7–22–05 Friday Vol. 70 No. 140 July 22, 2005
Pages 42251–42484
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i II Federal Register / Vol. 70, No. 140 / Friday, July 22, 2005
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Contents Federal Register Vol. 70, No. 140
Friday, July 22, 2005
Agricultural Marketing Service Commerce Department RULES See International Trade Administration Eggs, poultry, and rabbit grading: See National Institute of Standards and Technology Fees and charges increase, 42254–42256 See National Oceanic and Atmospheric Administration Pistachios grown in— California, 42256–42259 Committee for Purchase From People Who Are Blind or NOTICES Severely Disabled Agency information collection activities; proposals, NOTICES submissions, and approvals, 42299 Procurement list; additions and deletions, 42300–42301 Agriculture Department Copyright Office, Library of Congress See Agricultural Marketing Service PROPOSED RULES See Animal and Plant Health Inspection Service Copyright office and procedures: See Farm Service Agency Preregistration of certain unpublished copyright claims, See Forest Service 42286–42292 See Rural Telephone Bank Defense Base Closure and Realignment Commission Animal and Plant Health Inspection Service NOTICES RULES Reports and guidance documents; availability, etc.: Exportation and importation of animals and animal Recommendations to the President; comment request, products: 42311 Tuberculosis in cattle and bison; State and zone designations; New Mexico, 42259–42261 Defense Department See Engineers Corps Army Department NOTICES See Engineers Corps Meetings: Defense Business Board, 42311 Blind or Severely Disabled, Committee for Purchase From People Who Are Election Assistance Commission See Committee for Purchase From People Who Are Blind NOTICES or Severely Disabled Meetings; Sunshine Act, 42313 Centers for Medicare & Medicaid Services Employment and Training Administration PROPOSED RULES RULES Health care access: Federal Unemployment Tax Act: Group health insurance market requirements; mental Unemployment compensation; eligibility, 42474–42482 health parity, 42276–42278 Energy Department NOTICES See Federal Energy Regulatory Commission Agency information collection activities; proposals, submissions, and approvals, 42324–42327 Engineers Corps Committees; establishment, renewal, termination, etc.: NOTICES Medicare Coverage Advisory Committee, 42327–42328 Environmental statements; notice of intent: Medicare Education Advisory Panel, 42328–42329 Mississippi River & Tributaries, St. Johns Bayou, and Meetings: New Madrid Floodway, MO; first phase flood Medicare— control, 42312–42313 Medicare Coverage Advisory Committee, 42329–42330 Practicing Physicians Advisory Council, 42330–42331 Environmental Protection Agency Organization, functions, and authority delegations: RULES Succession order, 42331 Hazardous waste program authorizations: Reports and guidance documents; availability, etc.: Idaho, 42273–42276 Medicare program; evaluation criteria and standards for PROPOSED RULES quality improvement program contracts, 42331– Pesticide programs: 42336 Registration review; procedural regulations, 42292–42293 NOTICES Central Intelligence Agency Committees; establishment, renewal, termination, etc.: NOTICES National Drinking Water Advisory Council, 42317–42318 Privacy Act: Environmental statements; availability, etc.: Systems of records, 42418–42453 Agency statements— Comment availability, 42318–42320 Children and Families Administration Weekly receipt, 42318 NOTICES Grants and cooperative agreements; availability, etc.: Executive Office of the President National Domestic Violence Hotline, 42336–42345 See Central Intelligence Agency
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See Presidential Documents NOTICES Meetings: Farm Service Agency Medical Devices Advisory Committee, 42345–42346 NOTICES Reports and guidance documents; availability, etc.: Meetings: Initial clinical trials for therapeutics in adult healthy Beginning Farmers and Ranchers Advisory Committee, volunteers; maximum safe starting dosage; industry 42484 guidance, 42346
Federal Aviation Administration Forest Service RULES NOTICES Airworthiness directives: Meetings: Airbus, 42267–42269 Resource Advisory Committees— Boeing, 42269–42271 Ravalli County, 42299–42300 Lockheed, 42262–42267 PROPOSED RULES Health and Human Services Department Airworthiness directives: See Centers for Medicare & Medicaid Services Lycoming, 42282–42286 See Children and Families Administration Federal Election Commission See Food and Drug Administration PROPOSED RULES See Health Resources and Services Administration Certain salaries and wages; State, district and local party See National Institutes of Health committee payments; Federal election activity NOTICES definition; hearings, 42282 Agency information collection activities; proposals, submissions, and approvals, 42320 Federal Emergency Management Agency Meetings: NOTICES Vital and Health Statistics National Committee, 42320– Agency information collection activities; proposals, 42321 submissions, and approvals, 42357 Organization, functions, and authority delegations: Disaster and emergency areas: Budget, Technology and Finance Office, 42321–42324 Florida, 42358 Mississippi, 42358 Health Resources and Services Administration NOTICES Federal Energy Regulatory Commission Agency information collection activities; proposals, NOTICES submissions, and approvals, 42346–42347 Hydroelectric applications, 42316–42317 Organization, functions, and authority delegations: Applications, hearings, determinations, etc.: Policy and Development Division, 42347–42348 Great Lakes Gas Transmission LP, 42313–42314 Green Power Development, LLC, 42314–42315 Homeland Security Department Lochner, Philip R., Jr., 42315 See Federal Emergency Management Agency Portland General Electric Co., 42315 Texas Eastern Transmission, LP, 42316 Housing and Urban Development Department NOTICES Federal Highway Administration Grants and cooperative agreements; availability, etc.: NOTICES Homeless assistance; excess and surplus Federal Environmental statements; availability, etc.: properties, 42359 South Carolina, 42407–42408 Interior Department Federal Procurement Policy Office See Fish and Wildlife Service PROPOSED RULES See Land Management Bureau Acquisition regulations: See Minerals Management Service Cost Accounting Standards Board— See Reclamation Bureau Employee stock ownership plans sponsored by Government contractors; costs accounting, 42293– 42298 International Boundary and Water Commission, United States and Mexico Fish and Wildlife Service NOTICES NOTICES Environmental statements; availability, etc.: Comprehensive conservation plans; availability, etc.: San Diego, CA; South Bay International Wastewater San Diego Bay National Wildlife Refuge, CA, 42359– Treatment Plant, 42379–42380 42361 Endangered and threatened species: International Trade Administration Incidental take permits— NOTICES El Paso County, CO; Preble’s meadow jumping mouse, Antidumping: 42361 Cased pencils from— China, 42301–42303 Food and Drug Administration Pasta from— RULES Italy, 42303–42309 Color additives: Polyvinyl alcohol from— Mica-based pearlescent pigments, 42271–42273 China, 42309–42310
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International Trade Commission National Institute of Child Health and Human NOTICES Development, 42354–42355 Import investigations: National Institute of Environmental Health Sciences, Grain-oriented silicon electrical steel from— 42354 Italy and Japan, 42380–42381 Scientific Review Center, 42355–42356 Hard red spring wheat from— Patent licenses; non-exclusive, exclusive, or partially Canada, 42381–42382 exclusive: Reports and guidance documents; availability, etc.: FDA-approvable HIV diagnostic kits, 42356–42357 Administrative protective orders; commission practice summary, 42382–42388 National Oceanic and Atmospheric Administration RULES Labor Department Fishery conservation and management: See Employment and Training Administration Alaska; fisheries of Exclusive Economic Zone— See Occupational Safety and Health Administration Gulf of Alaska northern rockfish, 42281 Pacific ocean perch, 42279–42281 Land Management Bureau Caribbean, Gulf, and South Atlantic fisheries— NOTICES Gulf of Mexico shallow-water grouper, 42279 Environmental statements; availability, etc.: Horning Seed Orchard, OR, 42361–42362 Nuclear Regulatory Commission Provolt and Sprague Seed Orchards, OR, 42362–42363 NOTICES Tyrrell Seed Orchard, OR, 42364–42365 Environmental statements; availability, etc.: Meetings: Dominion Nuclear Connecticut, Inc., 42395 Resource Advisory Committees— Coos Bay District, 42365 Occupational Safety and Health Administration Survey plat filings: NOTICES Montana, 42365–42366 Agency information collection activities; proposals, submissions, and approvals, 42389–42394 Library of Congress See Copyright Office, Library of Congress Personnel Management Office RULES Management and Budget Office Retirement: See Federal Procurement Policy Office Law enforcement officers and firefighters; special Mexico and United States, International Boundary and retirement provisions, 42253–42254 Water Commission Presidential Documents See International Boundary and Water Commission, United ADMINISTRATIVE ORDERS States and Mexico Palestinian Authority; waiver of restrictions on funding Millennium Challenge Corporation (Presidential Determination) NOTICES No. 2005-29 of July 14, 2005, 42251 Meetings; Sunshine Act, 42394 Reclamation Bureau Minerals Management Service NOTICES NOTICES Contract negotiations: Agency information collection activities; proposals, Water service, repayment, and other water-related submissions, and approvals, 42366–42377 contract negotiations; quarterly status report, 42377– 42379 Mississippi River Commission NOTICES Rural Telephone Bank Meetings; Sunshine Act, 42394 NOTICES Meetings; Sunshine Act, 42300 National Aeronautics and Space Administration NOTICES Securities and Exchange Commission Meetings: RULES NASA Advisory Council, 42394–42395 Securities: Delisting and deregistration procedures, 42456–42471 National Institute of Standards and Technology NOTICES NOTICES Meetings; Sunshine Act, 42395 Inventions, Government-owned; availability for licensing, Self-regulatory organizations; proposed rule changes: 42310–42311 Boston Stock Exchange, Inc., 42396–42397 Chicago Board Options Exchange, Inc., 42397–42398 National Institutes of Health National Association of Securities Dealers, Inc., 42398– NOTICES 42403 Agency information collection activities; proposals, Options Clearing Corp., 42403–42406 submissions, and approvals, 42348–42349 Inventions, Government-owned; availability for licensing, Small Business Administration 42349–42353 NOTICES Meetings: Disaster loan areas: National Human Genome Research Institute, 42353 Florida, 42406–42407
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Idaho, 42407 Mississippi, 42407 Separate Parts In This Issue Surface Transportation Board NOTICES Part II Railroad operation, acquisition, construction, etc.: Executive Office of the President, Central Intelligence BNSF Railway Co., 42408 Agency, 42418–42453
Transportation Department Part III See Federal Aviation Administration Securities and Exchange Commission, 42456–42471 See Federal Highway Administration See Surface Transportation Board Part IV Labor Department, Employment and Training Treasury Department Administration, 42474–42482 NOTICES Agency information collection activities; proposals, Part V submissions, and approvals, 42408–42413 Agriculture Department, Farm Service Agency, 42484 Veterans Affairs Department NOTICES Agency information collection activities; proposals, Reader Aids submissions, and approvals, 42413–42414 Consult the Reader Aids section at the end of this issue for Patent licenses; non-exclusive, exclusive, or partially phone numbers, online resources, finding aids, reminders, exclusive: and notice of recently enacted public laws. CellCyte Genetics, Inc., 42414–42415 To subscribe to the Federal Register Table of Contents Global Therapy Monitoring LLC, 42415 LISTSERV electronic mailing list, go to http:// Reports and guidance documents; availability, etc.: listserv.access.gpo.gov and select Online mailing list Fleet Alternative Fuel Vehicle (AFV) program; annual archives, FEDREGTOC-L, Join or leave the list (or change report, 42415 settings); then follow the instructions.
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CFR PARTS AFFECTED IN THIS ISSUE
A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.
3 CFR Administrative Orders: Presidential Determinations: No. 2005-29 of July 14, 2005 ...... 42251 5 CFR 831...... 42253 842...... 42253 7 CFR 56...... 42254 70...... 42254 983...... 42256 9 CFR 77...... 42259 11 CFR Proposed Rules: 100...... 42282 106...... 42282 300...... 42282 14 CFR 39 (3 documents) ...... 42262, 42267, 42269 Proposed Rules: 39...... 42282 17 CFR 232...... 42456 240...... 42456 249...... 42456 20 CFR Proposed Rules: 604...... 42474 21 CFR 73...... 42271 37 CFR Proposed Rules: 202...... 42286 40 CFR 271...... 42273 Proposed Rules: 155...... 42292 45 CFR 146...... 42276 48 CFR Proposed Rules: 9904...... 42293 50 CFR 622...... 42279 679 (4 documents) ...... 42279, 42280, 42281
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Federal Register Presidential Documents Vol. 70, No. 140
Friday, July 22, 2005
Title 3— Presidential Determination No. 2005–29 of July 14, 2005
The President Waiver of Restrictions on Providing Funds to the Palestinian Authority
Memorandum for the Secretary of State
Pursuant to the authority vested in me as President by the Constitution and laws of the United States, including section 550(b) of the Foreign Operations, Export Financing, and Related Programs Appropriations Act, 2005 (Div. D, Public Law 108–447)(the ‘‘Act’’), I hereby certify that it is important to the national security interests of the United States to waive the provisions of section 550(a) of the Act, in order to provide funds appro- priated to carry out chapter 4 of part II of the Foreign Assistance Act of 1961 to the Ministry of Finance of the Palestinian Authority in direct assistance for use on new projects in Gaza. You are authorized and directed to transmit this determination to the Con- gress, accompanied by a report in accordance with section 550(d) of the Act, and to publish the determination in the Federal Register. W THE WHITE HOUSE, Washington, July 14, 2005.
[FR Doc. 05–14610 Filed 7–21–05; 8:45 am] Billing code 4710–10–P
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Rules and Regulations Federal Register Vol. 70, No. 140
Friday, July 22, 2005
This section of the FEDERAL REGISTER for law enforcement officers. The Pensions, Reporting and recordkeeping contains regulatory documents having general interim rules issued on July 25, 2001, requirements, Retirement. applicability and legal effect, most of which established procedures for these MWAA are keyed to and codified in the Code of U.S. Office of Personnel Management. police officers to elect coverage under Linda M. Springer, Federal Regulations, which is published under the special retirement provisions for law 50 titles pursuant to 44 U.S.C. 1510. Director. enforcement officers. The interim rule I Accordingly, the interim rule The Code of Federal Regulations is sold by also made other amendments to the Superintendent of Documents. Prices of previously promulgated rules regulating amending 5 CFR parts 831 and 842, new books are listed in the first FEDERAL law enforcement officer and firefighter which was published at 66 FR 38524 on REGISTER issue of each week. retirement coverage under the Civil July 25, 2001, is adopted as a final rule Service Retirement System (CSRS) and with the following change: the Federal Employees Retirement PART 831—RETIREMENT OFFICE OF PERSONNEL System (FERS). MANAGEMENT OPM received comments from one I 1. The authority citation for part 831 is Federal agency. The commentor noted revised to read as follows: 5 CFR Parts 831 and 842 that the revised definition of agency Authority: 5 U.S.C. 8347; Sec. 831.102 also RIN 3206–AJ39 head at 5 CFR 831.902 and 5 CFR issued under 5 U.S.C. 8334; Sec. 831.106 also 842.802 deleted language from the issued under 5 U.S.C. 552a; Sec. 831.108 also Law Enforcement Officer and second sentence of the definition. issued under 5 U.S.C. 8336(d)(2); Sec. Firefighter Retirement Specifically, the phrase ‘‘for provisions 831.114 also issued under 5 U.S.C. dealing with law enforcement officers 8336(d)(2), and section 1313(b)(5) of Pub. L. AGENCY: Office of Personnel and firefighters’’ was deleted from the 107–296, 116 Stat. 2135; Sec. 831.201(b)(1) Management. definition of agency head at 5 CFR also issued under 5 U.S.C. 8347(g); Sec. ACTION: Final rule. 842.802, and the phrase ‘‘or to the 831.201(b)(6) also issued under 5 U.S.C. 7701(b)(2); Sec. 831.201(g) also issued under deputy department head’’ was deleted SUMMARY: The Office of Personnel sections 11202(f), 11232(e), and 11246(b) of from the definition of agency head at 5 Pub. L. 105–33, 111 Stat. 251; Sec. 831.201(g) Management (OPM) is issuing final CFR 831.902 and 5 CFR 842.802. The also issued under section 7(b) and (e) of Pub. rules that permit certain police officers commentor noted that the deletion of L. 105–274, 112 Stat. 2419; Sec. 831.201(i) with the Metropolitan Washington these phrases could be interpreted as a also issued under sections 3 and 7(c) of Pub. Airports Authority (MWAA) to elect new restriction on an agency’s ability to L. 105–274, 112 Stat. 2419; Sec. 831.204 also coverage under the special retirement delegate decision-making authority. We issued under section 102(e) of Pub. L. 104– provisions for law enforcement officers. agree with the commentor. The 8, 109 Stat. 102, as amended by section 153 of Pub. L. 104–134, 110 Stat. 1321; Sec. We are also amending the regulations definition of agency head was revised governing special retirement provisions 831.205 also issued under section 2207 of only to clarify and interpret the existing Pub. L. 106–265, 114 Stat. 784; Sec. 831.301 for law enforcement officers and officers extent of an agency head’s authority. We also issued under section 2203 of Pub. L. and firefighters employed under the are restoring the deleted language to 106–265, 114 Stat. 780; Sec. 831.303 also Civil Service Retirement System (CSRS) indicate that the existing ability of an issued under 5 U.S.C. 8334(d)(2) and section and the Federal Employees Retirement agency head to delegate decision- 2203 of Pub. L. 106–235, 114 Stat. 780; Sec. System (FERS). These changes were making authority is unchanged. 831.502 also issued under 5 U.S.C. 8337; Sec. made to clarify and interpret previously 831.502 also issued under section 1(3), E.O. promulgated regulations. Executive Order 12866, Regulatory 11228, 3 CFR 1965–1965 Comp. p. 317; Sec. Review 831.663 also issued under section 8339(j) and DATES: This final rule is effective July (k)(2); Secs. 831.663 and 831.664 also issued 22, 2005. This rule has been reviewed by the under section 11004(c)(2) of Pub. L. 103–66, FOR FURTHER INFORMATION CONTACT: Office of Management and Budget in 107 Stat. 412; Sec. 831.682 also issued under Mary Ellen Wilson, (202) 606–0299. accordance with Executive Order 12866. section 201(d) of Pub. L. 99–251, 100 Stat. 23; Regulatory Flexibility Act Sec. 831.912 also issued under section 636 of SUPPLEMENTARY INFORMATION: On July Appendix C to Pub. L. 106–554, 114 Stat. 25, 2001, we published (at 66 FR 38524) I certify that this regulation will not 2763A–164; subpart V also issued under 5 interim regulations to implement have a significant economic impact on U.S.C. 8343a and section 6001 of Pub. L. provisions of section 636 of the a substantial number of small entities 100–203, 101 Stat. 1330–275; Sec. 831.2203 Treasury and General Government because the regulation will only affect a also issued under section 7001(a)(4) of Pub. Appropriations Act, 2001, enacted small number of employees of the L. 101–508, 104 Stat. 1388–328. December 21, 2000, which is Metropolitan Washington Airports Subpart I—Law Enforcement Officers incorporated by reference as Appendix Authority. and Firefighters C to the Consolidated Appropriations List of Subjects in 5 CFR Parts 831 and Act, 2001, Public Law 106–554 (114 I 842 2. Amend § 831.902 by revising the Stat. 2763). Section 636 of the Treasury definition of agency head to read as and General Government Administrative practice and follows: Appropriations Act, 2001, permits procedure, Air traffic controllers, certain police officers with the Alimony, Claims, Disability benefits, § 831.902 Definitions. Metropolitan Washington Airports Firefighters, Government employees, * * * * * Authority (MWAA) to elect coverage Income taxes, Intergovernmental Agency head means, for the executive under the special retirement provisions relations, Law enforcement officers, branch agencies, the head of an
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executive agency as defined in 5 U.S.C. Subpart H—Law Enforcement Officers, the increase in salaries of Federal 105; for the legislative branch, the Firefighters, and Air Traffic Controllers employees, salary increases of State Secretary of the Senate, the Clerk of the employees cooperatively utilized in House of Representatives, or the head of I 4. Amend § 842.802 by revising the administering the programs, and other any other legislative branch agency; for definition of agency head to read as increased Agency costs. the judicial branch, the Director of the follows: DATES: Effective September 25, 2005. Administrative Office of the U.S. Courts; § 842.802 Definitions FOR FURTHER INFORMATION CONTACT: for the Postal Service, the Postmaster David Bowden, Jr., Chief, * * * * * General; and for any other independent Standardization Branch, (202) 720– Agency head means, for the executive establishment that is an entity of the 3506. Federal Government, the head of the branch agencies, the head of an SUPPLEMENTARY INFORMATION: establishment. For the purpose of an executive agency as defined in 5 U.S.C. approval of coverage under this subpart, 105; for the legialative branch, the Background agency head is also deemed to include Secretary of State, the Clerk of the House of representatives, or the head of The Agricultural Marketing Act the designated representative of the (AMA) of 1946 (7 U.S.C. 1621 et seq.) head of an executive department as any other legislative branch agency; for the judicial branch, the Director of the authorizes official voluntary grading defined in 5 U.S.C. 101, except that the and certification of eggs, poultry, and designated representative must be a Administrative Office of the U.S. Courts; for the Postal Service, the Postmaster rabbits on a user-fee basis. The AMA department headquarters-level official provides that reasonable fees be who reports directly to the executive General; and for any other independent establishment that is an entity of the collected from users of program services department head, or to the deputy to cover, as nearly as practicable, the department head, and who is the sole Federal Government, the head of the establishment. For the purpose of an costs of services rendered. The AMS such representative for the entire regularly reviews these programs to department. For the purpose of a denial approval of coverage under this subpart, agency head is also deemed to include determine if fees are adequate and if of coverage under this subpart, agency costs are reasonable. head is also deemed to include the the designated representative of the head of an executive department as A recent review determined that the designated representative of the agency existing fee schedule, effective January head, as defined in the first sentence of defined in 5 U.S.C. 101, except that, for provisions dealing with law 1, 2004, would not generate sufficient this definition, at any level within the revenues to cover program costs while agency. enforcement officers and firefighters, the designated representative must be a maintaining an adequate reserve balance * * * * * department headquarters-level official in FY 2006. Costs in FY 2006 are projected at $31.9 million. Without a fee PART 842—FEDERAL EMPLOYEES who reports directly to the executive department head, or to the deputy increase, FY 2006 revenues are RETIREMENT SYSTEM—BASIC projected at $30.5 million and trust fund ANNUITY department head, and who is the sole such represenative for the entire balances would be $14.5 million. With department. For the purpose of a denial a fee increase, FY 2006 revenues are I 3. The authority citation for part 842 is projected at $31.9 million and trust fund revised to read as follows: coverage under this subpart, agency head is also deemed to include the balances would remain at $15.9 million. Authority: 5 U.S.C. 8461(g); Secs. 842.104 designated representative of the agency Employee salaries and benefits and 842.106 also issued under 5 U.S.C. head, as defined in the first sentence of account for approximately 82 percent of 8461(n); Sec. 842.104 also issued under the total operating budget. A general sections 3 and 7(c) of Pub. L. 105–274, 112, this definition, at any level within the agency. and locality salary increase for Federal Stat. 2419; Sec. 842.105 also issued under 5 employees, effective in January 2004, U.S.C. 8402(c)(1) and 7701(b)(2); Sec, * * * * * materially affected program costs. 842.106 also issued under section 102(e) of [FR Doc. 05–14240 Filed 7–21–05; 8:45 am] Projected cost estimates for that increase Pub. L. 104–8, 109 Stat. 102, as amended by BILLING CODE 6325–39–M section 153 of Pub. L. 104–134, 110 Stat. were based on a salary increase of 2.0 1321; Sec. 842.107 also issued under sections percent, however, the increase was 11202(f), 11232(e), and 11246(b) of Pub. L. actually 3.89 to 5.35 percent, depending 105–33, 111 Stat. 251; Sec. 842.107 also DEPARTMENT OF AGRICULTURE on locality. The last increase of 3.25 to issued under section 7(b) of Pub. L. 105–274, 4.3 percent, depending on locality, 112 Stat. 2419; Sec. 842.108 aslo issued Agricultural Marketing Service became effective in January 2005 and under section 7(e) of Pub. L. 105–274, 112 another increase, estimated at 1.5 Stat. 2419; Sec. 842.213 also issued under 5 7 CFR Parts 56 and 70 percent, is expected in January 2006. U.S.C. 8414(b)(1)(B) and section 1313(b)(5) of Also, from October 2004 through Pub. L. 107–296, 116 Stat. 2135; Secs. [Docket No. PY–05–001] September 2006, salaries and fringe 842.604 and 842.611 also issued under 5 RIN 0581–AC44 U.S.C. 8419; Sec. 842.615 also issued under benefits of federally-licensed State 5 U.S.C. 8416 and 8417; Sec. 842.614 also Increase in Fees and Charges for Egg, employees will have increased by about issued under 5 U.S.C. 8419; Sec. 842.615 also Poultry, and Rabbit Grading 6.0 percent. This paragraph, which also issued under 5 U.S.C. 8418; Sec. 842.703 also appeared in the proposed rule, has been issued under section 7001(a)(4) of Pub. L. AGENCY: Agricultural Marketing Service, updated to reflect more current 101–508, 104 Stat. 1388; Sec. 842.707 also USDA. information. issued under section 6001 of Pub. L. 100– ACTION: Final rule. The impact of these cost increases 203, 101 Stat. 1300; Sec. 842.708 also issued was determined for resident, under section 4005 of Pub. L. 101–239, 103 SUMMARY: Stat. 2106 and section 7001 of Pub. L. 101– The Agricultural Marketing nonresident, and fee services. To offset 508, 104 Stat. 1388, subpart H also issued Service (AMS) is increasing the fees and projected cost increases, the hourly under 5 U.S.C. 1104; sec. 842.810 also issued charges for Federal voluntary egg, resident and nonresident rate will be under Appendix C to Pub. L. 106–554, 114 poultry, and rabbit grading. These fees increased by approximately 5.8 percent Stat. 2763A–164. and charges are being increased to cover and the fee rate will be increased by
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approximately 8.3 percent. The hourly As shown in the table below, the The following table compares current rate for resident and nonresident service minimum monthly administrative fees and charges with proposed fees and covers graders’ salaries and benefits. volume charge for resident poultry, charges for egg, poultry, and rabbit The hourly rate for fee service covers shell egg, and rabbit grading will not grading as found in 7 CFR parts 56 and graders’ salaries and benefits, plus the change. 70: cost of travel and supervision.
Service Current Proposed
Resident Service (egg, poultry, and rabbit grading)
Inauguration of service ...... 310 310 Hourly charges: Regular hours ...... 34.36 36.36 Administrative charges—Poultry grading: Per pound of poultry ...... 00037 .00039 Minimum per month ...... 260 260 Maximum per month ...... 2,755 2,875 Administrative charges—Shell egg grading: Per 30-dozen case of shell eggs ...... 048 .051 Minimum per month ...... 260 260 Maximum per month ...... 2,755 2,875 Administrative charges—Rabbit grading: Based on 25% of grader’s salary, minimum per month ...... 260 260
Nonresident Service (egg and poultry grading)
Hourly charges: Regular hours ...... 34.36 36.36 Administrative charges: Based on 25% of grader’s salary, minimum per month ...... 260 260
Fee and Appeal Service (egg, poultry, and rabbit grading)
Hourly charges: Regular hours ...... 60.00 65.00 Weekend and holiday hours ...... 69.32 75.12
Comments been reviewed by the Office of sufficient revenues to cover program Based on the analysis of costs to Management and Budget (OMB). costs while maintaining an adequate reserve balance in FY 2006. Costs in FY provide these services, a proposed rule Regulatory Flexibility to increase the fees for these services 2006 are projected at $31.9 million. was published in the Federal Register Pursuant to the requirements set forth Without a fee increase, FY 2006 (70 FR 9883) on March 1, 2005. in the Regulatory Flexibility Act (RFA) revenues are projected at $30.5 million Comments on the proposed rule were (5 U.S.C. 601 et seq.), the AMS has and trust fund balances would be $14.5 solicited from interested parties until considered the economic impact of this million. With a fee increase, FY 2006 March 31. One comment was received action on small entities. It is determined revenues are projected at $31.9 million from an egg industry association. that this rule will not have a significant and trust fund balances would remain at The association acknowledged the economic impact on a substantial $15.9 million. Agency’s need to increase fees. number of small entities. This action will raise the fees charged However, the association requested that There are about 376 users of Poultry to users of grading services. The AMS the increase be postponed for a period Programs’ grading services. These estimates that overall, this rule will of six months. The commenter stated official plants can pack eggs, poultry, yield an additional $1,400,000 during that an immediate increase would be an and rabbits in packages bearing the FY 2006. The hourly rate for resident added hardship on an already USDA grade shield when AMS graders and nonresident service will increase by economically depressed industry but, in are present to certify that the products approximately 5.8 percent and the fee a few months, industry self-help meet the grade requirements as labeled. rate will increase by approximately 8.3 programs should be up and running. As Many of these users are small entities percent. The impact of these rate stated in the proposal, the Agency under the criteria established by the changes in a poultry plant will range intended that the fee increase be Small Business Administration (13 CFR from about 0.0075 to 0.10 cents per implemented as early as possible in FY 121.201). These entities are under no pound of poultry handled. In a shell egg 2006. The closest available billing cycle obligation to use grading services as plant, the range will be less than 0.037 begins on September 25, 2005. authorized under the Agricultural to 0.466 cents per dozen eggs handled. Marketing Act of 1946. Accordingly, this rule will be effective Civil Justice Reform on that date. The AMS regularly reviews its user fee financed programs to determine if This action has been reviewed under Executive Order 12866 fees are adequate and if costs are Executive Order 12988, Civil Justice This action has been determined to be reasonable. A recent review determined Reform. This action is not intended to not significant for purposes of Executive that the existing fee schedule, effective have retroactive effect. This rule will Order 12866 and, therefore, has not January 1, 2004, will not generate not preempt any State or local laws,
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regulations, or policies, unless they (c) Grading services rendered on poultry handled in the plant per billing present an irreconcilable conflict with Saturdays, Sundays, or legal holidays period computed in accordance with the this rule. There are no administrative shall be charged for at the rate of $75.12 following: Total pounds per billing procedures which must be exhausted per hour. Information on legal holidays period multiplied by $0.00039, except prior to any judicial challenge to the is available from the Supervisor. that the minimum charge per billing provisions of this rule. I 3. In § 56.52, paragraph (a)(4) is revised period shall be $260 and the maximum charge shall be $2,875. The minimum Paperwork Reduction to read as follows: charge also applies where an approved The information collection § 56.52 Continuous grading performed on application is in effect and no product requirements that appear in the sections resident basis. is handled. to be amended by this action have been * * * * * * * * * * previously approved by OMB and (a) * * * assigned OMB Control Numbers under (4) An administrative service charge Dated: July 19, 2005. the Paperwork Reduction Act (44 U.S.C. based upon the aggregate number of 30- Kenneth C. Clayton, Chapter 35) as follows: § 56.52(a)(4)— dozen cases of all shell eggs handled in Acting Administrator, Agricultural Marketing No. 0581–0128; and § 70.77(a)(4)—No. the plant per billing period multiplied Service. 0581–0127. by $0.051, except that the minimum [FR Doc. 05–14514 Filed 7–21–05; 8:45 am] Pursuant to 5 U.S.C. 533, it is found charge per billing period shall be $260 BILLING CODE 3410–02–P and determined that good cause exists and the maximum charge shall be for not postponing the effective date of $2,875. The minimum charge also this action until 30 days after applies where an approved application DEPARTMENT OF AGRICULTURE publication in the Federal Register. The is in effect and no product is handled. revised fees need to be implemented on Agricultural Marketing Service an expedited basis in order to avoid PART 70—VOLUNTARY GRADING OF further financial losses in the grading POULTRY PRODUCTS AND RABBIT 7 CFR Part 983 program. The effective date of the fee PRODUCTS [Docket No. FV05–983–4 IFR] increase, September 25, 2005, will I 4. The authority citation for part 70 Pistachios Grown in California; coincide with the first billing period in continues to read as follows: FY 2006. Establishment of Procedures for Authority: 7 U.S.C. 1621–1627. Exempting Handlers From Minimum List of Subjects I 5. Section 70.71 is revised to read as Quality Testing 7 CFR Part 56 follows: AGENCY: Agricultural Marketing Service, Eggs and egg products, Food grades § 70.71 On a fee basis. USDA. and standards, Food labeling, Reporting ACTION: Interim final rule with request and recordkeeping requirements. (a) Unless otherwise provided in this part, the fees to be charged and for comments. 7 CFR Part 70 collected for any service performed, in SUMMARY: This rule establishes Food grades and standards, Food accordance with this part, on a fee basis procedures for exempting handlers from labeling, Poultry and poultry products, shall be based on the applicable rates quality requirements, including Rabbits and rabbit products, Reporting specified in this section. maximum limits for quality defects and and recordkeeping requirements. (b) Fees for grading services will be minimum size, prescribed under the For reasons set forth in the preamble, based on the time required to perform California pistachio marketing order title 7, Code of Federal Regulations, such services for class, quality, quantity (order). The order regulates the handling parts 56 and 70 are amended as follows: (weight test), or condition, whether of pistachios grown in California and is ready-to-cook poultry, ready-to-cook administered locally by the PART 56—GRADING OF SHELL EGGS rabbits, or specified poultry food Administrative Committee for products are involved. The hourly Pistachios (Committee). These I 1. The authority citation for part 56 charge shall be $65.00 and shall include procedures will be used by the continues to read as follows: the time actually required to perform Committee in considering handler Authority: 7 U.S.C. 1621–1627. the work, waiting time, travel time, and requests for exemptions from minimum any clerical costs involved in issuing a quality testing requirements and when I 2. Section 56.46 is revised to read as certificate. considering revocations of such follows: (c) Grading services rendered on exemptions. Additionally, this rule Saturdays, Sundays, or legal holidays § 56.46 On a fee basis. establishes an appeals process for shall be charged for at the rate of $75.12 (a) Unless otherwise provided in this handlers who have been denied an per hour. Information on legal holidays exemption or had an approved part, the fees to be charged and is available from the Supervisor. collected for any service performed, in exemption revoked. I 6. In § 70.77, paragraph (a)(4) is revised accordance with this part, on a fee basis DATES: Effective July 23, 2005; to read as follows: shall be based on the applicable rates comments received by September 20, specified in this section. § 70.77 Charges for continuous poultry or 2005 will be considered prior to (b) Fees for grading services will be rabbit grading performed on a resident issuance of a final rule. based on the time required to perform basis. ADDRESSES: Interested persons are the services. The hourly charge shall be * * * * * invited to submit written comments $65.00 and shall include the time (a) * * * concerning this rule. Comments must be actually required to perform the grading, (4) For poultry grading: An sent to the Docket Clerk, Marketing waiting time, travel time, and any administrative service charge based Order Administration Branch, Fruit and clerical costs involved in issuing a upon the aggregate weight of the total Vegetable Programs, AMS, USDA, 1400 certificate. volume of all live and ready-to-cook Independence Avenue SW., STOP 0237,
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Washington, DC 20250–0237; Fax: (202) on the petition. After the hearing USDA pistachios per production year 720–8938, or E-mail: would rule on the petition. The Act (September 1–August 31) from [email protected]; or Internet: provides that the district court of the minimum quality testing requirements. http://www.regulations.gov. All United States in any district in which Under these authorities, the comments should reference the docket the handler is an inhabitant, or has his Committee at its April 12, 2005, number and the date and page number or her principal place of business, has meeting, unanimously recommended of this issue of the Federal Register and jurisdiction to review USDA’s ruling on establishing a new section entitled, will be made available for public the petition, provided an action is filed ‘‘§ 983.141—Procedures for Exempting inspection in the Office of the Docket not later than 20 days after the date of Handlers from Minimum Quality Clerk during regular business hours, or the entry of the ruling. Testing’’ to specify appropriate can be viewed at: http:// This rule establishes procedures for exemption, revocation, and appeal www.ams.usda.gov/fv/moab.html. use by the Committee in exempting procedures. The Committee believes FOR FURTHER INFORMATION CONTACT: Rose handlers from minimum quality that standardized procedures would Aguayo, California Marketing Field (maximum limits for quality defects and ensure that handler requests for Office, Marketing Order Administration minimum size) testing requirements exemptions and revocations of such Branch, Fruit and Vegetable Programs, prescribed under the order. These exemptions are treated similarly by the AMS, USDA; Telephone: (559) 487– procedures also will be used by the Committee, and ensure that all 5901, Fax: (559) 487–5906; or George Committee, or its duly authorized applicants are treated equitably. The Committee also recommended Kelhart, Technical Advisor, Marketing agents, when considering the revocation that handler exemptions under Order Administration Branch, Fruit and of exemptions for good cause, and when § 983.41(b) not be granted if a handler Vegetable Programs, AMS, USDA, 1400 considering appeals of handlers who failed to file required reports, shipped Independence Avenue SW., STOP 0237, have had exemptions denied or revoked. Section 983.46 of the pistachio order substandard pistachios, or failed to Washington, DC 20250–0237; authorizes the Committee to recommend comply with the requirements specified Telephone: (202) 720–2491, Fax: (202) that the Secretary modify or suspend the in § 983.41 on exemptions for minimum 720–8938. order provisions contained in §§ 983.38 quality testing. Revocations of approved Small businesses may request through 983.45. These sections are exemptions could be implemented by information on complying with this scheduled to be implemented on August the Committee, or its authorized agents, regulation by contacting Jay Guerber, 1, 2005. for the same reasons. Marketing Order Administration Section 983.41 of the pistachio order Additionally, the Committee Branch, Fruit and Vegetable Programs, authorizes handler exemptions from recommended that any handler who AMS, USDA, 1400 Independence minimum quality testing requirements believes that he/she has been Avenue SW., STOP 0237, Washington, for handlers handling less than 1 improperly denied an exemption or DC 20250–0237; Telephone: (202) 720– million pounds of assessed weight improperly had an exemption revoked 2491, Fax: (202) 720–8938, or E-mail: pistachios per production year by the Committee should be allowed to [email protected]. (September 1–August 31) and specifies appeal the Committee’s action to USDA. SUPPLEMENTARY INFORMATION: This rule that the Committee may grant handler The Committee recommended that the is issued under Marketing Order No. exemptions. For the purposes, of this USDA review any appeals and 983 (7 CFR part 983), regulating the document, the term ‘‘production year’’ determine their merit. All appeals must handling of pistachios grown in is synonymous with ‘‘marketing year’’. be submitted in writing and the California, hereinafter referred to as the Section 983.70 of the pistachio order Committee would provide USDA the ‘‘order.’’ The order is effective under the exempts handlers who handle 1,000 complete file on each appeal. Agricultural Marketing Agreement Act pounds or less of dried weight (assessed The recommended exemption of 1937, as amended (7 U.S.C. 601–674), weight) pistachios (dried to 5 percent procedures require the Committee, or its hereinafter referred to as the ‘‘Act.’’ moisture) during any marketing year authorized agents, to timely notify all The Department of Agriculture from all assessment, aflatoxin, and handlers of the opportunity to apply to (USDA) is issuing this rule in minimum quality requirements. be exempted from minimum quality conformance with Executive Order Section 983.147 of the pistachio order testing so that all interested handlers 12866. establishes handler reporting can submit applications on forms This rule has been reviewed under requirements (ACP Forms 2–7) and provided by the Committee by the Executive Order 12988, Civil Justice exempts handlers who handle 1,000 August 1 deadline; promptly review all Reform. This rule is not intended to pounds or less of dried weight requests for exemption; verify that the have retroactive effect. This rule will pistachios from all reporting quantity of assessed weight pistachios not preempt any State or local laws, requirements with the exception of ACP handled by any applicants during the regulations, or policies, unless they Form-4. Handlers who have handled or prior production year was less than 1 present an irreconcilable conflict with intend to handle 1,000 pounds or less of million pounds of assessed weight and this rule. dried weight pistachios during the that applicants are in compliance with The Act provides that administrative marketing period (September 1–August the order’s inspection, quality, and proceedings must be exhausted before 31) must submit ACP Form-4 by reporting requirements; approve or parties may file suit in court. Under November 15 each year to the disapprove requests for exemptions by section 608c(15)(A) of the Act, any Committee. August 20 of each year; maintain handler subject to an order may file The recommended decision, complete files concerning the approval with USDA a petition stating that the published on August 4, 2003, (68 FR or disapproval of each handler’s order, any provision of the order, or any 45990) indicates that implementing application; and notify handlers by obligation imposed in connection with regulations should be effectuated to August 30 of approval or disapproval. the order is not in accordance with law establish the specific procedures for A handler’s exemption would be and request a modification of the order exempting handlers who handle more revoked by the Committee, or its duly or to be exempted therefrom. A handler than 1,000 pounds and less than 1 authorized agents, if the handler fails to is afforded the opportunity for a hearing million pounds of assessed weight provide reports required under this part
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or has not complied with the provisions agricultural producers are defined as Under these authorities, the on minimal quantity testing in § 983.41. those having annual receipts of less than Committee at its April 12, 2005, Additionally, the Committee, or its duly $750,000. Seventeen of the 24 handlers meeting, unanimously recommended authorized agents, would revoke an subject to regulation have annual establishing standardized procedures for approved exemption when a handler pistachio receipts of less than granting and revoking handler audit reveals that a handler has handled $6,000,000. In addition, 722 of the 741 exemption requests, and considering a million pounds or more of assessed producers have annual receipts less handler appeals on exemption weight pistachios during the applicable than $750,000. Therefore, a majority of decisions. This action will have a production year. The revocation of a handlers and producers may be positive impact on small and large handler’s exemption would be made in classified as small entities under the handlers by assuring that all exemption writing to the handler and specify the SBA standards. applications and reviews are handled reason(s) for and the effective date. This rule establishes procedures for following standardized procedures. Any handler who believes that he/she exempting handlers from minimum The Committee discussed alternatives has been improperly denied an quality (maximum limits for quality to this change, including not making exemption or improperly had an defects and minimum size) testing any changes, but determined that exemption revoked, may appeal to requirements prescribed under the specific procedures were needed to USDA for reconsideration within 20 order. These procedures will be used by facilitate: (1) Exempting handlers from days after notification of the the Committee when considering minimum quality testing; (2) revoking Committee’s findings. All appeals must handler requests for exemptions from exemptions when handlers violate the be in writing. minimum quality testing requirements marketing order; and (3) processing The Committee, or its duly authorized and when considering revocations of appeals to the Committee’s actions. agents, shall forward a file with all such exemptions. Additionally, this rule These procedures are expected to ensure pertinent information related to the establishes an appeals process for that all such requests are treated handler’s appeal to USDA. USDA shall handlers who have been denied an equitably. The Committee vote was 8 in inform the handler and all interested exemption or had an approved favor, 0 opposed, and 0 abstained. persons of the Secretary’s decision. exemption revoked. The information collection As previously mentioned, under Section 983.41(a) of the pistachio requirements for the ACP Form-5, § 983.70 of the order, this rule applies order allows handlers handling less which handlers will complete and to handlers handling more than 1,000 than 1 million pounds of assessed forward to the Committee to request pounds and less than 1 million pounds, weight pistachios each production year exemption from minimum quality because handlers who handle 1,000 (September 1–August 31) to use requirements under the order, was pounds or less of dried weight optional aflatoxin testing methods. The previously submitted to the Office of pistachios are exempt from assessment, optional methods permit the sampling Management and Budget (OMB) and aflatoxin, and minimum quality and testing of a handler’s entire approved under OMB No. 0581–0230. requirements and from all reporting inventory before further processing, and Thus, this action will not impose any requirements under § 983.147 of the allow handlers to segregate their additional reporting or recordkeeping order’s administrative rules and receipts into various lots for sampling requirements on either small or large regulations, with the exception of ACP and testing. pistachio handlers. As with all Federal Form-4. Section 983.41(b) of the pistachio order authorizes handler exemptions marketing order programs, reports and Initial Regulatory Flexibility Analysis from minimum quality testing for forms are periodically reviewed to Pursuant to requirements set forth in handlers handling less than 1 million reduce information requirements and the Regulatory Flexibility Act (RFA), the pounds of assessed weight pistachios duplication by industry and public Agricultural Marketing Service (AMS) per production year and specifies that sector agencies. has considered the economic impact of the Committee may grant such handler In addition, USDA has not identified this action on small entities. exemptions. any relevant Federal rules that Accordingly, AMS has prepared this Section 983.70 of the pistachio order duplicate, overlap or conflict with this initial regulatory flexibility analysis. exempts handlers who handle 1,000 rule. The purpose of the RFA is to fit pounds or less of dried weight (assessed Further, the Committee’s meetings are regulatory actions to the scale of weight) pistachios (dried to 5 percent widely publicized throughout the business subject to such actions in order moisture) during any marketing year pistachio industry and all interested that small businesses will not be unduly from all assessment, aflatoxin, and persons are invited to attend the or disproportionately burdened. minimum quality requirements. For the meetings and participate in the Marketing orders issued pursuant to the purposes of this document, the term Committee’s deliberations. Like all Act, and the rules issued thereunder, are ‘‘marketing year’’ is synonymous with Committee meetings, the April 12, 2005, unique in that they are brought about the term ‘‘production year’’ and covers meeting was a public meeting and all through group action of essentially the period September 1 through August entities, both large and small, were able small entities acting on their own 31. to express their views on these issues. behalf. Thus, both statutes have small The recommended decision, Finally, interested persons are invited entity orientation and compatibility. published on August 4, 2003, (68 FR to submit information on the regulatory There are approximately 24 handlers 45990) indicated that implementing and informational impacts of this action of California pistachios who are subject regulations should be effectuated to on small businesses. to regulation under the order and about establish the specific procedures for A small business guide on complying 741 producers of pistachios in the exempting handlers who handle more with fruit, vegetable, and specialty crop production area. Small agricultural than 1,000 pounds and less than 1 marketing agreements and orders may service firms are defined by the Small million pounds of assessed weight be viewed at: http://www.ams.usda.gov/ Business Administration (SBA)(13 CFR pistachios per production year fv/moab.html. Any questions about the 121.201) as those having annual receipts (September 1–August 31) from compliance guide should be sent to Jay of less than $6,000,000 and small minimum quality testing requirements. Guerber at the previously mentioned
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address in the FOR FURTHER INFORMATION August 1. The Committee, or its duly Dated: July 18, 2005. CONTACT section. authorized agents, shall: Kenneth C. Clayton, This rule invites comments on the (1) Promptly review all exemption Acting Administrator, Agricultural Marketing establishment of minimum quality applications received. In reviewing Service. testing exemption procedures under the applications for exemption, the [FR Doc. 05–14513 Filed 7–19–05; 1:38 pm] order. Any comments received will be Committee, or its duly authorized BILLING CODE 3410–02–P considered prior to finalization of this agents, shall determine that the quantity rule. of assessed weight pistachios handled After consideration of all relevant during the prior production year was DEPARTMENT OF AGRICULTURE material presented, including the less than 1 million assessed weight Committee’s recommendation and other pounds and that the applicants are in Animal and Plant Health Inspection information, it is found that this interim compliance with the order’s reporting Service final rule, as hereinafter set forth, will requirements and the provisions of tend to effectuate the declared policy of § 983.41. Handler compliance will be 9 CFR Part 77 the Act. determined through handler audits; [Docket No. 04–068–1] Pursuant to 5 U.S.C. 553, it is also (2) Complete the review and approve found and determined upon good cause or disapprove requests for exemptions Tuberculosis in Cattle and Bison; State that it is impracticable, unnecessary, by August 20; and contrary to the public interest to and Zone Designations; New Mexico (3) Maintain complete files detailing give preliminary notice prior to putting the reason(s) for the approval or AGENCY: Animal and Plant Health this rule into effect and that good cause disapproval of each application for at Inspection Service, USDA. exists for not postponing the effective least three years beyond the crop year of ACTION: Interim rule and request for date of this rule until 30 days after applicability; and comments. publication in the Federal Register (4) Notify in writing all applicants by because: (1) This action provides August 30 of the approval or SUMMARY: We are amending the bovine procedures to facilitate the review and disapproval of their requests together tuberculosis regulations regarding State approval of minimum quality testing with the reason(s) for disapproval, if and zone classifications by removing exemption requests, denials and applicable. New Mexico from the list of modified revocations of such exemptions, and accredited advanced States, adding subsequent appeals, if submitted; (2) the (b) Revocation of exemptions. A handler’s exemption shall be revoked by portions of two counties in New Mexico Committee unanimously recommended to the list of modified accredited the procedures at a public meeting and the Committee, or its duly authorized agents, if the handler fails to provide advanced zones, and adding the interested parties had an opportunity to remainder of the State to the list of provide input; (3) handlers are required reports required under § 983.147, or has not complied with the provisions on accredited-free zones. We are taking this to file the exemption form with the action based on our determination that Committee by August 1 of each year; minimal quality testing in § 983.41, of this part. Additionally, the Committee, New Mexico meets the requirements of and (4) this rule provides for a 60-day the regulations for zone recognition and comment period and any comments or its duly authorized agents, shall revoke an approved exemption when a that one of the zones meets the criteria received will be considered prior to for designation as accredited-free. finalization of this rule. handler audit reveals that a handler has handled a million pounds or more of DATES: This interim rule is effective July List of Subjects in 7 CFR Part 983 assessed weight pistachios during the 22, 2005. We will consider all Pistachios, Marketing agreements and current production year. The revocation comments that we receive on or before orders, Reporting and recordkeeping of a handler’s exemption shall be made September 20, 2005. requirements. in writing to the handler and shall ADDRESSES: You may submit comments I For the reasons set forth in the specify the reason(s) for and the by any of the following methods: • preamble, 7 CFR part 983 is amended as effective date. EDOCKET: Go to http:// follows: (c) Appeals. (1) Any handler who www.epa.gov/feddocket to submit or believes that he/she has been view public comments, access the index PART 983—PISTACHIOS GROWN IN improperly denied an exemption or listing of the contents of the official CALIFORNIA improperly had an exemption revoked, public docket, and to access those may appeal to the Secretary, within 20 documents in the public docket that are I 1. The authority citation for 7 CFR part days after notification of the available electronically. Once you have 983 continues to read as follows: Committee’s, or agents of the entered EDOCKET, click on the ‘‘View Authority: 7 U.S.C. 601–674. Committee’s, decisions. All appeals Open APHIS Dockets’’ link to locate this I shall be in writing. When requested by document. 2. In part 983, § 983.141 is added to • Subpart-Rules and Regulations to read as the Secretary, the Committee, or its duly Postal Mail/Commercial Delivery: follows: authorized agents, shall forward a file Please send four copies of your with all pertinent information related to comment (an original and three copies) § 983.141 Procedures for exempting any handler appeal. The Secretary shall to Docket No. 04–068–1, Regulatory handlers from minimum quality testing. inform the handler and all interested Analysis and Development, PPD, (a) Exemption procedures. The persons of the Secretary’s decision. APHIS, Station 3C71, 4700 River Road Committee, or its duly authorized (2) If handlers do not file an appeal or Unit 118, Riverdale, MD 20737–1238. agents, shall notify all handlers each if their appeal is denied by the Please state your comment refers to year of the opportunity to apply to be Secretary, they shall present all Docket No. 04–068–1. exempted from minimum quality testing remaining lots of pistachios in inventory • Federal eRulemaking Portal: Go to and handlers shall submit such requests for minimum quality testing before http://www.regulations.gov and follow on forms furnished by the Committee. moving the pistachios into the channels the instructions for locating this docket The deadline for submission shall be of commerce. and submitting comments.
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Reading Room: You may read any accredited-free State or zone, modified two zones in New Mexico as described comments that we receive on this accredited advanced State or zone, below. docket in our reading room. The reading modified accredited State or zone, 1. The smaller of the two zones room is located in room 1141 of the accreditation preparatory State or zone, consists of portions of Curry and USDA South Building, 14th Street and or nonaccredited State or zone. Roosevelt Counties, NM. Independence Avenue, SW., 2. The second zone in New Mexico Conditions for Zone Recognition Washington, DC. Normal reading room consists of the rest of the State. hours are 8 a.m. to 4:30 p.m., Monday Under §§ 77.3 and 77.4 of the With regard to cattle and bison, State through Friday, except holidays. To be regulations, in order to qualify for zone animal health officials in New Mexico sure someone is there to help you, classification by APHIS, the State must have demonstrated to APHIS that, please call (202) 690–2817 before meet the following requirements: except for the smaller zone, New coming. 1. The State must have adopted and Mexico meets the criteria for accredited- Other Information: You may view must be enforcing regulations that free status set forth in the definition of APHIS documents published in the impose restrictions on the intrastate accredited-free State or zone in § 77.5 of Federal Register and related movement of cattle, bison, and captive the regulations. In accordance with information on the Internet at http:// cervids that are substantially the same those conditions, New Mexico has aphis.usda.gov/ppd/rad/webrepor.html. as those in place in part 77 for the demonstrated that the larger zone has interstate movement of those animals. zero percent prevalence of affected FOR FURTHER INFORMATION CONTACT: Dr. 2. The designation of part of a State cattle or bison herds and has had no M.J. Gilsdorf, Director, Eradication and as a zone must otherwise be adequate to findings of tuberculosis in any cattle or Surveillance Team, National Center for prevent the interstate spread of bison herds for the last 5 years. Animal Health Programs, VS, APHIS, tuberculosis. Additionally, the State complies with 4700 River Road Unit 43, Riverdale, MD 3. The zones must be delineated by the conditions of the UMR. 20737–1231; (301) 734–6954. the animal health authorities in the State animal health officials in New SUPPLEMENTARY INFORMATION: State making the request for zone Mexico have demonstrated that the Background recognition and must be the APHIS smaller zone meets the criteria for Administrator. modified accredited advanced status for Bovine tuberculosis is a contagious 4. The request for zone classification cattle and bison set forth in the and infectious granulomatous disease must demonstrate that the State has the definition of modified accredited caused by Mycobacterium bovis. It legal and financial resources to advanced State or zone in § 77.5 of the affects cattle, bison, deer, elk, goats, and implement and enforce a tuberculosis regulations. According to those criteria, other warm-blooded species, including eradication program and has in place an the Administrator, upon his or her humans. Tuberculosis in infected infrastructure, laws, and regulations that review, may classify a State or zone as animals and humans manifests itself in require and ensure that State and modified accredited advanced— lesions of the lung, lymph nodes, bone Federal animal health authorities are depending on the veterinary and other body parts, causes weight loss notified of tuberculosis cases in infrastructure, livestock demographics, and general debilitation, and can be domestic livestock or outbreaks in and tuberculosis control and eradication fatal. At the beginning of the past wildlife. measures in the State or zone—if the century, tuberculosis caused more 5. The request for zone classification State or zone has fewer than 30,000 losses of livestock than all other must demonstrate that the State herds total and, of those, no more than livestock diseases combined. This maintains, in each intended zone, 3 are affected herds for each of the most prompted the establishment of the clinical and epidemiological recent 2 years. Within the smaller zone National Cooperative State/Federal surveillance of animal species at risk of in New Mexico, there are two Bovine Tuberculosis Eradication tuberculosis, at a rate that allows tuberculosis-affected cattle herds and Program for tuberculosis in livestock. detection of tuberculosis in the overall New Mexico is conducting an aggressive Through this program, the Animal and population of livestock at a 2 percent program to eradicate the disease in the Plant Health Inspection Service (APHIS) prevalence rate with 95 percent zone. There are no known affected herds works cooperatively with the national confidence. The designated tuberculosis in the remainder of the State. Under livestock industry and State animal epidemiologist must review reports of those conditions, the Administrator has health agencies to eradicate tuberculosis all testing for each zone within the State determined that the smaller zone in from domestic livestock in the United within 30 days of the testing. New Mexico qualifies for modified States and prevent its recurrence. 6. The State must enter into a accredited advanced status with regard Federal regulations implementing this memorandum of understanding with to cattle and bison. program are contained in 9 CFR part 77, APHIS in which the State agrees to Providing zone recognition for New ‘‘Tuberculosis’’ (referred to below as the adhere to any conditions for zone Mexico will allow cattle producers in regulations), and in the ‘‘Uniform recognition particular to that request. the State’s accredited-free zone to move Methods and Rules-Bovine Tuberculosis their cattle without a tuberculosis test, Request for Split-State Status in New Eradication’’ (UMR), which is thus saving time and money. This action Mexico incorporated by reference into the will therefore relieve restrictions that regulations. The regulations restrict the The State of New Mexico has been are no longer warranted, and facilitate interstate movement of cattle, bison, and classified as modified accredited further efforts of the National captive cervids to prevent the spread of advanced for cattle and bison. However, Tuberculosis Eradication Program. tuberculosis. Subpart B of the we have received from the State of New regulations contains requirements for Mexico a request for zone recognition in Emergency Action the interstate movement of cattle and which State animal health officials have This rulemaking is necessary on an bison not known to be infected with or demonstrated that New Mexico meets emergency basis to establish two zones exposed to tuberculosis. The interstate the requirements listed above for the with separate tuberculosis risk movement requirements depend upon requested zone designation. Therefore, classifications in New Mexico with whether the animals are moved from an in this interim rule, we are recognizing regard to cattle and bison. Failure to
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provide ‘‘split-State status’’ in New reclassify nearly all of the counties in I 2. In § 77.7, paragraph (b) is revised to Mexico with regard to tuberculosis on New Mexico as accredited-free zones. read as follows: an emergency basis could increase the Only a portion of land lying within likelihood of the spread of that disease Roosevelt and Curry Counties will be § 77.7 Accredited-free States or zones. by reducing the incentive for New classified as a modified accredited * * * * * Mexico to stringently restrict movement advanced zone. Thus, ruminants moved (b) The following are accredited-free of tuberculosis-susceptible animals from to other States from New Mexico’s zones: All of the State of New Mexico high-risk areas within the State and to accredited-free zone will not require except for the zone that comprises those implement effective containment and testing for tuberculosis prior to portions of Curry and Roosevelt eradication measures. Under these movement. Tuberculin testing, Counties, NM, described in § 77.9(b)(2). circumstances, the Administrator has including veterinary fees and handling * * * * * determined that prior notice and expenses, costs about $7.50 to $10 per opportunity for public comment are test. Owners of these animals (other I 3. In § 77.9, paragraphs (a) and (b) are contrary to the public interest and that than owners of previously accredited- revised to read as follows: there is good cause under 5 U.S.C. 553 free herds) will therefore benefit by no § 77.9 Modified accredited advanced for making this rule effective less than longer having to bear the cost of the States or zones. 30 days after publication in the Federal tuberculosis test. New Mexico Register. producers can be expected to (a) The following are modified We will consider comments we collectively save between $590,000 and accredited advanced States: California receive during the comment period for $985,000 as a result of the upgrade in and Texas. this interim rule (see DATES above). zone recognition. (b) The following are modified After the comment period closes, we Under these circumstances, the accredited advanced zones: will publish another document in the Administrator of the Animal and Plant Federal Register. The document will (1) All of the State of Michigan except Health Inspection Service has for the zone that comprises those include a discussion of any comments determined that this action will not we receive and any amendments we are counties or portions of counties in have a significant economic impact on Michigan described in § 77.11(b). making to the rule. a substantial number of small entities. (2) The zone in New Mexico that Executive Order 12866 and Regulatory Executive Order 12372 Flexibility Act comprises those portions of Curry and This program/activity is listed in the Roosevelt Counties, NM, described as This rule has been reviewed under Catalog of Federal Domestic Assistance follows: Executive Order 12866. For this action, under No. 10.025 and is subject to (i) Curry County (A) In T. 1 N., R. 34 the Office of Management and Budget Executive Order 12372, which requires has waived its review under Executive E., of the New Mexico Prime Meridian intergovernmental consultation with 1 1 1 Order 12866. (NMPM): S ⁄2 sec. 1; S ⁄2 sec. 2; SW ⁄4 State and local officials. (See 7 CFR part 1 1 1 1 We are amending the bovine sec. 3; SE ⁄4 sec. 4; W ⁄2 sec. 5; W ⁄2SE ⁄4 3015, subpart V.) 1 1 tuberculosis regulations regarding State sec. 8; S ⁄2NE ⁄4 sec. 9; secs. 10 through and zone classifications by removing Executive Order 12988 17; secs. 20 through 29; secs. 32 through 36. New Mexico from the list of modified This rule has been reviewed under accredited advanced States, adding Executive Order 12988, Civil Justice (B) In T. 1 N., R. 35 E., of the NMPM: portions of two counties in New Mexico S1⁄2 sec. 6; secs. 7 through 9; S1⁄2 sec. 10; Reform. This rule: (1) Preempts all State 1 1 to the list of modified accredited and local laws and regulations that are secs. 15 through 22; W ⁄2 sec. 23; W ⁄2 advanced zones, and adding the in conflict with this rule; (2) has no sec. 26; secs. 27 through 35. remainder of the State to the list of retroactive effect; and (3) does not (ii) Roosevelt County. (A) In T. 1 S., accredited-free zones. We are taking this require administrative proceedings R. 34 E., of the NMPM: Secs. 1 through action based on our determination that before parties may file suit in court 5; secs. 9 through 14; secs. 23 through New Mexico meets the requirements of challenging this rule. 26; secs. 35 through 36. the regulations for zone recognition and (B) In T. 1 S., R. 35 E., of the NMPM: that one of the zones meets the criteria Paperwork Reduction Act Secs. 2 through 10; secs. 15 through 22; for designation as accredited-free. This rule contains no new 1 1 1 In 2001, there were approximately SW ⁄4 sec. 23; W ⁄2SE ⁄4 sec. 26; secs. 27 information collection or recordkeeping through 35. 8,500 cattle and bison operations in requirements under the Paperwork New Mexico, totaling 1.58 million head. Reduction Act of 1995 (44 U.S.C. 3501 (C) In T. 2 S., R. 34 E., of the NMPM: According to the National Agricultural et seq.). Secs. 1 and 2; secs. 11 through 13; Statistics Service, the Total cash value N1⁄2SE1⁄4 sec. 14; N1⁄2SW1⁄4 sec. 23; of cattle in New Mexico was over $1.3 List of Subjects in 9 CFR Part 77 N1⁄2SE1⁄4 sec. 24. billion as of that year. Over 92 percent Animal diseases, Bison, Cattle, (D) In T. 2 S., R. 35 E., of the NMPM: of New Mexico’s cattle operations yield Reporting and recordkeeping Secs. 2 through 11; secs. 14 through 21; less than $750,000 annually and are, requirements, Transportation, N1⁄2SW1⁄4 sec. 22; N1⁄2NW1⁄4 sec. 23; therefore, considered small entities Tuberculosis. W1⁄2 sec. 30. under criteria established by the Small I Accordingly, we are amending 9 CFR * * * * * Business Administration. part 77 as follows: New Mexico is currently listed as a Done in Washington, DC, this 18th day of July, 2005. modified accredited advanced State. PART 77—TUBERCULOSIS This status requires that cattle, bison, Kevin Shea, dairy goats, and cervids be tested for I 1. The authority citation for part 77 Acting Administrator, Animal and Plant tuberculosis before they are moved continues to read as follows: Health Inspection Service. interestate, unless the animals are from Authority: 7 U.S.C. 8301–8317; 7 CFR 2.22, [FR Doc. 05–14445 Filed 7–20–05; 10:42 am] an accredited-free herd. This rule will 2.80, and 371.4. BILLING CODE 3410–34–M
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DEPARTMENT OF TRANSPORTATION Federal Register on December 16, 2004 From this comment, we infer that the (69 FR 75282). That action proposed to commenter is requesting clarification. Federal Aviation Administration require repetitive inspections to detect The commenter is correct that the corrosion or fatigue cracking of certain service bulletin reference should have 14 CFR Part 39 structural elements of the airplane; included ‘‘Revision 1.’’ We have revised [Docket No. 99–NM–129–AD; Amendment corrective actions if necessary; and paragraph (a)(8) of the final rule 39–14190; AD 2005–15–01] incorporation of certain structural accordingly. modifications. RIN 2120–AA64 Conclusion Comments After careful review of the available Airworthiness Directives; Lockheed data, including the comments noted Model L–1011–385 Series Airplanes Interested persons have been afforded an opportunity to participate in the above, the FAA has determined that air AGENCY: Federal Aviation making of this amendment. Due safety and the public interest require the Administration (FAA), Department of consideration has been given to the adoption of the rule with the change Transportation (DOT). comments received. previously described. The FAA has ACTION: Final rule. determined that this change will neither Request To Separate Service Bulletins increase the economic burden on any SUMMARY: This amendment adopts a into Two Tables operator nor increase the scope of the new airworthiness directive (AD), One commenter requests that Table AD. applicable to all Lockheed Model L– 1—Compliance Times be split into two Changes to 14 CFR Part 39/Effect on the 1011–385 series airplanes, that requires tables—an inspection table (Table I) and AD repetitive inspections to detect an inspection/modification table (Table On July 10, 2002, the FAA issued a corrosion or fatigue cracking of certain II)—similar to that in Lockheed Tristar new version of 14 CFR part 39 (67 FR structural elements of the airplane; L–1011 Service Bulletin 093–51–041, 47997, July 22, 2002), which governs the corrective actions if necessary; and Revision 1, dated March 3, 2000 FAA’s airworthiness directives system. incorporation of certain structural (referenced in the supplemental NPRM The regulation now includes material modifications. This action is necessary as an appropriate source of service that relates to altered products, special to prevent corrosion or fatigue cracking information; hereafter called the flight permits, and alternative methods of certain structural elements, which ‘‘Collector Service Bulletin’’). The of compliance. However, for clarity and could result in reduced structural commenter believes that Table 1 of the consistency in this final rule, we have integrity of the airplane. This action is supplemental NPRM implies that all retained the language of the intended to address the identified listed service bulletins have a supplemental NPRM regarding that unsafe condition. terminating modification, which would material. DATES: Effective August 26, 2005. cause confusion. Whereas Table I lists The incorporation by reference of service bulletins with no terminating Cost Impact certain publications listed in the action in most cases, and Table II lists There are approximately 125 regulations is approved by the Director service bulletins with terminating airplanes of the affected design in the of the Federal Register as of August 26, actions. worldwide fleet. The FAA estimates that 2005. We partially agree. We do not agree 49 airplanes (7 in-service and 42 in ADDRESSES: The service information that Table 1 of the AD should be split storage) of U.S. registry will be affected referenced in this AD may be obtained into two tables. As explained in the by this AD. Few, if any of the 42 from Lockheed Martin Aircraft & preamble of the supplemental NPRM, airplanes in storage, will be returned to Logistics Centers, 120 Orion Street, we revised the original NPRM by adding service due to the economic feasbility of Greenville, South Carolina 29605. This Table 1 for the sole purpose of listing operating and maintaining older information may be examined at the the compliance times for each technology airplanes. Therefore, the cost Federal Aviation Administration (FAA), individual service bulletin listed in estimate below is based on the 7 in- Transport Airplane Directorate, Rules Tables I and II of the referenced service airplanes. Docket, 1601 Lind Avenue, SW., Lockheed service bulletin. We made this It will take approximately 32 work Renton, Washington; or at the FAA, change based on commenters’ requests hours per airplane (for actions specified Atlanta Aircraft Certification Office, to clarify the compliance times. We in Table I of the Collector Service One Crown Center, 1895 Phoenix agree with the commenter that operators Bulletin) and 97 work hours per Boulevard, suite 450, Atlanta, Georgia. could misinterpret that all service airplane (for actions specified in Table FOR FURTHER INFORMATION CONTACT: bulletins listed in Table 1 have a II of the Collector Service Bulletin) to William Herderich, Aerospace Engineer, terminating modification. Therefore, we accomplish the required inspections, at Airframe Branch, ACE–117A, FAA, have revised Table 1 of the AD by an average labor rate of $65 per work Atlanta Aircraft Certification Office, adding a new column ‘‘Terminating hour. Based on these figures, the cost One Crown Center, 1895 Phoenix Action’’ to identify service bulletins that impact of the AD on U.S. operators is Boulevard, suite 450, Atlanta, Georgia have a terminating modification. estimated to be $14,560, or $2,080 per 30349; telephone (770) 703–6082; fax airplane, per inspection cycle (for Table (770) 703–6097. Request To Include Revision Level of Service Bulletin I), and $44,135, or $6,305 per airplane, SUPPLEMENTARY INFORMATION: A per inspection cycle (for Table II). proposal to amend part 39 of the Federal One commenter notes that the service It will take approximately 614 work Aviation Regulations (14 CFR part 39) to bulletin date (i.e., 093–53–054, dated hours per airplane to accomplish the include an airworthiness directive (AD) August 12, 1975) identified in paragraph required modifications, at an average that is applicable to all Lockheed Model (a)(8) of the supplemental NPRM labor rate is $65 per work hour. L–1011–385 series airplanes was corresponds to Revision 1 of the service Required parts will cost approximately published as a supplemental notice of bulletin, not the original issue as $142,275 per airplane. Based on these proposed rulemaking (NPRM) in the indicated. figures, the cost impact of the proposed
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AD on U.S. operators is estimated to be Regulatory Impact Authority: 49 U.S.C. 106(g), 40113, 44701. $1,275,295, or $182,185 per airplane. The regulations adopted herein will § 39.13 [Amended] The cost impact figures discussed not have a substantial direct effect on I above are based on assumptions that no the States, on the relationship between 2. Section 39.13 is amended by adding the following new airworthiness operator has yet accomplished any of the National Government and the States, directive: the requirements of this AD action, and or on the distribution of power and that no operator would accomplish responsibilities among the various 2005–15–01 Lockheed: Amendment 39– those actions in the future if this AD levels of government. Therefore, it is 14190. Docket 99–NM–129–AD. were not adopted. The cost impact determined that this final rule does not Applicability: All Model L–1011–385 series airplanes, certificated in any category. figures discussed in AD rulemaking have federalism implications under actions represent only the time Executive Order 13132. Note 1: This AD applies to each airplane identified in the preceding applicability necessary to perform the specific actions For the reasons discussed above, I certify that this action (1) is not a provision, regardless of whether it has been actually required by the AD. These ‘‘significant regulatory action’’ under modified, altered, or repaired in the area figures typically do not include Executive Order 12866; (2) is not a subject to the requirements of this AD. For incidental costs, such as the time airplanes that have been modified, altered, or ‘‘significant rule’’ under DOT repaired so that the performance of the required to gain access and close up, Regulatory Policies and Procedures (44 planning time, or time necessitated by requirements of this AD is affected, the FR 11034, February 26, 1979); and (3) owner/operator must request approval for an other administrative actions. will not have a significant economic alternative method of compliance in Authority for This Rulemaking impact, positive or negative, on a accordance with paragraph (d) of this AD. substantial number of small entities The request should include an assessment of Title 49 of the United States Code under the criteria of the Regulatory the effect of the modification, alteration, or specifies the FAA’s authority to issue Flexibility Act. A final evaluation has repair on the unsafe condition addressed by been prepared for this action and it is this AD; and, if the unsafe condition has not rules on aviation safety. Subtitle I, been eliminated, the request should include Section 106, describes the authority of contained in the Rules Docket. A copy specific proposed actions to address it. of it may be obtained from the Rules the FAA Administrator. Subtitle VII, Compliance: Required as indicated, unless Aviation Programs, describes in more Docket at the location provided under accomplished previously. detail the scope of the Agency’s the caption ADDRESSES. To prevent corrosion or fatigue cracking of authority. List of Subjects in 14 CFR Part 39 certain structural elements, which could result in reduced structural integrity of the We are issuing this rulemaking under Air transportation, Aircraft, Aviation airplane, accomplish the following: the authority described in Subtitle VII, safety, Incorporation by reference, Inspections Part A, Subpart III, Section 44701, Safety. ‘‘General requirements.’’ Under that (a) At the time specified in the ‘‘Initial section, Congress charges the FAA with Adoption of the Amendment Compliance Time’’ column of Table 1 of this AD, perform structural inspections to detect promoting safe flight of civil aircraft in I Accordingly, pursuant to the authority corrosion or fatigue cracking of certain air commerce by prescribing regulations delegated to me by the Administrator, structural elements of the airplane, in for practices, methods, and procedures the Federal Aviation Administration accordance with the applicable service the Administrator finds necessary for amends part 39 of the Federal Aviation bulletins listed under ‘‘Service Bulletin safety in air commerce. This regulation Regulations (14 CFR part 39) as follows: Number, Revision, and Date’’ in Tables I and is within the scope of that authority II of Lockheed Tristar L–1011 Service because it addresses an unsafe condition PART 39—AIRWORTHINESS Bulletin 093–51–041, Revision 1, dated DIRECTIVES March 3, 2000. Thereafter, repeat the that is likely to exist or develop on inspections at intervals specified in the products identified in this rulemaking I 1. The authority citation for part 39 ‘‘Repetitive Intervals’’ column of Table 1 of action. continues to read as follows: this AD.
TABLE 1.—COMPLIANCE TIMES
Initial compliance time (whichever occurs later between Lockheed TriStar L–1011 the times in ‘‘inspection threshold’’ and ‘‘grace period’’) Repetitive Terminating service bulletin intervals action Inspection threshold Grace period
(1) 093–53–269, Revision Before the accumulation of Within 6,450 flight cycles At intervals not to exceed (None). 1, dated October 28, 8,000 total flight cycles or 5 years after the ef- 6,450 flight cycles or 5 1997. or 15,000 total flight fective date of this AD, years, whichever occurs hours, whichever occurs whichever occurs first. first. first. (2) 093–53–274, dated Within 14 months after the (None) ...... At intervals not to exceed (None). May 28, 1997. effective date of this AD. 14 months. (3) 093–53–275, dated De- Within 6,450 flight cycles (None) ...... (None) ...... (None). cember 10, 1996. or 5 years after the ef- fective date of this AD, whichever occurs first. (4) 093–53–276, dated At the next Corrosion Pre- (None) ...... At intervals not to exceed (None). June 17, 1996. vention and Control Pro- the next CPCP inspec- gram (CPCP) inspection tion. after the effective date of this AD.
