its Fokker F–27 turboprop DEPARTMENT OF TRANSPORTATION 145.47(b). aircraft after January 31, 1998, under instrument flight rules in the Grand Description of Relief Sought: To Surface Transportation Board permit the petitioner to substitute the Canyon National Park Special Flight calibration standards of the Instituto rules Area at cruise altitudes of 15,000 [Sec. 5a Application No. 61] Nacional de Metrologia, Normalizac˛a˜o e and 16,000 feet mean sea level without Qualidade Industrial, Brazil’s national those aircraft being listed on its National Classification CommitteeÐ standards organization, for the operations specifications as commercial Agreement calibration standards of the U.S. sightseeing aircraft. AGENCY: Surface Transportation Board, National Institute of Standards and Dispositions of Petitions DOT. Technology to test its inspection ACTION: Request for comments. equipment. Docket No.: 012SW. Petitioner: Frank D. Robinson. Docket No.: 29039. SUMMARY: The Surface Transportation Petitioner: Worldwide Aircraft Sections of the FAR Affected: 14 CFR Board is commencing a proceeding to Services, Inc. 27.1(a). determine whether, under 49 U.S.C. Sections of the FAR Affected: 14 CFR Description of Relief Sought/ 13703(d) and (e), it is in the public 25.807(g)(1), 25.807(i)(1), and 25.857(e). Disposition: To permit certification of interest to renew the bureau agreement Description of Relief Sought: To hydraulically boosted controls on the of the National Classification exempt Worldwide Aircraft Services Model R44 helicopter without the Committee, which administers the from the requirements of 14 CFR necessity of considering the jamming of National Motor Freight Classification. a control valve as a possible single §§ 25.807(g)(1), 25.807(i)(1), and DATES: Written notices of intent to 25.857(e) for the carriage of failure. Grant, October 17, 1997, participate are due by November 28, supernumeraries on Embraer model 120 Exemption No. 6692. 1997. Shortly thereafter, we will serve a airplanes with a Class E cargo Docket No.: 23771. preliminary service list and request for compartment. Petitioner: Cessna Aircraft Company. written corrections. By December 11, Sections of the FAR Affected: 14 CFR Docket No.: 26734. 1997, we will serve any necessary Petitioner: Sierra Industries, Inc. 91.9(a) and 91.531(a)(1) and (2). corrections to the service list. Opening Sections of the FAR Affected: 14 CFR Description of Relief Sought/ comments are due by January 8, 1998. 91.9(a) and 91.531(a)(1) and (2). Disposition: To permit certain qualified Reply comments are due by February 5, Description of Relief Sought: To pilots of Cessna Citation Model 550, 1998. S550, 552, or 560 aircraft to operate permit certain qualified pilots of Cessna ADDRESSES: Send an original and 10 those aircraft without a pilot who is Model 500 Citation (CE–500) airplanes copies of notices of intent to participate designated as second in command. with Supplemental Type Certificate and comments, referring to ‘‘Section 5a Grant, October 28, 1997, Exemption No. (STC) No. SA09377SC to operate those Application No. 61,’’ to: Surface 4050J. airplanes within a pilot who is Transportation Board, Office of the designated as second in command. [FR Doc. 97–29902 Filed 11–12–97; 8:45 am] Secretary, Case Control Unit, 1925 K Docket No.: 29027. BILLING CODE 4910±13±M Street, N.W., Washington, DC 20423. 60936 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

Opening and reply comments must be 1. Does the NCC in fact engage in concerning each proposed collection of served on the persons identified as activities that would violate the information, including each proposed ‘‘parties of record’’ on the service list. antitrust laws in the absence of antitrust revision of a currently approved FOR FURTHER INFORMATION CONTACT: immunity conferred under 49 U.S.C. collection, and allow 60 days for public Joseph H. Dettmar, (202) 565–1600. 13703? comment in response to the notice. This [TDD for the hearing impaired: (202) 2. If the NCC engages in activities that notice solicits comments on 565–1695.] would violate the antitrust laws in the requirements relating to the biennial SUPPLEMENTARY INFORMATION: Under 49 absence of antitrust immunity under survey of individuals holding gravesite U.S.C. 13703, we have the authority to section 13703, does the public interest set-asides in national cemeteries to immunize approved motor carrier require (a) continued exemption of these determine if they wish to retain their bureau agreements from the antitrust activities from antitrust law, subject to set-aside, or wish to relinquish it. laws. One such bureau, the National our regulation, or (b) a regime of DATES: Written comments and Motor Freight Traffic Association, marketplace competition subject to recommendations on the proposed operating through its National antitrust law? Are there ‘‘borderline’’ collection of information should be Classification Committee (NCC), areas of NCC activity that might be received on or before January 12, 1998. administers the National Motor Freight subject to antitrust enforcement in the ADDRESSES: Submit written comments Classification (NMFC). The NMFC absence of immunization under 49 on the collection of information to groups all articles moving by truck into U.S.C. 13703, where the public interest Rosetta Holloway, National Cemetery classes based on their transportation warrants continued antitrust immunity System (402D), Department of Veterans characteristics. The NCC operates for those activities under that section? Affairs, 810 Vermont Avenue, NW., pursuant to a bureau agreement 3. Should we exclude from any Washington, DC 20420. Please refer to approved in National Classification immunity we might confer activities ‘‘OMB Control No. 2900–0546’’ in any Committee—Agreement, 299 I.C.C. 519 that would not violate the antitrust laws correspondence. in the absence of antitrust immunity, so (1956), and renewed in National FOR FURTHER INFORMATION CONTACT: Classification Committee—Agreement, as to avoid confusing the public about Rosetta Holloway at (202) 273–5185. the scope and impact of our regulatory Section 5a Application No. 61 (ICC SUPPLEMENTARY INFORMATION: Under the served May 18, 1987).1 Under 49 U.S.C. jurisdiction? 4. How do the public interests aspects PRA of 1995 (Public Law 104–13; 44 13703(d) and (e), all motor carrier U.S.C., 3501–3520), Federal Agencies bureau agreements will expire on of the NCC’s activities relate to the public interest aspects of the activities must obtain approval from the Office of December 31, 1998, unless we approve Management and Budget (OMB) for each renewal. Renewal of the collective rate of the operating motor carrier rate bureaus, whose renewal is the subject of collection of information they conduct setting bureau agreements of the motor or sponsor. This request for comment is carriers is under investigation in Section the proceedings in Section 5a Application No. 118 (Amendment No. being made pursuant to Section 5a Application No. 118 (Amendment 3506(c)(2)(A) of the PRA. No. 1), et al.2 1), et al., supra? If we decide not to By this notice, we are commencing a renew the rate setting immunity of those With respect to the following separate proceeding to explore whether bureaus, could we, and should we, collection of information, NCS invites we should renew the NCC’s agreement nonetheless continue immunity for comments on: (1) whether the proposed before its statutory expiration. In classification? collection of information is necessary for the proper performance of NCS’s particular, we question whether the Decided: November 5, 1997. NCC needs antitrust immunity given the functions, including whether the By the Board, Chairman Morgan and Vice information will have practical utility; fact that its activities, such as grouping Chairman Owen. freight with common transportation (2) the accuracy of NCS’s estimate of the Vernon A. Williams, burden of the proposed collection of characteristics, publishing bill of lading Secretary. formats, and gathering information, information; (3) ways to enhance the [FR Doc. 97–29901 Filed 11–12–97; 8:45 am] would not, on the surface, appear to quality, utility, and clarity of the involve antitrust violations. The parties BILLING CODE 4915±00±P information to be collected; and (4) are invited to address, and organize ways to minimize the burden of the their discussion of, this and other public collection of information on interest issues by answering the DEPARTMENT OF VETERANS respondents, including through the use following specific questions: AFFAIRS of automated collection techniques or the use of other forms of information [OMB CONTROL NO. 2900±0546] 1 Traditionally, motor carrier rate bureau technology. proceedings have been identified as ‘‘Section 5a’’ Proposed Information Collection Title and Form Number: Adjacent proceedings, in reference to section 5a of the Activity; Proposed Collection; Gravesite Set-Aside Survey (2 Year), VA Interstate Commerce Act as it existed prior to its Comment Request, Revision Form Letter 40–40. 1978 codification as 49 U.S.C. 10706. In the ICC OMB Control Number: 2900–0546. Termination Act of 1995, the statutory provisions Type of Review: Revision of a governing motor carrier rate bureau agreements AGENCY: National Cemetery System, were severed from the rail provisions of section Department of Veterans Affairs. currently approved collection. 10706 and recodified as section 13703. ACTION: Notice. Abstract: In the past, the survey was 2 See the notice published in the Federal Register conducted annually. VA Form Letter on May 20, 1997, at 62 FR 27653, and the Board’s SUMMARY: The National Cemetery 40–40 will be sent biennially (once decisions in those consolidated proceedings served on May 20, 1997, and August 15, 1997. In the System (NCS) is announcing an every two years on a 24 month rotating decision served on August 15, 1997, we denied a opportunity for public comment on the basis) to individuals holding gravesite petition to expand the consolidated proceedings to proposed collection of certain set-asides in national cemeteries to consider whether antitrust immunity should be information by the agency. Under the ascertain their wish to retain their set- continued for activities under the NCC agreement, but stated that we would in the future address Paperwork Reduction Act (PRA) of aside, or wish to relinquish it. The matters relating to antitrust immunity for NCC 1995, Federal agencies are required to collection of information is necessary to activities separately. publish notice in the Federal Register assure that gravesite set-asides are not Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60937 wasted. Some holders become SUPPLEMENTARY INFORMATION: Under the b. The Customer Feedback Surveys ineligible, are buried elsewhere, or PRA of 1995 (Public Law 104–13; 44 are used to implement Title 38, U.S.C., simply wish to cancel a gravesite set- U.S.C., 3501–3520), Federal agencies Section 219, which requires the aside for them. Without this must obtain approval from the Office of Secretary of Veterans Affairs to evaluate information, unused set-asides would Management and Budget (OMB) for each programs and provision of services to exist which could be used by other collection of information they conduct beneficiaries. The information collected veterans. or sponsor. This request for comment is meets management, medical and Affected Public: Individuals or being made pursuant to Section legislative requirements and helps households. 3506(c)(2)(A) of the PRA. assure that the VA maintains a high Estimated Annual Burden: 3,000 With respect to the following quality of care for those who have hours. collection of information, VHA invites served the nation. Estimated Average Burden Per comments on: (1) whether the proposed c. The Dietetic Service Survey is used Respondent: 10 minutes. collection of information is necessary to collect the necessary information to Frequency of Response: Biennially. for the proper performance of VHA’s determine whether improvements are Estimated Number of Annual functions, including whether the needed to enhance the patients’s Respondents: 18,000. information will have practical utility; nutritional therapy. The information Dated: October 17, 1997. (2) the accuracy of VHA’s estimate of will be used to effectively gauge when improvements are needed to enhance By direction of the Secretary. the burden of the proposed collection of information; (3) ways to enhance the patient’s nutritional therapy. The Barbara Epps, quality, utility, and clarity of the information obtained through the survey Management Analyst, Information information to be collected; and (4) way will have practical utility at all levels of Management Service. to minimize the burden of the collection the program to plan and redirect [FR Doc. 97–29785 Filed 11–12–97; 8:45 am] of information on respondents, resources and efforts to improve or BILLING CODE 8320±01±M including through the use of automated maintain a high quality of service. collection techniques or the use of other Affected Public: Individuals or forms of information technology. households. DEPARTMENT OF VETERANS Estimated Annual Burden: 87,032 AFFAIRS Title: National Customer Feedback Surveys. total hours. a. Prosthetic Patient Satisfaction [OMB Control No. 2900±0227] Survey Instruments and Form Numbers: a. Prosthetic Patient Survey—1,557 hours. b. Customer Feedback Surveys: Proposed Information Collection Satisfaction Survey, VA Form 10– Nationwide Inpatient Survey—8,452 Activity: Proposed Collection; 0142B. hours; Mental health Insert—4,226 Comment Request; Revision b. Customer Feedback Surveys, VA hours; Nationwide Outpatient Survey— Form 10–1465 (Series): Nationwide AGENCY: 6,875 hours; Health Update Insert— Veterans Health Inpatient Survey, VA Form 10–1465–1; 6,875 hours; Persian Gulf Patient Administration, Department of Veterans Mental Health Insert, VA Form 10– Inpatient Survey—12,500 hours; Persian Affairs. 1465–2; Nationwide Outpatient Survey, Gulf Patient Outpatient Survey—12,500 ACTION: Notice. VA Form 10–1465–3; Health Update hours; Spinal Cord Injury Inpatient Insert, VA Form 10–1465–4; Persian SUMMARY: The Veterans Health Survey—1,875 hours; Spinal Cord Gulf Patient Survey Inpatient, VA Form Administration (VHA) is announcing an Injury Outpatient Survey—1,875 hours; 10–1465–5; Persian Gulf Patient Survey opportunity for public comment on the Home Based Primary Care Survey—627 Inpatient, VA Form 10–1465–5; Persian proposed collection of certain hours; Nursing Home Care Survey— Gulf Patient Survey Outpatient, VA information by the agency. Under the 1,333 hours; Women Veterans Patient Form 10–1465–6; Spinal Cord Injury Paperwork Reduction Act (PRA) of Survey—1,250 hours; Ambulatory Care Inpatient Survey, VA Form 10–1465–7; 1995, Federal agencies are required to Team Survey—22,500 hours. Spinal Cord Injury Outpatient Survey, publish notice of the Federal Register c. Dietetic Service Survey—4,587 VA Form 10–1465–8; Home Based concerning each proposed collection of hours. Primary Care, VA Form 10–1465–9; information, including each proposed Estimated Average Burden Per Nursing Home Care, VA Form 10–1465– revision of a currently approved Respondent. a. Prosthetic Patient 10; Women Veterans Patient Survey, VA collection, and allow 60 days for public Satisfaction Survey—3 minutes. Form 10–1465–11; Ambulatory Care comment in response to the notice. This b. Customer Feedback Surveys: Team, VA Form 10–1465–12. notice solicits comments on VHA’s Nationwide Inpatient Survey—15 c. Dietetic Service Survey, VA Form National Customer Feedback Surveys. minutes; Mental Health Insert—7.5 10–5387. minutes; Nationwide Outpatient DATES: Written comments and OMB Control Number: 2900–0227. recommendations on the proposed Survey—15 minutes; Health Update Type of Review: Extension of a Insert—15 minutes; Persian Gulf Patient collection of information should be currently approved collection. received on or before January 12, 1998. Inpatient Survey—30 minutes; Persian Abstract: a. The Prosthetic Patient Gulf Patient Outpatient Survey—30 ADDRESSES: Submit written comments Satisfaction Survey is used to minutes; Spinal Cord Injury Inpatient on the collection to Ann Bickoff, systematically obtain information from Survey—22 minutes; Spinal Cord Injury Veterans health Administration prosthetic patients that can be used to Outpatient Survey—22 minutes; Home (161A1), Department of Veterans identify problems or complaints that Based Primary Care Survey—15 Affairs, 810 Vermont Avenue, NW, need attention and to improve the minutes; Nursing Home Care Survey— Washington, DC 20420. Please refer to quality of prosthetic services. The 20 minutes; Women Veterans Patient ‘‘OMB Control No. 2900–0227’’ in any information obtained from the survey Survey—15 minutes; Ambulatory Care correspondence. will be integrated into each VA filed Team Survey—15 minutes. FOR FURTHER INFORMATION CONTACT: facility’s overall Quality Management c. Dietetic Service Survey—2 minutes. Ann Bickoff at (202) 273–8310. Program. Frequency of Response: On occasion. 60938 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

Estimated Number of Respondents: 103–446, gives notice that a meeting of open to the public, up to the seating 349,673. a. Prosthetic Patient the Advisory Committee on Minority capacity of the meeting room. Because Satisfaction Survey—31,145. Veterans will be held from Monday, seating is limited, it will be necessary b. Customer Feedback Surveys: December 8, 1997, through Wednesday, for those wishing to attend to contact Nationwide Inpatient Survey—33,810; December 10, 1997, in Washington, DC. Mrs.Crystal Lawrence-Greenwell, Mental Health Insert—33,810; The purpose of the Advisory Committee Department of Veterans Affairs (phone Nationwide Outpatient Survey—27,500; on Minority Veterans is to advise the (202) 273–6708) prior to December 5, Health Update Insert—27,500; Persian Secretary of Veterans Affairs on the 1997. No time will be allocated for the Gulf Patient Inpatient Survey—25,000; administration of VA benefits and purpose of receiving oral presentations Persian Gulf Patient Outpatient services for minority veterans, to assess from the public. However, the Survey—25,000; Spinal Cord Injury the needs of minority veterans and to Inpatient Survey—5,000; Spinal Cord Committee will accept appropriate evaluate whether VA compensation, written comments from interested Injury Outpatient Survey—5,000; Home medical and rehabilitation services, parties on issues affecting minority Based Primary Care Survey—2,507; outreach, and other programs are veterans. Such comments should be Nursing Home Care Survey—4,000; meeting those needs. The Committee Women Veterans Patient Survey—5,000; will make recommendations to the referred to the Committee at the Ambulatory Care Team Survey—90,000. Secretary regarding such activities. following address: Advisory Committee c. Dietetic Service Survey—34,400. on Minority Veterans, Center for The meeting will convene in room Minority Veterans (00M), U.S. Dated: October 17, 1997. 230, VA Central Office (VACO) Department of Veterans Affairs, 810 By direction of the Secretary. Building, 810 Vermont Avenue, NW, Barbara Epps, Washington, DC, from 8:30 A.M. to 5:00 Vermont Avenue, NW, Washington, DC Management Analyst, Information P.M. On Monday, December 8, the 20420. Management Service. Committee will receive an orientation Dated: November 5, 1997. [FR Doc. 97–29786 Filed 11–12–97; 8:45 am] on its duties and responsibilities. On By Direction of the Acting Secretary. BILLING CODE 8320±01±M Tuesday, December 9, the Committee Heyward Bannister, will review the implementation plan for Committee Management Officer the 63 recommendations contained in DEPARTMENT OF VETERANS its third Annual Report. The Committee [FR Doc. 97–29787 Filed 11–12–97; 8:45 am] AFFAIRS will also finalize plans for each BILLING CODE 8320±01±M Advisory Committee on Minority subcommittee and set the agenda for the Veterans, Notice of Meeting coming year. On Wednesday, December 10, the Subcommittees will examine The Department of Veterans Affairs issues germane to their assigned areas of (VA), in accordance with Public Law responsibility. These sessions will be 60939

Corrections Federal Register Vol. 62, No. 219

Thursday, November 13, 1997

This section of the FEDERAL REGISTER contains editorial corrections of previously published Presidential, Rule, Proposed Rule, and Notice documents. These corrections are prepared by the Office of the Federal Register. Agency prepared corrections are issued as signed documents and appear in the appropriate document categories elsewhere in the issue.

DEPARTMENT OF TRANSPORTATION Coast Guard 46 CFR Part 27 [CGD 97-064] RIN 2115-AF-53

Towing Vessel Safety Correction In proposed rule document 97–26304 beginning on page 52057, in the issue of Monday, October 6, 1997, make the following correction: § 27.325 [Corrected] On page 52069, in the third column, in § 27.325(a), in the third line from the bottom, ‘‘or’’ should read ‘‘and’’. BILLING CODE 1505-01-D federal register November 13,1997 Thursday Notice on DisabilityandRehabilitationResearch; Rehabilitative ServicesNationalInstitute Office ofSpecialEducationand Education Department of Part II 60941 60942 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

DEPARTMENT OF EDUCATION The same Federal Register included a and skills necessary to compete in a notice of final funding priority global economy and exercise the rights [CFDA Nos.: 84.133A and 84.133B] establishing the required activities for and responsibilities of citizenship. Office of Special Education and an RRTC on Medical Rehabilitation The estimated funding levels in this Rehabilitative Services National Services and Outcomes (62 FR 37646). notice do not bind the Department of Institute on Disability and There were no satisfactory applications Education to make awards in any of Rehabilitation Research received for this RRTC. these categories, or to any specific There is a continuing need for these number of awards or funding levels, Subject: Notice Reinviting RRTCs and D&U projects. The purpose unless otherwise specified in statute. Applications for New Awards Under the of this notice is to reinvite applications Applicable Regulations: The for these projects for FY 1998. Disability and Rehabilitation Research Education Department General On February 6, 1997 NIDRR Project and Centers Program for Fiscal Administrative Regulations (EDGAR), published in the Federal Register Year (FY) 1998. 34 CFR Parts 74, 75, 77, 80, 81, 82, 85, Purpose: On May 9, 1997 a notice was regulations consolidating a number of regulations governing NIDRR’s existing 86, and 350. published in the Federal Register Program Title: Disability and inviting applications for new awards programs, including, but not limited to, Parts 350 (General Provisions), 352 Rehabilitation Research Project and under the Rehabilitation Research and Centers Program. Training Center (RRTC) program and (Rehabilitation Research and Training CFDA Numbers: 84.133A and Knowledge Dissemination and Centers), and 355 (Knowledge 84.133B. Utilization Program (D&U) for fiscal year Dissemination and Utilization 1997 (62 FR 25770). The same Federal Programs) (62 FR 5712). These new Purpose Of Program: The purpose of Register included a notice of final regulations took effect on October 1, the Disability and Rehabilitation funding priorities establishing the 1997 and apply to this competition. The Research Project and Centers Program is required activities for the RRTCs and new regulations include a new menu of to plan and conduct research, D&U projects (62 FR 25760). There were selection criteria (34 CFR 350.54) for use demonstration projects, training, and no satisfactory applications received for in evaluating all applications. NIDRR related activities, including an RRTC on effective interventions for has drawn from this menu of selection international activities, develop children and youth who exhibit severe criteria to establish the specific methods, procedures, and rehabilitation selection criteria that will be used to problem behaviors (62 FR 25767) and a technology, that maximize the full evaluate applications for the four D&U project on improving the inclusion and integration into society, priorities included in this notice utilization of existing and emerging employment, independent living, family reinviting applications. In addition, rehabilitation technology in State support, and economic and social self- because Part 355 was consolidated into vocational rehabilitation programs (62 sufficiency of individuals with Part 350, the final priorities established FR 25769). disabilities, especially individuals with for D&U projects in FY 1997 will be On July 1, 1997 a notice was the most severe disabilities. In addition, used for equivalent training, published in the Federal Register the purpose of the Disability and dissemination, and technical assistance inviting applications for a new award Rehabilitation Research Project and projects in FY 1998. under the D&U program (62 FR 35644). Centers Program is to improve the The same Federal Register included a Note To Applicants: This notice is a effectiveness of services authorized notice of final funding priority complete application package. Together with under the Act. the statute authorizing the programs and establishing the required activities for a Eligible Applicants: Parties eligible to applicable regulations governing the apply for grants under this program are D&U project on Parenting with a programs, including the Education Disability Technical Assistance Center Department General Administrative States; public or private agencies, (62 FR 35643). There were no Regulations (EDGAR), this notice contains including for-profit agencies; public or satisfactory applications received for information, application forms, and private organizations, including for- this project. instructions needed to apply for a grant profit organizations; institutions of On July 14, 1997 a notice was under these competitions. higher education; and Indian tribes and published in the Federal Register These programs support the National tribal organizations. inviting applications for a new award Education Goal that calls for all Program Authority: 29 U.S.C. 762 (a) and under the RRTC program (62 FR 37650). Americans to possess the knowledge (b)(6).