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TABLE 1.—COMPLIANCE TIMES—Continued
Initial compliance time (whichever occurs later between Lockheed TriStar L–1011 the times in ‘‘inspection threshold’’ and ‘‘grace period’’) Repetitive Terminating service bulletin intervals action Inspection threshold Grace period
(5) 093–57–085, Revision Before the accumulation of Within 1,800 flight cycles At intervals not to exceed Modification in accordance 1, dated December 1, 26,000 total flight cycles or 3,300 flight hours 1,800 flight cycles or with Lockheed TriStar 1997. or 48,000 total flight after the effective date 3,300 flight hours, L–1011 Service Bulletin hours, whichever occurs of this AD, whichever whichever occurs first. 093–57–085, Basic first. occurs first. Issue, dated May 7, 1993; or Revision 1, dated December 1, 1997. (6) 093–57–208, Revision Before the accumulation of Within 6,450 flight cycles At intervals not to exceed (None). 1, dated October 28, 18,000 total flight cycles. or 5 years after the ef- 6,450 flight cycles or 5 1997. fective date of this AD, years, whichever occurs whichever occurs first. first. (7) 093–52–210, dated Within 5,000 flight hours or (None) ...... (None) ...... (None). July 19, 1991. 18 months after the ef- fective date of this AD, whichever occurs first. (8) 093–53–054, Revision Within 6,450 flight cycles (None) ...... (None) ...... (None). 1, dated August 12, or 5 years after the ef- 1975. fective date of this AD, whichever occurs first. (9) 093–53–070, Revision Before the accumulation of Within 1,500 flight hours At intervals not to exceed Modification in accordance 3, dated September 19, 6,000 total flight hours. after the effective date 3,000 flight hours. with Lockheed TriStar 1989. of this AD. L–1011 Service Bulletin 093–53–070, Basic Issue, dated September 26, 1974; Revision 1, dated January 23, 1975; Revision 2, dated July 7, 1975; or Revision 3, dated September 19, 1989. (10) 093–53– 085, Revi- Part I: Before the accumu- Part I: Within 1,600 flight Part I: At intervals not to Modification in accordance sion 3, dated December lation of 20,000 flight cy- cycles or 3,000 flight exceed 1,600 flight cy- with Lockheed TriStar 15, 1989. cles or 37,000 total flight hours after the effective cles or 3,000 flight L–1011 Service Bulletin hours, whichever occurs date of this AD, which- hours, whichever occurs 093–53–085, Basic first. ever occurs first. first. Issue, dated September 29, 1975; Revision 1, dated September 3, 1976; or Revision 2, dated February 8, 1988. Part II: Before the accumu- Part II: Within 5,000 flight Part II: At intervals not to Modification in accordance lation of 30,000 flight cy- cycles or 9,200 flight exceed 5,000 flight cy- with Lockheed TriStar cles or 55,000 total flight hours after the effective cles or 9,200 flight L–1011 Service Bulletin hours, whichever occurs date of this AD, which- hours, whichever occurs 093–53–085, Basic first. ever occurs first. first. Issue, dated September 29, 1975; Revision 1, dated September 3, 1976; or Revision 2, dated February 8, 1988. (11) 093–53– 086, Revi- Before the accumulation of Within 1,600 flight cycles At intervals not to exceed Modification in accordance sion 5, dated April 12, 9,000 flight cycles or or 3,000 flight hours 1,600 flight cycles or with Lockheed TriStar 1990. 10,000 flight hours, after the effective date 3,000 flight hours, L–1011 Service Bulletin whichever occurs first. of this AD, whichever whichever occurs first. 093–53–086, Basic occurs first. Issue, dated September 26, 1975; Revision 1, dated November 12, 1975; Revision 2, dated December 12, 1976; Re- vision 3, dated July 19, 1977; Revision 4, dated July 8, 1985; or Revision 5, dated April 12, 1990. (12) 093–53–110, Revision Before the accumulation of Within 2,200 flight cycles At intervals not to exceed Modification in accordance 1, dated May 7, 1993. 22,000 total flight cycles or 4,000 flight hours 2,200 flight cycles or with Lockheed TriStar or 40,000 total flight after the effective date 4,000 flight hours, L–1011 Service Bulletin hours, whichever occurs of this AD, whichever whichever occurs first. 093–53–110, Basic first. occurs first. Issue, dated August 19, 1991; or Revision 1, dated May 7, 1993.
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TABLE 1.—COMPLIANCE TIMES—Continued
Initial compliance time (whichever occurs later between Lockheed TriStar L–1011 the times in ‘‘inspection threshold’’ and ‘‘grace period’’) Repetitive Terminating service bulletin intervals action Inspection threshold Grace period
(13) Change Notification Before the accumulation of Within 800 flight cycles or At intervals not to exceed Inspection and modifica- 093–53–260, CN4, dated 8,000 total flight cycles 1,500 flight hours after 800 flight cycles or tion in accordance with May 8, 1998. or 20,000 total flight the effective date of this 1,500 flight hours, Part 2.A. of Lockheed hours, whichever occurs AD, whichever occurs whichever occurs first. TriStar L–1011 Service first. first. Bulletin 093–53–260, Basic Issue, dated May 15, 1991. (14) Change Notification Within 12 months after the (None) ...... At intervals not to exceed Modification in accordance 093–53–266, CN1, dated effective date of this AD. 90 days. with Lockheed TriStar July 10, 1992. L–1011 Service Bulletin 093–53–266, Basic Issue, dated March 2, 1992. (15) Change Notification Before the accumulation of Within 1,600 flight cycles At intervals not to exceed Modification in accordance 093–57–058, R5–CN1, 20,000 total flight cycles or 3,000 flight hours 1,600 flight cycles or with Lockheed TriStar dated May 3, 1993. or 37,000 total flight cy- after the effective date 3,000 flight hours, L–1011 Service Bulletin cles or 37,000 total flight of this AD, whichever whichever occurs first. 093–57–058, Basic hours, whichever occurs occurs first. Issue, dated September first. 16, 1975; Revision 1, dated December 1, 1976; Revision 2, dated June 30, 1978; Revision 3, dated October 19, 1978; or Revision 4, dated July 6, 1981, Re- vision 5, dated June 9, 1983. (16) Change Notification For airplanes having serial Within 2,200 flight cycles At intervals not to exceed Modification in accordance 093–57–195, R3–CN1, numbers (S/N) 1002 after the effective date 2,200 flight cycles. with Lockheed TriStar dated August 22, 1995. through 1109 inclusive: of this AD. L–1011 Service Bulletin Before the accumulation 093–57–195, Revision 2, of 20,000 total flight cy- dated July 27, 1990; or cles. Revision 3, dated June 30, 1992. For airplanes having S/Ns 1110 through 1250 in- clusive: Before the accu- mulation of 30,000 total flight cycles. (17) Change Notification For Model L–1011–385–1, Within 6,450 flight cycles At intervals not to exceed Repair or modification in 093–57–213, CN1, dated L–1011–385–1–14, L– or 5 years after the ef- 6,450 flight cycles or 5 accordance with Lock- February 20, 1996. 1011–385–1–15: Before fective date of this AD, years, whichever occurs heed TriStar L–1011 the accumulation of whichever occurs first. first. Service Bulletin 093–57– 15,000 total flight cycles. 213, Basic Issue, dated December 9, 1994. For Model L–1011–385–3: Before the accumulation of 10,000 total flight cy- cles.
Corrective Action applicable service bulletin referenced in the applicable structural inspection required (b) If any cracking or corrosion is detected Table I or II of Lockheed Tristar L–1011 by paragraph (a) of this AD. during any inspection required by paragraph Service Bulletin 093–51–041, Revision 1, Alternative Methods of Compliance (a) of this AD, prior to further flight, dated March 3, 2000. accomplish the actions specified in (4) Repair in accordance with a method (d) An alternative method of compliance or adjustment of the compliance time that paragraph (b)(1), (b)(2), (b)(3), or (b)(4) of this approved by the Manager, Atlanta Aircraft provides an acceptable level of safety may be AD. Certification Office (ACO), FAA. (1) Repair in accordance with the used if approved by the Manager, Atlanta applicable service bulletin referenced in Terminating Action ACO, FAA. Operators shall submit their Table I or II of Lockheed Tristar L–1011 requests through an appropriate FAA (c) Within 5 years or 5,000 flight cycles Principal Maintenance Inspector, who may Service Bulletin 093–51–041, Revision 1, after the effective date of this AD, whichever dated March 3, 2000. add comments and then send it to the occurs first, install the terminating (2) Repair in accordance with the Manager, Atlanta ACO. modification referenced in the applicable applicable section of the Lockheed L–1011 Note 2: Information concerning the Structural Repair Manual. service bulletin listed in Table 1 of this AD, existence of approved alternative methods of (3) Accomplish the terminating per the applicable service bulletin. Such compliance with this AD, if any, may be modification in accordance with the installation constitutes terminating action for obtained from the Atlanta ACO.
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Special Flight Permits perform the actions that are required by this FAA, Atlanta Aircraft Certification Office, (e) Special flight permits may be issued in AD, unless the AD specifies otherwise. This One Crown Center, 1895 Phoenix Boulevard, accordance with sections 21.197 and 21.199 incorporation by reference was approved by suite 450, Atlanta, Georgia; or at the National of the Federal Aviation Regulations (14 CFR the Director of the Federal Register in Archives and Records Administration 21.197 and 21.199) to operate the airplane to accordance with 5 U.S.C. 552(a) and 1 CFR (NARA). For information on the availability a location where the requirements of this AD part 51. Copies may be obtained from of this material at NARA, call (202) 741– Lockheed Martin Aircraft & Logistics Centers, can be accomplished. 6030, or go to http://www.archives.gov/ 120 Orion Street, Greenville, South Carolina _ _ _ _ Incorporation by Reference 29605. Copies may be inspected at the FAA, federal register/code of federal regulations/ _ (f) You must use the applicable service Transport Airplane Directorate, 1601 Lind ibr locations.html. bulletins listed in Table 2 of this AD to Avenue, SW., Renton, Washington; or at the
TABLE 2.—MATERIAL INCORPORATED BY REFERENCE
Revision level Service bulletin Effective pages shown on page Date
(1) Lockheed TriStar L–1011 Service Bulletin 093–51–041, Re- 1–13 ...... 1 ...... March 3, 2000. vision 1, dated March 3, 2000. (2) Lockheed TriStar L–1011 Service Bulletin 093–57–085, Re- 1–17 ...... Basic Issue ...... May 7, 1993. vision 1, dated May 7, 1993. (3) Lockheed TriStar L–1011 Service Bulletin 093–57–085, Re- 1–7, 9, 10 ...... 1 ...... December 1, 1997. vision 1, dated December 1, 1997. 8, 11–7 ...... Basic Issue ...... May 7, 1993. (4) Lockheed TriStar L–1011 Service Bulletin 093–53–070, 1–15 ...... Basic Issue ...... September 26, 1974. Basic Issue, dated September 26, 1974. (5) Lockheed TriStar L–1011 Service Bulletin 093–53–070, Re- 1, 4–7, 13–17 ...... 1 ...... January 23, 1975. vision 1, dated January 23, 1975. 2, 3, 8–12 ...... Basic Issue ...... September 26, 1974. (6) Lockheed TriStar L–1011 Service Bulletin 093–53–070, Re- 1, 2, 7, 9–14 ...... 2 ...... July 7, 1975. vision 2, dated July 7, 1975. 3, 8 ...... Basic Issue ...... September 26, 1974. 4–6, 15–17 ...... 1 ...... January 23, 1975. (7) Lockheed TriStar L–1011 Service Bulletin 093–53–070, Re- 1–6, 8–10 ...... 3 ...... September 19, 1989. vision 3, dated September 19, 1989. 7 ...... Basic Issue ...... September 26, 1974. (8) Lockheed TriStar L–1011 Service Bulletin 093–53–085, 1–16 ...... Basic Issue ...... September 29, 1975. Basic Issue, dated September 29, 1975. (9) Lockheed TriStar L–1011 Service Bulletin 093–53–085, Re- 1–3, 6, 9–11, 15 ...... 1 ...... September 3, 1976. vision 1, dated September 3, 1976. 4, 5, 7, 8, 12–14, 16 ...... Basic Issue ...... September 29, 1975. (10) Lockheed TriStar L–1011 Service Bulletin 093–53–085, 1–23 ...... 2 ...... February 8, 1988. Revision 2, dated February 8, 1988. (11) Lockheed TriStar L–1011 Service Bulletin 093–53–086, 1–16 ...... Basic Issue ...... September 26, 1975. Basic Issue, dated September 26, 1975. (12) Lockheed TriStar L–1011 Service Bulletin 093–53–086, 1, 2, 11, 15 ...... 1 ...... November 12, 1975. Revision 1, dated November 12, 1975. 3–10, 12–14, 16 ...... Basic Issue ...... September 26, 1975. (13) Lockheed TriStar L–1011 Service Bulletin 093–53–086, 1, 2, 7, 15, 16 ...... 2 ...... December 12, 1976. Revision 2, dated December 12, 1976. 3–6, 8–10, 12–14 ...... Basic Issue ...... September 26, 1975. 11 ...... 1 ...... November 12, 1975. (14) Lockheed TriStar L–1011 Service Bulletin 093–53–086, 1, 2, 4, 7, 10, 11, 15 ...... 3 ...... July 19, 1977. Revision 3, dated July 19, 1977. 3, 5, 6, 8, 9, 12–14 ...... Basic Issue ...... September 26, 1975. 16 ...... 2 ...... December 12, 1976. (15) Lockheed TriStar L–1011 Service Bulletin 093–53–086, 1–4, 15, 16 ...... 4 ...... July 8, 1985. Revision 4, dated July 8, 1985. 5, 6, 8, 9, 12–14 ...... Basic Issue ...... Sepember 26, 1975. 7, 10, 11 ...... 3 ...... July 19, 1977. (16) Lockheed TriStar L–1011 Service Bulletin 093–53–086, 1–9, 13 ...... 5 ...... April 12, 1990. Revision 5, dated April 12, 1990. 10–12 ...... Basic Issue ...... September 26, 1975. 14 ...... 4 ...... July 8, 1985. (17) Lockheed TriStar L–1011 Service Bulletin 093–53–110, 1–10 ...... Basic Issue ...... August 19, 1991. Basic Issue, dated August 19, 1991. (18) Lockheed TriStar L–1011 Service Bulletin 093–53–110, 1–7, 9–12 ...... 1 ...... May 7, 1993. Revision 1, dated May 7, 1993. 8 ...... Basic Issue ...... August 19, 1991. (19) Lockheed TriStar L–1011 Service Bulletin 093–53–260, 1–26 ...... Basic Issue ...... May 15, 1991. Basic Issue, dated May 15, 1991. (20) Lockheed TriStar L–1011 Service Bulletin 093–53–266, 1–17 ...... Basic Issue ...... March 2, 1992. Basic Issue, dated March 2, 1992. (21) Lockheed TriStar L–1011 Service Bulletin 093–57–058, 1–19 ...... Basic Issue ...... September 16, 1975. Basic Issue, dated September 16, 1975. (22) Lockheed TriStar L–1011 Service Bulletin 093–57–058, 1, 2, 4, 7, 8, 11, 15–19 ...... 1 ...... December 1, 1976. Revision 1, dated December 1, 1976. 3, 5, 6, 9, 10, 12–14 ...... Basic Issue ...... September 16, 1975. (23) Lockheed TriStar L–1011 Service Bulletin 093–57–058, 1–4, 7, 8, 11, 15–19 ...... 2 ...... June 30, 1978. Revision 2, dated June 30, 1978. 5, 6, 9, 10, 12–14 ...... Basic Issue ...... September 16, 1975. (24) Lockheed TriStar L–1011 Service Bulletin 093–57–058, 1–3, 7, 8, 11, 15–19 ...... 3 ...... October 19, 1978. Revision 3, dated October 19, 1978. 4 ...... 2 ...... June 30, 1978. 5, 6, 9, 10, 12–14 ...... Basic Issue ...... September 16, 1975. (25) Lockheed TriStar L–1011 Service Bulletin 093–57–058, 1–3, 19 ...... 4 ...... July 6, 1981. Revision 4, dated July 6, 1981. 4, 15 ...... 2 ...... June 30, 1978. 5, 6, 9, 10, 12–14 ...... Basic Issue ...... September 16, 1975. 7, 8, 11, 16–18 ...... 3 ...... October 19, 1978.
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TABLE 2.—MATERIAL INCORPORATED BY REFERENCE—Continued
Revision level Service bulletin Effective pages shown on page Date
(26) Lockheed TriStar L–1011 Service Bulletin 093–57–058, 1, 3, 4, 7 ...... 5 ...... June 9, 1983. Revision 5, dated June 9, 1983. 2 ...... 4 ...... July 6, 1981. 5, 6, 9, 10, 12–14 ...... Basic Issue ...... September 16, 1975. 8, 11, 16–19 ...... 3 ...... October 19, 1978. 15 ...... 2 ...... June 30, 1978. (27) Lockheed TriStar L–1011 Service Bulletin 093–53–070, 1–51 ...... 2 ...... July 27, 1990. Revision 2, dated July 27, 1990. (28) Lockheed TriStar L–1011 Service Bulletin 093–53–070, 1–6, 23–28, 33, 34, 41, 42, 3 ...... June 30, 1992. Revision 3, dated June 30, 1992. 45–52. 2 ...... July 27, 1990. 7–22, 29–32, 35–40, 43, 44 .... (29) Lockheed TriStar L–1011 Service Bulletin 093–53–070, 1–19 ...... Basic Issue ...... December 9, 1994. Basic Issue, dated December 9, 1994.
Effective Date flexible hose and the RAT could mix April 6, 2005 (70 FR 17340), proposed (g) This amendment becomes effective on with the lubricant grease and degrade to require an inspection for evidence of August 26, 2005. the governing mechanism. In an chafing between the hydraulic flexible Issued in Renton, Washington, on July 8, emergency, a jammed or degraded RAT hose and the ram air turbine (RAT) hub, 2005. could result in its failure to deploy, loss and related investigative and corrective Ali Bahrami, of hydraulic pressure or electrical power actions if necessary. to the airplane, and consequent reduced Manager, Transport Airplane Directorate, Comments Aircraft Certification Service. controllability of the airplane. [FR Doc. 05–14089 Filed 7–21–05; 8:45 am] DATES: This AD becomes effective We provided the public the opportunity to participate in the BILLING CODE 4910–13–P August 26, 2005. The incorporation by reference of a development of this AD. We have certain publication listed in the AD is considered the comment that was DEPARTMENT OF TRANSPORTATION approved by the Director of the Federal submitted on the proposed AD. Register as of August 26, 2005. Request To Revise Compliance Time Federal Aviation Administration ADDRESSES: For service information The commenter requests that the identified in this AD, contact Airbus, 1 compliance time be revised from the 14 CFR Part 39 Rond Point Maurice Bellonte, 31707 proposed 2,500 flight hours after the [Docket No. FAA–2005–20867; Directorate Blagnac Cedex, France. effective date of the AD to 15 months Identifier 2004–NM–188–AD; Amendment Docket: The AD docket contains the after the effective date of the AD. 39–14194; AD 2005–15–05] proposed AD, comments, and any final However, the commenter acknowledges disposition. You can examine the AD RIN 2120–AA64 that the 2,500-flight-hour compliance docket on the Internet at http:// time should be sufficient for the 12 U.S.- Airworthiness Directives; Airbus Model dms.dot.gov, or in person at the Docket registered airplanes to receive the A300 B4–600, B4–600R, and F4–600R Management Facility office between 9 required inspection. The commenter Series Airplanes, and Model A300 C4– a.m. and 5 p.m., Monday through notes that revising the compliance time 605R Variant F Airplanes (Collectively Friday, except Federal holidays. The would allow the proposed inspection to Called A300–600 Series Airplanes) Docket Management Facility office be accomplished during a regularly (telephone (800) 647–5227) is located on scheduled C-check. The commenter AGENCY: Federal Aviation the plaza level of the Nassif Building at Administration (FAA), Department of notes that it has no affected airplanes in the U.S. Department of Transportation, its fleet. The commenter also states that, Transportation (DOT). 400 Seventh Street SW., room PL–401, ACTION: Final rule. based on its experience, replacing the Washington, DC. This docket number is RAT would take about 3 hours. SUMMARY: The FAA is adopting a new FAA–2005–20867; the directorate We do not concur with the airworthiness directive (AD) for certain identifier for this docket is 2004–NM– commenter’s request to revise the Airbus Model A300–600 series 188–AD. compliance time. In developing an airplanes. This AD requires an FOR FURTHER INFORMATION CONTACT: Dan appropriate compliance time for this inspection for evidence of chafing Rodina, Aerospace Engineer, AD, we considered the manufacturer’s between the hydraulic flexible hose and International Branch, ANM–116, FAA, recommendation; the recommendation the ram air turbine (RAT) hub, and Transport Airplane Directorate, 1601 of the Direction Ge´ne´rale de l’Aviation related investigative and corrective Lind Avenue SW., Renton, Washington Civile, which is the airworthiness actions if necessary. This AD is 98055–4056; telephone (425) 227–2125; authority for France; the degree of prompted by reports of holes in the RAT fax (425) 227–1149. urgency associated with the subject hub cover. We are issuing this AD to SUPPLEMENTARY INFORMATION: The FAA unsafe condition; the average utilization prevent a hole in the RAT hub cover. A proposed to amend 14 CFR part 39 with of the affected fleet; the maintenance hole in the RAT hub cover could allow an AD for certain Airbus Model A300 schedules of the majority of affected water to enter the RAT governing B4–600, B4–600R, and F4–600R series operators; and the time necessary to mechanism, freeze during flight, and airplanes, and Model A300 C4–605R perform the inspection (1 work hour). In jam the governing mechanism. In Variant F airplanes (collectively called light of all of these factors, we find that addition, the metal particles that result A300–600 series airplanes). That action, a 2,500-flight-hour compliance time from chafing between the hydraulic published in the Federal Register on represents an appropriate interval of
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time for affected airplanes to continue to corrective action would be required— one place, the proposed AD contained operate without compromising safety. regardless of AD direction—to correct the term ‘‘RAMs’’ instead of ‘‘RATs.’’) We have determined that this an unsafe condition identified in an compliance time will also allow the airplane and to ensure that the airplane Conclusion majority of affected operators to comply is operated in an airworthy condition, as We have carefully reviewed the with the requirements of this AD at a required by the Federal Aviation available data, including the comment scheduled maintenance visit. We have Regulations. We have not changed the that was submitted, and determined that not changed the AD in this regard. AD in this regard. air safety and the public interest require We acknowledge the commenter’s estimate that replacing the RAT would Explanation of Change to Applicability adopting the AD with the changes described previously. We have take about 3 hours. However, the We have revised the applicability of determined that these changes will economic analysis of an AD is limited this AD to identify model designations to the cost of actions that are actually as published in the most recent type neither increase the economic burden required. The economic analysis does certificate data sheet for the affected on any operator nor increase the scope not consider the costs of conditional models. of the AD. actions, such as replacing the RAT if Costs of Compliance damage found during the required Explanation of Additional Change to inspection exceeds the limits specified Final Rule The following table provides the in the Airbus A300–600 Component We have revised paragraph (f) of this estimated costs for U.S. operators to Maintenance Manual. Such conditional AD to correct a typographical error. (In comply with this AD.
ESTIMATED COSTS
Number Work Average Cost per of U.S.- Action hours labor rate Parts airplane registered Fleet cost per hour airplanes
Inspection ...... 1 $65 None required...... $65 12 $780 Rework binding ...... 1 65 None required ...... 65 12 780
Authority for This Rulemaking (1) Is not a ‘‘significant regulatory 2005–15–05 Airbus: Amendment 39–14194. Docket No. FAA–2005–20867; Title 49 of the United States Code action’’ under Executive Order 12866; (2) Is not a ‘‘significant rule’’ under Directorate Identifier 2004–NM–188–AD. specifies the FAA’s authority to issue DOT Regulatory Policies and Procedures rules on aviation safety. Subtitle I, Effective Date (44 FR 11034, February 26, 1979); and Section 106, describes the authority of (a) This AD becomes effective August 26, (3) Will not have a significant the FAA Administrator. Subtitle VII, 2005. economic impact, positive or negative, Aviation Programs, describes in more on a substantial number of small entities Affected ADs detail the scope of the Agency’s under the criteria of the Regulatory (b) None. authority. Flexibility Act. Applicability We are issuing this rulemaking under We prepared a regulatory evaluation the authority described in Subtitle VII, of the estimated costs to comply with (c) This AD applies to Airbus Model A300 Part A, Subpart III, Section 44701, B4–601, B4–603, B4–620, B4–622, B4–605R, this AD. See the ADDRESSES section for ‘‘General requirements.’’ Under that B4–622R, F4–605R, F4–622R, and C4–605R a location to examine the regulatory Variant F airplanes; certificated in any section, Congress charges the FAA with evaluation. promoting safe flight of civil aircraft in category; having serial numbers 0812, 0813, air commerce by prescribing regulations List of Subjects in 14 CFR Part 39 0815 through 0818 inclusive, 0821 through 0828 inclusive, and 0836 through 0838 for practices, methods, and procedures Air transportation, Aircraft, Aviation inclusive. the Administrator finds necessary for safety, Incorporation by reference, Unsafe Condition safety in air commerce. This regulation Safety. is within the scope of that authority (d) This AD was prompted by reports of because it addresses an unsafe condition Adoption of the Amendment holes in the ram air turbine (RAT) hub. We are issuing this AD to prevent a hole in the that is likely to exist or develop on I Accordingly, under the authority RAT hub cover. A hole in the RAT hub cover products identified in this rulemaking delegated to me by the Administrator, action. could allow water to enter the RAT governing the FAA amends 14 CFR part 39 as mechanism, freeze during flight, and jam the Regulatory Findings follows: governing mechanism. In addition, the metal particles that result from chafing between the We have determined that this AD will PART 39—AIRWORTHINESS hydraulic flexible hose and the RAT could not have federalism implications under DIRECTIVES mix with the lubricant grease and degrade Executive Order 13132. This AD will the governing mechanism. In an emergency, not have a substantial direct effect on I 1. The authority citation for part 39 a jammed or degraded RAT could result in the States, on the relationship between continues to read as follows: failure of RAT deployment, loss of hydraulic the national government and the States, Authority: 49 U.S.C. 106(g), 40113, 44701. pressure or electrical power to the airplane, or on the distribution of power and and consequent reduced controllability of the airplane. responsibilities among the various § 39.13 [Amended] levels of government. I 2. The FAA amends § 39.13 by adding Compliance For the reasons discussed above, I the following new airworthiness (e) You are responsible for having the certify that this AD: directive (AD): actions required by this AD performed within
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the compliance times specified, unless the (NARA). For information on the availability Docket Management Facility office actions have already been done. of this material at the NARA, call (202) 741– (telephone (800) 647–5227) is located on 6030, or go to http://www.archives.gov/ Inspection and Related Investigative/ the plaza level of the Nassif Building at federal_register/code_of_federal_regulations/ Corrective Actions the U.S. Department of Transportation, ibr_locations.html. (f) Within 2,500 flight hours after the 400 Seventh Street SW., room PL–401, effective date of this AD: Do a one-time Issued in Renton, Washington, on July 11, Washington, DC. This docket number is detailed inspection for evidence of chafing 2005. FAA–2005–20690; the directorate between the hydraulic flexible hose and the Ali Bahrami, identifier for this docket is 2003–NM– RAT hub, and any applicable related Manager, Transport Airplane Directorate, 230–AD. investigative and corrective actions, by Aircraft Certification Service. FOR FURTHER INFORMATION CONTACT: Nick accomplishing all of the applicable actions [FR Doc. 05–14173 Filed 7–21–05; 8:45 am] specified in the Accomplishment Kusz, Aerospace Engineer, Airframe Instructions of Airbus Service Bulletin A300– BILLING CODE 4910–13–P Branch, ANM–120S, FAA, Seattle 29–6054, Revision 01, excluding Appendix Aircraft Certification Office, 1601 Lind 01, dated November 4, 2004. Any applicable Avenue, SW., Renton, Washington corrective actions must be accomplished DEPARTMENT OF TRANSPORTATION 98055–4056; telephone (425) 917–6432; before further flight. Although the service fax (425) 917–6590. bulletin specifies to submit certain Federal Aviation Administration SUPPLEMENTARY INFORMATION: information to the manufacturer, and to The FAA submit damaged RATs to the vendor or a 14 CFR Part 39 proposed to amend 14 CFR part 39 with repair station, this AD does not include those an AD for certain Boeing Model 747– [Docket No. FAA–2005–20690; Directorate requirements. 200C and 747–200F series airplanes. Identifier 2003–NM–230–AD; Amendment That action, published in the Federal Note 1: For the purposes of this AD, a 39–14195; AD 2005–15–06] detailed inspection is: ‘‘An intensive Register on March 23, 2005 (70 FR examination of a specific item, installation, RIN 2120–AA64 14587), proposed to require one-time or assembly to detect damage, failure, or inspections for cracks and material loss irregularity. Available lighting is normally Airworthiness Directives; Boeing in the fuselage skin above the stringer supplemented with a direct source of good Model 747–200C and 747–200F Series (STR) 23 lap splice, between Body lighting at an intensity deemed appropriate. Airplanes Station (BS) 282 and BS 298, and repair Inspection aids such as mirror, magnifying lenses, etc., may be necessary. Surface AGENCY: Federal Aviation if necessary. cleaning and elaborate procedures may be Administration (FAA), Department of Comments required.’’ Transportation (DOT). We provided the public the ACTION: Actions Accomplished Previously Final rule. opportunity to participate in the (g) Actions accomplished before the SUMMARY: The FAA is adopting a new development of this AD. We have effective date of this AD, in accordance with airworthiness directive (AD) for certain considered the comment that has been the Accomplishment Instructions of Airbus Boeing Model 747–200C and 747–200F submitted on the proposed AD. Service Bulletin A300–29–6054, excluding Appendix 01, dated June 8, 2004, are series airplanes. This AD requires one- Request To Re-Evaluate Need for the acceptable for compliance with the time inspections for cracks and material Proposed Rule corresponding actions specified in this AD. loss in the fuselage skin above the stringer (STR) 23 lap splice, between One commenter, an airplane operator, Alternative Methods of Compliance Body Station (BS) 282 and BS 298, and notes that it has previously inspected (AMOCs) repair if necessary. This AD is prompted the fuselage skin thickness at the (h) The Manager, International Branch, by a report of a crack above the STR 23 affected area on two of its ten ANM–116, Transport Airplane Directorate, lap splice on one airplane. We are production freighter airplanes. The FAA, has the authority to approve AMOCs issuing this AD to detect and correct inspections, which the commenter for this AD, if requested in accordance with points out were conducted at the the procedures found in 14 CFR 39.19. cracks or material loss in the fuselage skin, and consequent reduced structural manufacturer’s recommendation, Related Information integrity of the skin panel, which could showed skin thickness of 0.060 inch or (i) French airworthiness directive F–2004– result in rapid depressurization of the greater on both airplanes. The 133, dated August 4, 2004, also addresses the airplane. commenter asserts that our justification subject of this AD. for adopting the proposed AD should DATES: This AD becomes effective cite the results of its inspections and Material Incorporated by Reference August 26, 2005. any similar inspections conducted at the (j) You must use Airbus Service Bulletin The incorporation by reference of a manufacturer’s request by other A300–29–6054, Revision 01, excluding certain publication listed in the AD is operators; and notes that Boeing Special Appendix 01, dated November 4, 2004, to approved by the Director of the Federal Attention Service Bulletin 747–53– perform the actions that are required by this Register as of August 26, 2005. AD, unless the AD specifies otherwise. The 2493, dated July 3, 2003, cites only one Director of the Federal Register approves the ADDRESSES: For service information instance of the problem that is incorporation by reference of this document identified in this AD, contact Boeing prompting the proposed AD. The in accordance with 5 U.S.C. 552(a) and 1 CFR Commercial Airplanes, P.O. Box 3707, commenter acknowledges the part 51. To get copies of the service Seattle, Washington 98124–2207. significance of fuselage skin cracking, information, contact Airbus, 1 Rond Point Docket: The AD docket contains the and recognizes the fact that the Maurice Bellonte, 31707 Blagnac Cedex, proposed AD, comments, and any final maintenance program for the affected France. To view the AD docket, go to the disposition. You can examine the AD Model 747–200C and 747–200F series Docket Management Facility, U.S. Department of Transportation, 400 Seventh docket on the Internet at http:// airplanes includes external visual Street SW., room PL–401, Nassif Building, dms.dot.gov, or in person at the Docket inspections of the affected area at Washington, DC. To review copies of the Management Facility office between 9 regular intervals. However, the service information, go to the National a.m. and 5 p.m., Monday through commenter questions our justification Archives and Records Administration Friday, except Federal holidays. The for adopting the proposed AD.
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We infer that the commenter is audited its manufacturing processes and adopting the proposed AD to detect and questioning whether the proposed AD discovered that assembly techniques of correct cracks or material loss in the addresses a safety issue and, if not, we the skin panels during final assembly at fuselage skin. further infer that the commenter the factory were the likely cause of the We have not changed the final rule in requests that we withdraw the proposed thin skin at the affected sections. It is this regard. AD. We disagree. Although the very likely that the same condition may commenter had no findings of cracking exist on other airplanes that were Conclusion or blended skin on two of its airplanes, manufactured using the same other respondents to the manufacturer’s techniques. Furthermore, the finding We have carefully reviewed the survey did report airplanes with skin that precipitated this proposed AD was available data, including the comment thickness that was below the minimum. a three-inch crack in the upper row of that was submitted, and determined that In addition, there are many airplanes the lap splice just above the upper row. air safety and the public interest require affected by this proposed AD that have Cracking in this area is critical due to its adopting the AD as proposed. not yet been inspected. proximity to the upper row and possible Costs of Compliance However, we do agree that we should interaction of cracks between the clarify the unsafe condition. blended area and the upper row. There are about 77 airplanes of the Investigation of the crack report that Therefore, the crack finding, coupled affected design in the worldwide fleet. prompted this proposed AD showed with the likelihood that the thin skin The following table provides the that the skin at the crack location was condition exists on other airplanes, estimated costs for U.S. operators to not the correct thickness. Boeing provides sufficient justification for comply with this AD.
ESTIMATED COSTS
Number Work Average Cost per of U.S.- Action hours labor rate Parts airplane registered Fleet cost per hour airplanes
Inspections ...... 6 $65 None ...... $390 20 $7,800
Authority for This Rulemaking (1) Is not a ‘‘significant regulatory 2005–15–06 Boeing: Amendment 39–14195. action’’ under Executive Order 12866; Docket No. FAA–2005–20690; Title 49 of the United States Code (2) Is not a ‘‘significant rule’’ under Directorate Identifier 2003–NM–230–AD. specifies the FAA’s authority to issue DOT Regulatory Policies and Procedures Effective Date rules on aviation safety. Subtitle I, (44 FR 11034, February 26, 1979); and Section 106, describes the authority of (a) This AD becomes effective August 26, the FAA Administrator. Subtitle VII, (3) Will not have a significant 2005. economic impact, positive or negative, Aviation Programs, describes in more Affected ADs on a substantial number of small entities detail the scope of the Agency’s (b) None. authority. under the criteria of the Regulatory Flexibility Act. Applicability We are issuing this rulemaking under We prepared a regulatory evaluation the authority described in Subtitle VII, (c) This AD applies to Boeing Model 747– of the estimated costs to comply with Part A, Subpart III, Section 44701, 200C and 747–200F series airplanes, this AD. See the ADDRESSES section for equipped with a nose cargo door, certificated ‘‘General requirements.’’ Under that a location to examine the regulatory in any category; as identified in paragraph section, Congress charges the FAA with evaluation. 1.A.1 of Boeing Special Attention Service promoting safe flight of civil aircraft in Bulletin 747–53–2493, dated July 3, 2003. air commerce by prescribing regulations List of Subjects in 14 CFR Part 39 for practices, methods, and procedures Unsafe Condition Air transportation, Aircraft, Aviation the Administrator finds necessary for (d) This AD was prompted by a report of safety, Incorporation by reference, safety in air commerce. This regulation a crack above the stringer (STR) 23 lap splice Safety. is within the scope of that authority on a Model 747–200F series airplane. We are issuing this AD to detect and correct cracks because it addresses an unsafe condition Adoption of the Amendment or material loss in the fuselage skin, and that is likely to exist or develop on I Accordingly, under the authority consequent reduced structural integrity of the products identified in this rulemaking skin panel, which could result in rapid action. delegated to me by the Administrator, depressurization of the airplane. the FAA amends 14 CFR part 39 as Regulatory Findings follows: Compliance We have determined that this AD will (e) You are responsible for having the PART 39—AIRWORTHINESS actions required by this AD performed within not have federalism implications under DIRECTIVES the compliance times specified, unless the Executive Order 13132. This AD will actions have already been done. not have a substantial direct effect on I 1. The authority citation for part 39 the States, on the relationship between continues to read as follows: Inspections and Repair (f) Before the accumulation of 15,000 total the national government and the States, Authority: 49 U.S.C. 106(g), 40113, 44701. or on the distribution of power and flight cycles, or within 1,200 flight cycles responsibilities among the various § 39.13 [Amended] after the effective date of this AD, whichever levels of government. occurs later: Do a detailed inspection for I 2. The FAA amends § 39.13 by adding cracking, and a low frequency eddy current For the reasons discussed above, I the following new airworthiness inspection for material loss, in the fuselage certify that this AD: directive (AD): skin. Repair any crack or material loss prior
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to further flight. Do all actions in accordance DEPARTMENT OF HEALTH AND number, found in brackets in the with the Accomplishment Instructions of HUMAN SERVICES heading of this document, into the Boeing Special Attention Service Bulletin ‘‘Search’’ box and follow the prompts 747–53–2493, dated July 3, 2003. Food and Drug Administration and/or go to the Division of Dockets Note 1: For the purposes of this AD, a Management, 5630 Fishers Lane, rm. detailed inspection is: ‘‘An intensive 21 CFR Part 73 1061, Rockville, MD 20852. examination of a specific item, installation, [Docket No. 1998C–0431] (formerly 98C– FOR FURTHER INFORMATION CONTACT: or assembly to detect damage, failure, or 0431) Aydin O¨ rstan, Center for Food Safety irregularity. Available lighting is normally and Applied Nutrition (HFS–255), Food supplemented with a direct source of good Listing of Color Additives Exempt from and Drug Administration, 5100 Paint lighting at an intensity deemed appropriate. Certification; Mica-Based Pearlescent Branch Pkwy., College Park, MD 20740, Inspection aids such as mirror, magnifying Pigments 301–436–1301. lenses, etc., may be necessary. Surface SUPPLEMENTARY INFORMATION: cleaning and elaborate procedures may be AGENCY: Food and Drug Administration, required.’’ HHS. I. Introduction ACTION: Final rule. Alternative Methods of Compliance In a notice published in the Federal (AMOCs) SUMMARY: The Food and Drug Register of June 22, 1998 (63 FR 33934), (g)(1) The Manager, Seattle Aircraft Administration (FDA) is amending the FDA announced that a color additive Certification Office (ACO), FAA, has the color additive regulations to provide for petition (CAP 8C0257) had been filed by authority to approve AMOCs for this AD, if the safe use of mica-based pearlescent EM Industries, Inc., 7 Skyline Dr., requested in accordance with the procedures pigments as color additives in ingested Hawthorne, NY 10532 (now EMD found in 14 CFR 39.19. drugs. This action is in response to a Industries, Inc.). The petition proposed (2) An AMOC that provides an acceptable petition filed by EM Industries, Inc. to amend the color additive regulations level of safety may be used for any repair DATES: This rule is effective August 23, to provide for the safe use of synthetic required by this AD, if it is approved by an 2005. Submit written or electronic iron oxide to color ingested drugs at Authorized Representative for the Boeing objections and requests for a hearing by levels higher than the current limit and Delegation Option Authorization August 22, 2005. See section VIII of the to provide for the safe use of mica to Organization who has been authorized by the SUPPLEMENTARY INFORMATION section of color ingested drugs. At the time of the Manager, Seattle ACO, to make those this document for information on the filing of the petition, FDA considered findings. For a repair method to be approved, filing of objections. the pigments that are the subjects of this the repair must meet the certification basis of ADDRESSES: You may submit written or petition to be color additive mixtures of the airplane, and the approval must electronic objections and requests for a synthetic iron oxide, mica, and titanium specifically refer to this AD. hearing, identified by Docket No. dioxide. FDA did not include titanium dioxide in the filing notice, because that Material Incorporated by Reference 1998C–0431, by any of the following methods: color additive was already listed for use (h) You must use Boeing Special Attention • Federal eRulemaking Portal: http:// in ingested drugs. During its subsequent Service Bulletin 747–53–2493, dated July 3, www.regulations.gov. Follow the review of the petition, the agency 2003, to perform the actions that are required instructions for submitting comments. determined that these pigments are by this AD, unless the AD specifies • Agency Web site: http:// composite pigments, not color additive otherwise. The Director of the Federal www.fda.gov/dockets/ecomments. mixtures. Therefore, the agency Register approves the incorporation by Follow the instructions for submitting published an amended filing notice in reference of this document in accordance comments on the agency Web site. the Federal Register of June 29, 1999 with 5 U.S.C. 552(a) and 1 CFR part 51. To • E-mail: [email protected]. (64 FR 34816), to indicate that the get copies of the service information, contact Include Docket No. 1998C–0431 in the petition proposed to amend the color Boeing Commercial Airplanes, P.O. Box subject line of your e-mail message. additive regulations to provide for the 3707, Seattle, Washington 98124–2207. To • FAX: 301–827–6870. safe use of composite pigments prepared view the AD docket, go to the Docket • Mail/Hand delivery/Courier [For from synthetic iron oxide, mica, and Management Facility, U.S. Department of paper, disk, or CD–ROM submissions]: titanium dioxide to color ingested Transportation, 400 Seventh Street SW., Division of Dockets Management (HFA– drugs. room PL–401, Nassif Building, Washington, 305), Food and Drug Administration, The petitioner is seeking approval for DC. To review copies of the service 5630 Fishers Lane, rm. 1061, Rockville, a maximum use level of the resulting information, go to the National Archives and MD 20852. pigments of up to 3 percent by weight Records Administration (NARA). For Instructions: All submissions received in the finished drug product, and a information on the availability of this must include the agency name and maximum iron oxide content no greater material at the NARA, call (202) 741–6030, docket number for this rulemaking. All than 55 percent in those pigments or go to http://www.archives.gov/federal_ objections received will be posted containing iron oxide. register/code_of_federal_regulations/ibr_ without change to http://www.fda.gov/ locations.html. II. Manufacturing and Nomenclature ohrms/dockets/default.htm, including Issued in Renton, Washington, on July 11, any personal information provided. For The subject color additives are 2005. detailed instructions on submitting manufactured by preparing a Ali Bahrami, objections, see the ‘‘Objections’’ heading suspension of mica platelets, adding a Manager, Transport Airplane Directorate, of the SUPPLEMENTARY INFORMATION solution of soluble salts of titanium, of Aircraft Certification Service. section of this document. iron, or of both, and a base to precipitate [FR Doc. 05–14174 Filed 7–21–05; 8:45 am] Docket: For access to the docket to titanium hydroxide, iron hydroxide, or read background documents or both onto the mica platelets. These BILLING CODE 4910–13–P comments received, go to http:// particles are then heated (calcined) at www.fda.gov/ohrms/dockets/ temperatures up to 900 °C. During the default.htm and insert the docket calcination, titanium hydroxide and
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iron hydroxide are converted into IV. Conclusion regulation to which objection is made titanium dioxide, and iron oxide, Based on the data and information in and the grounds for the objection. Each respectively. The agency has reviewed the petition and other relevant material, numbered objection on which a hearing the relevant data and information in the FDA concludes that the petitioned use is requested shall specifically so state. petition relating to the manufacturing of mica-based pearlescent pigments Failure to request a hearing for any and identity of the subject color prepared from synthetic iron oxide, particular objection shall constitute a additives (Ref. 1), and to the proposed mica, and titanium dioxide to color waiver of the right to a hearing on that uses of and estimated exposures to (Ref. ingested drugs is safe. The agency objection. Each numbered objection for 2) the subject color additives. further concludes that the additives will which a hearing is requested shall In a final rule published in the achieve their intended technical effect, include a detailed description and Federal Register of October 24, 2002 (67 and are suitable for use in coloring analysis of the specific factual FR 65311), the agency listed in ingested drugs. The agency also information intended to be presented in § 73.3128 (21 CFR 73.3128) the color concludes that part 73 should be support of the objection in the event additives based on the first two amended as set forth in this document. that a hearing is held. Failure to include combinations given above (titanium or In addition, based upon the factors such a description and analysis for any iron salts and mica platelets) for use in listed in § 71.20(b) (21 CFR 71.20(b)), particular objection shall constitute a contact lenses. In the same final rule, the agency concludes that certification waiver of the right to a hearing on the the agency collectively identified these of mica-based pearlescent pigments is objection. Three copies of all documents color additives as mica-based not necessary for the protection of the are to be submitted and are to be pearlescent pigments. To be consistent public health. identified with the docket number with § 73.3128, the agency is using the found in brackets in the heading of this V. Inspection of Documents same name for the color additives that document. Any objections received in are the subjects of the present rule. In accordance with § 71.15, the response to the regulation may be seen petition and the documents that FDA in the Division of Dockets Management III. Safety Evaluation considered and relied upon in reaching between 9 a.m. and 4 p.m., Monday To evaluate the safety of the proposed its decision to approve the petition are through Friday. FDA will publish notice uses of mica-based pearlescent pigments available for inspection at the Center for of the objections that the agency has for coloring ingested drugs, the agency Food Safety and Applied Nutrition by received or lack thereof in the Federal reviewed the toxicological data and appointment with the information Register. information submitted in the petition as contact person (see FOR FURTHER well as other information contained in INFORMATION CONTACT). As provided in IX. References § 71.15, the agency will delete from the agency files (Ref. 3). In conjunction with The following references have been this review the agency notes that, based documents any materials that are not available for public disclosure before placed on display in the Division of on the chemical nature of these Dockets Management (see ADDRESSES) inorganic pigments and their individual making the documents available for inspection. and may be seen by interested persons components, as well as the available between 9 a.m. and 4 p.m., Monday solubility data contained in the petition, VI. Environmental Impact through Friday. the solubility of mica-based pearlescent The agency has previously considered pigments in media relevant to human 1. Jensen, E., Memorandum entitled ‘‘Use the environmental effects of this rule as health (e.g., digestive fluids in the of Pearlescent Pigments as a Color Additive announced in the notice of filing for gastrointestinal tract) is expected to be in Tablets and Other Pharmaceutical CAP 8C0257 (63 FR 33934). No new very low. As such, the bioavailability of Preparations,’’ from the Division of Product information or comments have been these pigments and/or their individual Manufacture and Use (HFS–246) to the received that would affect the agency’s components when ingested is also Division of Petition Control (HFS–215), previous determination that there is no expected to be low. Considering the Center for Food Safety and Applied significant impact on the human chemical nature of the pigments, and Nutrition, FDA, January 21, 1999. environment and that an environmental 2. Lee, H. S., Memorandum entitled their expected low solubility and impact statement is not required. ‘‘Update of Intake Estimates,’’ from the bioavailability, the agency concludes Division of Petition Review (HFS–265) to the that there is no toxic potential when VII. Paperwork Reduction Act of 1995 Division of Petition Review (HFS–265), ingested at levels estimated by the This final rule contains no collections Center for Food Safety and Applied agency, based on their proposed use in of information. Therefore, clearance by Nutrition, FDA, November 24, 2004. coloring ingested drugs. The agency also the Office of Management and Budget 3. Taras, T. L., Memorandum entitled notes that it has previously reviewed under the Paperwork Reduction Act of ‘‘Comprehensive Final Toxicology Evaluation various color additive uses of iron 1995 is not required. Memorandum: CAP 8C0257’’ from the oxide, titanium dioxide, and mica VIII. Objections Division of Petition Review (HFS–265) to the where the additives would be ingested Division of Petition Review (HFS–265), and found such uses to be safe This rule is effective as shown in the Center for Food Safety and Applied (§§ 73.200, 73.575, 73.1200, 73.1496, DATES section of this document, except Nutrition, FDA, December 20, 2004. 73.1575, 73.2250, 73.2496, and as to any provisions that may be stayed 73.2575). by the filing of proper objections. Any List of Subjects in 21 CFR Part 73 Therefore, taking into account the person who will be adversely affected Color additives, Cosmetics, Drugs, available safety information, the by this regulation may file with the Medical devices. insoluble nature of the subject color Division of Dockets Management (see additives, and the conservative ADDRESSES) written or electronic I Therefore, under the Federal Food, estimates of intake of the additives, the objections. Each objection shall be Drug, and Cosmetic Act and under agency concludes that the proposed use separately numbered, and each authority delegated to the Commissioner of mica-based pearlescent pigments to numbered objection shall specify with of Food and Drugs, 21 CFR part 73 is color ingested drugs is safe (Ref. 3). particularity the provisions of the amended as follows:
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PART 73—LISTING OF COLOR ENVIRONMENTAL PROTECTION Idaho’s hazardous waste management ADDITIVES EXEMPT FROM AGENCY program received final authorization CERTIFICATION effective on April 9, 1990 (55 FR 11015, 40 CFR Part 271 March 29, 1990). EPA also granted I 1. The authority citation for 21 CFR [FRL–7942–9] authorization for revisions to Idaho’s part 73 continues to read as follows: program effective on June 5, 1992 (57 FR Authority: 21 U.S.C. 321, 341, 342, 343, Idaho: Final Authorization of State 11580, April 6, 1992), on August 10, 348, 351, 352, 355, 361, 362, 371, 379e. Hazardous Waste Management 1992 (57 FR 24757, June 11, 1992), on June 11, 1995 (60 FR 18549, April 12, I 2. Section 73.1128 is added to subpart Program Revision 1995), on January 19, 1999 (63 FR B to read as follows: AGENCY: Environmental Protection 56086, October 21, 1998), on July 1, § 73.1128 Mica-based pearlescent Agency. 2002 (67 FR 44069, July 1, 2002), and pigments. ACTION: Final rule. on March 10, 2004 (69 FR 11322). (a) Identity. (1) The color additive is Today’s final rule addresses a SUMMARY: Idaho applied to the United formed by depositing titanium and/or program revision application that Idaho States Environmental Protection Agency submitted to EPA in September 2004, in iron salts onto mica, followed by (EPA) for final authorization of changes heating to produce one of the following accordance with 40 CFR 271.21, seeking to its hazardous waste program under authorization of changes to the State combinations: Titanium dioxide on the Resource Conservation and mica; iron oxide on mica; titanium program. On May 16, 2005, EPA Recovery Act (RCRA). On May 16, 2005, published a proposed rule announcing dioxide and iron oxide on mica. Mica EPA published a proposed rule to used to manufacture the color additive its intent to grant Idaho final authorize the changes and opened a authorization for revisions to Idaho’s shall conform in identity to the public comment period. The comment requirements of § 73.1496(a)(1). hazardous waste program and provided period closed on June 15, 2005. EPA has a period of time for the receipt of public (2) Color additive mixtures for drug decided that these revisions to the Idaho comments. The proposed rule can be use made with mica-based pearlescent hazardous waste management program found at 70 FR 25798. pigments may contain only those satisfy all of the requirements necessary diluents listed in this subpart as safe to qualify for final authorization and is B. What Were the Comments to EPA’s and suitable for use in color additive authorizing these revisions to Idaho’s Proposed Rule? mixtures for coloring ingested drugs. authorized hazardous waste EPA received two letters during the (b) Specifications. Mica-based management program in today’s final public comment period. One letter was pearlescent pigments shall conform to rule. dated June 3, 2005, from Mr. Chuck the following specifications and shall be Broscious on behalf of the DATES: Final authorization for the free from impurities other than those Environmental Defense Institute and a revisions to the hazardous waste named to the extent that such other second letter was dated June 14, 2005, impurities may be avoided by good program in Idaho shall be effective at 1 from Mr. Chuck Broscious on behalf of manufacturing practice: p.m. E.S.T. on July 22, 2005. the Environmental Defense Institute, (1) Lead (as Pb), not more than 4 parts FOR FURTHER INFORMATION CONTACT: Jeff Keep Yellowstone Nuclear Free, and per million (ppm). Hunt, Mail Stop AWT–122, U.S. EPA David B. McCoy, collectively the (2) Arsenic (as As), not more than 3 Region 10, Office of Air, Waste, and commenters. ppm. Toxics, 1200 Sixth Avenue, Seattle, The comment letters focused on (3) Mercury (as Hg), not more than 1 Washington 98101, phone (206) 553– issues originally raised in petitions ppm. 0256. E-mail: [email protected]. submitted to EPA on August 8, 2000, (c) Uses and restrictions. Mica-based SUPPLEMENTARY INFORMATION: and September 13, 2001, and on numerous follow up letters and pearlescent pigments may be safely used A. Why Are Revisions to State correspondence related to those to color ingested drugs in amounts up Programs Necessary? to 3 percent, by weight, of the final drug petitions. The petitions themselves product. The maximum amount of iron States which have received final centered on issues related to specific oxide to be used in producing said authorization from EPA under RCRA units located at the Idaho National pigments is not to exceed 55 percent, by section 3006(b), 42 U.S.C. 6926(b), must Laboratory (INL) in Idaho Falls, Idaho. weight, in the finished pigment. maintain a hazardous waste program The comment letters also raised a (d) Labeling. The label of the color that is equivalent to and consistent with concern about nuclear defense activities additive and of any mixture prepared the Federal program. States are required at the same INL facility. In response to therefrom intended solely or in part for to have enforcement authority which is this aspect of the commenters’ letter coloring purposes shall conform to the adequate to enforce compliance with the EPA observes that defense activities requirements of § 70.25 of this chapter. requirements of the hazardous waste related to nuclear production and (e) Exemption from certification. program. Under RCRA Section 3009, propulsion programs will generally not Certification of this color additive is not States are not allowed to impose any meet the definition of solid waste under necessary for the protection of the requirements which are less stringent the RCRA regulations and may be public health, and therefore batches than the Federal program. Changes to regulated by other federal authorities. thereof are exempt from the certification State programs may be necessary when With respect to mixed waste, Idaho’s requirements of section 721(c) of the Federal or State statutory or regulatory hazardous waste program is authorized Federal Food, Drug, and Cosmetic Act. authority is modified or when certain for mixed waste. other changes occur. Most commonly, In the September 13, 2001, petition Dated: July 13, 2005. States must change their programs which commenters refer to in their Jeffrey Shuren, because of changes to EPA’s regulations current comments, the commenters as Assistant Commissioner for Policy. in title 40 of the Code of Federal petitioners sought EPA’s withdrawal of [FR Doc. 05–14457 Filed 7–21–05; 8:45 am] Regulations (CFR) parts 124, 260 Idaho’s authorization to implement the BILLING CODE 4160–01–S through 266, 268, 270, 273 and 279. hazardous waste program under RCRA
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because of petitioners’ concerns with the public under the Freedom of authorized programs before such hazardous waste issues at the INL Information Act. programs are authorized for the facility. EPA in response to that While the Region will continue its requirements. Thus, EPA will withdrawal petition request conducted ongoing obligation to conduct state implement those HSWA requirements an informal investigation and oversight, EPA considers the follow up and prohibitions in Idaho, including determined that sufficient evidence did to the September 13, 2001, withdrawal issuing permits or portions of permits, not exist to initiate formal withdrawal petition and the February 5, 2004, OIG until the State is authorized to do so. proceedings. The investigation findings Evaluation Report complete. The information documenting EPA’s follow D. What Will Be the Effect of Today’s were issued on March 20, 2002, with a Action? follow up response on June 20, 2002. up to the February 5, 2004, OIG The supporting documentation was Evaluation Report was contained in the The effect of today’s action is that a provided to the commenters and the authorization docket available to the facility in Idaho subject to RCRA must documentation is currently available to public through the Region 10 Library in comply with the authorized State the public under the Freedom of Seattle, Washington, as well as through program requirements and with any Information Act. the Freedom of Information Act process. applicable federally-issued requirement, On February 6, 2003, the EPA Office In response to a request by Mr. Chuck such as, for example, the federal HSWA of Inspector General (OIG) requested Broscious, EPA made a hardcopy provisions for which the State is not that Region 10 conduct a second version of the docket available to the authorized, and RCRA requirements that are not supplanted by authorized State- investigation to answer a series of public at the University of Idaho Library issued requirements, in order to comply follow up questions related to the in Moscow, Idaho. Furthermore, in with RCRA. Idaho has enforcement September 13, 2001, petition. EPA response to a request from the Shoshone responsibilities under its State Region 10 conducted a second Bannock Tribe, and Mr. Chuck hazardous waste program for violations investigation and issued its findings on Broscious, EPA electronically scanned of its currently authorized program and April 10, 2003. The investigation results the State of Idaho’s authorization will have enforcement responsibilities were provided to Mr. David McCoy, one application and made this document for the revisions which are the subject of the current commenters, as part of an available on the Region 10 Web site at: of this final rule. EPA continues to have October 13, 2004, Freedom of http://yosemite.epa.gov/R10/OWCM. independent enforcement authority Information Act response. On February NSF/ed6c817875102d2d8825650 f00714a59/2b89088c6ed73517882570 under RCRA sections 3007, 3008, 3013, 5, 2004, after conducting independent 140081e7f9?OpenDocument. and 7003, which include, among others, field work, the OIG issued a final Based on the follow up actions that authority to: evaluation report which concluded, were taken in response to the OIG —Conduct inspections; require ‘‘Region 10 generally relied on Evaluation Report, EPA disagrees with monitoring, tests, analyses or reports; appropriate regulatory requirements and comments submitted on June 3 and 14, —Enforce RCRA requirements, standards in reaching its conclusion that 2005, alleging that EPA and the Idaho including State program requirements evidence did not exist to commence Department of Environmental Quality that are authorized by EPA and any proceedings to withdraw the State of have not sufficiently responded to the applicable Federally-issued statutes Idaho’s authority to run its RCRA issues raised by the February 5, 2004, and regulations; suspend, modify or Hazardous Waste program.’’ OIG Evaluation report. Therefore, EPA revoke permits; and While the evaluation report has determined that these comments do —Take enforcement actions regardless concluded that evidence did not exist to not constitute basis for continued delay of whether the State has taken its own commence withdrawal proceedings, the or denial of Idaho’s application for actions. OIG did identify areas of concern for program revision. This final action approving these further Regional and State follow up. As revisions will not impose additional detailed in the Evaluation Report, the C. What Decisions Have We Made in This Rule? requirements on the regulated OIG and EPA Region 10 agreed to community because the regulations for specific follow up actions. To document EPA has made a final determination which Idaho’s program is being resolution of these action items, EPA that Idaho’s revisions to the Idaho authorized are already effective under Region 10 submitted quarterly progress authorized hazardous waste program State law. reports to the Region 10 OIG Audit meet all of the statutory and regulatory Liaison on January 13, 2004, April 16, requirements established by RCRA for E. What Rules Are We Authorizing 2004, July 15, 2004, October 12, 2004, authorization. Therefore, EPA is With Today’s Action? February 9, 2005, and April 8, 2005. authorizing the revisions to the Idaho In September 2004, Idaho submitted a These reports document the steps taken hazardous waste program and complete program revision application, by EPA and the Idaho Department of authorizing the State of Idaho to operate seeking authorization for all delegable Environmental Quality to meet the its hazardous waste program as federal hazardous waste regulations specific actions recommended by the described in the revision authorization codified as of July 1, 2003, as OIG. The first three of these quarterly application. Idaho’s authorized program incorporated by reference in IDAPA reports were sent to the commenters and will be responsible for carrying out the 58.01.05.(002)–(016) and 58.01.05.997, the OIG as part of a July 26, 2004, letter aspects of the RCRA program described including previously unauthorized from then Regional Administrator, L. in its revised program application, portions of the Post Closure Rule John Iani. Hardcopies of all the subject to the limitations of RCRA, promulgated on October 22, 1998 (63 FR quarterly reports were made directly including the Hazardous and Solid 56710). available to the public as part of the Waste Amendments of 1984 (HSWA). authorization docket for the proposed New Federal requirements and F. Who Handles Permits After This authorization with repositories in prohibitions imposed by Federal Authorization Takes Effect? Seattle, Washington and the University regulations that EPA promulgates under Idaho will issue permits for all the of Idaho in Moscow. These quarterly the authority of HSWA are implemented provisions for which it is authorized reports are also currently available to by EPA and take effect in States with and will administer the permits it
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issues. All permits or portions of jobs, the environment, public health or determined that this action will not permits issued by EPA prior to final safety, or State, local or tribal have a significant impact on small authorization of this revision will governments or communities; (2) create entities because the final rule will only continue to be administered by EPA a serious inconsistency or otherwise have the effect of authorizing pre- until the effective date of the issuance, interfere with an action taken or existing requirements under State law. re-issuance after modification, or denial planned by another agency; (3) After considering the economic impacts of a State RCRA permit or until the materially alter the budgetary impact of of today’s rule, I certify that this action permit otherwise expires or is revoked, entitlements, grants, user fees, or loan will not have a significant economic and until EPA takes action on its permit programs, or the rights and obligations impact on a substantial number of small or portion of permit. HSWA provisions of recipients thereof; or (4) raise novel entities. legal or policy issues arising out of legal for which the State is not authorized 4. Unfunded Mandates Reform Act will continue in effect under the EPA- mandates, the President’s priorities, or issued permit or portion of permit. EPA the principles set forth in the Executive Title II of the Unfunded Mandates will continue to issue permits or Order. It has been determined that this Reform Act (UMRA) of 1995 (Pub. L. portions of permits for HSWA final rule is not a ‘‘significant regulatory 104–4) establishes requirements for requirements for which Idaho is not yet action’’ under the terms of Executive Federal agencies to assess the effects of authorized. Order 12866 and is therefore not subject their regulatory actions on State, local to OMB review. and tribal governments and the private G. What Is Codification and Is EPA sector. Under section 202 of the UMRA, Codifying Idaho’s Hazardous Waste 2. Paperwork Reduction Act EPA generally must prepare a written Program as Authorized in This Rule? The Paperwork Reduction Act, 44 statement, including a cost-benefit Codification is the process of placing U.S.C. 3501, et seq., is intended to analysis, for proposed and final rules the State’s statutes and regulations that minimize the reporting and with ‘‘Federal mandates’’ that may comprise the State’s authorized recordkeeping burden on the regulated result in expenditures to State, local and hazardous waste program into the Code community, as well as to minimize the tribal governments, in the aggregate, or of Federal Regulations. EPA does this by cost of Federal information collection to the private sector, of $100 million or referencing the authorized State’s and dissemination. In general, the Act more in any year. Before promulgating authorized rules in 40 CFR part 272. requires that information requests and an EPA rule for which a written EPA is reserving the amendment of 40 recordkeeping requirements affecting statement is needed, section 205 of the CFR part 272, subpart F for codification ten or more non-Federal respondents be UMRA generally requires EPA to of Idaho’s program at a later date. approved by OPM. Since this final rule identify and consider a reasonable does not establish or modify any number of regulatory alternatives and H. How Does Today’s Action Affect information or recordkeeping adopt the least costly, most cost- Indian Country (18 U.S.C. 1151) in requirements for the regulated effective or least burdensome alternative Idaho? community, it is not subject to the that achieves the objectives of the rule. EPA’s decision to authorize the Idaho provisions of the Paperwork Reduction The provisions of section 205 do not hazardous waste program does not Act. apply when they are inconsistent with applicable law. Moreover, section 205 include any land that is, or becomes 3. Regulatory Flexibility after the date of this authorization, allows EPA to adopt an alternative other The Regulatory Flexibility Act (RFA), ‘‘Indian Country,’’ as defined in 18 than the least costly, most cost-effective as amended by the Small Business or least burdensome alternative if the U.S.C. 1151. This includes: (1) All lands Regulatory Enforcement Fairness Act within the exterior boundaries of Indian Administrator publishes with the final (SBREFA), 5 U.S.C. 601 et seq., rule an explanation why the alternative reservations within or abutting the State generally requires federal agencies to of Idaho; (2) Any land held in trust by was not adopted. Before EPA establishes prepare a regulatory flexibility analysis any regulatory requirements that may the U.S. for an Indian tribe; and (3) Any of any rule subject to notice and other land, whether on or off an Indian significantly or uniquely affect small comment rulemaking requirements governments, including tribal reservation that qualifies as Indian under the Administrative Procedure Act country. Therefore, this action has no governments, it must have developed or any other statute unless the agency under section 203 of the UMRA a small effect on Indian country. EPA retains certifies that the rule will not have a government agency plan. The plan must jurisdiction over ‘‘Indian Country’’ as significant economic impact on a provide for notifying potentially defined in 18 U.S.C. 1151. substantial number of small entities. affected small governments, enabling I. Statutory and Executive Order Small entities include small businesses, officials of affected small governments Reviews small organizations, and small to have meaningful and timely input in governmental jurisdictions. For the development of EPA regulatory 1. Executive Order 12866 purposes of assessing the impacts of proposals with significant Federal Under Executive Order 12866 (58 FR today’s rule on small entities, small intergovernmental mandates, and 51735, October 4,1993), the Agency entity is defined as: (1) A small informing, educating, and advising must determine whether the regulatory business, as codified in the Small small governments on compliance with action is ‘‘significant’’, and therefore Business Size Regulations at 13 CFR the regulatory requirements. subject to OMB review and the part 121; (2) a small governmental This rule contains no Federal requirements of the Executive Order. jurisdiction that is a government of a mandates (under the regulatory The Order defines ‘‘significant city, county, town, school district or provisions of Title II of the UMRA) for regulatory action’’ as one that is likely special district with a population of less State, local or tribal governments or the to result in a rule that may: (1) Have an than 50,000; and (3) a small private sector. It imposes no new annual effect on the economy of $100 organization that is any not-for-profit enforceable duty on any State, local or million or more, or adversely affect in enterprise which is independently tribal governments or the private sector. a material way, the economy, a sector of owned and operated and is not Similarly, EPA has also determined that the economy, productivity, competition, dominant in its field. EPA has this rule contains no regulatory
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requirements that might significantly or feasible alternatives considered by the the Mariana Islands. Because this rule uniquely affect small government Agency. addresses authorizing pre-existing State entities. Thus, the requirements of This rule is not subject to Executive rules and there are no anticipated section 203 of the UMRA do not apply Order 13045 because it is not significant adverse human health or to this rule. economically significant as defined in environmental effects, the rule is not Executive Order 12866 and because the subject to Executive Order 12898. 5. Executive Order 13132: Federalism Agency does not have reason to believe Executive Order 13132, entitled the environmental health or safety risks 11. Congressional Review Act ‘‘Federalism’’ (64 FR 43255, August 10, addressed by this action present a The Congressional Review Act, 5 1999), requires EPA to develop an disproportionate risk to children. U.S.C. 801 et seq., as added by the Small accountable process to ensure 8. Executive Order 13211: Actions That Business Regulatory Enforcement ‘‘meaningful and timely input by State Fairness Act of 1996, generally provides and local officials in the development of Significantly Affect Energy Supply, Distribution, or Use that before a rule may take effect, the regulatory policies that have federalism agency promulgating the rule must implications.’’ ‘‘Policies that have This rule is not subject to Executive submit a rule report, which includes a federalism implications’’ is defined in Order 13211, ‘‘Actions Concerning copy of the rule, to each House of the the Executive Order to include Regulations that Significantly Affect Congress and to the Comptroller General regulations that have ‘‘substantial direct Energy Supply, Distribution, or Use’’ (66 of the United States. EPA will submit a effects on the States, on the relationship FR 28355, May 22, 2001) because it is report containing this rule and other between the national government and not a ‘‘significant regulatory action’’ as required information to the U.S. Senate, the States, or on the distribution of defined under Executive Order 12866. the U.S. House of Representatives, and power and responsibilities among 9. National Technology Transfer and the Comptroller General of the United various levels of government.’’ Advancement Act States prior to publication of the rule in This rule does not have federalism the Federal Register. A major rule Section 12(d) of the National implications. It will not have substantial cannot take effect until 60 days after it Technology Transfer and Advancement direct effects on the States, on the is published in the Federal Register. Act of 1995 (‘‘NTTAA’’), Public Law relationship between the national This action is not a ‘‘major rule’’ as 104–113, 12(d) (15 U.S.C. 272) directs government and the States, or on the defined by 5. U.S.C. 804(2). This rule EPA to use voluntary consensus distribution of power and will be effective on the date the rule is standards in its regulatory activities responsibilities among various levels of published in the Federal Register. government, as specified in Executive unless to do so would be inconsistent Order 13132. This rule addresses the with applicable law or otherwise List of Subjects in 40 CFR Part 271 authorization of pre-existing State rules. impractical. Voluntary consensus Environmental protection, Thus, Executive Order 13132 does not standards are technical standards (e.g., Administrative practice and procedure, apply to this rule. materials specifications, test methods, Confidential business information, sampling procedures, and business 6. Executive Order 13175: Consultation Hazardous materials transportation, practices) that are developed or adopted Hazardous waste, Indians-lands, and Coordination With Indian Tribal by voluntary consensus bodies. The Governments Intergovernmental relations, Penalties, NTTAA directs EPA to provide Reporting and recordkeeping Executive Order 13175, entitled Congress, through the OMB, requirements. ‘‘Consultation and Coordination with explanations when the Agency decides Indian Tribal Governments’’ (65 FR not to use available and applicable Authority: This action is issued under the 67249, November 9, 2000), requires EPA voluntary consensus standards. This authority of sections 2002(a), 3006 and 7004(b) of the Solid Waste Disposal Act as to develop an accountable process to rule does not involve ‘‘technical amended 42 U.S.C. 6912(a), 6926, 6974(b). ensure ‘‘meaningful and timely input by standards’’ as defined by the NTTAA. tribal officials in the development of Therefore, EPA is not considering the Dated: July 14, 2005. regulatory policies that have tribal use of any voluntary consensus Michelle Pirzadeh, implications.’’ This rule does not have standards. Acting Regional Administrator, Region 10. tribal implications, as specified in [FR Doc. 05–14545 Filed 7–21–05; 8:45 am] 10. Executive Order 12898: Federal Executive Order 13175. Thus, Executive BILLING CODE 6560–50–P Actions To Address Environmental Order 13175 does not apply to this rule. Justice in Minority Populations and Low 7. Executive Order 13045: Protection of Income Populations Children From Environmental Health To the greatest extent practicable and DEPARTMENT OF HEALTH AND and Safety Risks permitted by law, and consistent with HUMAN SERVICES Executive Order 13045 applies to any the principles set forth in the report on rule that: (1) Is determined to be the National Performance Review, each Centers for Medicare & Medicaid ‘‘economically significant’’ as defined Federal agency must make achieving Services under Executive Order 12866, and (2) environmental justice part of its mission concerns an environmental health or by identifying and addressing, as 45 CFR Part 146 safety risk that EPA has reason to appropriate, disproportionately high believe may have a disproportionate and adverse human health and [CMS–4094–F3] effect on children. If the regulatory environmental effects of its programs, action meets both criteria, the Agency policies, and activities on minority RIN 0938–AN22 must evaluate the environmental health populations and low-income Amendment to the Interim Final or safety effects of the planned rule on populations in the United States and its Regulation for Mental Health Parity children, and explain why the planned territories and possessions, the District regulation is preferable to other of Columbia, the Commonwealth of AGENCY: Centers for Medicare & potentially effective and reasonably Puerto Rico, and the Commonwealth of Medicaid Services (CMS), DHHS.