APPLICATION NOTICE FOR FISCAL YEAR 1998 DISABILITY AND REHABILITATION RESEARCH PROJECTS, CFDA NO. 84± 133A

Deadline for Estimated Maximum Funding priority transmittal of number of award amount Project period applications awards (per year)* (months)

(1). Improving the Utilization of Emerging and Existing Rehabilitation Tech- nology in State VR Programs ...... 1/12/98 1 $500,000 60 (2). Parenting with a Disability Technical Assistance Center ...... 1/12/98 1 500,000 60

*NOTE: The Secretary will reject without consideration or evaluation any application that proposes a project funding level that exceeds the stat- ed maximum award amount per year (See 34 CFR 75.104(b)).

Priority 1: The final priority on published in the Federal Register on Priority 2: The final priority on improving the utilization of existing and May 9, 1997 applies to this competition parenting with a disability technical emerging rehabilitation technology in (62 FR 25769). assistance center published in the State vocational rehabilitation programs Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60943

Federal Register on July 1, 1997 applies (iii) The extent to which the materials is adequately justified to support the to this competition (62 FR 35643). and information to be disseminated and proposed project activities (2 point). Selection Criteria: The Secretary uses the methods for dissemination are (j) Plan of evaluation (7 points total). the following selection criteria to appropriate to the target population, (i) The extent to which the plan of evaluate applications for a Training, including consideration of the evaluation provides for periodic Dissemination, and Technical familiarity of the target population with assessment of progress toward— Assistance Project on improving the the subject matter, format of the (A) Implementing the plan of utilization of existing and emerging information, and subject matter (7 operation (1 point); and rehabilitation technology in State points). (B) Achieving the project’s intended vocational rehabilitation programs and a (iv) The extent to which the outcomes and expected impacts (1 Technical Assistance Center on information to be disseminated will be point). parenting with a disability under the accessible to individuals with Disability and Rehabilitation Research disabilities (3 points). (ii) The extent to which the plan of Project and Centers Program. (e) Design of utilization activities (8 evaluation will be used to improve the (a) Importance of the problem (9 points total). performance of the project through the points total). (i) The extent to which the utilization feedback generated by its periodic (i) The extent to which the applicant strategies are likely to be effective (8 assessments (1 point). clearly describes the need and target points). (iii) The extent to which the plan of population (3 points). (f) Design of technical assistance evaluation provides for periodic (ii) The extent to which the proposed activities (10 points total). assessment of a project’s progress that is activities address a significant need of (i) The extent to which the methods based on identified performance those who provide services to for providing technical assistance are of measures that— individuals with disabilities (3 points). sufficient quality, intensity, and (A) Are clearly related to the intended (iii) The extent to which the proposed duration (3 points). outcomes of the project and expected project will have beneficial impact on (ii) The extent to which the impacts on the target population (2 the target population (3 points). information to be provided through points); and (b) Responsiveness to an absolute or technical assistance covers all of the (B) Are objective, and quantifiable or competitive priority (4 points total). relevant aspects of the subject matter (2 qualitative, as appropriate (2 points). (i) The extent to which the applicant points). (k) Project staff (9 points total). addresses all requirements of the (iii) The extent to which the technical (i) The extent to which the applicant absolute or competitive priority (2 assistance is appropriate to the target encourages applications for employment points). population, including consideration of from persons who are members of (ii) The extent to which the the knowledge level of the target groups that have traditionally been applicant’s proposed activities are likely population, needs of the target underrepresented based on race, color, to achieve the purposes of the absolute population, and format for providing national origin, gender, age, or disability or competitive priority (2 points). information (3 points). (2 points). (c) Design of training activities (13 (iv) The extent to which the technical (ii) The extent to which the key points total). assistance is accessible to individuals personnel and other key staff have (i) The extent to which the proposed with disabilities (2 points). appropriate training and experience in training materials are likely to be (g) Plan of operation (6 points total). disciplines required to conduct all effective, including consideration of (i) The adequacy of the plan of proposed activities (2 points). their quality, clarity, and variety (4 operation to achieve the objectives of (iii) The extent to which the points). the proposed project on time and within commitment of staff time is adequate to (ii) The extent to which the proposed budget, including clearly defined accomplish all the proposed activities of training methods are of sufficient responsibilities, and timelines for the project (2 points). quality, intensity, and duration (3 accomplishing project tasks (3 points). points). (ii) The adequacy of the plan of (iv) The extent to which the key (iii) The extent to which the proposed operation to provide for using resources, personnel are knowledgeable about the training materials, methods, and content equipment, and personnel to achieve methodology and literature of pertinent are appropriate to the trainees, each objective (3 points). subject areas (2 points). including consideration of the skill level (h) Collaboration (2 points total). (v) The extent to which key personnel of the trainees and the subject matter of (i) The extent to which the applicant’s have up-to-date knowledge from the materials (4 points). proposed collaboration with one or research or effective practice in the (iv) The extent to which the proposed more agencies, organizations, or subject area covered in the priority (1 training materials and methods are institutions is likely to be effective in point). accessible to individuals with achieving the relevant proposed (l) Adequacy and accessibility of disabilities (2 points). activities of the project (1 point). resources (4 points total). (d) Design of dissemination activities (ii) The extent to which agencies, (i) The extent to which the applicant (24 points total). organizations, or institutions is committed to provide adequate (i) The extent to which the materials demonstrate a commitment to facilities, equipment, other resources, to be disseminated are likely to be collaborate with the applicant (1 point). including administrative support, and effective and usable, including (i) Adequacy and reasonableness of laboratories, if appropriate (2 points). consideration of their quality, clarity, the budget (4 points total). (ii) The extent to which the facilities, variety, and format (7 points). (i) The extent to which the costs are equipment, and other resources are (ii) The extent to which the methods reasonable in relation to the proposed appropriately accessible to individuals for dissemination are of sufficient project activities (2 point). with disabilities who may use the quality, intensity, and duration (7 (ii) The extent to which the budget for facilities, equipment, and other points). the project, including any subcontracts, resources of the project (2 points). 60944 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

APPLICATION NOTICE FOR FISCAL YEAR 1998 REHABILITATION RESEARCH AND TRAINING CENTERS, CFDA NO. 84±133B

Deadline for Estimated Maximum Funding priority transmittal of number of award amount Project period applications awards (per year) * (months)

3.) Effective Interventions for Children and Youth who Exhibit Severe Prob- lem Behaviors ...... 1/12/98 1 $600,000 60 4.) Medical Rehabilitation Services and Outcomes ...... 1/12/98 1 950,000 60

*NOTE: The Secretary will reject without consideration or evaluation any application that proposes a project funding level that exceeds the stat- ed maximum award amount per year (See 34 CFR 75.104(b)).

Priority 3: The RRTC final priority on knowledge of the state-of-the-art (5 (A) Covers all of the relevant aspects effective interventions for children and points); of the subject matter (1 point); and youth who exhibit severe problem (B) Each research hypothesis is (B) If appropriate, is based on new behaviors published in the Federal theoretically sound and based on knowledge derived from research Register on May 9, 1997 applies to this current knowledge (5 points); activities of the project (1 point). competition (62 FR 25767). (C) Each sample population is (ii) The extent to which the materials Priority 4: The RRTC final priority on appropriate and of sufficient size (5 to be disseminated are likely to be medical rehabilitation services and points); effective and usable, including outcomes published in the Federal (D) The data collection and consideration of their quality, clarity, Register on July 14, 1997 applies to this measurement techniques are variety, and format (2 points). competition (62 FR 37646). appropriate and likely to be effective (5 (iii) The extent to which the methods Selection Criteria: The Secretary uses points); and for dissemination are of sufficient the following selection criteria to (E) The data analysis methods are quality, intensity, and duration (2 evaluate applications for an RRTC on appropriate (5 points). points). effective interventions for children and (iii) The extent to which anticipated (iv) The extent to which the materials youth who exhibit severe problem research results are likely to satisfy the and information to be disseminated and behaviors and an RRTC on medical original hypotheses and could be used the methods for dissemination are rehabilitation services and outcomes for planning additional research, appropriate to the target population, under the Disability and Rehabilitation including generation of new hypotheses including consideration of the Research Project and Centers Program. where applicable (5 points). familiarity of the target population with (a) Importance of the problem (9 (d) Design of training activities (11 the subject matter, format of the points total). points total). information, and subject matter (1 (i) The extent to which the proposed (i) The extent to which the applicant point). training materials are likely to be clearly describes the need and target (v) The extent to which the effective, including consideration of population (3 points). information to be disseminated will be their quality, clarity, and variety (2 (ii) The extent to which the proposed accessible to individuals with points). activities address a significant need of disabilities (1 point). (ii) The extent to which the proposed (f) Design of technical assistance those who provide services to training methods are of sufficient activities (4 points total). individuals with disabilities (3 points). quality, intensity, and duration (2 (i) The extent to which the methods (iii) The extent to which the proposed points). for providing technical assistance are of project will have beneficial impact on (iii) The extent to which the proposed sufficient quality, intensity, and the target population (3 points). training content— duration (1 point). (b) Responsiveness to an absolute or (A) Covers all of the relevant aspects (ii) The extent to which the competitive priority (4 points total). of the subject matter (1 point); and information to be provided through (i) The extent to which the applicant (B) If relevant, is based on new technical assistance covers all of the addresses all requirements of the knowledge derived from research relevant aspects of the subject matter (1 absolute or competitive priority (2 activities of the proposed project (1 point). points). point). (iii) The extent to which the technical (ii) The extent to which the (iv) The extent to which the proposed assistance is appropriate to the target applicant’s proposed activities are likely training materials, methods, and content population, including consideration of to achieve the purposes of the absolute are appropriate to the trainees, the knowledge level of the target or competitive priority (2 points). including consideration of the skill level population, needs of the target (c) Design of research activities (35 of the trainees and the subject matter of population, and format for providing points total). the materials (2 points). information (1 point). (i) The extent to which the research (v) The extent to which the proposed (iv) The extent to which the technical activities constitute a coherent, training materials and methods are assistance is accessible to individuals sustained approach to research in the accessible to individuals with with disabilities (1 point). field, including a substantial addition to disabilities (1 point). (g) Plan of operation (4 points total). the state-of-the-art (5 points). (vi) The extent to which the applicant (i) The adequacy of the plan of (ii) The extent to which the is able to carry out the training operation to achieve the objectives of methodology of each proposed research activities, either directly or through the proposed project on time and within activity is meritorious, including another entity (2 points). budget, including clearly defined consideration of the extent to which— (e) Design of dissemination activities responsibilities, and timelines for (A) The proposed design includes a (8 points total). accomplishing project tasks (2 points). comprehensive and informed review of (i) The extent to which the content of (ii) The adequacy of the plan of the current literature, demonstrating the information to be disseminated— operation to provide for using resources, Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60945 equipment, and personnel to achieve (v) The extent to which the project If using a proportional computer font, each objective (2 points). staff includes outstanding scientists in an applicant must use a font no smaller (h) Collaboration (2 points total). the field (2 points). than a 12-point font and an average (i) The extent to which the applicant’s (l) Adequacy and accessibility of character density no greater than 14 proposed collaboration with one or resources (4 points). characters per inch. If using a more agencies, organizations, or (i) The extent to which the applicant nonproportional font or typewriter, an institutions is likely to be effective in is committed to provide adequate applicant must use more no than 12 achieving the relevant proposed facilities, equipment, other resources, characters per inch. activities of the project (1 point). including administrative support, and The one-page abstract, resume(s), (ii) The extent to which agencies, laboratories, if appropriate (1 point). bibliography, or letters of support, while organizations, or institutions (ii) The extent to which the applicant considered part of the application, are demonstrate a commitment to has appropriate access to clinical not subject to the page limitation, collaborate with the applicant (1 point). populations and organizations double spacing, and font requirements. (i) Adequacy and reasonableness of representing individuals with Applicants should note that reviewers the budget (3 points total). disabilities to support advanced clinical are not required to review any (i) The extent to which the costs are rehabilitation research (2 points). information provided in addition to the reasonable in relation to the proposed (iii) The extent to which the facilities, application information listed above. project activities (1 point). equipment, and other resources are Note: The Secretary will reject without (ii) The extent to which the budget for appropriately accessible to individuals consideration or evaluation any application the project, including any subcontracts, with disabilities who may use the that does not adhere to these page limit, is adequately justified to support the facilities, equipment, and other double-spacing, and font requirements. proposed project activities (2 points). resources of the project (1 point). Instructions for Transmittal of (j) Plan of evaluation (7 points total). Applications (i) The extent to which the plan of Instructions For Application Narrative evaluation provides for periodic The Secretary strongly recommends (a) If an applicant wants to apply for assessment of progress toward— that applicants include a one-page a grant, the applicant shall— (A) Implementing the plan of abstract in their application. (1) Mail the original and two copies operation (1 point); and of the application on or before the Strict Page Limits (B) Achieving the project’s intended deadline date to: U.S. Department of outcomes and expected impacts (1 Part III of the application, the Education, Application Control Center, point). Application Narrative, requires Attention: (CFDA # [Applicant must (ii) The extent to which the plan of applicants to address the selection insert number and letter]), Washington, evaluation will be used to improve the criteria that will be used by reviewers in D.C. 20202–4725, or performance of the project through the evaluating individual proposals. The (2) Hand deliver the original and two feedback generated by its periodic applicant for an RRTC must limit Part copies of the application by 4:30 p.m. assessments (1 point). III—Application Narrative to no more [Washington, D.C. time] on or before the (iii) The extent to which the plan of than 125 double-spaced 81⁄2×11′′ pages deadline date to: U.S. Department of evaluation provides for periodic (on one side only) with one inch Education, Application Control Center, assessment of a project’s progress that is margins (top, bottom, and sides). The Attention: (CFDA # [Applicant must based on identified performance applicant for a Training, Dissemination insert number and letter]), Room #3633, measures that— and Technical Assistance Project on Regional Office Building #3, 7th and D (A) Are clearly related to the intended improving the utilization of existing and Streets, S.W., Washington, D.C. outcomes of the project and expected emerging rehabilitation technology in (b) An applicant must show one of the impacts on the target population (2 State vocational rehabilitation programs, following as proof of mailing: points); and or a Technical Assistance Center on (1) A legibly dated U.S. Postal Service (B) Are objective, and quantifiable or parenting with a disability must limit postmark. qualitative, as appropriate (2 points). Part III—Application Narrative to no (2) A legible mail receipt with the (k) Project staff (9 points total). more than 75 double-spaced 81⁄2×11′′ date of mailing stamped by the U.S. (i) The extent to which the applicant pages (on one side only) with one inch Postal Service. encourages applications for employment margins (top, bottom, and sides). (3) A dated shipping label, invoice, or from persons who are members of These page limitations applies to all receipt from a commercial carrier. groups that have traditionally been materials presented in the application (4) Any other proof of mailing underrepresented based on race, color, narrative—including, for example, any acceptable to the Secretary. national origin, gender, age, or disability charts, tables, figures, and graphs. The (c) If an application is mailed through (1 points). application narrative page limit does not the U.S. Postal Service, the Secretary (ii) The extent to which the key apply to: Part I—the electronically does not accept either of the following personnel and other key staff have scannable form; Part II—the budget as proof of mailing: appropriate training and experience in section (including the narrative budget (1) A private metered postmark. disciplines required to conduct all justification); and Part IV—the (2) A mail receipt that is not dated by proposed activities (2 points). assurances and certifications. the U.S. Postal Service. (iii) The extent to which the All sections of text in the application Notes: (1) The U.S. Postal Service does not commitment of staff time is adequate to narrative must be double-spaced (no uniformly provide a dated postmark. Before accomplish all the proposed activities of more than 3 lines per vertical inch). The relying on this method, an applicant should the project (2 points). double-spacing requirement applies to check with its local post office. (iv) The extent to which the key EVERY line on a page, including every (2) An applicant wishing to know that personnel are knowledgeable about the line in the title, headings, footnotes, its application has been received by the methodology and literature of pertinent quotations, references, figure captions, Department must include with the subject areas (2 points). and all parts of tables. application a stamped self-addressed 60946 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices postcard containing the CFDA number Individuals with disabilities may Frequent Questions and title of this program. obtain a copy of the application package 1. Can I Get an Extension of the Due (3) The applicant must indicate on the in an alternate format by contacting the Date? envelope and—if not provided by the GCST. However, the Department is not Department—in Item 10 of the able to reproduce in an alternate format No! On rare occasions the Department Application for Federal Assistance the standard forms included in the of Education may extend a closing date (Standard Form 424) the CFDA application package. for all applicants. If that occurs, a notice of the revised due date is published in number—and letter, if any—of the FOR FURTHER INFORMATION CONTACT: competition under which the Donna Nangle, U.S. Department of the Federal Register. However, there are application is being submitted. Education, 600 Maryland Avenue, S.W., no extensions or exceptions to the due room 3418, Switzer Building, date made for individual applicants. Application Forms and Instructions Washington, D.C. 20202–2645. 2. What Should be Included in the The appendix to this application is Telephone: (202) 205-5880. Individuals Application? divided into four parts. These parts are who use a telecommunications device The application should include a organized in the same manner that the for the deaf (TDD) may call the TDD project narrative, vitae of key personnel, submitted application should be number at (202) 205–2742. and a budget, as well as the Assurances organized. These parts are as follows: PART I: Application for Federal Assistance Internet: Donna—[email protected] forms included in this package. Vitae of (Standard Form 424 (Rev. 4–88)) and staff or consultants should include the Individuals with disabilities may individual’s title and role in the instructions. obtain this document in an alternate PART II: Budget Form—Non-Construction proposed project, and other information format(e.g., Braille, large print, Programs (Standard Form 524A) and that is specifically pertinent to this instructions. audiotape, or computer diskette) on proposed project. The budgets for both PART III: Application Narrative. request to the contact person listed in the first year and all subsequent project the preceding paragraph. Additional Materials years should be included. Electronic Access to This Document If collaboration with another Estimated Public Reporting Burden. organization is involved in the proposed Anyone may view this document, as Note to Applicants activity, the application should include well as all other Department of assurances of participation by the other Assurances—Non-Construction Education documents published in the parties, including written agreements or Programs (Standard Form 424B). Federal Register, in text or portable assurances of cooperation. It is not Certification Regarding Lobbying, document format (pdf) on the World Debarment, Suspension, and Other useful to include general letters of Wide Web at either of the following support or endorsement in the Responsibility Matters: and Drug-Free sites: Work-Place Requirements (ED Form 80– application. http://ocfo.ed.gov/fedreg.htm 0013). If the applicant proposes to use Certification Regarding Debarment, 5http://www.ed.gov/news.html unique tests or other measurement Suspension, Ineligibility and Voluntary To use the pdf you must have the Adobe instruments that are not widely known Exclusion: Lower Tier Covered Acrobat Reader Program with Search, in the field, it would be helpful to Transactions (ED Form 80–0014) and which is available free at either of the include the instrument in the instructions. preceding sites. If you have questions application. about using the pdf, call the U.S. Many applications contain Note: ED Form GCS–014 is intended for the Government Printing Office toll free at voluminous appendices that are not use of primary participants and should not be helpful and in many cases cannot even transmitted to the Department. 1–888–293–6498. Anyone may also view these be mailed to the reviewers. It is Disclosure of Lobbying Activities documents in text copy only on an generally not helpful to include such (Standard Form LLL (if applicable) and electronic bulletin board of the things as brochures, general capability instructions; and Disclosure Lobbying Department. Telephone: (202) 219–1511 statements of collaborating Activities Continuation Sheet (Standard or, toll free, 1–800–222–4922. The organizations, maps, copies of Form LLL-A). documents are located under Option publications, or descriptions of other An applicant may submit information projects completed by the applicant. on a photostatic copy of the application G—Files/Announcements, Bulletins and and budget forms, the assurances, and Press Releases. 3. What Format Should be Used for the the certifications. However, the Note: The official version of this document Application? application form, the assurances, and is the document published in the Federal NIDRR generally advises applicants the certifications must each have an Register. that they may organize the application Program Authority: 29 U.S.C. 760–762. original signature. No grant may be to follow the selection criteria that will awarded unless a completed application Dated: November 6, 1997. be used. The specific review criteria form has been received. Judith E. Heumann, vary according to the specific program, For Applications Contact: The Grants Assistant Secretary for Special Education and and are contained in this Consolidated and Contracts Service Team (GCST), Rehabilitative Services. Application Package. Department of Education, 600 Appendix—Application Forms and Independence Avenue S.W., Switzer 4. May I Submit Applications to More Instructions Building, 3317, Washington, D.C. 20202, Than One NIDRR Program Competition or call (202) 205–8207. Individuals who Applicants are advised to reproduce or More Than One Application to a use a telecommunications device for the and complete the application forms in Program? deaf (TDD) may call the TDD number at this Section. Applicants are required to Yes, you may submit applications to (202) 205–9860. The preferred method submit an original and two copies of any program for which they are for requesting information is to FAX each application as provided in this responsive to the program requirements. your request to (202) 205–8717. Section. You may submit the same application to Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60947 as many competitions as you believe However, individuals are the only well. For the purpose of estimating a appropriate. You may also submit more entities eligible to apply for fellowships. project start date, the applicant should than one application in any given estimate approximately six months from 8. Can NIDRR Staff Advise Me Whether competition. the closing date, but no later than the My Project Is of Interest to NIDRR or following September 30. 5. What is the Allowable Indirect Cost Likely To Be Funded? Rate? No. NIDRR staff can advise you of the 11. Can I Call NIDRR To Find Out If My Application Is Being Funded? The limits on indirect costs vary requirements of the program in which according to the program and the type you propose to submit your application. No. When NIDRR is able to release of application. However, staff cannot advise you of information on the status of grant An applicant for a Training, whether your subject area or proposed applications, it will notify applicants by Dissemination, and Technical approach is likely to receive approval. letter. The results of the peer review Assistance project or a Technical 9. How Do I Assure That My cannot be released except through this Assistance Center should limit indirect Application Will Be Referred to the formal notification. charges to the organization’s approved Most Appropriate Panel for Review? 12. If My Application Is Successful, Can indirect cost rate. If the organization Applicants should be sure that their I Assume I Will Get the Requested does not have an approved indirect cost applications are referred to the correct Budget Amount in Subsequent Years? rate, the application should include an competition by clearly including the No. Funding in subsequent years is estimated actual rate. competition title and CFDA number, subject to availability of funds and An applicant for an RRTC is limited including alphabetical code, on the project performance. to an indirect cost rate of 15 percent. Standard Form 424, and including a 6. Can Profitmaking Businesses Apply project title that describes the project. 13. Will All Approved Applications be funded for Grants? 10. How Soon After Submitting My Yes. However, for-profit organizations Application Can I Find Out If It Will Be No. It often happens that the peer will not be able to collect a fee or profit Funded? review panels approve for funding more on the grant, and in some programs will The time from closing date to grant applications than NIDRR can fund be required to share in the costs of the award date varies from program to within available resources. Applicants project. program. Generally speaking, NIDRR who are approved but not funded are endeavors to have awards made within encouraged to consider submitting 7. Can Individuals Apply for Grants? five to six months of the closing date. similar applications in future No. Only organizations are eligible to Unsuccessful applicants generally will competitions. apply for grants under NIDRR programs. be notified within that time frame as BILLING CODE 4000±01±P 60948 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60949 60950 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60951 60952 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