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ACTION: Amendment to interim final Services enforce the provisions, through extends the original sunset date of regulation. the imposition of civil money penalties. MHPA, so that MHPA’s provisions will Moreover, no enforcement action may not apply to benefits for services SUMMARY: This document contains an be taken by the Secretary of Health and furnished on or after December 31, amendment to the interim final Human Services against any group 2002, H.R. Rep. 107–342, at 170 (2001)). regulation that implements the Mental health plan except certain State and This legislation extended MHPA’s Health Parity Act (MHPA) to conform local governmental plans. original sunset date under the PHS Act, the sunset date of the regulation to the The MHPA provisions in ERISA ERISA, and the Code, so that MHPA’s sunset date of the statute under generally apply to all group health plans provisions in all three statutes would legislation passed by the 108th other than governmental plans, church not sunset until December 31, 2002. Congress. plans, and certain other plans. These On March 9, 2002, President Bush DATES: Effective date: The amendment provisions also apply to health signed H.R. 3090 (Pub. L. 107–147), the to the regulation is effective August 22, insurance issuers that offer health Job Creation and Worker Assistance Act 2005. insurance coverage in connection with of 2002 (‘‘Job Creation Act’’). That Applicability dates: Under the those group health plans. Generally, the legislation amended section 9812 of the amendment, the requirements of the Secretary of Labor enforces the MHPA Code (the mental health parity MHPA interim final regulation apply to provisions in ERISA, except that no provisions), but did not amend the group health plans and health insurance enforcement action may be taken by the corresponding MHPA provisions in the issuers offering health insurance Secretary against issuers. However, PHS Act or ERISA. The Job Creation Act coverage in connection with a group individuals may generally pursue extended the sunset date under the health plan during the period actions against issuers under ERISA Code to December 31, 2003. commencing August 22, 2005 through and, in some circumstances, under State On December 2, 2002, President Bush December 31, 2005. Under the extended law. signed H.R. 5716 (Pub. L. 107–313), the sunset date, MHPA requirements do not The MHPA provisions in the Code Mental Health Parity Reauthorization apply to benefits for services furnished generally apply to all group health plans Act of 2002. This legislation further after December 31, 2005. other than governmental plans, but they extended MHPA’s sunset date under the do not apply to health insurance issuers. PHS Act and ERISA so that MHPA’s FOR FURTHER INFORMATION CONTACT: A taxpayer that fails to comply with provisions would apply to any services Dave Mlawsky, Centers for Medicare & these provisions may be subject to an furnished before December 31, 2003. Medicaid Services (CMS), Department excise tax under section 4980D of the On December 19, 2003, President of Health and Human Services, at 1– Code. Bush signed S. 1929 (Pub. L. 108–197), 877–267–2323, ext. 61565. the Mental Health Parity SUPPLEMENTARY INFORMATION: II. Overview of MHPA Reauthorization Act of 2003. That The MHPA provisions are set forth in I. Background legislation further extends MHPA’s section 2705 of the PHS Act, section 712 sunset date under the PHS Act and The Mental Health Parity Act of 1996 of ERISA, and section 9812 of the Code. ERISA so that MHPA’s provisions apply (MHPA) was enacted on September 26, MHPA applies to a group health plan (or to any services furnished before 1996 (Pub. L. 104–204). MHPA health insurance coverage offered by December 31, 2004. amended the Public Health Service Act issuers in connection with a group As a result of those pieces of (PHS Act) and the Employee Retirement health plan) that provides both medical/ legislation, the Department published Income Security Act of 1974 (ERISA) to surgical benefits and mental health conforming changes to the interim final provide for parity in the application of benefits. MHPA’s original text included mental health parity regulations, annual and lifetime dollar limits on a sunset provision specifying that conforming the regulatory sunset date to mental health benefits with dollar limits MHPA’s provisions would not apply to the new statutory sunset date. The on medical/surgical benefits. Provisions benefits for services furnished on or Department also made conforming implementing MHPA were later added after September 30, 2001. On December changes extending the duration of the to the Internal Revenue Code of 1986 22, 1997, the Departments of Health and increased cost exemption to be (Code) under the Taxpayer Relief Act of Human Services, Labor, and the consistent with the new sunset date (68 1997 (Pub. L. 105–34). Treasury issued interim final FR 38206, June 27, 2003). The provisions of MHPA are set forth regulations under MHPA in the Federal On October 4, 2004, President Bush in Title XXVII of the PHS Act, Part 7 of Register (62 FR 66931). The interim signed H.R. 1308 (Pub. L. 108–311), the Subtitle B of Title I of ERISA, and final regulations included this statutory Working Families Tax Relief Act of Chapter 100 of Subtitle K of the Code. sunset date. 2004. That legislation further extends The Secretaries of Health and Human On January 10, 2002, President Bush MHPA’s sunset date under the PHS Act Services, Labor, and the Treasury share signed H.R. 3061 (Pub. L. 107–116), the and ERISA so that MHPA’s provisions jurisdiction over the MHPA provisions. 2002 Appropriations Act for the apply to any services furnished through These provisions are substantially Departments of Labor, Health and December 31, 2005. It also extends similar, except as follows: Human Services, and Education MHPA’s sunset date under the Tax Code The MHPA provisions in the PHS Act (‘‘Appropriations Act’’). (During the so that MHPA’s provisions apply to any generally apply to health insurance 107th Congress, legislation was passed services furnished from October 4, 2002, issuers that offer health insurance by the Senate to amend and expand the through December 31, 2005. coverage in connection with group substantive provisions of MHPA. This This statutory amendment has not health plans and to certain State and legislation was offered as an amendment altered MHPA’s scope. It continues to local governmental plans. States, in the to the provisions of H.R. 3061. The apply to a group health plan (or health first instance, enforce the PHS Act for Conference Report accompanying the insurance coverage offered by issuers in issuers. Only if a State does not underlying provisions of H.R. 3061 connection with a group health plan) substantially enforce the MHPA states that instead of the amendment that provides both medical/surgical provisions under its insurance laws will proposed by the Senate, the amendment benefits and mental health benefits. the Department of Health and Human to MHPA contained in H.R. 3061 (The parity requirements under MHPA,
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the interim regulations, and the approaches that maximize net benefits List of Subjects in 45 CFR Part 146 amendment to the interim regulations (including potential economic, do not apply to any group health plan environmental, public health and safety Health care, Health insurance, (or health insurance coverage offered in effects, distributive impacts, and Reporting and recordkeeping connection with a group health plan) for equity). A regulatory impact analysis requirements, State regulation of health any plan year of a small employer. The (RIA) must be prepared for major rules insurance. term ‘‘small employer’’ is defined as an with economically significant effects I For the reasons set forth in the employer who employed an average of ($100 million or more in any 1 year). preamble, the Centers for Medicare & at least 2 but not more than 50 According to the terms of the Executive Medicaid Services amends 45 CFR part employees on business days during the Order, it has been determined that this 146 as follows: preceding calendar year and who action is not a ‘‘significant regulatory employs at least 2 employees on the first action’’ within the meaning of the PART 146—REQUIREMENTS FOR THE day of the plan year.) As a result of this Executive Order. Rather, it is an statutory amendment, and to assist GROUP HEALTH INSURANCE amendment to the 1997 interim final MARKET employers, plan sponsors, health regulations that makes no substantive insurance issuers, and workers, the changes to those regulations, and merely I Department is publishing this 1. The authority citation for part 146 is extends the regulatory sunset date to revised to read as follows: amendment to the interim final conform to the new statutory sunset regulations, conforming the regulatory date added by Public Law 108–696. Authority: Secs. 2701 through 2763, 2791, sunset date to the new statutory sunset Because it is not a major rule, we are not and 2792 of the PHS Act (42 U.S.C. 300gg date. The Department is making the required to perform an assessment of the through 300gg–63, 300gg–91, and 300gg–92), as added by HIPAA (Pub. L. 104–191, 110 effective date of this amendment to the costs and savings. interim final regulations effective as of Stat. 1936), and amended by MHPA (Pub. L. August 22, 2005. Since the extension of The RFA requires agencies to analyze 104–204, 110 Stat. 2944, as amended by Pub. this sunset date is essentially self- options for regulatory relief of small L. 107–116, 115 Stat. 2177; Pub. L. 107–313, implementing, this amendment to the businesses. For purposes of the RFA, 116 Stat. 2457; Pub. L. 108–197, 117 Stat. MHPA regulations is published on an small entities include small businesses, 2898; and Pub. L. 108–311, 118 Stat. 1166), interim final basis under section 2792 of nonprofit organizations, and NMHPA (Pub. L. 104–204, 110 Stat. 2935), the PHS Act. government agencies. Most hospitals and WHCRA (Pub. L. 105–277, 112 Stat. This amendment to the interim final and most other providers and suppliers 2681–436), sec. 102(c) of HIPAA. regulations is adopted under the are small entities, either by nonprofit § 146.136 [Amended] authority contained in sections 2701 status or by having revenues of $6 through 2763, 2791, and 2792 of the million to $29 million in any 1 year. I 2. In § 146.136, the following PHS Act (42 U.S.C. 300gg through Individuals and States are not included amendments are made: 300gg–63, 300gg–91, and 300gg–92), as in the definition of a small entity. We I a. The last sentence of paragraph (f)(1) added by HIPAA (Pub. L. 104–191), and are not preparing an analysis for the is amended by removing the date amended by MHPA (Pub. L. 104–204, as RFA because we have determined, and ‘‘December 31, 2004’’ and adding in its amended by Pub. L. 107–116, Pub. L. we certify, that this rule will not have place the date ‘‘December 31, 2005.’’ 107–313, Pub. L. 108–197, and Pub. L. a significant economic impact on a 108–311). substantial number of small entities. I b. Paragraph (g)(2) is amended by removing the date ‘‘December 31, 2004’’ Section 202 of the Unfunded III. Collection of Information and adding in its place the date ‘‘January Mandates Reform Act of 1995 also Requirements 1, 2006.’’ requires that agencies assess anticipated This document does not impose costs and benefits before issuing any I c. Paragraph (i) is revised to read as information collection and rule that may result in expenditure in follows: recordkeeping requirements. any 1 year by State, local, or tribal Consequently, it need not be reviewed § 146.136 Parity in the application of governments, in the aggregate, or by the by the Office of Management and certain limits to mental health benefits. private sector, of $110 million. This rule Budget under the authority of the * * * * * Paperwork Reduction Act of 1995. will have no consequential effect on the governments mentioned or on the (i) Sunset. This section does not apply IV. Regulatory Impact Statement private sector. to benefits for services furnished after Overall Impact Executive Order 13132 establishes December 31, 2005. certain requirements that an agency We have examined the impacts of this Dated: January 19, 2005. must meet when it publishes a proposed rule as required by Executive Order Mark B. McClellan, rule (and subsequent final rule) that 12866 (September 1993, Regulatory Administrator, Centers for Medicare & imposes substantial direct requirement Planning and Review), the Regulatory Medicaid Services. Flexibility Act (RFA) (September 16, costs on State and local governments, 1980, Pub. L. 96–354), the Unfunded preempts State law, or otherwise has Dated: April 11, 2005. Mandates Reform Act of 1995 (Pub. L. Federalism implications. We have Michael O. Leavitt, 104–4), and Executive Order 13132. reviewed this final rule and have Secretary, Department of Health and Human Executive Order 12866 (as amended determined that it will not have a Services. by Executive Order 13258, which substantial effect on State or local [FR Doc. 05–14504 Filed 7–21–05; 8:45 am] governments. merely reassigns responsibility of BILLING CODE 4120–01–P duties) directs agencies to assess all We have reviewed this rule and costs and benefits of available regulatory determined that, under the provisions of alternatives and, if regulation is Public Law 104–121, the Contract with necessary, to select regulatory America Act, it is not a major rule.
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DEPARTMENT OF COMMERCE million-lb (2.41 million-kg) commercial DEPARTMENT OF COMMERCE quota for red grouper will be reached on National Oceanic and Atmospheric August 3, 2005. Accordingly, NMFS is National Oceanic and Atmospheric Administration reducing the trip limit for shallow-water Administration grouper (black grouper, gag, red grouper, 50 CFR Part 622 yellowfin grouper, scamp, yellowmouth 50 CFR Part 679 [Docket No. 050209033–5033–01; I.D. grouper, rock hind, and red hind) to [Docket No. 041126333–5040–02; I.D. 071505C] 5,500 lb (2,500 kg) per trip in the Gulf 071505D] of Mexico exclusive economic zone Fisheries of the Caribbean, Gulf of effective 12:01 a.m., local time, on Fisheries of the Exclusive Economic Mexico, and South Atlantic; Reef Fish August 4, 2005, through December 31, Zone Off Alaska; Pacific Ocean Perch Fishery of the Gulf of Mexico; Trip 2005, unless changed by further in the Western Regulatory Area of the Limit Reduction for Gulf of Mexico Gulf of Alaska notification in the Federal Register. Grouper Fishery Classification AGENCY: National Marine Fisheries AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and Service (NMFS), National Oceanic and This action responds to the best Atmospheric Administration (NOAA), Atmospheric Administration (NOAA), available information recently obtained Commerce. Commerce. from the fishery. The Assistant ACTION: Temporary rule; Closure. ACTION: Temporary rule; inseason Administrator for Fisheries, NOAA, action. (AA), finds good cause to waive the SUMMARY: NMFS is prohibiting directed requirement to provide prior notice and fishing for Pacific Ocean perch in the SUMMARY: NMFS reduces the trip limit opportunity for public comment Western Regulatory Area of the Gulf of for the commercial shallow-water Alaska (GOA). This action is necessary pursuant to the authority set forth at 5 grouper fishery in the exclusive to prevent exceeding the 2005 total U.S.C. 553(b)(B), as such prior notice economic zone of the Gulf of Mexico to allowable catch (TAC) of Pacific Ocean and opportunity for public comment is 5,500 lb (2,500 kg) per trip. The perch in the Western Regulatory Area of intended effect of trip limit reduction is unnecessary and contrary to the public the GOA. interest. Such procedures would be to moderate the rate of harvest of the DATES: Effective 1200 hrs, Alaska local unnecessary because the rule itself available quotas and, thereby, reduce time (A.l.t.), July 16, 2005, through 2400 already has been subject to notice and the adverse social and economic effects hrs, A.l.t., December 31, 2005. of derby fishing, enable more effective comment, and all that remains is to FOR FURTHER INFORMATION CONTACT: Josh quota monitoring, and reduce the notify the public of the trip limit Keaton, 907–586–7228. probability of overfishing. reduction. Allowing prior notice and SUPPLEMENTARY INFORMATION: NMFS DATES: Effective 12:01 a.m., local time, opportunity for public comment is manages the groundfish fishery in the August 4, 2005, through December 31, contrary to the public interest because GOA exclusive economic zone 2005, unless changed by further of the need to immediately implement according to the Fishery Management notification in the Federal Register. this action to protect the fishery since the capacity of the fishing fleet allows Plan for Groundfish of the Gulf of FOR FURTHER INFORMATION CONTACT: Phil Alaska (FMP) prepared by the North for rapid harvest of the quota. Prior Steele, telephone: 727–824–5305, fax: Pacific Fishery Management Council notice and opportunity for public 727–824–5308, e-mail: under authority of the Magnuson- comment would require time and would [email protected]. Stevens Fishery Conservation and potentially result in a harvest well in SUPPLEMENTARY INFORMATION: The Management Act. Regulations governing fishery for reef fish is managed under excess of the established quota. fishing by U.S. vessels in accordance the Fishery Management Plan for the For the aforementioned reasons, the with the FMP appear at subpart H of 50 Reef Fish Resources of the Gulf of AA also finds good cause to waive the CFR part 600 and 50 CFR part 679. Mexico (FMP) prepared by the Gulf of 30-day delay in the effectiveness of this The 2005 TAC of Pacific Ocean perch Mexico Fishery Management Council. action under 5 U.S.C. 553(d)(3). in the Western Regulatory Area of the This FMP was approved by NMFS and This action is taken under 50 CFR GOA is 2,567 metric tons (mt) as implemented under the authority of the 622.44(g)(1)(ii) and is exempt from established by the 2005 and 2006 harvest specifications for groundfish of Magnuson-Stevens Fishery review under Executive Order 12866. Conservation and Management Act by the GOA (70 FR 8958, February 24, regulations at 50 CFR part 622. Authority: 16 U.S.C. 1801 et seq. 2005). Regulations at 50 CFR 622.44(g)(1)(ii) Dated: July 19, 2005. In accordance with § 679.20(d)(1)(i), require NMFS to reduce the commercial Alan D. Risenhoover, the Administrator, Alaska Region, trip limit for Gulf deep-water and NMFS (Regional Administrator), has shallow-water grouper, combined, to Acting Director, Office of Sustainable determined that the 2005 TAC of Pacific Fisheries, National Marine Fisheries Service. 5,500 lb (2,500 kg) if on or before Ocean perch in the Western Regulatory October 1 more than 75 percent of either [FR Doc. 05–14522 Filed 7–19–05; 2:24 pm] Area of the GOA will soon be reached. the shallow-water grouper quota or red BILLING CODE 3510–22–S Therefore, the Regional Administrator is grouper quota is reached or is projected establishing a directed fishing to be reached. The commercial deep- allowance of 2,317 mt, and is setting water grouper fishery was closed on aside the remaining 250 mt as bycatch June 23, 2005. Therefore, this action to support other anticipated groundfish only pertains to the commercial fisheries. In accordance with shallow-water grouper fishery. Based on § 679.20(d)(1)(iii), the Regional current statistics, NMFS has determined Administrator finds that this directed more than 75 percent of the 5.31 fishing allowance has been reached.
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Consequently, NMFS is prohibiting West Yakutat District of the Gulf of data in a timely fashion and would directed fishing for Pacific Ocean perch Alaska (GOA). This action is necessary delay the closure of Pacific Ocean perch in the Western Regulatory Area of the to prevent exceeding the 2005 total in the West Yakutat District of the GOA. GOA. allowable catch (TAC) of Pacific Ocean The AA also finds good cause to After the effective date of this closure perch in the West Yakutat District of the waive the 30 day delay in the effective the maximum retainable amounts at GOA. date of this action under 5 U.S.C. §§ 679.20(e) and (f) apply at any time DATES: Effective 1200 hrs, Alaska local 553(d)(3). This finding is based upon during a trip. time (A.l.t.), July 16, 2005, through 2400 the reasons provided above for waiver of Classification hrs, A.l.t., December 31, 2005. prior notice and opportunity for public FOR FURTHER INFORMATION CONTACT: Josh comment. This action responds to the best This action is required by § 679.20 Keaton, 907–586–7228. available information recently obtained and is exempt from review under from the fishery. The Assistant SUPPLEMENTARY INFORMATION: NMFS Executive Order 12866. Administrator for Fisheries, NOAA manages the groundfish fishery in the Authority: 16 U.S.C. 1801 et seq. (AA), finds good cause to waive the GOA exclusive economic zone requirement to provide prior notice and according to the Fishery Management Dated: July 15, 2005. opportunity for public comment Plan for Groundfish of the Gulf of Alan D. Risenhoover, pursuant to the authority set forth at 5 Alaska (FMP) prepared by the North Acting Director, Office of Sustainable U.S.C. 553(b)(B) as such requirement is Pacific Fishery Management Council Fisheries, National Marine Fisheries Service. impracticable and contrary to the public under authority of the Magnuson- [FR Doc. 05–14447 Filed 7–18–05; 2:57 pm] interest. This requirement is Stevens Fishery Conservation and BILLING CODE 3510–22–S impracticable and contrary to the public Management Act. Regulations governing interest as it would prevent NMFS from fishing by U.S. vessels in accordance responding to the most recent fisheries with the FMP appear at subpart H of 50 DEPARTMENT OF COMMERCE data in a timely fashion and would CFR part 600 and 50 CFR part 679. delay the closure of Pacific Ocean perch The 2005 TAC of Pacific Ocean perch National Oceanic and Atmospheric in the Western Regulatory Area of the in the West Yakutat District of the GOA Administration GOA. is 841 metric tons (mt) as established by The AA also finds good cause to the 2005 and 2006 harvest specifications 50 CFR Part 679 waive the 30 day delay in the effective for groundfish of the GOA (70 FR 8958, [Docket No. 041126332–5039–02; I.D. date of this action under 5 U.S.C. February 24, 2005). 071805A] 553(d)(3). This finding is based upon In accordance with § 679.20(d)(1)(i), the reasons provided above for waiver of the Administrator, Alaska Region, Fisheries of the Exclusive Economic prior notice and opportunity for public NMFS (Regional Administrator), has Zone Off Alaska; Pacific Ocean Perch comment. determined that the 2005 TAC of Pacific in the Western Aleutian District of the This action is required by § 679.20 Ocean perch in the West Yakutat Bering Sea and Aleutian Islands and is exempt from review under District of the GOA will soon be Management Area Executive Order 12866. reached. Therefore, the Regional AGENCY: National Marine Fisheries Authority: 16 U.S.C. 1801 et seq. Administrator is establishing a directed fishing allowance of 800 mt, and is Service (NMFS), National Oceanic and Dated: July 15, 2005. setting aside the remaining 41 mt as Atmospheric Administration (NOAA), Alan D. Risenhoover, bycatch to support other anticipated Commerce. Acting Director, Office of Sustainable groundfish fisheries. In accordance with ACTION: Temporary rule; closure. Fisheries, National Marine Fisheries Service. § 679.20(d)(1)(iii), the Regional [FR Doc. 05–14446 Filed 7–18–05; 2:58 pm] SUMMARY: NMFS is prohibiting directed Administrator finds that this directed fishing for Pacific Ocean perch in the BILLING CODE 3510–22–S fishing allowance has been reached. Western Aleutian District of the Bering Consequently, NMFS is prohibiting Sea and Aleutian Islands management directed fishing for Pacific Ocean perch DEPARTMENT OF COMMERCE area (BSAI). This action is necessary to in the West Yakutat District of the GOA. prevent exceeding the 2005 Pacific After the effective date of this closure National Oceanic and Atmospheric Ocean perch total allowable catch (TAC) the maximum retainable amounts at Administration in the Western Aleutian District of the §§ 679.20(e) and (f) apply at any time BSAI. during a trip. 50 CFR Part 679 DATES: Effective 1200 hrs, Alaska local [Docket No. 041126333–5040–02; I.D. Classification time (A.l.t.), July 18, 2005, through 2400 071505B] This action responds to the best hrs, A.l.t., December 31, 2005. available information recently obtained FOR FURTHER INFORMATION CONTACT: Josh Fisheries of the Exclusive Economic from the fishery. The Assistant Keaton, 907–586–7228. Zone Off Alaska; Pacific Ocean Perch Administrator for Fisheries, NOAA SUPPLEMENTARY INFORMATION: NMFS in the West Yakutat District of the Gulf (AA), finds good cause to waive the manages the groundfish fishery in the of Alaska requirement to provide prior notice and BSAI according to the Fishery AGENCY: National Marine Fisheries opportunity for public comment Management Plan for Groundfish of the Service (NMFS), National Oceanic and pursuant to the authority set forth at 5 Bering Sea and Aleutian Islands Atmospheric Administration (NOAA), U.S.C. 553(b)(B) as such requirement is Management Area (FMP) prepared by Commerce. impracticable and contrary to the public the North Pacific Fishery Management ACTION: Temporary rule; Closure. interest. This requirement is Council under authority of the impracticable and contrary to the public Magnuson-Stevens Fishery SUMMARY: NMFS is prohibiting directed interest as it would prevent NMFS from Conservation and Management Act. fishing for Pacific Ocean perch in the responding to the most recent fisheries Regulations governing fishing by U.S.
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vessels in accordance with the FMP Authority: 16 U.S.C. 1801 et seq. In accordance with § 679.20(d)(1)(i), appear at subpart H of 50 CFR part 600 Dated: July 18, 2005. the Administrator, Alaska Region, and 50 CFR part 679. Alan D. Risenhoover, NMFS (Regional Administrator), has The 2005 Pacific Ocean perch TAC in Acting Director, Office of Sustainable determined that the 2005 TAC of the Western Aleutian District of the Fisheries, National Marine Fisheries Service. northern rockfish in the Western BSAI is 4,703 metric tons (mt) as [FR Doc. 05–14523 Filed 7–19–05; 2:24 pm] Regulatory Area of the GOA will soon established by the 2005 and 2006 final be reached. Therefore, the Regional BILLING CODE 3510–22–S harvest specifications for groundfish in Administrator is establishing a directed the BSAI (70 FR 8979, February 24, fishing allowance of 750 mt, and is 2005). DEPARTMENT OF COMMERCE setting aside the remaining 58 mt as In accordance with § 679.20(d)(1)(i), bycatch to support other anticipated the Administrator, Alaska Region, National Oceanic and Atmospheric groundfish fisheries. In accordance with NMFS, has determined that the 2005 Administration § 679.20(d)(1)(iii), the Regional Pacific Ocean perch TAC in the Western Administrator finds that this directed Aleutian District of the BSAI will soon 50 CFR Part 679 fishing allowance has been reached. be reached. Therefore, the Regional Consequently, NMFS is prohibiting Administrator is establishing a directed [Docket No. 041126333–5040–02; I.D. directed fishing for northern rockfish in 071905A] fishing allowance of 3,503 mt, and is the Western Regulatory Area of the setting aside the remaining 1,200 mt as Fisheries of the Exclusive Economic GOA. bycatch to support other anticipated Zone Off Alaska; Northern Rockfish in After the effective date of this closure groundfish fisheries. In accordance with the Western Regulatory Area of the the maximum retainable amounts at § 679.20(d)(1)(iii), the Regional Gulf of Alaska §§ 679.20(e) and (f) apply at any time Administrator finds that this directed during a trip. fishing allowance has been reached. AGENCY: National Marine Fisheries Consequently, NMFS is prohibiting Service (NMFS), National Oceanic and Classification directed fishing for Pacific Ocean perch Atmospheric Administration (NOAA), This action responds to the best in the Western Aleutian District of the Commerce. available information recently obtained BSAI. ACTION: Temporary rule; closure. from the fishery. The Assistant After the effective date of this closure Administrator for Fisheries, NOAA the maximum retainable amounts at SUMMARY : NMFS is prohibiting directed (AA), finds good cause to waive the §§ 679.20(e) and (f) apply at any time fishing for northern rockfish in the requirement to provide prior notice and during a trip. Western Regulatory Area of the Gulf of opportunity for public comment Classification Alaska (GOA). This action is necessary pursuant to the authority set forth at 5 to prevent exceeding the 2005 total U.S.C. 553(b)(B) as such requirement is This action responds to the best allowable catch (TAC) of northern available information recently obtained impracticable and contrary to the public rockfish in the Western Regulatory Area interest. This requirement is from the fishery. The Assistant of the GOA. Administrator for Fisheries, NOAA impracticable and contrary to the public DATES: Effective 1200 hrs, Alaska local (AA), finds good cause to waive the interest as it would prevent NMFS from time (A.l.t.), July 19, through 2400 hrs, responding to the most recent fisheries requirement to provide prior notice and A.l.t., December 31, 2005. opportunity for public comment data in a timely fashion and would pursuant to the authority set forth at 5 FOR FURTHER INFORMATION CONTACT: Josh delay the closure of northern rockfish in U.S.C. 553(b)(B) as such requirement is Keaton, 907–586–7228. the Western Regulatory Area of the impracticable and contrary to the public SUPPLEMENTARY INFORMATION: NMFS GOA. interest. This requirement is manages the groundfish fishery in the The AA also finds good cause to impracticable and contrary to the public GOA exclusive economic zone waive the 30 day delay in the effective interest as it would prevent NMFS from according to the Fishery Management date of this action under 5 U.S.C. responding to the most recent fisheries Plan for Groundfish of the Gulf of 553(d)(3). This finding is based upon data in a timely fashion and would Alaska (FMP) prepared by the North the reasons provided above for waiver of delay the closure of Pacific Ocean perch Pacific Fishery Management Council prior notice and opportunity for public in the Western Aleutian District of the under authority of the Magnuson- comment. BSAI. Stevens Fishery Conservation and This action is required by § 679.20 The AA also finds good cause to Management Act. Regulations governing and is exempt from review under waive the 30–day delay in the effective fishing by U.S. vessels in accordance Executive Order 12866. date of this action under 5 U.S.C. with the FMP appear at subpart H of 50 Authority: 16 U.S.C. 1801 et seq. 553(d)(3). This finding is based upon CFR part 600 and 50 CFR part 679. the reasons provided above for waiver of The 2005 TAC of northern rockfish in Dated: July 19, 2005. prior notice and opportunity for public the Western Regulatory Area of the GOA Alan D. Risenhoover, comment. is 808 metric tons (mt) as established by Acting Director, Office of Sustainable This action is required by § 679.20 the 2005 and 2006 harvest specifications Fisheries, National Marine Fisheries Service. and is exempt from review under for groundfish of the GOA (70 FR 8958, [FR Doc. 05–14521 Filed 7–19–05; 2:24 pm] Executive Order 12866. February 24, 2005). BILLING CODE 3510–22–S
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Proposed Rules Federal Register Vol. 70, No. 140
Friday, July 22, 2005
This section of the FEDERAL REGISTER period for this NPRM ended on June 3, ACTION: Notice of proposed rulemaking contains notices to the public of the proposed 2005. The Commission received five (NPRM). issuance of rules and regulations. The comments in response to this NPRM. purpose of these notices is to give interested Six commenters who submitted three of SUMMARY: The FAA proposes to adopt a persons an opportunity to participate in the the comments requested to testify at a new airworthiness directive (AD) for rule making prior to the adoption of the final certain Lycoming Engines (formerly rules. public hearing if one is held. After considering these requests and Textron Lycoming) AEIO–360, IO–360, the other comments received to date in O–360, LIO–360, LO–360, AEIO–540, IO–540, O–540, and TIO–540 series FEDERAL ELECTION COMMISSION response to this NPRM, the Commission believes a public hearing would be reciprocating engines rated at 300 11 CFR Parts 100, 106 and 300 helpful in considering the issues raised horsepower (HP) or lower. This proposed AD would require replacing [Notice 2005–19] in the rulemaking. The hearing will be held on August 4, 2005. certain crankshafts. This proposed AD results from reports of 12 crankshaft State, District, and Local Party Rulemaking on Definition of Federal failures in Lycoming 360 and 540 series Committee Payment of Certain Salaries Election Activity engines rated at 300 HP or lower. We are and Wages; Definition of Federal proposing this AD to prevent failure of Election Activity On May 4, 2005, the Commission published an NPRM proposing to revise the crankshaft, which could result in AGENCY: Federal Election Commission. the definitions of ‘‘Federal election total engine power loss, in-flight engine ACTION: Notice of public hearings. activity,’’ ‘‘get-out-the-vote activity,’’ failure, and possible loss of the aircraft. and ‘‘voter identification.’’ The DATES: We must receive any comments SUMMARY: The Federal Election comment period for this NPRM ended on this proposed AD by August 22, Commission is announcing public on June 3, 2005. The Commission 2005. hearings on the following rulemakings: received eight comments in response to The proposed rules regarding payments ADDRESSES: Use one of the following this NPRM. Seven commenters who addresses to comment on this proposed by State, district or local party submitted four of the comments committees for salaries and wages of AD. requested to testify at a public hearing • DOT Docket Web site: Go to employees who spend 25 percent or less if one is held. of their compensated time in a month http://dms.dot.gov and follow the After considering these requests and instructions for sending your comments on Federal election activity and activity the other comments received to date in in connection with Federal elections; electronically. response to this NPRM, the Commission • Government-wide rulemaking Web and proposed rules defining Federal believes a public hearing would be election activity. site: Go to http://www.regulations.gov helpful in considering the issues raised and follow the instructions for sending DATES: The hearings will be held on in the rulemaking. The hearing will be your comments electronically. Thursday, August 4, 2005 and will held on August 4, 2005. • Mail: Docket Management Facility; begin at 10 a.m. Dated: July 19, 2005. U.S. Department of Transportation, 400 ADDRESSES: Commission hearings are Seventh Street, SW., Nassif Building, held in the Commission’s ninth floor Scott E. Thomas, Chairman, Federal Election Commission. Room PL–401, Washington, DC 20590– meeting room, 999 E Street, NW., 0001. [FR Doc. 05–14508 Filed 7–21–05; 8:45 am] Washington, DC. • Fax: (202) 493–2251. FOR FURTHER INFORMATION CONTACT: Ms. BILLING CODE 6715–01–P • Hand Delivery: Room PL–401 on Mai T. Dinh, Assistant General Counsel, the plaza level of the Nassif Building, 999 E Street, NW., Washington, DC 400 Seventh Street, SW., Washington, 20463, (202) 694–1650 or (800) 424– DEPARTMENT OF TRANSPORTATION DC, between 9 a.m. and 5 p.m., Monday 9530. through Friday, except Federal holidays. SUPPLEMENTARY INFORMATION: Federal Aviation Administration You can get the service information identified in this proposed AD from Rulemaking on State, District, and 14 CFR Part 39 Lycoming, 652 Oliver Street, Local Party Committee Payment of Williamsport, PA 17701; telephone Certain Salaries and Wages [Docket No. FAA–2005–21864; Directorate (570) 323–6181; fax (570) 327–7101, or On May 4, 2005, the Commission Identifier 2005–NE–29–AD] on the Internet at http:// published a Notice of Proposed www.Lycoming.Textron.com. Rulemaking (‘‘NPRM’’) proposing RIN 2120–AA64 You may examine the comments on this proposed AD in the AD docket on revisions to rules that cover what Airworthiness Directives; Lycoming the Internet at http://dms.dot.gov. mixture of Federal and non-Federal Engines (Formerly Textron Lycoming) funds can be used by State, District and AEIO–360, IO–360, O–360, LIO–360, FOR FURTHER INFORMATION CONTACT: local party committees to pay salaries LO–360, AEIO–540, IO–540, O–540, and Norm Perenson, Aerospace Engineer, and wages for persons who spend 25 TIO–540 Series Reciprocating Engines New York Aircraft Certification Office, percent or less of their compensated FAA, Engine & Propeller Directorate, time in a month on Federal election AGENCY: Federal Aviation 1600 Stewart Avenue, Suite 410, activity or on activity in connection Administration (FAA), Department of Westbury, NY 11590; telephone (516) with a Federal election. The comment Transportation (DOT). 228–7337; fax (516) 794–5531.
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SUPPLEMENTARY INFORMATION: the cause of the crankshaft failures figures, we estimate the total cost of the found that the failures result from proposed AD to U.S. operators to be Comments Invited subsurface metallurgical flaws. Lack of $18,594,724. Lycoming Engines We invite you to send us any written crankshaft process control caused the informed us that they intend to supply relevant data, views, or arguments subsurface metallurgical flaws. While the new parts at no charge, which regarding this proposal. Send your this proposed AD would affect different would substantially reduce the comments to an address listed under crankshafts than those affected by AD estimated cost of this proposed AD. ADDRESSES. Include ‘‘Docket No. FAA– 2002–19–03, the crankshafts have the Authority for This Rulemaking 2005–21864; Directorate Identifier– same possible unsafe condition. This 2005–NE–29–AD’’ in the subject line of proposed AD results from 12 reports of Title 49 of the United States Code your comments. We specifically invite crankshaft failures on engines rated at specifies the FAA’s authority to issue comments on the overall regulatory, 300 HP or lower. This proposed AD rules on aviation safety. Subtitle I, economic, environmental, and energy would require replacing certain Section 106, describes the authority of aspects of the proposed AD. We will crankshafts installed in engines the FAA Administrator. Subtitle VII, consider all comments received by the manufactured new or rebuilt, Aviation Programs, describes in more closing date and may amend the overhauled, or that had a crankshaft detail the scope of the Agency’s proposed AD in light of those replaced after March 1, 1999. This authority. comments. condition, if not corrected, could result We are issuing this rulemaking under We will post all comments we in crankshaft failure, which could result the authority described in Subtitle VII, receive, without change, to http:// in total engine power loss, in-flight Part A, Subpart III, Section 44701, dms.dot.gov, including any personal engine failure, and possible loss of the ‘‘General requirements.’’ Under that information you provide. We will also aircraft. section, Congress charges the FAA with post a report summarizing each promoting safe flight of civil aircraft in substantive verbal contact with FAA Relevant Service Information air commerce by prescribing regulations personnel concerning this proposed AD. We have reviewed and approved the for practices, methods, and procedures Using the search function of the Docket technical contents of Lycoming the Administrator finds necessary for Management System (DMS) Web site, Mandatory Service Bulletin (MSB) No. safety in air commerce. This regulation anyone can find and read the comments 566, dated July 11, 2005, that describes is within the scope of that authority in any of our dockets, including the procedures for replacing crankshafts because it addresses an unsafe condition name of the individual who sent the listed by serial number in that MSB. that is likely to exist or develop on comment (or signed the comment on products identified in this rulemaking FAA’s Determination and Requirements behalf of an association, business, labor action. union, etc.). You may review the DOT’s of the Proposed AD complete Privacy Act Statement in the We have evaluated all pertinent Regulatory Findings Federal Register published on April 11, information and identified an unsafe We have determined that this 2000 (65 FR 19477–78) or you may visit condition that is likely to exist or proposed AD would not have federalism http://dms.dot.gov. develop on other products of this same implications under Executive Order Examining the AD Docket type design. We are proposing this AD, 13132. This proposed AD would not which would require replacing certain have a substantial direct effect on the You may examine the docket that crankshafts within 50 hours time-in- States, on the relationship between the contains the proposal, any comments service or 6 months after the effective national Government and the States, or received and, any final disposition in date of the proposed AD, whichever is on the distribution of power and person at the Docket Management earlier. The proposed AD would require responsibilities among the various Facility Docket Offices between 9 a.m. you to use the service information levels of government. and 5 p.m., Monday through Friday, described previously to perform these For the reasons discussed above, I except Federal holidays. The Docket actions. certify that the proposed regulation: Office (telephone (800) 647–5227) is 1. Is not a ‘‘significant regulatory located on the plaza level of the Costs of Compliance action’’ under Executive Order 12866; Department of Transportation Nassif We estimate that this proposed AD 2. Is not a ‘‘significant rule’’ under the Building at the street address stated in would affect 1,128 engines installed on DOT Regulatory Policies and Procedures ADDRESSES. Comments will be available aircraft of U.S. registry. We estimate that (44 FR 11034, February 26, 1979); and in the AD docket shortly after the it would take the following work hours 3. Would not have a significant Docket Management Facility receives to perform the inspection: economic impact, positive or negative, them. on a substantial number of small entities Work- Number Discussion under the criteria of the Regulatory Type of application hours of Flexibility Act. On September 16, 2002, we issued AD per engines engine affected We prepared a regulatory evaluation 2002–19–03, Amendment 39–12883 (67 of the estimated costs to comply with FR 59139) applicable to Textron Helicopter ...... 12 200 this proposed AD. See the ADDRESSES Lycoming LTIO–540 and TIO–540 series Constant-Speed Pro- section for a location to examine the engines, rated at 300 HP or higher. That peller ...... 3 557 regulatory evaluation. AD requires replacing certain Fixed-Pitch Propeller .... 1.5 371 crankshafts manufactured using a List of Subjects in 14 CFR Part 39 hammer-forged process with crankshafts We also estimate that it would take Air transportation, Aircraft, Aviation manufactured using a press-forged about 33 work hours to replace the safety, Safety. process. AD 2002–19–03 resulted from crankshaft. We estimate the average reports of 18 crankshaft failures in labor rate is $65 per work hour and that The Proposed Amendment LTIO–540 and TIO–540 engines, rated at required parts for each engine would Under the authority delegated to me 300 HP or higher. Our investigation into cost about $16,218. Based on these by the Administrator, the Federal
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Aviation Administration proposes to § 39.13 [Amended] Affected ADs amend 14 CFR part 39 as follows: 2. The FAA amends § 39.13 by adding (b) None. the following new airworthiness PART 39—AIRWORTHINESS Applicability directive: DIRECTIVES (c) This AD applies to Lycoming Engines Lycoming Engines: Docket No. FAA–2005– (Formerly Textron Lycoming) AEIO–360, IO– 1. The authority citation for part 39 21864; Directorate Identifier 2005–NE– 360, O–360, LIO–360, LO–360, AEIO–540, 29–AD. IO–540, O–540, and TIO–540 series continues to read as follows: reciprocating engines, rated at 300 Comments Due Date Authority: 49 U.S.C. 106(g), 40113, 44701. horsepower or lower, manufactured new or (a) The Federal Aviation Administration rebuilt, overhauled, or that had a crankshaft (FAA) must receive comments on this installed after March 1, 1999. These engines airworthiness directive (AD) action by are installed on, but not limited to, the August 22, 2005. following aircraft:
Engine model Manufacturer Aircraft model
IO–540–V4A5 ...... A.M.F...... 17–D Mushshak. Aero Commander ...... 500 B, S, U/Merlyn Products Conv. IO–540–E1A5 ...... Aero Commander ...... 500–E. Aerofab ...... LA 250 Renegade. Aeronautica ...... Agricola Mexicana Quail. IO–540–K1F5 ...... Aerostar ...... 600. Aircraft Manufacturing Factory ...... Mushshak. O–540–E4A5 ...... Aviamilano ...... F–250 Flamingo. IO–540–C4B5 ...... Avions ...... Pierre Robin HR–100/250. LO–360–A1G6D ...... Beech ...... 76 Duchess. O–360–A1G6D ...... 76 Duchess. C–24R Sierra or 200 Sierra. Bellanca ...... Aircraft Aries T–250. O–540–E4B5 ...... Britten Norman ...... BN–2 Islander. O–540–E4C5 ...... BN–2A & BN–2B Islander. IO–540–K1B5 ...... BN–2A Islander. Celair ...... Eagle. O–360–A1F6 ...... Cessna ...... 177 Cardinal. O–360–A1F6D ...... 177 Cardinal. O–540–J3C5D ...... 182–RG Skylane. IO–540–AB1A5 ...... 182–S. O–360–F1A6 ...... C–172RG Cutlass RG. IO–540–AC1A5 ...... C–206 Stationair. R–G Cardinal. IO–360–A1B6D ...... R–G Cardinal. TIO–540–AK1A ...... T182T Skylane. O–540–L3C5D ...... TR–182 Turbo Skylane. AEIO–540–D4A5 ...... Christen Pitts ...... S–2S, S–2B. IO–540–T4B5D ...... Commander ...... 114. IO–540–T4B5 ...... 114B. TIO–540–AG1A ...... 114TC. Dornier ...... DO–28. IO–540–K1J5D ...... Embraer ...... EMB–201 Ipanema. O–540–B4B5 ...... EMB–710 Corioca. EMB–720 Minuano. EMB–720 Minuano & EMB–721 Sertanejo. EMB–721 Sertanejo. AEIO–540–L1B5 ...... Extra-Flugzeugbau ...... Extra 300. F.F.A ...... FFA–2000 Eurotrainer. H.A.L ...... HPT–32. O–540–A1A5 ...... Helio Military ...... H–250. AEIO–360–A1E6 ...... Integrated Systems ...... Omega. IO–540–M1C5 ...... King Engineering ...... Angel. Korean Air ...... Chang Gong–91. Lake ...... LA–4–200 Buccaneer. O–540–J3A5 Maule. MT–7–260 & M–7–260. MX–7–235 Star Rocket. IO–540–W1A5 ...... MX–7–235, MT–7–235 & M7–235. Mod Works ...... Trophy 212 Conversion. IO–360–A3B6 ...... Mooney ...... 201. M–201. IO–360–A1B6 ...... M–20–J. IO–360–A3B6D ...... M20J–201. TIO–540–AF1B ...... M20M TLS Bravo. Moravan ...... Z143L Zlin. Z242L Zlin. Partenavia ...... P–68 Series Observer. IO–540–K1J5 ...... Piper ...... 600–A Aerostar.
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Engine model Manufacturer Aircraft model
IO–540–S1A5 ...... 601–A, 601B & 601P Aerostar. IO–540–AA1A5 ...... 602P Sequoia. O–540–A1B5 ...... PA–23–235 Aztec & PA–24–250 Comanche. PA–23–250 Aztec. IO–540–J4A5 ...... PA–23–250 Aztec. IO–540–C1B5 ...... PA–23–250 Aztec & PA–24–250 Comanche. TIO–540–C1A ...... PA–23–250T Turbo Aztec. PA–24–150 Comanche. O–540–A1C5 ...... PA–24–250 Comanche. O–540–A1D5 ...... PA–24–250 Comanche. IO–540–D4A5 ...... PA–24–260 Comanche. PA–24–260 Comanche. O–540–B2C5 ...... PA–25–235 Pawnee. O–540–B2B5 ...... PA–28–235 Cherokee. PA–28–235 Cherokee. IO–360–C1C6 ...... PA–28R–201 Arrow. IO–540–M1A5 ...... PA–31–300 Navajo. PA–32–260 Cherokee 6. IO–540–K1G5 ...... PA–32–300 & PA–32–301 Saratoga. IO–540–K1A5 ...... PA–32–300 Cherokee 6. IO–540–K1A5D ...... PA–32–300 Cherokee 6. IO–540–K1G5D ...... PA–32–300R Lance. PA–32–301R Saratoga. IO–360–C1E6 ...... PA–34–200 Seneca I. IO–540–K1G5 ...... PA–36–300 Brave. O–360–A1H6 ...... PA–44–180. LO–360–A1H6 ...... PA–44–180 Seminole. IO–540–K1K5 ...... T–35 Pillan. Robin ...... R–3000/235. O–540–F1B5 ...... Robinson ...... R–44. Rockwell ...... 114. Ruschmeyer ...... MF–85. Saab ...... MFI–15 Safari or MFI–17 Supporter. Scottish Avia ...... Bulldog. Siai Marchetti ...... S–205. Siai Marchetti ...... S–208 & SF–260. Siai Marchetti ...... SF–260. Siai Marchetti ...... SF–260. Slingsby ...... Firefly T3A. Socata ...... R–235 Rallye Cuerrier. Rallye 235CA. IO–540–C4D5D ...... TB–20 Trinidad. TB–200. TIO–540–AB1AD ...... TB–21 & TB–21–TC Trinidad TC. IO–540–AB1A5 ...... Stoddard Hamilton ...... Glasair. IO–540–K1H5 ...... Stoddard Hamilton ...... Glasair III. IO–540–L1C5 ...... Swearingen Aircraft ...... SX–300. Transava ...... T–300 Skyfarmer. AEIO–360–A1B6 ...... Valmet ...... L–70 Vinka. Wassmer ...... WA4–21. Yoeman ...... Aviation YA–1.
Unsafe Condition crankshaft replaced, no further action is is not listed in Table 4 of Lycoming MSB No. (d) This AD results from 12 crankshaft required. 566, dated July 11, 2005. failures in Lycoming model 360 and 540 AEIO–540, IO–540, O–540, and TIO–540 AEIO–360, IO–360, O–360, LIO–360, and series engines rated at 300 HP or lower. We Series Engines Manufactured New or LO–360 Series Engines Manufactured New are issuing this AD to prevent failure of the Rebuilt, Overhauled, or That Had a or Rebuilt, Overhauled, or That Had a crankshaft, which could result in total engine Crankshaft Installed After March 1, 1999 Crankshaft Installed After March 1, 1999 power loss, in-flight engine failure, and possible loss of the airplane. (g) For AEIO–540, IO–540, O–540, and (h) For AEIO–360, IO–360, O–360, LIO– TIO–540 series engines manufactured new or 360, and LO–360 series engines Compliance rebuilt, overhauled, or that had a crankshaft manufactured new or rebuilt, overhauled, or (e) You are responsible for having the installed after March 1, 1999, do the that had a crankshaft installed after March 1, actions required by this AD performed within following: 1999, do the following: 50 hours time-in-service or 6 months after the (1) If Table 1 or Table 2 of Lycoming (1) If Table 3 of Lycoming MSB No. 566, effective date of this AD, whichever is earlier, Mandatory Service Bulletin (MSB) No. 566, dated July 11, 2005, lists your engine SN, use unless the actions have already been done. dated July 11, 2005, lists your engine serial Table 4 to verify the crankshaft SN. number (SN), use Table 4 to verify the (2) If Table 4 of Lycoming MSB No. 566, Engines Manufactured Before March 1, 1999 crankshaft SN. dated July 11, 2005, lists your crankshaft SN, (f) If Lycoming Engines manufactured new, (2) If Table 4 of Lycoming MSB No. 566, replace the crankshaft with a crankshaft that rebuilt, or overhauled your engine before dated July 11, 2005, lists your crankshaft SN, is not listed in Table 4 of Lycoming MSB No. March 1, 1999, and you haven’t had the replace the crankshaft with a crankshaft that 566, dated July 11, 2005.
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Prohibition Against Installing Certain addressed as follows: Copyright Office before they are even made available for Crankshafts General Counsel, Room LM–403, James sale to the public severely undercuts the (i) After the effective date of this AD, do Madison Memorial Building, 101 ability of copyright holders to receive not install any crankshaft that has a SN listed Independence Avenue, SE., Washington fair and adequate compensation for their in Table 4 of Lycoming MSB No. 566, dated DC. If sent by mail, an original and five works.’’ 151 Cong. Rec. S495 (daily ed. July 11, 2005, into any engine. copies of any comment should be Jan. 25, 2005). Senator Cornyn, a Alternative Methods of Compliance addressed to: Copyright GC/I&R, P.O. cosponsor, explained that the legislation (AMOCs) Box 70400, Southwest Station, ‘‘focuses on the most egregious form of (j) The Manager, New York Aircraft Washington, DC 20024–0400. copyright piracy plaguing the Certification Office, has the authority to Comments may not be delivered by entertainment industry today––the approve AMOCs for this AD if requested means of overnight delivery services piracy of film, movies, and other using the procedures found in 14 CFR 39.19. such as Federal Express, United Parcel copyrighted materials before copyright Related Information Service, etc., due to delays in processing owners have had the opportunity to receipt of such deliveries. market fully their products.’’ Id. at S498. (k) None. FOR FURTHER INFORMATION CONTACT: Copyright owners persuaded Congress Issued in Burlington, Massachusetts, on David O. Carson, General Counsel, or that the existing rules making copyright July 19, 2005. Charlotte Douglass, Principal Legal registration a prerequisite for suit for Jay J. Pardee, Advisor, P.O. Box 70400, Washington, infringement of United States works1 Manager, Engine and Propeller Directorate, DC 20024–0400, Telephone (202) 707– and a prerequisite for awards of Aircraft Certification Service. 8380. Telefax: (202) 707–8366. attorney’s fees and statutory damages [FR Doc. 05–14575 Filed 7–20–05; 11:52 am] SUPPLEMENTARY INFORMATION: are unduly burdensome on plaintiffs BILLING CODE 4910–13–P seeking relief against pre–release I. Background infringement in civil suits for copyright. This Notice of Proposed Rulemaking Because works intended for publication LIBRARY OF CONGRESS implements Section 104 of the Family usually are not registered until they are Entertainment and Copyright Act, in final form and are being disseminated Copyright Office enacted April 27, 2005. Among other to the public, most copyright owners’ things, this new law permits owners of usual registration practices make it 37 CFR Part 202 works in certain classes that have difficult to file suit and obtain full relief in cases of pre–release infringement. [Docket No. RM 2005–9] experienced a history of infringement prior to commercial distribution to Accordingly, representatives of record Preregistration of Certain Unpublished preregister a work prior to its companies and motion picture studios Copyright Claims publication during the period when the sought amendments to sections 411 and work is being prepared for commercial 412 of the Copyright Act that would AGENCY: Library of Congress, Copyright distribution. remove the registration requirement in Office. On April 27, 2005, President Bush cases of pre–release infringement. ACTION: Notice of Proposed Rulemaking signed the Family Entertainment and Rather than take such an action that Copyright Act (‘‘FECA’’). Pub. L. No. would weaken the incentive to register, SUMMARY: Pursuant to the Artists’ Rights 109–9, 119 Stat. 218. Title I of FECA is Congress chose instead to instruct the and Theft Prevention Act of 2005, the the Artists’ Rights and Theft Prevention Copyright Office to create a process Copyright Office is proposing Act of 2005, or ‘‘ART Act,’’ which which would permit copyright owners regulations for the preregistration of among other things addresses copyright of works that have not yet been unpublished works that are being infringement of works committed prior published and are being prepared for prepared for commercial distribution in to their authorized commercial commercial distribution to preregister classes of works that the Register of distribution, or pre–release those works. Copyrights determines have had a infringement. It includes, in section 103, Preregistration is not a substitute for history of pre–release infringement. new criminal penalties for certain acts registration, but is a preliminary step DATES: Comments are due no later than of pre–release infringement. Section 104 prior to a full registration that will take August 22, 2005. Reply comments are directs the Copyright Office to conduct place after the work has been published due no later than September 7, 2005. a rulemaking proceeding to establish a or infringed. ADDRESSES: If hand delivered by a procedure for preregistration of II. Statutory Provisions private party, an original and five copies unpublished works that are being of any comment should be brought to prepared for commercial distribution. The ART Act amends section 408 of Room LM–401 of the James Madison The regulations are to be in place not the Copyright Act to add a new Memorial Building between 8:30 a.m. later than 180 days after enactment of subparagraph (f), which directs the and 5 p.m. and the envelope should be the ART Act, i.e., by October 24, 2005. Register of Copyrights to allow addressed as follows: Office of the This notice proposes those regulations preregistration for any work that is in a General Counsel, U.S. Copyright Office, and seeks public comment prior to the class of works that the Register James Madison Memorial Building, announcement of final regulations. determines has had a history of Room LM–401, 101 Independence Sections 103 and 104 of the ART Act infringement prior to authorized Avenue, SE., Washington, DC 20559– were enacted in response to the commercial distribution. A person who 6000. If hand delivered by a commercial increasingly serious problem of pre– has preregistered a work is required courier, an original and five copies of release infringement. As Senator Hatch, under section 408 to follow through any comment must be delivered to the the sponsor of the legislation, stated with a registration of the work within 3 Congressional Courier Acceptance Site upon introducing the ART Act, 1 For the definition of ‘‘United States work,’’ see located at Second and D Streets, NE., ‘‘Obviously, the increasingly frequent 17 U.S.C. 101. United States works include, among Washington, DC, between 8:30 a.m. and situation of copyrighted works being others, works first published in the United States 4 p.m. The envelope should be distributed illegally via the Internet and unpublished works by United States authors.
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months after the work has first been a class of works that have already to distribute the work once it has been published. The ART Act also amends experienced more than a few instances finished? If that were all that was sections 411(a) and 412 to provide that of pre–release infringement. required, then arguably all works of in a copyright infringement lawsuit, A work submitted for preregistration authorship would qualify for preregistration will conditionally satisfy must fulfill three conditions: the work preregistration; presumably, it is a rare the registration requirements of sections must be unpublished; the work must be author who does not believe his or her 411(a) and 412, but only if the copyright in the process of being prepared for work is destined to reach its audience. owner follows through with a commercial distribution; and the work Yet, some reasonable limits must be registration either within three months must fall within a class of works placed on what is to be considered a after the first publication of the work or determined by the Register to have had ‘‘work being prepared for commercial one month after the copyright owner has a history of infringement prior to distribution,’’ lest virtually all works be learned of the infringement. Where a authorized commercial distribution. considered to fall within that category. preregistered work is not registered These conditions contain terms with Similarly, as is discussed below, it within the prescribed time period, a special meanings within the purview of seems unlikely that classes of works that court must dismiss an action for copyright law in general, and in one have a history of prerelease copyright infringement that occurred case, within the purview of this infringement would include works before or within the first two months preregistration regulation. whose authors have the subjective hope after first publication. See 17 U.S.C. A. Unpublished Status or intention to distribute, but for which 408(f), 411(a) and 412. However, the To be eligible for preregistration, a no arrangements to distribute have been legislative history explains: ‘‘By its work must be unpublished at the time made. express terms, the prohibition on of its submission to the Copyright Office. Otherwise, the work should be In determining what is meant, in the infringement suits contained in Section context of preregistration, by ‘‘a work 408(f)(4) does not apply to suits registered in published form and should be deposited with the Copyright Office being prepared for commercial concerning infringements commencing distribution,’’ the background to the later than 2 months after first for the Library of Congress. Publication in the copyright sense means ‘‘the enactment of section 104 of the ART Act publication of a copyrighted work that and the purposes of that section should had been preregistered with the distribution of copies or phonorecords be taken into account. As noted above, Copyright Office. Therefore, of a work to the public by sale or other section 104 was the result of requests by notwithstanding a failure to meet the transfer of ownership, or by rental, record companies and motion picture deadlines set forth in Section 408(f)(4) lease, or lending.’’ 17 U.S.C. 101. Others studios for relief, in the context of pre– (A) and (B), a copyright owner of a may not be so familiar with the section release infringement, from the preregistered work can register his or of the definition which reads ‘‘the provisions of sections 411 and 412 that her work under current law and bring offering to distribute copies or require copyright registration as a infringement actions for infringements phonorecords to a group of persons for prerequisite to suit and to certain occurring more than 2 months after first purposes of further distribution, public remedies for infringement. Their publication.’’ H. R. Rep. 109–33, pt. 1, performance or display constitutes at 5 (2005). publication.’’ Id. Consequently a work concern, and the concern of the can be published, for example, if it is in Congressional sponsors of the ART Act, III. Eligibility for Preregistration existence and has been offered to a was primarily with the relatively recent The legislative history offers some group of disc jockeys for purposes of phenomenon of infringement on the guidance on how the Register is to public air play. A work is also Internet, e.g., by means of peer–to–peer determine what classes of works are published if it has been delivered to a file–sharing networks, of sound eligible for preregistration. ‘‘Section 104 number of distributors for purposes of recordings and motion pictures prior to expressly requires the Register of theatrical exhibition. their official release to the public. One Copyrights to issue regulations to B. Work Prepared for Commercial of the most striking examples before establish a preregistration system for Distribution Congress related to the appearance on copyrighted works. Since works are The second condition for eligibility of the Internet, two weeks before its generally not formally registered until a work for preregistration is that a work theatrical premiere in 2003, of the they are in final form and ready for must be in the process of being prepared motion picture The Incredible Hulk. As distribution to the public, civil remedies for commercial distribution. Although the ranking Member of the House for the distribution of pre–release works section 103(a)(3) of the ART Act, Subcommittee on Courts, the Internet are lacking. This section will give the governing criminal copyright and Intellectual Property observed when Register flexibility to determine which infringement, provides a definition of the House Judiciary Committee classes of works are appropriate for ‘‘work being prepared for commercial favorably reported FECA, ‘‘Pirates will preregistration. The Committee believes distribution,’’ that definition applies always seek treasure, and where they that a class of works with only a few only to that particular subsection of the have truly found gold is in obtaining a instances of infringement prior to ART Act and presumably has no weight pre–released copy of a movie, sound authorized commercial distribution in determining what is a ‘‘work being recording or video game. In testimony does not meet the test of a ‘history of prepared for commercial distribution’’ on this issue almost two years ago, infringement’ but otherwise leaves the for purposes of preregistration. industry representatives testified that decision to the Register of Copyrights.’’ However, the legislative history offers two weeks before the motion picture H.R. Rep. No. 109–33, pt. 1, at 4. no other guidance. Certainly, to be The Hulk was to be released in theaters, Of primary importance, then, is the entitled to preregistration in preparation an incomplete work print version of the Register’s determination of the for civil enforcement, a copyright owner film had been illegally uploaded onto boundaries between classes of works must have taken some steps preparatory the Internet. In fact, reviews for The that are eligible for preregistration and to distribution to the public. The Hulk were available before its release in those that are not. Preregistration is question is, how extensive must those theaters. The harm to the market of a limited to unpublished works being steps have been? Is it sufficient that the copyrighted work exponentially prepared for commercial distribution in copyright owner has a subjective intent increases if the work is released before
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the editing or promotion for the product any particular time constitutes the work recordings almost always include is completed.’’ Prepared Statement of as of that time, and where the work has performances of musical works, we also the Honorable Howard L. Berman, H.R. been prepared in different versions, propose to include nondramatic musical Rep. No. 109–33, pt. 1, at 65. See also each version constitutes a separate works that are performed on sound Piracy Deterrence and Education Act of work.’’). recordings as a class eligible for 2003: Hearing Before the Subcommittee Second, a contract must have been preregistration. As the legislative history on Courts, the Internet, and Intellectual entered into for distribution of the work. notes, ‘‘a preregistration of a sound Property of the Committee on the For a sound recording, the contract recording does not by itself constitute Judiciary House of Representatives, would be with a record company. For a preregistration of the musical works 108th Cong. 61 (2003) (Statement of motion picture, the contract would be embodied in the sound recording.’’ H. R. Maren Christensen, then Vice President, with a motion picture studio. In the Rep. No. 109–33, at 5. We do not Intellectual Property Counsel, Universal absence of such a contractual propose that a preregistration of a sound Studios). relationship – or of some other objective recording would automatically In short, the problem identified by evidence that the work ultimately will constitute preregistration of any of the Congress when it enacted the be commercially distributed – the musical works on that recording. preregistration requirement was the determination of whether a work is truly However, as is the case with current phenomenon of infringement on the being prepared for commercial copyright registration practice, an Internet of works that are truly en route distribution would be subjective. applicant who is the copyright owner of to commercial distribution. Therefore, Moreover, it is reasonable to conclude both a sound recording and a musical in order to qualify for preregistration, that the signing of a recording contract work performed on that sound recording the creator of a work must have taken or a motion picture distribution may preregister both the sound some significant action to place the agreement will be the first step down recording and the musical work in a work in the stream of commerce. On the the road of commercial distribution. We single preregistration. other hand, we recognize that pre– elaborate on this requirement in our Although this notice of proposed release infringement may take place discussion of the next topic: the rulemaking does not propose any even before a work has been completed. determination of classes of works that additional classes of works, the Office Somebody who manages to get his or have had a history of pre–release 2 seeks comments on whether there are her hands on the dailies for one day’s infringement. additional classes of works that have a C. Classes of Works Determined to filming of the next ‘‘Harry Potter’’ film history of pre–release infringement. and who posts that footage on the Have Had A History of Pre–Release Proponents of a class of works should be Internet is engaging in a serious act of Infringement prepared to document more than ‘‘a few infringement of that film, even if the The ART Act requires the Register to instances’’ of pre–release infringement. filming of the motion picture is still in permit preregistration for works in those See H. R. Rep. No. 109–33, at 4. And progress. One who places Norah Jones’ classes of works that she determines although this notice proposes to include recording of a single cut from a have had a history of infringement prior motion pictures, sound recordings and forthcoming album can cause serious to authorized distribution. 17 U.S.C. musical works among the eligible harm, even while she is still in the 408(f)(2). This requires the Register to classes, the burden remains on recording studio completing the album. designate classes of works that she It seems reasonable to set the determines have had a history of pre– proponents of those three classes of threshold for works being prepared for release infringement. As noted above, works to make the case to the Office that commercial distribution not at the doing however, the legislative report confirms these classes of works have indeed of any particular act of distribution, that the Register does not have experienced a history of pre–release which would be too harsh a requirement discretion to permit preregistration for infringement. Proponents of any class to protect works destined for classes of works that have had only a should be prepared to demonstrate that commercial distribution that are in few instances of infringement in pre– there is a substantial history of pre– relatively early stages of preparation, release form. H. R. Rep. No. 109–33, at release infringement which is likely to but rather at some earlier stage. We can 4. continue, causing harm to copyright identify two requirements that appear to The Copyright Office was involved in owners that can be ameliorated by be reasonably calculated to meet the discussions with Congress leading up to permitting preregistration of such statutory requirement that the the passage of this legislation; it is works. preregistered work is truly being therefore aware of the cases made by The Office is also informed by its prepared for commercial distribution. record companies and motion picture experience making previous First, preparation of the work must have studios to Congress that pre–release determinations regarding classes of commenced. That means, at a infringement has been a serious problem works in carrying out its responsibilities minimum, that some portion of the in their industries. Pre–release under the Digital Millennium Copyright work has been fixed in a tangible infringement of motion pictures and Act (DMCA), Pub. L. No. 105–304, 112 medium of expression. See 17 U.S.C. sound recordings has also been reported Stat. 2860 (October 28, 1998). The 101 (definition of ‘‘created’’: ‘‘A work is in the press. See, e.g., ‘‘Suspect in DMCA added section 1201 to Title 17, ‘created’ when it is fixed in a copy or Movie Piracy Is Fugitive; Man Charged requiring the Register to recommend phonorecord for the first time; where a with Videotaping Films at Pre–Release ‘‘classes of works,’’ if any, that should work is prepared over a period of time, Screenings Flees Days before Trial,’’ Los be subject to exemption from one of the the portion of it that has been fixed at Angeles Times, Jan. 10, 2004, p. B3; DMCA’s anticircumvention provisions. ‘‘She’s Burning Up; Madonna Blasts In response to section 1201’s mandate, 1 ‘‘Dailies’’ (also known as ‘‘rushes’’) are ‘‘The Pirates Who Try to Steal ‘Life,’’’ the Register has been involved in first positive prints made from the negatives Newsday, Apr. 18, 2003, p. A14. We triennial rulemaking proceedings to photographed on the previous day. During filming, therefore propose to include motion determine any classes of works that the director and some actors may view these dailies as an indication of how the filming and the actors’ pictures and sound recordings among should be subject to an exemption from performances are progressing.’’ IMDb Film the classes of works eligible for the prohibition against circumventing Glossary, http://us.imdb.com/Glossary/D. preregistration. Because sound access control measures.