BILLING CODE 4000±01±C Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60953

Public reporting burden for these person) to include in its application a describe in its application how it collections of information is estimated description of the steps the applicant intends to distribute a brochure about to average 30 hours per response, proposes to take to ensure equitable the proposed project to such potential including the time for reviewing access to, and participation in, its participants in their native language. instructions, searching existing data federally assisted program for students, (2) An applicant that proposes to sources, gathering and maintaining the teachers, and other program develop instructional materials for data needed, and completing and beneficiaries with special needs. classroom use might describe how it reviewing the collection of information. This section allows applicants will make the materials available on Send comments regarding this burden discretion in developing the required audio tape or in braille for students who estimate or any other aspect of these description. The statute highlights six are blind. collections of information, including types of barriers that can impede suggestions for reducing this burden, to: equitable access or participation that (3) An applicant that proposes to the U.S. Department of Education, you may address: gender, race, national carry out a model science program for Information Management and origin, color, disability, or age. Based on secondary students and is concerned Compliance Division, Washington, D.C. local circumstances, you can determine that girls may be less likely than boys 20202–4651; and to the Office of whether these or other barriers may to enroll in the course, might indicate Management and Budget, Paperwork prevent your students, teachers, etc. how it tends to conduct ‘‘outreach’’ Reduction Project 1820–0027, from equitable access or participation. efforts to girls, to encourage their Washington, D.C. 20503. Your description need not be lengthy; enrollment. Disability and Rehabilitation you may provide a clear and succinct We recognize that many applicants Research Projects (CFDA No. 84.133A) description of how you plan to address may already be implementing effective 34 CFR Part 350 Subpart B. those barriers that are applicable to your steps to ensure equity of access and Rehabilitation Research and Training circumstances. In addition, the participation in their grant programs, Center (CFDA No. 84.133B) 34 CFR Part information may be provided in a single and we appreciate your cooperation in 350 Subpart C. narrative, or, if appropriate, may be responding to the requirements of this discussed in connection with related provision. Notice To All Applicants topics in the application. Thank you for your interest in this Section 427 is not intended to Estimated Burden Statement duplicate the requirements of civil program. The purpose of this enclosure According to the Paperwork rights statutes, but rather to ensure that, is to inform you about a new provision Reduction Act of 1995, no persons are in designing their projects, applicants in the Department of Education’s required to respond to a collection of for Federal funds address equity General Education Provision Act information unless it displays a valid concerns that may affect the ability of (GEPA) that applies to applicants for OMB control number. The valid OMB certain potential beneficiaries to fully new grant awards under Department control number for this information participate in the project and to achieve programs. This provision is section 427 collection is 1801–0004 (Exp. 8/31/98). to high standards. Consistent with of GEPA, enacted as part of the The time required to complete this program requirements and its approved Improving America’s Schools Act of information collection is estimated to application, an applicant may use the 1994 (Pub. L. 103–382). vary from 1 to 3 hours per response, Federal funds awarded to it to eliminate with an average of 1.5 hours, including To Whom Does This Provision Apply? barriers it identifies. the time to review instructions, search Section 427 of GEPA affects What are Examples of How an existing data resources, gather and applicants for new discretionary grant Applicant Might Satisfy the maintain the data needed, and complete awards under this program. All Requirement of This Provision? and review the information collection. If applicants for new awards must include you have any comments concerning the information in their applications to The following examples may help accuracy of the time estimate(s) or address this new provision in order to illustrate how an applicant may comply suggestions for improving this form, receive funding under this program. with section 427. (1) An applicant that proposes to please write to: U.S. Department of What Does This Provision Require? carry out an adult literacy project Education, Washington, DC 20202– Section 427 requires each applicant serving, among others, adults with 4651. for fund (other than an individual limited English proficiency, might BILLING CODE 4000±01±P 60954 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60955 60956 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60957 60958 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60959 60960 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

[FR Doc. 97–29795 Filed 11–12–97; 8:45 am] BILLING CODE 4000±01±C federal register November 13,1997 Thursday Recovered Materials;FinalRule Procurement ofProductsContaining Comprehensive Guidelinefor 40 CFRPart247 Protection Agency Environmental Part III 60961 60962 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations

ENVIRONMENTAL PROTECTION from the codification of agency 1. Floor Tiles AGENCY requirements, however. Today, EPA is 2. Structural Fiberboard and Laminated codifying these procurement limitations Paperboard IV. Definitions 40 CFR Part 247 with the affirmative procurement V. Comment Summary and Agency’s program portion of the CPG for the [SWH±FRL±5909±6] Response convenience of procuring agencies. A. General Comments RIN 2050±AE23 EFFECTIVE DATES: The amendments to 1. Recordkeeping and Reporting the Comprehensive Procurement 2. Interaction Between RCRA Section 6002 Comprehensive Guideline for Guideline designating additional and the Federal Acquisition Regulation Procurement of Products Containing procurement items (§§ 247.3; 247.12 3. Designation of Materials Recovered Materials B. Comments on Proposed Item through 247.17) are effective on Designations AGENCY: Environmental Protection November 13, 1998. The amendment 1. Shower and Restroom Dividers Agency. adding the procurement limitations 2. Latex Paint (§ 247.2(d)) is effective November 13, 3. Snow Fencing ACTION: Final rule. 1997. 4. Ink Jet Cartridges SUMMARY: The Environmental Protection ADDRESSES: The public docket for this C. Comments on Other Items Considered for Designation Agency today is issuing an amendment notice is Docket F–97–CP2F–FFFFF. D. Comments on Public Participation to the May 1, 1995 Comprehensive Documents related to today’s notice are Process Procurement Guideline (CPG). EPA is available for viewing in the RCRA VI. Availability of Designated Items designating 12 new items that are or can Information Center (RIC), which is VII. Economic Impact Analysis be made with recovered materials. located at U.S. Environmental A. Requirements of Executive Order 12866 These items are shower and restroom Protection Agency, Crystal Gateway 1. Summary of Costs dividers/partitions; consolidated and One, 1235 Jefferson Davis Highway, 2. Product Cost reprocessed latex paint for specified Ground Floor, Arlington, VA 22202. The 3. Summary of Benefits B. Unfunded Mandates Reform Act of 1995 uses; parking stops; channelizers; RIC is open from 9 a.m. to 4 p.m., and Consultation with State, Local, and delineators; flexible delineators; plastic Monday through Friday, except for Tribal Governments fencing for specified uses; garden and Federal holidays. To review docket C. Impacted Entities soaker hoses; lawn and garden edging; materials, it is recommended that the D. Regulatory Flexibility Act and Small printer ribbons; plastic envelopes; and public make an appointment by calling Business Regulatory Enforcement pallets. In addition, this action clarifies (703) 603–9230. The public may copy a Fairness Act EPA’s previous designation of floor maximum of 100 pages from any VIII. Supporting Information and Accessing tiles, structural fiberboard, and regulatory docket at no charge. Internet IX. Submission to Congress and the General laminated paperboard as items that can Additional copies cost $0.15/page. The Accounting Office be made with recovered materials. index and some supporting materials The CPG implements section 6002 of are available electronically. See Section I. Authority the Resource Conservation and VIII of the ‘‘Supplementary This amendment to the Recovery Act (RCRA), which requires Information’’ section below for Comprehensive Procurement Guideline EPA to designate items that are or can information on accessing the documents is promulgated under the authority of be produced with recovered materials electronically. sections 2002(a) and 6002 of the Solid and to recommend practices for the FOR FURTHER INFORMATION CONTACT: Waste Disposal Act, as amended by the procurement of designated items by Resource Conservation and Recovery procuring agencies. Once EPA General procurement guidelines Act of 1976 (RCRA), as amended, 42 designates an item, RCRA requires any information: RCRA Hotline at (800) U.S.C. 6912(a) and 6962, and section procuring agency using appropriated 424–9346, TDD (800) 553–7672 (hearing 502 of Executive Order 12873, ‘‘Federal Federal funds to procure that item to impaired) or, in the Washington, DC Acquisition, Recycling, and Waste purchase it with the highest percentage area at (703) 412–9810 or TDD (703) Prevention’’ (58 FR 54911, October 22, of recovered materials practicable. 412–3323. 1993). Today’s action will foster markets for Technical information on individual materials recovered from solid waste by item recommendations: For paper and II. Regulated Entities using government purchasing power to paper products, vehicular products, This action may potentially affect stimulate the use of these materials in construction products, non-paper office those procuring agencies that purchase the manufacture of new products. products, and pallets: Dana Arnold, the following: shower and restroom RCRA section 6002 provides certain (703) 308–7279; for landscaping dividers/partitions, consolidated and limited exceptions to the general products, transportation products, and reprocessed latex paint for specified requirement to buy EPA-designated park and recreation products: Terry uses, floor tiles, structural fiberboard, items. Under certain circumstances Grist, (703) 308–7257. laminated paperboard, parking stops, based on competition, price, SUPPLEMENTARY INFORMATION: temporary traffic control devices, plastic availability, and performance, procuring fencing for specified uses, garden and agencies are not required to purchase an Preamble Outline soaker hose, lawn and garden edging, item designated by EPA. In the May 1, I. Authority printer ribbons, plastic envelopes, or 1995 CPG, EPA codified the RCRA II. Regulated Entities pallets. For purposes of RCRA section section 6002 procurement requirements III. Background 6002, procuring agencies include the for the convenience of procuring A. Criteria for Selecting Items for following: (1) any Federal agency; (2) agencies so they can find all of the Designation any State or local agencies using B. Procurement Limitations of RCRA RCRA section 6002 procurement Section 6002 appropriated Federal funds for a provisions, as well as EPA’s item C. Clarification of Floor Tiles, Structural procurement; or (3) any contractors with designations, in one location. EPA Fiberboard and Laminated Paperboard these agencies (with respect to work inadvertently omitted the limitations Designations performed under the contract). See Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations 60963

RCRA section 1004(17). The procuring designated items where the previous year exceeded $10,000. requirements of section 6002 apply to price of the item exceeds $10,000 or the Potential regulated entities for this rule such procuring agencies only when quantity of the item purchased in the are shown in Table 1.

TABLE 1.ÐENTITIES POTENTIALLY SUBJECT TO SECTION 6002 REQUIREMENTS TRIGGERED BY CPG AMENDMENTS

Category Examples of regulated entities

Federal Government ...... Federal departments or agencies that procure $10,000 or more worth of a designated item in a given year. State Government ...... A State agency that uses appropriated Federal funds to procure $10,000 or more worth of a designated item in a given year. Local Government ...... A local agency that uses appropriated Federal funds to procure $10,000 or more worth of a designated item in a given year. Contractor ...... A contractor working on a project funded by appropriated Federal funds that purchases $10,000 or more worth of a designated item in a given year.

This table is not intended to be designations. Concurrently, EPA Miscellaneous exhaustive, but rather provides a guide published the first RMAN (RMAN I) (60 Pallets for readers regarding entities that could FR 21386). potentially be subject to regulatory On November 7, 1996, EPA proposed A. Criteria for Selecting Items for requirements triggered by this action. To to designate 13 additional items (CPG II) Designation determine whether your procurement and published draft recommendations While not limiting consideration to practices are affected by this action, you for purchasing those items containing these criteria, RCRA section 6002(e) should carefully examine the recovered materials (RMAN II). See 61 requires EPA to consider the following applicability criteria in 40 CFR 247.2. If FR 57748–57759 and 61 FR 57760– when determining which items it will you have questions regarding the 57766, respectively. EPA also proposed designate: applicability of this action to a clarifications of the previous (1) Availability of the item; particular entity, consult the persons designations of floor tiles, structural (2) Potential impact of the listed in the preceding FOR FURTHER fiberboard, and laminated paperboard. procurement of the item by procuring INFORMATION CONTACT section. In addition, EPA proposed to codify the agencies on the solid waste stream; III. Background RCRA section 6002 limitations on the (3) Economic and technological affirmative procurement requirements, feasibility of producing the item; and Section 6002(e) of RCRA requires EPA which had inadvertently been omitted (4) Other uses for the recovered to designate items that are or can be from CPG I. Today, EPA is (1) materials used to produce the item. made with recovered materials and to designating 12 of the items, (2) EPA consulted with Federal recommend practices to assist procuring clarifying the previous designations of procurement and requirements officials agencies in meeting their obligations floor tiles, structural, fiberboard, and to identify other criteria to consider with respect to procurement of laminated paperboard, and (3) codifying when selecting items for designation. designated items under RCRA section the procurement limitations. As Based on these discussions, the Agency 6002. RCRA requires that each explained in section V.B.3 below, EPA concluded that the limitations set forth procuring agency, when purchasing an has decided not to designate ink jet in RCRA section 6002(c) should also be EPA-designated item, must purchase cartridges. The 12 newly-designated factored into its selection decisions. that item composed of the highest items are listed below under their This provision requires each procuring percentage of recovered materials associated product category. agency that procures an item designated practicable. Construction Products by EPA to procure the item composed Executive Order 12873 (Executive of the highest percentage of recovered Order) establishes the procedure for Shower and restroom dividers/ materials practicable, while maintaining EPA to follow in implementing RCRA partitions a satisfactory level of competition. A section 6002(e). Section 502 of the Consolidated and reprocessed latex procuring agency, however, may decide Executive Order directs EPA to issue a paint for specified uses not to procure an EPA-designated item Comprehensive Procurement Guideline Transportation Products containing recovered materials if it (CPG) that designates items that are or determines: (1) the item is not can be made with recovered materials. Parking stops reasonably available within a reasonable Concurrent with the CPG, EPA must Channelizers period of time; (2) the item fails to meet publish its recommended procurement Delineators the performance standards set forth in practices for purchasing designated Flexible delineators the agency’s specification; or (3) the items, including recovered materials item is available only at an Park and Recreation Products content levels, in a related Recovered unreasonable price. Materials Advisory Notice (RMAN). The Plastic fencing for specified uses EPA recognized that these limitations Executive Order also directs EPA to could limit the potential impact of an Landscaping Products update the CPG annually and to issue individual item designation to the RMANs periodically to reflect changing Garden and soaker hoses extent they provide procuring agencies market conditions. The original CPG Lawn and garden edging with a rationale for not purchasing EPA- (CPG I) was published on May 1, 1995 designated items with recovered Non-Paper Office Products (60 FR 21370). It established eight materials content. (The limitations of product categories, designated 19 new Printer ribbons section 6002(c) also effectively describe items, and consolidated five earlier item Plastic envelopes the circumstances in which a designated 60964 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations item is ‘‘available’’ for purposes of the preclude a procuring agency from purchasing agency to decide not to purchase EPA statute.) For this reason, EPA takes into desktop accessories manufactured from designated items with recovered account the limitations cited in RCRA another material, such as wood. It simply materials based on the following requires that a procuring agency, when section 6002(c) in its selection of items purchasing plastic desktop accessories, determinations: for designation in the CPG. Thus, in the purchase these accessories made with 1. The agency is unable to secure a May 1, 1995 CPG I, the Agency stated recovered materials.’’ satisfactory level of competition; that it had developed the following The Agency understands that some 2. The item is not reasonably available criteria for use in selecting items for procuring agencies may believe that the within a reasonable period of time; designation: use of materials found in designation of a broad category of items 3. The item fails to meet the solid waste, economic and technological in the CPG requires them (1) to procure reasonable performance standards set feasibility and performance, impact of all items included in such category with forth in the agency’s specification; and government procurement, availability recovered materials content and (2) to 4. The item is available only at an and competition, and other uses for establish an affirmative procurement unreasonable price. recovered materials. EPA provided a program for the entire category of items, EPA received no comments on the detailed discussion of these criteria in even where specific items within the proposed language and, as noted above, the CPG I background documents and category may not meet current is today amending § 247.2 to add these repeated that discussion, for the performance standards. This is clearly provisions. EPA is making this convenience of the reader, in Section II not required under RCRA as amendment effective immediately. of the document entitled, implemented through the CPG and the Section 553(d) of the Administrative ‘‘Comprehensive Procurement RMAN. RCRA section 6002 does not Procedure Act authorizes an exception Guideline (CPG) II—Supporting require a procuring agency to purchase to the general requirement that a Analyses.’’ A copy of this document is items with recovered materials content substantive rule must be published 30 included in the RCRA public docket for that are not available or that do not meet days before its effective date where an the proposed CPG II rule, docket F–96- a procuring agency’s specifications or agency determines there is good cause CP2P-FFFFF. reasonable performance standards for for doing so. As explained above, these In CPG I, EPA stated that it had amendments merely codify the statutory adopted two approaches in its the contemplated use. Further, section 6002 does not require a procuring conditions spelled out in section designation of items that are made with 6002(c) under which a procuring agency recovered materials. For some items, agency to purchase such items if the item with recovered materials content is may determine not to procure items such as floor tiles, the Agency designated in the guidelines. Today’s designated broad categories of items and only available at an unreasonable price or the purchase of such item is amendments do not change a procuring provided information in the RMAN as to agency’s current obligations under their appropriate applications or uses. inconsistent with maintaining a reasonable level of competition. section 6002 of RCRA to procure For other items, such as plastic trash designated items to the maximum extent bags, EPA designated specific items, However, EPA stresses that, when procuring any product for which a practicable but merely restate in the and, in some instances, included in the regulations the exceptions to the general designation the specific types of recovered materials alternative is available that meets the procuring requirement provided in the statute. recovered materials or applications to Under the circumstances, there is good which the designation applies. The agency’s performance needs, if all other factors are equal, the procuring agency cause for making these amendments Agency explained these approaches to effective immediately. designating items in the preamble to should seek to purchase the product CPG I (60 FR 21373, May 1, 1995). made with highest percentage of C. Clarification of Floor Tiles, Structural recovered materials practicable. Fiberboard and Laminated Paperboard EPA sometimes had information on the The items designated today have all Designations availability of a particular item made with a been evaluated with respect to the specific recovered material (e.g., plastic), but EPA’s criteria. Details of these In the May 1, 1995 CPG, EPA no information on the availability of the item evaluations are discussed in ‘‘Final CPG designated floor tiles, structural made from a different recovered material or fiberboard, and laminated paperboard any indication that it is possible to make the II/RMAN II Background Document,’’ item with a different recovered material. In which has been placed in the docket for and, in the RMAN, provided these instances, EPA concluded that it was the final CPG II and RMAN II and is recommendations for purchasing these appropriate to include the specific material available electronically. (See Section items containing recovered materials. in the item designation in order to provide VIII below for Internet access EPA has since learned that there may be vital information to procuring agencies as directions.) some confusion on the part of procuring they seek to fulfill their obligations to agencies as to their obligation to purchase designated items composed of the B. Procurement Limitations of RCRA purchase these items for specific highest percentage of recovered materials Section 6002 applications. In fact, the Agency practicable. This information enables the agencies to focus their efforts on products In the May 1, 1995 CPG, the Agency received inquiries regarding the that are currently available for purchase, amended 40 CFR 247.2 to include the requirements to purchase floor tile and reducing their administrative burden. EPA RCRA provisions on the applicability of structural fiberboard for use as also included information in the proposed the guidelines to procuring agencies. acoustical ceiling tile. Based on these CPG, as well as in the draft RMAN that (See 60 FR 21381.) In that amendment, inquiries, the Agency concluded that it accompanied the proposed CPG, that advised EPA inadvertently failed to include the should clarify the obligations of procuring agencies that EPA is not statutory exceptions to the general procuring agencies with respect to these recommending the purchase of an item made requirement to purchase designated items. Additionally, the Agency from one particular material over a similar item made from another material. For items set forth in section 6002(c)(1) (A) published a separate notice in the example, EPA included the following through (C). Today, in § 247.2(d), EPA is Federal Register providing additional statement in the preamble discussion for adding these procurement limitations. information to assist procuring agencies plastic desktop accessories (59 FR 18879, As discussed in the previous section, in determining their obligation to April 20, 1994): This designation does not these provisions authorize a procuring purchase designated items for specific Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations 60965 applications and to clarify these issues. was not the Agency’s intention. delineators, flexible delineators, garden See 61 FR 58067, November 12, 1996. Therefore, the Agency is today hoses, latex paint, lawn edging, pallets, clarifying its recommendation that the parking stops, plastic fencing, printer 1. Floor Tiles use of these tiles would be appropriate ribbons, restroom dividers/partitions, In the original CPG, EPA designated for specialty purpose uses at such shower dividers/partitions, and soaker 19 items that are, or can be, produced locations (e.g., raised, open-web tiles for hoses. These definitions are based on with recovered materials content, drainage on school kitchen flooring). industry definitions, including ASTM or including floor tiles and patio blocks Such specialty purpose uses involve other standard specifications, or containing recovered rubber or plastic limited flooring areas where grease, tar, represent descriptions of the scope of [40 CFR 247.12(e)]. The Agency snow, ice, wetness or similar substances items being designated. designated these items as broad or conditions are likely to be present. For several items being designated categories of items, encompassing many Commenters also supported the Agency today, EPA recommends in the final different applications. In the companion in its views about the limitations on RMAN II that procuring agencies use RMAN, however, the Agency uses for floor tiles containing recovered two-part content levels—a recommended that procuring agencies materials. Thus, EPA is not, at this time, postconsumer recovered materials purchase floor tiles with specified recommending floor tile made with component and a total recovered minimum recovered rubber or plastic recovered materials for standard office materials component. In these instances, content for ‘‘heavy duty/commercial or more general purpose uses. EPA found that both types of materials type’’ applications only. EPA limited were being used to manufacture the 2. Structural Fiberboard and Laminated the recommended applications to products. Recommending only Paperboard heavy-duty/commercial-type uses postconsumer content levels would be because, at the time CPG I was issued, In CPG I, EPA designated structural contrary to the RCRA mandate to the Agency was not aware of any fiberboard and laminated paperboard maximize the use of recovered materials manufacturers that made floor tile with products for applications other than because it would fail to acknowledge recovered materials for standard office building insulation [40 CFR 247.12(b)]. the contribution to solid waste flooring. However, at least two EPA included acoustical and non- management made by manufacturers manufacturers were reportedly acoustical ceiling tiles and lay-in panels using other manufacturers’ byproducts considering using recovered materials in in its list of applications to which the as feedstock. standard office flooring and one designation applies. Since CPG I was Because the recommendations for the manufacturer indicated that these issued, one manufacturer of mineral items being designated today use the products would be available in 1995, fiber ceiling products has expressed terms ‘‘postconsumer materials’’ and the year CPG I was issued. This concern over the scope of the structural ‘‘recovered materials,’’ the definitions information suggested to the Agency fiberboard and laminated paperboard for these terms are repeated in this that floor tiles could be made with designations, particularly as they apply action as a reference for the convenience recovered materials for standard office to acoustical and non-acoustical ceiling of the reader. These definitions were flooring. Therefore, the Agency elected tiles and lay-in panels. part of CPG I and can be found at 40 to broadly designate floor tiles and limit EPA is clarifying that the specific CFR § 247.3. its initial recommendations to heavy- applications included in the structural duty/commercial type uses. The Agency fiberboard and laminated paperboard Postconsumer materials means a material or finished product that has served its has no information that standard office designation, i.e., building board, intended end use and has been diverted or floor tiles are currently commercially sheathing, shingle backer, sound recovered from waste destined for disposal, available containing recovered deadening board, roof insulating board, having completed its life as a consumer item. materials. insulating wallboard, acoustical and Postconsumer material is part of the broader In CPG I and RMAN I, EPA used the non-acoustical ceiling tile, acoustical category of recovered materials. term ‘‘heavy-duty, commercial-type and non-acoustical lay-in panels, floor Recovered materials means waste materials uses’’ because there were no published underlayments, and roof overlay and byproducts which have been recovered industry-wide definitions to describe (coverboard), apply to the purchase of or diverted from solid waste, but such term the applications to which the recovered does not include those materials and cellulosic fiber structural fiberboard and byproducts generated from, and commonly materials requirements of the CPG laminated paperboard products only. reused within an original manufacturing should be applied. In the supporting The listed applications, and therefore process. analysis for RMAN I, EPA explained the designation, do not apply to what it meant by ‘‘heavy-duty, products made from other similar or V. Comment Summary and Agency’s commercial-type applications.’’ There, competing materials. In other words, if Response the Agency described, in general terms, a procuring agency is purchasing a EPA received submittals from 20 a number of commercial and industrial cellulosic fiberboard acoustical ceiling commenters in response to the proposed settings where the use of such tiles with tile, then the agency should purchase CPG II and the draft RMAN II. These recovered materials content would be the ceiling tile made with recovered commenters represented various appropriate. These would include materials. However, if the agency interests, including Federal agencies, entranceways in airports and stores, prefers to purchase a ceiling tile made State agencies, local governments, furniture showrooms, skating rinks and with mineral fiber rather than product manufacturers, and product fitness centers. EPA has learned that fiberboard, it is free to do so. In the users. A summary of the comments and this discussion may have caused some latter instance, there is no requirement EPA’s response can be found in ‘‘Final confusion. Some procuring agencies to purchase a cellulosic fiberboard CPG II/RMAN II Background may have confused EPA’s description of ceiling tile. Document.’’ the areas where, given special In this section, EPA discusses the circumstances, such tiles might be IV. Definitions major comments regarding the proposed appropriate, with an EPA Today, in § 247.3, EPA is adding CPG II. For a discussion of the major recommendation that such tile should definitions for the following new item- comments pertaining to the draft RMAN always be used in such settings. This specific terms: channelizers, II, see the preamble to the notice of 60966 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations availability of the final RMAN II, which burden, the final report contains the Therefore, EPA refers procuring is found in the notices section of today’s same itemized information. agencies to the FAR for guidance Federal Register. regarding these acquisitions issues. 2. Interaction Between RCRA Section A. General Comments 6002 and the Federal Acquisition 3. Designation of Materials Regulation 1. Recordkeeping and Reporting Comment: A commenter requested Comment: A Federal agency raised that EPA designate steel in order to Comment: A Federal agency issues specific to the Federal recognize that this material is expressed concern about the burden of Acquisition Regulation (FAR), which recyclable, has a high recycling rate, and tracking purchases of each procurement governs Federal acquisition activities. contains recovered materials. item designated by EPA and the The agency stated that the proposed Response: EPA agrees that steel, like potential difficulty in establishing the CPG II and draft RMAN II did not many metals, is both recyclable and can infrastructure to institute policies and adequately address the importance of contain recovered materials. EPA also procedures at a time when and the responsibility of key non- agrees that steel, like many metals, is a administrative staff is being reduced. procurement personnel, who generally waste management success story in The commenter further noted that the develop and define a procuring agency’s terms of its recyclability, high recycling use of government credit cards increases environmental needs. The agency rate, and recovered materials content. the difficulty of tracking purchases. In referenced provisions of the FAR. EPA also applauds the steel industry’s addition, the commenter suggested that Additionally, the agency stated that the source reduction efforts to produce an interagency reporting task force draft RMAN II provides no specific stronger, lighter weight steel products, convened by the Office of Federal guidance on the use of required sources, in response to customer demand. Procurement Policy (OFPP) and the such as Federal Prison Industries However, RCRA specifically requires Office of the Federal Environmental (UNICOR) and Javits-Wagner-O’Day EPA to designate products that are or Executive (OFEE) should address (JWOD) participating non-profit can be made with recovered materials, streamlining reporting requirements. agencies. not the component materials used in Response: Because EPA addressed the Response: EPA has stated on many those products. Accordingly, EPA RCRA reporting requirements in the occasions that implementation of RCRA designates products that are CPG I rulemaking, reporting issues were section 6002 must be consistent with manufactured with steel, but not not addressed as part of the CPG II other Federal procurement law. For materials, such as steel, that can contain proposal. See, for example, the example, in Appendix I to ‘‘Final CPG recovered materials. background documents for the final CPG II/RMAN II Background Document,’’ B. Comments on Proposed Item I and RMAN I for EPA’s previous EPA states the following: discussions of the RCRA annual review Designations and reporting requirements: ‘‘Items The purchase of recycled products under No commenters opposed the Designated in the Comprehensive RCRA section 6002 must be consistent with other Federal procurement law, which designations of the following items: Procurement Guideline—Supporting requires that contracts be awarded to the parking stops, channelizers, delineators, Analyses,’’ pages 40–41, and ‘‘RMAN lowest priced, responsive, responsible bidder flexible delineators, garden and soaker for Items Designated in the *** hoses, lawn and garden edging, printer Comprehensive Procurement On August 27, 1997, the Civilian Agency ribbons, plastic envelopes, and pallets. Guideline—Supporting Analyses,’’ Acquisition Council and the Defense EPA is promulgating these items as pages 8–9. Acquisition Regulations Council issued an proposed. Commenters suggested interim rule amending the Federal The requirement that Federal revisions to the designations of shower procuring agencies report on their Acquisition Regulation (FAR) parts 1, 10, 11, 13, 15, 23, 36, 42, and 52 to reflect the and restroom dividers, latex paint, and procurement of EPA-designated items is government’s preference for the acquisition snow fencing, and opposed the mandated by RCRA section 6002(g) and of environmentally-sound and energy- proposed designation of ink jet Section 301 of Executive Order 12873. efficient products and services and to cartridges. In response, EPA is Therefore, reporting is not at the establish an affirmative procurement program designating shower and restroom discretion of OFEE or EPA. While EPA favoring items containing the maximum dividers and latex paint, with and OFEE are cognizant of the labor practicable content of recovered materials. modifications, and revising the See 62 FR 44809, August 22, 1997. necessary to collect and report annual designation of snow fencing to plastic procurement data, neither office is As the commenter indicated, the FAR fencing for specific uses. EPA is not authorized to significantly change the specifies the role of contracting officers designating ink jet cartridges at this data contained in the final report. and other agency personnel in time. The comments on shower and As noted by the commenter, OFEE acquisitions, as well as providing for restroom dividers and snow fencing, and OFPP chartered an interagency implementation of the required sources and the significant comments pertaining steering committee to identify requirements and the RCRA section to the proposed designations of latex streamlining initiatives for the data 6002 affirmative procurement paint and ink jet cartridges, as well as collection requirements. As a result of requirements. To the extent that the EPA’s response, are discussed in the the committee’s recommendations, the FAR generally dictates use of certain following subsections. For a full agency data collection requirements for required sources like UNICOR, EPA discussion of the comments and EPA’s FY96 were reduced by 1⁄3 by capturing believes that it is reasonable to assume response, including additional research data in a more efficient manner. For that federal procuring agencies will look conducted by EPA, see ‘‘Final CPG II/ agencies that requisition CPG items to such sources for procurement of RMAN II Background Document.’’ from the U.S. General Services designated items. In fact, required Administration’s (GSA) Federal Supply sources such as UNICOR and the 1. Shower and Restroom Dividers System, the supply center tracks and National Industries for the Blind offer Comment: EPA received one comment reports on the agencies purchases. several of the items previously suggesting that shower and restroom While this significantly reduces an designated by EPA (e.g., toner dividers be referred to as dividers/ agency’s data collection and reporting cartridges, recycled paper products). partitions. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations 60967

Response: After additional research that, while the GSA specification for encountered problems with clogged into industry practices, EPA found that ‘‘recycled’’ latex paint covers certain spray nozzles, and one manufacturer both of the terms—‘‘partitions’’ and performance attributes, it may not recommends using a larger diameter ‘‘dividers’’—are commonly used. include all of the attributes necessary spray tip to ensure that the nozzle will Generally speaking, ‘‘partition’’ implies for a particular application. The not become clogged. GSA specification that a door is used, and ‘‘divider’’ commenter referenced three ASTM latex TT–P–2846 requires that the implies a dividing wall. Based on the paint specifications that the commenter reprocessed and consolidated latex comment and the additional research, believes procuring agencies should paint meet specified brushing, roller EPA is revising the term for this item in consider in evaluating whether coating, and spraying properties, which the final CPG II and companion RMAN reprocessed latex paint has the should ensure that manufacturers II to ‘‘shower and restroom dividers/ appropriate performance attributes for a properly filter their products. partitions.’’ particular application. A copy of the EPA also conducted additional supplemental comments is included in research into the applications for which 2. Latex Paint the docket for the final CPG II. agencies currently are using reprocessed Comment: A commenter opposed the Response: EPA agrees that latex paints. EPA found that agencies proposed designation of latex paint reprocessed and consolidated latex currently are using reprocessed paints based on concerns about performance paints are not suitable for all for the same uses for which they would and availability. The commenter further applications. In the proposed CPG II, normally use latex paint—e.g., interior noted that the proposed designation was EPA noted, for example, that there is and exterior wallboard, ceilings, and overly broad and did not reflect the little available information on the trim; exterior gutter boards; and variety of different latex paint performance of reprocessed or concrete, stucco, masonry, and wood, as applications in government buildings consolidated paints for non- well as metal surfaces. and their performance requirements. architectural applications. See 61 FR After considering the comments and The commenter suggested that EPA 57752. In the draft RMAN II, EPA conducting further research on could limit the designation and recommended the use of consolidated reprocessed latex applications, EPA has recommendations to interior and paint in limited applications, such as concluded that the proposed exterior architectural applications covering graffiti, where color and designation of ‘‘latex paint’’ is too broad where color, consistency of consistency of performance are not given the uses for which consolidated performance, and durability are not primary concerns. EPA recommended and reprocessed latex paints currently primary concerns and a spray-gun the use of reprocessed paint for interior are available. As discussed above in application is not used. and exterior architectural applications. Section III.A, EPA sometimes designates EPA met with the commenter on June See Section C–7 of the draft RMAN II at broad category items and provides 17, 1997 to discuss this and other 61 FR 57763. information in the RMAN as to their comments. A copy of the meeting notes In researching latex paint for the appropriate applications or uses. In has been placed in the RCRA docket for proposed CPG II, EPA identified a latex other instances, EPA designates specific the final CPG II. paint study by the California items and might include in the In supplemental comments, the Polytechnic University (CalPoly). The designation the specific types of commenter suggested that EPA CalPoly study included testing of applications to which the designation distinguish between consolidated and reprocessed and consolidated latex applies. The approach that EPA uses reprocessed latex paints. The paints for various key parameters that depends on the whether items commenter suggested that EPA revise measure the performance and durability manufactured from other types of the designation so as to designate only: of paint for a number of different materials or for other applications are • Consolidated latex paint used for applications. The CalPoly study made with or could contain recovered covering graffiti, where consistent color concluded that reprocessed paints are materials. In the past, if EPA was not and consistency of performance are not suitable for these applications reviewed aware that items used for other primary concerns. in the study. A copy of this study was applications were available, EPA • Reprocessed latex paint used for included in the docket for the proposed limited its designations so as not to interior and exterior architectural CPG II and draft RMAN II, docket F–96– create an unnecessary burden on applications where the reprocessed CP2P–FFFFF. Both the GSA’s agencies to try to purchase an item that latex paint meets all end use Engineering and Commodity is not available. (See the preamble to specifications (e.g., color, weathering, Management Division and CalPoly CPG I, 60 FR 21373, May 1, 1995, for a durability, hiding power, and found that latex paints containing more detailed discussion of EPA’s applicability) for a particular postconsumer materials can be approach.) application. manufactured to provide consistent Based on the available information, These suggestions are similar to the performance, normal coverage and EPA has concluded that consolidated applications for reprocessed and hiding of the underlying surface, and latex paints are currently used for consolidated latex paints that EPA had durability. In addition, the GSA graffiti abatement. EPA further has recommended in the draft RMAN II. specification provides for testing of determined that reprocessed latex paints The commenter stated that adding the color and application properties, among are available for architectural language about end use specifications in other requirements. applications, but not for non- the suggested designation would Latex paints containing postconsumer architectural applications, such as alleviate paint industry concerns that materials also can be formulated to be marking pavements or athletic fields. the listing of latex paints will require used in spray-guns. According to paint EPA also agrees with the commenter the use of reprocessed latex paints for manufacturers and municipalities that reprocessed latex paints may not be all interior and exterior uses without contacted by EPA, spray applications of available for all architectural regard to any performance criteria. The reprocessed latex paint pose few, if any, performance needs. commenter further stated that the problems as long as the paint is clean Therefore, to avoid confusion by selection of latex paint for a particular and has been filtered properly. EPA procuring agencies about the scope of application is a complex process and notes, however, that some users have the latex paint designation, EPA has 60968 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations concluded that it is preferable to limit considerations in the description of the is not available containing recovered the scope of the latex paint designation, designation of consolidated and materials, then the Army is not required rather than designating the broad reprocessed latex paints. For this to purchase latex paint containing category ‘‘latex paint,’’ and reason, in the final designations recovered materials for that application. recommending specific applications for published today, EPA has not included For such situations, EPA has previously using consolidated and reprocessed the language about end use recommended that agencies place a latex paints in RMAN II. A narrower specifications suggested by the statement in their affirmative designation will enable procuring commenter. procurement programs indicating that agencies to focus their procurement Comment: The commenter also had the item is not available. efforts on the types of latex paint noted that an Army Corps of Engineers Because the purpose of the currently available either through GSA study of reprocessed and consolidated government buy-recycled program is to or directly from paint manufacturers. latex paints had not yet been completed. develop markets for recovered materials, Therefore, in today’s final CPG II, EPA The commenter stated that it was EPA is reluctant to exclude acrylic latex is revising the broad ‘‘latex paint’’ therefore premature for EPA to paints from the scope of the latex paint designation to provide the following designate latex paints. designation. Rather, EPA believes that specific designations: Response: EPA noted in the the Army should determine periodically • Consolidated latex paint used for background document for the proposed whether acrylic latex paints containing covering graffiti. CPG II that the Paint Technology Center recovered materials are available in • Reprocessed latex paint used for at the U.S. Army Construction order to encourage the recovery of this interior and exterior architectural Engineering Research Laboratories type of paint from the waste stream. applications such as wallboard, ceilings, (USACERL) was planning to test the Further, EPA notes that during and trim; gutter boards; and concrete, performance of latex paint containing development of CPG II, neither the stucco, masonry, wood, and metal postconsumer materials. See page 28, Army nor any other Federal agency surfaces. ‘‘Comprehensive Procurement requested that EPA limit the scope of Under this revised designation, Guideline (CPG) II—Supporting the designation. Therefore, in the final procuring agencies must purchase Analyses,’’ August 1, 1996. EPA CPG II, EPA is designating latex paints reprocessed latex paint for the interior contacted USACERL about the study of and not excluding acrylic latex paints. and exterior architectural applications reprocessed latex paint. USACERL Comment: The commenter further for which they would ordinarily use informed EPA that it does not have any stated that EPA had failed to examine latex paint, such as wallboard, concrete, specific concerns about the performance the true costs of using reprocessed latex stucco, masonry, wood, and metal. qualities of reprocessed latex paint in paint because it is ‘‘likely’’ that more Procuring agencies requiring a latex different applications. Rather, coats of reprocessed paint would be paint not meeting GSA’s general USACERL tested reprocessed latex required and ‘‘it seems likely that’’ more ‘‘recycled’’ latex paint specification paints to confirm that they met GSA frequent repainting will be required should determine whether a latex paint specification TT–P–2846 for ‘‘recycled’’ where reprocessed latex paint is used. containing recovered materials is latex paints. USACERL also tested The commenter provided no available and if not, may use a latex reprocessed latex paints against the GSA documentation to support these paint not containing recovered materials specifications for interior and exterior comments. for that particular application. latex paints. To date, USACERL found Response: The information available As discussed in section III.B above, that the reprocessed paints tested met to EPA from research, product testing by RCRA section 6002 provides that a the specifications for recycled latex CalPoly, and users indicates that procuring agency is not required to paint and interior latex paints. reprocessed latex paints cover the same purchase an EPA-designated item USACERL is completing testing against as virgin latex paints and do not require containing recovered materials if that the exterior paint specification, but the more frequent repainting. This item is not reasonably available or fails reprocessed latex paints performed well information is included in the record for to meet the reasonable performance against the exterior paint tests this rulemaking. According to the standards set forth in the agency’s conducted to date. Based on this CalPoly research report and additional specifications. Thus, if an agency has a information about the results of the research conducted by EPA, reprocessed particular need (e.g., color, weathering, USACERL testing of reprocessed and and consolidated paints meet durability, hiding power) for a consolidated latex paints, EPA does not specifications for sag resistance (a particular application, and consolidated believe that the designation of latex measure of a paint’s tendency to run on or reprocessed latex paint is not paint should be delayed pending the a vertical surface), contrast ratios available (or does not meet that final outcome of the USACERL study. (ability to hide the underlying surface), specification), the agency may purchase Further, USACERL informed EPA that and scrub resistance (an indication of a latex paint not containing recovered the Army uses acrylic latex paints to the resistance of a paint film to repeated materials. Given the obligation of paint primed metal and expressed washing or scrubbing). None of the procuring agencies to procure concern only about the availability of users contacted by EPA had experienced designated items with the highest reprocessed latex paint containing problems with paint coverage or percentage of recovered materials 100% acrylic. USACERL had not durability. Based on this testing and use practicable, an agency should researched the availability of this item, information, EPA believes that thoroughly research the availability of however. EPA notes that under RCRA procuring agencies will not incur consolidated or reprocessed latex paint section 6002, a procuring agency is not additional costs from extra or more meeting its specifications. required to purchase an EPA-designated frequent coats of paint. However, because RCRA provides for item containing recovered materials if Comment: The commenter also noted performance exceptions to the that item does not meet the agency’s that reprocessed and consolidated latex requirement to purchase EPA- reasonable performance standards or if paints are not universally available in designated items containing recovered the item is not reasonably available. If the United States. materials, it would be redundant for the Army requires acrylic latex paints Response: EPA has never limited its EPA to include performance for a particular application and this item designations only to items that are Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations 60969