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Section 104 of the ART Act was motion picture or phonorecord for rules is our uncertainty as to how one drafted with section 1201’s ‘‘class of downloading prior to its official release, would determine whether a particular works’’ provision in mind, and there is no glory, cachet or profit in author or performer has a successful Congressional guidance on the meaning offering a work for which there is no track record. We seek comments on of the phrase ‘‘class of works’’ in section demand, and the existence of an whether our proposal is based on valid 1201 is instructive. In that context, the agreement to distribute a work is a assumptions. legislative history indicates an intent reliable indicator of such demand, as Comments are sought as to whether ‘‘that the ‘particular class of copyrighted well as being a reliable indicator that the proposed classes of works are work’ be a narrow and focused subset of the work is truly being prepared for underinclusive or overinclusive, the broad categories of works of commercial distribution. keeping in mind that the only works authorship than [sic] is identified in We also propose to narrow the eligible that are to be included are works being section 102 of the Copyright Act (17 classes of works further by reference to prepared for commercial distribution U.S.C. 102).’’ Report of the House the nature of the distribution and that the Register is to designate only Committee on Commerce on the Digital agreements. It appears that thus far, classes of works that have a history of Millennium Copyright Act of 1998, H.R. works that have been subject to pre– pre–release infringement. Proponents of Rep. No. 105–551, pt. 2, at 38 (1998). release infringement are works for broader or additional classes of works In the context of and in light of the which there is an anticipated demand. should back up their proposals with purpose of preregistration – which is to For motion pictures, that still means evidence that responds to those afford a remedy to copyright owners of that the work will be distributed for requirements. works which are likely to be subject to theatrical exhibition. The Office also The proposed classes are: pre–release infringement, we believe does not propose to include motion 1. Motion pictures subject to that the proposed classes of works – pictures for which the distribution theatrical distribution contracts with motion pictures, sound recordings and agreements provide only for ‘‘direct–to– established distributors of motion nondramatic musical works – can be video’’ or online distribution, since the pictures; . appropriately narrowed by focusing on Office has no reason to believe that 2. Sound recordings subject to the requirement that a distribution those motion pictures, which contracts for distribution of physical agreement be in place for the work that presumably are much less in demand phonorecords with established is being prepared for commercial than motion pictures that will be distributors of phonorecords;. distribution. To guard against the distributed theatrically, have had a 3. Nondramatic musical compositions possibility of fraud, we believe that it history of prerelease infringement. For performed in sound recordings subject would be prudent to include, as part of sound recordings, that still means that to contracts for distribution of physical that requirement, that the distributor be the work will be distributed in physical phonorecords with established an ‘‘established’’ distributor of motion phonorecords (e.g., CDs or DVDs). While distributors of phonorecords. pictures or phonorecords, as the case we recognize that online distribution is IV. Procedures for Preregistration may be. An ‘‘established’’ distributor is becoming increasingly significant, it has an entity that is actually in the business not yet supplanted physical distribution A. Overview of Preregistration of commercial distribution of the class as the principal means of disseminating Process of works and that has actually engaged motion pictures and sound recordings. Preregistration is meant for those who in commercial distribution of several Moreover, including works that are wish to preregister a claim in a work such works in the past year. Because distributed only online would probably which falls within a ‘‘class of works that nondramatic musical works are now be overinclusive: anybody can make his the Register determines has had a commercially exploited primarily in the or her work available for online history of infringement prior to form of prerecorded music, the distribution, even if there is no demand authorized commercial distribution.’’ 17 requirement for a nondramatic musical for the work. Because preregistration is U.S.C. 408(f)(2). As a general principle, work would be satisfied if there is in intended for works that have had a preregistration will be as streamlined a existence a distribution agreement to history of prerelease infringement, the process as possible. Persons wishing to distribute phonorecords of a sound Office believes that including works for preregister a copyright will be required recording that includes a performance of which the only distribution agreements to apply online, and the electronic the musical work. relate to online distribution would be application will require sufficient Such a requirement assists in vastly overinclusive. Of course, over information to reasonably identify the ensuring that works subject to time that may well change and require work for which preregistration is preregistration fall within classes in that the Office reexamine those sought, but no deposit materials will be which there has been a history of conclusions. We seek comments as to required and the application will not be infringement. We are not aware of any whether our assumptions are valid. examined except to ascertain that all the history or danger of pre–release In considering how to determine what necessary information has been infringement of works for which the classes of works should be included in provided. prospect of commercial distribution is the preregistration system, the Office Preregistration is not a substitute for so remote that no arrangements have has also weighed the possibility of registration. It is simply a means of been made for authorized distribution. requiring that such works be by authors preserving the ability to satisfy the The fact that in enacting the ART Act, or performers who have had some track requirements of sections 411(a) and 412 Congress was responding to concerns of record of success, or at least who have of the Copyright Act by advising the motion picture studios and record previously had their works released for Copyright Office prior to the publication companies about pre–release commercial distribution. While we have of a work that the work is being infringement of their works further chosen not to include such a prepared for commercial distribution, bolsters the conclusion that the focus of requirement in the proposed rules, we and following through with a preregistration should be on works for seek comment on whether such a registration shortly after publication or which distribution agreements already requirement is desirable and workable. infringement of the work. The fact that exist. To the community of Internet One reason we have chosen not to a work has been preregistered does not infringers who are eager to offer a include the requirement in the proposed mean that the Copyright Office
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necessarily will register the work when creating the new electronic Upon completion of the an application for registration is preregistration program, spread over a preregistration, the Office will issue an submitted. period of time. In determining the email notification of preregistration to A work that would not ultimately be appropriate fee that would meet those the claimant. Each e–mail will remind eligible for copyright registration should guidelines, a key element is an estimate the claimant that a timely basic not be submitted for preregistration. of how many preregistrations will be registration should be made as the However, unlike registration, which is received each year. While it is difficult follow–up to preregistration and that the prima facie evidence of the validity of to predict how many preregistrations application for basic registration should the copyright and of the facts stated in will be received, the Office believes a contain a reference to the preregistration the certificate, preregistration carries no reasonable estimate would be 300. If number to enable the Office’s such presumptions. For that reason, the that estimate is accurate, then in order preregistration and basic registration Office will not conduct the type of to recoup the costs of setting up the records for the particular work to be tied examination that is done with respect to system over a period of five years, it together through cross–entry of the two copyright registration, and a would be necessary to charge a fee of numbers. preregistration will not be subject to $250. However, the Office recognizes For further verification that a work cancellation. that $250 would be a very substantial has been preregistered, it will be To preserve the legal benefits of fee, and as a result it is proposed that possible to view the record for any preregistration, a preregistered work the preregistration fee initially be set at preregistered work on the Copyright must be registered within one month $100, with the understanding that the Office’s website and to print that after the copyright owner becomes fee will be reevaluated after several information. At this time, the Office aware of infringement but in no case months of experience once the Office does not anticipate sending a printed later than three months after first has a better idea of how many certificate or notification of publication. In this sense, preregistrations will occur. preregistration, but we solicit comments preregistration is a prelude to full The Office considered requiring on whether (and why) such a practice registration. prepayment of the registration fee as would be desirable. part of preregistration, in order to 8. No Cancellation or Correction of B. General Observations about Preregistrations Preregistration Procedure provide an additional inducement to follow through with a registration, but at Once entered in Copyright Office 1. Form PRE this time the logistical problems of records, a preregistration will not be The Copyright Office is creating a new requiring prepayment appear to cancelled. Thus, the Office will not form which is specifically designed to outweigh its benefits. The Office expunge its records, for example, of an elicit only basic information. The Form welcomes comment on establishing a applicant’s incorrect description of a PRE must be submitted electronically system in the future whereby the work or other error. An applicant who and will be available only in that form, applicant for preregistration acts promptly before issuance of on the Copyright Office’s website. simultaneously prepays the registration notification, however, may withdraw an 2. No Deposit Copy or Phonorecord Required fee in order to facilitate and further application for preregistration. Because preregistration is not a form encourage prompt registration. However, it is anticipated that of registration, but is simply an 4. Verification preregistrations will be processed indication of an intent to register a work The applicant must verify under shortly after they are submitted. Nor can once it has been completed and/or penalty of law that he or she is an a preregistration be corrected, published, there will be no deposit author, a claimant, or other party supplemented, or amended after requirement. However, the application authorized to submit the claim for the completion. Thus, for example, the form should contain a detailed copyright owner and that the statements Office will not accept a Form CA description of the work, keeping in made in the preregistration application (supplementary registration) to correct mind that the description becomes an are correct to the best of the applicant’s or supplement the information in a important part of the preregistration knowledge. preregistration record. An applicant public record and that it will not be 5. Numbering who wishes to correct the record must possible to cancel or expunge this All preregistrations will be numbered submit another application for record. The space limitation for the with the prefix ‘‘PRE’’ and will be preregistration containing the corrected description on Application Form PRE is numbered consecutively. Preregistration or omitted information. 2000 characters. The Office will not claims will not be issued according to 9. Preregistration as a Single Work pass judgement on the adequacy of the registration class, i.e., VA, PA, or TX. Just as a single registration may be description, but a court might well 6. Online Record. made for a number of self–contained conclude, based on a comparison of the All completed preregistrations will be works that are first published in a single finished work with the description in accessible through the Copyright unit of publication, see 37 C.F.R. the preregistration application, that the Office’s online database by title, author § 202.3(b)(3)(i)(A), preregistration may preregistration does not actually pertain and claimant. Therefore, a search for be made for all such works having the to the work that is alleged to have been preregistration records should enable same copyright claimant if they will be infringed. discovery of the registration record for first published in a single unit of 3. Preregistration Fee the same work. It is recognized that in publication. For example, if the same The preregistration fee will be set to some cases, for reasons such as changes party owns the copyright in both a recover costs to establish the new in ownership and other changes that sound recording and the musical system in the Copyright Office and take place during the creation of a work, compositions embodied in the sound provide the preregistration service. In the title, author and/or claimant named recording, both claims may be principle, the fee should cover the on the preregistration form may be preregistered on one Form PRE. actual cost to the Office of processing different from the actual title, author 10. Summary each preregistration, and the fees and claimant later identified in the To summarize, an applicant who collected for preregistration should registration record. owns an exclusive right in an collectively cover the start–up costs for 7. Notification of Preregistration. unpublished work being prepared for
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commercial distribution that falls 10. Date of anticipated commencement of phonorecords and that has actually within one of the Register’s determined commercial distribution of the work. engaged in commercial distribution of classes of works may preregister that 11. Certification under penalty of law. two or more phonorecords within the work in the name of the anticipated 12. Name of person submitting the past year. preregistration. claimant with the Copyright Office on or (4) A work is being prepared for after October 24, 2005, by completing List of Subjects in 37 CFR Part 202 commercial distribution if: (i) Preparation of the work has Application Form PRE online and Claims to copyright, Copyright, commenced and at least some portion of paying the prescribed fee online by Registration requirements. Deposit Account or Credit Card. the work has been fixed in a tangible Proposed Regulations medium of expression; and C. Preregistration Application Form – (ii) a contract has been entered into In consideration of the foregoing, the Electronic Only for the commercial distribution of the Copyright Office proposes to amend part work to the public. At this time, the Office anticipates 202 of 37 CFR, chapter II in the manner (5) A work eligible for preregistration that the application for preregistration set forth below: will require that the applicant provide is a work that is: the following information: PART 202—REGISTRATION OF (i) Unpublished; 1. Type of work being preregistered: CLAIMS TO COPYRIGHT (ii) Being prepared for commercial Motion picture subject to theatrical distribution; and distribution contract with an established 1. The authority citation for part 202 (iii) In a class of works that the distributor of motion pictures; is revised to read as follows: Register of Copyrights has determined Sound recording subject to contract for Authority: 17 U.S.C. 408(f), 702 has had a history of infringement prior distribution of physical phonorecords with to authorized commercial release. an established distributor of phonorecords; 2. The heading of Part 202 is revised (c) Preregistration. (1) General. A or to read as follows: work eligible for preregistration may be Nondramatic musical composition performed PART 202—PREREGISTRATION preregistered by submitting an in sound recording subject to contract for AND REGISTRATION OF CLAIMS TO application and fee to the Copyright distribution of physical phonorecords with COPYRIGHT an established distributor of phonorecords. Office pursuant to the requirements set 2. Title 3. A new § 202.16 is added to read as forth in this section. 3. Additional titles [optional] follows: (2)Works excluded. Works that are not 4. Author (i.e., the person who is anticipated § 202.16 Preregistration of Copyrights copyrightable subject matter under title to be given on the basic application as (a) General. This section prescribes 17 of the U.S. Code may not be author under the copyright law of the rules pertaining to the preregistration of preregistered in the Copyright Office. completed work when the basic, follow–up copyright claims in works eligible for (3) Application form. An application registration is made). preregistration under Section 408(f) of for preregistration is Electronic Form 5. Claimant (i.e., the person who is 17 U.S.C. PRE. The application must be submitted anticipated to be given on the basic (b) Definitions. For the purposes of electronically on the Copyright Office application as the owner of copyright in this section– the completed work when the basic, website at: [Address to be given in the follow–up registration is made). (1) A work is in a class of works that final rule]. 6. Claimant Address. the Register of Copyrights has (4) Preregistration as a single work. 7. Description of the work being claimed for determined has had a history of For the purpose of preregistration on a preregistration. (Instructions will indicate infringement prior to authorized single application and upon payment of that the description should be detailed and commercial release if it is one of the a single preregistration fee, all specific in order to identify the particular following: copyrightable elements that are work for which preregistration is sought. (i) A motion picture subject to a otherwise recognizable as self– The maximum length of the description theatrical distribution contract with an contained works, that are to be included will be 2000 characters – approximately established distributor of motion 330 words.) Examples: and first published in a single unit of A. A motion picture should generally be pictures; publication, and in which the copyright described in terms such as the subject (ii) A sound recording subject to a claimant is the same, shall be matter it treats or a plot summary or contract for distribution of physical considered a single work eligible for outline; the director, if known; major phonorecords with an established preregistration. actors appearing in the motion picture, if distributor of phonorecords; or (5) Fee. (i) Amount. The filing fee for known; the principal location of filming; (iii) A nondramatic musical preregistration is $100. and any other details which would assist composition performed in a sound (ii) Method of payment. (A) Copyright in identifying the particular motion recording subject to a contract for Office deposit account. The Copyright picture. distribution of physical phonorecords Office maintains a system of Deposit B. A sound recording should generally be described in terms such as the subject with an established distributor of Accounts for the convenience of those matter of the underlying work recorded; phonorecords; who frequently use its services and for the performer or performing group, if (2) An established distributor of those who file applications known; the genre of the work recorded, motion pictures is a person or entity electronically. The system allows an e.g., classical, hard rock, blues; the that is actually in the business of individual or firm to establish a Deposit principal recording location, if known; commercial distribution of motion Account in the Copyright Office and to titles of the musical compositions being pictures and that has actually engaged make advance deposits in that account. performed, if known, and any other in commercial distribution of two or Deposit Account holders can charge characteristics of the recording which more motion pictures within the past preregistration fees against the balance may help in identifying the particular recording. year. in their accounts instead of using credit 8. Date on which creation of the work (3) An established distributor of cards for each request of service. For commenced. phonorecords is a person or entity that information on Deposit Accounts, 9. Date of anticipated completion of the is actually in the business of please download a copy of Circular 5, work. commercial distribution of ‘‘How to Open and Maintain a Deposit
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Account in the Copyright Office,’’ or order to ascertain whether the September 1, 2005, from 10 a.m. to 3:30 write the Register of Copyrights, application describes a work that is in p.m in the Chicago, IL area. Copyright Office, Library of Congress, a class of works that the Register of ADDRESSES: The August 23, 2005 public Washington, D.C. 20559. Copyrights has determined has had a information session will be held at the (B) Credit cards, debit cards and history of infringement prior to Sheraton Crystal City Hotel, 1800 electronic funds transfer. The online authorized commercial release. Jefferson Davis Highway, Arlington, VA preregistration filing system will However, a work will not be 22202. provide options for payment by means preregistered unless an applicant has The September 1, 2005 public of credit or debit cards and by means of provided all of the information information session will be held at the electronic funds transfers. Applicants requested on the application and has Metcalf Federal Building, Room #331, will be redirected to the Department of certified that all of the information 77 West Jackson Boulevard, Chicago, IL Treasury’s Pay.gov website to make provided on the application is correct to 60604. Visitor information for the payments with credit or debit cards, or the best of the applicant’s knowledge. September 1, 2005 location may be directly from their bank accounts by (8) Notification of preregistration. found at http://www.epa.gov/region5/ means of ACH debit transactions. Upon completion of the preregistration, visitor/index.htm. (C) No refunds. The fee is not the Copyright Office will provide the FOR FURTHER INFORMATION CONTACT: refundable. claimant notification by email of the Nathanael Martin, Field and External (6) Description. No deposit of the preregistration. The preregistration Affairs Division (7506C), Office of work being preregistered should be record will also be available to the Pesticide Programs, Environmental submitted with an application for public on the Copyright Office website, Protection Agency, 1200 Pennsylvania preregistration. The preregistration www.copyright.gov. Ave., NW., Washington, DC 20460– applicant should submit a detailed (9) Effect of preregistration. 0001; telephone number: (703) 305– description, of not more than 2,000 Preregistration of a work offers certain 6475; fax number: (703) 305–5884; e- characters (approximately 330 words), advantages to a copyright owner mail address: of the work as part of the application. pursuant to 17 U.S.C. 411 and 412. [email protected]. The description should be based on However, preregistration of a work is information available at the time of the not prima facie evidence of the validity SUPPLEMENTARY INFORMATION: application sufficient to reasonably of the copyright or of the facts stated in I. General Information identify the work. The Copyright Office the application for preregistration or in will not review descriptions for the preregistration record. The fact that A. Does this Action Apply to Me? adequacy except in extreme cases, but a work has been preregistered does not in an action for infringement of a You may be potentially affected by create any presumption that the this action if you hold pesticide preregistered work, the court may Copyright Office will register the work evaluate the adequacy of the description registrations. Pesticide users or other upon submission of an application for persons interested in the regulation of to determine whether the preregistration registration. actually describes the work that is the sale, distribution or use of pesticides alleged to be infringed, taking into Dated: July 18, 2005 may also be interested in action. account the information available to the Marybeth Peters, Potentially affected entities may applicant at the time of preregistration. Register of Copyrights. include, but are not limited to: • For motion pictures such a description [FR Doc. 05–14516 Filed 7–21–05; 8:45 am] Producers of pesticide products should include the following BILLING CODE 1410–33–S (NAICS code 32532) information to the extent known at the • Producers of antifoulant paints time of filing: subject matter, a summary (NAICS code 32551) • or outline, the director, the primary ENVIRONMENTAL PROTECTION Producers of antimicrobial actors, the principal location of filming, AGENCY pesticides (NAICS code 32561) and any other information that would • Producers of nitrogen stabilizer assist in identifying the particular work 40 CFR Part 155 products (NAICS code 32531) being preregistered. For sound • Producers of wood preservatives recordings and for nondramatic musical [OPP–2004–0404; FRL–7727–9] (NAICS code 32519) This listing is not intended to be works, the identifying description Pesticides; Procedural Regulations for exhaustive, but rather provides a guide should include the following Registration Review; Notice of Public for readers regarding entities likely to be information to the extent known at the Meeting time of filing: the subject matter of the affected by this action. Other types of work or works recorded, the performer AGENCY: Environmental Protection entities not listed in this unit could also or performing group, the genre of the Agency (EPA). be affected. The North American work recorded (e.g., classical, pop, ACTION: Proposed rule. Industrial Classification System musical comedy, soft rock, heavy metal, (NAICS) codes have been provided to gospel, rap, hip–hop, blues, jazz), the SUMMARY: EPA is convening two public assist you and others in determining titles of the musical compositions being information sessions to explain the whether this action might apply to recorded, the principal recording provisions of its recently published certain entities. To determine whether location, and the composer(s) of the proposed rule establishing procedural you or your business may be affected by recorded musical compositions regulations for registration review in 40 this action, you should carefully embodied on the sound recording and CFR part 155, subpart C. These meetings examine the applicability provisions of any other information that would assist are open to the public. proposed § 155.40 of the regulatory text in identifying the particular work being DATES: The first public information in the Federal Register of July 13, 2005 preregistered. session will be held on August 23, 2005, (70 FR 40251) (FRL–7718–4). If you (7) Examination. The Copyright Office from 10 a.m. to 3:30 p.m in the have any questions regarding the will conduct only a limited examination Washington, DC area. The second public applicability of this action to a of applications for preregistration, in information session will be held on particular entity, consult the person
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listed under FOR FURTHER INFORMATION continues to satisfy the Federal OFFICE OF MANAGEMENT AND CONTACT. Insecticide, Fungicide, and Rodenticide BUDGET Act (FIFRA) standard for registration. B. How Can I Get Copies of this Office of Federal Procurement Policy Document and Other Related The registration review program will Information? replace the tolerance reassessment program and the reregistration program 48 CFR Part 9904 1. Docket. EPA has established an as the Agency’s means for official public docket for this action Cost Accounting Standards Board; systematically reviewing existing under docket identification (ID) number Accounting for the Costs of Employee OPP–2004–0404. The official public pesticides. Stock Ownership Plans (ESOPs) docket consists of the documents The purpose of these meetings is to Sponsored by Government specifically referenced in this action, engage members of the public in a Contractors any public comments received, and discussion of the proposed regulations AGENCY: Cost Accounting Standards other information related to this action. and the proposed registration review Board, Office of Federal Procurement Although a part of the official docket, program so that interested persons can Policy, OMB. the public docket does not include make constructive and timely comments ACTION: Notice of proposed rulemaking. Confidential Business Information (CBI) on the proposed rule. Staff from EPA’s or other information whose disclosure is Office of Pesticide Programs will SUMMARY: The Cost Accounting restricted by statute. The official public provide a general explanation of the Standards Board (CASB), Office of docket is the collection of materials that registration review procedures and Federal Procurement Policy, invites is available for public viewing at the discuss, among other things, the public comments on proposed Public Information and Records Agency’s goals and expectations for this amendments to the Cost Accounting Integrity Branch (PIRIB), Rm. 119, program, proposed scheduling Standards (CAS) 412, ‘‘Cost accounting Crystal Mall #2, 1801 S. Bell St., standard for composition and Arlington, VA. This docket facility is procedures, the proposed process for conducting a review, differences and measurement of pension cost,’’ and CAS open from 8:30 a.m. to 4 p.m., Monday 415, ‘‘Accounting for the cost of through Friday, excluding legal similarities between reregistration and registration review, and stakeholder and deferred compensation.’’ These holidays. The docket telephone number proposed amendments address issues public participation in the new is (703) 305–5805. concerning the recognition of the costs registration review process. EPA will 2. Electronic access. You may access of Employee Stock Ownership Plans this Federal Register document respond to questions that are raised (ESOPs) under Government cost-based electronically through the EPA Internet during the meeting. However, in order contracts and subcontracts. These under the ‘‘Federal Register’’ listings at for remarks to constitute official proposed amendments provide criteria http://www.epa.gov/fedrgstr/. comments on the proposed rule, for measuring the costs of ESOPs and An electronic version of the public comments must be submitted in writing their assignment to cost accounting docket is available through EPA’s to the docket, as explained in Unit I. of periods. The allocation of a contractor’s electronic public docket and comment this notice. assigned ESOP costs to contracts and system, EPA Dockets. You may use EPA subcontracts is addressed in other Dockets at http://www.epa.gov/edocket/ A 90–day comment period on the proposed procedural regulations will Standards. The proposed amendments to view public comments, access the also specify that accounting for the costs index listing of the contents of the end on October 11, 2005. Instructions for submitting comments to docket of ESOPs will be covered by the official public docket, and to access provisions of CAS 415, ‘‘Accounting for those documents in the public docket OPP–2004–0404 are provided in the Federal Register notice of July 13, 2005 the cost of deferred compensation’’ and that are available electronically. not by any other Standard. Although not all docket materials may (70 FR 40251). DATES: Comments must be in writing be available electronically, you may still Please notify the person listed under access any of the publicly available and must be received by September 20, FOR FURTHER INFORMATION CONTACT if 2005. docket materials through the docket you intend to attend one of these public facility identified in Unit I.B.1. Once in ADDRESSES: Due to delays in OMB’s information sessions. Your RSVP will receipt and processing of mail, the system, select ‘‘search,’’ then key in help us plan appropriately. However, the appropriate docket ID number. respondents are strongly encouraged to reservations are not required. submit comments electronically to II. Background List of Subjects in Part 155 ensure timely receipt. Electronic EPA is convening several public comments may be submitted to information sessions to explain the Environmental protection, [email protected]. Please put the full provisions of the proposed rule Administrative practice and procedure, body of your comments in the text of the establishing procedural regulations for Agricultural commodities, Pesticides electronic message and also as an registration review. The proposed and pests, Reporting and recordkeeping attachment readable in either MS Word procedural regulations were published requirements. or Corel WordPerfect. Please include your name, title, organization, postal in the Federal Register of July 13, 2005. Dated: July 19, 2005. You may access this document address, telephone number, and e-mail electronically through the EPA Internet James Jones, address in the text of the message. under the ‘‘Federal Register’’ listings at Director, Office of Pesticide Programs. Comments may also be submitted by fax http://www.epa.gov/fedrgstr/ or from the [FR Doc. 05–14602 Filed 7–20–05; 2:45 pm] to (202) 395–5105. Please cite CASB Agency’s E-docket at http:// BILLING CODE 6560–50–S Docket No. 00–03A in your comment. www.epa.gov/edocket/ OPP–2004–0404. FOR FURTHER INFORMATION CONTACT: Registration review is the periodic David Capitano, Cost Accounting review of a pesticide’s registration to Standards Board (telephone: 703–847– assure that each pesticide registration 7486).
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SUPPLEMENTARY INFORMATION: The Board would like to thank all the contributions does not impact the organizations and individuals who application of the proposed rule, i.e., A. Regulatory Process provided comments and information in the proposed rule does not differentiate, The CASB’s rules, regulations and response to the ANPRM. A summary of nor was it intended to differentiate, Standards are codified at 48 CFR the comments and the CAS Board between ‘‘C’’ and ‘‘S’’ corporations in Chapter 99. The Office of Federal responses are as follows: the measurement of ESOP costs in Procurement Policy Act, 41 U.S.C. accordance with CAS 9904.415–50(f)(1). 422(g)(1), requires the Board, prior to 1. Exemption of Small Businesses the establishment of any new or revised Comment: One commenter requests 3. Assignment of Costs Based on Award Cost Accounting Standard, to complete clarification of the statement in the of Shares a prescribed rulemaking process. The Supplementary Information section of Comment: Four commenters process generally consists of the the Federal Register Notice that states expressed concern regarding the following four steps: ‘‘Furthermore, this proposal does not proposed language at CAS 9904.415– 1. Consult with interested persons have a significant effect on a substantial 50(f)(2), which states ‘‘A contractor’s concerning the advantages, number of small entities because small contribution to an ESOP shall be disadvantages and improvements businesses are exempt from the assignable to the cost accounting period anticipated in the pricing and application of the Cost Accounting only to the extent that the number of administration of government contracts Standards.’’ This commenter notes that shares, cash, or any combination thereof as a result of the adoption of a proposed FAR 31.205–6(j)(8) includes a section resulting from the contribution are Standard (e.g., promulgation of a Staff entitled ‘‘Employee Stock Ownership awarded to individual employees in the Discussion Paper.) Plans.’’ The commenter asks that the accounting period.’’ 2. Promulgate an Advance Notice of CAS Board clarify the exemption status Three of the commenters assert that Proposed Rulemaking (ANPRM). of Small Businesses as mentioned in the many companies do not make final 3. Promulgate a Notice of Proposed proposed rule because it appears to decisions about the amount of their Rulemaking (NPRM). conflict with the FAR on selected costs contribution to ESOP’s until after the 4. Promulgate a Final Rule. (ESOPs) being subject to CAS. end of the fiscal year. Thus, the precise This NPRM is issued by the Board in CAS Board Response: There is no number of shares awarded to individual accordance with the requirements of 41 conflict between the Federal Register employees cannot be determined until U.S.C. 422(g)(1)(D), and is step three of Notice and the FAR. The statement in after the total contribution for an the four-step process. the Federal Register Notice refers to the accounting period is known. One of fact that small businesses are exempt B. Background—Prior Promulgations these commenters further asserts that, from the rules, regulations, and for non-publicly traded companies, the The FAR has dealt with issues standards promulgated by the CASB, amount of the shares to be awarded is associated with ESOPs since the late not the rules and regulations also not known until the annual stock 1970s. At first, the issues that arose promulgated under the FAR. Since evaluation is performed. The three were regarded as allowability matters, small businesses are exempt from the commenters suggest that the language be and the views of the CASB were sought requirements of the CAS, the clarified by adopting language similar to primarily on an advisory basis. requirements of FAR Part 31 are used to that in CAS 9904.412–50(d)(4), which However, after issuance of the decision determine how costs are measured, recognizes funding of pension costs in Ralph Parsons Co. (ASBCA Nos. assigned, and allocated for applicable ‘‘within a cost accounting period if it is 37391, 37946, and 37947, dated contracts with small businesses (i.e., accomplished by the corporate tax filing December 20, 1990), various contracts that are subject to FAR Part date for such period including any Government commenters suggested to 31). The application of FAR Part 31 to permissible extensions thereto.’’ One of the CASB that ESOP cost measurement contracts that are not covered by the these commenters suggests the and period assignment matters CAS, including the decision to measure, following specific language: warranted placement on the CASB’s assign, and/or allocate costs using one agenda. These suggestions were A contractor’s contribution to an ESOP or more of the CAS standards, is under shall be assignable to the cost accounting amplified in light of the decision in Ball the purview of the FAR Council. This period only to the extent that the number of Corporation (ASBCA No. 49118, dated NPRM does not exempt any such shares, cash, or any combination thereof April 3, 2000). contracts from the requirements of FAR resulting from the contribution are awarded The CASB first considered issuing an Part 31. to individual employees for the accounting interpretation of its existing standards, period using funds contributed to the plan but then decided that additional 2. Application to ‘‘C’’ versus ‘‘S’’ for that period by the tax filing date for that research was needed. As a result, on Corporations period, including any permissible extensions September 15, 2000, the CAS Board Comment: One commenter strongly thereof. issued a Staff Discussion Paper on this supports the statement at CAS Another commenter recommends that topic (65 FR 56008, dated September 15, 9904.415–50(f)(1) that a contractor’s the term ‘‘allocated’’ be substituted for 2000). The CASB received sixteen sets ESOP contribution may include interest the term ‘‘award’’ at CAS 9904.415– of public comments in response to the and dividends. This commenter states 50(f)(2). This commenter states that Staff Discussion Paper. The CASB that it reads this provision to apply to under qualified plan rules for defined reviewed and discussed these public ‘‘C’’ corporations and ‘‘S’’ corporations. contribution plans, all contributions comments. Upon completion of this The commenter recommends that the made to an ESOP must be allocated to review, an ANPRM was drafted and preamble to any further rule state that the accounts of plan participants. The published in the Federal Register on application. commenter asserts that even if a August 20, 2003 (68 FR 50111). CAS Board Response: The Board contractor makes an award of stock that recognizes that the tax treatment of does not use up all of a contribution, the C. Public Comments ESOP contributions may differ between remainder is still allocated to employee The Board received ten sets of public ‘‘C’’ corporations and ‘‘S’’ corporations. accounts as cash. The commenter comments in response to the ANPRM. However, the tax treatment of ESOP further states that, since the employer’s
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contribution is irrevocable, the entire if existing ESOPs are not covered by the uneven nature of contractor amount of the contribution should be new language. A fourth commenter also contributions between the early and assigned to the cost accounting period believes the proposed transition method later years of leveraged ESOPs.’’ in which the contribution is made. unnecessarily complicates ESOP CAS Board Response: The Board CAS Board Response: While current accounting and does not achieve the believes it is imperative that the subject tax laws may require that all uniformity and consistency in cost revision not infringe on existing contributions made to an ESOP must be accounting that is the CASB’s objective. advance agreements between the allocated to the accounts of plan The fourth and fifth commenters Government and the contractor. participants in the period of the assert that the transition method would However, the Board also believes the contribution, the ANPRM definition of create three classes of ESOPs, (1) those proposed rule should limit the an ESOP is broader than the tax law created after the effective date of the transition to only those instances in definition. In addition, tax laws often provision (to which the new rules which there is an existing advance change; thus, it is important that the would apply); (2) pre-existing ESOPs agreement between the contractor and Board consider the various possibilities with advance agreements, in which case the Government. The Board believes in promulgating this revision. the parties would have to comply with this would be consistent with the The Board believes the proposed rule the advance agreements; and (3) pre- historical application of revised or new should assure that amounts are not existing ESOPs without advance standards. The Board therefore has assigned to an accounting period unless agreements, which would remain deleted CAS 9904.415–64, and added a the stock has been both awarded to subject to the Cost Accounting new paragraph (d) to CAS 9904.415–63 employees and allocated to individual Standard(s) that were applicable to such that reads as follows: employee accounts by the tax filing date plans prior to the applicability date of (d) For contractors and subcontractors that (or any extension thereof) for that the new rule. accounting period. However, the Board have established advance agreements prior to The fourth commenter believes there the effective date of this amended Standard also believes the rule should recognize is significant uncertainty on whether regarding the recognition of the costs of that an ESOP contribution for work ESOPs are governed by CAS 412 or 415, existing ESOPs, the awarding agency and performed in a particular accounting which should not be perpetuated. This contractor shall comply with the provisions period may not be made until shortly commenter believes ‘‘more flexibility is of such advance agreement(s) for these after the end of the accounting period, required where ESOP costs are governed existing ESOPs. These advance agreements similar to the circumstances that by advance agreements, and that the may be modified, by mutual agreement, to sometimes arise for defined contribution parties should be free to adopt the new incorporate the requirements of this revised standard. pension plans. The language at CAS ESOP accounting provisions.’’ The 9904.415–50(f)(2) has therefore been commenter therefore proposes the 5. Definition of an ESOP revised accordingly. following transition provision in lieu of Comment: One commenter is 4. Transition Method the proposed language (this language concerned that the proposed definition was endorsed by a second commenter): Comment: One commenter states that of an ESOP is overly broad and ‘‘could the transition method is unnecessary ‘‘(a) For contractors and subcontracts that sweep within its reach other types of and inequitable. This commenter asserts were subject to Standard 9904.415 in effect defined contribution plans that should that ‘‘the proposed transition method is prior to the effective date of the final rule, the not be subject to the ESOP accounting requirements of this Standard, as amended, rules.’’ This commenter states that ‘‘the inconsistent with past CASB decisions,’’ shall apply to the costs of pre-existing ESOPs and would be the first time that and the costs of ESOPs that are established proposed definition is broader than the contractors would be required to follow after the effective date of this Standard. definitions used by the Internal Revenue a former cost accounting practice (even (b) For pre-existing ESOPs, the Service, ERISA, or GAAP.’’ The though it may be non-compliant with requirements of this Standard shall apply as commenter asserts that the definition existing Standards) until a cost no of the beginning of the contractor’s next full could include ‘‘thrift plans’’ or other longer exists. This commenter states fiscal year following the Standard’s effective 401(k) defined contribution plans such date. The parties may mutually agree to as the plan at issue in a recent case that perhaps an advance agreement apply the requirements of this Standard should not be disturbed, but application earlier if they so desire. decided by the U.S. Court of Federal of the transition method to any other (c) Where ESOP costs are subject to the Claims, Newport News Shipbuilding ‘‘arrangements’’ is vague, open-ended, terms of an advance agreement, the parties and Drydock Co. v. Unites States (2003 unnecessary, and inequitable. A second shall comply with the provisions of such U.S. Claims LEXIS 255, dated commenter asserts that the transition advance agreement, which may be modified September 10, 2003). This commenter method makes ‘‘no good sense and by mutual agreement to incorporate the recommends that the CASB align the would result in tremendous requirements of this Standard.’’ definition with established definitions inconsistencies in the treatment of A final commenter strongly endorses of the IRS, ERISA, or GAAP. ESOPs within the government the proposed transition provision. This Alternatively, the commenter contracting community.’’ commenter states that where a recommends that the CASB explain why A third commenter believes the contractor and the Government have a broader definition is necessary or proposed transition method would established advance agreements desirable. place contractors without advance regarding the recognition of ESOP costs, A second commenter believes the agreements in a difficult position. This contractors and the Government should definition of an ESOP, and in particular commenter states that they agree comply with the provision of such the term ‘‘designed to invest primarily completely that where the Government advance agreement(s) for existing in the stock of the contractor’s and contractor have reached an advance ESOPs. This commenter asserts that ‘‘to corporation’’ is too vague, could cause agreement, those agreements should do otherwise would disrupt a long-term confusion, and could ‘‘result in a continue to control. However, the accounting construct (both for the contractor’s deferred compensation plan commenter is concerned that many measurement and assignment of cost) in changing between CAS 412 and CAS small companies will continue to have mid-stream, thereby causing harm to 415 in any given costing period, their ESOP costs questioned every year one of the contracting parties due to the depending on the percentage of
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investment in contractor stock.’’ This Employee Stock Ownership Plan Congress or the Executive Branch commenter recommends that additional (ESOP) means (i) an employee benefit agencies choose to allow or disallow analysis concerning what additional plan that is described by the Employee interest costs associated with leveraged requirements, such as those of the Retirement Income Security Act of 1974 ESOP financing should be discussed Internal Revenue Service Code, should (ERISA) and the Internal Revenue Code and debated as a public policy matter be considered. In particular, the (IRC) of 1986 as a stock bonus plan, or separate and apart from the CASB’s role commenter recommends that the combination stock bonus and money in defining and measuring contract definition of an ESOP be revised to purchase pension plan, designed to costs. This commenter asserts that the include specific requirements similar to invest primarily in employer stock, and approach in the ANPRM seems to the Internal Revenue Service Code (ii) any other deferred compensation pretend that there is no interest being 4975(e)(7) definition and the additional plan designed to invest primarily in the paid to contractors. The commenter guidance provided in the Internal stock of the contractor’s corporation recommends that, at a minimum, the Revenue Service Manual. The including, but not limited to, plans CASB’s proposal be amended to require commenter states that, although they are covered by ERISA. segregation of the components of not proposing the Internal Revenue 6. Assignment Based on ‘‘Award’’ periodic ESOP expense, so that Service definition be used, the CASB repayments of loan principal can be Comment: One commenter questions should ‘‘look closer at the definition as distinguished from interest expense. the necessity to tie the assignment of proposed to ensure it includes the The commenter believes that the cost to the period in which the ESOP appropriate requirements.’’ This CASB’s only concern should be one of commenter also recommends that the trust (ESOT) makes an ‘‘award’’ to an individual employee. This commenter financial transparency and full definition include the requirement that disclosure, and not whether interest the plan ‘‘invests most or all of the asserts that the term ‘‘award’’ may have little relevance to the operation of expense on leveraged ESOPs should be assets in the stock of the contractor’s an allowable cost under cost-based corporation.’’ ESOPs. The commenter states that ‘‘IRC Government contracts. CAS Board Response: The definition rules require that the entire contribution in the ANPRM is very similar, but not to an ESOP, to the extent not used to CAS Board Response: The ANPRM identical, to the definition contained in service debt, be allocated to employee and the NPRM are intended to recognize AICPA Statement of Position (SOP) 93– accounts in accordance with a definite the resources used by the contractor to 6. The definition in SOP 93–6, which is formula.’’ The commenter further states fund the current year’s award to the current GAAP for ESOP accounting, that as a result of these requirements, employees, whether those shares are reads as follows: there would be no excess to assign to purchased by the ESOP in the year of ESOP means an employee benefit plan that future years. award or made available for allocation is described by the Employee Retirement CAS Board Response: The Board by repayment of ESOP debt. In Income Security Act of 1974 (ERISA) and the believes it is important to tie the proposing this rule, the Board believes Internal Revenue Code (IRC) of 1986 as a assignment of the cost for a period to the that it is providing for the measurement stock bonus plan, or combination stock award of the shares to employees and of ESOP costs in a manner that reflects bonus and money purchase pension plan, the allocation of the shares to individual the CAS objective of consistency in cost designed to invest primarily in employer employee accounts. This provides stock. accounting practices. With this objective consistency in the assignment of costs to in mind, the Board believes the There is a key difference between the the period and the subsequent proposed rule best measures ESOP GAAP definition and the definition in allocation of those costs to final cost contributions for contract costing the ANPRM. The GAAP definition refers objectives. purposes. to plans described under ERISA and the 7. ESOP Contributions IRC. However, the ERISA and IRC The proposal does not affect the include only definitions of plans for Comment: One commenter states that allowability of interest or other cost purposes of tax deductibility. The Board the ANPRM will permit contractors that components of an ESOP and is not is concerned that two plans with sponsor leveraged ESOPs to treat the intended to ‘‘mask’’ the true nature of identical contribution requirements entirety of the ESOP contribution as a ESOP financing. Whether interest or would have different cost accounting form of employee compensation under other cost components associated with treatment solely because of differences CAS 9904.415, thereby masking the true financing a leveraged ESOP are in tax deductibility. To exclude one or nature of the underlying transaction. allowable costs is determined under the other of these two plans from the This commenter states that the ANPRM FAR Part 31. The proposed rule does revised coverage would likely will permit contractors to treat the not, in any manner, preclude the FAR perpetuate the uncertain treatment of entire contribution paid to the ESOT, Council from drafting rules that the excluded plan under the existing including principal payments and explicitly allow or disallow interest or rules. Therefore, the Board does not interest expenses incurred to finance a any other cost component associated believe that the definition of an ESOP, leveraged ESOP, as deferred with an ESOP. Should the FAR Council for purposes of applying CAS 415, compensation. The commenter believes decide to explicitly disallow interest or should be limited to the GAAP that interest expense incurred to finance any other cost component associated definition. However, the Board leveraged ESOPs should be reflected as with an ESOP, CAS 405 already requires recognizes that the definition in the such under Government cost accounting that such costs be segregated in the ANPRM should be revised to clearly rules. The commenter believes that if contractor’s accounting records. In include all plans that meet the GAAP the CASB adopts a rule requiring the addition, CAS 405 also requires that definition, as well as any other plans separate accounting for interest expense such costs be identified and excluded that are designed to invest primarily in for leveraged ESOPs, current from any billing, claim, or proposal the stock of the contractor. Therefore, Government cost allowability rules applicable to a Government contract. the Board has revised the definition at (FAR 31.205–20) would probably Therefore, the Board does not believe it CAS 9904.415–30(a)(3) to read as require these costs to be disallowed. The is necessary to add a separate follows: commenter also believes that whether requirement in CAS 415.
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8. Editorial Changes 9904.412–20 Purpose. stock of the contractor’s corporation Comment: One commenter suggested (a) The purpose of this Standard including, but not limited to, plans several editorial changes for clarity, 9904.412 is to provide guidance for covered by ERISA. including minor revisions to CAS determining and measuring the (3) Fair value means the amount that 9904.412–20(b), 9904.415–30(a)(4), components of pension cost. The a seller would reasonably expect to 9904.415–50(f)(1), and 9904.415–60. Standard establishes the basis on which receive in a current arm’s length CAS Board Response: The Board pension costs shall be assigned to cost transaction between a willing buyer and agrees with the recommended editorial accounting periods. The provisions of a willing seller, other than a forced or changes and has incorporated them in this Cost Accounting Standard should liquidation sale. the NPRM. enhance uniformity and consistency in (b) The following modifications of accounting for pension costs and terms defined elsewhere in this Chapter D. Paperwork Reduction Act thereby increase the probability that 99 are applicable to this Standard: The Paperwork Reduction Act, Public those costs are properly allocated to cost (1) Market value means the current or Law 96–511, does not apply to this objectives. prevailing price of a stock or other proposal, because these amendments (b) This Standard does not cover the property as indicated by market impose no paperwork burden on cost of Employee Stock Ownership quotations. offerors, affected contractors and Plans (ESOPs) that meet the definition (2) [Reserved]. subcontractors, or members of the of a pension plan. Such plans are 5. Section 9904.415–40 is revised to public which requires the approval of considered a form of deferred read as follows: OMB under 44 U.S.C. 3501, et seq. compensation and are covered under 9904.415. 9904.415–40 Fundamental requirement. E. Executive Order 12866 and the 3. Section 9904.415–20 is revised to (a) The cost of deferred compensation Regulatory Flexibility Act read as follows: shall be assigned to the cost accounting period in which the contractor incurs an The transition provision incorporated 9904.415–20 Purpose. obligation to compensate the employee. into this proposal ensures that (a) The purpose of this Standard In the event no obligation is incurred arrangements for determining costs for 9904.415 is to provide criteria for the prior to payment, the cost of deferred existing ESOPs are not changed. Thus, measurement of the cost of deferred compensation shall be the amount paid the economic impact of these compensation and the assignment of and shall be assigned to the cost amendments, if any, on contractors is such cost to cost accounting periods. accounting period in which the expected to be minor. As a result, this The application of these criteria should payment is made. rule is not ‘‘significant’’ under E.O. increase the probability that the cost of (b) Measurement of deferred 12866. Furthermore, this proposal does deferred compensation is allocated to compensation costs. not have a significant effect on a cost objectives in a uniform and (1) For deferred compensation other substantial number of small entities consistent manner. than ESOPs, the deferred compensation because small businesses are exempt (b) This Standard is applicable to the cost shall be the present value of the from the application of the Cost cost of all deferred compensation except future benefits to be paid by the Accounting Standards. Therefore, this the following which are covered in contractor. rule does not require a regulatory other Cost Accounting Standards: (2) For an ESOP, the deferred flexibility analysis in accordance with (1) The cost for compensated personal compensation cost shall be the amount the Regulatory Flexibility Act of 1980. absence, and contributed to the ESOP by the (2) The cost for pension plans that do F. Additional Public Comments contractor. not meet the definition of an Employee (c) The cost of each award of deferred Interested persons are invited to Stock Ownership Plan (ESOP). compensation shall be considered participate by submitting data, views, or 4. Section 9904.415–30 is amended by separately for purposes of measurement arguments with respect to this NPRM. revising paragraph (a) introductory text, and assignment of such costs to cost All comments must be in writing and adding paragraphs (a) (2) and (3), and accounting periods. However, if the cost submitted in accordance with the revising paragraph (b) to read as follows: of deferred compensation for the instructions indicated in the ADDRESSES employees covered by a deferred section. 9904.415–30 Definitions. (a) The following are definitions of compensation plan can be measured List of Subjects in 48 CFR Part 9904 terms which are prominent in this and assigned with reasonable accuracy Accounting, Government Standard 9904.415. Other terms defined on a group basis, separate computations procurement. elsewhere in this Chapter 99 shall have for each employee are not required. the meanings ascribed to them in those 6. Section 9904.415–50 is amended by David H. Safavian, definitions unless paragraph (b) of this revising paragraph (d) introductory text Chair, Cost Accounting Standards Board. section requires otherwise. and (e) introductory text and adding Accordingly, for the reasons set forth (1) * * * paragraph (f) to read as follows: in the preamble, it is proposed to amend (2) Employee Stock Ownership Plan 9904.415–50 Techniques for application. Part 9904 as follows: (ESOP) means: (i) An employee benefit plan that is * * * * * PART 9904—COST ACCOUNTING described by the Employee Retirement (d) The following provisions are STANDARDS Income Security Act of 1974 (ERISA) applicable for plans, other than ESOPs, and the Internal Revenue Code (IRC) of that meet the conditions of 9904.415– 1. The authority citation for part 9904 50(a) and the compensation is to be paid continues to read as follows: 1986 as a stock bonus plan, or combination stock bonus and money in money. Authority: Pub. L. 100–679, 102 Stat 4056, purchase pension plan, designed to * * * * * 41 U.S.C. 422. invest primarily in employer stock, and (e) The following provisions are 2. Section 9904.412–20 is revised to (ii) Any other deferred compensation applicable for plans, other than ESOPs, read as follows: plan designed to invest primarily in the that meet the conditions of 9904.415–
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50(a) and the compensation is received market value of the contractor’s stock the deferred compensation obligation by the employee in other than money. when awarded to the employees, for 2008. The total deferred The measurements set forth in this whether higher or lower than the $10.00 compensation assignable to 2008 is paragraph constitute the present value per share market value when the $600,000, the cost of the 12,000 shares of future benefits for awards made in contractor’s contribution was made to awarded to employees and allocated to other than money and, therefore, shall the ESOP, is irrelevant to the individual employee accounts for 2008. be deemed to be a reasonable measure measurement of the contractor’s ESOP The cost of the award is comprised of of the amount of the future payment: costs. the contractor’s contribution for the (g) Contractor G has a leveraged * * * * * current cost accounting period (10,000 ESOP. Under the contractor’s plan, (f)(1) For an ESOP, the contractor’s shares at $500,000) and the 2007 cost shall be measured by the employees are awarded 10,000 shares of stock for the year ended December 31, contribution carryover (2,000 shares at contractor’s contribution, including $100,000). interest and dividends if applicable, to 2007. On February 15, 2008, the the ESOP. The measurement of contractor contributes $780,000 in cash (i) Contractor I has a leveraged ESOP. contributions made in the form of stock to the ESOP trust (ESOT) to satisfy the Under the contractor’s plan, employees of the corporation or property, shall be principal and interest payment on the are awarded 10,000 shares for FY 2007, based on the market value of the stock ESOT loan for FY 2007, resulting in the which ended December 31, 2007. On or property at the time the contributions bank releasing 9,000 shares of stock, and February 10, 2008, Contractor I are made. If the market value is not 1,000 shares of stock valued at $60,000 contributes $700,000 in cash to satisfy available, then fair value of the stock or to the ESOT, representing the balance of the principal and interest payment for property shall be used. the 10,000 shares. On February 22, the ESOP loan for FY 2007. This (2) A contractor’s contribution to an 2008, the ESOP allocates 10,000 shares contribution results in the bank ESOP shall be assignable to a cost to the individual employee accounts. releasing 10,000 shares of stock. On The total measured and assigned accounting period only to the extent March 1, 2008, the ESOP allocates the deferred compensation cost for FY 2007 that the stock, cash, or any combination 10,000 shares to individual employee is $840,000—the contractor’s total thereof resulting from the contribution accounts satisfying the 2007 obligation. is awarded to employees and allocated contribution required to satisfy the The 10,000 shares of stock must be to individual employee accounts by the deferred compensation obligation tax filing date for that period, including totaling 10,000 shares. assigned to FY 2007 (these shares any permissible extensions thereof. All (h)(1) Contractor H has a leveraged cannot be assigned to 2008). stock or cash that is allocated to the ESOP. Under the contractor’s plan, 8. Section 9904.415–63 is revised to individual employee accounts between employees are awarded 8,000 shares of read as follows: the end of the cost accounting period stock for the year ended December 31, and the tax filing date for that period 2007. On January 31, 2008, the 9904.415–63 Effective date. must be assigned to the cost accounting contractor contributes $500,000 in cash (a) This Standard 9904.415 is effective to the ESOT to satisfy the principal and period in which the employee is as of [effective date of final rule]. awarded the stock or cash. Any portion interest payment on the ESOT loan for of the stock or cash resulting from a 2007, resulting in the bank releasing (b) This Standard shall be followed by contractor’s contribution that is not 10,000 shares of stock. On February 10, each contractor on or after the start of awarded to employees or allocated to 2008, 8,000 shares are allocated to its next cost accounting period individual employee accounts by the tax individual employee accounts, beginning after the receipt of a contract filing date for that period, including any satisfying the deferred compensation or subcontract to which this Standard is permissible extensions thereof, shall be obligation for 2007. The total measured applicable. assigned to a future cost accounting deferred compensation cost for 2007 is (c) Contractors with prior CAS- period or periods when the remaining $500,000—the contractor’s contribution covered contracts with full coverage for the cost accounting period. However, portion of stock or cash has been shall continue to follow Standard the total assignable deferred awarded to employees and allocated to 9904.415 in effect prior to [effective date compensation cost for 2007 is individual employee accounts. This of final rule] until this Standard, stock shall retain the value established $400,000—the portion of the contribution that satisfies the 2007 effective [effective date of final rule], when it was originally purchased by or becomes applicable following receipt of otherwise made available to the ESOP. deferred compensation obligation of 7. Section 9904.415–60 is amended by 8,000 shares [(8,000 shares / 10,000 a contract or subcontract to which this adding paragraphs (f), (g), (h) and (i) to shares) × $500,000 = $400,000]. The revised Standard applies. read as follows: remaining $100,000 of the contribution (d) For contractors and subcontractors made in 2007 is assignable to future that have established advance 9904.415–60 Illustrations. periods in which the remaining 2,000 agreements prior to [the effective date of * * * * * shares of stock are awarded to the final rule] regarding the recognition (f) Contractor F has a non-leveraged employees and allocated to individual of the costs of existing ESOPs, the ESOP. Under the contractor’s plan, employee accounts. awarding agency and contractor shall employees are awarded 5,000 shares of (2) At December 31, 2008, the comply with the provisions of such stock for the year ended December 31, employees are awarded 12,000 shares of advance agreement(s) for these existing 2007. On February 5, 2008, when the stock. On January 31, 2009, Contractor shares have a market value of $10.00 H contributes $500,000 in cash to the ESOPs. These advance agreements may each, the 5,000 shares are contributed to ESOT to satisfy the principal and be modified, by mutual agreement, to the ESOP and allocated to the interest payment on the ESOT loan for incorporate the requirements effective individual employee accounts. The total 2008, resulting in the bank releasing on [the effective date of the final rule]. measured and assigned deferred 10,000 shares of stock. On February 10, [FR Doc. 05–13951 Filed 7–21–05; 8:45 am] compensation cost for FY 2007 is 2009, 12,000 shares are allocated to BILLING CODE 3110–01–P $50,000 (5,000 × $10 = $50,000). The individual employee accounts satisfying
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Notices Federal Register Vol. 70, No. 140
Friday, July 22, 2005
This section of the FEDERAL REGISTER products. One of these programs is the is necessary for the proper performance contains documents other than rules or USDA voluntary inspection and grading of the functions of the agency, including proposed rules that are applicable to the program for dairy products (7 CFR part whether the information will have public. Notices of hearings and investigations, 58) where these dairy products are practical utility; (2) the accuracy of the committee meetings, agency decisions and graded according to U.S. grade agency’s estimate of the burden of the rulings, delegations of authority, filing of petitions and applications and agency standards by a USDA grader. The dairy proposed collection of information statements of organization and functions are products under the dairy program may including the validity of the examples of documents appearing in this be identified with the USDA grade methodology and assumptions used; (3) section. mark. Dairy processors, buyers, retailers, ways to enhance the quality, utility, and institutional users, and consumers have clarity of the information to be requested that such a program be collected; and (4) ways to minimize the DEPARTMENT OF AGRICULTURE developed to assure the uniform quality burden of the collection of information of dairy products purchased. In order on those who are to respond, including Agricultural Marketing Service for any service program to perform the use of appropriate automated, [Doc. No. DA–05–05] satisfactorily, there are regulations for electronic, mechanical, or other the provider and user. For these reasons, technological collection techniques or Request for an Extension of and the dairy inspection and grading other forms of information technology. Revision to a Currently Approved program regulations were developed Comments may be sent to Reginald Information Collection and issued under the authority of the Pasteur, 1400 Independence Avenue, Act. These regulations are essential to SW., Room 2746—South, Washington, AGENCY: Agricultural Marketing Service, administer the program to meet the DC 20250–0230. All comments received USDA. needs of the user and to carry out the will be available for public inspection ACTION: Notice and request for purposes of the Act. during regular business hours at the comments. The information collection same address. requirements in this request are All responses to this notice will be SUMMARY: In accordance with the essential to carry out the intent of the summarized and included in the request Paperwork Reduction Act of 1995 (44 AMA to ensure that dairy products are for OMB approval. All comments will U.S.C. Chapter 35), this notice produced under sanitary conditions and become a matter of public record. announces the Agricultural Marketing that buyers are purchasing a quality Dated: July 18, 2005. Service’s (AMS) intention to request an product. In order for the Regulations Kenneth C. Clayton, extension for and revision to a currently governing the Inspection and Grading of approved information collection for the Acting Administrator, Agricultural Marketing Manufactured or Processed Dairy Service. Regulations Governing the Inspection Products to serve the government, [FR Doc. 05–14515 Filed 7–21–05; 8:45 am] and Grading of Manufactured or industry, and the consumer, laboratory Processed Dairy Products— test results must be recorded. BILLING CODE 3410–02–P Recordkeeping (Subpart B). Respondents are not required to DATES: Comments received by submit information to the agency. The DEPARTMENT OF AGRICULTURE September 20, 2005 will be considered. records are to be evaluated by a USDA ADDITIONAL INFORMATION OR COMMENTS: inspector at the time of an inspection. Forest Service Contact Reginald L. Pasteur, USDA/ These records include quality tests of AMS/Dairy Programs, Dairy each producer, plant records of a Ravalli County Resource Advisory Standardization Branch, Room 2746– required tests and analysis, and starter Committee and cheese make records. These records South Building, 1400 Independence AGENCY: Forest Service, USDA. required by USDA are also records that Avenue, SW., Washington, DC 20250– ACTION: Notice of meeting. 0230; Telephone: 202–720–2643, Fax: are routinely used by the inspected 202–720–2643 facility for their own supervisory and SUMMARY: The Ravalli County Resource quality control purposes. SUPPLEMENTARY INFORMATION: Advisory Committee will be meeting to Estimate of Burden: Public reporting Title: Regulations Governing the discuss 2005 projects and hold a short burden for this collection of information public forum (question and answer Inspection and Grading of Manufactured is estimated to average 2.85 hours per or Processed Dairy Products—Record session). The meeting is being held response. pursuant to the authorities in the Keeping (Subpart B). Respondents: Dairy products OMB Number: 0581–0110. Federal Advisory Committee Act (Pub. manufacturing facilities. L. 92–463) and under the Secure Rural Expiration Date of Approval: July 30, Estimated Number of Respondents: 2005. Schools and Community Self- 487. Determination Act of 2000 (Pub. L. 106– Type of Request: Extension and Estimated Number of Responses: 393). The meeting is open to the public. revision of a currently approved 1388. information collection. Estimated Number of Responses per DATES: The meeting will be held on July Abstract: The Agricultural Marketing Respondent: 2.85. 26, 2005, 6:30 p.m. Act (AMA) of 1946 (7 U.S.C. 1621 et Estimated Total Annual Burden on ADDRESSES: The meeting will be held at seq.) directs the Department to develop Respondents: 3956. the Ravalli County Administration programs which will provide for and Comments are invited on: (1) Whether Building, 215 S. 4th Street, Hamilton, facilitate the marketing of agricultural the proposed collection of information Montana. Send written comments to
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Daniel G. Ritter, District Ranger, be evidenced by entry on the books of Additions Stevensville Ranger District, 88 Main the Bank. All paper stock certificates On May 27, 2005, the Committee for Street, Stevensville, MT 59870, by issued by the Bank are cancelled as of Purchase From People Who are Blind or facsimile (406) 777–7423, or October 1, 2005, and replaced by entry Severely Disabled published notice (70 electronically to [email protected]. on the books of the Bank. (b) The Bank FR 30692) of proposed additions to the FOR FURTHER INFORMATION CONTACT: shall issue stock only upon payment in Procurement List. Daniel G. Ritter, Stevensville District full of the par value thereof. (c) The After consideration of the material Ranger and Designated Federal Officer, Bank shall issue stock evidencing the presented to it concerning capability of Phone: (406) 777–5461. distribution of patronage refunds as qualified nonprofit agencies to provide hereinafter provided. Dated: July 18, 2005. the products and services and impact of Section 2.4 TRANSFER OF David T. Bull, the additions on the current or most SHARES. Shares in the capital stock of Forest Supervisor. recent contractors, the Committee has the Bank shall be transferred only on the determined that the product and service [FR Doc. 05–14489 Filed 7–21–05; 8:45 am] books of the Bank by authorization from BILLING CODE 3410–11–M listed below are suitable for the holder thereof or by the holder’s procurement by the Federal government legal representative upon proof of the under 41 U.S.C. 46–48c and 41 CFR 51– legal representative’s authority filed 2.4. DEPARTMENT OF AGRICULTURE with the Secretary of the Bank. The Regulatory Flexibility Act Certification Rural Telephone Bank entity in whose name shares stand on the books of the Bank shall be deemed I certify that the following action will Sunshine Act; Meetings to be the owner thereof for all purposes. not have a significant impact on a 8. Adjournment. substantial number of small entities. AGENCY: Rural Telephone Bank, USDA CONTACT PERSON FOR MORE INFORMATION: The major factors considered for this ACTION: Staff Briefing for the Board of Jonathan Claffey, Acting Assistant certification were: Directors. Governor, Rural Telephone Bank, (202) 1. The action will not result in any TIME AND DATE: 2 p.m., Wednesday, 720–9554. additional reporting, recordkeeping or August 3, 2005. Dated: July 20, 2005. other compliance requirements for small PLACE: Conference Room 104–A, Jamie Curtis Anderson, entities other than the small L. Whitten Federal Building, U.S. Acting Governor, Rural Telephone Bank. organizations that will furnish the Department of Agriculture, 12th & product and service to the government. [FR Doc. 05–14640 Filed 7–20–05; 3:30 pm] Jefferson Drive, SW., Washington, DC. 2. The action will result in BILLING CODE 3410–15–M STATUS: Open to the Public. authorizing small entities to furnish the MATTERS TO BE DISCUSSED: product and service to the government. 1. Annual retirement of class A stock. 3. There are no known regulatory 2. Annual class C stock dividend rate. COMMITTEE FOR PURCHASE FROM alternatives which would accomplish 3. Proposed liquidation of the bank. PEOPLE WHO ARE BLIND OR the objectives of the Javits-Wagner- 4. Administrative and other issues. SEVERELY DISABLED O’Day Act (41 U.S.C. 46–48c) in ACTION: Board of Directors Meeting. connection with the product and service TIME AND DATE: 9 a.m., Thursday, August Procurement List; Additions and proposed for addition to the 4, 2005. Deletions Procurement List. PLACE: Conference Room 104–A, Jamie AGENCY: Committee for Purchase From End of Certification L. Whitten Federal Building, U.S. People Who are Blind or Severely Department of Agriculture, 12th & Accordingly, the following product Disabled. Jefferson Drive, SW., Washington, DC. and service are added to the ACTION: Additions to and deletions from Procurement List: STATUS: Open to the Public. Procurement List. MATTERS TO BE DISCUSSED: The following Product matters have been placed on the agenda SUMMARY: This action adds to the Amazing Micro Mop Refill. for the Board of Directors meeting: Procurement List a product and a NSN: M.R. 1059-Amazing Micro Mop Refill. 1. Call to order. service to be furnished by nonprofit NPA: The Lighthouse for the Blind, Inc. 2. Action on Minutes of the May 5, agencies employing persons who are (Seattle Lighthouse), Seattle, 2005, board meeting. Washington. blind or have other severe disabilities, Contracting Activity: Defense Commissary 3. Secretary’s Report. and deletes from the Procurement List a 4. Treasurer’s Report. Agency (DeCA), Fort Lee, Virginia. service previously furnished by such 5. Consideration of resolution to retire Service class A stock in FY 2005. agencies. Service Type/Location: Custodial Services, 6. Consideration of resolution to set DATES: Effective August 21, 2005. Social Security Administration, 2401 annual class C stock dividend rate. ADDRESSES: Committee for Purchase Lind Street, Quincy, Illinois. 7. Consideration of resolutions related From People Who are Blind or Severely NPA: Transitions of Western Illinois, Inc., to the liquidation of the bank, including Disabled, Jefferson Plaza 2, Suite 10800, Quincy, Illinois. authorizations to wind up the Bank’s 1421 Jefferson Davis Highway, Contracting Activity: GSA, Public Buildings business, transfer assets, and redeem all Arlington, Virginia 22202–3259. Service, Region 5, Chicago, Illinois. outstanding stock. These resolutions FOR FURTHER INFORMATION OR TO SUBMIT Deletion include proposed amendments to the COMMENTS CONTACT: Sheryl D. Kennerly, Bylaws of the Bank. The amendments On May 27, 2005, the Committee for Telephone: (703) 603–7740, Fax: (703) would change Article II, Sections 2.3 Purchase From People Who are Blind or 603–0655, or e-mail and 2.4 of the Bylaws to read as follows: Severely Disabled published notice (70 Section 2.3 SHARE CERTIFICATES. [email protected]. FR 30692) of proposed deletions to the (a) All shares of stock of the Bank shall SUPPLEMENTARY INFORMATION: Procurement List.
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After consideration of the relevant FOR FURTHER INFORMATION OR TO SUBMIT DEPARTMENT OF COMMERCE matter presented, the Committee has COMMENTS CONTACT: Sheryl D. Kennerly, determined that the service listed below Telephone: (703) 603–7740, Fax: (703) International Trade Administration is no longer suitable for procurement by 603–0655, or e-mail (A–570–827) the Federal government under 41 U.S.C. [email protected]. 46–48c and 41 CFR 51–2.4. Certain Cased Pencils from the SUPPLEMENTARY INFORMATION: This Regulatory Flexibility Act Certification People’s Republic of China; Final notice is published pursuant to 41 Results and Partial Rescission of I certify that the following action will U.S.C. 47(a)(2) and 41 CFR 51–2.3. Its Antidumping Duty Administrative not have a significant impact on a purpose is to provide interested persons Review substantial number of small entities. an opportunity to submit comments on The major factors considered for this the proposed actions. AGENCY: Import Administration, certification were: If the Committee approves the International Trade Administration, 1. The action may result in additional proposed addition, the entities of the Department of Commerce. reporting, recordkeeping or other Federal Government identified in the SUMMARY: On January 12, 2005, the compliance requirements for small notice for each product or service will Department of Commerce (the entities. be required to procure the product listed Department) published in the Federal 2. The action may result in below from nonprofit agencies Register the preliminary results and authorizing small entities to furnish the employing persons who are blind or rescission in part of the 2002–2003 service to the government. have other severe disabilities. administrative review of the 3. There are no known regulatory antidumping duty order on certain Regulatory Flexibility Act Certification alternatives which would accomplish cased pencils (pencils) from the People’s Republic of China (PRC). The the objectives of the Javits-Wagner- I certify that the following action will period of review (POR) is December 1, O’Day Act (41 U.S.C. 46–48c) in not have a significant impact on a 2002, through November 30, 2003. We connection with the service deleted substantial number of small entities. have now completed the 2002–2003 from the Procurement List. The major factors considered for this administrative review of the order. certification were: End of Certification Based on comments received, we have 1. If approved, the action will not Accordingly, the following service is made changes in the dumping margin result in any additional reporting, deleted from the Procurement List: calculations. Therefore, the final results recordkeeping or other compliance differ from the preliminary results. For Service requirements for small entities other details regarding these changes, see the Service Type/Location: Maintenance and than the small organizations that will section of this notice entitled ‘‘Changes Repair of Portable Light Towers, furnish the product to the Government. Since the Preliminary Results.’’ The Basewide, Fort Hood, Texas. 2. If approved, the action will result final results are listed below in the NPA: Professional Contract Services, Inc., ‘‘Final Results of Review’’ section. Austin, Texas. in authorizing small entities to furnish Contracting Activity: Army III Corps and Ft the product to the Government. EFFECTIVE DATE: July 22, 2005. Hood Contracting CMD, Ft. Hood, Texas. 3. There are no known regulatory FOR FURTHER INFORMATION CONTACT: Paul G. John Heyer, alternatives which would accomplish Stolz or Erin Begnal, AD/CVD the objectives of the Javits-Wagner- Operations, Office 8, Import General Counsel. O’Day Act (41 U.S.C. 46–48c) in Administration, International Trade [FR Doc. E5–3917 Filed 7–21–05; 8:45 am] connection with the product proposed Administration, U.S. Department of BILLING CODE 6353–01–P for addition to the Procurement List. Commerce, 14th Street and Constitution Comments on this certification are Avenue, NW, Washington, DC, 20230; telephone: (202) 482–4474 and (202) COMMITTEE FOR PURCHASE FROM invited. Commenters should identify the 482–1442, respectively. PEOPLE WHO ARE BLIND OR statement(s) underlying the certification SEVERELY DISABLED on which they are providing additional SUPPLEMENTARY INFORMATION: information. Background Procurement List; Proposed Addition End of Certification On January 12, 2005, the Department AGENCY: Committee for Purchase From The following product is proposed for published the preliminary results of this People Who are Blind or Severely addition to Procurement List for review. See Certain Cased Pencils from Disabled. production by the nonprofit agencies the People’s Republic of China; ACTION: Proposed addition to listed: Preliminary Results of Antidumping Procurement List. Duty Administrative Review and Intent Product to Rescind in Part, 70 FR 2115 SUMMARY: The Committee is proposing Emergency Administrative Kit. (Preliminary Results). The POR is to add to the Procurement List a product NSN: 7520–00–NIB–1738—50 Person. December 1, 2002, through November to be furnished by nonprofit agencies NPA: Tarrant County Association for the 30, 2003. On February 11, 2005, we employing persons who are blind or Blind, Fort Worth, Texas. received case briefs from China First have other severe disabilities. NPA: Associated Industries for the Blind, Pencil Co., Ltd. (CFP)/Three Star Comments Must be Received on or Milwaukee, Wisconsin. Contracting Activity: Federal Emergency Stationery Industry Corp. (Three 1 Before: August 21, 2005. Management Agency, Fort Worth, Texas. Star)(CFP/Three Star) , Orient ADDRESSES: Committee for Purchase From People Who are Blind or Severely G. John Heyer, 1 Although we initiated on CFP and Three Star General Counsel. separately, we subsequently found them to be a Disabled, Jefferson Plaza 2, Suite 10800, single entity. See Memorandum to The File: 1421 Jefferson Davis Highway, [FR Doc. E5–3918 Filed 7–21–05; 8:45 am] Administrative Review of the Antidumping Duty Arlington, Virginia 22202–3259. BILLING CODE 6353–01–P Continued
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International Holding Shanghai Foreign covered in the above–referenced patent, Changes Since the Preliminary Results Trade Co., Ltd. (SFTC), and Shandong thereby having odors distinct from those Based on our analysis of the Rongxin Import & Export Co. Ltd. that may emanate from pencils lacking comments received, we have made (Rongxin), the respondents, and Sanford the scent infusion. Also excluded from changes in the margin calculations for LLP, Musgrave Pencil Company, Rose the scope of the order are pencils with CFP/Three Star, SFTC and Rongxin. The Moon, Inc., and General Pencil all of the following physical specific calculation changes made can Company, domestic interested parties. characteristics: 1) length: 13.5 or more be found in our calculation memoranda We received rebuttal briefs from CFP/ inches; 2) sheath diameter: not less than dated July 11, 2005. These changes are Three Star, SFTC, and Rongxin on one–and-one quarter inches at any point listed below. February 24, 2005, and from the (before sharpening); and 3) core length: domestic interested parties on February not more than 15 percent of the length CFP/Three Star and SFTC 25, 20052. On May 19, 2005, we rejected of the pencil. We collapsed CFP with its Rongxin’s rebuttal brief because it Although the HTSUS subheading is subsidiaries Shanghai First Writing contained new argument. Rongxin provided for convenience and customs Instrument Co., Ltd., (First), Shanghai resubmitted its rebuttal brief on May 23, purposes, our written description of the Great Wall Pencil Co., Ltd. (Great Wall), 2005, in accordance with the deadline scope of the order is dispositive. and China First Pencil Fang Zheng Co., set by the Department. On May 26, Ltd. (Fang Zheng). We converted 2005, we issued a supplemental Partial Rescission transportation expenses from Indian questionnaire and requested comments The Department is rescinding this rupees to U.S. dollars in the calculation from CFP/Three Star on documents we review with respect to Tianjin Custom of normal value. We also corrected the placed on the record from a prior Wood Processing Co., Ltd. (TCW) calculation of cost of manufacturing in review. CFP/Three Star submitted its because TCW reported it did not export the computer program to exclude response and comments on June 7, subject merchandise to the United packing. In addition, we corrected the 2005. The domestic interested parties States during the POR. See the computer program to correctly calculate submitted comments on CFP/Three Preliminary Results; see also; TCW’s slat consumption for ordinary size Star’s submission on June 15, 2005. As February 19, 2004, response to the pencils. described in more detail below in Department’s questionnaire. TCW’s Final Results of Review comment 1, on June 15, 2005, the claim that it did not export subject Department placed an additional merchandise during the POR is We determine that the following document on the record of this segment supported by U.S. Customs and Border weighted–average, ad valorem, of the proceeding and requested that Protection (CBP) data and entry percentage margins exist for the period CFP/Three Star and the domestic documents. Moreover, there is no December 1, 2002, through November interested parties submit comments by evidence on the record of this segment 30, 2003: June 20, 2005. CFP/Three Star and the of the proceeding indicating that TCW Exporter/Manufacturer Margin (percent) domestic interested parties submitted exported subject merchandise during comments on this document on June 20, the POR. Therefore, we are rescinding CFP/Three Star/First/ 2005. this review with respect to TCW. Great Wall/Fang Scope of the Order Zheng ...... 0.61 Analysis of Comments Received SFTC ...... 13.25 Imports covered by this order are All issues raised in the case and Rongxin ...... 22.63 shipments of certain cased pencils of rebuttal briefs by parties to this PRC Wide–Rate ...... 114.90 any shape or dimension (except as administrative review are addressed in noted below) which are writing and/or the ‘‘Issues and Decision Memorandum’’ Cash Deposit Requirements drawing instruments that feature cores (Decision Memorandum) from Barbara The following cash deposit of graphite or other materials, encased E. Tillman, Acting Deputy Assistant requirements will be effective upon in wood and/or man–made materials, Secretary for Import Administration, to publication of this notice of final results whether or not decorated and whether Joseph A. Spetrini, Acting Assistant of administrative review for all or not tipped (e.g., with erasers, etc.) in Secretary for Import Administration, shipments of pencils from the PRC any fashion, and either sharpened or dated July 11, 2005, which is hereby entered, or withdrawn from warehouse, unsharpened. The pencils subject to the adopted by this notice. A list of the for consumption on or after the date of order are classified under subheading issues which parties have raised and to publication, as provided by section 9609.10.00 of the Harmonized Tariff which we have responded, all of which 751(a)(1) of the Act: (1) the cash deposit Schedule of the United States (HTSUS). are in the Decision Memorandum, is rates for the reviewed companies will be Specifically excluded from the scope of attached to this notice as an Appendix. the rates shown above; (2) for previously the order are mechanical pencils, Parties can find a complete discussion reviewed or investigated companies not cosmetic pencils, pens, non–cased of all issues raised in this review and listed above, that have separate rates, crayons (wax), pastels, charcoals, the corresponding recommendations in the cash deposit rate will continue to be chalks, and pencils produced under this public memorandum, which is on the company–specific rate published for U.S. patent number 6,217,242, from file in the Central Records Unit, room the most recent period; (3) the cash paper infused with scents by the means B–099 of the main Department of deposit rate for all other PRC exporters Commerce building. In addition, a will be 114.90 percent; and 4) the cash Order on Certain Cased Pencils from the People’s Republic of China - Affiliation and Collapsing complete version of the Decision deposit rate for non–PRC exporters will (December 30, 2004). Memorandum can be accessed directly be the rate applicable to the PRC 2 The Department closed its Washington, D.C. on Import Administration’s Web site at exporter that supplied that exporter. facilities prior to 5:00 PM on February 24, 2005, due www.ia.ita.doc.gov.frn The paper copy These deposit requirements shall to inclement weather before the domestic interested remain in effect until publication of the parties were able to file their rebuttal brief. The and the electronic version of the domestic interested parties submitted their rebuttal Decision Memorandum are identical in final results of the next administrative brief on February 25, 2005. content. review.
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Assessment Comment 2: Surrogate Valuation of the Department to make a preliminary Writing Cores determination within 245 days after the The Department will determine, and Comment 3: Surrogate Financial Ratios last day of the anniversary month of an CBP will assess, antidumping duties on Comment 4: Pencil Slat Valuation order or finding for which a review is all appropriate entries of subject Comment 5:Clerical Errors: Inland requested and a final determination merchandise in accordance with these Transportation Charges, Packing Labor, within 120 days after the date on which final results of review. For the Slat Usage Factors the preliminary determination is companies subject to this review, we Comment 6: Regression–Based Labor published. However, if it is not calculated exporter–specific assessment Rate Calculation practicable to complete the review rates because there is no information on Comment 7: CFP’s Subsidiaries within these time periods, section the record which identifies the Comment 8: Surrogate Value for Kaolin 751(a)(3)(A) of the Act allows the importers of record. Specifically, for Clay Department to extend the 245–day time CFP/Three Star/First/Great Wall/Fang limit for the preliminary determination Zheng, SFTC and Rongxin, we [FR Doc. 05–14524 Filed 7–21–05; 8:45 am] to a maximum of 365 days and the time calculated duty assessment rates for BILLING CODE: 3510–DS–S limit for the final determination to 180 subject merchandise based on the ratio days (or 300 days if the Department of the total amount of antidumping DEPARTMENT OF COMMERCE does not extend the time limit for the duties calculated for the examined sales preliminary determination) from the to the total quantity of those sales. The International Trade Administration date of publication of the preliminary Department will issue appropriate determination. assessment instructions directly to CBP (A–570–827) We determine that it is not practicable within 15 days of publication of these to complete the preliminary results of final results of review. Certain Cased Pencils from the People’s Republic of China: Extension this review within the original time Reimbursement of Duties of Time Limit for Preliminary Results of limit due to complex issues relating to This notice also serves as a final Antidumping Duty Administrative the calculation of certain surrogate reminder to importers of their Review values. Therefore, the Department is extending the time limit for completion responsibility under 19 C.F.R. 351.402(f) AGENCY: Import Administration, to file a certificate regarding the of the preliminary results by 105 days International Trade Administration, until no later than December 16, 2005. reimbursement of antidumping duties Department of Commerce. prior to liquidation of the relevant We intend to issue the final results no EFFECTIVE DATE: entries during this review period. July 22, 2005. later than 120 days after the publication Failure to comply with this requirement FOR FURTHER INFORMATION CONTACT: Paul of the preliminary results notice. could result in the Secretary’s Stolz or Erin Begnal, AD/CVD This extension is in accordance with presumption that reimbursement of Operations, Office 8, Import section 751(a)(3)(A) of the Act. antidumping duties occurred and the Administration, International Trade Dated: July 13, 2005. subsequent assessment of doubled Administration, U.S. Department of Susan H. Kuhbach, antidumping duties. Commerce, 14th Street and Constitution Acting Deputy Assistant Secretary for Import Avenue, NW, Washington, DC 20230; Administration. Administrative Protective Orders telephone: (202) 482–4474 and (202) [FR Doc. 05–14525 Filed 7–21–05; 8:45 am] This notice also serves as the only 482–1442, respectively. BILLING CODE: 3510–DS–S reminder to parties subject to SUPPLEMENTARY INFORMATION: administrative protective orders (APOs) Background of their responsibility concerning the DEPARTMENT OF COMMERCE return or destruction of proprietary On December 28, 1994 the information disclosed under an APO in Department of Commerce (the International Trade Administration Department) published and accordance with 19 C.F.R. 351.305. (A–475–818) Timely written notification of the antidumping duty order on certain return/destruction of APO materials or cased pencils from the Peoples’ Notice of Preliminary Results, Partial conversion to judicial protective order is Republic of China. See Antidumping Rescission of Antidumping Duty hereby requested. Failure to comply Duty Order: Certain Cased Pencils from Administrative Review and Revocation with the regulations and terms of an the People’s Republic of China, 59 FR of the Antidumping Duty Order in Part: APO is a violation which is subject to 66909 (December 28, 1994) (the order). Eighth Administrative Review of the sanction. On January 31, 2005, the Department Antidumping Duty Order on Certain We are issuing and publishing this published a notice of initiation of Pasta from Italy determination and notice in accordance administrative review of the order with sections 751(a)(1) and 771(i) of the covering the period December 1, 2003, AGENCY: Import Administration, Act. through November 30, 2004. See International Trade Administration, Initiation of Antidumping and Department of Commerce. Dated: July, 11, 2005. Countervailing Duty Administrative SUMMARY: In response to requests by Susan H. Kubach, Reviews and Request for Revocation in interested parties, the Department of Acting Assistant Secretary for Import Part, 70 FR 4818 (January 31, 2005). The Commerce (‘‘the Department’’) is Administration. preliminary results are currently due no conducting an administrative review of Appendix Issues in Decision later than September 2, 2005. the antidumping duty order on certain Memorandum pasta (‘‘pasta’’) from Italy for the period Extension of Time Limit for Preliminary of review (‘‘POR’’) July 1, 2003, through Comments Results of Review June 30, 2004. Comment 1: CFP and Three Star Section 751(a)(3)(A) of the Tariff Act We preliminarily determine that Affiliation/Collapsing of 1930, as amended (the Act), requires during the POR, Barilla G.e.R. Fratelli,
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S.p.A. (‘‘Barilla’’) (formerly Barilla at not less than NV for a period of at and Pagani requested that the Alimentare, S.p.A.), Corticella Molini e least three consecutive years. See 19 Department revoke the antidumping Pastifici S.p.A. and its affiliate Pasta CFR 351.222 (b)(2) and the duty order with respect to their Combattenti S.p.A. (collectively, ‘‘Revocation’’ section of this notice. In companies. See ‘‘Revocation’’ section of ‘‘Corticella’’),1 Industrie Alimentare prior reviews, Pallante and Industrie this notice. Colavita, S.p.A. and its affiliate Fusco Alimentari Molisane S.r.L. (‘‘IAM’’) On August 30, 2004, we published the S.r.L. (collectively, ‘‘Indalco’’),2 were found to be affiliated, and were notice of initiation of this antidumping Pastificio Riscossa F.lli Mastromauro, treated as a single entity (‘‘collapsed’’) duty administrative review covering the S.r.L. (‘‘Riscossa’’), and Pastificio F.lli because of common ownership, period July 1, 2003, through June 30, Pagani S.p.A. (‘‘Pagani’’) sold subject common sales activities, and family 2004, listing these seven companies as merchandise at less than normal value relationships. Pertinent facts concerning respondents: Barilla, Indalco, Riscossa, (‘‘NV’’). If these preliminary results are the affiliation of these two companies Russo, Corticella, Pagani, and Pallante.5 adopted in the final results of this have changed. The record evidence of See Initiation of Antidumping and administrative review, we will instruct this review no longer supports a finding Countervailing Duty Administrative U.S. Customs and Border Protection that Pallante and IAM are affiliated and, Reviews and Requests for Revocation in (‘‘CBP’’) to assess antidumping duties thus, there is no basis to collapse these Part, 69 FR 52857 (August 30, 2004) equal to the difference between the two entities.3 Therefore, this revocation (‘‘Initiation Notice’’). export price (‘‘EP’’) or constructed will apply solely to Pallante. On December 7, 2004, the Department export price (‘‘CEP’’) and NV. Interested parties are invited to extended the due date for the We preliminarily determine that comment on these preliminary results, preliminary results of review from April during the POR, Pastificio Antonio partial rescission, and revocation. 4, 2005, to July 18, 2005. See Certain Pallante S.r.L. and its affiliate Vitelli Parties who submit comments in this Pasta from Italy: Extension of Time Food LLC (‘‘Pallante’’) did not make segment of the proceeding should also Limits for the Preliminary Results of sales of the subject merchandise at less submit with them: (1) a statement of the Antidumping Duty Administrative than NV (i.e., sales were made at a de issues and (2) a brief summary of the Review, 69 FR 74493 (December 14, minimis dumping margin). If these comments. Further, parties submitting 2004). During the months from January to preliminary results are adopted in the written comments are requested to June 2005, the Department issued final results of this administrative provide the Department with an supplemental questionnaires to each review, we will instruct CBP to electronic version of the public version respondent, as applicable. liquidate appropriate entries without of any such comments on diskette. We conducted verification of the cost regard to antidumping duties. EFFECTIVE DATE: July 22, 2005. and sales information as follows: 1) Furthermore, requests for review of FOR FURTHER INFORMATION CONTACT: Pagani sales verification from April 25 the antidumping duty order for the Dennis McClure, Stephanie Moore or through April 29, 2005, and cost following companies were withdrawn: Preeti Tolani, AD/CVD Operations, verification from May 16 through May Pastificio Carmine Russo S.p.A. and its Office 3, Import Administration, 20, 2005; and 2) Pallante cost affiliate, Pastificio DiNola S.p.A. International Trade Administration, verification from May 23 through May (collectively, ‘‘Russo’’). Because the U.S. Department of Commerce, 14th 27, 2005, and sales verification from withdrawal requests were timely and Street and Constitution Avenue, NW, June 6 through June 10, 2005. We also there were no other requests for review Washington, DC 20230; telephone: (202) verified the CEP information submitted of the companies, we are rescinding the 482–5973, (202) 482–3692 or (202) 482– by Pallante from June 20 through June review for these companies. See 19 CFR 0395, respectively. 22, 2005. 351.213(d)(1). SUPPLEMENTARY INFORMATION: Finally, we preliminarily intend to Partial Rescission Background revoke the antidumping duty order with On October 19, 2004, Russo withdrew respect to subject merchandise On July 24, 1996, the Department its request for administrative review of produced and exported by Pallante published in the Federal Register the the antidumping duty order. Because because Pallante sold the merchandise antidumping duty order on pasta from the request was timely filed, i.e., with Italy; see Notice of Antidumping Duty 30 days of publication of the Initiation 1 During the seventh administrative review, an Order and Amended Final Notice, and because there were no other analysis of the record evidence indicated that Determination of Sales at Less Than Corticella and its toll producer, Coopertive requests for review of the above– Lomellina Cerealicoltori S.r.l. (CLC) were affiliated Fair Value: Certain Pasta From Italy, 61 mentioned company, we rescinded the and the Department collapsed those companies for FR 38547. On July 1, 2004, we review with respect to Russo in purposes of that review. The facts are the same for published in the Federal Register the accordance with 19 CFR 351.213(d)(1). this POR; therefore, we have also treated them as notice of Antidumping or a single entity for this review. See Notice of Final See Certain Pasta from Italy: Notice of Results of the Seventh Administrative Review of the Countervailing Duty Order, Finding, or Partial Rescission of Antidumping Duty Antidumping Duty Order on Certain Pasta From Suspended Investigation: Opportunity Administrative Review, 69 FR 74494 Italy and Determination to Revoke in Part, 70 FR To Request Administrative Review, 69 (December 14, 2004). 6832 (February 9, 2005). FR 39903. 2 During the sixth administrative review, an We received requests for review from Scope of the Order analysis of the record evidence indicated that 4 Industrie Alimentare Colavita, S.p.A. and its petitioners and from seven individual Imports covered by this order are affiliate Fusco S.r.L. were affiliated and the Italian exporters/producers of pasta, in shipments of certain non–egg dry pasta Department collapsed those companies for purposes accordance with 19 CFR 351.213(b)(2). in packages of five pounds four ounces of that review. The facts are the same for this POR; In addition, on July 30, 2004, Pallante therefore, we have also treated them as a single or less, whether or not enriched or entity for this review. Notice of Preliminary Results and Partial Rescission of Antidumping Duty 3 See Pallante and IAM Affiliation Memo from the 5 Although the Department initiated this review Administrative Review and Intent Not to Revoke in Team to Melissa G. Skinner, July 15, 2005. on ten companies, included within that number Part: For the Sixth Administrative Review of the 4 New World Pasta Company; Dakota Growers were companies found to be affiliated in prior Antidumping Duty Order on Certain Pasta from Pasta Company; and American Italian Pasta reviews, namely Corticella/Combattenti and Italy, 68 FR 47020, 47022 (August 7, 2003). Company. Indalco/Fusco.