‘‘universally’’ available or immediately use in controlling snow or sand drifting paint, magazine boxes, rulers, and pallet available in every part of the United and as a warning/safety barrier in stretch wrap. EPA requested additional States. Because the purpose of the construction or other applications. EPA information demonstrating that the federal buy-recycled program is to also is changing the term ‘‘snow items should be reconsidered for develop markets for, and spur fencing’’ to ‘‘plastic fencing’’ in the possible future designation. No development of, products containing definitions and adding the phrase ‘‘and comments were submitted on these recovered materials, it has always been to provide a warning or barrier in items or on EPA’s decision not to understood that these items might not construction and other areas’’ to the designate them. Therefore, EPA is no be available to all procuring agencies in definition. longer considering these items for future all instances. Nor does RCRA specify designation in the CPG. 4. Ink Jet Cartridges universal availability as a criteria for D. Comments on Public Participation EPA to consider when designating Commenters raised a number of Process items. Rather, it is expected that, as concerns in opposing the proposed procuring agencies seek to purchase designation of ink jet cartridges. These On September 20, 1995, EPA issued a products containing recovered comments raised solid waste, notice in the Federal Register materials, these items will become more performance, quality, availability, and explaining the procedures for interested widely and universally available. For patent and trademark concerns. After persons to (1) suggest items for EPA to this reason, RCRA section 6002 provides considering the information submitted consider for designation in future that procuring agencies are not required by commenters, EPA has concluded that updates to the CPG and (2) provide to buy an EPA-designated item there is insufficient evidence to support information for EPA to use in containing recovered materials if that a designation of ink jet cartridges at this developing or revising its item is not available within a reasonable time. On April 14, 1997, EPA published recommendations for recovered time. a Notice of Data Availability in the materials content levels contained in the EPA explicitly recognized this early Federal Register (62 FR 18072) to notify RMANs that accompany the CPG in its development of the guidelines interested parties of the tentative updates (60 FR 48714). EPA stated that program. Thus, for example, in the first decision not to designate ink jet it would issue annual notices to request procurement guideline issued in 1983, cartridges, summarize the information additional information from interested EPA designated cement and concrete available to the Agency, and request persons. containing coal fly ash, even though further public comment. No comments were received on these coal fly ash was not available in every EPA received only two responses to procedures, and EPA plans to continue part of the country. EPA recommended the April 14 notice—one from a vendor to use them. Over 30 commenters that agencies provide incentives for of ink jet refilling equipment and submitted information on items for EPA greater availability by allowing for the additional information from one of the to consider. Some of these comments use of coal fly ash as an optional or original commenters. The vendor provided supporting information for alternate material. EPA stated that appears to have promising technology items designated in today’s CPG II. EPA ‘‘[a]llowing fly ash will also serve as an for resolving many of the performance currently is evaluating the other items incentive to potential users in that area. and solid waste issues raised by for potential designation in future CPG Contractors will not make the commenters. The vendor did not, updates. Because EPA is still commitment necessary to use fly ash however, submit sufficient information considering these items, we will not be unless it is more readily accepted. to change EPA’s earlier conclusion that issuing annual notices requesting Including it in bid solicitations and there is insufficient information to additional suggestions and information. allowing it to be used provides this support designating ink jet cartridges at However, persons wishing to submit incentive.’’ See 48 FR 4242, January 28, this time. In particular, the commenter information for EPA to consider may 1983. did not address the lack of industry send it to: Buy Recycled Program, U.S. quality and performance standards. Environmental Protection Agency, 3. Snow Fencing Therefore, EPA has decided not to 5306W, 401 M Street, SW., Washington, Comment: GSA recommended that designate ink jet cartridges in today’s DC 20460. Any submittals should EPA revise the definition of ‘‘snow final CPG II. EPA also is deleting the address the seven areas listed in the fencing’’ by adding ‘‘and to delineate recommendations for purchasing ink jet September 20, 1995 Federal Register construction areas.’’ cartridges from the final RMAN II notice. See 60 FR 48715. Response: EPA reviewed its research published in the notice section of VI. Availability of Designated Items into snow fencing and found that plastic today’s Federal Register. EPA will fencing containing recovered materials continue to monitor developments in EPA has developed lists of can be used for several applications, ink jet cartridge and refilling/ manufacturers and vendors of the items including control of drifting snow and remanufacturing technology and will designated in today’s rule. In addition, sand and as a warning or safety barrier consider designating ink jet cartridges in EPA has updated the lists of at construction areas. Plastic fencing the future. manufacturers and vendors of the 24 used in these applications is called items designated in the original CPG. many names—snow fencing, temporary C. Comments on Other Items These lists have been placed in the fencing, beach or dune fencing, warning Considered for Designation RCRA docket for this action and will be barrier, and safety barrier. While ‘‘snow In the background document for the updated periodically as new sources are fencing’’ is a commonly used term, EPA proposed CPG II, EPA stated that it had identified and product information agrees with GSA that using this term considered the following 12 items and changes. These lists will also be alone can mislead procuring agencies determined that it was inappropriate to available through EPA’s web site on the about the scope of EPA’s designation. designate them: lead-acid batteries, Internet. (See section VIII below for Therefore, in § 247.14(b) of today’s final water retention systems, flat sheet glass, Internet access information.) Procuring CPG II, EPA is revising the designation wall covering, ceramic and glass tile, agencies should contact the of ‘‘snow fencing’’ as follows: plastic glass fiber-reinforced concrete, curbing, manufacturers/vendors directly to fencing containing recovered plastic for dock bumpers, glass beads for reflective discuss their specific needs and to 60970 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations obtain detailed information on the Finally, EPA is considering has prepared an Economic Impact availability and price of recycled mechanisms to increase the electronic Analysis (EIA), as discussed below. For products meeting those needs. dissemination of information about the more information on the estimated Other information is available from items designated in the CPG, such as a economic impact of today’s rule, see the the GSA, the Defense Logistics Agency buy-recycled home page on the Internet. ‘‘Economic Impact Analysis for the (DLA), State and local recycling offices, If the Agency decides to implement Final Comprehensive Procurement private corporations, and trade such mechanisms, we will provide Guideline II.’’ associations. Refer to Section XV of the public notice in the Federal Register in 1. Summary of Costs document, ‘‘Final CPG II/RMAN II concert with future revisions to the Background Document’’ for more CPG. EPA estimated that the annualized detailed information on these other VII. Economic Impact Analysis costs of the proposed rule to designate sources of information. 13 items would fall in the range of $4.8 State and local recycling programs are A. Requirements of Executive Order to $8.7 million. Because today’s final also a potential source of information on 12866 rule designates 12 items, rather than 13 local distributors and availability. In items, EPA revised the economic impact addition, state and local government Executive Order 12866 requires analysis to reflect the fact that fewer purchasing officials that are contracting agencies to determine whether a items are being designated than for recycled content products may have regulatory action is ‘‘significant.’’ The originally proposed. relative price information. A current list Order defines a ‘‘significant’’ regulatory of state purchasing/procurement action as one that is likely to result in As shown in Table 2 below, EPA officials has been placed in the docket a rule that may: (1) have an annual estimates that the annualized costs of for the final CPG II. Also included in the effect on the economy of $100 million today’s rule will range from $4.5 to $8.4 public docket is a list of states with or more or adversely affect, in a material million, with costs being spread across recycled content products purchasing way, the economy, a sector of the all procuring agencies (i.e., Federal programs, current as of April 1994. economy, productivity, competition, agencies, State and local agencies that Information is also available from trade jobs, the environment, public health or use appropriated Federal funds to associations whose members safety, or State, local, or tribal procure designated items, and manufacture or distribute products governments or communities; (2) create government contractors). These costs are containing recovered materials. These serious inconsistency or otherwise annualized over a 10-year period at a trade associations are included in the interfere with an action taken or three percent discount rate. Because updated lists of product manufacturers planned by another agency; (3) there is considerable uncertainty and vendors described above. materially alter the budgetary impact of regarding several of the parameters that Additionally, Environmental entitlements, grants, user fees, or loan drive the costs, EPA conducted Newsletters, Inc., publisher of Waste programs or the rights and obligations of sensitivity analyses to identify the range Reduction Tips, prepared a directory of recipients; or (4) raise novel legal or of potential costs of today’s rule. Thus, recycled product directories. EPA has policy issues arising out of legal high-end and low-end estimates are placed the ‘‘1996 Directory of Recycled mandates, the President’s priorities, or presented along with the best estimate. Product Directories,’’ from the principles set forth in the Executive The primary parameter affecting the Environmental Newsletters’ Recycled Order. range of cost estimates is the number of Products Business Letter, in the public EPA estimates that the costs products each procuring agency is docket for the final CPG II. associated with today’s rule is well assumed to procure each year. Details of Environmental Newsletters, Inc. can be below the $100 million threshold. To the costs associated with today’s final reached at 703 758–8436 for further enable the Agency to evaluate the rule are provided in the Economic information. potential impact of today’s action, EPA Impact Analysis for this rule.

TABLE 2.ÐSUMMARY OF ANNUALIZED COSTS OF CPG II AMENDMENTS TO ALL PROCURING AGENCIES

Best estimate Total total Procuring agency annualized annualized costs ($1000) costs ($1000)

Federal Agencies ...... 5,008±2,584 5,008 States ...... 926±520 926 Local Governments ...... 2,337±1,324 1,700 Contractors ...... 81±27 54 Total ...... 8,352±4,455 8,352

As a result of today’s action, activities. Table 2 also includes impacts to individual businesses. EPA procuring agencies will be required to estimates for Federal agencies that will anticipates that today’s final rule will perform certain activities pursuant to incur costs for specification revisions provide additional opportunities for RCRA section 6002, including rule and affirmative procurement program recycling businesses to begin supplying review and implementation; estimation, modification. More details of the costs recovered materials to manufacturers certification, and verification of associated with today’s rule are and products made from recovered designated item procurement; and for included in the Economic Impact materials to procuring agencies. In Federal agencies, reporting and Analysis. addition, other businesses, including recordkeeping. The costs shown in With regard to possible impacts to small businesses, that do not directly Table 2 represent the estimated business, including small businesses, contract with procuring agencies may be annualized costs associated with these there may be both positive and negative affected positively by the increased Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations 60971 demand for recovered materials. These associated with manufacturing. tribal governments in the aggregate, or include businesses involved in Additionally, waste prevention leads to to the private sector, of $100 million or materials recovery programs and a reduction in the environmental more in any one year. When such a materials recycling. Municipalities that impacts of mining, harvesting, and other statement is required for EPA rules, run recycling programs are also extraction processes. under section 205 of the Act EPA must expected to benefit from increased Recycling can effect the more efficient identify and consider alternatives, demand for certain materials recovered use of natural resources. For many including the least costly, most cost- from municipal solid waste. products, the use of recovered materials effective or least burdensome alternative EPA is unable to determine the in manufacturing can result in that achieves the objectives of the rule. number of businesses, including small significantly lower energy and material EPA must select that alternative, unless businesses, that may be adversely input costs than when virgin raw the Administrator explains in the final impacted by today’s final rule. It is materials are used; reduce the rule why it was not selected or it is possible that if a business that currently generation and release of air and water inconsistent with law. Before EPA supplies products to a procuring agency pollutants often associated with establishes regulatory requirements that uses virgin materials only, the manufacturing; and reduce the may significantly or uniquely affect amendments to the CPG may reduce its environmental impacts of mining, small governments, including tribal ability to compete for future contracts. harvesting, and other extraction of governments, it must develop under However, the amendments to the CPG natural resources. For example, section 203 of the Act a small will not affect existing purchase orders, according to information published by government agency plan. The plan must nor will it preclude businesses from the Steel Recycling Institute, recycling provide for notifying potentially adapting their product lines to meet one ton of steel saves nearly 11 million affected small governments, giving them new specifications or solicitation Btus of energy; 2,500 lbs. of ore; 1,000 meaningful and timely input in the requirements for products containing lbs. of coal; and 40 lbs. of limestone. development of EPA regulatory recovered materials. Thus, many Recycling can also reduce greenhouse proposals with significant Federal businesses, including small businesses, gas emissions associated with intergovernmental mandates, and that market to procuring agencies have manufacturing new products. When informing, educating, and advising them the option to adapt their product lines compared to landfilling, recycling one on compliance with the regulatory to meet specifications. ton of high density polyethylene, low requirements. density polyethylene, or polyethylene EPA has determined that today’s final 2. Product Cost terephthalate plastic can reduce rule does not include a Federal mandate Another potential cost of today’s greenhouse gas emissions by up to 0.64 that may result in estimated annualized action is the possible price differential metric tons of carbon equivalent costs of $100 million or more to either between an item made with recovered (MTCE). In addition to conserving non- State or local governments in the materials and an equivalent item renewable resources and reducing the aggregate, or to the private sector. To the manufactured using virgin materials. environmental impacts associated with extent enforceable duties arise as a The relative prices of recycled content resource extraction and processing, result of this rule on State and local products compared to prices of recycling can also divert large amounts governments, they are exempt from comparable virgin products vary. In of materials from landfills, conserving inclusion as Federal inter-governmental many cases, recycled content products increasingly valuable space for the mandates if such duties are conditions are less expensive than their virgin management of materials that truly of Federal assistance. Even if they are counterparts. In other cases, virgin require disposal. not conditions of Federal assistance, products have lower prices than By purchasing products made from such enforceable duties do not result in recycled content products. Many factors recovered materials, government a significant regulatory action being can affect the price of various products. agencies can increase opportunities for imposed upon State and local For example, temporary fluctuations in realizing these benefits. On a national governments since the estimated the overall economy can create and regional level, today’s final rule can aggregate cost of compliance for them oversupplies of virgin products, leading result in expanding and strengthening are not expected to exceed, at the to a decrease in prices for these items. markets for materials diverted or maximum, $2.6 million annually. The Under RCRA section 6002(c), procuring recovered through public and private cost of enforceable duties which may agencies are not required to purchase a collection programs. Also, since many arise as a result of today’s rule on the product containing recovered materials State and local governments, as well as private sector are estimated not to if it is only available at an unreasonable private companies, reference EPA exceed $54,000 annually. Thus, today’s price. However, the decision to pay guidelines when purchasing designated rule is not subject to the written more or less for such a product is left items, this rule can result in increased statement requirement in sections 202 to the procuring agency. purchase of recycled products, locally, and 205 of the Act. regionally, and nationally and provide The newly designated items included 3. Summary of Benefits opportunities for businesses engaged in in the CPG may give rise to additional EPA anticipates that today’s final rule recycling activities. obligations under section 6002(i) will result in increased opportunities for (requiring procuring agencies to adopt recycling and waste prevention (e.g., B. Unfunded Mandates Reform Act of affirmative procurement program and to from reinking ribbons or repairing 1995 and Consultation with State, Local, amend their specifications) for state and pallets). Waste prevention can reduce and Tribal Governments local governments. As noted above, the the nation’s reliance on natural Under section 202 of the Unfunded expense associated with any additional resources by reducing the amount of Mandates Reform Act of 1995 (the Act), costs is not expected to exceed, at the materials used in making products. Less P.L. 104–4, which was signed into law maximum, $2.6 million annually. In raw materials use results in a on March 22, 1995, EPA generally must compliance with E.O. 12875, which commensurate reduction in energy use prepare a written statement for rules requires the involvement of State and and a reduction in the generation and with Federal mandates that may result local governments in the development release of air and water pollutants in estimated costs to State, local, or of certain Federal regulatory actions, 60972 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations

EPA conducts a wide outreach effort that are dispersed to specific counties. than items produced from virgin and actively seeks the input of In addition, EPA assumed that 1,000 material. representatives of state and local contractors may be affected. A Similarly, EPA has concluded that the governments in the process of description of this information is economic impact on small entities that developing its guidelines. provided in the Economic Impact are small businesses would not be When EPA proposes to designate Analysis for today’s rule. significant. The CPG applies to small items in the CPG, information about the D. Regulatory Flexibility Act and Small businesses that are ‘‘procuring proposal is distributed to governmental agencies.’’ The potential economic organizations so that they can inform Business Regulatory Enforcement Fairness Act impact of the CPG on small businesses their members about the proposals and that are ‘‘procuring agencies’’ is solicit their comments. These The Regulatory Flexibility Act (RFA), minimal. organizations include the U.S. 5 U.S.C. 601 et seq., as amended by the RCRA section 6002 applies to a Conference of Mayors, the National Small Business Regulatory Enforcement contractor with a Federal agency (or a Association of Counties, the National Fairness Act, provides that, whenever state or local agency that is a procuring Association of Towns and Townships, an agency promulgates a final rule agency under Section 6002) when the the National Association of State under 5 U.S.C. 553, after being required contractor is purchasing a designated Purchasing Officials, and the American by that section or any other law to item, is using Federal money to do so, Association of State Highway and public a general notice of proposed and exceeds the $10,000 threshold. Transportation Officials. EPA also rulemaking, the agency must prepare a There is an exception for purchases that final regulatory flexibility analysis provides information to potentially are ‘‘incidental to’’ the purposes of the (FRFA). The agency must prepare an affected entities through relevant contract, i.e., not the direct result of the FRFA for a final rule unless the head of recycling, solid waste, environmental, funds disbursement. For example, a the agency certifies that it will not have and industry publications. In addition, courier service contractor is not a significant economic impact on a EPA’s regional offices sponsor and required to purchase re-refined oil and substantial number of small entities. participate in regional and state retread tires for its fleets because The Administrator is today certifying, meetings at which information about purchases of these items are incidental pursuant to section 605(b) of the RFA, proposed and final designations of items to the purpose of the contract. that the final rule will not have a in the CPG is presented. Finally, EPA Therefore, as a practical matter, there significant economic impact on a has sponsored buy-recycled education would be very limited circumstances and outreach activities by organizations substantial number of small entities. when a contractor’s status as a such as the U.S. Conference of Mayors, Therefore, the Agency did not prepare ‘‘procuring agency’’ for section 6002 the Northeast Recycling Council, the an FRFA. purposes would impose additional costs Environmental Defense Fund, Keep The final rule will not have a on the contractor. Thus, for example, if America Beautiful, and the California significant economic impact on a the State or Federal agency is Local Government Commission, whose substantial number of small entities for contracting with a supplier to obtain a target audience includes small the following reasons. The RFA defines designated item, then the cost of the governmental entities. ‘‘small entity’’ to mean a small business, The requirements do not significantly small organization or small designated item (and any associated affect small governments because they governmental jurisdiction. EPA’s action costs of meeting section 6002 are subject to the same requirements as today in designating 12 new items that requirements) to the supplier other entities whose duties result from are or may be produced with recovered presumably will be fully recovered in today’s rule. As discussed above, the materials content may establish the contract price. Any costs to small expense associated with any additional requirements applicable, in some cases, businesses that are ‘‘procuring agencies’’ costs to State and local governments, is to small governmental jurisdictions and (and subject to section 6002) are likely not expected to exceed, at the small businesses. to be insubstantial. Even if a small maximum, $2.6 million annually. The In the case of small entities which are business is required to purchase other requirements do not uniquely affect small governmental jurisdictions, EPA items with recovered materials content, small governments because they have has concluded that the rule will not such items may be less expensive than the same ability to purchase these have a significant economic impact. items with virgin content. designated items as other entities whose EPA concluded that no small Therefore, EPA provides the following duties result from today’s rule. government with a population of less certification under the Regulatory Additionally, use of designated items than 50,000 is likely to incur costs Flexibility Act, as amended by the affects small governments in the same associated with the designation of the Small Business Regulatory Enforcement manner as other such entities. Thus, any 12 items because it is improbable that Fairness Act. Pursuant to the provision applicable requirements of section 203 such jurisdictions will purchase more at 5 U.S.C. § 605(b), I hereby certify that have been satisfied. than $10,000 of any designated item. today’s designations will not have a Consequently, section 6002 would not significant economic impact on a C. Impacted Entities apply to their purchases of designated substantial number of small entities. RCRA section 6002 applies to items. Moreover, there is no evidence Because today’s action does not impose procuring agencies that use at least a that complying with the requirements of significant new burdens on small portion of Federal funds to procure over section 6002 would impose significant entities, this rule does not require a final $10,000 worth of a designated product additional costs on the small regulatory flexibility analysis. in a given year. EPA estimates that this governmental entity to comply in the The basis for EPA’s conclusions that rule would apply to 35 Federal agencies, event that a small governmental today’s rule will not have a significant all 56 states and territories and 1,900 jurisdiction purchased more than impact on a substantial number of small local governments. EPA calculated the $10,000 worth of a designated item. entities is described in greater detail in number of local entities that would be This is the case because in many the ‘‘Economic Impact Analysis’’ for the impacted based on information instances items with recovered rule which is located in the RCRA regarding the amount of Federal funds materials content may be less expensive public docket. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations 60973

While not a factor relevant to IX. Submission to Congress and the 3. In § 247.3, the following definitions determining whether the rule will have General Accounting Office are added alphabetically: a significant impact for RFA purposes, Under 5 U.S.C. 801(a)(1)(A) as added §247.3 Definitions. EPA believes that the effect of today’s by the Small Business Regulatory * * * * * rule would be to provide positive Enforcement Fairness Act of 1996, EPA opportunities to businesses engaged in submitted a report containing this rule Channelizers means highly visible recycling and the manufacture of and other required information to the barrels or drums that can be positioned recycled products. Purchase and use of U.S. Senate, the U.S. House of to direct traffic through detours; recycled products by procuring agencies Representatives, and the Comptroller Delineator means a highly visible increase demand for these products and General of the General Accounting pavement marker that can be positioned result in private sector development of Office prior to publication of the rule in to direct traffic or define boundaries; new technologies, creating business and today’s Federal Register. This rule is * * * * * employment opportunities that enhance not a ‘‘major rule’’ as defined by 5 Flexible delineator means a highly local, regional, and national economies. U.S.C. 804(2). visible marker that can be positioned to Technological innovation associated direct traffic or define boundaries and with the use of recovered materials can List of Subjects in 40 CFR Part 247 that will flex if struck by a vehicle to translate into economic growth and Environmental protection, prevent damage to the vehicle or the increased industry competitiveness Channelizers, Consolidated latex paint, delineator; worldwide, thereby, creating Construction products, Delineators, * * * * * opportunities for small entities. Flexible delineators, Garden hose, Garden hose means a flexible tubing Garden edging, Government VIII. Supporting Information and that conducts water to a specific procurement, Laminated paperboard, Accessing Internet location; Landscaping products, Latex paint, * * * * * The index of supporting materials for Lawn edging, Office products, Pallets, today’s final CPG II is available in the Park and recreation products, Parking Latex paint means a water-based RCRA Information Center (RIC) and on stops, Plastic fencing, Printer ribbons, decorative or protective covering having the Internet. The address and telephone Procurement guidelines, Recycling, a latex binder; number of the RIC are provided in Reprocessed latex paint, Restroom Lawn edging means a barrier used ADDRESSES above. The index and the dividers/partitions, Shower dividers/ between lawns and landscaped areas or following supporting materials are partitions, Soaker hose, Structural garden beds to prevent grass roots or available in the RIC and on the Internet: fiberboard, Temporary traffic control weeds from spreading to the landscaped areas; ‘‘Final CPG II/RMAN II Background devices, Transportation products. * * * * * Document,’’ U.S. EPA, Office of Solid Dated: October 8, 1997. Waste and Emergency Response, Pallet means a portable platform for Carol M. Browner, storing or moving cargo or freight; September 1997. Administrator. Copies of the following supporting * * * * * materials are available for viewing at the For the reasons set out in the Parking stop means a barrier used to RIC only: preamble, title 40 , chapter I of the Code mark parking spaces and keep parked of Federal Regulations, part 247, is ‘‘Economic Impact Analysis for the vehicles from rolling beyond a amended as set forth below. Final Comprehensive Procurement designated parking area; Guideline II,’’ U.S. Environmental PART 247ÐCOMPREHENSIVE * * * * * Protection Agency, August 1997. PROCUREMENT GUIDELINE FOR Plastic fencing means a barrier with ‘‘Ex Parte Meeting Notes, Meeting PRODUCTS CONTAINING an open-weave pattern that can be used Between U.S. Environmental Protection RECOVERED MATERIALS to control drifting snow or sand by Agency and National Paint & Coatings restricting the force of wind and to Association, June 17, 1997.’’ 1. The authority citation for part 247 provide a warning or barrier in ‘‘Letter to Dana F. Arnold, U.S. continues to read as follows: construction and other areas; Environmental Protection Agency, from Authority: 24 U.S.C. 6912(a) and 6962; * * * * * National Paint & Coatings Association, E.O. 12873, 58 FR 54911. Printer ribbon means a nylon fabric July 28, 1997.’’ 2. In § 247.2, paragraph (d) is added designed to hold ink and used in dot ‘‘Telephone Notes, Testing of to read as follows: matrix and other types of impact Reprocessed/consolidated Latex Paint, printers; § 247.2 Applicability. Between Dana Arnold, U.S. * * * * * Environmental Protection Agency and * * * * * Restroom divider/partition means a (d) RCRA section 6002(c)(1) requires Sue Drozdz, Army Corps of Engineers, barrier used to provide privacy in public procuring agencies to procure May 19, 1997.’’ restroom facilities; ‘‘National Association of State designated items composed of the highest percentage of recovered * * * * * Purchasing Officials, 1996–1997 Shower divider/partition means a Membership Roster.’’ materials practicable, consistent with maintaining a satisfactory level of water-proof barrier used to provide Follow these instructions to access privacy in public shower facilities; the information electronically: competition, considering such guidelines. Procuring agencies may Soaker hose means a perforated WWW: http://www.epa.gov/epaoswer/ decide not to procure such items if they flexible tubing that is used to deliver # non-hw/index.htm procure. are not reasonably available in a gentle irrigation to plants; FTP: ftp.epa/gov reasonable period of time; fail to meet * * * * * Login: anonymous reasonable performance standards; or 4. Section 247.12 is amended by Password: your Internet address are only available at an unreasonable adding new paragraphs (f) and (g) to Files are located in /pub/epaoswer. price. read as follows: 60974 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations