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fortified or containing milk or other based on the characteristics listed international freight, marine insurance, optional ingredients such as chopped above, in descending order of priority. U.S. inland freight expenses, vegetables, vegetable purees, milk, When there were no appropriate warehousing, and U.S. duties. In gluten, diastasis, vitamins, coloring and comparison market sales of comparable addition, when appropriate, we flavorings, and up to two percent egg merchandise, we compared the increased EP or CEP as applicable, by an white. The pasta covered by this scope merchandise sold in the United States to amount equal to the countervailing duty is typically sold in the retail market, in constructed value (‘‘CV’’), in accordance rate attributed to export subsidies in the fiberboard or cardboard cartons, or with section 773(a)(4) of the Act. most recently completed administrative polyethylene or polypropylene bags of For purposes of the preliminary review, in accordance with section varying dimensions. results, where appropriate, we have 772(c)(1)(C) of the Act. Excluded from the scope of this order calculated the adjustment for In a ‘‘voluntary’’ submission to the are refrigerated, frozen, or canned differences in merchandise based on the Department, Pagani claimed an pastas, as well as all forms of egg pasta, difference in the variable cost of adjustment for ‘‘interest revenue’’ for with the exception of non–egg dry pasta manufacturing (‘‘VCOM’’) between each certain U.S. sales during the POR. containing up to two percent egg white. U.S. model and the most similar home Petitioners objected to this adjustment Also excluded are imports of organic market model selected for comparison. on the grounds that the revenue had pasta from Italy that are accompanied by been received after the POR, and Comparisons to Normal Value the appropriate certificate issued by the claimed that it was not a bona fide Instituto Mediterraneo Di Certificazione, To determine whether sales of certain adjustment. We collected detailed by Bioagricoop Scrl, by QC&I pasta from Italy were made in the information about this claimed International Services, by Ecocert Italia, United States at less than NV, we adjustment and also examined it at by Consorzio per il Controllo dei compared the EP or CEP to the NV, as verification. Based on our analysis of Prodotti Biologici, or by Associazione described in the ‘‘Export Price and Pagani’s submissions, we determine that Italiana per l’Agricoltura Biologica. Constructed Export Price’’ and ‘‘Normal Pagani has not adequately demonstrated The merchandise subject to this order Value’’ sections of this notice. In that the underlying payments were is currently classifiable under item accordance with section 777A(d)(2) of related either to interest revenue or to 1902.19.20 of the Harmonized Tariff the Act, we calculated monthly the sales during the POR to which they Schedule of the United States weighted–average prices for NV and were allocated. Therefore, we have (‘‘HTSUS’’). Although the HTSUS compared these to individual U.S. disallowed this adjustment for purposes subheading is provided for convenience transactions. See the company–specific of the preliminary results.6 and customs purposes, the written verification reports and calculation For CEP, in accordance with section description of the merchandise subject memoranda, available in the CRU. 772(d)(1) of the Act, when appropriate, to the order is dispositive. Export Price and Constructed Export we deducted from the starting price Price those selling expenses that were Verification incurred in selling the subject As provided in section 782(i) of Tariff For the price to the United States, we merchandise in the United States, Act of 1930, as amended (‘‘the Act’’), we used, as appropriate, EP or CEP, in including direct selling expenses conducted verification of the sales and accordance with sections 772(a) and (b) (advertising, cost of credit, warranties, cost information provided by Pagani of the Act. We calculated EP when the banking, slotting fees, and commissions and Pallante, and the CEP information merchandise was sold by the producer paid to unaffiliated sales agents). In provided by Pallante. We used standard or exporter outside of the United States addition, we deducted indirect selling verification procedures, including on– directly to the first unaffiliated expenses that related to economic site inspection of the manufacturers’ purchaser in the United States prior to activity in the United States. These facilities and examination of relevant importation and when CEP was not expenses include certain indirect selling sales and financial records. Our otherwise warranted based on the facts expenses incurred by affiliated U.S. verification results are detailed in the on the record. We calculated CEP for distributors. We also deducted from CEP company–specific verification reports those sales for which a person in the an amount for profit in accordance with placed in the case file in the Central United States, affiliated with the foreign sections 772(d)(3) and (f)(2)(D) of the Records Unit (‘‘CRU’’) located in room exporter or acting for the account of the Act. B–099 of the main Department building. exporter, made the sale to the first Barilla, Corticella, Indalco, Pagani, We made minor revisions to certain unaffiliated purchaser in the United and Riscossa reported resales to the sales and cost data based on verification States of the subject merchandise. We United States of subject merchandise findings. See the company–specific based EP and CEP on the packed cost– purchased in Italy from unaffiliated verification reports and calculation insurance-freight (‘‘CIF’’), ex–factory, producers. In those situations in which memoranda, in the CRU. free–on-board (‘‘FOB’’), or delivered an unaffiliated producer of the subject prices to the first unaffiliated customer pasta knew at the time of the sale that Product Comparisons in, or for exportation to, the United the merchandise was destined for the In accordance with section 771(16) of States. When appropriate, we made United States, the relevant basis for the the Act, we first attempted to match adjustments to these prices to reflect EP would be the price between that contemporaneous sales of products sold billing adjustments, discounts, and producer and the respondent. See in the United States and comparison rebates. Dynamic Random Access Memory markets that were identical with respect In accordance with section 772(c)(2) Semiconductors of One Megabit or to the following characteristics: (1) pasta of the Act, we made deductions, where Above From the Republic of Korea: shape; (2) type of wheat; appropriate, for movement expenses Final Results of Antidumping Duty (3) additives; and (4) enrichment. including inland freight from plant or Administrative Review, Partial When there were no sales of identical warehouse to port of exportation, Rescission of Administrative Review merchandise in the home market to insurance to port of exportation, compare with U.S. sales, we compared domestic brokerage, handling and 6 See Pagani’s Analysis Memorandum for a U.S. sales with the most similar product loading charges, export duties, detailed discussion.
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and Notice of Determination Not to B. Arm’s–Length Test Pagani Revoke Order, 63 FR 50867, 50876 1. We increased Pagani’s total cost of (September 23, 1998). In the instant Barilla, Corticella, Pagani, and Pallante reported sales of the foreign manufacture (‘‘COM’’) to correct an review, we determine that it is error in Pagani’s yield calculation. reasonable to assume that the like product to affiliated end–users and 7 2. We increased Pagani’s general and unaffiliated producers knew or had an affiliated resellers. The Department administrative (‘‘G&A’’) expenses to reason to know at the time of sale that calculates NV based on a sale to an include certain unreported expenses. affiliated party only if it is satisfied that the ultimate destination of the 3. We increased Pagani’s reported the price to the affiliated party is merchandise was the United States G&A expenses by adding its parent’s comparable to the price at which sales because virtually all enriched pasta is general expenses to Pagani’s. are made to parties not affiliated with sold to the United States. See, e.g., See Memorandum from Nancy M. the producer or exporter, i.e., sales at Decker to Neal M. Halper regarding Notice of Preliminary Results and arm’s length. See 19 CFR 351.403(c). To Partial Rescission of Antidumping Duty Pagani’s Cost of Production and test whether these sales were made at Constructed Value Calculation Administrative Review and Intent Not to arm’s length, we compared the starting Adjustments for the Preliminary Results Revoke in Part: For the Sixth prices of sales to affiliated and (July 15, 2005). Administrative Review of the unaffiliated customers net of all Antidumping Duty Order on Certain movement charges, direct selling Pallante Pasta from Italy, 68 FR 47020, 47028 expenses, discounts and packing. In 1. We increased Pallante’s total COM (August 7, 2003); Notice of Preliminary accordance with the Department’s to correct an error in Pallante’s yield Results and Partial Rescission of current practice, if the prices charged to calculation and to include certain Antidumping Duty Administrative an affiliated party were, on average, unreported expenses. Review: Certain Pasta from Italy, 63 FR between 98 and 102 percent of the 2. We increased Pallante’s reported 42368, 42370 (August 7, 1998). prices charged to unaffiliated parties for G&A expenses to include certain Accordingly, consistent with our merchandise identical or most similar to unreported expenses. methodology in prior reviews (see id.), that sold to the affiliated party, we 3. We increased Pallante’s reported when a respondent purchased pasta consider the sales to be at arm’s–length total packing costs to include certain from other producers and we were able prices and included such sales in the unreported expenses. to identify resales of this merchandise to calculation of NV. See 19 CFR See Memorandum from James Balog to Neal M. Halper regarding Pallante’s the United States, we excluded these 351.403(c). Conversely, where sales to Cost of Production and Constructed sales of the purchased pasta from the the affiliated party did not pass the Value Calculation Adjustments for the margin calculation for that respondent. arm’s–length test, all sales to that Preliminary Results (July 15, 2005). Where the purchased pasta was affiliated party were excluded from the commingled with the respondent’s NV calculation. See Antidumping 2. Test of Comparison Market Prices production and the respondent could Proceedings: Affiliated Party Sales in As required under section 773(b)(2) of not identify the portion of subject the Ordinary Course of Trade, 67 FR the Act, we compared the weighted– 69186 (Nov. 15, 2002). merchandise purchased from average COP to the per–unit price of the unaffiliated producers, we included the C. Cost of Production Analysis comparison market sales of the foreign sale in our margin calculation. like product to determine whether these 1. Calculation of Cost of Production Inasmuch as the percentage of pasta sales had been made at prices below the (COP) purchased by any single respondent was COP within an extended period of time in substantial quantities, and whether an insignificant part of its U.S. sales We conducted a COP analysis of such prices were sufficient to permit the database and the respondent was unable Barilla, Corticella, Indalco, Pagani, recovery of all costs within a reasonable to identify the volume of purchased Pallante, and Riscossa, pursuant to period of time. We determined the net pasta in sales of commingled section 773(b) of the Act, to determine merchandise, we determined to include comparison market prices for the sales– whether the respondents’ comparison below-cost test by subtracting from the such sales in our margin calculations. market sales were made below the COP. gross unit price any applicable We calculated the COP based on the Normal Value movement charges, discounts, rebates, sum of the cost of materials and direct and indirect selling expenses A. Selection of Comparison Markets fabrication for the foreign like product, (also excluded from the COP), and plus amounts for selling, general, and packing expenses. To determine whether there was a administrative expenses (‘‘SG&A’’) and sufficient volume of sales in the home packing, in accordance with section 3. Results of COP Test market to serve as a viable basis for 773(b)(3) of the Act. We relied on the Pursuant to section 773(b)(2)(C)(i) of calculating NV, we compared each COP data submitted by each respondent the Act, where less than 20 percent of respondent’s volume of home market in its cost questionnaire responses, sales of a given product were at prices sales of the foreign like product to the except in specific instances where based less than the COP, we did not disregard volume of its U.S. sales of the subject on our review of the submissions and, any below–cost sales of that product merchandise. Pursuant to sections in some instances, our verification because we determined that the below– 773(a)(1)(B) and (C) of the Act, because findings, we find that an adjustment is cost sales were not made in ‘‘substantial each respondent had an aggregate required, as discussed below: quantities.’’ Where 20 percent or more volume of home market sales of the of a respondent’s sales of a given foreign like product that was greater 7 We note that sales from Barilla, Corticella, product during the POR were at prices than five percent of its aggregate volume Pagani, and Pallante to all affiliated customers less than the COP, we determined such of U.S. sales of the subject merchandise, constitute less than 5% of their total sales in the foreign market and we did not require the sales to have been made in ‘‘substantial we determined that the home market companies to report the sales from the affiliated quantities.’’ See section 773(b)(2)(C) of was viable for all producers. resellers to the unaffiliated customers. the Act. The sales were made within an
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extended period of time in accordance Sales of pasta purchased by the NV and CEP affected price with section 773(b)(2)(B) of the Act, respondents from unaffiliated producers comparability, we will grant a CEP because they were made over the course and resold in the comparison market offset, pursuant to section 773(a)(7)(B) of the POR. In such cases, because we were treated in the same manner of the Act. See Notice of Final compared prices to POR–average costs, described above in the ‘‘Export Price Determination of Sales at Less Than we also determined that such sales were and Constructed Export Price’’ section Fair Value: Certain Cut–to-Length not made at prices which would permit of this notice. Carbon Steel Plate from South Africa, 62 FR 61731, 61732–33 (November 19, recovery of all costs within a reasonable E. Calculation of Normal Value Based 1997). Specifically in this review, we period of time, in accordance with on Constructed Value section 773(b)(2)(D) of the Act. Based on did not make an LOT adjustment for any this methodology, for Barilla, Corticella, When we could not determine the NV respondent. However, we are Indalco, Pagani, Pallante, and Riscossa, based on comparison market sales preliminarily granting a CEP offset for for purposes of this administrative because there were no contemporaneous Barilla and Pallante. review, we disregarded certain below– sales of a comparable product, we For a detailed description of our LOT cost sales and used the remaining sales compared the EP to CV. In accordance methodology and a summary of as the basis for determining NV, in with section 773(e) of the Act, we company–specific LOT findings for accordance with section 773(b)(1) of the calculated CV based on the sum of the these preliminary results, see the Act. See the company–specific COM of the product sold in the United company–specific calculation calculation memoranda on file in the States, plus amounts for SG&A memoranda, all on file in the CRU. expenses, profit, and U.S. packing costs. CRU, for our calculation methodology Currency Conversion and results. In accordance with section 773(e)(2)(A) of the Act, we based SG&A expenses For purposes of these preliminary D. Calculation of Normal Value Based and profit on the amounts incurred in results, we made currency conversions on Comparison Market Prices connection with the production and sale in accordance with section 773A(a) of the Act, based on the official exchange We calculated NV based on ex–works, of the foreign like product in the rates published by the Federal Reserve FOB or delivered prices to comparison comparison market. Bank. market customers. We made deductions For price–to-CV comparisons, we from the starting price, when made adjustments to CV for COS Revocation appropriate, for handling, loading, differences, in accordance with section 773(a)(8) of the Act and 19 CFR 351.410. On July 30, 2004, Pallante and Pagani inland freight, warehousing, inland submitted requests for revocation of the insurance, billing adjustments, We made COS adjustments by deducting direct selling expenses antidumping duty order with respect to discounts, and rebates. In accordance their sales of the subject merchandise with sections 773(a)(6)(A) and (B) of the incurred on comparison market sales and adding U.S. direct selling expenses. pursuant to 19 CFR 351.222(b). The Act, we added U.S. packing costs and Department ‘‘may revoke, in whole or in deducted comparison market packing, F. Level of Trade part’’ an antidumping duty order upon respectively. In addition, we made In accordance with section completion of a review under section circumstance–of-sale (‘‘COS’’) 773(a)(1)(B) of the Act, we determined 751 of the Act. While Congress has not adjustments for direct expenses, NV based on sales in the comparison specified the procedures that the including imputed credit expenses, market at the same level of trade Department must follow in revoking an advertising, warranty expenses, (‘‘LOT’’) as the EP and CEP sales, to the order, the Department has developed a commissions, and bank charges, in extent practicable. When there were no procedure for revocation that is accordance with section 773(a)(6)(C)(iii) sales at the same LOT, we compared described in 19 CFR 351.222. This of the Act. U.S. sales to comparison market sales at regulation requires that one or more We also made adjustments, in a different LOT. When NV is based on exporters and producers covered by the accordance with 19 CFR 351.410(e), for CV, the NV LOT is that of the sales from order and desiring revocation submit indirect selling expenses incurred in the which we derive SG&A expenses and the following: (1) a certification that the home market or U.S. where profit. company has sold the subject commissions were granted on sales in Pursuant to 19 CFR 351.412, to merchandise at not less than NV in the one market but not in the other, the determine whether comparison market current review period and that the ‘‘commission offset.’’ Specifically, sales are at a different LOT, we examine company will not sell at less than NV where commissions are incurred in one stages in the marketing process and in the future; (2) a certification that the market, but not in the other, we will selling functions along the chain of company sold the subject merchandise limit the amount of such adjustment to distribution between the producer and in each of the three years forming the the amount of either the selling the unaffiliated (or arm’s–length) basis of the request in commercial expenses incurred in the one market or customers. If the comparison market quantities; and (3) an agreement to the commissions allowed in the other sales are at a different LOT and the immediate reinstatement of the order if market, whichever is less. differences affect price comparability, as the Department concludes that the When comparing U.S. sales with manifested in a pattern of consistent company, subsequent to the revocation, comparison market sales of similar, but price differences between the sales on has sold subject merchandise at less not identical, merchandise, we also which NV is based and comparison than NV. See 19 CFR 351.222(e)(1). Both made adjustments for physical market sales at the LOT of the export Pallante and Pagani provided the differences in the merchandise, in transaction, we will make an LOT certifications and agreements required accordance with section 773(a)(6)(C)(ii) adjustment under section 773(a)(7)(A) of by 19 CFR 351.222(e)(1). of the Act and 19 CFR 351.411. We the Act. Upon receipt of such a request, the based this adjustment on the difference Finally, if the NV LOT is more remote Department, pursuant to 19 CFR in the VCOM for the foreign like from the factory than the CEP LOT and 351.222(b)(2), will consider the product and subject merchandise, using there is no basis for determining following in determining whether to POR–average costs. whether the differences in LOT between revoke the order in part: (1) whether the
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producer or exporter requesting Determination Not to Revoke Order in from warehouse, for consumption on or revocation has sold subject merchandise Part, 64 FR 12977, 12979 (March 16, after the first day after the period under at not less than NV for a period of at 1999); and Notice of Final Results of review, and will instruct CBP to refund least three consecutive years; (2) Antidumping Duty Administrative any cash deposit. whether the continued application of Review and Determination Not to Preliminary Results of Review the antidumping duty order is otherwise Revoke the Antidumping Order: Brass necessary to offset dumping; and (3) Sheet and Strip from the Netherlands, As a result of our review, we whether the producer or exporter 65 FR 742 (January 6, 2000). The preliminarily determine that the requesting revocation in part has agreed Department preliminarily finds that following percentage weighted–average in writing to the immediate Pallante sold subject merchandise to the margins exist for the period July 1, 2003, reinstatement of the order, as long as United States in commercial quantities through June 30, 2004: any exporter or producer is subject to during each of the consecutive three the order, if the Department concludes years within the meaning of 19 CFR Manufacturer/exporter Margin (percent) that the exporter or producer, 351.222(e)(1)(ii). See the July 7, 2005, Barilla ...... 16.39 subsequent to revocation, sold the Pallante Sales Verification Report at Corticella ...... 3.41 subject merchandise at less than NV. Exhibits S–27 and VF–19; see also Indalco ...... 4.10 Both Pallante and Pagani had de Pallante’s March 22, 2005, Pagani ...... 2.76 minimis or zero dumping margins in the Questionnaire Response at Exhibit 1. Pallante ...... 0.38 de minimis two preceding years. See Notice of Final Therefore, we reasonably conclude that Riscossa ...... 2.03 Results of the Sixth Administrative the de minimis margins calculated for Review of the Antidumping Duty Order Pallante in the last three years are The Department will disclose on Certain Pasta from Italy and reflective of the company’s normal calculations performed within five days Determination Not to Revoke in Part, 69 commercial experience. Because Pagani of the date of publication of this notice FR 6255, 6257 (February 10, 2004) and sold at less than NV during the 2003 to to the parties of this proceeding, in Notice of Final Results of Antidumping 2004 POR, the Department did not accordance with 19 CFR 351.224(b). An Duty Administrative Review and determine whether Pagani sold in interested party may request a hearing Determination Not to Revoke in Part: commercial quantities during each of within 30 days of publication of these Certain Pasta from Italy, 68 FR 6882, the last three years. preliminary results. See 19 CFR 6883 (February 11, 2003), respectively. With respect to 19 CFR 351.310(c). Any hearing, if requested, However, in the current review we 351.222(b)(2)(i)(C), in considering ordinarily will be held 44 days after the preliminarily find that Pagani sold whether continued application of the date of publication, or the first working subject merchandise at less than NV. order is necessary to offset dumping, day thereafter. Interested parties may See July 15, 2005, Memorandum to the ‘‘the Department may consider trends in submit case briefs no later than 30 days File, RE: Preliminary Calculation prices and costs, investment, currency after the date of publication of these Memorandum for Pagani. Because we movements, production capacity, as preliminary results of review. Rebuttal preliminarily find that Pagani made well as all other market and economic briefs, limited to issues raised in such sales of subject merchandise at less than factors relevant to a particular case.’’ briefs, may be filed no later than 35 days NV, we preliminarily intend not to Proposed Regulation Concerning the after the date of publication. Parties who revoke the antidumping duty order with Revocation of Antidumping Duty submit arguments are requested to respect to Pagani. Regarding Pallante, Orders, 64 FR 29818, 29820 (June 3, submit with the argument (1) a the Department preliminarily finds a de 1999). Based upon sales over three statement of the issue, and (2) a brief minimis rate for the current review. See consecutive years resulting in de summary of the argument. Further, July 15, 2005, Memorandum to the File, minimis margins, the Department parties submitting written comments are RE: Preliminary Calculation presumes that the company requesting requested to provide the Department Memorandum for Pallante. Therefore, revocation is not likely to resume selling with an additional copy of the public we preliminarily find that Pallante sold subject merchandise at less than NV in version of any such comments on subject merchandise at not less than NV the near future unless the Department diskette. The Department will issue the for three consecutive years as required has been presented with evidence to final results of this administrative under 19 CFR 351.222(b). demonstrate that dumping would likely review, which will include the results of In determining whether three years of resume if the order were revoked. In this its analysis of issues raised in any such no dumping establishes a sufficient proceeding, we have not received any comments, or at a hearing, if requested, basis to make a revocation evidence that demonstrates that Pallante within 120 days of publication of these determination, the Department must be would likely resume dumping in the preliminary results. able to determine that the company future if the order were revoked. Assessment Rate continued to participate meaningfully in Therefore, we preliminarily determine the U.S. market during each of the three that the order is no longer necessary to Pursuant to 19 CFR 351.212(b), the years at issue, i.e., that the company offset dumping for Pallante. Department calculated an assessment made sales in commercial quantities Because all requirements under the rate for each importer of the subject during each of those years. See Certain regulation have been satisfied, if these merchandise. Upon issuance of the final Corrosion–Resistant Carbon Steel Flat preliminary findings are affirmed in our results of this administrative review, if Products and Certain Cut–to-Length final results, we intend to revoke the any importer–specific assessment rates Carbon Steel Plate From Canada; Final antidumping duty order with respect to calculated in the final results are above Results of Antidumping Duty subject merchandise produced and de minimis (i.e., at or above 0.5 percent), Administrative Reviews and exported by Pallante. Also, in the Department will issue appraisement Determination To Revoke in Part, 64 FR accordance with 19 CFR 351.222(f)(3), if instructions directly to CBP to assess 2173, 2175 (January 13, 1999); see also these findings are affirmed in our final antidumping duties on appropriate Pure Magnesium From Canada; Final results, we will terminate the entries by applying the assessment rate Results of Antidumping Duty suspension of liquidation for any such to the entered value of the merchandise. Administrative Review and merchandise entered, or withdrawn For assessment purposes, we calculated
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importer–specific assessment rates for entries during this review period. Countervailing Duty Administrative the subject merchandise by aggregating Failure to comply with this requirement Reviews, 69 FR 67701 (November 19, the dumping margins for all U.S. sales could result in the Secretary’s 2004).2 On June 23, 2005, the to each importer and dividing the presumption that reimbursement of Department published in the Federal amount by the total entered value of the antidumping duties occurred and Register a notice extending the time sales to that importer. Where increase the subsequent assessment of limit for the preliminary results of the appropriate, to calculate the entered the antidumping duties by the amount administrative review from July 3, 2005, value, we subtracted international of antidumping duties reimbursed. to August 2, 2005. See Extension of movement expenses (e.g., international These preliminary results of this Time Limit for the Preliminary Results freight) from the gross sales value. administrative review are issued and of the Antidumping Duty Administrative Review: Polyvinyl Alcohol from the Cash Deposit Requirements published in accordance with sections 751(a)(1) and 777(i)(1) of the Act. People’s Republic of China, 70 FR 36375 To calculate the cash deposit rate for Dated: July 15, 2005. (June 23, 2005). The preliminary results each producer and/or exporter included of review are currently due no later than Susan H. Kuhbach, in this administrative review, we August 2, 2005. divided the total dumping margins for Acting Assistant Secretary for Import each company by the total net value for Administration. Extension of Time Limit of Preliminary that company’s sales during the review [FR Doc. 05–14526 Filed 7–21–05; 8:45 am] Results period. BILLING CODE: 3510–DS–S Pursuant to section 751(a)(3)(A) of the The following deposit rates will be Tariff Act of 1930, as amended (‘‘the effective upon publication of the final Act’’), the Department shall issue results of this administrative review for DEPARTMENT OF COMMERCE preliminary results in an antidumping all shipments of pasta from Italy administrative review of an entered, or withdrawn from warehouse, International Trade Administration antidumping duty order within 245 for consumption on or after the [A–570–879] days after the last day of the anniversary publication date, as provided by section month of the date of publication of the 751(a)(2)(C) of the Act: (1) The cash Extension of Time Limit for the order. deposit rates for the companies listed Preliminary Results of the The Act further provides, however, above will be the rates established in the Antidumping Duty Administrative that the Department may extend the final results of this review, except if the Review: Polyvinyl Alcohol from the deadline for completion of the rate is less than 0.5 percent and, People’s Republic of China preliminary results of review from 245 therefore, de minimis, the cash deposit days to 365 days if it determines that it AGENCY: will be zero; (2) for previously reviewed Import Administration, is not practicable to complete the or investigated companies not listed International Trade Administration, preliminary results within the 245-day above, the cash deposit rate will Department of Commerce. period. Completion of the preliminary continue to be the company–specific EFFECTIVE DATE: July 22, 2005. results of this review within the 245-day rate published for the most recent final FOR FURTHER INFORMATION CONTACT: Lilit period is not practicable because the results in which that manufacturer or Astvatsatrian, AD/CVD Operations, Department needs additional time to exporter participated; (3) if the exporter Office 8, Import Administration, research and analyze a significant is not a firm covered in this review, a International Trade Administration, amount of information pertaining to the prior review, or the original less–than- U.S. Department of Commerce, 14th respondent company’s large number of fair–value (‘‘LTFV’’) investigation, but Street and Constitution Avenue, NW, factors of production, review and issue the manufacturer is, the cash deposit Washington, DC 20230; telephone: (202) supplemental questionnaires, and rate will be the rate established for the 482–6412. evaluate certain issues raised by most recent final results for the SUPPLEMENTARY INFORMATION: Petitioners. manufacturer of the merchandise; and Because it is not practicable to (4) if neither the exporter nor the Background complete this review within the time manufacturer is a firm covered in this or The Department of Commerce (‘‘the specified under the Act, we are any previous review conducted by the Department’’) published an extending the time period for issuing Department, the cash deposit rate will antidumping duty order on polyvinyl the preliminary results of review by an be 11.26 percent, the ‘‘All Others’’ rate alcohol (‘‘PVA’’) from the People’s additional 45 days until September 16, established in the LTFV investigation. Republic of China (‘‘PRC’’) on October 2005, in accordance with section See Notice of Antidumping Duty Order 1, 2003 (see Antidumping Duty Order: 751(a)(3)(A) of the Act. The final results and Amended Final Determination of Polyvinyl Alcohol from the People’s continue to be due 120 days after the Sales at Less Than Fair Value: Certain Republic of China, 68 FR 56620). On publication of the preliminary results. Pasta from Italy, 61 FR 38547 (July 24, October 29, 2004, Petitioners1 requested 1996). that the Department conduct an 2 We note that the beginning date (i.e., March 20, 2003) of the announced period of review (‘‘POR’’) These cash deposit requirements, antidumping duty administrative review was not correct. The Department inadvertently when imposed, shall remain in effect of Sinopec Sichuan Vinylon Works. published an incorrect beginning date which was until publication of the final results of On November 19, 2004, the the date of the preliminary determination of the the next administrative review. Department published in the Federal investigation. Because the only respondent in this Register a notice of the initiation of the proceeding had a de minimis rate in the preliminary Notification to Importers determination, the correct beginning date for the antidumping duty administrative review POR should have been the date of the final This notice serves as a preliminary of PVA from the PRC for the period determination in the investigation. Thus, the reminder to importers of their March 20, 2003, through September 30, Department corrected the beginning date of the POR responsibility under 19 CFR 351.402(f) to reflect the correct POR which is August 11, 2003, 2004. See Initiation of Antidumping and through September 30, 2004. See Memorandum to to file a certificate regarding the the File from Lilit Astvatsatrian, Case Analyst, reimbursement of antidumping duties 1 Celanese, Ltd. and E.I. du Pont de Nemours & through Robert Bolling, Program Manager, dated prior to liquidation of the relevant Co. (collectively ‘‘Petitioners). May 9, 2005.
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Dated: July 15, 2005. charge than the surrounding material. electrophoretic mobility. If the micelles Susan H. Kuhbach, These spots have been shown to are charged, a combination of Acting Deputy Assistant Secretary for Import selectively bind proteins in a linear or electrokinetic and pressure-driven flow Administration. 2-dimensional microarray pattern. can be applied so that the micelles and [FR Doc. 05–14527 Filed 7–21–05; 8:45 am] [NIST Docket Number: 01–029CIP1] the mobile phase move in opposite BILLING CODE 3510–DS–S Title: Mixing Reactions by directions. Conversely, the focusing can Temperature Gradient Focusing. be performed with a neutral surfactant Abstract: The invention provides a if the analyte is changed and made to DEPARTMENT OF COMMERCE variant of temperature gradient focusing migrate in the opposite direction of the that involves analyte-ligand interactions National Institute of Standards and mobile phase. Under these conditions, occurring as a result of focusing one Technology the analyte can be made to focus at a (either analyte or the ligand) and point along the micellar gradient. Notice of Government Owned allowing interactions with the other to Different analytes with different Inventions Available for Licensing occur within the ‘‘focus space.’’ The affinities for the micellar phase (or interaction can be between biological different electrophoretic mobilities) will AGENCY: National Institute of Standards molecules or other chemical species. focus at different points. The method and Technology, Commerce. Moving the focused ‘‘product’’ through provides a focusing equivalent of SUMMARY: The inventions listed below the temperature gradient after mixing micellar electrokinetic chromatography. are owned in whole by the U.S. allows additional information to be Government, as represented by the inferred if the assay displays a physical [NIST Docket Number: 03–016/04–002US] Department of Commerce. The property change such as melting or Title: A Direct Procedure For inventions are available for licensing in precipitation. Classifying Image Smoothness Based on accordance with 35 U.S.C. 207 and 37 [NIST Docket Number: 01–029CIP2] Singular Integral Operators And Fast CFR part 404 to achieve expeditious Title: Chiral Temperature Gradient Fourier Transform Algorithm.s commercialization of results of federally Focusing. Abstract: This invention provides a funded research and development. Abstract: The invention provides a class of new image deblurring FOR FURTHER INFORMATION CONTACT: variant of temperature gradient focusing procedures. These procedures are based Technical and licensing information on that uses chirally selective additives to on a reformulation of the image these inventions may be obtained by modify the electrophoretic mobility of deblurring problem in which Lipschitz writing to: National Institute of analytes thereby providing a method for (Besov) spaces are used to calibrate the Standards and Technology, Office of focusing and separation of analytes Technology Partnerships, Attn: Mary based on their chirality. lack of smoothness in the unknown desire sharp image. Clague, Building 820, Room 213, [NIST Docket Number: 01–034US] [NIST Docket Number: 04–016US] Gaithersburg, MD 20899. Information is Title: Microfluidic Flow Manipulation also available via telephone: 301–975– Device. Title: Microfluidic Platform of 4188, fax 301–869–2751, or e-mail: Abstract: The invention relates to a Arrayed Switchable Spin-Valve [email protected]. Any request for new method of mixing or splitting Elements for High-Throughput Sorting information should include the NIST streams in a microchannel. A pre- and Manipulation of Magnetic Particles Docket number and title for the formed imprinted T-channel is modified and Biomelecules. invention as indicated below. by a pulsed UV-excimer laser to create Abstract: The invention presents a SUPPLEMENTARY INFORMATION: NIST may a series of slanted wells at the junction. microfluidic platform that incorporates enter into a Cooperative Research and The presence of the wells leads to a high Development Agreement (‘‘CRADA’’) degree of lateral transport within the an array of spin-valve elements to with the licensee to perform further channel. The later transport provides selectively trap, manipulate and release research on the invention for purposes rapid mixing of two confluent streams magnetic particles with high throughput of commercialization. The inventions undergoing electroosmotic flow. and specificity. The array of spin-valve elements can exist in a ferromagnetic available for licensing are: [NIST Docket Number: 03–008US] [NIST Docket Number: 01–011US] ‘‘on’’ state, thereby acting like mini bar Title: Micellar Gradient Focusing. magnets with local magnetic fields. The Title: Surface Charge Modification Abstract: The invention provides a magnetic field gradients provide the Within Preformed Polymer method for focusing (concentrations trapping field to confine the magnetic Microchannels with Multiple and/or separation) based upon affinity particles. The spin-valve element can be Applications Including Modulating of an analyte for a pseudostationary Electroosmotic Flow And Creating phase such as a micellar phase. The turned to the antiferromagnetic ‘‘off’’ Microarrays. method works by creating a gradient in state where they no longer produce a Abstract: A laser was used to modify the capacity factor of the solute of local magnetic field. In the absence of the charge on the surface(s) of a interest to the micellar phase in the the local magnetic field, the magnetic preformed polymeric microchannel (e.g. channel. The solute has an inherent particles are released from the trap. The imprinted, embossed, injection molded, electrophoretic mobility when free in platform consists of a membrane that ablated, etc.). It is shown that the fluid solution. When interacting with the can separate the traps from the magnetic flow induced by an electric field micelles, the solute assumes the particle fluid, or it is possible to have applied along the length of the channel electrophoretic mobility of the micelle. the magnetic particle fluid on the same increases in velocity in the regions that On one side of the gradient, the solutes side of the traps. The ‘‘on/off’’ magnetic have been exposed to the laser, therefore strongly interact with the micelles and characteristic of these elements make it indicating a change in the surface have a net mobility dominated by that possible to apply an external global charge. Furthermore, the laser can be of the micelles. On the other side of the magnetic field to rotate the magnetic used to create well-defined spots within gradient, the capacity factor is low and particles while they are confined by the the channel that have a higher surface the solute assumes its native spin-valve elements.
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Dated: July 15, 2005. Commission’s mailing address or by ACTION: Notice of Advisory Committee Hratch G. Semerjian, telephone at (703) 699–2950 or 2708. meeting; Defense Business Board. Acting Director. SUPPLEMENTARY INFORMATION: In an open [FR Doc. 05–14512 Filed 7–21–05; 8:45 am] meeting held in Washington, DC on May SUMMARY: The Defense Business Board BILLING CODE 3510–13–P 19, 2005, the Commission decided the (DBB) will meet in open session on following: Thursday, July 28, 2005, at the —Naval Air Station Brunswick, Maine Pentagon, Washington, DC from 8:15 will be considered for closure or to a.m. until 10:15 a.m. The mission of the DEFENSE BASE CLOSURE AND increase the extent of realignment. DBB is to advise the Secretary of REALIGNMENT COMMISSION —Navy Broadway Complex, San Diego, Defense on effective strategies for California will be added to the list of implementation of best business Notice of Intent To Consider Bases Not installations to be considered by the practices of interest to the Department Included on the List of Bases Commission for closure or Recommended by the Secretary of of Defense. At this meeting, the Board realignment. will deliberate on their findings and Defense for Closure or Realignment —Naval Air Station Oceana, Virginia recommendations related to: Key Prior will be considered for closure or to AGENCY: Defense Base Closure and increase the extent of realignment. DBB Recommendations and Proposed Realignment Commission. —Pope Air Force Base, North Carolina Metrics to Coincide with Business SUMMARY: The Defense Base Closure and will be considered for closure or to Transformation Priorities; Healthcare for Realignment Act of 1990 (Pub. L. 101– increase the extent of realignment. Military Retirees; Performance-Based 510), as amended (Base Closure Act), —Galena Airport Forward Operating Management; and Military Postal authorizes the Defense Base Closure and Location, Alaska will be considered Service. Realignment Commission (Commission) for closure or to increase the extent of to consider the closure or realignment of realignment. DATES: Thursday, July 28, 2005, 8:15 bases not recommended for such action —Defense Finance and Accounting a.m. to 10:15 a.m. by the Secretary of Defense (Secretary), Service, Buckley Annex, Colorado; ADDRESSES: The Pentagon, 1100 Defense or to increase the extent of realignment Defense Finance and Accounting Pentagon, Room 2E314, Washington, DC of bases recommended for realignment Service, Columbus, Ohio; and Defense 20301–1100 by the Secretary. Section 2903 of the Finance and Accounting Service, Base Closure Act requires the Indianapolis, Indiana will be added to FOR FURTHER INFORMATION CONTACT: Commission to notify the public of a the list of installations to be Members of the public who wish to decision to add a base to the list considered by the Commission for attend the meeting must contact the recommended by the Secretary for closure or realignment. Defense Business Board no later than consideration by publication in the —Naval Postgraduate School, Monterey, Wednesday, July 27 for further Federal Register not less than 45 days California; Defense Language information about admission as seating prior to transmitting the Commission’s Institute, Monterey, California; and is limited. Additionally, those who wish report to the President. This notice is Air Force Institute of Technology, to make oral comments or deliver provided to meet that requirement. The Wright Patterson Air Force Base, Ohio written comments should also request to proposed changes to the list will be added to the list of be scheduled, and submit a written text recommended by the Secretary are installations to be considered by the of the comments by Wednesday, July 27 described in the SUPPLEMENTARY Commission for closure or to allow time for distribution to the INFORMATION realignment. section of this notice. Board members prior to the meeting. DATES: Effective July 21, 2005. —Bureau of Navy Medicine, Potomac Annex, District of Columbia; Air Individual oral comments will be FOR FURTHER INFORMATION CONTACT: Force Medical Command, Bolling Air limited to five minutes, with the total Please see the 2005 Defense Base Force Base, District of Columbia; and oral comment period not exceeding Closure and Realignment Commission Tricare Management Activity; Offices thirty-minutes. Web site, http://www.brac.gov. The of The Surgeons General, Military The DBB may be contacted at: Defense Commission invites the public to Departments; and Office of The Business Board, 1100 Defense Pentagon, provide direct comment by sending an Secretary of Defense, Health Affairs, electronic message through the portal Room 2E314, Washington, DC 20301– all in leased space, Virginia, will be provided on the Commission’s Web site 1100, via e-mail at added to the list of installations to be or by mailing comments and supporting [email protected], or via phone at considered by the Commission for documents to the 2005 Defense Base (703) 614–7085. closure or realignment. Closure and Realignment Commission, Dated: July 15, 2005. Dated: July 20, 2005. 2521 South Clark Street, Suite 600, Jeannette Owings-Ballard, Arlington, Virginia 22202–3920. The Jeannette Owings-Ballard, OSD Federal Register Liaison Officer, Administrative Support Officer. Commission requests that public Department of Defense. comments be directed toward matters [FR Doc. 05–14596 Filed 7–20–05; 2:53 pm] [FR Doc. 05–14534 Filed 7–21–05; 8:45 am] bearing on the decision criteria BILLING CODE 5001–06–P described in the Base Closure Act, BILLING CODE 5001–06–M available on the Commission Web site. Sections 2912 through 2914 of that Act DEPARTMENT OF DEFENSE describe the criteria and many of the essential elements of the 2005 BRAC Office of the Secretary process. For questions regarding this Defense Business Board; Notice of announcement, contact Mr. Dan Advisory Committee Meeting Cowhig, Deputy General Counsel and Designated Federal Officer, at the AGENCY: Department of Defense, DoD.
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DEPARTMENT OF DEFENSE (Alternative 2, Authorized Project) compensate for losses to wildlife habitat consists of channel enlargement and (bottomland hardwoods and agricultural Corps of Engineers, Department of the improvement in the St. Johns Bayou areas), shorebird habitat, waterfowl Army Basin along the lower 4.5 miles of St. habitat during February ‘‘March, and Johns Bayou, beginning at New Madrid, mid-season (1 April to 15 May) fish Intent To Prepare a Draft Revised Missouri, then continuing 8.1 miles rearing habitat. The final RSEIS was Supplemental Environmental Impact along the Birds Point New Madrid filed with EPA in July 2002. Statement II (DRSEIS II), Flood Control, Setback Levee Ditch and ending with The RSEIS expressed the Corps’ Mississippi River & Tributaries, St. 10.8 miles along the St. James Ditch. analysis of unavoidable losses to mid- Johns Bayou and New Madrid The first item of work, consisting of season fish rearing habitat as Habitat Floodway, MO, First Phase selective clearing and snagging, has Units (HU). The RSEIS used those HU lost to calculate the required acres of AGENCY: U.S. Army Corps of Engineers, already been completed along a 4.3-mile Memphis District. reach of the Setback Levee Ditch compensatory mitigation. The method beginning at the confluence with St. set out in the RSEIS was reforestation of ACTION: Notice of Intent and National James Ditch. agricultural areas. Therefore, the RSEIS Environmental Policy Act Scoping The Authorized Project also includes stated that reforestation of 8,375 acres of Document. a 1,000 cubic feet per second (cfs) agricultural areas (1,317 acres in the St. SUMMARY: The DRSEIS II will pumping station that would be located Johns Bayou Basin and 7,058 in the New supplement the final Revised a few hundred feet east of the existing Madrid Floodway) would mitigate for Supplemental Environmental Impact gravity outlet at the lower end of St. the unavoidable impacts to 4,213 mid- Statement (RSEIS) ‘‘Flood Control, Johns Bayou. The 1,500-ft gap in the season fish rearing HU (1,884 HU in the Mississippi River & Tributaries, St. Mississippi River levee at the lower end St. Johns Basin and 2,329 HU in the Johns Bayou and New Madrid of the New Madrid Floodway would be New Madrid Floodway). Floodway, MO, First Phase,’’ prepared closed. A 1,500 cfs pumping station and An inconsistency over required by the U.S. Army Corps of Engineers, gravity outlet structure would be built mitigation existed in the previous Memphis District, filed with the in the levee closure at the lower end of Record of Decision, State of Missouri Environmental Protection Agency (EPA) the New Madrid Floodway. The channel 401–Water Quality Certification, and the on 19 July 2002. The DRSEIS is being enlargement work and both pumping Administrative Record. Therefore, the prepared to clarify the record and stations are features of the St. Johns purpose of this DRSEIS II is to clarify the mitigation required in terms of HU address concerns that have developed Bayou and New Madrid Floodway and Average Daily Flooded Acres since the signing of the Record of Project, and the levee closure is a (ADFA). Additional mitigation features Decision (ROD) on 23 August 2003. feature of the Mississippi River Levees would also be investigated to ensure These clarifications relate primarily to Project. A final EIS, entitled Mississippi that the ADFA compensatory mitigation the calculation of compensatory Rivers and Tributaries, Mississippi requirement, or its equivalent, is met mitigation requirements for mid-season River Levees (MRL) and Channel and all habitat impacts for each fish rearing habitat, but may include any Improvement, was prepared by the U.S. respective resource (e.g., wildlife, other relevant subjects or information Army Corps of Engineers, Vicksburg shorebird, waterfowl, and mid-season such as hypoxia, cost-benefit analysis, District, in February 1976. This fish rearing) are adequately Swampbuster provisions, the applicable document was filed with the Council of compensated. discount rate, cost-share issues for levee Environmental Quality in April 1976. A Other matters for the DRSEIS II may closure, and potentially other issues. final EIS, entitled St. Johns Bayou/New include, but are not limited to, a review This Notice of Intent also serves as a Madrid Floodway Project Final of: hypoxia, the cost-benefit analysis, National Environmental Policy Act Supplemental Environmental Impact Swampbuster provisions, the 2.5% Scoping Document. Statement, was filed in 1982. A Draft discount rate, cost-share issues for levee FOR FURTHER INFORMATION OR COMMENT Supplemental Environmental Impact closure, and other relevant subjects or CONTACT: Mr. Danny Ward, telephone Statement (DSEIS) was prepared to information. (901) 544–0709, CEMVM–PM–E, 167 N. supplement both of these previous Main, Room B202, Memphis, TN 38103, documents. The DSEIS was submitted 2. Reasonable Alternatives e-mail— for public review and comment in April The recommended flood damage [email protected], 1999. The Final Supplemental reduction features as outlined in the or Mr. Kevin Pigott, telephone (901) Environmental Impact Statement RSEIS would not be addressed in this 544–4309, address as above, e-mail— (FSEIS) was filed in September 2000. DRSEIS. Therefore, no additional flood [email protected]. The RSEIS documented the damage reduction alternatives would be SUPPLEMENTARY INFORMATION: formulation and evaluation of analyzed in the St. Johns Bayou Basin additional alternatives to address or the New Madrid Floodway. In 1. Proposed Action concerns expressed by various resource addition to clarifying the inconsistency The Flood Control Act of 1954 agencies and environmental advocacy concerning the required amount of authorized the closure of a 1,500-foot groups that environmental losses were mitigation, the DRSEIS II would also gap and construction of a gated outlet in not acceptable. The RSEIS included address additional mitigation features to the Mississippi River levee at the lower alternative levee closure locations for compensate for the unavoidable impacts end of the New Madrid Floodway. The the New Madrid Floodway; an array of to fish and wildlife resources. Water Resources Development Act of pump and gate operation alternatives Reforestation of frequently flooded 1986 authorized channel modifications that increase connectivity of the agricultural land remains one means of and pumping stations for the St. Johns floodway with the Mississippi River to providing the required 8375 ADFA of Bayou Basin and the New Madrid minimize impacts on fish habitat; compensatory mitigation. If Floodway. significant avoid and minimize reforestation of agricultural lands were The First Phase of the St. Johns Bayou measures to benefit fish and wildlife the only compensatory mitigation and New Madrid Floodway Project resources; and mitigation measures that method employed, then the actual acres
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required would be no less than 8375 Tribes; non-governmental organizations, DEPARTMENT OF ENERGY acres (assuming each acre is an ADFA), and the general public. Federal Energy Regulatory and could conceivably be more in order Comments to this Notice of Intent are Commission to assure that the ADFA equivalent requested by 5 August 2005 at the above habitat requirement is also met. [Docket No. CP05–390–000] In addition to reforestation of address. It is anticipated that the DRSEIS II will be available for public agricultural areas, other compensatory Great Lakes Gas Transmission Limited review in August 2005. mitigation measures would also be Partnership; Notice of Request Under formulated. These measures include but Vincent D. Navarre, Blanket Authorization are not limited to calculating expected Major, Corps of Engineers, Deputy District July 18, 2005. benefits to mid-season fish rearing Engineer, Memphis District. habitat from the creation of shorebird Take notice that on July 5, 2005, Great [FR Doc. 05–14165 Filed 7–21–05; 8:45 am] areas (moist soil units) and the Big Oak Lakes Gas Transmission Limited Tree State Park water supply feature, BILLING CODE 3710–KS–P Partnership (Great Lakes) 5250 creation and/or enhancement of Corporate Drive, Troy, Michigan 48098, permanent waterbody features, and filed in Docket No. CP05–390–000, a creation and/or enhancement of ELECTION ASSISTANCE COMMISSION prior notice request pursuant to sections backwater flooding events. Measures 157.205 and 157.208 of the Sunshine Act Notice that provide the highest duration of Commission’s Regulations under the flooding during the mid-season fish Natural Gas Act (NGA) and Great Lakes’ rearing period (1 April to 15 May) offer AGENCY: United States Election blanket certificate issued in Docket No. the highest potential benefits. Assistance Commission. CP90–2053,1 for authorization to inspect, repair and/or replace certain Other matters such as hypoxia, the ACTION: Notice of Public Meeting for sections of its 36-inch outside-diameter cost-benefit analysis, Swampbuster U.S. Election Assistance Commission natural gas mainline (100 Line) in provisions, the 2.5% discount rate, cost- Board of Advisors. share issues for levee closure, and other Itasca, Aitkin and St. Louis Counties, relevant subjects or information, may DATE & TIME: Wednesday, August 3, Minnesota, which is on file with the also be explored in the DRSEIS II. 2005, 6:30 p.m.–8:30 p.m., Thursday, Commission and open to public inspection. 3. The Corps Scoping Process August 4, 2005, 8:30 a.m.–5 p.m. and Friday, August 5, 2005, 8:30 a.m.–5 p.m. Specifically, Great Lakes will repair or Coordination with appropriate replace up to 59 anomalies at 32 resource and regulatory agencies would PLACE: Portland Marriott City Center, locations along its pipeline, identified be maintained throughout the 520 Southwest Broadway, Portland, OR by a Magnetic Flux Leakage In-line formulation of this DRSEIS II. 97205. Inspection Tool as being possibly Comments and concerns that have been deteriorated by corrosion. Great Lakes PURPOSE: The U.S. Election Assistance expressed since the signing of the ROD states that the proposed project Commission (EAC) Board of Advisors, will be used to identify significant activities must be completed utilizing issues. This Notice of Intent also serves as required by the Help America Vote additional work space outside of Great as a scoping document. The purpose of Act of 2002, will meet to consider and Lakes’ existing right of way due to the this notice is to advise all interested receive presentations on the Voluntary presence of unstable saturated soils in parties of the intent to supplement the Voting System Guidelines proposed by the project areas and the proximity of its RSEIS and to solicit comments and EAC, to receive a presentation on the 200 line (loop line) to the areas of the information concerning compensatory statewide voter registration list guidance 100 line that requires inspection, mitigation, hypoxia, the cost-benefit adopted by EAC, to formulate remediation, and possible replacement.2 analysis, Swampbuster provisions, the recommendations to EAC, and to handle Great Lakes estimates the total cost at up 2.5% discount rate, cost-share issues for other administrative matters. to $16 million. levee closure, and other relevant Any member of the public may file a Any questions concerning this subjects or information. Comments written statement with the Board before, application may be directed to John J. would be used to determine during, or after the meeting. To the Wallbillich, Vice President, Legal and opportunities to develop additional extent that time permits, the Board may Environmental Affairs, Great Lakes Gas compensatory mitigation strategies and Transmission Company, 5250 Corporate allow public presentation or oral other strategies that relate to, but are not Drive, Troy, Michigan 48098 at (248) statements at the meeting. limited to, hypoxia, the cost-benefit 205–7426. analysis, Swampbuster provisions, the PERSON TO CONTACT FOR INFORMATION: This filing is available for review at 2.5% discount rate, cost-share issues for Bryan Whitener, Telephone: (202) 566– the Commission or may be viewed on levee closure, and any other relevant 3100. the Commission’s Web site at http:// subject or information, and to evaluate www.ferc.gov, using the ‘‘eLibrary’’ link. the probable impact (including Thomas R. Wilkey, Enter the docket number excluding the cumulative impacts) of compensatory Executive Director, U.S. Election Assistance last three digits in the docket number mitigation, as well as the probable Commission. filed to access the document. For impacts of such issues that may include, [FR Doc. 05–14641 Filed 7–20–05; 3:30 pm] assistance, please contact FERC Online but are not limited to, hypoxia, the cost- BILLING CODE 6820–KF–M Support at benefit analysis, Swampbuster [email protected] or call provisions, the 2.5% discount rate, cost- share issues for levee closure, and any 1 52 FERC ¶ 62,291 (1990). other relevant subjects or information. 2 The proposed work would normally be preformed under Section 2.55 of the Commission This notice is being circulated to Regulations, however in this project additional Federal, State, and local environmental temporary work space is required outside of the 100 resource and regulatory agencies; Indian Line footprint.
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toll-free at (866) 206–3676, or, for TTY, by the project works or otherwise mail of new filings and issuances contact (202) 502–8659. Comments, located within the project boundary. related to this or other Commission protests and interventions may be filed g. Filed Pursuant to: 18 CFR part 5 of projects. For assistance, contact FERC electronically via the Internet in lieu of the Commission’s Regulations. Online Support. paper. See, 18 CFR 385.2001(a)(1)(iii) h. Green Power Contact: Joel Groves, o. Concurrent with this notice, we are and the instructions on the Hydro Project Manager, Green Power issuing Scoping Document 1 (SD1), Commission’s Web site under the ‘‘e- Development, LLC, 1503 West 33rd which outlines the alternatives and Filing’’ link. The Commission strongly Avenue, Anchorage, AK 99503; (907) issues to be addressed in our encourages intervenors to file 258–2420; [email protected]. environmental document, to the electronically. i. FERC Contact: John Blair, Federal individuals and entities on the Any person or the Commission’s staff Energy Regulatory Commission, 888 Commission’s mailing list. Copies of may, within 45 days after issuance of First Street, NE., Washington, DC 20426; SD1 will be available at the scoping the instant notice by the Commission, (202) 502–6092; [email protected]. meetings described in item r below, or file pursuant to Rule 214 of the j. We are asking Federal, State, local, is available for review at the Commission’s Procedural Rules (18 CFR and tribal agencies with jurisdiction Commission in the Public Reference 385.214) a motion to intervene or notice and/or special expertise with respect to Room or may be viewed on the of intervention and pursuant to environmental issues to cooperate with Commission’s Web site, http:// § 157.205 of the Regulations under the us in the preparation of the www.ferc.gov, using the ‘‘eLibrary’’ link, Natural Gas Act (18 CFR 157.205) a environmental document. Agencies who as described in item n above. Based on protest to the request. If no protest is would like to request cooperating status all oral and written comments, a filed within the time allowed therefore, should follow the instructions for filing Scoping Document 2 (SD2) may be the proposed activity shall be deemed to comments described in paragraph p issued. SD2 will include any revisions be authorized effective the day after the below. to the list of issues outlined in SD1 that k. With this notice, we are initiating time allowed for filing a protest. If a are identified during the scoping informal consultation with: (1) The U.S. protest is filed and not withdrawn process, and may include a revised Fish and Wildlife Service and NOAA within 30 days after the time allowed process plan and schedule. Fisheries, as appropriate, under section for filing a protest, the instant request p. With this notice, we are soliciting 7 of the Endangered Species Act and the shall be treated as an application for comments on the PAD and SD1, as well joint agency regulations there under at authorization pursuant to section 7 of as any study requests. All comments on 50 CFR 402; and (2) the State Historic the Natural Gas Act. the PAD and SD1, and study requests Preservation Officer, as required by should be sent to Green Power Magalie R. Salas, section 106, National Historic Development at the address above in Secretary. Preservation Act, and the implementing paragraph h, and in addition, all [FR Doc. E5–3925 Filed 7–21–05; 8:45 am] regulations of the Advisory council on comments on the PAD and SD1, study BILLING CODE 6717–01–P Historic Preservation at 36 CFR 800.2. requests, requests for cooperating l. With this notice, we are designating agency status, and all communications Green Power Development, LLC as the with Commission staff related to the DEPARTMENT OF ENERGY Commission’s non-Federal merits of the proposed application representative for carrying out informal (original and eight copies) must be filed Federal Energy Regulatory consultation, pursuant to section 7 of with the Commission at the following Commission the Endangered Species Act; and as the address: Magalie R. Salas, Secretary, [Project No. 12530–001] Commission’s non-Federal Federal Energy Regulatory Commission, representative for carrying out informal 888 First Street, NE., Washington, DC Green Power Development, LLC; consultation pursuant to section 106 of 20426. All filings with the Commission Anchorage, AK; Notice of Intent To File the National Historic Preservation Act. must include, on the first page, the License Application, Filing of Pre- m. Green Power Development filed a project name (Allison Lake Application Document (PAD), Pre-Application Document (PAD), Hydroelectric Project) and number Commencement of Licensing including a proposed process plan and (P–12530–000), and bear the heading Proceeding, Issuance of Scoping schedule, with the Commission, ‘‘Comments on Pre-Application Document, Solicitation of Study pursuant to 18 CFR 5.6 of the Document,’’ ‘‘Study Requests,’’ ‘‘ Requests and Comments on the Pad Commission’s regulations. Comments on Scoping Document 1,’’ and Scoping Document n. A copy of the PAD is available for ‘‘Request for Cooperating Agency review at the Commission in the Public Status,’’ or ‘‘Communications with July 18, 2005. Reference Room or may be viewed on Commission Staff.’’ Any individual or a. Type of Filing: Notice of intent to the Commission’s Web site, http:// entity interested in submitting study file a license application for a new www.ferc.gov, using the ‘‘eLibrary’’ link. requests, commenting on the PAD or license under the Integrated Licensing Enter the docket number, P–12530 in SD1, and any agency requesting Process and Commencing Licensing the docket number field, to access the cooperating status must do so by Proceeding. document. For assistance, contact FERC September 16, 2005. b. Project No.: 12530–001. Online Support at Comments on the PAD and SD1, c. Date Filed: May 23, 2005. [email protected] or toll study requests, requests for cooperating d. Submitted by: Green Power free at (866) 208–3676, or for TTY, (202) agency status, and other permissible Development, LLC. 502–8659. A copy is also available for forms of communications with the e. Project Name: Allison Lake inspection and reproduction at Green Commission may be filed electronically Hydroelectric Project. Power Deveopment, 1503 West 33rd via the Internet in lieu of paper. See 18 f. Location: On the headwaters of Avenue, Suite 301, Anchorage, AK CFR 385.2001 (a)(1)(iii) and the Allison Creek at Allison Lake in south- 99503. instructions on the Commission’s Web central Alaska within the City Limits of Register online at http://ferc.gov/ site, http://www.ferc.gov, under the ‘‘e- Valdez. No Federal lands are occupied esubscribenow.htm to be notified via e- Filing’’ link. The Commission strongly
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encourages electronic filings. For resource management objectives; (3) Persons unable to file electronically assistance, please contact FERC Online review and discuss existing information should submit an original and 14 copies Support. and identify preliminary information of the protest or intervention to the q. At this time, the Commission and study needs; (4) review and discuss Federal Energy Regulatory Commission, intends to prepare an Environmental the process plan and schedule for pre- 888 First Street, NE., Washington, DC Assessment for the project, in filing activities that incorporates the 20426. accordance with the National time frames provided for in part 5 of the This filing is accessible on-line at Environmental Policy Act. Commission’s regulations and, to the r. Scoping Meetings: Commission staff extent possible, maximizes coordination http://www.ferc.gov, using the will hold two scoping meetings at the of Federal, State, and tribal permitting ‘‘eLibrary’’ link and is available for time and place noted below. We invite and certification processes; and (5) review in the Commission’s Public all interested individuals, organizations, discuss the appropriateness of any Reference Room in Washington, DC. and agencies to attend one or both Federal or State agency or Indian tribe There is an ‘‘eSubscription’’ link on the meetings, and to assist staff in acting as a cooperating agency for Web site that enables subscribers to identifying particular study needs, as development of our environmental receive email notification when a well as the scope of environmental document. document is added to a subscribed issues to be addressed in the docket(s). For assistance with any FERC environmental document. The times Meeting Procedures Online service, please e- mail and locations of these meetings are as The scoping meetings will be [email protected], or call follows: recorded by a court reporter and all (866) 208–3676 (toll free). For TTY, call statements, oral and written, will Scoping Meeting #1 (202) 502–8659. become part of the Commission’s Comment Date: 5 p.m. Eastern Time Date and Time: August 16, 2005 from official public record for this project. 7 to 9 p.m. on August 17, 2005. Magalie R. Salas, Location: Valdez Convention and Magalie R. Salas, Secretary. Civic Center, 110 Clifton Drive, Valdez, Secretary. Alaska. [FR Doc. E5–3923 Filed 7–21–05; 8:45 am] [FR Doc. E5–3922 Filed 7–21–05; 8:45 am] Phone: (907) 835–4440. BILLING CODE 6717–01–P BILLING CODE 6717–01–P Scoping Meeting #2 Date and Time:August 17, 2005 at 1 DEPARTMENT OF ENERGY to 5 p.m. DEPARTMENT OF ENERGY Location: Hawthorn Suites Hotel, Federal Energy Regulatory 1110 West 8th Ave., Anchorage, Alaska. Commission Federal Energy Regulatory Commission Phone: (907) 222–5005. [Docket No. ID4348–000] The scoping meetings are posted on the Commission’s calendar, located on Mr. Philip R. Lochner, Jr.; Notice of [P–2195–011] the internet at http://www.ferc.gov/ Filing EventCalendar/EventsList.aspx, along Portland General Electric Company, with other related information. July 18, 2005. Portland, OR; Notice of Filing Take notice that on June 20, 2005, Mr. Site Visit Philip R. Lochner, Jr., filed an July 18, 2005. Green Power Development will application for authorization under Take notice that the following person conduct a site visit of the project on section 205(b) of the Federal Power Act has been assigned to facilitate August 16, 2005, beginning at 1 p.m. to hold interlocking positions as discussions among parties involved in Participants should be prepared to Director of Consumers Energy Company the licensing of Portland General and as Director of CLARCOR Inc. provide their own ground Electric Company’s Clackamas Any person desiring to intervene or to transportation. Drive from the town of hydroelectric project. Project impacts to protest this filing must file in Valdez on Dayville Road, traveling salmonid species, water quality and toward the Valdez Marine Terminal. accordance with Rules 211 and 214 of related issues will be topics discussed. Meet at the parking area on the left side the Commission’s Rules of Practice and of Dayville Road immediately before Procedure (18 CFR 385.211, 385.214). Office of Energy Projects crossing the bridge over Allison Creek. Protests will be considered by the From the parking lot participants will Commission in determining the Jim Hastreiter, (503) 552–2760. travel on foot to the proposed appropriate action to be taken, but will The staff person listed above is powerhouse site. Weather permitting, not serve to make protestants parties to separated from the advisory staff in this we will tour the water intake and dam the proceeding. Any person wishing to proceeding and will not participate as sites at Allison Lake by aerial fly over. become a party must file a notice of advisory staff in this proceeding. Anyone with questions about the site intervention or motion to intervene, as visit should contact Joel Groves of Green appropriate. Such notices, motions, or Magalie R. Salas, Power Development at (907) 258–2420. protests must be filed on or before the Secretary. Those individuals planning to comment date. Anyone filing a motion [FR Doc. E5–3924 Filed 7–21–05; 8:45 am] participate should notify Mr. Groves of to intervene or protest must serve a copy BILLING CODE 6717–01–P their intent, before August 3, 2005. of that document on the Applicant and all the parties in this proceeding. Meeting Objectives The Commission encourages At the scoping meetings, staff will: (1) electronic submission of protests and Initiate scoping of the issues; (2) review interventions in lieu of paper using the and discuss existing conditions and ‘‘eFiling’’ link at http://www.ferc.gov.