§ 247.12 Construction products. (b) Parking stops made from concrete § 247.15 Landscaping products. * * * * * or containing recovered plastic or * * * * * rubber. (f) Shower and restroom dividers/ (c) Garden and soaker hoses (c) Channelizers containing recovered containing recovered plastic or rubber. partitions containing recovered plastic plastic or rubber. or steel. (d) Lawn and garden edging (d) Delineators containing recovered containing recovered plastic or rubber. (g)(1) Consolidated latex paint used plastic, rubber, or steel. 8. In § 247.16, new paragraphs (f) and for covering graffiti; and (e) Flexible delineators containing (g) are added to read as follows: (2) Reprocessed latex paint used for recovered plastic. interior and exterior architectural 6. Section 247.14 is amended by § 247.16 Non-paper office products. applications such as wallboard, ceilings, redesignating the existing text as * * * * * and trim; gutter boards; and concrete, paragraph (a) and by adding a new (f) Printer ribbons. stucco, masonry, wood, and metal paragraph (b) to read as follows: (g) Plastic envelopes. surfaces. § 247.14 Park and recreation products. 9. Section 247.17 is revised to read as follows: 5. Section 247.13 is amended by * * * * * redesignating the existing text as (b) Plastic fencing containing § 247.17 Miscellaneous products. paragraph (a) and by adding new recovered plastic for use in controlling (a) Pallets containing recovered wood, paragraphs (b), (c), (d), and (e) to read snow or sand drifting and as a warning/ plastic, or paperboard. as follows: safety barrier in construction or other (b) (Reserved) applications. § 247.13 Transportation products. 7. In § 247.15, new paragraphs (c) and [FR Doc. 97–29734 Filed 11–12–97; 8:45 am] * * * * * (d) are added to read as follows: BILLING CODE 6560±50±P federal register November 13,1997 Thursday Notice ofAvailability Recovered MaterialsAdvisoryNoticeII; Protection Agency Environmental Part IV 60975 60976 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

ENVIRONMENTAL PROTECTION (703) 603–9230. The public may copy a with these agencies (with respect to AGENCY maximum of 100 pages from any work performed under the contract). regulatory docket at no charge. The requirements of section 6002 apply [SWH±FRL±5909±7] Additional copies cost $0.15/page. The to such procuring agencies only when Recovered Materials Advisory Notice II index and some supporting materials procuring a designated item where the are available electronically. See Section price of the item exceeds $10,000 or AGENCY: Environmental Protection V of the ‘‘Supplementary Information’’ when the quantity of the item, or Agency. section below for information on functionally equivalent items, ACTION: Notice of Availability of Final accessing the documents electronically. purchased in the previous year Document. FOR FURTHER INFORMATION CONTACT: exceeded $10,000. General procurement guidelines Executive Order 12873 (58 FR 54911, SUMMARY: The Environmental Protection information: RCRA Hotline at (800) October 22, 1993) directs EPA to Agency is providing notice of the 424–9346, TDD (800) 553-7672 (hearing designate items in a Comprehensive availability of the final Recovered impaired) or, in the Washington, DC Procurement Guideline (CPG) and Materials Advisory Notice II (RMAN II) area at (703) 412–9810 or TDD (703) publish guidance that contains EPA’s and supporting materials. The final 412-3323. recommended recovered materials RMAN II contains EPA’s Technical information on individual content levels for the designated items recommendations for purchasing 12 item recommendations: For paper and in Recovered Materials Advisory items designated in the final paper products, vehicular products, Notices (RMAN). The Executive Order Comprehensive Procurement Guideline construction products, non-paper office further directs EPA to update the CPG II, which is published elsewhere in products, and pallets: Dana Arnold, annually and the RMAN periodically to today’s Federal Register. This action (703) 308–7279; for landscaping reflect changes in market conditions. will promote recycling by using products, transportation products, and EPA codifies the CPG designations in government purchasing to expand park and recreation products: Terry the Code of Federal Regulations (CFR), markets for recovered materials. Under Grist, (703) 308–7257. but, because the recommendations are section 6002 of the Resource guidance, the RMAN is not codified in SUPPLEMENTARY INFORMATION: Conservation and Recovery Act of 1976, the CFR. This process enables EPA to EPA designates items that are or can be Preamble Outline make timely revisions to its made with recovered materials and I. Authority recommendations in response to provides recommendations for the II. Background changes in a product’s availability or III. Definitions procurement of these items. The 12 recovered materials content. IV. Agency’s Response to Comments EPA issued the CPG I and RMAN I on items for which EPA is making A. Ink Jet Cartridges recommendations are shower and B. Comments on Other Items May 1, 1995 (60 FR 21370 and 21386, restroom dividers/partitions, V. Supporting Information and Accessing respectively). CPG I designated 19 items consolidated and reprocessed latex Internet and consolidated five previous item designations made in earlier EPA paint for specified uses, parking stops, I. Authority channelizers, delineators, flexible procurement guidelines, and RMAN I delineators, plastic fencing for specified The Recovered Materials Advisory recommended purchasing practices for uses, garden and soaker hoses, lawn and Notice II (RMAN II) is published under these 24 items. On November 7, 1996, garden edging, printer ribbons, plastic the authority of sections 2002(a) and EPA published CPG II (61 FR 57747), envelopes, and pallets. The final RMAN 6002 of the Solid Waste Disposal Act, as which proposed to designate an II contains recommended recovered amended by the Resource Conservation additional 13 items. EPA concurrently materials content levels for these items and Recovery Act of 1976 (RCRA), as published a draft RMAN II (61 FR and other purchasing recommendations. amended, 42 U.S.C. 6912(a) and 6962; 57759). The 13 items proposed for In addition, today’s final RMAN II and Executive Order 12873 (58 FR designation were: shower and restroom clarifies recommendations for floor tiles 54911, October 22, 1993). dividers, latex paint, parking stops, channelizers, delineators, flexible previously made in a May 1, 1995 II. Background RMAN (60 FR 21392). delineators, snow fencing, garden and Section 6002 of RCRA establishes a soaker hoses, lawn and garden edging, EFFECTIVE DATES: The recommendations Federal buy-recycled program. RCRA printer ribbons, ink jet cartridges, for purchasing the 12 newly-designated section 6002(e) requires EPA to (1) plastic envelopes, and pallets. The draft items are effective November 13, 1998. designate items that are or can be RMAN II also provided clarification of The clarifications to the produced with recovered materials and EPA’s 1995 recommendations for recommendations for purchasing floor (2) prepare guidelines to assist purchasing floor tiles containing tiles are effective upon publication. procuring agencies in complying with recovered materials. In today’s final ADDRESSES: The public docket for this affirmative procurement requirements RMAN II, EPA is publishing notice is Docket F–97-CP2F-FFFFF. set forth in paragraphs (c), (d), and (i) of recommendations for 12 of the 13 items, Documents related to today’s notice are section 6002. Once EPA has designated as well as the floor tiles clarification. available for viewing in the RCRA an item, section 6002 requires that any For reasons discussed in subsection A Information Center (RIC), which is procuring agency using appropriated below, EPA has decided not to designate located at U.S. Environmental Federal funds to procure that item must ink jet cartridges and, therefore, is not Protection Agency, Crystal Gateway purchase it containing recovered publishing draft recommendations for One, 1235 Jefferson Davis Highway, materials to the maximum extent purchasing this item. Ground Floor, Arlington, VA 22202. The practicable. For the purposes of RCRA EPA, once again, wants to stress that RIC is open from 9 a.m. to 4 p.m., section 6002, procuring agencies the recommendations in its RMAN are Monday through Friday, except for include the following: (1) any Federal just that—recommendations and Federal holidays. To review docket agency; (2) any State or local agencies guidance to procuring agencies in materials, it is recommended that the using appropriated Federal funds for a fulfilling their obligations under section public make an appointment by calling procurement; and (3) any contractors 6002. The designation of an item as one Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60977 that is or can be manufactured with a reference for the convenience of the industry terminology, EPA revised the recovered materials and the inclusions reader. term in the final CPG II and is using the of recommended content levels for an Postconsumer materials means a material term ‘‘dividers/partitions’’ in today’s item in an RMAN do not compel the or finished product that has served its final RMAN II. procurement of an item when it is not intended end use and has been diverted or Commenters also recommended suitable for an agency’s intended recovered from waste destined for disposal, revisions to the recovered materials purpose. Section 6002 is explicit in this having completed its life as a consumer item. content recommendations for steel regard when it authorizes a procuring Postconsumer material is part of the broader shower and restroom dividers, white agency not to procure a designated item category of recovered materials. and other light-colored reprocessed which ‘‘fails to meet the performance Recovered materials means waste materials latex paints, and plastic pallets. Based standards set forth in the applicable and byproducts which have been recovered on the information provided by these or diverted from solid waste, but such term commenters and additional research, specification or fails to meet the does not include those materials and reasonable performance standards of the byproducts generated from, and commonly EPA revised the recommendations for procuring agencies.’’ Section 6002(1)(B), used within an original manufacturing these items in today’s final RMAN II. 42 U.S.C. 6962(c)(B). process. EPA revised the steel content Thus, for example, in the final CPG II recommendations, added content published elsewhere in today’s Federal IV. Agency’s Response to Public recommendations for white and other Register, EPA is designating shower and Comments light-colored reprocessed latex paint, restroom dividers/partitions as items A. Ink Jet Cartridges and distinguished between plastic that are or can be produced with lumber pallets and thermoset plastic recovered materials. The Agency’s EPA received comments opposing the pallets in recommending content levels research shows that these items are proposed designation of ink jet for plastic pallets. available in either steel or plastic cartridges. These comments raised solid In addition, in the final CPG II containing recovered materials. waste, performance, quality, published in the final rules section of However, the mere fact that these items availability, and patent and trademark today’s Federal Register, EPA revised are available containing recovered concerns. After considering the the latex paint designation from the materials does not require the information submitted by commenters, broad category ‘‘latex paint’’ to a more procurement of steel or plastic dividers/ EPA tentatively concluded that there specific designation of ‘‘consolidated partitions in every circumstance. The was insufficient evidence to support a latex paint used for covering graffiti and choice of appropriate materials used in designation of ink jet cartridges at this reprocessed latex paint used for interior construction remains with building time. On April 14, 1997, EPA published and exterior architectural applications engineers and architects. The effect of a Notice of Data Availability in the such as wallboard, ceilings, and trim; designation (and section 6002) is simply Federal Register (62 FR 18072) in order gutter boards; and concrete, stucco, to require the purchase of items with to notify interested parties of the masonry, wood, and metal surfaces.’’ recovered materials where consistent tentative decision not to designate ink Because the more specific designation with the purpose for which the item is jet cartridges, summarize the includes the applications that EPA to be used. Procuring agencies remain information available to the Agency, previously had recommended in the free to procure dividers/partitions made and request further public comment. draft RMAN II, EPA has deleted those of materials other than steel or plastic EPA received only two responses to recommendations from Section C–7 of (e.g., wood) where the design the April 14 notice—one from a vendor the final RMAN II. EPA also added a specifications call for other materials. of ink jet refilling equipment and note to the table of recommended additional information from one of the content levels for reprocessed and III. Definitions original commenters. The vendor consolidated latex paint informing Today’s final RMAN II recommends appears to have promising technology agencies that the recommendations postconsumer or recovered materials for resolving many of the performance applied to reprocessed and consolidated content levels at which EPA believes the and solid waste issues raised by latex paints used for the designated designated items are generally available. commenters. The vendor did not, applications. For shower and restroom dividers/ however, submit sufficient information Similarly, in today’s final CPG II, EPA partitions, plastic fencing, lawn and to change EPA’s earlier conclusion that revised the snow fencing designation to garden edging, and plastic envelopes, there is insufficient information to ‘‘plastic fencing containing recovered the RMAN II recommends two-part support designating ink jet cartridges at plastic for use in controlling snow or content levels—a postconsumer this time. Therefore, EPA is not sand drifting and as a warning/safety recovered materials component and a designating ink jet cartridges in the final barrier in construction or other total recovered materials component. In CPG II published elsewhere in today’s applications.’’ In the final RMAN II, these instances, EPA found that both Federal Register. EPA also is deleting EPA added information about types of materials were being used to the recommendations for purchasing ink specifications for plastic fencing used manufacture these products. jet cartridges from today’s final RMAN for warning and safety barriers. Recommending only postconsumer II. EPA will continue to monitor Commenters also provided additional content levels would be contrary to the developments in ink jet cartridge and information about specifications and RCRA mandate to maximize the use of refilling/remanufacturing technology available sources of the designated recovered materials because it would and will consider designating ink jet products. These comments have been fail to acknowledge the contribution to cartridges in the future. incorporated into today’s final RMAN II. solid waste management made by A summary of all of the comments manufacturers using other recovered B. Comments on Other Items and the Agency’s response are provided materials as feedstock. The terms EPA received only a few comments on in the document entitled ‘‘Final CPG II/ ‘‘recovered materials’’ and the draft RMAN II. One commenter RMAN II Background Document.’’ A ‘‘postconsumer materials’’ are defined recommended that EPA refer to shower copy of this document has been placed in the CPG at 40 CFR 247.3. These and restroom dividers as ‘‘dividers/ in the docket for the final RMAN II. See definitions are repeated in this notice as partitions.’’ After researching common ADDRESSES above for information 60978 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices about reviewing documents in the with section 6002 of the Resource I. General Recommendations public docket. Conservation and Recovery Act (RCRA). These recommendations are intended to (See the May 1, 1995 RMAN for EPA’s V. Supporting Information and be used in conjunction with the RMAN general recommendations for Accessing Internet issued on May 1, 1995 (60 FR 21386) definitions, specifications, and The index of supporting materials for and the Paper Products RMAN issued affirmative procurement programs.) today’s final RMAN II is available in the on May 29, 1996 (61 FR 26985). Refer II. Specific Recommendations for RCRA Information Center (RIC) and on to the May 1, 1995 RMAN for Procurement of Designated Items the Internet. The address and telephone definitions, general recommendations number of the RIC are provided in for affirmative procurement programs, (See the May 1, 1995 RMAN and the ADDRESSES above. The index and the and recommendations for previously May 29, 1996 Paper Products RMAN for following supporting materials are designated items. recommendations for purchasing available on the Internet: Contents previously-designated items.) ‘‘Final CPG II/RMAN II Background Document,’’ U.S. EPA, Office of Solid I. General Recommendations Part C—Construction Products Waste and Emergency Response, II. Specific Recommendations for Procurement of Designated Items Note: Refer to Section E–2—Plastic Fencing September 1997. Containing Recovered Plastic for Specified Copies of the following supporting Part C—Construction Products Uses and to Part F—Landscaping Products materials are available for viewing at the Section C–5—Floor Tiles and Patio Blocks for additional items that can be used in RIC only: Containing Recovered Plastic or Rubber construction applications. ‘‘Ex Parte Meeting Notes, Meeting Section C–6—Shower and Restroom Dividers/Partitions Containing Section C–5—Floor Tiles and Patio Between U.S. Environmental Protection Blocks Containing Recovered Plastic or Agency and National Paint & Coatings Recovered Plastic or Steel Section C–7—Reprocessed and Consolidated Rubber Association, June 17, 1997.’’ Latex Paints for Specified Uses ‘‘Letter to Dana F. Arnold, U.S. Note: Table C–5 contains a clarification of Environmental Protection Agency, from Part D—Transportation Products EPA’s recommendations for floor tiles. Table National Paint & Coatings Association, Section D–2—Parking Stops Made from C–5 originally was published in the May 1, 1995 RMAN and contained EPA’s July 28, 1997.’’ Concrete or Containing Recovered Plastic or Rubber recommendations for patio blocks, as well as Follow these instructions to access recommendations for floor tiles. For the the information electronically: Section D–3—Channelizers, Delineators, and Flexible Delineators Containing convenience of procuring agencies and other WWW: http://www.epa.gov/epaoswer/ Recovered Plastic, Rubber, or Steel interested parties, EPA is republishing all of #ι Section C–5, including Table C–5, with both non-hw/index.htm procure. Part E—Park and Recreation Products FTP: ftp.epa/gov the floor tiles and patio blocks Login: anonymous Section E–2—Plastic Fencing Containing recommendations. Readers should note that Password: your Internet address Recovered Plastic for Specified Uses no change has been made to the Files are located in /pub/epaoswer. Part F—Landscaping Products recommendations for patio blocks. Dated: October 8, 1997. Section F–3—Garden and Soaker Hoses Preference Program: EPA Containing Recovered Plastic or Rubber Carol M. Browner, recommends that, based on the Section F–4—Lawn and Garden Edging Administrator. Containing Recovered Plastic or Rubber recovered materials content levels shown in Table C–5, procuring agencies Recovered Materials Advisory Notice II Part G—Non-Paper Office Products establish minimum content standards The following represents EPA’s Section G–6—Printer Ribbons for use in purchasing floor tiles and recommendations to procuring agencies Section G–7—Plastic Envelopes patio blocks. The recommended use of for purchasing the items designated Part H—Miscellaneous Products floor tiles containing recovered today in the Comprehensive Section H–1—Pallets Containing Recovered materials is limited to the applications Procurement Guideline II in compliance Wood, Plastic, or Paperboard cited in Table C–5.

TABLE C±5.ÐRECOMMENDED RECOVERED MATERIALS CONTENT LEVELS FOR FLOOR TILES AND PATIO BLOCKS CONTAINING RECOVERED PLASTIC OR RUBBER

Total recov- Postconsumer ered materials Product Material materials content (%) (%)

Patio Blocks ...... Rubber or rubber blends ...... 90±100 ÐÐ Plastic or plastic Blends ...... ÐÐ 90±100 Floor Tiles (heavy duty/commercial use) ...... Rubber ...... 90±100 ÐÐ Plastic ...... ÐÐ 90±100

NOTES: The use of floor tiles with recovered materials content may be appropriate only for specialty purpose uses (e.g., raised, open-web tiles for drainage on school kitchen flooring). Such specialty purpose uses involve limited flooring areas where grease, tar, snow, ice, wetness or simi- lar substances or conditions are likely to be present. Thus, EPA has no recovered materials content level recommendations for floor tiles made with recovered materials for standard office or more general purpose uses. The recommended recovered materials content levels are based on dry weight of the raw materials, exclusive of any additives such as adhe- sives, binders, or coloring agent. EPA's recommendation does not preclude agencies from purchasing floor tiles or patio blocks manufactured from other materials. It simply recommends that procuring agencies, when purchasing floor tiles or patio blocks made from rubber or plastic, pur- chase these items made from recovered materials when these items meet applicable specifications and performance requirements. Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60979

Section C–6—Shower and Restroom Dividers/Partitions Containing Recovered Plastic or Steel Preference Program: EPA recommends that, based on the recovered materials content levels shown in Table C– 6, procuring agencies establish minimum content standards for use in purchasing shower and restroom dividers/partitions.

TABLE C±6.ÐRECOMMENDED RECOVERED MATERIALS CONTENT LEVELS FOR SHOWER AND RESTROOM DIVIDERS/ PARTITIONS CONTAINING RECOVERED PLASTIC OR STEEL

Postconsumer Total recovered Material materials materials content (%) (%)

Steel ...... 16 20±30 Plastic ...... 20±100 20±100

NOTE: EPA's recommendation does not preclude agencies from purchasing shower and restroom dividers/partitions manufactured from another material, such as wood. It simply recommends that procuring agencies, when purchasing shower and restroom dividers/partitions made from plastic or steel, purchase these items made from recovered materials when these items meet applicable specifications and performance require- ments. Specifications: EPA recommends that procuring agencies use the following specifications when procuring shower and restroom dividers/partitions: (1) The American Institute of Architects (AIA) has issued guidance for specifying construction materials, including plastic and steel dividers/partitions. The AIA guidance is known throughout the construction industry as the ‘‘Masterspec’’ and is available through the U.S. General Services Administration (GSA). (2) U.S. Army Corps of Engineers’ Guide Specification CEGS–10160, Toilet Partitions. Section C–7—Reprocessed and Consolidated Latex Paints for Specified Uses Preference Program: EPA recommends that, based on the recovered materials content levels shown in Table C– 7, procuring agencies establish minimum content standards for use in purchasing reprocessed and consolidated latex paints.