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DEPARTMENT OF ENERGY proceeding can ask for court review of DEPARTMENT OF ENERGY Commission orders in the proceeding. Federal Energy Regulatory Federal Energy Regulatory However, a person does not have to Commission Commission intervene in order to have comments [Docket No. CP05–392–000] considered. The second way to Notice of Application for Approval of participate is by filing with the Texas Eastern Transmission, LP; Amendment of License and Soliciting Secretary of the Commission, as soon as Notice of Application Comments, Motions To Intervene, and possible, an original and two copies of Protests July 18, 2005. comments in support of or in opposition On July 6, 2005, Texas Eastern to this project. The Commission will July 18, 2005. Transmission, LP, (Texas Eastern) filed consider these comments in Take notice that the following an application pursuant to section 7(c) determining the appropriate action to be application has been filed with the of the Natural Gas Act and part 157 of taken, but the filing of a comment alone Commission and is available for public the regulations of the Federal Energy will not serve to make the filer a party inspection: a. Application Type: Amendment of Regulatory Commission (Commission) to the proceeding. The Commission’s Recreation Plan. requesting a certificate of public rules require that persons filing b. Project No.: 2833–092. convenience and necessity authorizing comments in opposition to the project Texas Eastern to enhance the reliability c. Date Filed: May 31, 2005. provide copies of their protests only to d. Applicant: Lewis County PUD No. and flexibility of its Accident Storage the party or parties directly involved in Field located in Garrett County, 1. the protest. Maryland, by improving deliverability e. Name of Project: Cowlitz Falls at lower inventory levels, expanding the Persons who wish to comment only Project. working gas capacity by 3.0 Bcf, and on the environmental review of this f. Location: The project is located on increasing the injection capability, project should submit an original and the Cowlitz and Cispus Rivers, in Lewis thereby increasing the overall two copies of their comments to the County, Washington. performance capabilities of the field. Secretary of the Commission. g. Filed Pursuant to: Federal Power This filing is available for review at the Environmental commenters will be Act, 16 U.S.C. 791(a)–825(r) and 799 Commission in the Public Reference placed on the Commission’s and 801. Room or may be viewed on the environmental mailing list, will receive h. Applicant Contact: Debbie Commission’s website at http:// copies of the environmental documents, Angwood, Lewis County PUD, 31 NW Pacific Avenue, Chehalis, WA 98532– www.ferc.gov using the ‘‘e-Library’’ link. and will be notified of meetings 0330 (360) 740–2457. Enter the docket number excluding the associated with the Commission’s i. FERC Contact: Any questions on last three digits in the docket number environmental review process. field to access the document. For this notice should be addressed to Mrs. Environmental commenters will not be Heather Campbell at (202) 502–6182, or assistance, contact FERC at required to serve copies of filed [email protected] or call e-mail address: documents on all other parties. toll-free, (866) 208–3676, or for TTY, [email protected]. (202) 502–8659. However, the non-party commenters j. Deadline for filing comments and or Any questions regarding this will not receive copies of all documents motions: August 15, 2005. application should be directed to Steven filed by other parties or issued by the All documents (original and eight E. Tillman, General Manager, Regulatory Commission (except for the mailing of copies) should be filed with: Ms. Affairs, Texas Eastern Transmission, LP, environmental documents issued by the Magalie R. Salas, Secretary, Federal P.O. Box 1642, Houston, Texas 77251– Commission) and will not have the right Energy Regulatory Commission, 888 1642; phone (713) 627–5113. to seek court review of the First Street, NE., Washington DC 20426. There are two ways to become Commission’s final order. Please include the project number (P– involved in the Commission’s review of Protests and interventions may be 2833–092) on any comments or motions this project. First, any person wishing to filed electronically via the Internet in filed. Comments, protests, and obtain legal status by becoming a party lieu of paper; see, 18 CFR interventions may be filed electronically to the proceedings for this project via the internet in lieu of paper. See, 18 385.2001(a)(1)(iii) and the instructions should, on or before the comment date CFR 385.2001(a)(1)(iii) and the on the Commission’s Web site under the stated below file with the Federal instructions on the Commission’s Web ‘‘e-Filing’’ link. The Commission Energy Regulatory Commission, 888 site at http://www.ferc.gov under the e- First Street, NE., Washington, DC 20426, strongly encourages electronic filings. Filing link. The Commission strongly a motion to intervene in accordance Comment Date: 5 p.m. Eastern Time encourages e-filings. with the requirements of the on August 8, 2005. k. Description of Requests: Lewis Commission’s Rules of Practice and County PUD is proposing to amend its Procedure (18 CFR 385.214 or 385.211) Magalie R. Salas, recreation plan to relocate the canoe/ and the Regulations under the NGA (18 Secretary. kayaker takeout area. The site approved CFR 157.10). A person obtaining party [FR Doc. E5–3921 Filed 7–21–05; 8:45 am] in the license is inaccessible. The status will be placed on the service list BILLING CODE 6717–01–P proposed new site would provide access maintained by the Secretary of the for rafters along the Cispus River. Commission and will receive copies of l. Location of the Application: This all documents filed by the applicant and filing is available for review at the by all other parties. A party must submit Commission in the Public Reference 14 copies of filings made in the Room 888 First Street, NE., Room 2A, proceeding with the Commission and Washington, DC 20426 or may be must mail a copy to the applicant and viewed on the Commission’s website at to every other party. Only parties to the http://www.ferc.gov using the ‘‘e-
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library’’ link. Enter the docket number ENVIRONMENTAL PROTECTION DATES: Submit nominations via U.S. excluding the last three digits in the AGENCY mail on or before August 22, 2005. docket number field to access the ADDRESSES: Address all nominations to document. For assistance, call toll-free [FRL–7943–2] Elizabeth McDermott, Designated 1–866–208–3676 or e-mail Federal Officer, National Drinking National Drinking Water Advisory [email protected]. For TTY, Water Advisory Council Working Group Council Request for Nominations for on Public Education, U.S. call (202) 502–8659. A copy is also the Working Group on Public available for inspection and Environmental Protection Agency, Education Requirements of the Lead Office of Ground Water and Drinking reproduction at the address in item h. and Copper Rule above. Water, Drinking Water Protection AGENCY: Division (Mail Code 4606M), 1200 m. Individuals desiring to be included Environmental Protection Agency. Pennsylvania Avenue, NW., on the Commission’s mailing list should Washington, DC 20460. ACTION: Notice. so indicate by writing to the Secretary FOR FURTHER INFORMATION CONTACT: E- of the Commission. SUMMARY: The U.S. Environmental mail your questions to Elizabeth n. Comments, Protests, or Motions to Protection Agency (EPA or Agency) is McDermott, Designated Federal Officer, Intervene: Anyone may submit announcing the formation of a Working at [email protected], or call comments, a protest, or a motion to Group of the National Drinking Water (202) 564–1603. intervene in accordance with the Advisory Council on the Public SUPPLEMENTARY INFORMATION: Working requirements of Rules of Practice and Education Requirements of the Lead and Group Charge: The charge for the Procedure, 18 CFR 385.210, 385.211, Copper Rule (WGPE) and soliciting all Working Group on the Public Education 385.214. In determining the appropriate interested persons to nominate qualified Requirements of the Lead and Copper action to take, the Commission will individuals to serve a one-year term. Rule (WGPE) is to (1) review the current consider all protests or other comments Any interested person or organization public education requirements to find filed, but only those who file a motion may nominate qualified individuals for and define the need for improvements to intervene in accordance with the membership on the working group. and make recommendations to the full Commission’s Rules may become a Background: The Lead and Copper NDWAC accordingly; (2) develop party to the proceeding. Any comments, Rule requires systems that exceed the language for communicating the risk protests, or motions to intervene must action level to complete a number of and a suggested response to the public; steps, which include delivering public be received on or before the specified and (3) define the delivery means to the education to alert the public of the comment date for the particular public. The NDWAC established a target problem and provide information on date of May 2006 to complete these application. steps customers can take to reduce their tasks. o. Filing and Service of Responsive risk. In order to ensure ‘‘at risk Selection Criteria: The criteria for Documents: Any filings must bear in all populations’’ are receiving the necessary selecting WGPE members are as follows: capital letters the title ‘‘COMMENTS’’, information to protect themselves from the members are recognized experts in ‘‘RECOMMENDATIONS FOR TERMS exposure to lead, EPA is reviewing the their fields; the members are as AND CONDITIONS’’, ‘‘PROTEST’’, OR public education requirements of the impartial and objective as possible; the ‘‘MOTION TO INTERVENE’’, as Lead and Copper Rule. EPA believes members collectively represent an array applicable, and the Project Number of that public information is an important of backgrounds and perspectives within the particular application to which the component of drinking water protection the water sector and related disciplines filing refers. A copy of any motion to because it allows consumers to make (e.g., public health); and the members intervene must also be served upon each informed public health decisions. are available to fully participate in the representative of the Applicant The National Drinking Water WGPE. The schedule remains flexible, specified in the particular application. Advisory Council (NDWAC), however, it is estimated that the first established under the Safe Drinking WGPE meeting will be convened in the p. Agency Comments: Federal, state, Water Act, as amended (42 U.S.C. 300f Fall of 2005, and subsequent meetings and local agencies are invited to file et seq.), provides practical and will be conducted over a relatively short comments on the described independent advice, consultation, and time frame of approximately one (1) applications. Copies of the applications recommendations to the Agency on the year. Over the course of this period, may be obtained by agencies directly activities, functions, and policies related WGPE members will be asked to attend from the Applicant. If an agency does to the implementation of the Safe a maximum of four (4) in-person not file comments within the time Drinking Water Act. On June 1, 2005, meetings, participate in conference calls specified for filing comments, it will be the NDWAC voted on and approved the and video conferencing as necessary, presumed to have no comments. One formation of a Working Group (WGPE) participate in the discussion of key copy of an agency’s comments must also to provide recommendations on the issues at all meetings, and review and be sent to the Applicant’s Public Education Requirements of the finalize the products and outputs of the representatives. Lead and Copper Rule. After WGPE WGPE. The EPA is looking to create a completes their charge, they will make diverse working group. Potential Magalie R. Salas, recommendations to the full NDWAC. nominations could include individuals Secretary. The full NDWAC will, in turn, make from the drinking water industries, [FR Doc. E5–3920 Filed 7–21–05; 8:45 am] appropriate recommendations to EPA. stakeholder organizations, state and BILLING CODE 6717–01–P For a general description of the WGPE local officials, public health officials, charge, the criteria for selecting WGPE environmental organizations, and risk members, and the specific directions for communication experts. The Agency is submitting WGPE member nominations, looking for a range of industry please see the SUPPLEMENTARY representation in terms of the size of the INFORMATION section. population served, as well as investor
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and publicly owned and operated Period Ends: 09/21/2005, Contact: Contact: Victoria Touchstone 760– facilities. This is not an exhaustive list; Gary Shirakata 808–438–0772. 431–9440 Ex. 349. it is only intended to provide a EIS No. 20050293, Draft EIS, WPA, AZ, EIS No. 20050300, Draft Supplemental framework to consider potential Wellton-Mohawk Generating Facility EIS, NOA, 00, Reef Fish (Amendment nominees. Project, Construction and Operation a 25) and Coastal Migatory Pelagic Nomination of a Member: Any Natural Gas-Fired, Combined-Cycle, (CMP) (Amendment 17) Fishery interested person or organization may Electric Generating Stations, Approval Management Plans (FMP) for nominate qualified individuals for for Right-of-Way, Yuma County, AZ, Extending the Charter Vessel/ membership to the WGPE. Name, Comment Period Ends: 09/06/2005, Headboat Permit Moratorium, Gulf of occupation, position, address, and Contact: Mark J. Wieringa 720–962– Mexico, Comment Period Ends: 09/ telephone number should identify all 7448. 06/2005, Contact: Andy Strelcheck nominees. To be considered, all EIS No. 20050294, Revised Draft EIS, 727–824–5305. COE, CA, Mare Island Reuse of nominations must include a current Dated: July 19, 2005. resume providing the nominee’s Dredged Material Disposal Ponds as a Robert W. Hargrove, background, experience, and Confirmed Updated Dredged Material qualifications, in addition to a statement Disposal Facility, Issuing Section 404 Director, NEPA Compliance Division, Office of Federal Activities. (not to exceed two (2) paragraphs) about Permit Clean Water Act and Section their particular expertise and interest in 10 Permit Rivers and Harbor Act, San [FR Doc. 05–14546 Filed 7–21–05; 8:45 am] the public education requirements of Francisco Bay Area, City of Vallejo, BILLING CODE 6560–50–P the Lead and Copper Rule. Please note Solando County, CA, Error: Revised that the Agency will not formally Draft EIS 09/06/2005, Contact: Robert J. Lawrence 415–977–8020. ENVIRONMENTAL PROTECTION acknowledge or respond to AGENCY nominations. EIS No. 20050295, Draft EIS, AFS, CA, Bald Mountain Project, Proposes to Dated: July 18, 2005. Harvest Trees Using Group and [ER–FRL–6665–6] Cynthia C. Dougherty, Individual Trees Selection Methods, Director, Office of Ground Water and Drinking Feather River Ranger District, Plumas Environmental Impact Statements and Water. National Forest, Plumas and Butte Regulations; Availability of EPA [FR Doc. 05–14536 Filed 7–21–05; 8:45 am] Counties, CA, Comment Period Ends: Comments BILLING CODE 6560–50–P 09/06/2005, Contact: Katherine Worn Availability of EPA comments 530–534–6500. prepared pursuant to the Environmental EIS No. 20050296, Final EIS, TVA, TN, Review Process (ERP), under section ENVIRONMENTAL PROTECTION 500–kV Transmission Lin in Middle 309 of the Clean Air Act and section AGENCY Tennessee Construction and 102(2)(c) of the National Environmental Operation, Cumberland Fossil Plant to [ER–FRL–6665–5] Policy Act as amended. Requests for either the Montgomery 500–kV copies of EPA comments can be directed Substation, Montgomery County, or Environmental Impacts Statements; to the Office of Federal Activities at the Davidson 500–kV Substation, Notice of Availability 202–564–7167. An explanation of the Davidson County, Stewart, Houston, ratings assigned to draft environmental Responsible Agency: Office of Federal Montgomery, Dickerson, Cheatham impact statements (EISs) was published Activities, General Information (202) and Davidson Counties, TN, Wait in the Federal Register dated April 1, 564–7167 or http://www.epa.gov/ Period Ends: 08/22/2005, Contact: 2005 (70 FR 16815). compliance/nepa/. Charles P. Nicholson 865–632–3582. Weekly receipt of Environmental Impact EIS No. 20050297, Draft EIS, SFW, WY, Draft EISs Statements Bison and Elk Management Plan, EIS No. 20040548, ERP No. D–BLM– Filed 07/11/2005 through 07/15/2005 Implementation, National Elk Refuge/ Pursuant to 40 CFR 1506.9. J65432–CO, Roan Plateau Resource Grand Teton National Park/John D. Management Plan Amendment, EIS No. 20050290, Final EIS, NOA, AK, Rockefeller, Jr. Memorial Parkway, Including Former Naval Oil Shale Pribilof Islands Setting for the Annual Teton County, WY, Comment Period Reserves 1 and 2, Garfield and Rio Subsistence Harvest of Northern Fur Ends: 09/30/2005, Contact: Laurie Blanco Counties, CO. Seals, To Determine and Publish the Shannon 303–236–4317. Take Ranges, Pribilof Islands, AK, EIS No. 20050298, Draft EIS, AFS, UT, Summary: EPA expressed Wait Period Ends: 08/22/2005, West Bear Vegetation Management environmental concerns with potential Contact: James W. Balsiger 301–713– Project, Timber Harvesting, Prescribed adverse impacts from increased access 3318. Burning, Roads Construction, to the top of the plateau, to Colorado EIS No. 20050291, Final EIS, AFS, CO, Township 1 North, Range 9 East, Salt Cutthroat from sedimentation from new Gold Camp Road Plan, Develop a Lake Principle Meridian, Evanston roads, fragmentation of critical winter Feasible Plan to Manage the Ranger District, Wasatch-Cache habitat for mule deer, and reduction of Operation of Tunnel #3 and the 8.5 National Forest, Summit County, UT, areas with wilderness characteristics, mile Road Segment, Pike National Comment Period Ends: 09/06/2005, and recommended that the Final EIS Forest, Pikes Peak Ranger District, Contact: Larry Johnson 307–789– include mitigation measures identified Colorado Springs, El Paso County, 3194. in the analysis to reduce these impacts. CO, Wait Period Ends: 08/22/2005, EIS No. 20050299, Draft EIS, SFW, CA, Rating EC2. Contact: Frank Landis 719–477–4203. San Diego Bay National Wildlife EIS No. 20050104, ERP No. D–NPS– EIS No. 20050292, Draft EIS, USA, HI, Refuge Comprehensive Conservation K61161–CA, Golden Gate National Makua Military Reservation (MMR) Plan, Implementation, Sweetwater Recreation Area (GGNRA) Fire Project, Proposed Military Training Marsh and South San Diego Bay Management Plan, Implementation, Activities, 25th Infantry Division Units, San Diego County, CA, Muir Woods National Monument, (Light) and U.S. Army, HI, Comment Comment Period Ends: 09/19/2005, Fort Point National Historic Site, San
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Mateo, San Francisco and Marin Caribou-Targhee National Forest, Township 17–19 North, Range 1–3 Counties, CA. Montpellier Ranger District, Bearlake East, Sandoval County, NM. Summary: EPA expressed and Caribou Counties, ID. Summary: No formal comment letter environmental concerns regarding Summary: EPA expressed was sent to the preparing agency. smoke management, use of herbicides, environmental concerns with identified EIS No. 20050217, ERP No. F–AFS– and the protection of air quality, water air impacts from prescribed burning, G65094–NM, Ojo Caliente Proposed quality, and wetlands. Rating EC2. potential impacts on water quality near Transmission Line, Propose to EIS No. 20050111, ERP No. D–AFS– 303(d) listed streams, and exceeding Authorize, Construct, Operate and K65280–CA, Power Fire Restoration Forest Service guidelines. EPA Maintain a New 115kV Transmission Project, To Reduce Long-Term Furel requested that the FEIS estimate PM10 Line and Substation, Carson National Loading for the Purpose of Reducing and PM2.5 emissions, clarify the Forest and BLM Taos Field Office, Future Severity and Resistance to location of 303(d) listed streams relative Taos and Rio Arriba Counties, NM. Control, Amador Ranger District, to project actions, and explain the basis Summary: No formal comment letter Eldorado National Forest, Amador for deviating from the Forest Plan was sent to the preparing agency. County, CA. guideline for Visual Quality Objectives. Rating EC1. EIS No. 20050245, ERP No. F–COE– Summary: EPA expressed K36140–CA, Prado Basin Water environmental concerns with the very EIS No. 20050176, ERP No. D–FAA– Supply Feasibility Study, To Increase high risk of cumulative watershed L51017–AK, Juneau International Conservation of Surplus Water at effects and potential effects on water Airport, Proposed Development Prado Dam and Flood Control Basin, quality, aquatic resources, and air Activities to Enhance Operations Orange County Water District, Orange, quality, and requested additional Safety, Facilitate Aircraft Alignment, Riverside, and San Bernardino information be provided on Clean Air U.S. Army COE Section 404 Permit, Counties, CA. Act conformity requirements, mitigation City and Borough of Juneau, AK. Summary: No formal comment letter measures to reduce priority pollutants Summary: EPA expressed and consultation with tribal was sent to the preparing agency. environmental objections because at the EIS No. 20050257, ERP No. F–AFS– governments. Rating EC2. loss of high quality estuarine wetlands EIS No. 20050133, ERP No. D–AFS– J65440–MT, Northeast Yaak Project, and related impacts to 303(d) listed Proposed Harvest to Reduce Fuels in F65056–OH, Wayne National Forest, streams and wetland functions, and Proposed Revised Land and Resource Old Growth, Implementation, requested a compensatory mitigation Kootenai National Forest, Three Management Plan, Implementation, option be developed for unavoidable Several Counties, OH. Rivers Ranger District, Lincoln impacts. Rating EO2. County, MT. Summary: EPA supports the proposed EIS No. 20050177, ERP No. D–AFS– alternative, which should improve Summary: EPA supports the proposed K65282–AZ, Coconino National action to improve old growth and watershed condition and wildlife Forest Project, Re-authorize Grazing habitat as well as meet other multiple grizzly bear habitats, reduce road on the Pickett Lake and Padre Canyon impacts to streams and fisheries, noting use objectives. However, EPA requested Allotments, Implementation, Mormon additional information on the the importance of adequate funding to Lake Range District, Coconino implement restoration work. However, management of early successional and County, AZ. grassland habitat which could have EPA has environmental concerns about impacts to declining populations of Summary: EPA expressed the proposed opening of Vinal Lake interior forest birds. The Final EIS environmental concerns with impacts to Road 746 because of increased should consider additional monitoring wetlands and requested a commitment motorized access and potential adverse to determine invertebrate viability and in the Record of Decision to require impacts to wildlife habitat by reducing trends of other important populations. fencing of additional wetlands for the 10 connectivity. Rating EC2. year permit. The Final EIS should EIS No. 20050273, ERP No. F–AFS– disclose locations of grazing impaired EIS No. 20050151, ERP No. D–AFS– L65280–ID, Porcupine East, 9 soils related to grazing areas and the K61162–CA, Ansel Adams and John Allotment Grazing Analysis Project, potential for additional impacts. Rating Muir Wildernesses, Trail and Authorizing Livestock Grazing, EC2. Commercial Pack Sock Management, Caribou-Targhee National Forest, Implementation, Inyo, Mono, Madera, EIS No. 20050199, ERP No. D–DOD– Dubois Ranger District, Centennial and Fresno Counties, CA. D11037–DC, Armed Forces Mountains, Clark County, ID. Summary: EPA expressed Retirement Home (AFRH–W), Summary: EPA continues to have environmental concerns with the Proposed Master Plan for Campus concerns potential impacts to impaired minimal water quality and ecological Located 3700 North Capitol Street, streams in the project; and supports improvement predicted with NW., AFRH Trust Fund, Washington, features of the Preferred alternative that implementing the action alternatives. DC. minimize impacts to water quality. The Final EIS should include additional Summary: EPA expressed concerns However, EPA recommends that once management actions, a detailed related to project impacts to ponds, TMDLs are finalized that permits be monitoring and enforcement strategy, wetlands, and terrestrial/aquatic biota. modified when needed to meet load especially for special use permits, to Rating EC2. allocation targets. improve degraded trails and water EIS No. 20050244, ERP No. FS–NPS– Final EISs quality in meadows, wetlands, and K65325–CA, Merced Wild and Scenic streams. Rating EC2. EIS No. 20050201, ERP No. F–AFS– River Revised Comprehensive EIS No. 20050160, ERP No. D–AFS– G65093–NM, San Diego Range Management Plan, Amend and L65483–ID, Three Basins Timber Sale Allotment Project, Proposes to Revise Supplement Information, Yosemite Project, Proposal to Treat 760 Acres of Grazing Program, Santa Fe National National Park, El Portal Mature Forest, Implementation, Forest, Jemez Ranger District, Administrative Site, Tuolume,
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Merced, Mono, Mariposa, and Madera Total Annual Hours: 2,112. for Disease Control and Prevention, 3311 Counties, CA. To obtain copies of the supporting Toledo Road, Room 2402, Hyattsville, Summary: No formal letter was sent to statement and any related forms for the Maryland 20782, telephone (301) 458–4245. Information also is available on the NCVHS the preparing agency. proposed paperwork collections referenced above, access the HHS Web home page of the HHS Web site: http:// Dated: July 19, 2005. site address at http://www.hhs.gov/ www.ncvhs.hhs.gov/, where an agenda for the Robert W. Hargrove, meeting will be posted when available. oirm/infocollect/pending/ or e-mail your Should you require reasonable Director, NEPA Compliance Division, Office request, including your address, phone accommodation, please contact the CDC of Federal Activities. number, OMB number, and OS Office of Equal Employment Opportunity on [FR Doc. 05–14552 Filed 7–21–05; 8:45 am] document identifier, to (301) 458–4EEO (4336) as soon as possible. BILLING CODE 6560–50–P [email protected], or call the Reports Dated: July 10, 2005. Clearance Office on (202) 690–6162. James Scanlon, Written comments and DEPARTMENT OF HEALTH AND recommendations for the proposed Acting Deputy Assistant Secretary for Science HUMAN SERVICES and Data Policy Office of the Assistant information collections must be Secretary for Planning and Evaluation. received within 30 days of this notice [FR Doc. 05–14507 Filed 7–21–05; 8:45 am] Office of the Secretary directly to the Desk Officer at the BILLING CODE 4151–04–M [Document Identifier: OS–0990–0292] address below: OMB Desk Officer: John Kraemer, OMB Agency Information Collection Human Resources and Housing DEPARTMENT OF HEALTH AND Activities: Proposed Collection; Branch, Attention: (OMB #0990– HUMAN SERVICES Comment Request 0292), New Executive Office Building, Room 10235, Washington, DC 20503. National Committee on Vital and Health AGENCY: Office of the Secretary. In compliance with the requirement Dated: July 13, 2005. Statistics: Meeting of section 3506(c)(2)(A) of the Robert E. Polson, Pursuant to the Federal Advisory Paperwork Reduction Act of 1995, the Office of the Secretary, Paperwork Reduction Committee Act, the Department of Office of the Secretary (OS), Department Act Reports Clearance Officer. Health and Human Services (HHS) of Health and Human Services, is [FR Doc. 05–14475 Filed 7–21–05; 8:45 am] announces the following advisory publishing the following summary of a BILLING CODE 4150–28–P proposed collection for public committee meeting. comment. Interested persons are invited Name: National Committee on Vital and to send comments regarding this burden DEPARTMENT OF HEALTH AND Health Statistics (NCVHS), Subcommittee on estimate or any other aspect of this HUMAN SERVICES Standards and Security (SSS). collection of information, including any Time and Date: July 26, 2005, 9 a.m.–5 p.m.; July 27, 2005, 8:30 a.m.–1 p.m. of the following subjects: (1) The National Committee on Vital and Health Statistics: Meeting Place: Hubert H. Humphrey Building, 200 necessity and utility of the proposed Independence Avenue, SW., Room 800, information collection for the proper Pursuant to the Federal Advisory Washington, DC 20201. performance of the agency’s functions; Committee Act, the Department of Status: Open. (2) the accuracy of the estimated Health and Human Services (HHS) Purpose: The morning of the 26th will be burden; (3) ways to enhance the quality, announces the following advisory devoted to updates on e-prescribing standards and standards harmonization utility, and clarity of the information to committee meeting. be collected; and (4) the use of efforts, and updates from the Department of automated collection techniques or Name: National Committee on Vital and Health and Human Services on regulations Health Statistics (NCVHS), Workgroup on the and other initiatives related to e-prescribing. other forms of information technology to National Health Information Infrastructure The afternoon will focus on secondary uses minimize the information collection (NHII). of clinical data. The Subcommittee will use burden. Time and Date: 1 p.m.–5 p.m., July 27, the morning of the 27th to develop a work Type of Information Collection 2005; 9 a.m.–12 p.m., July 28, 2005. plan for future hearings. Request: Regular Clearance. Place: Hubert H. Humphrey Building, 200 Contact Person for More Information: Title of Information Collection: Burn Independence Avenue SW., Room 800, Substantive program information as well as Bed Enumeration. Washington, DC 20201. summaries of meetings and a roster of Form/OMB No.: OS–0990–0292. Status: Open. Committee members may be obtained from Use: The Office for Public Health Purpose: The Workgroup will meet to Maria Friedman, Health Insurance Specialist, Emergency Preparedness (OPHEP) will discuss their draft letter to the Secretary on Security and Standards Group, Centers for personal health record systems, the group’s Medicare and Medicaid Services, MS: C5– collect information on available burn work plan and next steps. 24–04, 7500 Security Boulevard, Baltimore, beds, medical material for care of burn Contact Person for More Information: MD 21244–1850, telephone: (410) 786–6333 patients, and staffing levels to ensure Substantive program information as well as or Marjorie S. Greenberg, Executive the ability to manage a mass casualty summaries of meetings and a roster of Secretary, NCVHS, National Center for event involving burns. No current committee members may be obtained from Health Statistics, Centers for Disease Control system exists. Mary Jo Deering, Lead Staff Person for the and Prevention, Room 1100, Presidential Frequency: Reporting, weekly, other NCVHS Workgroup on the National Health Building, 3311 Toledo Road, Hyattsville, (twelve additional days). Information Infrastructure, Director for Maryland 20782, telephone: (301) 458–4245. Affected Public: Federal , business or Informatics Dissemination, NCI Center for Information also is available on the NCVHS other for profit, not for profit Bioinformatics, National Cancer Institute, home page of the HHS Web site: http:// National Institutes of Health, USDHHS, 6116 www.ncvhs.hhs.gov/ where an agenda for the institutions. Executive Blvd.—#400, Rockville, MD 20852, meeting will be posted when available. Annual Number of Respondents: 132. Phone: (301) 594–1273, Fax: (301) 480–3441, Should you require reasonable Total Annual Responses: 8,448. E-mail: [email protected] or Marjorie S. accommodation, please contact the CDC Average Burden per Response: 15 Greenberg, Executive Secretary, NCVHS, Office of Equal Employment Opportunity on minutes. National Center for Health Statistics, Centers (301) 458–4EEO (4336) as soon as possible.
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Dated: July 10, 2005. strategic planning, information Office of Enterprise Project Management James Scanlon, resources management and technology (AMM5) policy, architecture, investment review, Acting Deputy Assistant Secretary for Science Section AMM.20 Functions and Data Policy, Office of the Assistant and Office of the Secretary (OS) Secretary for Planning and Evaluation. computer operations management The Immediate Office of the Chief [FR Doc. 05–14509 Filed 7–21–05; 8:45 am] support. Information Officer (AMMI). The BILLING CODE 4151–05–M III. Under Section AM: Functions, Immediate Office of the Chief delete Chapter AMM, ‘‘Office of Information Officer supports the DASIT/ Information Resources Management,’’ CIO, and also provides leadership in OS DEPARTMENT OF HEALTH AND and replace with the following: IT issues, HHS IT architecture, use of HUMAN SERVICES technology in HHS and the HHS Web C. Chapter AMM, Office of the Chief site. It performs the following functions: Office of the Secretary Information Officer a. Provides continuous development AMM .00 Mission. The Office of the and implementation of effective Office of Budget, Technology and Chief Information Officer advises the strategic solutions for enabling the HHS Finance; Statement of Organization, Secretary and the Assistant Secretary for mission. Provides advice and counsel to Functions, and Delegations of Budget, Technology and Finance on the Secretary and the Assistant Authority matters pertaining to the use of Secretary for Budget, Technology and Part A, Office of the Secretary, information and related technologies to Finance. Statement of Organization, Functions accomplish Departmental goals and b. Ensures the development and and Delegations of Authority for the program objectives. The mission of the updates to the Information Technology Department of Health and Human Office is to establish and provide: Five Year Strategic Plan. Services (HHS) is being amended as Assistance and guidance on the use of c. Develops and coordinates follows: Chapter AM, ‘‘Office of Budget, technology-supported business process information resources management Technology and Finance,’’ Chapter reengineering; investment analysis; policies applicable across the AMM, ‘‘Office of Information Resources performance measurement; strategic Department and the Office of the Management,’’ as last amended at 70 FR development and application of Secretary, including the creation, 17690–91, dated April 7, 2005. This information systems and infrastructure; handling, storage, dissemination, and reorganization will retitle the Office of policies to provide improved disposition of information. Information Resources Management management of information resources d. Leads the development and (OIRM) and realign its functions in an and technology; and better, more implementation of an enterprise Office of the Chief Information Officer efficient service to our clients and information infrastructure across the (OCIO). The changes are as follows: employees. The Office exercises Department. I. Under Chapter AM, ‘‘Office of authorities delegated by the Secretary to e. Oversees and manages risks Budget, Technology and Finance, the Deputy Assistant Secretary for associated with major information Section AM.10 Organization, delete, in Information Technology, as the CIO for systems and information technology. its entirety and replace with the the Department. These authorities f. Evaluates major investments in following: derive from the Clinger-Cohen Act of information technology, and is Section AM.10 Organization: The 1996, the Paperwork Reduction Act of responsible for their subsequent period Office of Budget, Technology, and 1995, the Computer Matching and review. Finance is headed by the Assistant Privacy Act of 1988, the Computer g. Guides and oversees the Secretary for Budget, Technology and Security Act of 1987, the Federal development of information systems Finance (ASBTF). The Assistant Information Security Management Act and communications networks. Secretary for Budget, Technology, and (FISMA), the National Archives and h. Provide leadership in e-government Finance is the Departmental Chief Records Administration Act of 1984, the activities. Financial Officer (CFO), and reports to Competition in Contracting Act of 1984, i. Provides data processing and the Secretary. The office consists of the the Federal Records Act of 1950, OMB communications equipment for the following components: Circulars A–130 and A–11, Government Office of the Secretary and participating Immediate Office of the ASBTF (AM) Printing and Binding Regulations issued HHS OPDIVs, and implements, Office of Budget (AML) by the Joint Committee on Printing, and operates, and maintains standard office Office of the Chief Information Officer Presidential Decision Directive 63. automation applications running on the (AMM) Section AMM.10 Organization. The OS network. Office of Finance (AMS) Office of the Chief Information Officer j. Provides executive direction to align Office of Grants (AMT) (OCIO) is headed by the Deputy Departmental strategic planning for II. Under Section AM.20 Functions, Assistant Secretary for Information information resources and technology paragraph 3, titled ‘‘Office of Technology/HHS CIO, who reports to with the Department’s strategic business Information and Resources the Secretary and the Assistant planning. Management,’’ delete in its entirety and Secretary for Budget, Technology and k. Provides executive direction to replace with the following: Finance. The HHS CIO serves as the develop and maintain Departmental 3. Office of the Chief Information primary IT leader for the Department, information technology policy and Officer (AMM). The Deputy Assistant and the OCIO consists of the following: architecture. Secretary for Information Technology Immediate Office (AMM1) l. Promotes business process (DASIT), who is also the HHS Chief Office of Resources Management reengineering, investment analysis, and Information Officer, heads the Office of (AMM2) performance measurement throughout the Chief Information Officer (OCIO). Office of Information Technology the Department, to capitalize on OCIO provides the Secretary and the Operations (AMM3) evolving information technology. Assistant Secretary for Budget, Office of Enterprise Architecture m. Represents the Department in Technology, and Finance (ASBTF) with (AMM4) Federal Government-wide initiatives to
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develop policy and implement an b. Coordinates HHS activities that primary resource for advising the HHS information infrastructure. support the President’s Management CIO on network and infrastructure n. Provides leadership to the Agenda’s objective for E-Government. related technology implementation, and Department’s Information Technology c. Coordinates planning and task for piloting HHS CIO special programs. Investment Review Board (ITIRB) and tracking relating to HHS CIO OITO is responsible for the following: the Department’s Chief Information responsibilities to ensure effective a. Operating, maintaining, and Officers’ Advisory Council. Oversees utilization of staff and other resources. enhancing the ITSC computer network enterprise IT efforts and any similar d. Prepares, manages, integrates and and services, including services for OPDIV efforts related to architecture, coordinates budget formulation, participating HHS organizations. technology and the HHS Web site. presentation and execution with respect b. Implementing and monitoring Provides review and guidance to the to the responsibilities of the CIO. network policies and procedures, and ITIRB and CIO Council via analyses of Conducts analyses of budget developing plans and budgets for alternative analyses strategies, standards implementation for the CIO. network support services. compliance, architectural conformance e. As directed by the DASIT, prepares c. Ensuring reliable, high-performance and technology solutions. staffing forecasts, analyzes staffing network services. o. Develops and maintains HHS-wide requirements and utilization, and d. Implementing and operating Architecture, including the business, recommends strategies for changes in electronic tools to enhance Secretarial data, application and technology human capital for OCIO. communications with all HHS components. Establishes architecture f. Oversees full life-cycle of OCIO personnel. tools and repositories, coordinates with contracts. Works with HHS contracting e. Coordinating with OPDIVs and OPDIV architectures, develops technical organizations, contractors and other STAFFDIVs to develop ITSC, IT capital guidance, assists managers of parties to ensure that contractual planning and budgeting processes, applications systems, and coordinates transactions are substantively correct, providing direct planning support to expert working groups to populate the and to track completion of tasks. assure that IRM plans support agency g. Oversees and manages employee architecture. Advises the ASBTF, business planning and mission performance improvement programs to OPDIV CIOs and other senior officials accomplishment, as it applies to the develop and maintain the technical on matters relating to technology. Leads infrastructure. expertise and qualifications of the development of a department-wide f. Implementing policies and guidance employees in OCIO. investment strategy for advanced, on information resources management h. Coordinates and directs the innovative technology, and reviews within ITSC for acquisition and use of Department’s compliance activities agency technology policies, programs, information technology, support of under the Rehabilitation Act (1973), processes and capabilities to ensure that technical model, and coordination of Section 508. HHS technology programs support the implementation procedures. i. Develops policies and guidance on g. Maintaining and operating the Department’s objectives. information resources and technology inventory of automated data processing p. Performs alternative analysis for management, including equipment for ITSC participating key emerging and enabling technologies. telecommunications, as required by law agencies. Coordinates or directs pilot projects in or regulation or to fulfill CIO h. Operating and maintaining an these areas to establish proof of concept, responsibilities and Departmental information technology support service confirm return on investment, or initiatives. (Help Desk and Call Center) for implement initial production j. Manages the Department’s participating HHS components. implementations. information collection program, i. Managing contracts for equipment q. Leads the development of HHS web including development of Departmental and support services related to the communications to provide users with a policies, coordinating the Department’s provision of IT services in ITSC single access point for HHS information. information collection budget, and participating agencies. Leads the development of an enterprise reviewing and certifying requests to j. Representing the Department information portal to improve the ability collect information from the public. through participation on interagency of HHS employees to communicate and k. Approves and reporting on and Departmental work groups and task collaborate with each other. computer matching activities as forces, as appropriate. 2. Office of Resources Management required by law through the k. Responsible for ITSC compliance (AMM2): The Office of Resources Departmental Data Integrity Board. with and implementation of all Management (ORM) is headed by the l. Manages the Departmental printing applicable HHS policies and Federal Director, Office of Resources management, records management, and Laws regarding IT Security. Management and is responsible for mail management policy programs. l. Reviewing and facilitating OCIO Business Operations. The Office 3. Office of Information Technology acquisitions for activities related to advises the CIO and OCIO managers on Operations (AMM3): The Office of ITSC. matters relating to OCIO operations, Information Technology Operations m. Supporting the Director in the role HHS information collection, HHS policy (OITO) is directed by the Director of IT of OS CIO which holds CIO development and interpretation, Services Center (ITSC), who also is the responsibility for the OS as an OPDIV, development of the OCIO budget, HHS Office of the Secretary (OS) Chief including the Program Support Center IT workforce development, coordinates Information Officer. OITO is responsible (PSC) and the Office of the Inspector e-government efforts across the for providing Network Services, Help General, as well as other OPDIVs, as Department, and provides Desk, Call Center, Desktop Support, required and authorized by HHS senior recommendations regarding funding of Web Architecture, Server Architectures, officials. e-government efforts. The Office is OPDIV IT Security, Secretary’s 5. Office of Enterprise Architecture responsible for the following: Command Center and Continuity of (AMM4): The Office of Enterprise a. Leading Departmental efforts to Operations Planning (COOP) support, Architecture (OEA) is headed by the expand the availability of electronic and Outreach/Customer Relationship Director, Office of Enterprise means for conducting business. Management (CRM). The Office is a Architecture who is also the HHS Chief
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Enterprise Architect and supports all coordinating implementation of r. Establishing and leading inter- planning and enterprise programs that information management initiatives in OPDIV teams to conduct reviews to fall under the Office of the Chief conjunction with the Chief Technology protect HHS cyber and personnel Information Officer. The Office of Officer and the Department Architect. security programs and conduct Enterprise Architecture is responsible i. Providing support for special vulnerability assessments of HHS for: priority initiatives identified by the CIO. critical assets. This includes regular a. Working with OPDIV Chief j. Developing, implementing and certification of existing systems as well Information Officers (CIOs) to support administering the program to protect the as newly implemented systems. Government-wide initiatives of the information resources of the s. Reviewing the Department’s Federal CIO Council and to identify Department. This includes management information resources for fraud, waste, opportunities for participation and and oversight of activities under the and abuse to avoid having redundant consultation in information technology Federal Information Security resources, in conformance with the projects with major effects on OPDIV Management Act (FISMA), IT critical Clinger-Cohen Act. program performance. infrastructure protection (CIP), and t. Developing, implementing, and b. Providing leadership in the Department-wide security contracts and evaluating an employee cyber security planning, design, and evaluation of high level project management of awareness and training program to meet major Departmental projects and OPDIV security programs, such as the requirements as mandated by OMB oversight throughout project rollout and corrective action plans and security Circular A–130 and the Computer perform post implementation policies. Security Act. performance assessments. k. Implementing and administering u. Establishing and providing c. Assessing risks that major the HHS security program to protect the leadership to the Subcommittee of the information systems pose to information resources of the Department HHS CIO Council on Security. performance of program operations and in compliance with legislation, v. Establishing and leading the HHS administrative business throughout the Executive Orders, directives of the Computer Security Incident Response Department, develops risk assessment OMB, or other mandated requirements Capability team, the Department’s policies and standard operating (e.g., the Clinger-Cohen Act, overall cyber security incident procedures and tools, and uses program Presidential Decision Directive 63, OMB response/coordination center and outcome measures to gauge the quality Circular A–130), the National Security primary point of contact for Federal of Departmental information resources Agency, and other Federal agencies. Computer Incident Response Capability management. (FedCIRC) and National Infrastructure d. Coordinating the Department’s l. Directing the development of and implementing cyber security policies Protection Center (NIPC). strategic planning, capital planning and 5. The Office of Enterprise Project and guidance for the Department, investment control (CPIC), budgeting Management (AMM5): The Office of including requirements for employees and performance management processes Enterprise Project Management (OEPM) and contractors who are responsible for for information technology, and is headed by the Director, Office of systems of data, or for the acquisition, provides direct planning development Enterprise Project Management who is management, or use of information and support to assure that IRM plans also the HHS Chief Technology Officer resources. support agency business planning and and supports the design, development, m. Monitoring information system mission accomplishment. configuration, integration and security program activities in the e. Coordinating the activities of the implementation of all HHS enterprise Department by reviewing OPDIV’s and Departmental Information Technology information technology projects that fall STAFFDIVs security plans for sensitive Investment Review Board (ITIRB) in under the Office of the Chief systems, recommending improvements, assessing and prioritizing the Information Officer. The Office of and evaluating safeguards to protect Department’s major information Enterprise Project Management (OEPM) major information systems, or IT systems, and in analyzing and is responsible for: infrastructure. evaluating IT investment decisions. a. Advising the HHS CIO on all Reviews OPDIV ITIRB implementations, n. Responding to requests in matters of technology implementation IT capital funding decisions, and use of conjunction with OMB Circular A–130, across HHS. performance metrics to evaluate the Computer Security Act of 1987, and b. Providing IT project management program for both initial and continued Presidential Decision Directive 63, or and oversight for all major IT projects funding. other legislative or mandated that have enterprise importance. f. Coordinating and supports the requirements related to IT security or c. Managing the design, development, Department’s Chief Information privacy. configuration, implementation and Officer’s Advisory Council, whose o. Monitoring all Departmental testing of major enterprise projects prior membership consists of the chief systems development and operations for to their insertion into service. Information Officers from each OPDIV. security and privacy compliance and d. Development and management of g. Representing the Department providing advice and guidance to technical IT contracts in support of through participation on interagency ensure compliance standards are major enterprise projects. and Departmental work groups and task included throughout system life cycle e. Coordinating the HHS participation forces, as appropriate. development. in, and the technical implementation of, h. Working with OPDIV Chief p. Reviewing Departmental ITIRB and all Presidents Management Agenda Information Officers to identify CIO Council business cases (as well as (PMA) E-Government initiatives. opportunities for administering OMB circular A–11 requirements) for f. Collaboration with the HHS Chief information management functions and assurance of security and privacy Enterprise Architect to evaluate telecommunications initiatives with compliance. technical proposals for IT projects to major effects on OPDIV performance. q. Recommending to the CIO to grant ensure the most beneficial technical OEA provides leadership primarily in or deny programs the authority to alternative is chosen for HHS. defining alternatives for acquisition of operate information systems, based on g. Representing HHS in all technical telecommunications services and security compliance. forums.
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IV. Continuation of Policy: Except as minimize the information collection To obtain copies of the supporting inconsistent with this reorganization, all burden. statement and any related forms for the statements of policy and interpretations We are, however, requesting an proposed paperwork collections with respect to the Office of Information emergency review of the information referenced above, access CMS’ Web site and Resources Management heretofore collection referenced below. In address at http://www.cms.hhs.gov/ issued and in effect prior to this compliance with the requirement of regulations/pra or E-mail your request, reorganization are continued in full section 3506(c)(2)(A) of the Paperwork including your address, phone number, force and effect with respect to the Reduction Act of 1995, we have OMB number, and CMS document Office of the Chief Information Officer. submitted to the Office of Management identifier, to [email protected], V. Delegation of Authority: All and Budget (OMB) the following or call the Reports Clearance Office on delegations and redelegations of requirements for emergency review. We (410) 786–1326. authority previously made to officials are requesting an emergency review Interested persons are invited to send and employees of the Office of because the collection of this comments regarding the burden or any Information Resources Management will information is needed before the other aspect of these collections of continue in them or their successors expiration of the normal time limits information requirements. However, as pending further redelegation, provided under OMB’s regulations at 5 CFR part noted above, comments on these they are consistent with this 1320. This is necessary to ensure information collection and reorganization. compliance with an initiative of the recordkeeping requirements must be V. Funds, Personnel, and Equipment: Administration. The approval of an mailed and/or faxed to the designees Transfer of organizations and functions emergency clearance process for the referenced below by August 15, 2005: application associated with this affected by this reorganization shall be Centers for Medicare and Medicaid demonstration is essential in order to accompanied by direct and support Services, Office of Strategic prevent possible public harm that may funds, positions, personnel, records, Operations and Regulatory Affairs, result if the normal clearance equipment, supplies, and other sources. Room C4–26–05, 7500 Security procedures were followed. The use of Boulevard, Baltimore, MD 21244– Dated: July 18, 2005. the normal clearance procedures will 1850, Fax Number: (410) 786–5267, Joe W. Ellis, limit improved quality of care to Attn: William N. Parham, III, CMS– Assistant Secretary for Administration and beneficiaries. Management. The Medicare Care Management 10165 and, [FR Doc. 05–14506 Filed 7–21–05; 8:45 am] Performance (MCMP) Demonstration OMB Human Resources and Housing Branch, Attention: Christopher BILLING CODE 4150–24–M and its corresponding Report to Congress are mandated by the section Martin, New Executive Office 649 of the Medicare Prescription Drug, Building, Room 10235, Washington, DEPARTMENT OF HEALTH AND Improvement, and Modernization Act of DC 20503. HUMAN SERVICES 2003 (MMA). Section 649 of the MMA Dated: July 12, 2005. provides for the implementation of a Michelle Shortt, Centers for Medicare and Medicaid ‘‘pay for performance’’ demonstration Acting Director, Regulations Development Services under which Medicare would pay Group, Office of Strategic Operations and [Document Identifier: CMS–10165] incentive payments to physicians who Regulatory Affairs. (1) adopt and use health information [FR Doc. 05–14149 Filed 7–14–05; 12:15 pm] Emergency Clearance: Public technology; and (2) meet established BILLING CODE 4120–01–P Information Collection Requirements standards on clinical performance Submitted to the Office of Management measures. This demonstration will be and Budget (OMB) held in four States, Arkansas, California, DEPARTMENT OF HEALTH AND Massachusetts, and Utah. Providers that HUMAN SERVICES AGENCY: Center for Medicare and are enrolled in the Doctors’ Office Medicaid Services, HHS. Quality—Information Technology Centers for Medicare & Medicaid In compliance with the requirement (DOQ–IT) project are eligible to Services of section 3506(c)(2)(A) of the participate in the demonstration. [Document Identifier: CMS–10166] Paperwork Reduction Act of 1995, the To enroll in the MCMP Centers for Medicare and Medicaid Demonstration, a physician/provider Agency Information Collection Services (CMS), Department of Health must submit an application form. The Activities: Proposed Collection; and Human Services, is publishing the information collected will be used to Comment Request following summary of proposed assess eligibility for the demonstration. collections for public comment. The MCMP Demonstration is scheduled AGENCY: Centers for Medicare & Interested persons are invited to send to start in August 2005. We are Medicaid Services. comments regarding this burden requesting emergency clearance so this In compliance with the requirement estimate or any other aspect of this application can be utilized to enroll of section 3506(c)(2)(A) of the collection of information, including any practices into the congressionally Paperwork Reduction Act of 1995, the of the following subjects: (1) The mandated and administration priority Centers for Medicare & Medicaid necessity and utility of the proposed demonstration project in a timely Services (CMS) is publishing the information collection for the proper manner. following summary of proposed performance of the agency’s functions; CMS is requesting OMB review and collections for public comment. (2) the accuracy of the estimated approval of this collection by August 19, Interested persons are invited to send burden; (3) ways to enhance the quality, 2005, with a 180-day approval period. comments regarding this burden utility, and clarity of the information to Written comments and recommendation estimate or any other aspect of this be collected; and (4) the use of will be accepted from the public if collection of information, including any automated collection techniques or received by the individuals designated of the following subjects: (1) The other forms of information technology to below by August 15, 2005. necessity and utility of the proposed
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information collection for the proper government; Number of Respondents: be collected; and (4) the use of performance of the agency’s functions; 36; Total Annual Responses: 5076; Total automated collection techniques or (2) the accuracy of the estimated Annual Hours: 29,880. other forms of information technology to burden; (3) ways to enhance the quality, To obtain copies of the supporting minimize the information collection utility, and clarity of the information to statement and any related forms for the burden. be collected; and (4) the use of proposed paperwork collections 1. Type of Information Collection automated collection techniques or referenced above, access CMS’’ Web site Request: Extension of a currently other forms of information technology to address at http://www.cms.hhs.gov/ minimize the information collection regulations/pra/, or e-mail your request, approved collection; Title of burden. including your address, phone number, Information Collection: Disclosure of 1. Type of Information Collection OMB number, and CMS document Ownership and Financial Control Request: New Collection; Title of identifier, to [email protected], Interest Statement; Form No.: CMS– Information Collection: Payment Error or call the Reports Clearance Office on 1513 (OMB # 0938–0086); Use: This Rate Measurement in Medicaid and (410) 786–1326. information must be collected by State State Children’s Health Insurance Written comments and agencies and CMS regional offices to Program (SCHIP); Form No.: CMS– recommendations for the proposed determine whether providers/suppliers 10166 (OMB # 0938–NEW); Use: The information collections must be mailed meet the eligibility requirements for information collected will be used by within 30 days of the date of display, Titles 18, 19, CLIA, and for grants under CMS for, among other purposes, July 15, 2005, and must be mailed Titles V and XX. Review of ownership estimating improper payments in directly to the CMS Paperwork and control is particularly necessary to Medicaid and SCHIP as required by the Reduction Act Reports Clearance Officer prohibit ownership and control for Improper Payments Information Act designated at the address below: CMS, individuals excluded under Federal (IPIA) of 2002. To implement the IPIA Office of Strategic Operations and fraud statutes; Frequency: in Medicaid and SCHIP, CMS will Regulatory Affairs, Division of Recordkeeping and Reporting—Other engage a Federal contractor to produce Regulations Development, Attention: (every 1 to 3 years); Affected Public: Medicaid and SCHIP error rates. CMS William N. Parham, III, Room C4–26– plans to adopt this approach based on Business or other for-profit, not-for- 05, 7500 Security Boulevard, Baltimore, profit institutions; Number of a recommendation made during public Maryland 21244–1850. comment on the proposed rule entitled Respondents: 125,000; Total Annual ‘‘Medicaid Program and State Children’s Dated: July 12, 2005. Responses: 125,000; Total Annual Health Insurance Program (SCHIP): Michelle Shortt, Hours: 62,500. Payment Error Rate Measurement’’ Acting Director, Regulations Development To obtain copies of the supporting which published on August 27, 2004 (69 Group, Office of Strategic Operations and statement and any related forms for the Regulatory Affairs. FR 52620), that contained provisions for proposed paperwork collections all states to produce error rates in [FR Doc. 05–14155 Filed 7–15–05; 9:13 am] referenced above, access CMS’ Web site Medicaid and SCHIP. BILLING CODE 4120–01–P address at http://www.cms.hhs.gov/ Each year, based on States’ annual regulations/pra/, or E-mail your request, medical expenditures from the previous including your address, phone number, year, the Federal contractor will group DEPARTMENT OF HEALTH AND OMB number, and CMS document all States into three equal strata of small, HUMAN SERVICES medium and large and select a random identifier, to [email protected], sample of an estimated 18 States to be Centers for Medicare & Medicaid or call the Reports Clearance Office on reviewed for each program. The States Services (410) 786–1326. selected for review would submit to the [Document Identifier: CMS–1513] Written comments and Federal contractor, annual expenditures, recommendations for the proposed quarterly claims data, medical policies, Agency Information Collection information collections must be mailed and other information so that the Activities: Proposed Collection; within 60 days of this notice to the contractor can determine the specific Comment Request address below: CMS, Office of Strategic State sample sizes and conduct medical Operations and Regulatory Affairs, and data processing reviews on the AGENCY: Centers for Medicare & Medicaid Services, HHS. Division of Regulations Development, sampled claims. In addition, the Attention: Melissa Musotto, Room C4– In compliance with the requirement contractor will request medical records 26–05, 7500 Security Boulevard, from providers whose claims were of section 3506(c)(2)(A) of the Baltimore, Maryland 21244–1850. sampled; the medical records are Paperwork Reduction Act of 1995, the needed to support the medical reviews. Centers for Medicare & Medicaid Dated: July 8, 2005. CMS is not requiring States and Services (CMS) is publishing the Carlos Simon, providers to use a specific form, e.g., following summary of proposed Acting Director, Regulations Development facsimile, electronic to transmit the collections for public comment. Group, Office of Strategic Operations and information. Based on the reviews, the Interested persons are invited to send Regulatory Affairs. contractor will calculate State-specific comments regarding this burden [FR Doc. 05–14156 Filed 7–21–05; 8:45 am] error rates which will serve as the basis estimate or any other aspect of this BILLING CODE 4120–01–P for calculating national Medicaid and collection of information, including any SCHIP error rates. Each State reviewed of the following subjects: (1) The also will submit a corrective action plan necessity and utility of the proposed to CMS that is designed to address error information collection for the proper causes for purposes of reducing the performance of the agency’s functions; State’s error rate; Frequency: (2) the accuracy of the estimated Reporting—on occasion and quarterly; burden; (3) ways to enhance the quality, Affected Public: State, local or tribal utility, and clarity of the information to
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DEPARTMENT OF HEALTH AND process, as well as provide a OMB number, and CMS document HUMAN SERVICES standardized structure for public use identifier, to [email protected], and review; Form Number: CMS–10060 or call the Reports Clearance Office on Centers for Medicare & Medicaid (OMB No.: 0938–0873); Frequency: (410) 786–1326. Services Annually; Affected Public: Business or Written comments and [Document Identifier: CMS–10060, CMS–37, other for-profit and Not-for-profit recommendations for the proposed and CMS–10117, 10118, 10119, 10135, institutions; Number of Respondents: information collections will be 10136] 155; Total Annual Responses: 155; Total considered if they are mailed within 30 Annual Hours: 620. days of this notice directly to the OMB Agency Information Collection 2. Type of Information Collection desk officer: Activities: Submission for OMB Request: Revision of a currently OMB Human Resources and Housing Review; Comment Request approved collection; Title of Branch, Attention: Christopher Information Collection: Medicaid AGENCY: Centers for Medicare & Martin, New Executive Office Program Budget Report; Form Nos.: Building, Room 10235, Washington, Medicaid Services. CMS–37 (OMB No. 0938–0101); Use: In compliance with the requirement DC 20503. The Medicaid Program Budget Report is of section 3506(c)(2)(A) of the prepared by the State Medicaid Dated: July 15, 2005. Paperwork Reduction Act of 1995, the Agencies and is used by the Centers for Michelle Shortt, Centers for Medicare & Medicaid Medicare & Medicaid Services (CMS) for Acting Director, Regulations Development Services (CMS), Department of Health (1) developing National Medicaid Group, Office of Strategic Operations and and Human Services, is publishing the Budget estimates, (2) qualification of Regulatory Affairs. following summary of proposed Budget Estimate Changes, and (3) the [FR Doc. 05–14474 Filed 7–21–05; 8:45 am] collections for public comment. issuance of quarterly Medicaid Grant BILLING CODE 4120–01–P Interested persons are invited to send Awards. The structure of the currently comments regarding this burden approved CMS–37 was revised based on estimate or any other aspect of this CMS experience with budget DEPARTMENT OF HEALTH AND collection of information, including any information provided by the States. HUMAN SERVICES of the following subjects: (1) The (Note: Details are outlined in the necessity and utility of the proposed Addendum which can be found on the Centers for Medicare and Medicaid information collection for the proper CMS Web site address below.) Services performance of the Agency’s function; Frequency: Quarterly; Affected Public: [Document Identifier: CMS–10167] (2) the accuracy of the estimated State, local or tribal government; burden; (3) ways to enhance the quality, Number of Respondents: 56; Total Emergency Clearance: Public utility, and clarity of the information to Annual Responses: 224; Total Annual Information Collection Requirements be collected; and (4) the use of Hours: 7,616. Submitted to the Office of Management automated collection techniques or 3. Type of Information Collection and Budget (OMB) other forms of information technology to Request: Revision of a currently AGENCY: minimize the information collection approved collection; Title of Center for Medicare and burden. Information Collection: Medicare Medicaid Services, HHS. 1. Type of Information Collection Advantage Application for Coordinated In compliance with the requirement Request: Extension of a currently Care, Private Fee-for-Service, Regional of section 3506(c)(2)(A) of the approved collection; Title of Preferred Provider Organization, Service Paperwork Reduction Act of 1995, the Information Collection: Quality Area Expansion for Coordinated Care Centers for Medicare and Medicaid Assessment and Performance and Private Fee-for-Service Plans, Services (CMS), Department of Health Improvement (QAPI) Project Medical Savings Account Plans; Form and Human Services, is publishing the Completion Report and Supporting Nos.: CMS–10117, 10118, 10119, 10135, following summary of proposed Regulations in 42 CFR 422.152; Use: 10136 (OMB No. 0938–0935); Use: collections for public comment. This project completion report derives Health plans must meet certain Interested persons are invited to send from the Quality Improvement System regulatory requirements to enter into a comments regarding this burden for Managed Care (QISMC) Standards contract with CMS to provide health estimate or any other aspect of this and Guidelines as required by the benefits to Medicare beneficiaries. collection of information, including any Balanced Budget Act of 1997 (as These applications are the collection of the following subjects: (1) The amended by Balanced Budget forms to obtain the information from a necessity and utility of the proposed Refinement Act of 1999) and the related health plan that will allow CMS staff to information collection for the proper regulations, 42 CFR 422.152. These determine compliance with the performance of the agency’s functions; regulations established QISMC as a regulations; Frequency: Other—one-time (2) the accuracy of the estimated requirement for Medicare Advantage submission; Affected Public: Business or burden; (3) ways to enhance the quality, Organizations (MAOs) by requiring other for-profit, Not-for-profit utility, and clarity of the information to improved health outcomes for enrolled institutions, and State, local or tribal be collected; and (4) the use of beneficiaries. The provisions of QISMC government; Number of Respondents: automated collection techniques or specify that MAOs will implement and 370; Total Annual Responses: 520; Total other forms of information technology to evaluate quality improvement projects. Annual Hours: 20,100. minimize the information collection The form submitted herein will permit To obtain copies of the supporting burden. MAOs to report their completed projects statement and any related forms for the We are, however, requesting an to CMS in a standardized fashion for proposed paperwork collections emergency review of the information evaluation by CMS of the MAO’s referenced above, access CMS Web site collection referenced below. In compliance with regulatory provisions. address at http://www.cms.hhs.gov/ compliance with the requirement of This form will improve consistency and regulations/pra/, or e-mail your request, section 3506(c)(2)(A) of the Paperwork reliability in the CMS evaluation including your address, phone number, Reduction Act of 1995, we have
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submitted to the Office of Management mailed and/or faxed to the designees FOR FURTHER INFORMATION CONTACT: and Budget (OMB) the following referenced below by August 8, 2005: Kimberly Long, 410–786–5702. requirements for emergency review. We Centers for Medicare and Medicaid SUPPLEMENTARY INFORMATION: are requesting an emergency review Services, Office of Strategic I. Background because the collection of this Operations and Regulatory Affairs, information is needed before the Room C5–13–27, 7500 Security On December 14, 1998, we published expiration of the normal time limits Boulevard, Baltimore, MD 21244– a notice in the Federal Register (63 FR under OMB’s regulations at 5 CFR 1850, Fax Number: (410) 786–0262, 68780) announcing establishment of the 1320.13(a)(2)(iii). This is necessary to Attn: William N. Parham, III, CMS– Medicare Coverage Advisory Committee ensure compliance with an initiative of 10167 and (MCAC). The Secretary signed the initial the Administration. The use of normal OMB Human Resources and Housing Medicare Coverage Advisory Committee clearance procedures is reasonably Branch, Attention: Christopher Charter on November 24, 1998. The likely to cause a statutory deadline to be Martin, New Executive Office charter was renewed by the Secretary missed. Building, Room 10235, Washington, and will terminate on November 24, The Competitive Acquisition Program DC 20503. 2006, unless renewed again by the Secretary. (CAP) is required by Section 303(d) of Dated: July 15, 2005. the Medicare Prescription Drug, The Medicare Coverage Advisory Michelle Shortt, Improvement, and Modernization Act of Committee is governed by provisions of 2003 and amends Title XVIII of the Acting Director, Regulations Development the Federal Advisory Committee Act Group, Office of Strategic Operations and (Pub. L. 92–463), as amended (5 U.S.C. Social Security Act (the Act) by adding Regulatory Affairs. a new section 1847(B), which App. 2), which sets forth standards for [FR Doc. 05–14476 Filed 7–21–05; 8:45 am] establishes a competitive acquisition the formulation and use of advisory program for the payment for Part B BILLING CODE 4120–01–P committees, and is authorized by covered drugs and biologicals furnished section 222 of the Public Health Service on or after January 1, 2006. Physicians Act, as amended (42 U.S.C. 217A). DEPARTMENT OF HEALTH AND The MCAC consists of a pool of 100 will be given a choice between buying HUMAN SERVICES appointed members. Members are and billing these drugs under the selected from among authorities in average sales price (ASP) system, or Centers for Medicare & Medicaid clinical medicine of all specialties, obtaining these drugs from vendors Services administrative medicine, public health, selected in a competitive bidding biologic and physical sciences, health process. [CMS–3158–N] care data and information management A physician is provided an election Medicare Program; Request for and analysis, patient advocacy, the process for the selection of an approved Nominations for Members for the economics of health care, medical CAP vendor on an annual basis. The Medicare Coverage Advisory ethics, and other related professions (for CAP election agreement will initiate Committee example, epidemiology and physician participation and designation biostatistics), and methodology of trial of their approved CAP vendor and AGENCY: Centers for Medicare & design. A maximum of 88 members are agreement to abide by the CAP program Medicaid Services (CMS), HHS. standard voting members, and 12 are requirements. The Physician Election ACTION: Notice. nonvoting members (6 of whom are Agreement will be used annually by representatives of consumer interests, SUMMARY: This notice requests physicians to elect to participate in the and 6 of whom are representatives of nominations for consideration for CAP or to make changes to the previous industry interests). year’s selections. membership on the Medicare Coverage The MCAC functions on a committee CMS is requesting OMB review and Advisory Committee (MCAC). basis. The committee reviews and approval of this collection by August 12, DATES: Nominations will be considered evaluates medical literature, reviews 2005, with a 180-day approval period. if received at the designated address, as technology assessments, and examines Written comments and recommendation provided in the ADDRESSES section of data and information on the will be considered from the public if this notice, no later than 5 p.m. on effectiveness and appropriateness of received by the individuals designated August 25, 2005. medical items and services that are below by August 8, 2005. ADDRESSES: Mail nominations for covered or are eligible for coverage To obtain copies of the supporting membership to the following address: under Medicare. The Committee works statement and any related forms for the Centers for Medicare & Medicaid from an agenda provided by the proposed paperwork collections Services, Office of Clinical Standards Designated Federal Official that lists referenced above, access CMS’ Web site and Quality, Attention: Kimberly Long, specific issues and develops technical address at http://www.cms.hhs.gov/ 7500 Security Blvd., Mail Stop: Central advice to assist us in determining regulations/pra or E-mail your request, Building 1–09–06, Baltimore, MD reasonable and necessary applications including your address, phone number, 21244. of medical services and technology OMB number, and CMS document A copy of the Secretary’s Charter for when making national coverage identifier, to [email protected], the Medicare Coverage Advisory decisions for Medicare. or call the Reports Clearance Office on Committee can be obtained from Maria As of November 2005, there will be 15 (410) 786–1326. Ellis, Office of Clinical Standards and terms of membership expiring, one of Interested persons are invited to send Quality, Centers for Medicare & which is a non-voting industry comments regarding the burden or any Medicaid Services, 7500 Security Blvd., representative. Accordingly, we are other aspect of these collections of Mail Stop: Central Building 1–09–06, requesting nominations for both voting information requirements. However, as Baltimore, MD 21244, or by e-mail to and nonvoting members to serve on the noted above, comments on these [email protected]. The Charter is MCAC. Nominees are selected based information collection and also posted on the Web at http:// upon their individual qualifications, recordkeeping requirements must be www.cms.hhs.gov/mcac/8b1–1.asp. and not as representatives of
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professional associations or societies. Dated: June 16, 2005. default.asp) for additional information We have a special interest in ensuring Barry M. Straube, and updates on committee activities, or that women, minority groups, and Acting Chief Medical Officer, Acting Director, contact Ms. Johnson via e-mail at physically challenged individuals are Office of Clinical Standards and Quality, [email protected]. Press inquiries adequately represented on the MCAC. Centers for Medicare & Medicaid Services. are handled through the CMS Press Therefore, we encourage nominations of [FR Doc. 05–14150 Filed 7–21–05; 8:45 am] Office at (202) 690–6145. qualified candidates from these groups. BILLING CODE 4120–01–P SUPPLEMENTARY INFORMATION: Section All nominations must be 222 of the Public Health Service Act, as accompanied by curricula vitae. amended, grants to the Secretary of the Nomination packages must be sent to DEPARTMENT OF HEALTH AND Department of Health and Human Kimberly Long at the address listed in HUMAN SERVICES Services (HHS) (the Secretary) the ADDRESSES authority to establish an advisory panel the section. Centers for Medicare & Medicaid if the Secretary finds the panel II. Criteria for Committee Members Services necessary and in the public interest. The Nominees for voting membership [CMS–4093–N] Secretary signed the charter establishing must have expertise and experience in the Advisory Panel on Medicare Medicare Program; Request for one or more of the following fields: Education (the Panel) on January 21, Nominations for the Advisory Panel on Clinical medicine of all specialties, 1999, and renewed the charter on Medicare Education administrative medicine, public health, January 14, 2005. The Panel advises patient advocacy, biologic and physical AGENCY: Centers for Medicare & HHS and the Centers for Medicare & sciences, health care data and Medicaid Services (CMS), HHS. Medicaid Services (CMS) on opportunities to enhance the information management and analysis, ACTION: Notice. the economics of health care, medical effectiveness of consumer education ethics, and other related professions (for SUMMARY: This notice requests materials serving the Medicare program. example, epidemiology and nominations for individuals to serve on The goals of the Panel are to provide biostatistics), and methodology of trial the Advisory Panel on Medicare advice on the following: • design. Education (the Panel). The Panel Developing and implementing a We are also seeking nominations for advises and makes recommendations to national Medicare education program one nonvoting industry representative. the Secretary of the Department of that describes the options for selecting Nominees for this position must possess Health and Human Services (HHS) (the health plans and prescription drug Secretary) and the Administrator of the benefits under Medicare. appropriate qualifications to understand • and contribute to the MCAC’s work. Centers for Medicare & Medicaid Enhancing the Federal government’s effectiveness in informing The nomination letter must include a Services (CMS) (the Administrator) on opportunities for CMS to optimize the the Medicare consumer, including the statement that the nominee is willing to appropriate use of public-private serve as a member of the MCAC and effectiveness of the National Medicare Education Program and other CMS partnerships. appears to have no conflict of interest • programs that help Medicare Expanding outreach to vulnerable that would preclude membership. We and underserved communities, are requesting that all curricula vitae beneficiaries understand the Medicare program and the range of health plan including racial and ethnic minorities, include the following: Date of birth, in the context of a national Medicare place of birth, social security number, options available. Nominees must be knowledgeable in the field of labor and education program. title and current position, professional • retirement benefits. Assembling an information base of affiliation, home and business address, best practices for helping consumers telephone and fax numbers, e-mail DATES: Nominations will be considered if received at the appropriate address, evaluate health plan options and address, and a list of areas of expertise. building a community infrastructure for provided in the ADDRESSES section of In the nominations letter, we are information, counseling, and assistance. requesting that the nominee specify this notice, no later than 5 p.m., e.d.t., on August 12, 2005. The Panel shall consist of a maximum whether applying for a voting of 20 members. The charter requires that membership position or the industry ADDRESSES: Mail or deliver nominations meetings be held approximately four representative nonvoting position. to the following address: Lynne G. times per year. Members are expected to Potential candidates will be asked to Johnson, Center for Beneficiary Choices, attend all meetings. provide detailed information concerning Centers for Medicare & Medicaid This notice is an invitation to financial holdings, consultancies, and Services, 7500 Security Boulevard, Mail interested organizations or individuals research grants or contracts in order to Stop S2–23–05, Baltimore MD 21244– to submit their nominations for permit evaluation of possible sources of 1850. membership on the Panel. The conflict of interest. FOR FURTHER INFORMATION CONTACT: Secretary, or his designee, will appoint Members are invited to serve for Lynne G. Johnson, Health Insurance the new members to the Panel from overlapping 2-year terms. A member can Specialist, Division of Partnership among those candidates determined to serve after the expiration of the Development, Center for Beneficiary have the expertise required to meet member’s term until a successor takes Choices, Centers for Medicare & specific agency needs, and in a manner office. Any interested person may Medicaid Services, 7500 Security to ensure an appropriate balance of nominate one or more qualified persons. Boulevard, Mail stop S2–23–05, membership. Self-nominations are also accepted. Baltimore, MD 21244–1850, (410) 786– Each nomination must state that the Authority: 5 U.S.C. App. 2, section 10(a)(1) 0090. Please refer to the CMS Advisory nominee has expressed a willingness to and (a)(2). Committees Information Line (1 877– serve as a Panel member and must be (Catalog of Federal Domestic Assistance 449–5659 toll free)/(410–786–9379 accompanied by a resume and a brief Program No. 93.774, Medicare— local) or the Internet (http:// summary of the nominee’s experience. Supplementary Medical Insurance Program) www.cms.hhs.gov/faca/apme/ In order to permit an evaluation of
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possible sources of conflict of interest, assistance or accommodations, are Committee may limit the number and potential candidates will be asked to asked to notify the Executive Secretary duration of oral presentations to the provide detailed information concerning by August 31, 2005 (see FOR FURTHER time available. If you wish to make such matters as financial holdings, INFORMATION CONTACT). formal presentations, you must notify consultancies, and research grants or ADDRESSES: The meeting will be held in the Executive Secretary named in the contracts. Self-nominations will also be the main auditorium of the Centers for FOR FURTHER INFORMATION CONTACT accepted. Medicare & Medicaid Services, 7500 section and submit the following by the Authority: (Section 222 of the Public Security Blvd., Baltimore, MD 21244. Deadline for Presentations and Health Service Act (42 U.S.C. 217(a)) and FOR FURTHER INFORMATION CONTACT: Comments date listed in the DATES section 10(a) of Pub. L. 92–463 (5 U.S.C. App. Kimberly Long, Executive Secretary, by section of this notice: A brief statement 2, section 10(a) and 41 CFR 102–3). telephone at 410–786–5702 or by email of the general nature of the evidence or (Catalog of Federal Domestic Assistance at [email protected]. arguments you wish to present, the Program No. 93.773, Medicare—Hospital Web Site: You may access up-to-date names and addresses of proposed Insurance Program; and Program No. 93.774, participants, and a written copy of your Medicare—Supplementary Medical information on this meeting at http:// Insurance Program). www.cms.hhs.gov/mcac/ presentation. Your presentation should default.asp#meetings. consider the questions we have posed to Dated: July 6, 2005. Presentations and Comments: the Committee and focus on the issues Mark B. McClellan, Interested persons may present data, specific to the topic. The questions will Administrator, Centers for Medicare & information, or views orally or in be available on our Web site at http:// Medicaid Services. writing on issues pending before the www.cms.hhs.gov/mcac/default.asp [FR Doc. 05–14153 Filed 7–21–05; 8:45 am] Committee. Please submit written meetings. We require that you declare at BILLING CODE 4120–01–P comments to Kimberly Long, by email at the meeting whether or not you have [email protected] or by mail any financial involvement with to the Executive Secretary for MCAC, manufacturers of any items or services DEPARTMENT OF HEALTH AND Coverage and Analysis Group, Office of being discussed (or with their HUMAN SERVICES Clinical Standards and Quality, Centers competitors). for Medicare & Medicaid Services, 7500 Centers for Medicare & Medicaid After the public and CMS Security Boulevard, Mail Stop C1–09– Services presentations, the Committee will 06, Baltimore, MD 21244. [CMS–3153–N] deliberate openly on the topic. SUPPLEMENTARY INFORMATION: Interested persons may observe the Medicare Program; Meeting of the I. Background deliberations, but the Committee will Medicare Coverage Advisory On December 14, 1998, we published not hear further comments during this Committee—October 6, 2005 a notice in the Federal Register (63 FR time except at the request of the chairperson. The Committee will also AGENCY: Centers for Medicare & 68780) to describe the Medicare Coverage Advisory Committee (MCAC), allow a 15 minute unscheduled open Medicaid Services (CMS), HHS. public session for any attendee to ACTION: Notice. which provides advice and recommendations to us about clinical address issues specific to the topic. At SUMMARY: This notice announces a issues. This notice announces a public the conclusion of the day, the members public meeting of the Medicare meeting of the Committee. will vote and the Committee will make Coverage Advisory Committee (MCAC). Meeting Topic: The Committee will its recommendation. The Committee provides advice and discuss evidence, hear presentations III. Registration Instructions recommendations about whether and public comments, and make scientific evidence is adequate to recommendations regarding the The Coverage and Analysis Group is determine whether certain medical treatments for bone fractures that fail to coordinating meeting registration. While items and services are reasonable and progress to union. The MCAC will there is no registration fee, individuals necessary under the Medicare statute. discuss scientific evidence on the must register to attend. You may register This meeting concerns the treatments effectiveness of certain procedures used by contacting Maria Ellis at 410–786– for bone fractures that fail to progress to in the Medicare population to treat bone 0309, mailing address: Coverage and union. Notice of this meeting is given fractures where progress to union has Analysis Group, OCSQ; Centers for under the Federal Advisory Committee stopped. Committee members will be Medicare & Medicaid Services; 7500 Act (5 U.S.C. App. 2, section 10(a)). given a presentation reviewing the Security Blvd., Mailstop: C1–09–06; DATES: The public meeting will be held current literature of treatments and will Baltimore, MD 21244, or by e-mail at on Thursday, October 6, 2005 from 7:30 also receive public comments to assist [email protected]. Please provide a.m. until 4:30 p.m. e.d.t. in the discussions and your name, address, organization, Deadlines: Deadline for Presentations recommendations regarding net health telephone and fax number, and e-mail and Comments: Written comments and outcomes of treatments for bone address. fractures that fail to progress to union. presentations must be received by You will receive a registration Background information about this August 31, 2005, 5 p.m., e.d.t. confirmation with instructions for your Deadline for Registration to Attend topic, including panel materials, is arrival at the CMS complex. You will be Meeting: For security reasons, available on the Internet at http:// notified if the seating capacity has been individuals wishing to attend this www.cms.hhs.gov/coverage/. meeting must register by close of reached. II. Procedure business on September 28, 2005. This meeting is located on Federal Special Accommodations: Persons This meeting is open to the public. property; therefore, for security reasons, attending the meeting who are hearing The Committee will hear oral any individuals wishing to attend this or visually impaired, or have a presentations from the public for meeting must register by close of condition that requires special approximately 45 minutes. The business on September 28, 2005.
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IV. Security, Building, and Parking ACTION: Notice. accompanied by a short resume or Guidelines description of the nominee’s experience. SUMMARY: This notice announces a This meeting will be held in a Federal To permit an evaluation of possible quarterly meeting of the Practicing sources of conflicts of interest, potential government building; therefore, Federal Physicians Advisory Council (the security measures are applicable. In candidates will be asked to provide Council). The Council will be meeting detailed information concerning planning your arrival time, we to discuss certain proposed changes in recommend allowing additional time to financial holdings, consultant positions, regulations and carrier manual research grants, and contracts. clear security. instructions related to physicians’ FOR FURTHER INFORMATION CONTACT: In order to gain access to the building services, as identified by the Secretary and grounds, individuals must present of the Department of Health and Human Kelly Buchanan, (410) 786–6132, or e- photographic identification to the Services (the Secretary). This meeting is mail [email protected]. News media Federal Protective Service or Guard open to the public. In addition, this representatives must contact the CMS Service personnel before being allowed notice invites all organizations Press Office, (202) 690–6145. Please entrance. representing physicians to submit refer to the CMS Advisory Committees’ Security measures also include nominations for consideration to fill Information Line (1–877–449–5659 toll inspection of vehicles, inside and out, at four seats that will be vacated by current free), (410) 786–9379 local) or the the entrance to the grounds. In addition, Council members in 2006. Internet at http://www.cms.hhs.gov/ all individuals entering the building faca/ppac/default.asp for additional DATES: The Council meeting is must pass through a metal detector. All scheduled for Monday, August 22, 2005, information and updates on committee items brought to CMS, whether personal from 8:30 a.m. until 5 p.m. e.d.t. activities. or for the purpose of demonstration or SUPPLEMENTARY INFORMATION: ADDRESSES: The meeting will be held in In to support a demonstration, are subject Room 705A 7th floor, in the Hubert H. accordance with section 10(a) of the to inspection. We cannot assume Humphrey Building, 200 Independence Federal Advisory Committee Act, this responsibility for coordinating the Avenue, SW., Washington, DC 20201. notice announces the quarterly meeting receipt, transfer, transport, storage, set- Meeting Registration: Persons wishing of the Practicing Physicians Advisory up, safety, or timely arrival of any to attend this meeting must register by Council (the Council). The Secretary is personal belongings or items used for contacting Kelly Buchanan, the mandated by section 1868(a)(1) of the demonstration or to support a Designated Federal Official (DFO) by e- Social Security Act (the Act) to appoint demonstration. mail at [email protected] or by a Practicing Physicians Advisory Parking permits and instructions will telephone at (410) 786–6132, at least 72 Council (the Council) based on be issued upon arrival. hours in advance of the meeting. This nominations submitted by medical Note: Individuals who are not registered in meeting will be held in a Federal organizations representing physicians. advance will not be permitted to enter the Government Building, Hubert H. The Council meets quarterly to discuss building and will be unable to attend the Humphrey Building, and persons certain proposed changes in regulations meeting. The public may not enter the attending the meeting will be required and carrier manual instructions related building earlier than 30 to 45 minutes prior to show a photographic identification, to physicians’ services, as identified by to the convening of the meeting. preferably a valid driver’s license, and the Secretary. To the extent feasible and All visitors must be escorted in areas will be listed on an approved security consistent with statutory deadlines, the other than the lower and first floor list before persons are permitted Council’s consultation must occur levels in the Central Building. entrance. Persons not registered in before Federal Register publication of Authority: 5 U.S.C. App. 2, section 10(a). advance will not be permitted into the the proposed changes. The Council (Catalog of Federal Domestic Assistance Hubert H. Humphrey Building and will submits an annual report on its Program No. 93.774, Medicare— not be permitted to attend the Council recommendations to the Secretary and Supplementary Medical Insurance Program) meeting. the Administrator of the Centers for Nomination Requirements: Medicare & Medicaid Services not later Dated: June 14, 2005. Nominations to fill vacancies on the than December 31 of each year. Barry M. Straube, Council will be considered if received at The Council consists of 15 physicians, Acting Chief Medical Officer and Acting the appropriate address, no later than 5 including the Chair. Members of the Director, Office of Clinical Standards and p.m. e.d.t., September 16, 2005. Mail or Council include both participating and Quality, Centers for Medicare & Medicaid Services. deliver nominations to the following nonparticipating physicians, and address: Centers for Medicare and physicians practicing in rural and [FR Doc. 05–14152 Filed 7–21–05; 8:45 am] Medicaid Services, Center for Medicare underserved urban areas. At least 11 BILLING CODE 4120–01–P Management, Division of Provider members of the Council must be Relations and Evaluations, Attention: physicians as described in section DEPARTMENT OF HEALTH AND Kelly Buchanan, Designated Federal 1861(r)(1) of the Act; that is, State- HUMAN SERVICES Official Practicing Physicians Advisory licensed doctors of medicine or Council, 7500 Security Boulevard, Mail osteopathy. The remaining 4 members Centers for Medicare & Medicaid Stop C4–11–07, Baltimore, MD 21244– may include dentists, podiatrists, Services 1850. optometrists and chiropractors. Nominations must be submitted by Members serve for overlapping 4-year [CMS–1315–N] medical organizations representing terms; terms of more than 2 years are Medicare Program; August 22, 2005, physicians. Nominees must have contingent upon the renewal of the Meeting of the Practicing Physicians submitted at least 250 claims for Council by appropriate action prior to Advisory Council and Request for physician services under the Medicare its termination. Nominations program in the previous year. Each Section 1868(a)(2) of the Act provides nomination must state that the nominee that the Council meet quarterly to AGENCY: Centers for Medicare & has expressed a willingness to serve as discuss certain proposed changes in Medicaid Services (CMS), HHS. a Council member and must be regulations and manual issuances that
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relate to physicians’ services, identified Buchanan, DFO, no later than 12 noon, 3. Director, Center for Medicare by the Secretary. Council members are e.d.t., August 5, 2005, for distribution to Management. expected to participate in all meetings. Council members for review prior to the 4. Deputy Chief Operating Officer. Section 1868(a)(3) of the Act provides meeting. Physicians and medical 5. Director & Chief Financial Officer, for payment of expenses and a per diem organizations not scheduled to speak Office of Financial Management. allowance for Council members at a rate may also submit written comments to 6. Deputy Director, Center for equal to payment provided members of the DFO for distribution no later than Medicare Management. other advisory committees. In addition noon, e.d.t., August 5, 2005. The 7. Deputy Director, Office of Financial to making these payments, the meeting is open to the public, but Management. Department of Health and Human attendance is limited to the space The authority to act as the Services and CMS provide management available. Administrator, CMS, must be exercised in accordance with the provisions of the and support services to the Council. The Special Accommodations: Individuals Federal Vacancies and Reform Act of Secretary will appoint new members to requiring sign language interpretation or 1998 (‘‘the Vacancies Act’’), 5 U.S.C. the Council from among those other special accommodation must 3345 et seq. The ‘‘Acting’’ title is candidates determined to have the contact the DFO by e-mail at applicable and reserved only in expertise required to meet specific [email protected] or by telephone at instances in which the CMS agency needs in a manner to ensure (410) 786–6132 at least 10 days before Administrator position is vacant. In appropriate balance of the Council’s the meeting. membership. accordance with the Vacancies Act, the Authority: (Section 1868 of the Social Deputy Administrator is herein The Council held its first meeting on Security Act (42 U.S.C. 1395ee) and section May 11, 1992. The current members are: designated as the first assistant for CMS. 10(a) of Pub. L. 92–463 (5 U.S.C. App. 2, During a planned absence, the Ronald Castellanos, M.D. Chairperson; section 10(a).) Jose Azocar, M.D.; M. Leroy Sprang, Administrator, CMS, may designate an Dated: July 11, 2005. M.D.; Rebecca Gaughan, M.D.; Peter individual to serve as ‘‘operationally in Grimm, D.O.; Carlos R. Hamilton, M.D.; Mark McClellan, charge.’’ No individual who is serving Dennis K. Iglar, M.D.; Joe Johnson, D.C.; Administrator, Centers for Medicare & in an ‘‘operationally in charge’’ capacity Christopher Leggett, M.D.; Barbara Medicaid Services. shall exercise this authority unless he or McAneny, M.D.; Geraldine O’Shea, [FR Doc. 05–14154 Filed 7–21–05; 8:45 am] she is herein designated as a delegatee. This authority is limited to D.O.; Laura B. Powers, M.D.; Gregory J. BILLING CODE 4120–01–P maintaining the Agency’s essential Przybylski, M.D.; Anthony Senagore, functions and restoring the Agency’s M.D.; and Robert L. Urata, M.D. The meeting will commence with the DEPARTMENT OF HEALTH AND normal business functions under the swearing-in of one Council member. HUMAN SERVICES CMS Continuity of Operations Plan The Council’s Executive Director will (COOP). Centers for Medicare & Medicaid give a status report and the CMS Dated: June 16, 2005. Services responses to the recommendations made Mark B. McClellan, by the Council at the May 23, 2005 Statement of Organization, Functions, Administrator, Centers for Medicare & meeting and prior meeting and Delegations of Authority Medicaid Services. recommendations. Additionally, an [FR Doc. 05–14148 Filed 7–21–05; 8:45 am] update will be provided on the Part F., Section F.70. (Order of BILLING CODE 4120–01–M Physician Regulatory Issues Team. In Succession) of the Statement of accordance with the Council charter, we Organization, Functions, and are requesting assistance with the Delegations of Authority for the DEPARTMENT OF HEALTH AND following agenda topics: Department of Health and Human HUMAN SERVICES • Competitive Acquisition for Drugs. Services, Centers for Medicare & • Physician Fee Schedule Proposed Medicaid Services (CMS), (Federal Centers for Medicare & Medicaid Rule. Register, Vol. 49, No. 174, p. 35251, Services • Part D Prescription Drug Program. • dated September 6, 1984) is hereby [CMS–3142–FN] Outpatient Proposed Rule. rescinded and replaced by the following • Surgical Care Improvement new Section F.70. Medicare Program; Evaluation Criteria Partnership Program. and Standards for Quality • Alliance for Cardiac Care F.70. Order of Succession Improvement Program Contracts Excellence Program. During any period when the • NPI-Outreach and Implementation. AGENCY: Centers for Medicare & Administrator, Centers for Medicare & For additional information and Medicaid Services (CMS), HHS. Medicaid Services (CMS), has died, clarification on these topics, contact the ACTION: Final notice. DFO as provided in the FOR FURTHER resigned, or otherwise become unable to INFORMATION CONTACT section of this perform the functions and duties of the SUMMARY: This final notice describes the notice. Individual physicians or medical office of the Administrator, CMS, the evaluation criteria we will use to organizations that represent physicians following officers, in the order listed, evaluate the Quality Improvement wishing to make a 5-minute oral shall act for and perform the functions Organizations (QIOs) under their presentation on agenda issues must and duties of the office of contracts with us, for efficiency and contact the DFO by 12 noon, e.d.t., Administrator, CMS, until such time the effectiveness in accordance with the August 5, 2005, to be scheduled. Administrator, CMS, again becomes Social Security Act. These evaluation Testimony is limited to agenda topics available, a permanent successor is criteria are based on the tasks and only. The number of oral presentations appointed, or the temporary successor is related subtasks set forth in the QIO’s may be limited by the time available. A otherwise relieved: Scope of Work (SOW). The current 7th written copy of the presenter’s oral 1. Deputy Administrator. SOW includes Tasks 1 through 4, with remarks must be submitted to Kelly 2. Chief Operating Officer. subtasks included under all tasks,
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excluding Task 4. QIOs were awarded created a new section 1154(a)(17) of the c. Other Mandated Communications contracts for the 7th SOW, or 7th Act, which requires QIOs to offer to Activities Round, for 3 years, with staggered providers, practitioners, Medicare Task 3—Improving Beneficiary Safety starting dates beginning August 2002, Advantage Plans, and prescription drug and Health Through Medicare November 2002, and February 2003. sponsors quality improvement Beneficiary Protection Activities This final notice also responds to the assistance pertaining to prescription public comments received regarding the drug therapy. We will not evaluate QIOs a. Beneficiary Complaint Response evaluation criteria published in July on these provisions in the current Scope Program 2004. of Work (SOW) because these provisions b. Hospital Payment Monitoring Review Program DATES: Effective August 22, 2005. of sections 1154(a)(1) and (a)(17) of the Act were not included in the contract. c. All Other Beneficiary Protection FOR FURTHER INFORMATION CONTACT: Section 1153(h)(2) of the Act requires Activities Maria Hammel, (410) 786–1775. the Secretary to publish in the Federal Task 4—Improving Beneficiary Safety SUPPLEMENTARY INFORMATION: Register the general criteria and and Health Through Developmental I. Background standards that would be used to Activities (Special Studies defined as evaluate the efficient and effective work that we direct a QIO to perform or The Peer Review Improvement Act of performance of contract obligations by work that a QIO elects to perform with 1982 (Title I, Subtitle C of Public Law QIOs and to provide the opportunity for our approval that is not currently 97–248) amended Part B of Title XI of public comment. The QIO contracts for defined in the Tasks, but falls within the the Social Security Act (the Act) to the 7th SOW were awarded for 3 years scope of the contract and section 1154 establish the Peer Review Organization with starting dates staggered into three of the Act). (PRO) program. The PRO program (now approximately equal groups (rounds) Under this contract, to merit having called the Quality Improvement starting August 2002, November 2002, its contract renewed non-competitively, Organization (QIO) program) was and February 2003, respectively. the QIO must meet the performance established to redirect, simplify, and criteria (including a score of 1.0 or enhance the cost-effectiveness and II. Provisions of the Notice With greater for Tasks 1a through 1e and 2b) efficiency of the medical peer review Comment on 10 of 12 subtasks (9 of 11 for States process. Sections 1152 and 1153 of the On July 23, 2004, we published a with no MA plans) of Tasks 1 through Act define the types of organizations notice with comment in the Federal 3 of the 7th SOW. To renew the QIO’s eligible to become QIOs, and establish Register titled ‘‘Medicare Program; contract non-competitively for both of certain limitations and priorities Evaluation Criteria and Standards for the subtasks that do not meet the regarding QIO contracting. Quality Improvement Organizations.’’ criteria, the QIO must have: (1) The Secretary enters into contracts The comment period for this notice Achieved a score of 0.6 or better on all with QIOs to perform three broad closed on August 23, 2004. The quantitative subtasks, and (2) for the functions: remaining subtasks only, in the • evaluation criteria published in the Improve quality of care for notice are currently being used to judgment of the Project Officer, the QIO beneficiaries by ensuring that evaluate QIO performance on the 7th expended a reasonable effort to address beneficiary care meets professionally SOW. The evaluation criteria is listed these subtasks, and developed and recognized standards of health care; here for the reader’s convenience. No implemented an appropriate initial • Protect the integrity of the Medicare modifications were made to the work plan. The work plan must have Trust Fund by ensuring that Medicare evaluation criteria based on comments been assessed by the Project Officer only pays for services and items that are provided in response to the notice. during the contract period to determine reasonable and medically necessary and if it was achieving results likely to lead that are provided in the most A. Measuring QIO Performance to success in meeting contractual economical setting; performance expectations and had made • Under the 7th Round contracts, QIOs Protect beneficiaries by are responsible for completing tasks in appropriate adjustments to its work plan expeditiously addressing individual the following four areas, with additional based on these results. cases such as beneficiary quality of care subtasks contained in the first three To be considered successful (that is, complaints, contested hospital issued areas: meeting the criteria outlined in the J–7 notices of noncoverage (HINNs), alleged found at http://www.cms.hhs.gov/qio/ Emergency Medical Treatment and Task 1—Improving Beneficiary Safety 2.asp), though not meriting a non- Labor Act (EMTALA) violations (patient and Health Through Clinical Quality competitive renewal, the QIO must meet dumping), and other statutory Improvement the performance criteria (including a responsibilities. a. Nursing Home score of 1.0 or greater for Tasks 1a Section 1154 of the Act requires that b. Home Health through 1e and 2b) on 9 of 12 subtasks QIOs review those services furnished by c. Hospital (8 of 11 for States with no MA plans) of physicians; other health care d. Physician Office Tasks 1 through 3 of the 7th Round practitioners; and institutional and non- e. Underserved and Rural Beneficiaries Contract. For the subtasks that do not institutional providers of health care f. Medicare+Choice Organizations meet the criteria, the QIO must— services, including health maintenance (M+COs), now called Medicare • Achieve a score of 0.6 or better on organizations and competitive medical Advantage Organizations (MAs) all quantitative subtasks; plans. Section 109 of the Medicare • For the remaining subtasks only, in Prescription Drug, Improvement, and Task 2—Improving Beneficiary Safety the judgment of the Project Officer, the Modernization Act of 2003 (MMA), Pub. and Health Through Information and QIO has expended a reasonable effort to L. 108–173, amended section 1154(a)(1) Communications address these subtasks, developed and of the Act to expand the scope of review a. Promoting the Use of Performance implemented an appropriate initial of QIOs to include Medicare Advantage Data work plan that was assessed by the Organizations and prescription drug b. Transitioning to Hospital-Generated Project Officer during the contract sponsors. Section 109 of the MMA also Data period to determine if it was achieving
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results likely to lead to success in lessons and tools it developed and by as participants. Tasks 1f, 2a, 2c and all meeting contractual performance adopting practices and tools developed of Task 3 will be evaluated by the expectations, and had made appropriate by other QIOs. Project Officer using qualitative adjustments to its work plan based on • Whether the QIO was a new measures based on information these results; and contractor in the 7th SOW. provided in reports developed from data • Failed to meet the criteria in no • Whether specific identifiable provided by the QIOs on the QIO’s more than two subtasks of any one task. circumstances uniquely interfered with status to date. For Task 4, except as provided in the QIO’s efforts. C. Task Specific Standards Task 3b that is evaluated by the Task • Evidence suggesting that the QIO Leader, all special studies approved has done exceptional work in one or 1. Task 1—Improving Beneficiary Safety under this task will be evaluated more of the other Task areas. and Health Through Clinical Quality individually, based on study-specific • Any other issues that the panel may Improvement evaluation criteria. The QIO’s success or deem relevant. a. Task 1a—Nursing Home Quality failure on a special study will not be Upon completion of its review, the Improvement factored into the evaluation of the QIO’s panel will recommend a final work under Tasks 1 through 3. disposition of the QIO’s contract The QIO will be held accountable for However, meeting the minimum renewal to the Director of CMS’ Office improvement in the quality of care performance standards does not of Clinical Standards and Quality measure rates for all nursing homes in guarantee a noncompetitive renewal of (OCSQ). the State and for identified participant the QIO’s contract. For example, an nursing homes. QIOs will be evaluated organization within a particular State B. Standards for Minimum Performance based on the following components: meeting the definition of a QIO may General Criteria Statewide improvement on the set of express interest in competing for a three to five publicly reported quality of contract currently held by a QIO from We will evaluate the QIO’s care measures that the QIO has selected outside that State, according to section performance on each sub-task by some in consultation with stakeholders, 1153(i) of the Act. In this case, we will combination of the following elements: • improvement in the selected nursing compete the contract despite acceptable Statewide improvement on the home publicly reported quality of care performance by the current QIO. We quality measure(s). • measures for identified participants, and will make a final decision on renewal/ Improvement on the quality of care nursing home satisfaction based on a non-renewal by the end of the 30th measure(s) among a group of identified survey of identified participating month of the 7th Round contract. We participants as defined within each nursing homes. To view the weighting will issue a ‘‘Notice of Intent to Non- subtask. • criteria for each component, go to renew the QIO Contract’’ letter to all Satisfaction among providers and http://www.cms.hhs.gov/qio/2.asp for a QIOs that do not meet the minimum practitioners regarding their interaction copy of the J–7. performance standards no later than the with the QIO. end of the 33rd month of the contract. Satisfaction will be assessed using a b. Task 1b—Home Health Quality The QIO will be considered to have met survey, the purpose of which will be to: Improvement minimum performance standards if the • Measure satisfaction as one The QIO will be held accountable for QIO had demonstrated acceptable component of the QIO’s evaluation. improvement in the Outcome Based performance in each Task area as • Identify opportunities where the Quality Improvement (OBQI) quality of specified in section III of this notice, QIO can improve satisfaction. care measure rates for a set of home Standards for Minimum Performance. Task 1 (including subtasks a through health agencies that are identified If the QIO has not met the criteria to e) and subtask 2b will be evaluated participants. The QIOs will be evaluated merit a noncompetitive renewal, it will quantitatively. The QIO’s success will based on the following components: The be notified of our intention not to renew be measured by assessing its relative extent to which the number of its contract and will be informed of its improvement on each evaluation participating home health agencies, right to request an opportunity to criterion. The term ‘‘improvement’’ as with significant improvement in a provide information about its used in the 7th Round Contract will be targeted outcome, equals or exceeds 30 performance under the contract to a defined mathematically to mean the percent of the total number of home CMS-wide panel. The panel includes relative reduction in the failure rate. health agencies in the State, and the representatives from each of the four The expected minimum improvement identified participant satisfaction that QIO Regional Offices and the Central level, as determined by our management will be measured by a survey of Office. The QIO’s Project Officer will and defined in the J–7 at identified participant home health not be eligible to represent the Regional http:www.cms.hhs.gov/qio/2.asp, will agencies using a composite measure of Office on the panel when it reviews the serve as the reference point for each satisfaction that reflects the type of work of his or her QIO. However, the calculated relative improvement. activities that QIOs are expected to have Project Officer will be available to In a number of the Task 1 subtasks, undertaken with these providers. answer any questions. Also, the QIO statewide improvement will be averaged will be given the opportunity to provide with the improvement among a set of c. Task 1c—Hospital Quality additional information. The panel will identified participant providers. In these Improvement have the right to create its own cases, we have set a target percentage of QIOs will be evaluated on the procedures, but must apply them identified participant providers. The following criteria: Statewide consistently to all QIOs. At a minimum, relative weights of the statewide improvement on the quality of care the panel will use the criteria listed improvement and of identified measures listed in the 7th Round below for all Tasks: participants’ improvement will combine Contract, and hospital satisfaction based • The degree of collaboration the QIO to equal 80 percent of the subtask’s on feedback from the hospitals in the exhibited with the Quality Improvement weight, and will be a function of the State. To view the specific criteria, go to Organization Support Centers (QIOSCs) percentage of the target percentage (up http://www.cms.hhs.gov/qio/2.asp for a and other QIOs, both by sharing the to 150 percent) that the QIO identifies copy of the J–7.
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d. Task 1d—Physician Office Quality 2. Task 2—Improving Beneficiary Safety QIO must also meet one of the following Improvement and Health Through Information and criteria: with respect to the absolute Communications payment error rate, the follow-up QIOs will be evaluated based on the payment error rate must be no greater following general criteria: statewide a. Task 2a—Promoting the Use of Performance Data than 1.5 standard errors above the improvement on quality of care baseline error rate, or the QIO must have measures, improvement on diabetes and QIO success will be assessed on the made acceptable progress in improving cancer screening quality of care timely completion and submission of a provider performance in relation to all measures for identified participant project work plan, timely completion projects approved or directed by us. physicians, and physician satisfaction and submission of all required reports and deliverables, and the extent to c. Task 3c—Other Beneficiary Protection based on feedback from physician Activities designees in the State who participated which the QIO uses information we with the QIO. To view the specific have provided as well as any other The QIO will be assessed on the criteria for this task, go to http:// feedback the QIO receives to refine its timeliness of reviews for HINN/ project activities to achieve the desired NODMAR, EMTALA review, other case www.cms.hhs.gov/qio/2.asp for a copy outcome. review activities and post review of the J–7. activities. b. Task 2b—Transitioning to Hospital- e. Task 1e—Underserved and Rural Generated Data III. Analysis of and Responses to Public Beneficiaries Quality Improvement The evaluation for this task will be Comments and Provisions of the Final The QIO’s work on this task will be based on the following elements: Notice primarily evaluated on the success of • We will determine the We received several public comments the QIO’s efforts to reduce disparity completeness of the assessment survey on the 2004 Federal Register notice between the targeted underserved group information for each hospital. with comment period. • and their geographically relevant non- We will review hospital data Comment: One commenter expressed underserved reference group from submitted to the national repository via concern over the hospital satisfaction baseline to re-measurement. To be QualityNet Exchange to determine the survey in Task 1c. The commenter proportion of hospitals within the State judged to have performed minimally noted that some hospitals have changed that have implemented a data to acute care hospitals late in the SOW. successful on this task, the QIO must abstraction system to abstract quality of The commenter believes this does not demonstrate disparity reduction. QIOs care measures. provide the QIO ample opportunity to will also be evaluated on three factors • We will review hospital satisfaction work with the hospital before the that collectively demonstrate knowledge with the QIO data abstraction support. hospital completes the satisfaction generated by the QIO about the To view specific criteria for this task, go survey. The commenter recommended underserved target group, the to http://www.cms.hhs.gov/qio/2.asp for that we establish a cut-off date for new interventions planned upon the basis of a copy of the J–7. entries as acute care hospitals that knowledge, the use of literature on c. Task 2c—Other Mandated participating in the satisfaction survey. effective interventions, and by Response: While we understand the Communication Activities demonstrating the effectiveness of their concern that hospitals with only recent interventions through analyses QIO success on this task will be experience in acute care could have an comparing the intervention group and a assessed on the following elements: The impact on the hospital satisfaction contrast group. To view the specific establishment and use of a Consumer survey, we do not believe that it would criteria for this task, go to http:// Advisory Council to advise and provide be a significant impact for the 7th SOW. www.cms.hhs.gov/qio/2.asp for a copy guidance regarding consumer related The Task 1c satisfaction scores from the of the J–7. activities, the QIO’s success at first two rounds appear to support our broadening consumer representation on position. All QIOs in the first two f. Task 1f—Medicare + Choice the QIO Board of Directors, the rounds received scores that met or Organizations (M+COs) (Now Called successful operation of a beneficiary exceeded the 80 percent passing Medicare Advantage Organizations helpline, and the publication and threshold. The suggestion to include a (MAs)) Quality Improvement distribution of an annual report. cut-off date is a reasonable one that we 3. Task 3—Improving Beneficiary Safety can consider for subsequent Scopes of QIOs will be expected to have Work. We intend to evaluate all rounds demonstrated appropriate activity to and Health Through Medicare Beneficiary Protection Activities for the current SOW identically. include MAs in Tasks 1a to 1e as Comment: One commenter expressed determined by the Project Officer. We a. Task 3a—Beneficiary Complaint concern about the project plan will survey MAs that have worked with Response Program requirements in Task 2a. Specifically, the QIO using a composite measure of QIO success will be assessed by the the commenter stated that the task only satisfaction that reflects the types of timeliness of completed reviews, quality required a project plan for the Nursing activities that QIOs are expected to have improvement activities as the result of Home Quality Initiative. The commenter undertaken with these organizations. beneficiary complaints, reliability of the requested more specific language in the We will further use the results of the review of cases as determined by QIO evaluation criteria to address this issue. Medicare+Choice Quality Review assessment of the review Response: For the 7th SOW, we are Organizations (M+CQRO) or determinations, and beneficiary requiring only one formal project plan accreditation organization evaluation of satisfaction with the complaint process. for the Nursing Home Quality Initiative. the Quality Assessment and A deliverable has not been added for b. Task 3b—Hospital Payment subsequent plans. QIOs will not be held Performance Improvement (QAPI) Monitoring Review Program projects to determine if expected accountable for failing to deliver project improvement was demonstrated. The QIO must complete reviews plans that are not required deliverables within the prescribed timeframes. The for the task.
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Comment: One commenter stated that a 3-bar OBQI report for the reporting Therefore, we have chosen to evaluate there are no historical data to period ending in the 24th month of the this task quantitatively. demonstrate that nursing homes’ contract. This definition recognizes the Comment: One commenter expressed thresholds and home health thresholds dynamic nature of the home health concern over the lateness of data for are achievable or realistic. industry, and counts only agencies with Task 1d. The commenter believes that Response: We believe that the sufficient caseload during the 24 this has made it nearly impossible to thresholds are achievable for most QIOs. months included in the 3-bar report. We assess the effectiveness of the QIO The results of the 1st Round 28-month believe that this definition provides interventions, or to identify other areas evaluations show that the majority of QIOs with the best opportunity to for intervention. the QIOs (87 percent) achieved or successfully pass the evaluation, while Response: We recognize that time lags exceeded the target performance. including all agencies operating with a can hinder the QIO’s technical Therefore, there is no indication that sufficient caseload during a large part of assistance to providers in the outpatient these thresholds should be changed. the SOW. setting. We have set the baseline period Comment: One commenter stated that Comment: One commenter stated that to allow QIOs to work with providers the tasks to be evaluated subjectively many of the Task 1c hospital indicators during the transition period between would be less ambiguous if the will have a small number in the SOWs. Much of this work is reflected in components of the evaluation were denominator. The commenter stated the next SOW’s evaluation results. The known before the start of the SOW. that by collecting the same number of relative stability of QIOs in their States Response: We agree with this cases for all States, the precision and lessens the impact of the time lag. comment. However, QIOs were confidence interval is much smaller for Comment: One commenter suggested provided a copy of the J–7 before the a large State, thereby making the that we change the evaluation criteria in start of the SOW. The tool used to do evaluation of the QIO less accurate. the J–7 for Task 1e to make them the the actual evaluation was based on the Response: The assumption on the part same as the evaluation criteria that were materials provided in the J–7, and did of the commenter is not completely originally developed for their QIO’s not include any criteria or standards not accurate. The evaluation score equally improvement project. in the SOW. We will produce the tool weights the four conditions for hospital Response: We assume the commenter for the 8th SOW early in the contract public reporting (see http:// is referring to the use of sub-county period. It will be distributed to QIOs as www.cms.hhs.gov/quality/hospital for targeting in the evaluation of this Task. soon as it is available. list of conditions) to provide a more We have already modified the Comment: Three commenters robust estimate of quality improvement. evaluation on this Task to allow sub- questioned how statistical significance Three of the four conditions have large county targeting. This modification to could be calculated for home health enough samples so that sample size (not the evaluation was approved by the agencies with a small number of population size) is the primary Project Officers in the beginning of the episodes of care. determinant driving the precision of the SOW. We do not anticipate any further Response: We use the Fisher’s exact estimates. Acute Myocardial Infarction changes at this point. test to calculate statistical significance measures, one of the four conditions, Comment: One commenter suggested for agency outcomes with 10 to 30 with systematically small samples are that Task 3 activities be elevated to a episodes of care. This test does not weighted accordingly to minimize the higher position in the SOW. This require a large sample to estimate impact of any unreliable estimates on commenter believes the current Task 3 statistical significance. More the overall evaluation. AMI is the only should be Task 1 or Task 2 to increase information on this test can be found in one of the four conditions with its importance in the contract. Categorical Data Analysis by Alan systematically small samples. It is Response: We agree that all of the Agresti. Additionally, we tested the weighted accordingly to minimize the Tasks performed by the QIOs are impact of small HHAs by recalculating impact of any unreliable estimates on important to foster quality improvement evaluation results. Excluding all HHAs the overall evaluation. in the health care delivered to Medicare with fewer than 30 episodes of care did Comment: One commenter stated that beneficiaries. The evaluation criteria not substantively improve the overall the Task 2b evaluation should not be reflect this belief. Task 3 comprises 3 evaluation results. Based on this considered under the quantitative out of 12 subtasks evaluated by us. QIOs information, we decided not to modify evaluation criteria. The commenter must successfully perform Task 3 work the 1b evaluation criteria. stated that the largest weighted criterion in order to be granted non-competitive Comment: One commenter questioned for this task is related to the Reporting contract renewal. We believe that the how we determined the home health Hospital Quality Data for Annual stringent evaluation criteria in place for task denominator for the 30 percent. Payment Update (RHQDAPU), which this task reflect the importance of the Response: The home health does not have a quantitative work. denominator is made up of two measurement. Comment: One commenter asked components. It includes identified Response: The RHQDAPU criterion about the provider satisfaction survey participants and non-identified for this subtask is dichotomous in and how we plan to use the survey if the participants. Identified participants are nature and requires that QIOs contact all QIO does not have a sufficient sample defined as all home health agencies that hospitals in their State and assist them size. submitted an OBQI plan of action (POA) in their data submission into the Response: Identifying opportunities and have at least a one 3-bar OBQI Standard Data Processing System for improvement is part of a quality report for any reporting period ending at Clinical Warehouse. QIOs must also improvement feedback cycle. We least 12 months after the POA document their communication and believe that the results of the submission date. A 3-bar report allows assistance with all hospitals, satisfaction survey are useful to QIOs in the HHA to compare current outcome participating and non-participating. identifying quality improvement rates to prior year outcome rates and Although this task does involve some opportunities. CMS and its statistical national outcome rates. Non-identified activities that may be evaluated in a contractor have provided all QIOs with participants are defined as having no qualitative manner, the majority of the detailed information about their OBQI plan of action submitted, but with activities are quantitative in nature. satisfaction survey results. The
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statistical contractor will also write a hospital reporting are necessary and DEPARTMENT OF HEALTH AND national analysis of the survey results to provide different information to us. HUMAN SERVICES identify opportunities for QIO program Comment: One commenter questioned Administration for Children and improvement as a whole. In the few the evaluation criteria for Task 3b. In Families instances with insufficient sample size, the J–7, the term ‘‘reliability’’ is used. we use the actual satisfaction rate to The guidance document states that the evaluate QIO performance. However, we Administration on Children, Youth and QIO will be evaluated based on both grant QIOs a passing evaluation score Families; Family and Youth Services when the overall evaluation status (that ‘‘reliability’’ and ‘‘validity of review.’’ Bureau; Notice of the Availability of is, pass vs. fail) is sensitive to this This commenter also requested Financial Assistance and Request for potentially unreliable rate. Usually this clarification as to why Tasks 3a and 3b Applications To Establish and Operate rate does not affect a QIO’s overall require reliability while Task 3c does the National Domestic Violence Hotline not require validity for evaluation. evaluation status on a particular Announcement Type: Grant. subtask, since its relative weight is Response: The reliability of the Funding Opportunity Number: HHS– small in a subtask’s evaluation. review is the primary criterion for 2005–ACF–ACYF–EV–0039. Comment: One commenter stated that, evaluating this component of the task. CFDA Number: 93.592. with the development of the Excel We will ensure consistency in spreadsheet to evaluate the qualitative documents released for the 8th SOW. Due Date for Applications: August 22, tasks, these tasks are no longer The evaluation criteria were chosen for 2005. qualitative. They are now being each subtask in Task 3 based on the Executive Summary: The evaluated in a quantitative way. appropriateness for the task. Administration for Children and Response: The Excel tool allows Families (ACF), Administration on Project Officers to subjectively evaluate Comment: One commenter expressed Children, Youth and Families (ACYF) QIO performance in the qualitative concern over using Medicare physician announces the availability of funds in tasks. It was developed in response to billing as the method to measure the fiscal year 2005 for the award of one concerns from QIOs about inter-region rate of statewide and identified grant on a competitive basis to operate variation in the 6th SOW. It uses the participants’ improvement in quality a national, toll-free telephone hotline to same evaluation criterion provided in care measures for Task 1d. provide information and assistance to the J–7, and is not intended to make the Response: We are investigating this victims of domestic violence. evaluation quantitative in nature. method of measuring improvement for I. Funding Opportunity Description Rather, it gives some consistency to the the Round 1 evaluations, and have so far subjective review by the Project found nothing large-scale or systematic Authorizing Statutes and Regulations: Officers. We agree that this tool should that would alter evaluation results for The Family Violence Prevention and be provided to QIOs as early as possible Task 1d. We believe that the evaluation Services Act (the Act) was originally in the contract cycle. We will strive to measures are relatively stable and enacted in sections 301–316 of Title III of the ‘‘Child Abuse Amendments of provide this tool to the QIOs as early as reliable estimates, and that billing issues 1984’’ (Pub. L. 98–457, 10/9/84). The possible for the 8th SOW. as a whole do not contribute significant Act was most recently amended by the Comment: One commenter stated that bias to these estimates. We understand a great deal of effort was put into the ‘‘Keeping Children and Families Safe the limitations of using billing National Voluntary Hospital Reporting Act of 2003’’ (Pub. L. 108–36). information to estimate quality Initiative (NVHRI), but this effort was Supplementary Information: In improvement, and are working to not included in the evaluation criteria. accordance with amendments to the Act minimize its impact by identifying these Response: We appreciate the fact that enacted by Pub. L. 108–36, ACF will the NVHRI did require some additional problems and reporting questionable award grants to one or more private, effort on the part of the hospitals. billing issues to the appropriate parties. non-profit entities to assist in the However, participation could not be We are adopting the provisions of the establishment and operation of a highly included in the evaluation criteria notice with comment as final. secure Internet website to provide because this was a voluntary program information and assistance to victims of on the part of hospitals. The voluntary IV. Executive Order 12866 Statement domestic violence. A separate nature of the program requires a In accordance with the provisions of announcement regarding these awards different approach by the QIO than is Executive Order 12866, this notice with will be issued at a future date. required by the other subtasks and comment period was not reviewed by Program and Focus Area: The deliverables of the contract. the Office of Management and Budget. purpose of the National Domestic Comment: One commenter stated that Violence Hotline (Hotline) is to provide for those States with 100 percent Authority: Section 1153 of the Social information and referral services, participation in hospital public Security Act (42 U.S.C. 1320c–2). counseling, and assistance to victims of reporting, the Hospital Generated Data (Catalog of Federal Domestic Assistance domestic violence, their children and (HGD) Survey is redundant. The Program No. 93.774, Medicare— other family members, and others commenter stated that the same Supplementary Medical Insurance Program) affected by such violence; and enable information may be obtained through Dated: March 14, 2005. them to find safety and protection in both sources. crisis situations. The successful Response: We have been careful to Mark B. McClellan, applicant will be required to provide avoid redundant activities for both Administrator, Centers for Medicare & telephonic assistance on a 24 hours-per- providers and QIOs. The HGD Survey Medicaid Services. day, seven days-a-week basis does not determine if a hospital is a [FR Doc. 05–14505 Filed 7–21–05; 8:45 am] throughout the continental United reporting hospital. Instead, it assesses BILLING CODE 4120–01–P States, Alaska, Hawaii, the the hospital’s ability to collect data. Commonwealth of Puerto Rico, and the Therefore both the survey and the actual U.S. Virgin Islands.
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Priority Area local level, given the variation in laws • A plan for facilitating access to the Notice of the availability of financial and services available among the States Hotline by persons with hearing assistance and request for applications and localities. impairments. As domestic violence often 4. The applicant must demonstrate to establish and operate the National contributes to isolation, helplessness, that it has: Domestic Violence Hotline. loss of self-esteem, and dependence, a • Expertise in the operation of a 1. Description self-help and empowerment model of domestic violence hotline and a record Conceptual Framework and Scope of services is needed. Such a model: of high quality service to victims of • Protects and assures safety for all Services: The prevalence of family domestic violence, and; victims and other family members; • Commitment to diversity and to the violence is widespread and its effective • Builds on the strengths and provision of services, regardless of prevention and treatment requires resources of individuals and families; gender, to ethnic, racial, and non- coordination and collaboration among a • Offers options and support for English speaking minorities, in addition broad range of legal and justice system independent decision-making based on to older individuals and individuals entities, health and social service specific individual and family needs with disabilities. providers, and advocates at the Federal, and circumstances; and 5. The applicant must demonstrate State, and local levels. • Assists individuals and families to knowledge of the field, including the To serve the wide range of expected obtain protection and needed services range of services and the resources calls effectively, the entity chosen as the that are respectful of cultural and available for domestic violence victims, Hotline recipient must have expertise community characteristics. their children and family members, about domestic violence and the Minimum Requirements: The perpetrators and batterers, and other delivery of services to victims of following requirements must be met by concerned individuals. The applicant domestic violence. The staff also must the grantee and addressed in the must also demonstrate knowledge of understand the importance of using application: services and resources relating to appropriate linkages with State and 1. All funds received by the grantee substance and mental health problems, local resources to serve callers to the pursuant to Section 316 of the Act must State and Indian Tribal domestic Hotline. The benefits of a highly visible be used to establish and operate a violence laws, including the availability national Hotline to victims and others national toll-free telephone hotline to of legal protection and the barriers affected by domestic violence will be provide information and assistance to affecting access to such services, victims of domestic violence. directly related to the productive resources, and protection. 2. In establishing the Hotline, the working relationships and coordinated 6. The applicant must demonstrate private, nonprofit entity shall: provision of services between and experience in providing high quality • Contract with a carrier for the use among the Hotline, State and local crisis intervention, information and hotlines, and other services and of a toll-free telephone line; • Employ, train, and supervise referral, and counseling services and resources. support to battered individuals, their Calls to the Hotline may range from personnel to answer incoming calls and provide counseling and referral services children, their family, and friends, other urgent and life-threatening to calls for domestic violence victims, batterers, general reference information. The on a 24-hours-a-day basis; • Assemble and maintain a current and the general public through a target population to be served by the national toll-free hotline. Hotline is specified in the statute as database of information relating to services for victims of domestic violence 7. The applicant must demonstrate an victims of domestic violence. The understanding of the relationship of Hotline should be prepared to respond to which callers may be referred throughout the United States, including alcohol, drug abuse, and mental health to the broad range of violence that problems to incidents of domestic occurs in the context of family and information on the availability of shelters that serve victims of battering violence and the ability to make intimate relationships, domestic appropriate referrals to callers. violence, spouse abuse, partner abuse, and their children; and • Publicize the Hotline to potential 8. The applicant must demonstrate an battering of women, sexual assault, date users throughout the United States, the understanding of the need for a national rape, and acquaintance rape. The Commonwealth of Puerto Rico and the hotline for domestic violence victims, Hotline also will serve those less U.S. Virgin Islands. including a description of the function directly affected by such abuse, i.e., 3. To be approved by the Secretary of and limitation of the current network of relatives, children of victims and other Health and Human Services (the national and State crisis hotlines, family members, friends, neighbors, Secretary), the application must include information lines, and State victims perpetrators and batterers, other a complete description of the referral services. concerned individuals, and the general applicant’s plan for the operation of a 9. The applicant must provide a plan public. National Domestic Violence Hotline, and demonstrate its ability to build, In terms of the scope of the services including a description of: maintain, and keep current a provided by the Hotline, the statute • The training program for Hotline comprehensive database of resource requires the provision of information personnel; information that includes the full range and assistance and counseling and • The hiring criteria for Hotline of services available in local referral services. Therefore, the personnel; communities, the types of legal applicant’s proposed design and plan • The methodology for the creation, protection and services available in for operating the Hotline and maintenance, and updating of a resource different States and localities, and the responding to callers is important. database; capability to access information. However, the Hotline is not expected to • A plan for publicizing the 10. The applicant must provide a provide extended or long-term availability of the Hotline; detailed description of: counseling or therapy services. A more • A plan for providing service to non- • The telecommunications and complete discussion of a problem and English speaking callers, including computer technology that is, or will be, the consideration of options for the Hotline personnel for callers whose employed to establish and support the caller is done most appropriately at the primary language is Spanish; and Hotline, including all management
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functions, referral functions, resource • Comprehensive database of current organization and any future project role database management functions, information; they may have if the project is funded. monitoring functions, and overall • The ability to connect callers 17. The applicant must provide an project administration and quality directly to local programs or services assurance that any information collected control. when appropriate; as a part of this grant will become the • The design and operation of the • Emergency response protocol for property of the Federal Government. telephone system that will be used to callers in immediate danger; and 18. The applicant must provide an provide the service and its capacity and • Appropriate confidentiality assurance that it will work with the limitations, including information such safeguards; and Federal Project Officer to identify the as the capacity to facilitate the number • Data collection and data information that will be compiled based of incoming calls, call conferencing, management capability sufficient to on incoming calls; this includes automatic call referral to local support program administration, compilation of information on both providers, and service integration with reporting, monitoring, and an ongoing maternal and child victims of domestic computers. violence and the individual and • quality assessment of the Hotline The methods that will be used to service. situational factors characterizing violent ensure that the Hotline is providing 12. The applicant must provide a plan and abusive behavior. confidential crisis intervention and the to coordinate, work with, and provide 19. The applicant must provide an specific provisions that will be in place Hotline services and data resource and assurance that it will comply with grant to safeguard the confidentiality of referrals that make maximum use of administration requirements in 45 CFR callers and ensure the proper handling existing domestic violence programs Part 74. of confidential or sensitive information; • and resources including, but not limited II. Award Information The personnel recruitment, hiring, to, local and statewide domestic and training program (i.e., a description violence hotlines, state domestic Funding Instrument Type: Grant. of an initial and ongoing training plan violence coalitions, state sexual assault Anticipated Total Priority Area for staff and volunteers should be coalitions, shelter programs, emergency Funding: $3,000,000. included) that will ensure the delivery services, legal services programs, Anticipated Number of Awards: 1. of quality crisis intervention, national domestic violence resource Ceiling on Amount of Individual information and referral assistance, and centers, other existing national hotlines Awards: $3,000,000 per budget period. counseling services to callers and other national organizations, Floor on Amount of Individual representing diverse populations; resources related to child abuse and Awards: None. • The specific emergency response youth endangerment, perpetrators and Average Projected Award Amount: and crisis protocol to be used, the batterers programs, and the various $3,000,000 per budget period. ability to conference call (or ‘‘patch’’) a activities of the Centers for Disease Length of Project Periods: 60-month caller to a local domestic violence, legal Control under its campaign to prevent project with five 12-month budget services, mental health, or substance violence against women. The applicant periods. abuse program when appropriate; and must provide support to State and local Non-competitive, continuation grant the plans for minimizing such problems domestic violence hotlines in response awards for each of years two through as crank or obscene calls and busy to any increased demand generated by five (FYs 2006–2009) are projected to be signals; and $3,000,000 per fiscal year subject to the • The methods the applicant will use a national public awareness campaign. 13. The applicant must provide a availability of funds. As required by the to provide for the development, Act, the provision of payments under a maintenance, and updating of a description of the quality assurance system it will use to assess regularly the grant awarded to establish or operate the comprehensive resource database National Domestic Violence Hotline is (distributed to the maximum extent quality of the services being provided by the Hotline and the extent to which the subject to annual approval of the appropriate); the technical capacity to Secretary. Such annual approval may be link with other State and local databases goals and objectives of the service are being met. The quality assurance system withheld if a grantee does not comply in order to maintain an extensive and with pertinent statutory changes current resource locator or listing; the also must include actions to address identified problems, such as, enacted during the project period. ability to facilitate communication Moreover, potential grantees are advised among service providers to assist in the unanswered calls, wait time, data corruption, and other past and current that the enactment of significant provision of services; and how the legislative changes during the project information on best practices gathered technological problems. 14. The applicant must provide a period may prompt a finding that early through various inventories will be used termination of the project and the to assist victims of family violence. comprehensive plan to publicize the Hotline to a national audience, holding of a new competition is in the 11. The applicant must demonstrate best interest of the Federal Government. an understanding of the technological including efforts to ensure promotion requirements of such a project and through the national media and through III. Eligibility Information targeted outreach to racially and include a detailed timeline to provide 1. Eligible Applicants the following services nationally: ethnically diverse communities, older • 24-hours/365 days per year access; individuals, and individuals with • Non-profits having a 501(c)(3) • Direct access to English- and disabilities. status with the IRS, other than Spanish-speaking personnel at all times 15. The applicant must demonstrate institutions of higher education. and the provision of services to other the ability to staff, financially support, • Non-profits that do not have a non-English speaking callers and the and programmatically administer a 501(c)(3) status with the IRS, other than hearing impaired; national project of this scope. institutions of higher education. • Personnel (paid staff and 16. The author(s) of the application Additional Information on Eligibility: volunteers) trained in crisis must be clearly identified together with Faith-based and community intervention, information and referral, a description of their current organizations are eligible applicants and counseling skills; relationship to the applicant under this announcement.
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Please see Section IV for required When applying electronically we Grants.gov, you will be able to documentation supporting eligibility or strongly suggest you attach your proof of download a copy of the application funding restrictions if any are non-profit status with your electronic package, complete it off-line, and then applicable. application. upload and submit the application via Private, non-profit organizations are the Grants.gov site. ACF will not accept 2. Cost Sharing/Matching encouraged to submit with their grant applications via e-mail or None. applications the survey located under facsimile transmission. ‘‘Grant Related Documents and Forms,’’ 3. Other Please note the following if you plan ‘‘Survey for Private, Non-Profit Grant to submit your application All applicants must have a Dun & Applicants,’’ titled, ‘‘Survey on electronically via Grants.gov: Bradstreet number. On June 27, 2003 the Ensuring Equal Opportunity for • Electronic submission is voluntary, Office of Management and Budget Applicants,’’ at: http://www.acf.hhs.gov/ but strongly encouraged. published in the Federal Register a new programs/ofs/forms.htm. • When you enter the Grants.gov site, Federal policy applicable to all Federal Disqualification Factors: Applications you will find information about grant applicants. The policy requires that exceed the ceiling amount will be submitting an application electronically Federal grant applicants to provide a considered non-responsive and will not through the site, as well as the hours of Dun & Bradstreet Data Universal be considered for funding under this operation. We strongly recommend that Numbering System (DUNS) number announcement. you do not wait until the application when applying for Federal grants or Any application that fails to satisfy deadline date to begin the application cooperative agreements on or after the deadline requirements referenced in process through Grants.gov. October 1, 2003. The DUNS number will Section IV.3 will be considered non- • We recommend you visit Grants.gov be required whether an applicant is responsive and will not be considered at least 30 days prior to filing your submitting a paper application or using for funding under this announcement. application to fully understand the the government-wide electronic portal process and requirements. We (http://www.grants.gov/). A DUNS IV. Application and Submission Information encourage applicants who submit number will be required for every electronically to submit well before the application for a new award or renewal/ 1. Address To Request Application closing date and time so that if continuation of an award, including Package difficulties are encountered an applicant applications or plans under formula, ACYF Operations Center, c/o Dixon can still send in a hard copy overnight. entitlement and block grant programs, Group, Attn: FV–FYSB Funding for If you encounter difficulties, please submitted on or after October 1, 2003. National Domestic Violence Hotline, contact the Grants.gov Help Desk at 1– Please ensure that your organization 118 Q Street, NE., Washington, DC 800–518–4726 to report the problem has a DUNS number. You may acquire 20002–2132. Phone: 866–769–1591. E- and obtain assistance with the system. • a DUNS number at no cost by calling the mail: [email protected]. To use Grants.gov, you, as the dedicated toll-free DUNS number applicant, must have a DUNS Number request line on 1–866–705–5711 or you 2. Content and Form of Application and register in the Central Contractor may request a number on-line at Submission Registry (CCR). You should allow a http://www.dnb.com/. The narrative should be typed and minimum of five days to complete the Non-profit organizations applying for double-spaced on a single-side of an CCR registration. 1 • funding are required to submit proof of 8 ⁄2″ x 11″ plain white paper, with 1″ You will not receive additional their non-profit status. margins on all sides. All pages of the point value because you submit a grant Proof of non-profit status is any one narrative (including charts, references/ application in electronic format, nor of the following: footnotes, tables, maps, exhibits, etc.) will we penalize you if you submit an • A reference to the applicant must be sequentially numbered, application in paper format. organization’s listing in the Internal beginning with ‘‘Objectives and Need • You may submit all documents Revenue Service’s (IRS) most recent list for the Project’’ as page number one. electronically, including all information of tax-exempt organizations described in Applicants should not submit typically included on the SF 424 and all the IRS Code. reproductions of larger size paper, necessary assurances and certifications. • A copy of a currently valid IRS tax reduced to meet the size requirement. • Your application must comply with exemption certificate. The length of the application, any page limitation requirements • A statement from a State taxing including the application forms and all described in this program body, State attorney general, or other attachments, should not exceed 60 announcement. appropriate State official certifying that pages. A page is a single side of an 81⁄2″ • After you electronically submit the applicant organization has a non- x 11″ sheet of paper. Applicants are your application, you will receive an profit status and that none of the net requested not to send pamphlets, maps, automatic acknowledgement from earnings accrues to any private brochures, or other printed material Grants.gov that contains a Grants.gov shareholders or individuals. along with their application as these tracking number. The Administration • A certified copy of the pose photocopy difficulties. These for Children and Families will retrieve organization’s certificate of materials, if submitted, will not be your application from Grants.gov. incorporation or similar document that included in the review process if they • We may request that you provide clearly establishes non-profit status. exceed the 60-page limit. Each page of original signatures on forms at a later • Any of the items in the the application will be counted to date. subparagraphs immediately above for a determine the total length. • You may access the electronic State or national parent organization You may submit your application to application for this program on http:// and a statement signed by the parent us in either electronic or paper format. www.grants.gov/. organization that the applicant To submit an application • You must search for the organization is a local non-profit electronically, please use the http:// downloadable application package by affiliate. www.Grants.gov/Apply site. If you use the CFDA number.
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Applicants that are submitting their number 0348–0046). Applicants must Applications hand carried by application in paper format should sign and return the certification with applicants, applicant couriers, other submit an original and two copies of the their application. representatives of the applicant, or by complete application. The original and Applicants must also understand they overnight/express mail couriers shall be each of the two copies must include all will be held accountable for the considered as meeting an announced required forms, certifications, smoking prohibition included within deadline if they are received on or assurances, and appendices, be signed Pub. L. 103–227, Title XII before the deadline date, between the by an authorized representative, have Environmental Tobacco Smoke (also hours of 8 a.m. and 4:30 p.m., eastern original signatures, and be submitted known as the PRO–KIDS Act of 1994). time, at the address referenced in unbound. A copy of the Federal Register notice Section IV.6., between Monday and Private, non-profit organizations are which implements the smoking Friday (excluding Federal holidays). encouraged to submit with their prohibition is included with this form. ACF cannot accommodate applications the survey located under By signing and submitting the transmission of applications by application, applicants are providing ‘‘Grant Related Documents and Forms,’’ facsimile. Therefore, applications the certification and need not mail back ‘‘Survey for Private, Non-Profit Grant transmitted to ACF by fax will not be Applicants,’’ titled, ‘‘Survey on the certification with the application. Applicants must make the appropriate accepted regardless of date or time of Ensuring Equal Opportunity for submission and time of receipt. Applicants,’’ at: http://www.acf.hhs.gov/ certification of their compliance with all programs/ofs/forms.htm. Federal statutes relating to Late Applications: Applications that Standard Forms and Certifications: nondiscrimination. By signing and do not meet the criteria above are The project description should include submitting the applications, applicants considered late applications. ACF shall all the information requirements are providing the certification and need notify each late applicant that its described in the specific evaluation not mail back the certification form. application will not be considered in criteria outlined in the program Complete the standard forms and the the current competition. announcement under Section V associated certifications and assurances Any application received after 4:30 Application Review Information. In based on the instructions on the forms. p.m. eastern time on the deadline date addition to the project description, the The forms and certifications may be will not be considered for competition. applicant needs to complete all the found at: http://www.acf.hhs.gov/ Applicants using express/overnight programs/ofs/forms.htm. standard forms required for making mail services should allow two working Those organizations required to applications for awards under this days prior to the deadline date for provide proof of non-profit status, announcement. receipt of applications. Applicants are Applicants seeking financial please refer to Section III.3. Please see Section V.1 for instructions cautioned that express/overnight mail assistance under this announcement on preparing the full project services do not always deliver as agreed. must file the Standard Form (SF) 424, description. Extension of deadlines: ACF may Application for Federal Assistance; SF– extend application deadlines when 424A, Budget Information—Non- 3. Submission Dates and Times circumstances such as acts of God Construction Programs; SF–424B, Due Date for Applications: August 22, (floods, hurricanes, etc.) occur, or when Assurances—Non-Construction 2005. there are widespread disruptions of mail Programs. The forms may be reproduced Explanation of Due Dates service, or in other rare cases. A for use in submitting applications. determination to extend or waive Applicants must sign and return the The closing time and date for receipt deadline requirements rests with the standard forms with their application. of applications is referenced above. Chief Grants Management Officer. Applicants must furnish prior to Applications received after 4:30 p.m. award an executed copy of the Standard eastern time on the closing date will be Receipt acknowledgement for Form LLL, Certification Regarding classified as late. application packages will not be Lobbying, when applying for an award Deadline: Applications shall be provided to applicants who submit their in excess of $100,000. Applicants who considered as meeting an announced package via mail, courier services, or by have used non-Federal funds for deadline if they are received on or hand delivery. Applicants will receive lobbying activities in connection with before the deadline time and date an electronic acknowledgement for receiving assistance under this referenced in Section IV.6. Applicants applications that are submitted via announcement shall complete a are responsible for ensuring http://www.grants.gov/. disclosure form, if applicable, with their applications are mailed or submitted Checklist: You may use the checklist applications (approved by the Office of electronically well in advance of the below as a guide when preparing your Management and Budget under control application due date. application package.
What to submit Required content Required form or format When to submit
Project Abstract ...... See Sections IV.2. and V ...... Found in Sections IV.2. and V ...... By application due date. Project Description ...... See Sections IV.2. and V ...... Found in Sections IV.2. and V ...... By application due date. Budget Narrative/Justification ...... See Sections IV.2. and V ...... Found in Sections IV.2. and V ...... By application due date. SF 424 ...... See Section IV.2 ...... See http://www.acf.hhs.gov/pro- By application due date. grams/ofs/forms.htm. SF LLL Certification Regarding Lob- See Section IV.2 ...... See http://www.acf.hhs.gov/pro- By date of award. bying. grams/ofs/forms.htm. Certification Regarding Environmental See Section IV.2 ...... See http://www.acf.hhs.gov/pro- By date of award. Tobacco Smoke. grams/ofs/forms.htm. Assurances ...... See Section IV.2 ...... See http://www.acf.hhs.gov/pro- By date of award. grams/ofs/forms.htm. SF 424A ...... See Section IV.2 ...... See http://www.acf.hhs.gov/pro- By application due date. grams/ofs/forms.htm.
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What to submit Required content Required form or format When to submit
Support Letters ...... See Section V ...... Found in Section V ...... By application due date. Proof of Non-Profit Status ...... See Section III.3 ...... Found in Section III.3 ...... By date of award.
Additional Forms: Private, non-profit Documents and Forms,’’ ‘‘Survey for www.acf.hhs.gov/programs/ofs/ organizations are encouraged to submit Private, Non-Profit Grant Applicants,’’ forms.htm. with their applications the survey titled, ‘‘Survey on Ensuring Equal located under ‘‘Grant Related Opportunity for Applicants,’’ at: http://
What to submit Required content Required form or format When to submit
Survey for Private, Non-Profit Grant See form ...... Found in http://www.acf.hhs.gov/pro- By application due date. Applicants. grams/ofs/forms.htm.
4. Intergovernmental Review When comments are submitted should be mailed to: Operations Center, directly to ACF, they should be c/o The Dixon Group, Inc., FV–FYSB State Single Point of Contact (SPOC) addressed to the U.S. Department of Funding for the National Domestic This program is covered under Health and Human Services, Violence Hotline, 118 Q Street, NE., Executive Order 12372, Administration for Children and Washington, DC 20002–2132. ‘‘Intergovernmental Review of Federal Families, Office of Grants Management, Hand Delivery: An applicant must Programs,’’ and 45 CFR Part 100, Division of Discretionary Grants, 370 provide an original application with all ‘‘Intergovernmental Review of L’Enfant Promenade SW., 4th floor, attachments signed by an authorized Department of Health and Human Washington, DC 20447. representative and two copies. The Services Programs and Activities.’’ Although the remaining jurisdictions application must be received at the Under the Order, States may design have chosen not to participate in the address below by 4:30 p.m. eastern time their own processes for reviewing and process, entities that meet the eligibility on or before the closing date. commenting on proposed Federal requirements of the program are still Applications that are hand delivered assistance under covered programs. eligible to apply for a grant even if a will be accepted between the hours of As of October 1, 2004, the following State, Territory, Commonwealth, etc. 8 a.m. to 4:30 p.m. eastern time, jurisdictions have elected to participate does not have a SPOC. Therefore, Monday through Friday. Applications in the Executive Order process: applicants from these jurisdictions, or should be delivered to: Operations Arkansas, California, Delaware, District for projects administered by federally Center, c/o The Dixon Group, FV–FYSB of Columbia, Florida, Georgia, Illinois, recognized Indian Tribes, need take no Funding for the National Domestic Iowa, Kentucky, Maine, Maryland, action in regard to E.O. 12372. Violence Hotline, 118 Q Street, NE., Michigan, Mississippi, Missouri, The official list, including addresses, Washington, DC 20002–2132. Nevada, New Hampshire, New Mexico, of the jurisdictions that have elected to Electronic Submission: Please see New York, North Dakota, Rhode Island, participate in E.O. 12372 can be found Section IV.2 for guidelines and South Carolina, Texas, Utah, West on the following URL: http:// requirements when submitting Virginia, Wisconsin, American Samoa, www.whitehouse.gov/omb/grants/ applications electronically via http:// Guam, North Mariana Islands, Puerto spoc.html. www.grants.gov/. Rico, and Virgin Islands. As these jurisdictions have elected to participate 5. Funding Restrictions V. Application Review Information in the Executive Order process, they Grant awards will not allow The Paperwork Reduction Act of 1995 have established SPOCs. Applicants reimbursement of pre-award costs. (Pub. L. 104–13) from participating jurisdictions should ACYF will not fund any project where contact their SPOC, as soon as possible, the role of the applicant is to serve as Public reporting burden for this to alert them of prospective applications a conduit for funds to organizations collection of information is estimated to and receive instructions. Applicants other than the applicant. The applicant average 25 hours per response, must submit all required materials, if must have a substantive role in the including the time for reviewing any, to the SPOC and indicate the date implementation of the project for which instructions, gathering and maintaining of this submittal (or the date of contact the funding is requested. This the data needed and reviewing the if no submittal is required) on the prohibition does not bar the making of collection information. Standard Form 424, item 16a. sub-grants or subcontracting for specific The project description is approved Under 45 CFR 100.8(a)(2), a SPOC has services or activities that are needed to under OMB control number 0970–0139 60 days from the application deadline to conduct the project. which expires 4/30/2007. comment on proposed new or Construction and the purchase of real An agency may not conduct or competing continuation awards. SPOCs property are not allowable activities or sponsor, and a person is not required to are encouraged to eliminate the expenditures under this grant award. respond to, a collection of information submission of routine endorsements as unless it displays a currently valid OMB official recommendations. Additionally, 6. Other Submission Requirements control number. SPOCs are requested to clearly Submission by Mail: An applicant differentiate between mere advisory must provide an original application 1. Criteria comments and those official State with all attachments, signed by an The following are instructions and process recommendations, which may authorized representative and two guidelines on how to prepare the trigger the ‘‘accommodate or explain’’ copies. Please see Section IV.3 for an ‘‘project summary/abstract’’ and ‘‘full rule. explanation of due dates. Applications project description’’ sections of the
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application. Under the evaluation range of projects currently being the criteria to be used to evaluate criteria section, note that each criterion conducted and supported (or to be results, and explain the methodology is preceded by the generic evaluation initiated), some of which may be that will be used to determine if the requirement under the ACF Uniform outside the scope of the program needs identified and discussed are being Project Description (UPD). announcement. met and if the project results and benefits are being achieved. With Part I—The Project Description Results or Benefits Expected respect to the conduct of the project, Overview Identify the results and benefits to be define the procedures to be employed to Purpose derived. determine whether the project is being For example, indicate the aggregate The project description provides a conducted in a manner consistent with number of calls expected to be received major means by which an application is the work plan presented and discuss the and the number of individuals who will evaluated and ranked to compete with impact of the project’s various activities other applications for available be assisted on an annual basis. Provide on the project’s effectiveness. estimates of the expected volume of assistance. The project description Additional Information should be concise and complete and calls in service areas, such as, crisis The following are requests for should address the activity for which counseling, immediate referrals to additional information that need to be Federal funds are being requested. shelters, or the number of referrals made included in the application: Supporting documents should be in response to non-English speaking included where they can present callers. Staff and Position Data information clearly and succinctly. In Approach Provide a biographical sketch and job preparing your project description, Outline a plan of action that describes description for each key person information responsive to each of the the scope and detail of how the appointed. Job descriptions for each requested evaluation criteria must be proposed work will be accomplished. vacant key position should be included provided. Awarding offices use this and Account for all functions or activities as well. As new key staff is appointed, other information in making their identified in the application. Cite factors biographical sketches will also be funding recommendations. It is that might accelerate or decelerate the required. important, therefore, that this work and state your reason for taking information be included in the Organizational Profiles the proposed approach rather than application in a manner that is clear and Provide information on the applicant complete. others. Describe any unusual features of the project such as design or organization(s) and cooperating Introduction technological innovations, reductions in partners, such as organizational charts, cost or time, or extraordinary social and financial statements, audit reports or Applicants required to submit a full statements from CPAs/Licensed Public project description shall prepare the community involvement. Accountants, Employer Identification project description statement in Provide quantitative monthly or Numbers, names of bond carriers, accordance with the following quarterly projections of the contact persons and telephone numbers, instructions while being aware of the accomplishments to be achieved for child care licenses and other specified evaluation criteria. The text each function or activity in such terms documentation of professional options give a broad overview of what as the number of people to be served accreditation, information on your project description should include and the number of activities compliance with Federal/State/local while the evaluation criteria identifies accomplished. government standards, documentation the measures that will be used to When accomplishments cannot be of experience in the program area, and evaluate applications. quantified by activity or function, list them in chronological order to show the other pertinent information. If the Project Summary/Abstract schedule of accomplishments and their applicant is a non-profit organization, Provide a summary of the project target dates. submit proof of non-profit status in its description (a page or less) with If any data is to be collected, application. reference to the funding request. maintained, and/or disseminated, The non-profit agency can accomplish clearance may be required from the U.S. this by providing: (a) A reference to the Objectives and Need for Assistance Office of Management and Budget applicant organization’s listing in the Clearly identify the physical, (OMB). This clearance pertains to any Internal Revenue Service’s (IRS) most economic, social, financial, ‘‘collection of information that is recent list of tax-exempt organizations institutional, and/or other problem(s) conducted or sponsored by ACF.’’ described in the IRS Code; (b) a copy of requiring a solution. The need for List organizations, cooperating a currently valid IRS tax exemption assistance must be demonstrated and entities, consultants, or other key certificate, (c) a statement from a State the principal and subordinate objectives individuals who will work on the taxing body, State attorney general, or of the project must be clearly stated; project along with a short description of other appropriate State official supporting documentation, such as the nature of their effort or contribution. certifying that the applicant letters of support and testimonials from organization has a non-profit status and concerned interests other than the Evaluation that none of the net earnings accrue to applicant, may be included. Any Provide a narrative addressing how any private shareholders or individuals; relevant data based on planning studies the conduct of the project and the (d) a certified copy of the organization’s should be included or referred to in the results of the project will be evaluated. certificate of incorporation or similar endnotes/footnotes. Incorporate In addressing the evaluation of results, document that clearly establishes non- demographic data and participant/ state how you will determine the extent profit status, (e) any of the items beneficiary information, as needed. In to which the project has achieved its immediately above for a State or developing the project description, the stated objectives and the extent to national parent organization and a applicant may volunteer or be requested which the accomplishment of objectives statement signed by the parent to provide information on the total can be attributed to the project. Discuss organization that the applicant
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organization is a local non-profit Equipment Recipients might be required to make affiliate. Description: ‘‘Equipment’’ means an available to ACF pre-award review and procurement documents, such as Letters of Support article of nonexpendable, tangible personal property having a useful life of request for proposals or invitations for Provide statements from community, more than one year and an acquisition bids, independent cost estimates, etc. public and commercial leaders that cost which equals or exceeds the lesser support the project proposed for Note: Whenever the applicant intends to of (a) the capitalization level established delegate part of the project to another agency, funding. All submissions should be by the organization for the financial the applicant must provide a detailed budget included in the application OR by statement purposes, or (b) $5,000. (Note: and budget narrative for each delegate application deadline. Acquisition cost means the net invoice agency, by agency title, along with the required supporting information referred to Budget and Budget Justification unit price of an item of equipment, in these instructions. Provide a budget with line-item detail including the cost of any modifications, and detailed calculations for each attachments, accessories, or auxiliary Other apparatus necessary to make it usable budget object class identified on the Enter the total of all other costs. Such for the purpose for which it is acquired. Budget Information form. Detailed costs, where applicable and appropriate, Ancillary charges, such as taxes, duty, calculations must include estimation may include but are not limited to protective in-transit insurance, freight, methods, quantities, unit costs, and insurance, food, medical and dental and installation shall be included in or other similar quantitative detail costs (noncontractual), professional excluded from acquisition cost in sufficient for the calculation to be services costs, space and equipment accordance with the organization’s duplicated. Also include a breakout by rentals, printing and publication, regular written accounting practices.) the funding sources identified in Block computer use, training costs, such as 15 of the SF–424. Justification: For each type of tuition and stipends, staff development Provide a narrative budget equipment requested, provide a costs, and administrative costs. justification that describes how the description of the equipment, the cost Justification: Provide computations, a categorical costs are derived. Discuss per unit, the number of units, the total narrative description and a justification the necessity, reasonableness, and cost, and a plan for use on the project, for each cost under this category. allocability of the proposed costs. as well as use or disposal of the equipment after the project ends. An Indirect Charges Personnel applicant organization that uses its own Description: Total amount of indirect Description: Costs of employee definition for equipment should provide costs. This category should be used only salaries and wages. a copy of its policy or section of its when the applicant currently has an Justification: Identify the project policy which includes the equipment indirect cost rate approved by the director or principal investigator, if definition. Department of Health and Human known. For each staff person, provide Supplies Services (HHS) or another cognizant the title, time commitment to the project Federal agency. (in months), time commitment to the Description: Costs of all tangible Justification: An applicant that will project (as a percentage or full-time personal property other than that charge indirect costs to the grant must equivalent), annual salary, grant salary, included under the Equipment category. enclose a copy of the current rate wage rates, etc. Do not include the costs Justification: Specify general agreement. If the applicant organization of consultants or personnel costs of categories of supplies and their costs. is in the process of initially developing delegate agencies or of specific Show computations and provide other or renegotiating a rate, upon notification project(s) or businesses to be financed information which supports the amount that an award will be made, it should by the applicant. requested. immediately develop a tentative indirect cost rate proposal based on its most Contractual Fringe Benefits recently completed fiscal year, in Description: Costs of employee fringe Description: Costs of all contracts for accordance with the cognizant agency’s benefits unless treated as part of an services and goods except for those that guidelines for establishing indirect cost approved indirect cost rate. belong under other categories such as rates, and submit it to the cognizant Justification: Provide a breakdown of equipment, supplies, construction, etc. agency. Applicants awaiting approval of the amounts and percentages that Include third party evaluation contracts their indirect cost proposals may also comprise fringe benefit costs such as (if applicable) and contracts with request indirect costs. When an indirect health insurance, FICA, retirement secondary recipient organizations, cost rate is requested, those costs insurance, taxes, etc. including delegate agencies and specific included in the indirect cost pool project(s) or businesses to be financed should not also be charged as direct Travel by the applicant. costs to the grant. Also, if the applicant Description: Costs of project-related Justification: Demonstrate that all is requesting a rate which is less than travel by employees of the applicant procurement transactions will be what is allowed under the program, the organization (does not include costs of conducted in a manner to provide, to authorized representative of the consultant travel). the maximum extent practical, open and applicant organization must submit a Justification: For each trip, show the free competition. Recipients and signed acknowledgement that the total number of traveler(s), travel subrecipients, other than States that are applicant is accepting a lower rate than destination, duration of trip, per diem, required to use Part 92 procedures, must allowed. mileage allowances, if privately owned justify any anticipated procurement Evaluation Criteria: The following vehicles will be used, and other action that is expected to be awarded evaluation criteria appear in weighted transportation costs and subsistence without competition and exceed the descending order. The corresponding allowances. Travel costs for key staff to simplified acquisition threshold fixed at score values indicate the relative attend ACF-sponsored workshops 41 U.S.C. 403(11) (currently set at importance that ACF places on each should be detailed in the budget. $100,000). evaluation criterion; however,
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applicants need not develop their subsequent benefit of the national Letters of Support—12 Points applications precisely according to the hotline to victims of domestic violence order presented. Application and on the existing network of State and Collaborative Efforts: The extent to components may be organized such that local shelters and services. The extent to which the application describes the a reviewer will be able to follow a which the application identifies the additional anticipated private sector seamless and logical flow of information kinds of data to be collected, resources that may be available to (i.e., from a broad overview of the maintained, and updated, and discuss support or enhance the overall program. project to more detailed information the criteria to be used to assure the The extent to which the application about how it will be conducted). quality of the services provided. discusses in detail and provides In considering how applicants will documentation for any proposed carry out the responsibilities addressed Objectives and Need for Assistance—20 collaborative or coordinated efforts with under this announcement, competing Points other public and private agencies or applications for financial assistance will Need for Assistance: The extent to organizations. The extent to which the be reviewed and evaluated against the which the application provides a application identifies these agencies or following criteria: detailed discussion of the need for a organizations and explains how their participation will enhance the project. Approach—30 Points national domestic violence hotline of the scope being proposed. The extent to The extent to which the application The extent to which the application which the application provides a provides letters from these agencies and provides a sound workable plan of detailed analysis of the available data organizations discussing their interest action (approach), which details: How related to the problem being addressed and/or commitment in supporting this the proposed work will be (both domestic violence in general and project, the stage of the planning and accomplished; how each task relates to the specific lack of a national domestic decision-making, and the expected level the project’s goals and activities; violence hotline); the strengths and of resource commitment. identifies the key staff member limitations of other national and local responsible for the specific tasks; Staff and Position Data—6 Points crisis intervention and victim services provides a chart indicating the timetable hotline/referral services available, and The extent to which the application for completing each task, the phasing in the ‘‘state-of-art’’ relative to the problem describes the background and of the tasks over time, the lead staff being addressed by the proposal. experience of the project director and person, and the time committed to the key project staff, and the history and Goals and Objectives: The extent to task; cites factors that might accelerate accomplishments of the organization; which the application clearly states the or decelerate the work; justifies the the qualifications of the project team, project goals and objectives. The extent approach selected over other including any experience with similar to which the objectives are stated in approaches; makes maximum use of projects; the variety of skills, relevant concrete, measurable terms that clearly existing facilities and resources and off- educational background, and the ability identify the population(s) to be served; the-shelf technology; describes and to effectively manage the project and to the type, quality, and level of service to supports any unusual features of the coordinate activities with other be provided; the timeline for the project, such as design or technological agencies. (One or two pertinent establishment and delivery of services; innovations, reductions in cost or time, paragraphs on each key member are and other project benchmarks. The or extraordinary social or community preferred to vitae/resumes. However, extent to which the application involvement; and provides projections vitae/resumes may be included.) of the accomplishments to be achieved discusses the anticipated demand for and identifies the activities for which hotline services during the initial start- 2. Review and Selection Process up period; provides a projection of the Federal technical assistance, advice, or No grant award will be made under guidance as the project is implemented demand on an ongoing basis; and provides supporting documentation. this announcement on the basis of an is anticipated and would be acceptable. incomplete application. The extent to which the application Budget and Budget Justification—6 Experts from the domestic violence details how possible problems such as Points unanswered calls, wait time, outdated community as well as experts from equipment and technology, and data The extent to which the proposed social services programs will use the corruption would be avoided or budget relates to the level of effort evaluation criteria listed in this resolved. required to obtain the project objectives. announcement to review and score the The extent to which the proposed applications. The results of this review Results or Benefits Expected—20 Points budget demonstrates that the project’s are a primary factor in recommending The extent to which the application costs are reasonable in view of the funding decisions. To the extent identifies, in specific terms, the results anticipated results. possible, efforts will be made to ensure and benefits to be derived from the that funding decisions reflect an Organizational Profiles—6 Points project and relate each result and equitable distribution among states and benefit to a specific objective. The The extent to which the application geographical regions, and rural and extent to which the application describes the adequacy of the staffing urban areas. indicates the aggregate number of calls pattern for the proposed project; how Since ACF will be using non-Federal expected to be received and individuals the individual responsibilities are reviewers in the process, applicants to be assisted on an annual basis, e.g., linked to project tasks; and the have the option of omitting from the the expected volume of calls in such contributions to be made by key staff. application copies (not the original) service areas as crisis counseling, The extent to which the application lists specific salary rates or amounts for immediate referrals to shelters, or the each collaborating or cooperative individuals specified in the application number of referrals made in response to organization, individual consultant, or budget and Social Security Numbers, if non-English speaking callers. The extent other key individuals who will work on otherwise required for individuals. The to which the application indicates the the project, along with a description of copies may include summary salary anticipated impact on and the the nature of their effort or contribution. information.
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Approved but Unfunded Applications Division, 330 C Street, SW., Switzer Contact Person: Scott A. Colburn, Applications that are approved but Building, Room 2117, Washington, DC Center for Devices and Radiological unfunded may be held over for funding 20447. Phone: 202–104–5529. E-mail: Health (HFZ–480), Food and Drug in the next funding cycle, pending the [email protected]. Administration, 9200 Corporate Blvd., Grants Management Office Contact: availability of funds, for a period not to Rockville, MD 20850, 301–827–6892, or Peter Thompson, Grants Officer, exceed one year. FDA Advisory Committee Information Administration on Children, Youth and Line, 1–800–741–8138 (301–443–0572 VI. Award Administration Information Families, 330 C Street, SW., Switzer in the Washington, DC area), code Building, SW., Washington, DC 20447. 1. Award Notices 3014512520. Please call the Information Phone: 202–401–4608. E-mail: Line for up-to-date information on this The successful applicants will be [email protected]. meeting. notified through the issuance of a Agenda: The committee will hear a Financial Assistance Award document VIII. Other Information presentation by the Office of which sets forth the amount of funds Notice: Beginning with FY 2006, the Surveillance and Biometrics in the granted, the terms and conditions of the Administration for Children and Center for Devices and Radiological grant, the effective date of the grant, the Families (ACF) will no longer publish Health outlining their responsibility for budget period for which initial support grant announcements in the Federal the review of postmarket study design. will be given, the non-Federal share to Register. Beginning October 1, 2005, The committee will discuss and make be provided (if applicable), and the total applicants will be able to find a recommendations on methods to assess project period for which support is synopsis of all ACF grant opportunities the potential of disease transmission by contemplated. The Financial Assistance and apply electronically for multiple-use nozzle jet injectors (i.e., jet Award will be signed by the Grants opportunities via: http:// injectors for which the fluid path for the Officer and transmitted via postal mail. www.Grants.gov. Applicants will also be Organizations whose applications will able to find the complete text of all ACF injection is used more than once). The not be funded will be notified in grant announcements on the ACF Web discussion will include premarket writing. site located at: http://www.acf.hhs.gov/ testing recommendations to address this grants/index.html. issue. 2. Administrative and National Policy Please reference Section IV.3 for Background information for the topic, Requirements details about acknowledgement of including the agenda and questions for Grantees are subject to the received applications. the committee, will be available to the requirements in 45 CFR Part 74 (non- Dated: July 15, 2005. public 1 business day before the governmental) or 45 CFR Part 92 Joan E. Ohl, meeting, on the Internet at http:// (governmental). Commissioner, Administration on Children, www.fda.gov/cdrh/panelmtg.html. Direct Federal grants, sub-award Youth & Families. Procedure: Interested persons may funds, or contracts under this ACF [FR Doc. 05–14459 Filed 7–21–05; 8:45 am] present data, information, or views, program shall not be used to support BILLING CODE 4184–01–P orally or in writing, on issues pending inherently religious activities such as before the committee. Written religious instruction, worship, or submissions may be made to the contact proselytization. Therefore, organizations DEPARTMENT OF HEALTH AND person by August 3, 2005. Oral must take steps to separate, in time or HUMAN SERVICES presentations from the public will be location, their inherently religious scheduled for approximately 30 minutes activities from the services funded Food and Drug Administration at the beginning of deliberations and for under this Program. Regulations approximately 30 minutes near the end General Hospital and Personal Use pertaining to the Equal Treatment For of deliberations. Time allotted for each Devices Panel of the Medical Devices Faith-Based Organizations, which presentation may be limited. Those Advisory Committee; Notice of Meeting includes the prohibition against Federal desiring to make formal oral funding of inherently religious AGENCY: Food and Drug Administration, presentations should notify the contact activities, can be found at either 45 CFR HHS. person before August 3, 2005, and 87.1 or the HHS Web site at: http:// ACTION: Notice. submit a brief statement of the general www.os.dhhs.gov/fbci/waisgate21.pdf. nature of the evidence or arguments This notice announces a forthcoming 3. Reporting Requirements they wish to present, the names and meeting of a public advisory committee addresses of proposed participants, and Grantees will be required to submit of the Food and Drug Administration an indication of the approximate time program progress and financial reports (FDA). The meeting will be open to the requested to make their presentation. (SF–269 found at http:// public. Persons attending FDA’s advisory www.acf.hhs.gov/programs/ofs/ Name of the Committee: General committee meetings are advised that the forms.htm) throughout the project Hospital and Personal Use Devices agency is not responsible for providing period. Program progress and financial Panel of the Medical Devices Advisory access to electrical outlets. reports are due 30 days after the Committee. reporting period. Final programmatic General Function of the Committee: FDA welcomes the attendance of the and financial reports are due 90 days To provide advice and public at its advisory committee after the close of the project period. recommendations to the agency on meetings and will make every effort to Program Progress Reports: Semi- FDA’s regulatory issues. accommodate persons with physical Annually. Date and Time: The meeting will be disabilities or special needs. If you Financial Reports: Semi-Annually. held on August 9, 2005, from 8 a.m. to require special accommodations due to 4 p.m. a disability, please contact AnnMarie VII. Agency Contacts Location: Hilton Washington DC Williams, Conference Management Program Office Contact: William D. North/Gaithersburg, Salons A, B and C, Staff, at 240–276–0450, ext. 113, at least Riley, Director, Family Violence 620 Perry Pkwy., Gaithersburg, MD. 7 days in advance of the meeting.