TABLE C±7.ÐRECOMMENDED RECOVERED MATERIALS CONTENT LEVELS FOR REPROCESSED AND CONSOLIDATED LATEX PAINTS

Postconsumer Product latex paint (%)

Reprocessed Latex Paint. White, off-white, and pastel colors ...... 20 Grey, brown, earthtones, and other dark colors ...... 50±99 Consolidated latex paint ...... 100

NOTES: EPA's recommendations apply to reprocessed latex paints used for interior and exterior architectural applications such as wallboard, ceilings, and trim; gutter boards; and concrete, stucco, masonry, wood, and metal surfaces, and to consolidated latex paints used for covering graffiti, where color and consistency of performance are not primary concerns. EPA's recommendation does not preclude agencies from purchasing paints manufactured from other, non-latex materials, such as oil-based paints. It simply recommends that procuring agencies, when purchasing latex paints, purchase these items made from postconsumer recovered materials when these items meet applicable specifications and performance requirements. Reprocessed and consolidated latex paints are available to Federal agencies through the GSA Federal Supply Service by ordering the following stock numbers:

Colors National Stock FEDSTD 595B Numbers Color No. Semi-gloss 8010±01±380±2400 ...... Beige #27769 8010±01±380±2405 ...... Blue-gray #26420 8010±01±380±2438 ...... Sand-green #26307 8010±01±380±2382 ...... Sand-gray #26306 8010±01±380±2331 ...... Gray #26134 8010±01±380±2429 ...... Dark gray #26081 8010±01±380±2338 ...... Green #24491 8010±01±380±2379 ...... Sand #23690 8010±01±380±2332 ...... Tan #23617 8010±01±380±2417 ...... Tan #20372 8010±01±380±2353 ...... Sand-yellow #20318 8010±01±380±2363 ...... Dark brown #20140 8010±01±380±2447 ...... Red brown #20100 Flat 8010±01±380±3293 ...... White #37886 8010±01±380±2425 ...... Beige #37769 60980 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

Colors National Stock FEDSTD 595B Numbers Color No. 8010±01±380±2442 ...... Blue-gray #36650 8010±01±380±2381 ...... Gray #36134 8010±01±380±2367 ...... Dark gray #36081 8010±01±380±2396 ...... Blue #35526 8010±01±380±2366 ...... Green #34491 8010±01±380±2421 ...... Sand #33690 8010±01±380±2351 ...... Tan #33617 8010±01±380±2416 ...... Dark brown #30140

The GSA Federal Supply Service has a free paint brochure available by calling 1–800–241–RAIN or FAX requests to (206) 931–7544. Specifications: (1) EPA recommends that procuring agencies use GSA specification TT–P–2846, Paint, Latex (Recycled with Post-Consumer Waste). This specification applies to interior, exterior, and interior/exterior latex paints intended for use on wallboard, concrete, stucco, masonry, and wood. (2) GSA specification TT–P–2846 requires high content levels (50–90% postconsumer paint). EPA recommends that procuring agencies refer to the requirements and quality assurance provisions in TT–P–2846 when purchasing reprocessed latex paint containing lower levels of postconsumer paint (e.g., whites, off-whites, and pastel colors). Part D—Transportation Products Section D–2—Parking Stops Made from Concrete or Containing Recovered Plastic or Rubber Preference Program: EPA recommends that, based on the recovered materials content levels shown in Table D– 2, procuring agencies establish minimum content standards for use in purchasing parking stops.

TABLE D±2.ÐRECOMMENDED RECOVERED MATERIALS CONTENT LEVELS FOR PARKING STOPS MADE FROM CONCRETE OR CONTAINING RECOVERED PLASTIC OR RUBBERÐContinued

Recovered ma- Material Postconsumer terials content (%) content (%) Plastic and/or rubber ...... 100 ----- Concrete containing coal fly ash ...... ----- 20±40 Concrete containing GGBF slag ...... ----- 25±70

NOTES: Parking stops made with recovered plastics may also include other recovered materials such as sawdust, wood, or fiberglass. The percentage of these materials contained in the product would also count toward the recovered materials content level of the parking stops. ASTM specification C595M±95 Standard Specification for Blended Hydraulic Cements specifies the appropriate mix design, including recov- ered materials content, for concrete containing coal fly ash and GGBF slag. EPA's recommendation does not preclude a procuring agency from purchasing parking stops manufactured from another material. It simply requires that a procuring agency, when purchasing concrete parking stops or parking stops made with plastic or rubber, purchase these items made with recovered materials when these items meet applicable specifications and performance requirements. Section D–3—Channelizers, Delineators, and Flexible Delineators Containing Recovered Plastic, Rubber, or Steel Preference Program: EPA recommends that, based on the recovered materials content levels shown in Table D– 3, procuring agencies establish minimum content standards for use in purchasing channelizers, delineators, and flexible delineators.

TABLE D±3.ÐRECOMMENDED RECOVERED MATERIALS CONTENT LEVELS FOR CHANNELIZERS, DELINEATORS, AND FLEXIBLE DELINEATORS CONTAINING RECOVERED PLASTIC, RUBBER, OR STEEL

Postconsumer Product Material content (%) Channelizers ...... Plastic ...... 25±95 Rubber (base only) ...... 100 Delineators ...... Plastic ...... 25±90 Rubber (base only) ...... 100 Steel (base only) ...... 25±50 Flexible delineators ...... Plastic ...... 25±85

NOTE: EPA's recommendation does not preclude a procuring agency from purchasing channelizers, delineators, or flexible delineators manu- factured from another material. It simply requires that a procuring agency, when purchasing these items made from rubber, plastic, or steel, purchase them made with recovered materials when these items meet applicable specifications and performance requirements. Specifications: EPA recommends that procuring agencies use the following specifications when procuring channelizers, delineators, and flexible delineators: (1) The Federal Highway Administration’s Manual on Uniform Traffic Control Devices contains specifications for the size, shape, mounting, and placement of temporary traffic control devices. (2) The States of Florida and North Carolina have specifications that require the use of recovered materials in their flexible delineators. The California Department of Transportation (CALTRANS) has specifications for ‘‘Drivable Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60981

Flexible Plastic Guide Marker and Clearance Marker Posts.’’ A copy of these specifications are available from the RCRA Hotline at 1–800-424–9346. Part E—Park and Recreation Products Section E–2—Plastic Fencing Containing Recovered Plastic for Specified Uses Preference Program: EPA recommends that, based on the recovered materials content levels shown in Table E– 2, procuring agencies establish minimum content standards for use in purchasing plastic fencing for use in controlling snow or sand drifting and as a warning/safety barrier in construction or other applications.

TABLE E±2.ÐRECOMMENDED RECOVERED MATERIALS CONTENT LEVELS FOR FENCING CONTAINING RECOVERED PLASTIC

Total recov- Material Postconsumer ered materials content (%) content (%)

Plastic ...... 60±100 90±100

NOTE: EPA's recommendation does not preclude a procuring agency from purchasing fencing manufactured from another material, such as wood. It simply requires that a procuring agency, when purchasing plastic fencing, purchase this item made with recovered materials when this item meets applicable specifications and performance requirements. Specifications: The State of New York developed a specification for orange-colored plastic fencing used for snow barriers, warning barriers, and safety barriers, but discontinued its use because the state did not purchase enough fencing to warrant maintaining the specification. Height varied, depending on application, from four to six feet. Weight varied from 17 pounds per 100 foot section for warning barriers to 48 pounds per 100 foot section for snow fencing to 66 pounds per 100 foot section for six-foot safety barrier fencing. The New York specification also addressed mesh size, porosity, service temperature range, and strength for each application. A copy of this specification is available from the RCRA Hotline by calling 1–800–424–9346. Part F—Landscaping Products Section F–3—Garden and Soaker Hoses Containing Recovered Plastic or Rubber Preference Program: EPA recommends that, based on the recovered materials content levels shown in Table F– 3, procuring agencies establish minimum content standards for use in purchasing garden and soaker hoses.

TABLE F±3.ÐRECOMMENDED RECOVERED MATERIALS CONTENT LEVELS FOR GARDEN AND SOAKER HOSES CONTAINING RECOVERED PLASTIC OR RUBBER

Postconsumer Product Material content (%) Garden hose ...... Rubber and/or plastic ...... 60±65 Soaker hose ...... Rubber and/or plastic ...... 60±70

NOTES: EPA's recommendation does not preclude a procuring agency from purchasing garden and soaker hoses manufactured from another material. It simply requires that a procuring agency, when purchasing garden and soaker hoses made from plastic or rubber, purchase these items made with recovered materials when these items meet applicable specifications and performance requirements. The Green Seal specification for watering hoses includes a 50 percent postconsumer content level. However, all companies from which EPA obtained information manufacture garden and/or soaker hoses with at least 60 percent postconsumer content. Specifications: EPA recommends that procuring agencies use the following specifications when procuring garden and soaker hoses: (1) ASTM D3901 Consumer Specification for Garden Hose. The specification addresses physical and performance characteristics (pressure, tensile, and ripping strength tests) and states that the material components are to be agreed upon by the purchaser and seller. (2) Green Seal GC–2: Watering Hoses. The standard calls for the use of 50 percent postconsumer rubber material in garden hoses and 65 percent postconsumer rubber material in soaker hoses. EPA recommends that, when purchasing garden hoses, procuring agencies reference the technical requirements of this specification but set a higher content standard. Section F–4—Lawn and Garden Edging Containing Recovered Plastic or Rubber Preference Program: EPA recommends that, based on the recovered materials content levels shown in Table F– 4, procuring agencies establish minimum content standards for use in purchasing lawn and garden edging.

TABLE F±4.ÐRECOMMENDED RECOVERED MATERIALS CONTENT LEVELS FOR LAWN AND GARDEN EDGING CONTAINING RECOVERED PLASTIC OR RUBBER

Total recovered Material Postconsumer materials con- content (%) tent (%) Plastic and/or rubber ...... 30±100 30±100

NOTES: EPA's recommendation does not preclude a procuring agency from purchasing lawn and garden edging manufactured from another material, such as wood. It simply requires that a procuring agency, when purchasing lawn and garden edging made from plastic and/or rubber, purchase these items made with recovered materials when these items meet applicable specifications and performance requirements. 60982 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

Part G—Non-Paper Office Products Section G–6—Printer Ribbons Preference Program: Minimum content standards are not appropriate for remanufactured items, such as printer ribbons, because a core part of the item is reused in the new product, even though certain components of a printer ribbon may contain recovered materials. In lieu of content standards, EPA recommends that procuring agencies adopt one or both of the following approaches: (1) procure printer ribbon reinking or reloading services or (2) procure reinked or reloaded printer ribbons. EPA further recommends that procuring agencies establish policies that give priority to reinking or reloading their expended printer ribbons. If reinking and reloading services are unavailable, procuring agencies should attempt to purchase reinked or reloaded printer ribbons. GSA offers remanufactured printer ribbons on the New Item Introductory Schedule (NIIS). Specifications: The State of Alabama has a specification for reinked ribbons which requires the ribbons to be vacuum cleaned, reinked, and rewound to proper tension. A copy of this specification is available from the RCRA Hotline at 1–800–424–9346. Section G–7—Plastic Envelopes Preference Program: EPA recommends that, based on the recovered materials content levels shown in Table G– 7, procuring agencies establish minimum content standards for use in purchasing plastic envelopes.

TABLE G±7.ÐRECOMMENDED RECOVERED MATERIALS CONTENT LEVELS FOR PLASTIC ENVELOPES

Postconsumer con- Total recovered Material materials content tent (%) (%) Plastic ...... 25 25±35

NOTE: EPA's recommendation does not preclude a procuring agency from purchasing envelopes manufactured from another material, such as paper. It simply requires that a procuring agency, when purchasing envelopes made from plastic, purchase these items made with recov- ered materials when these items meet applicable specifications and performance requirements. Procuring agencies should note, however, that paper envelopes fall within the scope of EPA's previous designation of paper and paper products. EPA issued postconsumer and recovered materials content recommendations for paper products, including envelopes, in the Paper Products RMAN, which was issued in the FEDERAL REGISTER on May 29, 1996 at 61 FR 26985. A copy of the Paper Products RMAN is available from the RCRA Hotline at 1±800±424±9346 and electronically via EPA's Public Access Server at http://www.epa.gov/fedrgstr/search.htm. Specifications: (1) GSA, the Government Printing Office (GPO), and the U.S. Postal Service (USPS) all currently purchase plastic envelopes made from Tyvek containing recovered HDPE. GSA specifies ‘‘DuPont Tyvek or equal.’’ USPS requires ‘‘DuPont Tyvek.’’ GPO requires ‘‘white spunbonded polyethylene with the characteristics of DuPont’s product no. 1073;’’ the title of the solicitation, however, states ‘‘Tyvek envelopes or similar.’’ (2) The Navy requests that plastic envelopes not be sent to ships in order to minimize onboard disposal of plastic. Part H—Miscellaneous Products Section H–1—Pallets Containing Recovered Wood, Plastic, or Paperboard Preference Program: EPA recommends that, based on the recovered materials content levels shown in Table H– 1, procuring agencies establish minimum content standards for use in purchasing pallets.

TABLE H±1.ÐRECOMMENDED RECOVERED MATERIALS CONTENT LEVELS FOR PALLETS CONTAINING RECOVERED WOOD, PLASTIC, OR PAPERBOARD

Postconsumer Product Material content (%) Wooden pallets ...... Wood ...... 95±100 Plastic pallets: Plastic lumber ...... Plastic ...... 100 Thermoformed ...... Plastic ...... 25±50 Paperboard pallets ...... Paperboard ...... 50

NOTE: EPA's recommendation does not preclude a procuring agency from purchasing pallets manufactured from another material. It simply requires that a procuring agency, when purchasing pallets made from wood, plastic, or paperboard, purchase these items made with recovered materials when these items meet applicable specifications and performance requirements. Specifications: EPA recommends that procuring agencies use the following specifications when procuring pallets: (1) The Grocery Manufacturers of America issued a widely used standard for 48 by 40-inch stringer pallets known as the ‘‘GMA spec.’’ A copy of this specification is available from the RCRA Hotline at 1–800–424–9346. (2) The National Wooden Pallet and Container Association is developing a standard through the American National Standards Institute (ANSI) for repairable 48 by 40-inch lumber-deck pallets. Contact NWPCA at (703) 527–7667 for current information about the availability of this standard. (3) U.S. Postal Service specification USPS–P–1108, ‘‘Pallet, Nestable, Plastic, Thermoformed (Item No. 3919B)’’ is for thermoformed HDPE pallets. A copy of the current version, USPS–P–1108E, is available from the RCRA Hotline at 1–800–424–9346. [FR Doc. 97–29733 Filed 11–12–97; 8:45 am] BILLING CODE 6560±50±P federal register November 13,1997 Thursday Academy; FinalRule National MineHealthandSafety 30 CFRPart47 Mine SafetyandHealthAdministration Department ofLabor Part V 60983 60984 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations

DEPARTMENT OF LABOR State grant program. The authority to organizations and students who can waive tuition fees was based, in part, assist the Agency in the implementation Mine Safety and Health Administration upon § 302 of the Intergovernmental of its statutory functions related to Personnel Act of 1970 (42 U.S.C. 4742), activities such as inspections, 30 CFR Part 47 which generally permits Federal investigations, compliance promotions, RIN 1219±AB04 agencies to admit State and local accident prevention initiatives, and government employees to Agency training development programs. National Mine Health and Safety training programs established for On occasion, under appropriate Academy Federal personnel and to waive the statutory authority, MSHA authorizes, costs of training. on a reimbursable basis, use of the AGENCY: Mine Safety and Health Existing § 47.50 states that the Academy for programs unrelated to the Administration (MSHA), Labor. Academy will charge room and board to Agency’s mission. This practice is ACTION: Final rule. all persons staying at the Academy unchanged by the final rule. except MSHA personnel, other persons III. Discussion and Summary of the SUMMARY: This final rule amends the performing a direct service for MSHA, Final Rule existing MSHA standards for charging and persons attending the Academy tuition and room and board at MSHA’s under a program supported through an The final rule amends existing National Mine Health and Safety MSHA State grant. Under existing §§ 47.10 and 47.50, regarding tuition Academy (Academy) in Beckley, West § 47.50, MSHA has discretion, although fees and room and board charges at the Virginia. The final rule provides that very limited, to waive expenses for Academy by adding a new provision MSHA may waive tuition fees and room room and board for private persons, allowing MSHA discretion to waive and board charges for the training or provided that they are performing a such fees and charges for students, or meetings of students and non-profit direct service for MSHA. For example, persons employed by non-profit organizations, after the Agency this provision may be applied when organizations to attend training or determines that the program would persons actively participate in the meetings. MSHA may waive such fees improve the implementation of a presentation of an Agency-sponsored only when training or a meeting at the statutory function or an activity under event. Academy would contribute to an the Federal Mine Safety and Health Act The general prohibition on waiving improvement in the conduct, of 1977 (Mine Act) or a function related the collection of room and board supervision, or management of a Mine to an MSHA appropriation. expenses was derived from 31 U.S.C. Act function or activity or a function EFFECTIVE DATE: November 28, 1997. 551 (now 31 U.S.C. 1345) which related to an MSHA appropriation. The prohibits the use of appropriated funds training or meeting would have to be FOR FURTHER INFORMATION CONTACT: for transportation and room and board Patricia W. Silvey, Director; MSHA, MSHA-sponsored, and the qualifying for non-governmental personnel. The Office of Standards, Regulations, and non-governmental personnel would narrow discretion to waive the Variances; phone 703–235–1910. have to be invited by MSHA to collection of room and board expenses participate in the training or meeting. SUPPLEMENTARY INFORMATION: for private persons performing a direct Requests for waivers must be in writing. I. Paperwork Reduction Act service for MSHA was derived from 5 The objective of this rule is to further U.S.C. 5703 which authorizes per diem, MSHA’s mission of preventing This final rule contains no travel, and transportation expenses for accidents and illnesses among miners information collection requirements. non-governmental personnel, such as through education. The waiver of fees II. Introduction and Rulemaking experts, consultants, and persons and room and board charges will be Background serving without pay. dependent upon the availability of Since promulgation of the current MSHA resources. In implementing this Under § 502(c)(1) of the Mine Act, the regulation, the Department of Labor has rule, MSHA may waive fees and charges Academy is responsible for training received permanent Congressional after determining that the content of the programs for mine inspectors, mining authorization to use appropriated funds training or meeting furthers the personnel, or other persons as for expenses for non-governmental Agency’s mission or a function related designated by the Secretary of Labor. attendees at meetings, including to an MSHA appropriation. MSHA will On March 22, 1985, MSHA published training seminars. Section 505 of Pub. L. not waive fees and room and board a final rule (50 FR 11642) in part 47 of 102–394, 106 Stat. 1792 (Oct. 6, 1992), charges for any program unrelated to the title 30 of the Code of Federal the Departments of Labor, Health and Agency’s mission. Regulations. Part 47 contains the Human Services, and Education, and MSHA reserves the authority not to Agency’s regulations on tuition fees, Related Agencies Appropriations Act for grant a waiver of fees, in whole or in procedures for tuition payment and fiscal year 1993 provides permanent part, although the training or meeting refunds, and charges for room and authority to use specified may directly further the Agency’s board. The rule was promulgated appropriations for: mission and the person is invited by pursuant to OMB Circular A–25, which ** * [the] expenses of attendance at MSHA. The Agency intends to provides that government agencies are meetings which are concerned with the administer the rule in a fair and to recover all expenses for federally functions or activities for which the equitable manner in order to expand provided services which convey special appropriation is made or which will safety and health educational benefits to recipients beyond those contribute to improved conduct, supervision, opportunities for the mining public. accruing to the general public. or management of those functions or Training for MSHA personnel will be activities. Existing § 47.10 provides that the given first priority. Academy will charge tuition fees to all MSHA believes that this authority can persons attending Academy courses be used effectively to advance safety IV. Exemption From Notice and except employees of Federal, State, or and health protection for the Nation’s Comment local governments and persons miners by fostering the professional This final rule amends a general attending the Academy under an MSHA expertise and participation of non-profit statement of Agency practice and relates Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Rules and Regulations 60985 to Agency management. Publication of a Factual Basis for Certification Virginia, will charge tuition fees to all general notice of proposed rulemaking, The Agency has used a qualitative persons attending Academy courses, therefore, is not required by the approach in concluding that the final except employees of Federal, State, or Administrative Procedure Act, 5 U.S.C. rule does not have a significant impact local governments, persons attending 553. on a substantial number of small the Academy under a program entities. MSHA estimated that the final supported through an MSHA State V. Executive Order 12866, the rule would result in an annual net grant, and persons performing a direct Regulatory Flexibility Act, and the benefit to the public and that the only service. Also, subject to available Small Business Regulatory Enforcement effect of the final rule will be to reduce resources, MSHA may waive all or part Fairness Act (SBREFA) costs to the public. Therefore, there is of fees for students, or persons Executive Order 12866 requires that no need for a regulatory flexibility employed by a non-profit organization, regulatory agencies assess both the costs analysis. who are invited by MSHA to attend an and benefits of final regulations. It has VI. Unfunded Mandates Reform Act of Academy course which would, in the been determined that this final rule is a 1995 Agency’s judgment, contribute to improved conduct, supervision, or significant regulatory action. MSHA has MSHA has determined that, for determined that this final rule will purposes of § 202 of the Unfunded management of a function or activity further the Agency’s mission of Mandates Reform Act of 1995, this final under the Federal Mine Safety and preventing accidents and illnesses rule does not include any Federal Health Act of 1977 or a function related among miners through education at an mandate that may result in increased to an MSHA appropriation. Requests for annual cost of approximately $60,000. expenditures by State, local, or tribal waivers must be in writing. The Regulatory Flexibility Act (RFA) governments in the aggregate of more 3. Section 47.50 is revised to read as requires regulatory agencies to consider than $100 million, or increased follows: a rule’s impact on small entities. Under expenditures by the private sector of more than $100 million. Moreover, the § 47.50 Charges for room and board. the SBREFA amendments to the RFA, Agency has determined that for MSHA must consult with the Small The Academy will charge room and purposes of § 203 of that Act, this final board to all persons staying at the Business Administration (SBA) rule does not significantly or uniquely Academy, except MSHA personnel, concerning any rule for which a affect small governments. regulatory flexibility analysis is persons attending the Academy under a required. This is not a major rule under List of Subjects in 30 CFR Part 47 program supported through an MSHA SBREFA. This final rule imposes no Education, Intergovernmental State grant, and persons performing a costs on the public. A regulatory relations, Mine safety and health. direct service. Also, subject to available flexibility analysis, therefore, is not Dated: November 6, 1997. resources, MSHA may waive all or part required. In the spirit of SBREFA, J. Davitt McAteer, of fees for students, or persons employed by a non-profit organization, however, the Agency has provided a Assistant Secretary for Mine Safety and copy of this final rule and regulatory Health. who are invited by MSHA to attend an MSHA-sponsored training or meeting flexibility certification statement to the Accordingly, part 47, chapter I, SBA Office of Advocacy. In addition, subchapter H, of title 30 of the Code of which would, in the Agency’s judgment, MSHA will mail a copy of the final rule, Federal Regulations is amended as contribute to improved conduct, including the preamble and regulatory follows: supervision, or management of a flexibility certification statement, to all function or activity under the Federal mine operators and miners’ PART 47Ð[AMENDED] Mine Safety and Health Act of 1977 or a function related to an MSHA representatives. 1. The authority citation for part 47 continues to read as follows: appropriation. Requests for waivers Regulatory Flexibility Certification must be in writing. Charges for room Statement Authority: 30 U.S.C. 957. and board will be based upon the In accordance with § 605 of the RFA, 2. Section 47.10 is revised to read as average cost per person of the lodging, MSHA certifies that this final rule follows: meals, and services provided and will be reassessed on an annual basis. would not have a significant economic § 47.10 Tuition fees. impact on a substantial number of small The National Mine Health and Safety [FR Doc. 97–29900 Filed 11–12–97; 8:45 am] entities. Academy, located in Beckley, West BILLING CODE 4510±43±P federal register November 13,1997 Thursday Institutions Program;Notice Fiscal Year1998fortheStrengthening Designation asanEligibleInstitutionfor Notice InvitingApplicationfor Education Department of Part VI 60987 60988 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices

DEPARTMENT OF EDUCATION An applicant will not be designated as instruction. To qualify under this latter an eligible institution if the applicant criterion, an institution’s Federal Pell [CFDA No. 84.031A, CFDA No. 84.031G] misses the February 2, 1998 deadline for Grant percentage for base year 1995–96 Notice Inviting Applications for initial applications or the March must be more than the median for its Designation as an Eligible Institution 20,1998 deadline for amended category of comparable institutions for Fiscal Year 1998 for the applications. The Department strongly provided in the table in this notice. recommends that applicants apply by Strengthening Institutions Program Educational and General Expenditures December 29,1997 to take advantage of per Full-Time Equivalent Student Purpose the opportunity to amend unapproved An institution should compare its The Secretary announces closing applications. average E&G expenditures per FTE dates for applications from institutions Deadline for Transmittal of student to the average E&G expenditure that wish to be designated as an eligible Applications per FTE student for its category of institution under the Strengthening December 29, 1997 for early comparable institutions contained in the Institutions Program authorized under applications, February 2, 1998 for all table in this notice. If the institution’s Title III, part A of the Higher Education initial applications, and March 20, 1998 average E&G expenditure for the 1995– Act of 1965, as amended (HEA). If an for amended applications. These 1996 base year is less than the average institution qualifies as an eligible deadlines apply to institutions of higher for its category of comparable institution under that program, it is education that anticipate competing for institutions, it meets this eligibility eligible to receive program funds if it new awards under the Strengthening requirement. submits a successful grant application. Institutions Program, and for An institution’s E&G expenditures are It is also eligible to have certain of its institutions that plan to obtain a waiver the total amount it expended during the matching requirements waived under of certain non-Federal share base year for instruction, research, the Federal Supplemental Educational requirements under the FSEOG and public service, academic support, Grant (FSEOG) and Federal Work Study FWS Programs. student services, institutional support, (FWS) Programs. Moreover, the operation and maintenance, Applications Available institution is eligible for a waiver even scholarships and fellowships, and if it does not apply for a grant under the November 20, 1997. mandatory transfers. Strengthening Institutions Program. Eligibility Information The following table identifies the (The FSEOG and FWS programs are relevant median Federal Pell Grant student financial assistance programs To qualify as an eligible institution an percentages and the average E&G authorized under Title IV of the HEA.) applicant must (1) be accredited or expenditures per FTE student for the The Department will hold a Fiscal preaccredited by a nationally recognized 1995–96 base year for the four categories Year 1998 funding competition for new accrediting agency; (2) be legally of comparable institutions: awards under the Strengthening authorized by the State in which it is Institutions Program and will publish a located to be a junior or community Median Average closing date notice in a future Federal college or to provide a bachelor’s degree Federal E&G ex- Register. (There will be no competition program; and (3) have a high enrollment Pell pendi- for new awards under the Hispanic- Grant ture per of needy students. In addition, its percent- FTE stu- Serving Institutions and Endowment educational and general (E&G) age dent Challenge Grant Programs because no expenditures per full-time equivalent funds were appropriated for those (FTE) undergraduate student must be 2-year Public Institutions 30.16 $7,114 awards.) low in comparison with the average 2-year Non-Profit Pri- An institution that wishes to be E&G expenditures per FTE vate Institutions ...... 31.57 11,704 designated as an eligible institution undergraduate student of institutions 4-year Public Institutions 28.00 16,594 under the Strengthening Institutions 4-year Non-Profit Pri- that offer similar instruction. The vate Institutions ...... 28.53 22,479 Program for any purpose must submit complete eligibility requirements are its application to the Department by found in the Strengthening Institutions Waiver Information February 2, 1998. Program regulations, 34 CFR 607.2– If an institution submits its 607.5. Institutions of higher education that application by December 29, 1997, the are unable to meet the needy student Department will notify the applicant of Enrollment of Needy Students enrollment requirement or the E&G its eligibility status by February 2, 1998. Under 34 CFR § 607.3(a), an expenditure requirement may apply to If an applicant believes it failed to be institution is considered to have a high the Secretary for waivers of these designated as an eligible institution enrollment of needy students if—(1) At requirements, as described in 34 CFR because of errors in its application or least 50 percent of its degree students 607.3(b) and 607.4(c) and (d). insufficient information in its waiver received financial assistance under one Institutions requesting a waiver of the request, it may submit an amended or more of the following programs: needy student requirement must include application to the Department no later Federal Pell Grant, FSEOG, FWS, and the detailed information as set forth in than March 20, 1998. Federal Perkins Loan Programs; or (2) the instructions for completing the If an applicant submits its initial the percentage of its undergraduate application. application after December 29, 1997, but degree students who were enrolled on at The waiver authority provided in 34 on or before February 2, 1998, the least a half-time basis and received CFR 607.3(b)(2) and (3), refers to ‘‘low- Department does not guarantee that it Federal Pell Grants exceeded the income’’ students and families. The will be able to review the application median percentage of undergraduate regulations define ‘‘low-income’’ as an and notify the applicant in time for the degree students who were enrolled on at amount that does not exceed 150 applicant to submit an amended least a half-time basis and received percent of the amount equal to the application by March 20, 1998, the Federal Pell Grants at comparable poverty level in 1995–97 base year as deadline date for amended applications. institutions that offered similar established by the U.S. Bureau of the Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Notices 60989

Census, 34 CFR 607.3(c). For the Human Services in the Federal Register Individuals with disabilities may purposes of this waiver provision, the on February 9, 1995 (Volume 60, obtain this document in an alternate following table sets forth the low- Number 27, pages 7772–7774). format (e.g., Braille, large print, audio income levels for the various sizes of In reference to the waiver option tape, or computer diskette) on request to families: specified in § 607.3(b)(4) of the the contact person listed in the regulations, information about preceding paragraph. 1995±96 BASE YEAR LOW-INCOME ‘‘metropolitan statistical areas’’ may be Individuals with disabilities may LEVELS obtained by requesting the Metropolitan obtain a copy of the application package Statistical Areas, 1993, order number in an alternate format, also, by Contig- PB 93–192664, from the National contacting that person. However, the uous 48 Technical Information Services, Department is not able to reproduce in States, the Dis- Document Sales, 5285 Port Royal Road, an alternate format the standard forms Size of Springfield, Virginia 22161, telephone included in the application package. family trict of Alaska Hawaii Colum- number (703) 487–4650. There is a unit Electronic Access to This Document bia, and charge for this publication. outlying Anyone may view this document, as jurisdic- Applicable Regulations tions well as all other Department of Regulations applicable to the Education documents published in the 1 ...... $11,205 $14,010 $12,915 eligibility process include the Federal Register, in text or portable 2 ...... 15,045 18,810 17,325 Strengthening Institutions Program document format (pdf) on the World 3 ...... 18,885 23,610 21,735 Regulations in 34 CFR part 607, and the Wide Web at either of the following 4 ...... 22,725 28,410 26,145 Education Department General 5 ...... 26,565 33,210 30,555 sites: 6 ...... 30,405 38,010 34,965 Administrative Regulations in 34 CFR http://ocfo.ed.gov/fedreg/htm 7 ...... 34,245 42,810 39,375 parts 74, 75, 77, 82, 85, and 86. http://www.ed.gov/news.html 8 ...... 38,085 47,610 43,710 For Applications or Information To use the pdf you must have the Contact Adobe Acrobat Reader Program with For family units with more than eight Search, which is available free at either members, add the following amount for Blanca Westgate or Jane Wrenn, of the previous sites. If you have each additional family member: $3,840 Institutional Development and questions about using the pdf, call the for the contiguous 48 states, the District Undergraduate Education Service, U.S. U.S. Government Printing Office toll of Columbia and outlying jurisdictions; Department of Education, 600 free at 1–888–293–6498. $4,800 for Alaska; and $4,410 for Independence Avenue, S.W., (Portals Hawaii. CY–80) Washington, D.C. 20202–5335. Program Authority: 20 U.S.C. 1057, 1059c The figures shown as low-income Telephone: (202) 708–8866, 708–9926 and 1065a. levels represent amounts equal to 150 and 708–8839. Individuals who use a Dated: November 5, 1997. percent of the family income levels telecommunications device for the deaf David A. Longanecker, established by the U.S. Bureau of the (TDD) may call the Federal Information Assistant Secretary for Postsecondary Census for determining poverty status. Relay Service (FIRS) at 1–800–877–8339 Education. The Census levels were published by between 8 a.m. and 8 p.m., Eastern time, [FR Doc. 97–29796 Filed 11–12–97; 8:45 am] the U.S. Department of Health and Monday through Friday. BILLING CODE 4000±01±P federal register November 13,1997 Thursday Weapons ofMassDestruction Continuation ofEmergencyRegarding Notice ofNovember12,1997Ð The President Part VII 60991

60993

Federal Register Presidential Documents Vol. 62, No. 219

Thursday, November 13, 1997

Title 3— Notice of November 12, 1997

The President Continuation of Emergency Regarding Weapons of Mass Destruction

On November 14, 1994, by Executive Order 12938, I declared a national emergency with respect to the unusual and extraordinary threat to the na- tional security, foreign policy, and economy of the United States posed by the proliferation of nuclear, biological, and chemical weapons (‘‘weapons of mass destruction’’) and the means of delivering such weapons. Because the proliferation of weapons of mass destruction and the means of delivering them continue to pose an unusual and extraordinary threat to the national security, foreign policy, and economy of the United States, the national emergency declared on November 14, 1994, and extended on November 14, 1995 and November 14, 1996, must continue in effect beyond November 14, 1997. Therefore, in accordance with section 202(d) of the National Emer- gencies Act (50 U.S.C. 1622(d)), I am continuing the national emergency declared in Executive Order 12938. This notice shall be published in the Federal Register and transmitted to the Congress. œ–

THE WHITE HOUSE, November 12, 1997. [FR Doc. 97–30110 Filed 11–12–97; 11:40 am] Billing code 3195–01–P i

Reader Aids Federal Register Vol. 62, No. 219 Thursday, November 13, 1997

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING NOVEMBER

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±523±5227 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since E-mail [email protected] the revision date of each title. 50...... 59275 Laws 3 CFR 51...... 59275 For additional information 523±5227 Proclamations: 55...... 59275 7046...... 59559 Presidential Documents 60...... 59275 7047...... 59773 72...... 59275 Executive orders and proclamations 523±5227 7048...... 60153 110...... 59275 The United States Government Manual 523±5227 7049...... 60637 431...... 59978 7050...... 60761 Proposed Rules: Executive Orders: Other Services 2...... 60789 12938 (See notice of Electronic and on-line services (voice) 523±4534 November 12, 11 CFR Privacy Act Compilation 523±3187 1997) ...... 60993 TDD for the hearing impaired 523±5229 13067...... 59989 Proposed Rules: Administrative Orders: 100...... 60047 ELECTRONIC BULLETIN BOARD Notice of November 12, 1997 ...... 60993 12 CFR Free Electronic Bulletin Board service for Public Law numbers, 5 CFR 204...... 59775 Federal Register finding aids, and list of documents on public 225...... 60639 202±275±0920. inspection. 1201...... 59991 325...... 60161 FAX-ON-DEMAND 1209...... 59992 614...... 59779 Proposed Rules: 619...... 59779 You may access our Fax-On-Demand service with a fax machine. 532...... 59300 There is no charge for the service except for long distance Proposed Rules: 630...... 59301 3...... 59944 telephone charges the user may incur. The list of documents on 204...... 60671 public inspection and the daily Federal Register’s table of 7 CFR 208...... 59944 contents are available. The document numbers are 7050-Public 3...... 60451 225...... 59944 Inspection list and 7051-Table of Contents list. The public 29...... 60155 325...... 59944 inspection list is updated immediately for documents filed on an 301...... 60763 567...... 59944 emergency basis. 920...... 60156 792...... 60799 NOTE: YOU WILL ONLY GET A LISTING OF DOCUMENTS ON 922...... 60158 923...... 60158 FILE. Documents on public inspection may be viewed and copied 14 CFR in our office located at 800 North Capitol Street, NW., Suite 700. 924...... 60158 25...... 59561, 60640 The Fax-On-Demand telephone number is: 301±713±6905 989...... 60764 39 ...... 59277, 59280, 59565, 8 CFR 59566, 59780, 59781, 59993, FEDERAL REGISTER PAGES AND DATES, NOVEMBER 204...... 60769 60161, 60451, 60642, 60643, 213a...... 60122 60644, 60645, 60772, 60773, 59275±59558...... 3 214...... 60122 60775, 60777 59599±59772...... 4 299...... 60122 71 ...... 59783, 60455, 60647, 59773±59990...... 5 60778, 60779 59991±60154...... 6 9 CFR 73...... 60456 60155±60450...... 7 78...... 60639 97 ...... 60647, 60651, 60653 60451±60636...... 10 92...... 60161 255...... 59784 60637±60762...... 12 93...... 60161 Proposed Rules: 60763±60994...... 13 94...... 60161 39 ...... 59310, 59826, 59827, 95...... 60161 59829, 59830, 60047, 60049, 96...... 60161 60183, 60184, 60186, 60188, 97...... 60161 60189, 60191, 60193, 60807, 98...... 60161 60808, 60810, 60813 130...... 60161 71 ...... 60051, 60315, 60460, Proposed Rules: 60461, 60462, 60814 304...... 59304 73...... 60463 308...... 59304 255...... 59313, 60195 310...... 59304, 59305 320...... 59304 15 CFR 327...... 59304 Proposed Rules: 381...... 59304, 59305 303...... 59829 416...... 59304 960...... 59317 417...... 59304 10 CFR 16 CFR 13...... 59275 1615...... 60163 32...... 59275 1616...... 60163 ii Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Reader Aids

17 CFR 30 CFR 81...... 60001 26...... 60664 Proposed Rules: 47...... 60984 180...... 60660 27...... 60664 3...... 59624 870...... 60138 247...... 60962 42...... 59583 32...... 59624 914...... 59569 260...... 59287 61...... 59583 33...... 59624 938...... 60169 721...... 59579 64...... 60034 946...... 60658 Proposed Rules: 73...... 59605, 60664 74...... 60025, 60664 18 CFR Proposed Rules: 52 ...... 59331, 60052, 60318 78...... 60664 4...... 59802 50...... 60673 58...... 59840 80...... 60664 375...... 59802 707...... 59639 62...... 60817 874...... 59639 63...... 60566, 60674 87...... 60664 19 CFR 79...... 60675 90...... 60664 80...... 60052 95...... 60664 101...... 60164 31 CFR 141...... 59388, 59486 97...... 60664 122...... 60164 1...... 60781 142...... 59388, 59486 101...... 60664 20 CFR 32 CFR 260...... 59332 Proposed Rules: 268...... 60465 1...... 60750 416...... 59812 311...... 59578 300...... 60058, 60199 20...... 60199 Proposed Rules: 33 CFR 21...... 60199, 60750 404...... 60672 41 CFR 74...... 60199, 60750 100...... 60177, 60178 105±60...... 60014 90...... 60199 21 CFR 165...... 60178 36...... 59842 173...... 59281 Proposed Rules: 42 CFR 16...... 60614 100...... 60197 424...... 59818 48 CFR 510...... 60781 520...... 60656 36 CFR 43 CFR 1515...... 60664 1552...... 60664 558...... 60657, 60781 Proposed Rules: 11...... 60457 900...... 60614 7...... 60815 1860...... 59820 Proposed Rules: Proposed Rules: 3710...... 59821 225...... 59641 37 CFR 252...... 59641 514...... 59830 Proposed Rules: 600...... 59386 Proposed Rules: 4700...... 60467 606...... 59386 2...... 59640 49 CFR 3...... 59640 44 CFR 24 CFR 199...... 59297 64...... 59290, 60662 385...... 60035 203...... 60124 38 CFR Proposed Rules: 206...... 60124 17...... 60783 46 CFR 350...... 60817 21...... 59579 Proposed Rules: 26 CFR Proposed Rules: 10...... 60122 1...... 60165 21...... 60464 15...... 60122 50 CFR Proposed Rules: 27...... 60939 17...... 59605 1...... 60196 39 CFR 679 ...... 59298, 59623, 60182, 111...... 60180 47 CFR 60667 29 CFR 1...... 59822, 60025 660...... 60788 2204...... 59568 40 CFR 5...... 60664 Proposed Rules: 4001...... 60426 52 ...... 59284, 59995, 59996, 21...... 60025, 60664 17...... 59334, 60676 4006...... 60426 60784 22...... 60664 222...... 59335 4022...... 60426 58...... 59813 23...... 60664 600...... 59386 4041...... 60426 62...... 60785 24...... 60664 648...... 60676 4050...... 60426 80...... 59998, 60132 25...... 59293 679 ...... 59844, 60060, 60677 Federal Register / Vol. 62, No. 219 / Thursday, November 13, 1997 / Reader Aids iii

REMINDERS Brucellosis in cattle and FEDERAL Outlet; port access routes; The items in this list were bisonÐ COMMUNICATIONS comments due by 11-19- editorially compiled as an aid State and area COMMISSION 97; published 8-21-97 to Federal Register users. classifications; Radio stations; table of TRANSPORTATION Inclusion or exclusion from comments due by 11- assignments: DEPARTMENT this list has no legal 17-97; published 9-16- Florida; comments due by Computer reservation systems, significance. 97 11-17-97; published 10-3- carrier owned COMMERCE DEPARTMENT 97 Expiration date extension; RULES GOING INTO National Oceanic and HOUSING AND URBAN Atmospheric Administration DEVELOPMENT comments due by 11-18- EFFECT NOVEMBER 13, 97; published 11-3-97 1997 Fishery conservation and DEPARTMENT management: Public and Indian Housing: Truth in airfares; comments due by 11-17-97; published ENVIRONMENTAL Magnuson Act provisions Reasonable revitalization 9-16-97 PROTECTION AGENCY Observer health and potential assessment of Air quality implementation safety; comments due public housing required by TRANSPORTATION plans; approval and by 11-21-97; published law; comments due by DEPARTMENT promulgation; various 10-28-97 11-21-97; published 9-22- Federal Aviation States: Northeastern United States 97 Administration Minnesota; published 10-14- fisheriesÐ INTERIOR DEPARTMENT 97 Air traffic operating and flight New England Fishery Fish and Wildlife Service rules, etc.: HEALTH AND HUMAN Management Council; Hunting and fishing: SERVICES DEPARTMENT hearings; comments Anchorage, AK; terminal Refuge-specific regulations; area description revised; Food and Drug due by 11-17-97; comments due by 11-17- Administration published 10-15-97 comments due by 11-17- 97; published 10-16-97 97; published 10-1-97 Animal drugs, feeds, and Summer flounder, scup, MERIT SYSTEMS related products: and Black Sea bass; Airworthiness directives: PROTECTION BOARD New drug applicationsÐ comments due by 11- Practices and procedures: Airbus; comments due by Salinomycin and bacitracin 17-97; published 10-20- 11-17-97; published 10- zinc; published 11-13-97 97 Original jurisdiction cases; 17-97 JUSTICE DEPARTMENT Marine mammals: delegation of authority, etc.; comments due by Boeing; comments due by Immigration and Endangered fish or wildlifeÐ 11-17-97; published 9-17- Naturalization Service 11-17-97; published 9-16- North Atlantic right whale 97 97 Immigration: protection; comments CFM International; Lawful permanent residence due by 11-18-97; SOCIAL SECURITY comments due by 11-18- statusÐ published 11-3-97 ADMINISTRATION 97; published 9-19-97 Battered or abused DEFENSE NUCLEAR Social security benefits and Fokker; comments due by spouses and children; FACILITIES SAFETY BOARD supplemental security self-petitioning; Form I- income: 11-20-97; published 10- Freedom of Information Act; 360 review; published Federal old age, survivors 21-97 11-13-97 implementation; comments due by 11-20-97; published and disability insuranceÐ Short Brothers plc; TRANSPORTATION 10-21-97 Circuit court law; comments due by 11-17- DEPARTMENT application; comments 97; published 10-17-97 ENVIRONMENTAL Federal Aviation due by 11-17-97; PROTECTION AGENCY Sikorsky; comments due by Administration published 9-18-97 Air pollution, hazardous; 11-17-97; published 9-18- Airworthiness directives: STATE DEPARTMENT 97 Dornier; published 10-29-97 national emission standards: Freedom of Information Act; SOCATA-Groupe Steel pickling facilities; Class D airspace; comments implementation: AEROSPATIALE; comments due by 11-17- due by 11-17-97; published published 9-30-97 97; published 9-18-97 Information and records 10-17-97 availability; time limits for TREASURY DEPARTMENT Air programs; approval and Class E airspace; comments promulgation; State plans responding to and due by 11-17-97; published Privacy Act; implementation; consideration of requests published 11-13-97 for designated facilities and 10-17-97 pollutants: for expedited processing; comments due by 11-17- TREASURY DEPARTMENT New Mexico; comments due COMMENTS DUE NEXT 97; published 9-17-97 Comptroller of the Currency WEEK by 11-20-97; published 10-21-97 TRANSPORTATION Fees assessment; national DEPARTMENT AGRICULTURE New Mexico et al.; and District of Columbia Coast Guard DEPARTMENT comments due by 11-20- banks; comments due by 11-20-97; published 10-21- Agricultural Marketing 97; published 10-21-97 Merchant marine officers and 97 Service Air quality implementation seamen: Dairy products: grading, plans; approval and Tankermen and persons in TREASURY DEPARTMENT promulgation; various charge of dangerous inspection, and standards: Internal Revenue Service Fee increases; comments States: liquids and liquefied gases due by 11-17-97; Pennsylvania; comments transfers; qualificationsÐ Income taxes: published 10-16-97 due by 11-18-97; Compliance date delayed Farming business, property AGRICULTURE published 9-23-97 and comment request; produced; cross-reference; DEPARTMENT Texas; comments due by comments due by 11- comments due by 11-20- Animal and Plant Health 11-17-97; published 10- 17-97; published 9-17- 97; published 8-22-97 Inspection Service 17-97 97 Qualified nonrecourse Interstate transportation of Virginia; comments due by Ports and waterways safety: financing; comments due animals and animal products 11-20-97; published 10- Mississippi River and by 11-19-97; published 8- (quarantine): 21-97 Mississippi River Gulf 13-97