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Notice of this meeting is given under I. Background Dockets Management between 9 a.m. the Federal Advisory committee Act (5 FDA is announcing the availability of and 4 p.m., Monday through Friday. U.S.C. app. 2). a guidance for industry entitled III. Electronic Access Dated: July 18, 2005. ‘‘Estimating the Maximum Safe Starting Persons with access to the Internet Sheila Dearybury Walcoff, Dose in Initial Clinical Trials for may obtain the document at either http:/ Therapeutics in Adult Healthy Associate Commissioner for External /www.fda.gov/cder/guidance/index.htm Relations. Volunteers.’’ This guidance provides a or http://www.fda.gov/ohrms/dockets/ description and basis for a process by [FR Doc. 05–14455 Filed 7–21–05; 8:45 am] default.htm. BILLING CODE 4160–01–S which to select an MRSD for a first-in- human clinical trial of a new molecular Dated: July 14, 2005. entity in adult healthy volunteers. In the Jeffrey Shuren, DEPARTMENT OF HEALTH AND Federal Register of January 16, 2003 (68 Assistant Commissioner for Policy. HUMAN SERVICES FR 2340), FDA published a notice [FR Doc. 05–14456 Filed 7–21–05; 8:45 am] making available a draft guidance BILLING CODE 4160–01–S Food and Drug Administration entitled ‘‘Estimating the Safe Starting [Docket No. 2002D–0492] (formerly Docket Dose in Clinical Trials for Therapeutics No. 02D–0492) in Adult Healthy Volunteers.’’ The DEPARTMENT OF HEALTH AND notice gave interested persons an HUMAN SERVICES Guidance for Industry on Estimating opportunity to submit comments. As a the Maximum Safe Starting Dose in result of the comments, certain sections Health Resources and Services Initial Clinical Trials for Therapeutics in of this guidance were reworded to Administration Adult Healthy Volunteers; Availability improve clarity. The guidance outlines a recommended standardized approach Agency Information Collection AGENCY: Food and Drug Administration, Activities: Submission for OMB HHS. (including common conversion factors for calculating human equivalent doses) Review; Comment Request ACTION: Notice. and vocabulary for selecting an MRSD Periodically, the Health Resources SUMMARY: The Food and Drug based on animal data, and discusses and Services Administration (HRSA) Administration (FDA) is announcing the factors to be considered in determining publishes abstracts of information availability of a guidance for industry reasonable safety margins. This collection requests under review by the entitled ‘‘Estimating the Maximum Safe approach is applicable to a first-in- Office of Management and Budget Starting Dose in Initial Clinical Trials human trial of a new drug or biological (OMB), in compliance with the for Therapeutics in Adult Healthy therapeutic, regardless of intended Paperwork Reduction Act of 1995 (44 Volunteers.’’ This guidance provides a clinical use. The guidance also U.S.C. Chapter 35). To request a copy of description and basis for a process by discusses alternative approaches and the clearance requests submitted to which to select a maximum provides some examples of OMB for review, call the HRSA Reports recommended starting dose (MRSD) for circumstances under which alternative Clearance Office on (301) 443–1129. a first-in-human clinical trial of a approaches for selection of an MRSD The following request has been therapeutic in adult healthy volunteers. should be considered. Dose escalation is submitted to the Office of Management DATES: Submit written or electronic not addressed. and Budget for review under the comments on agency guidances at any This guidance is being issued Paperwork Reduction Act of 1995: time. consistent with FDA’s good guidance Proposed Project: The National Health ADDRESSES: Submit written requests for practices regulation (21 CFR 10.115). The guidance represents the agency’s Service Corps Uniform Data System single copies of this guidance to the (OMB No. 0915–0232): Revision Division of Drug Information (HFD– current thinking on estimating the 240), Center for Drug Evaluation and maximum safe starting dose in initial The National Health Service Corps Research, Food and Drug clinical trials for therapeutics in adult (NHSC) of the Bureau of Health Administration, 5600 Fishers Lane, healthy volunteers. It does not create or Professions (BHPr), Health Resources Rockville, MD 20857. Send one self- confer any rights for or on any person and Services Administration (HRSA), is addressed adhesive label to assist that and does not operate to bind FDA or the committed to improving the health of office in processing your requests. public. An alternative approach may be the Nation’s underserved by uniting Submit written comments on the used if such approach satisfies the communities in need with caring health guidance to the Division of Dockets requirements of the applicable statutes professionals and by supporting Management (HFA–305), Food and Drug and regulations. communities’ efforts to build better systems of care. Administration, 5630 Fishers Lane, rm. II. Comments 1061, Rockville, MD 20852. Submit The NHSC needs to collect data on its electronic comments to http:// Interested persons may submit to the programs to ensure compliance with www.fda.gov/dockets/ecomments. See Division of Dockets Management (see legislative mandates and to report to the SUPPLEMENTARY INFORMATION section ADDRESSES) written or electronic Congress and policymakers on program for electronic access to the guidance comments on the guidance at any time. accomplishments. To meet these document. Submit a single copy of electronic objectives, the NHSC requires a core set comments or two paper copies of any of information collected annually that is FOR FURTHER INFORMATION CONTACT: Lois mailed comments, except that appropriate for monitoring and M. Freed, Center for Drug Evaluation individuals may submit one paper copy. evaluating performance and reporting and Research (HFD–120), Food and Comments are to be identified with the on annual trends. The following Drug Administration, 5600 Fishers docket number found in brackets in the information will be collected from each Lane, Rockville, MD 20857, 301–594– heading of this document. The guidance site: services offered and delivery 2647. and received comments are available for method; users by various characteristics; SUPPLEMENTARY INFORMATION: public examination in the Division of staffing and utilization; charges and
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collections; receivables, income, and The estimated burden is as follows: expenses; and managed care.
Responses Type of report Number of per respond- Hours per Total burden respondents ent response hours
Universal Report ...... 1200 1 27 32,400
Written comments and underserved and vulnerable performs environmental scanning on recommendations concerning the populations. issues that affect BPHC’s programs; (7) proposed information collection should serves as the focal point for designing Section RC–10 Organization be sent within 30 days of this notice to: and implementing a plan for assessing John Kraemer, Desk Officer, Human The Bureau of Primary Health Care and improving program performance; Resources and Housing Branch, Office (BPHC) headed by the Associate and (8) serves as the focal point for of Management and Budget, New Administrator for Primary Health Care monitoring BPHC’s activities in relation Executive Office Building, Room 10235, reports directly to the Administrator, to HRSA’s Strategic Plan. Washington, DC 20503. Health Resources and Services Administration. BPHC includes the Revise the functional statement for Dated: July 15, 2005. following components: the Office of the Associate Tina M. Cheatham, (1) Office of the Associate Administrator as follows: Provides Director, Division of Policy Review and Administrator (RC) overall leadership, direction, Coordination. (2) Office of Minority and Special coordination, and strategic planning in [FR Doc. 05–14484 Filed 7–21–05; 8:45 am] Populations (RCE) support of Bureau programs. BILLING CODE 4165–15–P (3) Division of Policy and Specifically: (1) Has lead responsibility Development (RCH) to bring primary health care services to (4) Division of Health Center the Nation’s neediest communities; (2) DEPARTMENT OF HEALTH AND Management (RCJ) serves as a central point of contact for HUMAN SERVICES (5) Division of Clinical Quality (RCK) Bureau communication and (6) Division of State and Community information; (3) establishes program Health Resources and Services Assistance (RCL) policies, goals, and objectives and Administration (7) Division of National Hansen’s provides oversight as to their execution; Statement of Organization, Functions Disease Program (RC7) (4) interprets program policies, (8) Division of Immigration Health and Delegations of Authority guidelines, and priorities; (5) stimulates, Services (RC9) coordinates and evaluates program This notice amends Part R of the Remove the policy function from the development and progress; (6) Statement of Organization, Functions Office of the Associate Administrator maintains effective relationships with and Delegations of Authority of the and place it in the Division of Policy HRSA, other Department and Health Department of Health and Human and Development; and change the and Human Services (HHS) Services (DHHS), Health Resources and functional statement as follows: The organizations, other Federal agencies, Services Administration (HRSA) (60 FR Division of Policy and Development State and local governments, and other 56605, as amended November 6, 1995; (RCH) serves as the organizational focus public and private organizations as amended 68 FR 787–93, January 7, of the competitive grant process for concerned with primary health and 2003; as amended at 68 FR 8515–8517, BPHC; and leads in drafting policy and improving the health status of the February 21, 2003, as last amended 69 conducting analyses of performance Nation’s underserved and vulnerable FR 56433–56445, September 21, 2004.) across BPHC’s programs. Specifically, populations; and (7) plans, directs, the Division of Policy and Development coordinates and evaluates Bureau-wide This notice reflects several revisions executes the following activities: (1) administrative management activities; to the organizational and functional Leads and monitors the development (8) assures BPHC’s funding statements of the Bureau of Primary and expansion of health centers and recommendations are consistent with Health Care. Specifically, this notice (1) health systems infrastructure; (2) authorizing legislation, program Renames the Division of Health Center provides pre-application assistance to expectations and HHS and HRSA Development to the Division of Policy communities and community-based policies. and Development; (2) Moves the policy organizations related to the function from the Office of the Director; development and expansion of health Section RC–30 Delegation of Authority (3) Establishes the Policy Branch in the centers and health systems Division of Policy and Development; infrastructure; (3) consults and All delegations of authority which and (4) Establishes a new description for coordinates with other components were in effect immediately prior to the the Division Director. within HRSA, other Federal agencies, effective date hereof have been continued in effect in them or their Section RC–00 Mission consumer and constituency groups, and national and State organizations on successors pending further re- The Bureau of Primary Health Care issues affecting BPHC’s programs; (4) delegation. I hereby ratify and affirm all (BPHC) directs national health programs formulates budget justifications for actions taken by any HHS official which which improve the health of the Nation BPHC’s programs and provides input involves the exercise of these authorities by assuring access to high quality into the analysis of BPHC budget prior to the effective date of this comprehensive preventive and primary execution; (5) leads and coordinates the delegation. health care services and improving the analysis, development and drafting of This reorganization is effective upon health status of the Nation’s policy impacting BPHC’s programs; (6) the date of signature.
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Dated: July 6, 2005. into the analysis of BPHC budget diabetes. The NDEP objectives are: (1) Elizabeth M. Duke, execution; (5) leads and coordinates the To increase awareness of the Administrator. analysis, development and drafting of seriousness of diabetes, its risk factors, policy impacting BPHC’s programs; (6) and strategies for preventing diabetes Bureau of Primary Health Care (BPHC) performs environmental scanning on and its complications among people at (RC) issues that affect BPHC’s programs; (7) risk for diabetes; (2) to improve Provides overall leadership, direction, serves as the focal point for designing understanding about diabetes and its coordination, and strategic planning in and implementing a plan for assessing control and to promote better self- support of Bureau programs. and improving program performance; management behaviors among people Specifically:(1) Has lead responsibility and (8) serves as the focal point for with diabetes; (3) to improve health care to bring primary health care services to monitoring BPHC’s activities in relation providers’ understanding of diabetes the Nation’s neediest communities; (2) to HRSA’s Strategic Plan. and its control and to promote an serves as a central point of contact for Dated: July 6, 2005. integrated approach to care; (4) to Bureau communication and Elizabeth M. Duke, promote health care policies that information; (3) establishes program Administrator. improve the quality of and access to policies, goals, and objectives and [FR Doc. 05–14485 Filed 7–21–05; 8:45 am] diabetes care. Multiple strategies have been devised provides oversight as to their execution; BILLING CODE 4165–15–P (4) interprets program policies, to address the NDEP objectives. These guidelines, and priorities; (5) stimulates, have been described in the NDEP coordinates and evaluates program DEPARTMENT OF HEALTH AND Strategic Plan and include: (1) Creating development and progress; (6) HUMAN SERVICES partnerships with other organizations maintains effective relationships with concerned about diabetes; (2) HRSA, other Department and Health National Institutes of Health developing and implementing and Human Services (HHS) awareness and education activities with organizations, other Federal agencies, Proposed Collection; Comment special emphasis on reaching the racial State and local governments, and other Request; The National Diabetes and ethnic populations public and private organizations Education Program Survey of the disproportionately affected by diabetes; concerned with primary health and Public (3) identifying, developing, and improving the health status of the disseminating educational tools and SUMMARY: Under provisions of Section resources for the program’s diverse Nation’s underserved and vulnerable 3507(a)(1)(D) of the Paperwork populations; (7) plans, directs, audiences; (4) promoting policies and Reduction Act of 1995, the National activities to improve the quality of and coordinates and evaluates Bureau-wide Institute of Diabetes and Digestive and administrative management activities; access to diabetes care. Kidney Diseases (NIDDK), the National The NDEP evaluation will document and (8) assures BPHC’s funding Institutes of Health (NIH) has submitted the extent to which the NDEP program recommendations are consistent with to the Office of Management and Budget has been implemented, and how authorizing legislation, program (OMB) a request for review and successful it has been in meeting expectations and HHS and HRSA approval of the information collection program objectives. The evaluation policies. listed below. This proposed information relies heavily on data gathered from Dated: July 6, 2005. collection was previously published in existing national surveys such as Elizabeth M. Duke, the Federal Register on September 9, National Health and Nutrition Administrator. 2003, pages 53176–53177, and allowed Examination Survey (NHANES), the 60 days for public comment. No public Bureau of Primary Health Care (BPHC) National Health Interview Survey comments were received. The purpose (RC)Division of Policy and (NHIS), the Behavioral Risk Factor of this notice is to allow an additional Development (RCH) Surveillance System (BRFSS), among 30 days for public comment. The others for this information. This The Division of Policy and National Institutes of Health may not clearance request is for the collection of Development serves as the conduct or sponsor, and the respondent additional primary data from NDEP organizational focus of the competitive is not required to respond to, an target audiences on some key process grant process for BPHC; and leads in information collection that has been and impact measures that are necessary drafting policy and conducting analyses extended, revised, or implemented on or to effectively evaluate the program. of performance across BPHC’s programs. after October 1, 1995, unless it displays Approval is requested for survey of the Specifically, the DPD executes the a currently valid OMB control number. public including people at risk for following activities: (1) Leads and Proposed Collection: Title: The diabetes, people with diabetes and their monitors the development and National Diabetes Educations Program families. expansion of health centers and health Survey of the Public. Type of Frequency of Response: On occasion. systems infrastructure; (2) provides pre- Information Collection Request: New. Affected Public: Individuals or application assistance to communities Need and Use of Information Collection: households. Type of Respondents: and community-based organizations The National Diabetes Education Adults. The annual reporting burden is related to the development and Program (NDEP) is a partnership of the as follows: Estimated Number of expansion of health centers and health National Institutes of Health (NIH) and Respondents: 1600; Estimated Number systems infrastructure; (3) consults and the Centers for Disease Control and of Responses per Respondent: 1; coordinates with other components Prevention (CDC) and more than 200 Average Burden Hours per Response: within HRSA, other Federal agencies, public and private organizations. The .25; and Estimated Total Annual Burden consumer and constituency groups, and long-term goals of the NDEP are to Hours Requested: 400. The annualized national and State organizations on improve the treatment and health cost to respondents is estimated at: issues affecting BPHC’s programs; (4) outcomes of people with diabetes, to $8,000.00. There are no Capital Costs to formulates budget justifications for promote early diagnosis, and, report. There are no Operating or BPHC’s programs and provides input ultimately, to prevent the onset of Maintenance Costs to report.
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ESTIMATES OF HOUR BURDEN
Number of re- Frequency of Average time Total hour bur- Type of respondents spondents response per response den
Public, including people at risk for diabetes, patients and their family mem- bers ...... 1600 1 .25 400
Totals ...... 1,600 ...... 400
COST TO RESPONDENTS
Number of re- Frequency of Hourly wage Respondent Type of respondents spondents response rate cost
Public, including people at risk for diabetes, patients and their family mem- bers ...... 1600 1 $20.00 $8,000.00
Total ...... $8,000.00
Request for Comments: Written received within 30 days of the date of 301/435–5560; fax: 301/402–0220; e- comments and/or suggestions from the this publication. mail: [email protected]. public and affected agencies are invited Dated: June 28, 2005. CRADA inquiries may be addressed to Robert Wagner, M.S., M. Phil., at the on one or more of the following points: Barbara Merchant, (1) Whether the proposed collection of Technology Transfer Branch, National Executive Officer, NIDDK, National Institutes Cancer Institute, 6120 Executive information is necessary for the proper of Health. performance of the function of the Boulevard, Suite 450, Rockville, MD [FR Doc. 05–14491 Filed 7–21–05; 8:45 am] agency, including whether the 20852; telephone: 301/496–0477; fax: information will have practical utility; BILLING CODE 4140–01–M 301–402–2117; e-mail: (2) The accuracy of the agency’s [email protected]. estimate of the burden of the proposed DEPARTMENT OF HEALTH AND Information regarding NCI drug collection of information, including the HUMAN SERVICES development collaborations with the validity of the methodology and Cancer Therapy Evaluation Program can assumptions used; (3) Ways to enhance National Institutes of Health be found at http://ctep.cancer.gov/. the quality, utility, and clarity of the SUPPLEMENTARY INFORMATION: Scientists information to be collected; and (4) Government-Owned Inventions; at the National Cancer Institute (NCI), Ways to minimize the burden of the Availability for Licensing and NIH, have developed a novel anti-cancer collection of information on those who Cooperative Research and agent, the aminoflavone prodrug (AFP– are to respond, including the use of Development Agreement (CRADA): 464, NSC 710464) which is a lysyl appropriate automated, electronic, Aminoflavone Prodrug prodrug of aminoflavone (AF, NSC mechanical, or other technological 686288). AFP–464 displays improved AGENCY: collection techniques or other forms of National Institutes of Health, solubility in aqueous solutions over the information technology. Public Health Service, HHS. parent compound AF and can be Direct Comments to OMB: Written ACTION: Notice. converted rapidly to AF in plasma. In comments and/or suggestions regarding the NCI 60-cell-line screen, both AFP– the item(s) contained in this notice, SUMMARY: The inventions described 464 and AF have demonstrated anti- especially regarding the estimated below are owned by an agency of the proliferative activity against several public burden and associated response U.S. Government and are available for renal, breast and ovarian cancer cell time, should be directed to the Office of licensing in the U.S. in accordance with lines. AFP–464 and AF have also Management and Budget, Office of 35 U.S.C. 207 in association with demonstrated anti-tumor activity in Regulatory Affairs, New Executive collaborative research via a Cooperative human renal and breast carcinoma Office Building, Room 10235, Research and Development Agreement xenografts. Pharmacokinetic studies and Washington, DC 20503, Attention: Desk (CRADA) with the National Cancer toxicology studies of AFP–464 have Officer for NIH. To request more Institute (NCI) of the National Institutes been completed. information on the proposed project or of Health. This opportunity is being The results of the pre-clinical studies to obtain a copy of the data collection offered to achieve expeditious conducted by NCI have led to a decision plans and instruments, contact Joanne commercialization of results of federally by the NCI to initiate NCI-sponsored Gallivan, M.S., R.D., Director, National funded research and development. clinical trials of AFP–464. The Cancer Diabetes Education Program, NIDDK, Foreign patent applications are filed on Therapy Evaluation Program (CTEP), NIH, Building 31, Room 9A04, 31 selected inventions to extend market NCI expects to file an Investigational Center Drive, Bethesda, MD 20892, or coverage for companies and may also be New Drug Application with the FDA for call non-toll-free number (301) 494– available for licensing. AFP–464 before the end of 2005. 6110 or e-mail your request, including ADDRESSES: Licensing information may Patent Portfolio: The patent portfolio your address to: be obtained by contacting George G. for the aminoflavone compounds and [email protected]. Pipia, PhD., at the Office of Technology the aminoflavone prodrug, claiming the Comments Due Date: Comments Transfer, National Institutes of Health, compositions of matter and methods in regarding this information collection are 6011 Executive Boulevard, Suite 325, the treatment of cancer includes issued best assured of having their full effect Rockville, MD 20852–3804; telephone: patents and patent applications
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claiming rights worldwide, as provided laboratories. A CRADA is not a grant, DEPARTMENT OF HEALTH AND below (websites for patent application and it is not a contract for the HUMAN SERVICES publications are included). procurement of goods/services. The NCI Patents and patent applications for is prohibited from transferring funds to National Institutes of Health the aminoflavone compounds, entitled a CRADA collaborator. Under a CRADA, Government-Owned Inventions; ‘‘5–Aminoflavone Derivative,’’ consist NCI can contribute facilities, staff, Availability for Licensing of: materials, and expertise. The CRADA 1. U.S. Patent No. 5,539,112 (issued collaborator can contribute facilities, AGENCY: National Institutes of Health, 07/23/1996), (http://patft.uspto.gov/ staff, materials, expertise, and funds. Public Health Service, DHHS. netacgi/nph-Parser? The CRADA collaborator will also have ACTION: Sect1=PTO1&Sect2= Notice. an option to negotiate the terms of an HITOFF&d=PALL&p=1&u=/netahtml/ SUMMARY: The inventions listed below srchnum.htm&r=1& exclusive or non-exclusive commercialization license to subject are owned by an agency of the U.S. f=G&l=50&s1=5539112.WKU.&OS=PN/ Government and are available for 5539112&RS=PN/5539112); inventions arising under the CRADA. The goals of the CRADA include the licensing in the U.S. in accordance with 2. European Patent No. 0638566 35 U.S.C. 207 to achieve expeditious rapid publication of research results and (issued 01/07/1999 and validated in GB, commercialization of results of timely commercialization of products, DE, FR, ES and IT), (http:// federally-funded research and v3.espacenet.com/textdoc?DB= diagnostics, and treatments that result development. Foreign patent EPODOC&IDX=EP0638566&F=0); from the research. Licensing the above applications are filed on selected 3. Canadian Patent Application No. patent rights will be necessary to inventions to extend market coverage 2129813 (filed 08/09/1994), (http:// commercialize AFP–464 if clinical trials _ for companies and may also be available patents1.ic.gc.ca/details?patent results are favorable. It is expected that for licensing. number=2129813&language=EN). a licensee to the above patent rights will Patents and patent applications for ADDRESSES: Licensing information and become the NCI CRADA collaborator in copies of the U.S. patent applications the aminoflavone prodrug, entitled the clinical development of AFP–464. ‘‘Aminoflavone Compounds, listed below may be obtained by writing Compositions, and Methods of Use Those interested in this CRADA to the indicated licensing contact at the Thereof,’’ consist of: opportunity should prepare a Office of Technology Transfer, National 1. U.S. Patent No. 6,812,246 (issued confidential proposal and submit it to Institutes of Health, 6011 Executive 11/02/2004), (http://patft.uspto.gov/ the NCI Technology Transfer Branch. Boulevard, Suite 325, Rockville, netacgi/nph-Parser?Sect1= Preference will be given to proposals Maryland 20852–3804; telephone: (301) PTO1&Sect2=HITOFF&d= received by the NCI within thirty days 496–7057; fax: (301) 402–0220. A signed PALL&p=1&u=/netahtml/ of publication of this announcement. Confidential Disclosure Agreement will srchnum.htm&r=1&f= Selection criteria for choosing the be required to receive copies of the G&l=50&s1=6812246.WKU.&OS=PN/ CRADA Collaborator shall include, but patent applications. 6812246&RS=PN/6812246); not be limited to: 1. Demonstrated Standardizing Criteria on Cancer 2. European Patent Application No. expertise and success in clinical Biomarkers as Foundation of a 01923228.9 (filed April 6, 2001, now development of anti-cancer agents; 2. Database: Creating a Common allowed and validated in GB, DE, FR, IT, possession of the resources needed to Language (Data Elements) for Cancer ES, LU, BE, CH, and IE), (http:// support and perform the research and Biomarkers Tracking and Utilization v3.espacenet.com/ development activities to develop AFP– for Professionals in Oncology Research textdoc?DB=EPODOC&IDX= 464 (e.g. facilities, personnel and US2004019227&F=0); Mahin Khatami (NCI) 3. Canada Patent Application No. expertise); 3. the ability to provide HHS Reference No. E–147–2005/0— 2405747 (filed April 6, 2001), http:// financial support for the CRADA-related Research Tool patents1.ic.gc.ca/ Government activities; 4. the Licensing Contact: Michelle A. Booden; details?patent_number= demonstration of the necessary (301) 451–7337; 2405747&language=EN); resources to produce and supply [email protected]. 4. Australia Patent Application No. formulated AFP–464 for all clinical Cancer biomarkers (CBs) are 2001249940 (filed April 6, 2001), (http:/ trials in a timely manner; 5. the important biological tools in modern /apa.hpa.com.au:8080/ipapa/ willingness to cooperate with the NCI in oncology research for diagnosis, view?hit=1&page=1). the timely publication of research prognosis, prevention, therapy and Licensing and Cooperative Research results; 6. the willingness to accept the outcome. Biological characters of and Development Agreement legal provisions and language of the biomarkers are as diversified as their Opportunity: The National Cancer CRADA with only minor modifications, utilization potentials. Biomarkers may Institute (NCI) seeks a collaborator to co- if any; and 7. the agreement to be bound be proteins/peptides, glycoproteins, develop the aminoflavone pro-drug by the appropriate HHS regulations lipids, glycolipids, antigens/antibodies, (AFP–464) for clinical use. A relating to human subjects. cytokines/chemokines, receptors, Cooperative Research and Development enzymes, inhibitors, nutrients/ Agreement (CRADA) is the anticipated Dated: July 15, 2005. metabolites, DNA/RNA mutations, etc. collaborative agreement to be entered Steven M. Ferguson, CBs are found in blood/serum, urine, into with NCI pursuant to the Federal Director, Division of Technology Development other biological fluids, and/or tissue Technology Transfer Act of 1986 and and Transfer, Office of Technology Transfer, specimen. Executive Order 12591 of April 10, National Institutes of Health. The NCI has identified a common set 1987, as amended. A CRADA is an [FR Doc. 05–14495 Filed 7–21–05; 8:45 am] of data elements or criteria to describe agreement designed to enable certain BILLING CODE 4140–01–U a large number of cancer biomarkers. collaborations between Government These data elements may be used as a laboratories and non-Government foundation for a cancer biomarker
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database to track a wide range of data Licensing Contact: Michelle A. Booden; DEPARTMENT OF HEALTH AND on biomarkers. Generic data elements (301) 451–7337; HUMAN SERVICES selected by the NCI will be incorporated [email protected]. into a database and a set of elements National Institutes of Health will be chosen to tailor for specific Site-selective cAMP analogues that markers for suitability and utilization. preferentially bind and activate PKA–I Government-Owned Inventions; or PKA–II exhibit specificity not Availability for Licensing The database may be further mimicked by parental cAMP. These developed and improved by creation of AGENCY: National Institutes of Health, analogues demonstrate a synergism of a web accessible interface providing Public Health Service, HHS. binding in appropriate combinations. 8– guidance on how to access a marker of ACTION: Notice. choice according to relevant set of data Cl–cAMP, which belongs to the ISD elements from the foundation; e.g., data (isozyme site discriminator) class of SUMMARY: The inventions listed below elements that best define the marker for site-selective cAMP analogues, activates are owned by an agency of the U.S. specific clinical utilization. Addition and down-regulates PKA–I, but not Government and are available for and identification of suitable markers PKA–II, by binding to both site A and licensing in the U.S. in accordance with within the database and tailoring of data B of RI and to site B of RII. 8–Cl–cAMP 35 U.S.C. 207 to achieve expeditious elements could be accomplished by inhibits growth, in vitro and in vivo, in commercialization of results of recommendation of a review panel of a broad spectrum of human carcinoma, federally-funded research and experts for suitability and/or utilization fibrosarcoma, and leukemia cell lines development. Foreign patent of selected markers. Marker data will be without causing cytotoxicity. The applications are filed on selected updated by individual investigators or growth-inhibitory effect of 8–Cl–cAMP inventions to extend market coverage by a database administrator as correlates with the down-regulation of for companies and may also be available additional pertinent information RI, the up-regulation of RII, and the for licensing. becomes available in the literature on suppression of c-myc and c-ras ADDRESSES: Licensing information and specific marker. oncogene expression. copies of the U.S. patent applications listed below may be obtained by writing A fully enabled database would allow 8–Cl–cAMP is a promising cancer to the indicated licensing contact at the professionals within industry, research chemotherapeutic agent that in Office of Technology Transfer, National and clinical centers to easily access, preclinical studies can reverse the retrieve and study the state of Institutes of Health, 6011 Executive transformed phenotype of, and induce Boulevard, Suite 325, Rockville, technology of a specific biomarker at a apoptotic cell death in, human cancer point of need. Standardization and Maryland 20852–3804; telephone: (301) cells. Results of a Phase I clinical trial proper evaluation and packaging of 496–7057; fax: (301) 402–0220. A signed suggest that effective plasma levels relevant integrated data on cancer Confidential Disclosure Agreement will biomarkers into a central database (determined in preclinical studies) of 8– be required to receive copies of the should eventually account for Cl–cAMP can be maintained below the patent applications. characteristics of an individual’s state of maximum tolerated dose. More recently, the NCI has initiated and supported Adult Human Dental Pulp Stem Cells in health that will not only lead to vitro and in vivo improved detection of cancer, but also ongoing Phase I clinical trials of 8–Cl– to better prevention and treatment of cAMP for the treatment of colon cancer Dr. Songtao Shi et al. (NIDCR) cancer. Access to archived data will and multiple myeloma. The present U.S. Patent Application No. 10/333,522 direct industry to better assess the need invention provides compositions and filed 17 Jan 2003 (HHS Reference No. for development of technologies methods for use of cAMP analogs, E–233–2000/0–US–03), claiming dependent upon knowledge of the including 8–Cl–cAMP, as a therapeutic priority to 21 Jul 2000. markers and may enhance intervention for multiple human Licensing Contact: Marlene Shinn-Astor; communication among professionals by diseases. (301) 435–4426; [email protected]. enabling them to correspond using a This technology is available for common vocabulary of standardized Many individuals with ongoing and licensing on an exclusive or a non- severe dental problems are faced with data elements for biomarkers by exclusive basis. referring to the data elements that is the the prospect of permanent tooth loss. foundation of the database. In addition to licensing, the Examples include dentinal degradation technology is available for further In order to facilitate the rapid due to caries or periodontal disease; adaptation of the biomarker database, development through collaborative (accidental) injury to the mouth; and the NCI inventors would be interested research opportunities with the surgical removal of teeth due to tumors in collaborating with qualified inventors. associated with the jaw. Clearly, a technology that offers a possible commercial entities to develop the Dated: July 15, 2005. technology (software) under terms of a alternative to artificial dentures by Steven M. Ferguson, designing and transplanting a set of Cooperative Research and Development Director, Division of Technology Development Agreement (CRADA). living teeth fashioned from the patient’s and Transfer, Office of Technology Transfer, own pulp cells would greatly improve Use of 8–C1–cAMP as Anticancer Drug National Institutes of Health. the individual’s quality of life. [FR Doc. 05–14497 Filed 7–21–05; 8:45 am] The NIH announces a new technology Yoon S. Cho-Chung (NCI) BILLING CODE 4140–01–P wherein dental pulp stem cells from an U.S. Patent No. 5,792,752 issued 11 Aug individual’s own postnatal dental pulp 1998 (HHS Reference No. E–132– tissue (one or two wisdom teeth) can 1988/0–US–05) potentially be used to engineer healthy U.S. Patent No. 5,902,794 issued 11 May living teeth. This technology is based 1999 (HHS Reference No. E–132– upon the discovery of a subpopulation 1988/0–US–06) of cells within normal human dental
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pulp tissue that has the ability to grow ligament (PDL) and the adjacent bone HHS Reference No. E–242–2005/0— and proliferate in vitro. These (dental and cementum. The effects of Research Tool pulp) stem cells can be induced under Periodontal Disease range from simple Licensing Contact: Jesse S. Kindra; (301) defined culture conditions to form gum inflammation to, in extreme cases, 435–5559; [email protected]. calcified nodules in vitro and have been tooth loss. The present invention relates to shown to differentiate into a dentin/ The NIH announces a new technology cloning of a genomic DNA fragment pulp like structure in vivo. wherein stem cells from the PDL have containing the guinea pig CXCR1 gene, been isolated from adult human PDL. Postnatal Stem Cells and Uses Thereof a specific receptor for guinea pig These cells are capable of forming interleukin-8 (IL–8). Drs. Songtao Shi and Pamela Robey cementum and PDL in More specifically, the IL–8–CXCR1 (NIDCR) immunocompromised mice. In cell axis is a major chemokine-chemokine PCT Application No. PCT/US03/12276 culture, PDL stem cells differentiate into receptor system that regulates the filed 19 Apr 2003 (HHS Reference No. collagen fiber forming cells (fibroblasts), recruitment of neutrophils into sites of E–018–2003/0–PCT–01), which cementoblasts, and adipocytes. It is inflammation. In this invention, the published as WO 2004/094588 A2 on anticipated that these PDL stem cells inventors cloned a genomic DNA clone 04 Nov 2004. will be useful for periodontal tissue containing the gene for guinea pig IL– Licensing Contact: Marlene Shinn-Astor; regeneration to treat periodontal 8 receptor CXCR1. Mice and rats are the (301) 435–4426; disease. most commonly used small animals to [email protected]. Dated: July 15, 2005. examine the efficacy of drugs developed Many individuals with ongoing and Steven M. Ferguson, for human use. However, neither IL–8 severe dental problems are faced with Director, Division of Technology Development nor CXCR1, a specific receptor for IL– the prospect of permanent tooth loss. and Transfer, Office of Technology Transfer, 8, is present in these animals, making it Examples of such dental problems National Institutes of Health. impossible to use them as a model to include: Dentinal degradation due to [FR Doc. 05–14498 Filed 7–21–05; 8:45 am] test the effects or IL–8 or CXCR1 chronic dental disease (caries or BILLING CODE 4140–01–P antagonists. Identification of CXCR1, periodontal); mouth injury; or through along with IL–8, in the guinea pig may surgical removal, such as with tumors enable evaluation of the in vivo effects associated with the jaw. For many, a DEPARTMENT OF HEALTH AND of the antagonists. technology that offers a possible HUMAN SERVICES In addition to licensing, the alternative to artificial dentures by technology is available for further designing and transplanting a set of National Institutes of Health development through collaborative living teeth fashioned from an research opportunities with the individual’s own pulp cells would Government-Owned Inventions; inventors. greatly improve their quality of life. Availability for Licensing The NIH announces a new technology Anti-CD30 Antibodies That Bind To AGENCY: National Institutes of Health, Intact CD30 but not to Soluble CD30 wherein human postnatal deciduous Public Health Service, DHHS. dental pulp stem cells commonly Satoshi Nagata and Ira Pastan (NCI) ACTION: Notice. known as ‘‘baby teeth’’, are used to U.S. Provisional Application No. 60/ create dentin and have been shown to SUMMARY: The inventions listed below 681,929 filed 16 May 2005 (HHS differentiate into cells of specialized are owned by an agency of the U.S. Reference No. E–208–2005/0–US–01), function such as neural cells, Government and are available for Licensing Contact: Jesse S. Kindra; (301) adipocytes, and odontoblasts. It is licensing in the U.S. in accordance with 435–5559; [email protected]. believed that these cells could be 35 U.S.C. 207 to achieve expeditious Human CD30 is a promising target for manipulated to repair damaged teeth, commercialization of results of cancer immunotherapy since CD30 is induce the regeneration of bone, and federally-funded research and highly expressed in Hodgkin’s disease treat neural injury or disease. development. Foreign patent and anaplastic large-cell lymphoma. This research is described, in part, in applications are filed on selected However, soluble CD30, the Miura et al., ‘‘SHED: Stem cells from inventions to extend market coverage extracellular domain of CD30 that is human exfoliated deciduous teeth,’’ for companies and may also be available shed from the cells, can reduce the Proc. Natl. Acad. Sci. USA, vol. 100 (no. for licensing. effects of CD30-targeting agents by 10; May 13, 2003) pp. 5807–5812. ADDRESSES: Licensing information and competitive binding. Multipotent Postnatal Stem Cells From copies of the U.S. patent applications This invention is the first successful Human Periodontal Ligament and Uses listed below may be obtained by writing attempt of producing CD30-targeting Thereof to the indicated licensing contact at the agents without the disadvantage of the Office of Technology Transfer, National reducing effects caused by soluble Dr. Songtao Shi et al. (NIDCR) Institutes of Health, 6011 Executive CD30. More specifically, two (2) PCT Application No. PCT/US04/39248 Boulevard, Suite 325, Rockville, epitopes on membrane-associated CD30 filed 22 Nov 2004 (HHS Reference No. Maryland 20852–3804; telephone: (301) have been identified that are missing on E–033–2004/0–PCT–02), claiming 496–7057; fax: (301) 402–0220. A signed soluble CD30. These epitopes are priority to 20 Nov 2003. Confidential Disclosure Agreement will potentially superior targets for Licensing Contact: Marlene Shinn- be required to receive copies of the immunotherapy since targeting the Astor; (301) 435–4426; patent applications. epitopes should be free from the [email protected]. competitive effects of soluble CD30. It is estimated that over 40 percent of Cloning of a Genomic DNA Fragment Accordingly, the antibodies described in the adult population in the United Containing the Guinea Pig CXCR1 this invention may be used as targeting States has periodontal disease in one Gene, a Specific Receptor for Guinea reagents for cancer therapy. form or another. Periodontal Disease is Pig Interleukin-8 In addition to licensing, the a chronic infection of the periodontal Teizo Yoshimura (NCI) technology is available for further
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development through collaborative expressing mesothelin, and can be used language interpretation or other research opportunities with the in methods and medicaments for reasonable accommodations, should inventors. inhibiting the growth of such cells. notify the Contact Person listed below In addition to licensing, the in advance of the meeting. Isolation, Cloning and Characterization technology is available for further The meeting will be closed to the of New Adeno-Associated Virus (AAV) development through collaborative public in accordance with the Serotypes research opportunities with the provisions set forth in sections Michael Schmidt et al. (NIDCR) inventors. U.S. Provisional Application No. 60/ 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., 676,604 filed 29 April 2005 (HHS Methods for the Identification and Use as amended. The grant applications Reference No. E–179–2005/0–US–01) of Compounds Suitable for the and/or contract proposals and the Licensing Contact: Jesse S. Kindra; (301) Treatment of Drug Resistant Cells discussions could disclose confidential 435–5559; [email protected]. Gergely Szakacs et al. (NCI) trade secrets or commercial property This invention relates to new adeno- HHS Reference No. E–075–2004/2– such as patentable material, and associated viruses (AAV), vectors and PCT–01 filed 17 Jun 2005 personal information concerning particles derived therefrom and also Licensing Contact: Jesse S. Kindra; (301) individuals associated with the grant provides methods for delivering specific 435–5559; [email protected]. applications and/or contract proposals, nucleic acids to cells using the AAV There is an important need to the disclosure of which would vectors and particles. Vectors based on overcome cancer multiple drug constitute a clearly unwarranted these new AAV serotypes may have a resistance (MDR). ATP-binding cassette invasion of personal privacy. different host range and different (ABC) transporters are a family of Name of Committee: National Advisory immunological properties, thus transporter proteins that contribute to Council for Human Genome Research. allowing for more efficient transduction drug resistance via ATP-dependent drug Date: September 11–13, 2005. in certain cell types. In addition, efflux pumps. Accordingly, based on the Closed: September 11, 2005, 7 p.m. and 10 characterization of these new serotypes expression profile of 48 ABC p.m. will aid in identifying viral elements transporters in sixty (60) cell lines, the Agenda: To review and evaluate grant required for tissue tropism. present invention provides a method to applications and/or proposals. More specifically, in order to identify identify (1) drugs that retain action in Place: Double Tree Rockville, 1750 and characterize novel AAV isolates for cells expressing MDR proteins, (2) Rockville Pike, Rockville, MD 20852. development as gene therapy vectors, compounds that reduce MDR by Open: September 12, 2005, 8:30 a.m. to 12 the inventors screened approximately interfering with the efflux pumps. In p.m. one hundred (100) viral stocks. The addition, the invention describes a Agenda: To discuss matters of program inventors cloned and sequenced the method to identify compounds whose relevance. genomes of AAVs found in twelve (12) antiproliferative effect is potentiated by Place: National Institutes of Health, 5635 simian adenovirus isolates and the ABCB1/MDR1 transporter. These Fishers Lane, Bethesda, MD 20892. determined that the AAVs were novel. compounds might avoid the well- Closed: September 12, 2005, 1 p.m. to 5 Ten (10) of these isolates had high documented side-effects observed in p.m. on September 13, 2005. similarity to AAV1 and AAV6 (>98%). clinical trials of ‘‘classical’’ MDR1 Agenda: To review and evaluate grant Despite the high homology to AAV6, inhibitors and may serve as leads for applications and/or proposals. these novel AAVs demonstrated distinct development of novel anti-cancer agents Place: National Institutes of Health, 5635 cell tropisms and reactivity towards a to treat resistant disease. Fishers Lane, Bethesda, MD 20892. panel of lectins, suggesting that they Contact Person: Mark S. Guyer, PhD, may use a distinct entry pathway. Dated: July 15, 2005. Director of Extramural Research, National Therefore, these novel AAVs may be Steven M. Ferguson, Human Genome Research Institute, 5635 useful for gene therapy applications. Director, Division of Technology Development Fishers Lane, Suite 4076, MSC 9305, In addition to licensing, the and Transfer, Office of Technology Transfer, Bethesda, MD 20892, 301–496–7531, technology is available for further National Institutes of Health. [email protected]. development through collaborative [FR Doc. 05–14499 Filed 7–21–05; 8:45 am] Any interested person may file written research opportunities with the BILLING CODE 4140–01–P comments with the committee by forwarding inventors. the statement to the Contact Person listed on this notice. The statement should include the Anti-Mesothelin Antibodies Useful for DEPARTMENT OF HEALTH AND name, address, telephone number and when Immunological Assays HUMAN SERVICES applicable, the business or professional Ira H. Pastan and Masanori Onda (NCI) affiliation of the interested person. U.S. Provisional Application No. 60/ National Institutes of Health Information is also available on the 681,104 filed 12 May 2005 (HHS Institute’s/Center’s home page: http:// National Human Genome Research Reference No. E–015–2005/0–US–01), www.genome.gov/11509849, where an Institute; Notice of Meeting Licensing Contact: Jesse S. Kindra; (301) agenda and any additional information for 435–5559; [email protected]. Pursuant to section 10(d) of the the meeting will be posted when available. This invention provides antibodies Federal Advisory Committee Act, as (Catalogue of Federal Domestic Assistance that have a surprisingly good amended (5 U.S.C. Appendix 2), notice Program Nos. 93.172, Human Genome combination of affinity for mesothelin is hereby given of a meeting of the Research, National Institutes of Health, HHS) and ability to be used in immunological National Advisory Council for Human Dated: July 15, 2005. assays for detecting the presence of Genome Research. mesothelin in biological samples. The The meeting will be open to the Anthony M. Coelho, Jr., invention further relates to methods of public as indicated below, with Acting Director, Office of Federal Advisory using antibodies and kits comprising attendance limited to space available. Committee Policy. them. The antibodies can also be used Individuals who plan to attend and [FR Doc. 05–14492 Filed 7–21–05; 8:45 am] to target toxins and other agents to cells need special assistance, such as sign BILLING CODE 4140–01–M
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DEPARTMENT OF HEALTH AND DEPARTMENT OF HEALTH AND is hereby given of the following HUMAN SERVICES HUMAN SERVICES meeting. The meeting will be closed to the National Institutes of Health National Institutes of Health public in accordance with the provisions set forth in sections National Institute of Environmental National Institute of Child Health and 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Health Sciences; Notice of Closed Human Development; Notice of Closed as amended. The grant applications and Meeting Meeting the discussions could disclose confidential trade secrets or commercial Pursuant to section 10(d) of the Pursuant to section 10(d) of the Federal Advisory Committee Act, as property such as patentable material, Federal Advisory Committee Act, as and personal information concerning amended (5 U.S.C. Appendix 2), notice amended (5 U.S.C. Appendix 2), notice is hereby given of the following individuals associated with the grant is hereby given of the following applications, the disclosure of which meeting. meeting. The meeting will be closed to the would constitute a clearly unwarranted The meeting will be closed to the public in accordance with the invasion of personal privacy. public in accordance with the provisions set forth in sections Name of Committee: National Institute of provisions set forth in sections 552b(c)(4) and 552b(c)(6), Title U.S.C., Child Health and Human Development 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., as amended. The grant applications and Special Emphasis Panel, United States as amended. The grant applications and the discussions could disclose Premature Oxygen Saturation Trial: US the discussions could disclose POST. confidential trade secrets or commercial Date: August 10, 2005. confidential trade secrets or commercial property such as patentable material, property such as patentable material, Time: 12 p.m. to 2 p.m. and personal information concerning Agenda: To review and evaluate grant and personal information concerning individuals associated with the grant applications. individuals associated with the grant applications, the disclosure of which Place: National Institutes of Health, 6100 applications, the disclosure of which would constitute a clearly unwarranted Executive Boulevard, Room 5B01, Rockville, would constitute a clearly unwarranted invasion of personal privacy. MD 20852 (Telephone Conference Call). invasion of personal privacy. Contact Person: Gopal M. Bhatnagar, PhD, Name of Committee: National Institute of Scientific Review Administrator, National Name of Committee: National Institute of Child Health and Human Development Institute of Child Health and Human Environmental Health Sciences Special Special Emphasis panel, Mechanisms of Development, National Institutes of Health, Emphasis Panel, Midcareer Investigator Endothelial and Embryonic Stem Cell 6100 Bldg Rm 5B01, Rockville, MD 20852, Award in Patient-Oriented Research (K24). Regulation in Pregnancy. (301) 435–6889, [email protected]. Date: August 4, 2005. Date: August 8, 2005. This notice is being published less than 15 Time: 1 p.m. to 2 p.m. Time: 10 a.m. to 5 p.m. days prior to the meeting due to the timing To review and evaluate grant applications. Agenda: To review and evaluate grant limitations imposed by the review and Place: NIEHS/National Institutes of Health, applications. funding cycle. Place: Bethesda Marriott, 5151 Pooks Hill Building 4401, East Campus, 79 T.W. Road, Bethesda, MD 20814. (Catalogue of Federal Domestic Assistance Alexander Drive, 3446, Research Triangle Contact Person: Gopal M. Bhatnagar, PhD, Program Nos. 93.864, Population Research; Park, NC 27709 (Telephone Conference Call). Scientific Review Administrator, National 93.865, Research for Mothers and Children; Contact Person: Linda K. Bass, PhD, Institute of Child Health and Human 93.929, Center for Medical Rehabilitation Scientific Review Administrator, Scientific Development, National Institutes of Health, Research; 93.209, Contraception and Review Branch, Division of Extramural 6100 Bldg Rm 5B01, Rockville, MD 20852, Infertility Loan Repayment Program, National Research and Training, Nat. Institute of (301) 435–6889, [email protected]. Institutes of Health, HHS) Environmental Health Science, P.O. Box (Catalogue of Federal Domestic Assistance Dated: July 15, 2005. 12233, MD ED–30, Research Triangle Park, Program Nos. 93.864, Population Research; Anthony M. Coelho, Jr., NC 27709, 919/541–1307. 93.865, Research for Mothers and Children; Acting Director, Office of Federal Advisory This notice is being published less than 15 93.929, Center for Medical Rehabilitation Committee Policy. Research; 93.209, Contraception and days prior to the meeting due to the timing [FR Doc. 05–14500 Filed 7–21–05; 8:45 am] limitations imposed by the review and Infertility Loan Repayment Program, National BILLING CODE 4140–01–M funding cycle. Institutes of Health, HHS) (Catalogue of Federal Domestic Assistance Dated: July 15, 2005. Program Nos. 93.115, Biometry and Risk Anthony M. Coelho, Jr., DEPARTMENT OF HEALTH AND Estimation—Health Risks from Acting Director, Office of Federal Advisory HUMAN SERVICES Environmental Exposures; 93.142, NIEHS Committee Policy. Hazardous Waste Worker Health and Safety [FR Doc. 05–14496 Filed 7–21–05; 8:45 am] National Institutes of Health Training; 93.143, NIEHS Superfund BILLING CODE 4140–01–M Hazardous Substances—Basic Research and National Institute of Child Health and Education; 93.894, Resources and Manpower Human Development; Notice of Closed Development in the Environmental Health DEPARTMENT OF HEALTH AND Meeting Sciences; 93.113, Biological Response to HUMAN SERVICES Environmental Health Hazards; 93.114, Pursuant to section 10(d) of the Federal Advisory Committee Act, as Applied Toxicological Research and Testing, National Institutes of Health National Institutes of Health, HHS) amended (5 U.S.C. Appendix 2), notice is hereby given of the following Dated: July 14, 2005. National Institute of Child Health and meeting. Anthony M. Coelho, Jr., Human Development; Notice of Closed Meeting The meeting will be closed to the Acting Director, Office of Federal Advisory public in accordance with the Committee Policy. Pursuant to section 10(d) of the provisions set forth in sections [FR Doc. 05–14493 Filed 7–21–05; 8:45 am] Federal Advisory Committee Act, as 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., BILLING CODE 4140–01–M amended (5 U.S.C. Appendix 2), notice as amended. The grant applications and
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the discussions could disclose Name of Committee: Center for Scientific This notice is being published less than 15 confidential trade secrets or commercial Review Special Emphasis Panel, Physical days prior to the meeting due to the timing property such as patentable material, Activity and Stress. limitations imposed by the review and Date: July 26, 2005. funding cycle. and personal information concerning Time: 1 p.m. to 2:30 p.m. individuals associated with the grant Name of Committee: Center for Scientific Agenda: To review and evaluate grant Review Special Emphasis Panel, applications, the disclosure of which applications. Rehabilitation Sciences. would constitute a clearly unwarranted Place: National Institutes of Health, 6701 Date: July 28, 2005. invasion of personal privacy. Rockledge Drive, Bethesda, MD 20892, Time: 2 p.m. to 5 p.m. (Telephone Conference Call). Name of Committee: National Institute of Agenda: To review and evaluate grant Contact Person: Michael Selmanoff, PhD, Child Health and Human Development applications. Scientific Review Administrator, Center for Special Emphasis Panel, Intentional Single Place: National Institutes of Health, 6701 Scientific Review, National Institutes of Motherhood Among Older Women. Rockledge Drive, Bethesda, MD 20892, Health, 6701 Rockledge Drive, Room 3134, (Telephone Conference Call). Date: July 27, 2005. MSC 7844, Bethesda, MD 20892, (301) 435– Contact Person: Jo Pelham, BA, Scientific Time: 1 p.m. to 1:30 p.m.. 1119, [email protected]. Review Administrator, Center for Scientific Agenda: To review and evaluate grant This notice is being published less than 15 Review, National Institutes of Health, 6701 applications. days prior to the meeting due to the timing Rockledge Drive, Room 4102, MSC 7814, Place: National Institutes of Health, 6100 limitations imposed by the review and Bethesda, MD 20892, (301) 435–1786, Executive Boulevard, Room 5B01, Rockville, funding cycle. [email protected]. MD 20852 (Telephone Conference Call). Name of Committee: Center for Scientific This notice is being published less than 15 Contact Person: Marita R. Hopmann, PhD, Review Special Emphasis Panel, Member days prior to the meeting due to the timing Scientific Review Administrator, Division of Conflict: Immunotoxicity. limitations imposed by the review and Scientific Review, National Institute of Child Date: July 27, 2005. funding cycle. Health and Human Development, 6100 Time: 2 p.m. to 3 p.m. Name of Committee: Center for Scientific Building, Room 5B01, Bethesda, MD 20892, Agenda: To review and evaluate grant Review Special Emphasis Panel, Special (301) 435–6911, [email protected]. applications. Skeletal Muscle Exercise Physiology. This notice is being published less than 15 Place: National Institutes of Health, 6701 Date: July 29, 2005. days prior to the meeting due to the timing Rockledge Drive, Bethesda, MD 20892, Time: 11 a.m. to 1 p.m. limitations imposed by the review and (Telephone Conference Call). Agenda: To review and evaluate grant funding cycle. Contact Person: Stephen M. Nigida, PhD, applications. (Catalogue of Federal Domestic Assistance Scientific Review Administrator, Center for Place: National Institutes of Health, 6701 Program Nos. 93.864, Population Research; Scientific Review, National Institutes of Rockledge Drive, Bethesda, MD 20892, 93.865, Research for Mothers and Children; Health, 6701 Rockledge Drive, Room 4212, (Telephone Conference Call). 93.929, Center for Medical Rehabilitation MSC 7812, Bethesda, MD 20892, (301) 435– Contact Person: Richard J. Bartlett, PhD, Research; 93.209, Contraception and 1222, [email protected]. Scientific Review Administrator, Center for Infertility Loan Repayment Program, National This notice is being published less than 15 Scientific Review, National Institutes of Institutes of Health, HHS) days prior to the meeting due to the timing Health, 6701 Rockledge Drive, Room 4110, Dated: July 15, 2005. limitations imposed by the review and MSC 7814, Bethesda, MD 20892, (301) 435– funding cycle. 6809, [email protected]. Anthony M. Coelho, Jr., Name of Committee: Center for Scientific This notice is being published less than 15 Acting Director, Office of Federal Advisory Review Special Emphasis Panel, Cancer days prior to the meeting due to the timing Committee Policy. Immunotherapy. limitations imposed by the review and [FR Doc. 05–14501 Filed 7–21–05; 8:45 am] Date: July 28, 2005. funding cycle. BILLING CODE 4140–01–M Time: 1 p.m. to 2 p.m. Name of Committee: Center for Scientific Agenda: To review and evaluate grant Review Special Emphasis Panel, Member applications. Conflicts—AIDS Behavioral Sciences. DEPARTMENT OF HEALTH AND Place: National Institutes of Health, 6701 Date: August 2, 2005. HUMAN SERVICES Rockledge Drive, Bethesda, MD 20892, Time: 10 a.m. to 12:30 p.m. (Telephone Conference Call). Agenda: To review and evaluate grant National Institutes of Health Contact Person: Sharon K. Gubanich, PhD, applications. Scientific Review Administrator, Center for Place: National Institutes of Health, 6701 Center for Scientific Review; Notice of Scientific Review, National Institutes of Rockledge Drive, Bethesda, MD 20892, Health, 6701 Rockledge Drive, Room 6204, (Telephone Conference Call). Closed Meetings MSC 7804, Bethesda, MD 20892, (301) 435– Contact Person: Ranga V. Srinivas, PhD, 1767, [email protected]. Scientific Review Administrator, Center for Pursuant to section 10(d) of the This notice is being published less than 15 Scientific Review, National Institutes of Federal Advisory Committee Act, as days prior to the meeting due to the timing Health, 6701 Rockledge Drive, Room 5222, amended (5 U.S.C. Appendix 2), notice limitations imposed by the review and MSC 7852, Bethesda, MD 20892, (301) 435– is hereby given of the following funding cycle. 1167, [email protected]. meetings. Name of Committee: Center for Scientific This notice is being published less than 15 days prior to the meeting due to the timing The meetings will be closed to the Review Special Emphasis Panel, Behavorial and Social Science FIRCA. limitations imposed by the review and public in accordance with the Date: July 28, 2005. funding cycle. provisions set forth in sections Time: 2 p.m. to 4 p.m. Name of Committee: Center for Scientific 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Agenda: To review and evaluate grant Review Special Emphasis Panel, as amended. The grant applications and applications. Neurogenesis and Development. the discussions could disclose Place: National Institutes of Health, 6701 Date: August 2, 2005. confidential trade secrets or commercial Rockledge Drive, Bethesda, MD 20892, Time: 1 p.m. to 3:30 p.m. property such as patentable material, (Telephone Conference Call). Agenda: To review and evaluate grant and personal information concerning Contact Person: Dan D. Gerendasy, PhD, applications. Scientific Review Administrator, Center for Place: National Institutes of Health, 6701 individuals associated with the grant Scientific Review, National Institutes of Rockledge Drive, Bethesda, MD 20892, applications, the disclosure of which Health, 6701 Rockledge Drive, Room 5132, (Telephone Conference Call). would constitute a clearly unwarranted MSC 7843, Bethesda, MD 20892, (301) 594– Contact Person: Joanne T Fujii, PhD, invasion of personal privacy. 6830, [email protected]. Scientific Review Administrator, Center for
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Scientific Review, National Institutes of Name of Committee: Center for Scientific Uses Therefor’’ (E–276–2003/0–PCT– Health, 6701 Rockledge Drive, Room 5204, Review Special Emphasis Panel, Neuronal 02), (Inventors: Yuntao Wu and Jon MSC 7850, Bethesda, MD 20892, (301) 435– Calcium Signaling. Marsh), to Revix Technology LLC 1178, [email protected]. Date: August 11, 2005. (hereafter Revix), having a place of This notice is being published less than 15 Time: 1 p.m. to 3 p.m. days prior to the meeting due to the timing Agenda: To review and evaluate grant business in Manassas, Virginia. The limitations imposed by the review and applications. patent rights in these inventions have funding cycle. Place: National Institutes of Health, 6701 been assigned to the United States of Name of Committee: Center for Scientific Rockledge Drive, Bethesda, MD 20892 America. (Telephone Conference Call). Review Special Emphasis Panel, Technology DATES: Only written comments and/or for DNA Analysis. Contact Person: Peter B. Guthrie, PhD, Scientific Review Administrator, Center for application for a license, which are Date: August 3, 2005. received by the NIH Office of Time: 2 p.m. to 3 p.m. Scientific Review, National Institutes of Agenda: To review and evaluate grant Health, 6701 Rockledge Drive, Room 4142, Technology Transfer on or before applications. MSC 7850, Bethesda, MD 20892, (301) 435– September 20, 2005 will be considered. Place: National Institutes of Health, 6701 1239, [email protected]. ADDRESSES: Requests for a copy of the Rockledge Drive, Bethesda, MD 20892, Name of Committee: Center for Scientific patent application, inquiries, comments (Telephone Conference Call). Review Special Emphasis Panel, Molecular and other materials relating to the Contact Person: Sally Ann Amero, PhD, Mechanisms of Neurodegeneration. contemplated license should be directed Scientific Review Administrator, Center for Date: August 15, 2005. Scientific Review, National Institutes of Time: 4 p.m. to 5:30 p.m. to: Sally Hu, Ph.D., M.B.A., Office of Health, 6701 Rockledge Drive, Room 4190, Agenda: To review and evaluate grant Technology Transfer, National Institutes MSC 7849, Bethesda, MD 20892, (301) 435– applications. of Health, 6011 Executive Boulevard, 1159, [email protected]. Place: National Institutes of Health, 6701 Suite 325, Rockville, MD 20852–3804; This notice is being published less than 15 Rockledge Drive, Bethesda, MD 20892 E-mail: [email protected]; Telephone: days prior to the meeting due to the timing (Telephone Conference Call). (301) 435–5606; Facsimile: (301) 402– limitations imposed by the review and Contact Person: Toby Behar, PhD, 0220. funding cycle. Scientific Review Administrator, Center for SUPPLEMENTARY INFORMATION: Name of Committee: Center for Scientific Scientific Review, National Institutes of E–276– Review Special Emphasis Panel, Health, 6701 Rockledge Drive, Room 4136, 2003/0–PCT–02 provides nucleic acid Neurogenesis Special Interest Panel. MSC 7850, Bethesda, MD 20892, (301) 435– molecules comprising expressible Date: August 4, 2005. 4433, [email protected]. sequences, which could be reporter or Time: 12 p.m. to 3 p.m. (Catalogue of Federal Domestic Assistance therapeutic genes, whose expression Agenda: To review and evaluate grant Program Nos. 93.306, Comparative Medicine; depends on the presence of HIV Tat and applications. 93.333, Clincial Research, 93.306, 93.333, Rev proteins. This invention could be Place: National Institutes of Health, 6701 93.337, 93.393–93.396, 93.837–93.844, used for detection of HIV infection, in Rockledge Drive, Bethesda, MD 20892, 93.846–93.878, 93.892, 93.893, National screening assays to identify compounds (Telephone Conference Call). Institutes of Health, HHS) Contact Person: Michael A. Lang, PhD, that inhibit HIV infection, and Scientific Review Administrator, Center for Dated: July 15, 2005. potentially as a therapeutic to kill HIV- Scientific Review, National Institutes of Anthony M. Coelho, Jr., infected cells and treat HIV-infected Health, 6701 Rockledge Drive, Room 4140, Acting Director, Office of Federal Advisory subjects. MSC 7850, Bethesda, MD 20892, (301) 435– Committee Policy. The prospective exclusive license will 1265, [email protected]. [FR Doc. 05–14494 Filed 7–21–05; 8:45 am] be royalty bearing and will comply with Name of Committee: Center for Scientific BILLING CODE 4140–01–M the terms and conditions of 35 U.S.C. Review Special Emphasis Panel, Genetic 209 and 37 CFR 404.7. The prospective Basis for Psychiatric Diseases. exclusive license may be granted unless, Date: August 8, 2005. DEPARTMENT OF HEALTH AND Time: 2 p.m. to 4 p.m. within 60 days from the date of this Agenda: To review and evaluate grant HUMAN SERVICES published Notice, NIH receives written applications. evidence and argument that establishes Place: National Institutes of Health, 6701 National Institutes of Health that the grant of the license would not Rockledge Drive, Bethesda, MD 20892, be consistent with the requirements of (Telephone Conference Call). Prospective Grant of Exclusive License: Use of HIV-Dependent 35 U.S.C. 209 and 37 CFR 404.7. Contact Person: David J. Remondini, PhD, The field of use may be limited to the Expression Constructs and Uses Scientific Review Administrator, Center for development of FDA-approvable HIV Therefor for the Development of FDA- Scientific Review, National Institutes of clinical diagnostic kit. Health, 6701 Rockledge Drive, Room 2210, Approvable HIV Diagnostic Kits It has to be noted that the non- MSC 7890, Bethesda, MD 20892, (301) 435– exclusive license opportunities in the 1038, [email protected]. AGENCY: National Institutes of Health, Public Health Service, HHS. field(s) of use of the development of HIV Name of Committee: Center for Scientific detection kit/reagent for research use Review Special Emphasis Panel, Pain ACTION: Notice. Studies. and/or cellular screening method for Date: August 8, 2005. SUMMARY: This is notice, in accordance research use, as well as the exclusive Time: 2 p.m. to 3 p.m. with 35 U.S.C. 209(c)(1) and 37 CFR license opportunity in the field of use of Agenda: To review and evaluate grant 404.7(a)(1)(i), that the National the development of a novel therapeutic applications. Institutes of Health (NIH), Department against HIV infections are still available Place: National Institutes of Health, 6701 of Health and Human Services, is for subject invention. Rockledge Drive, Bethesda, MD 20892, contemplating the grant of an exclusive Properly filed competing applications (Telephone Conference Call). license to practice the invention for a license filed in response to this Contact Person: J. Terrell Hoffeld, PhD, embodied in PCT/US04/31967 filed notice will be treated as objections to DDS, Dental Officer, USPHS, Center for Scientific Review, National Institutes of September 28, 2004 from U.S. the contemplated license. Comments Health, 6701 Rockledge Drive, Room 4116, provisional application 60/507,034 (E– and objections submitted in response to MSC 7816, Bethesda, MD 20892, (301) 435– 276–2003/0–US–01), entitled ‘‘HIV- this notice will not be made available 1781, [email protected]. Dependent Expression Constructs and for public inspection, and, to the extent
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permitted by law, will not be released with the Paperwork Reduction Act of NFIRA requires that FEMA develop a under the Freedom of Information Act, 1995 (44 U.S.C. 3506(c)(2)(A)), this standard hazard determination form for 5 U.S.C. 552. notice seeks comments concerning recording the determination of whether Dated: July 12, 2005. renewal of the Standard Flood Hazard a structure is located within an Determination Form (FEMA Form 81– Steven M. Ferguson, identified Special Flood Hazard Area 93). and whether flood insurance is Director, Division of Technology Development and Transfer, Office of Technology Transfer, SUPPLEMENTARY INFORMATION: FEMA is available. Section 528 of the NFIRA also National Institutes of Health. seeking to extend the use of the requires the use of this form by [FR Doc. 05–14502 Filed 7–21–05; 8:45 am] Standard Flood Hazard Determination regulated lending institutions, Federal agency lenders, the Federal National BILLING CODE 4140–01–P Form, required by Title V, Section 528 of the National Flood Insurance Reform Mortgage Association, the Federal Home Act of 1994 (NFIRA). The form records Loan Mortgage Corporation, and the Government National Mortgage DEPARTMENT OF HOMELAND the determination of whether a structure Association for any loan made, SECURITY is located within an identified Special Flood Hazard Area and whether flood increased, extended, renewed or Federal Emergency Management insurance is available. Federally- purchased by these entities. The form Agency regulated lender institutions, are developed to comply with the above mandated to complete this form for any requirements is the Standard Flood Agency Information Collection loan made, increased, extended, Hazard Determination form (FEMA Activities: Proposed Collection; renewed, or purchased. Form 83–93, dated October 2002). This Comment Request form will be completed by federally Collection of Information regulated lending institutions when AGENCY: Federal Emergency Title: Standard Flood Hazard making, increasing, extending, renewing Management Agency, Emergency Determination Form. or purchasing each loan for the purpose Preparedness and Response Directorate, Type of Information Collection: of documenting the factors considered U.S. Department of Homeland Security. Extension of a currently approved as to whether flood insurance is ACTION: Notice and request for collection. required and available. An estimated comments. OMB Number: 1660–0040. 33,000,000 such uses are made each Form Numbers: FEMA 81–93 year. This number is entirely driven by SUMMARY: The Federal Emergency Standard Flood Hazard Determination the volume of mortgage transactions, of Management Agency, as part of its Form. which fluctuations in interest rates is a continuing effort to reduce paperwork Abstract: On September 23, 1994, the principal factor. and respondent burden, invites the President signed the Riegle Community general public and other Federal Development and Regulatory Affected Public: Business or other for- agencies to take this opportunity to Improvement Act of 1994. Title V of this profit, Federal Government. comment on proposed continuing Act is the National Flood Insurance Estimated Total Annual Burden information collections. In accordance Reform Act (NFIRA). Section 528 of the Hours: 10,890,000 hours.
No. of re- Frequency of Burden hours per Annual burden FEMA forms spondents response response hours (A) (B) (C) (A x B x C)
81–93 ...... 33,000,000 1 0.33 (20 minutes) 10,890,000
Total ...... 33,000,000 (1) 0.33...... 10,890,000
Estimated Cost: The total cost to electronic, mechanical, or other You may contact the Records federally-regulated lenders for technological collection techniques or Management Section at (202) 646–3347 completing FEMA Form 81–93 totals other forms of information technology, or e-mail address: FEMA-Information- $295,119,000, representing an average e.g., permitting electronic submission of [email protected]. cost of $8.00 per loan transaction responses. Comments should be Dated: July 13, 2005. (respondent). received within 60 days of the date of George S. Trotter, Comments: Written comments are this notice. solicited to (a) evaluate whether the ADDRESSES: Interested persons should Acting Branch Chief, Information Resources proposed data collection is necessary for submit written comments to Chief, Management Branch, Information the proper performance of the agency, Records Management Section, Technology Services Division. including whether the information shall Information Resources Management [FR Doc. 05–14480 Filed 7–21–05; 8:45 am] have practical utility; (b) evaluate the Branch, Information Technology BILLING CODE 9110–11–P accuracy of the agency’s estimate of the Services Division, Federal Emergency burden of the proposed collection of Management Agency, Emergency information, including the validity of Preparedness and Response Directorate, the methodology and assumptions used; Department of Homeland Security, 500 (c) enhance the quality, utility, and C Street, SW., Room 316, Washington, clarity of the information to be DC 20472. collected; and (d) minimize the burden FOR FURTHER INFORMATION CONTACT: of the collection of information on those Contact Cecelia Lynch, Program who are to respond, including through Specialist, Mitigation Division at (202) the use of appropriate automated, 646–7045 for additional information.
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DEPARTMENT OF HOMELAND DEPARTMENT OF HOMELAND DEPARTMENT OF HOMELAND SECURITY SECURITY SECURITY
Federal Emergency Management Federal Emergency Management Federal Emergency Management Agency Agency Agency
[FEMA–1595–DR] [FEMA–1594–DR] [FEMA–1594–DR]
Florida; Amendment No. 1 to Notice of Mississippi; Amendment No. 2 to Mississippi; Amendment No. 1 to a Major Disaster Declaration Notice of a Major Disaster Declaration Notice of a Major Disaster Declaration
AGENCY: Federal Emergency AGENCY: Federal Emergency AGENCY: Federal Emergency Management Agency, Emergency Management Agency, Emergency Management Agency, Emergency Preparedness and Response Directorate, Preparedness and Response Directorate, Preparedness and Response Directorate, Department of Homeland Security. Department of Homeland Security. Department of Homeland Security. ACTION: Notice. ACTION: Notice. ACTION: Notice.
SUMMARY: This notice amends the notice SUMMARY: This notice amends the notice SUMMARY: This notice amends the notice of a major disaster declaration for the of a major disaster declaration for the of a major disaster declaration for the State of Florida (FEMA–1595–DR), State of Mississippi (FEMA–1594–DR), State of Mississippi (FEMA–1594–DR), dated July 10, 2005, and related dated July 10, 2005, and related determinations. determinations. dated July 10, 2005, and related determinations. EFFECTIVE DATE: July 13, 2005. EFFECTIVE DATE: July 13, 2005. DATE: Effective July 13, 2005. FOR FURTHER INFORMATION CONTACT: FOR FURTHER INFORMATION CONTACT: Magda Ruiz, Recovery Division, Federal Magda Ruiz, Recovery Division, Federal FOR FURTHER INFORMATION CONTACT: Emergency Management Agency, Emergency Management Agency, Magda Ruiz, Recovery Division, Federal Washington, DC 20472, (202) 646–2705. Washington, DC 20472, (202) 646–2705. Emergency Management Agency, SUPPLEMENTARY INFORMATION: The notice Washington, DC 20472, (202) 646–2705. SUPPLEMENTARY INFORMATION: The notice of a major disaster declaration for the of a major disaster declaration for the SUPPLEMENTARY INFORMATION: The State of Florida is hereby amended to State of Mississippi is hereby amended Federal Emergency Management Agency include the following areas among those to include the following areas among (FEMA) hereby gives notice that areas determined to have been adversely those areas determined to have been pursuant to the authority vested in the affected by the catastrophe declared a adversely affected by the catastrophe Under Secretary for Emergency major disaster by the President in his declared a major disaster by the Preparedness and Response, Department declaration of July 10, 2005: President in his declaration of July 10, of Homeland Security, under Executive Bay, Franklin, Gulf, Okaloosa, Wakulla, 2005: Order 12148, as amended, Jesse Munoz, and Walton Counties for Individual of FEMA is appointed to act as the Assistance, (already designated for debris Pearl River, Simpson, and Hinds Counties removal and emergency protective measures for emergency protective measures (Category Federal Coordinating Officer for this under the Public Assistance program, B) under the Public Assistance Program, declared disaster. including direct Federal assistance. For a including direct Federal assistance. For a This action terminates my period of up to 72 hours, assistance for period of up to 72 hours, assistance for emergency protective measures, including appointment of Justo Hernandez as emergency protective measures, including Federal Coordinating Officer for this direct Federal assistance, will be provided at direct Federal assistance, will be provided at 100 percent of the total eligible costs. The 100 percent of the total eligible costs. The disaster. period of up to 72 hours at 100 percent period of up to 72 hours at 100 percent (The following Catalog of Federal Domestic excludes debris removal. excludes debris removal. Assistance Numbers (CFDA) are to be used (The following Catalog of Federal Domestic (The following Catalog of Federal Domestic for reporting and drawing funds: 97.030, Assistance Numbers (CFDA) are to be used Assistance Numbers (CFDA) are to be used Community Disaster Loans; 97.031, Cora for reporting and drawing funds: 97.030, for reporting and drawing funds: 97.030, Brown Fund Program; 97.032, Crisis Community Disaster Loans; 97.031, Cora Community Disaster Loans; 97.031, Cora Counseling; 97.033, Disaster Legal Services Brown Fund Program; 97.032, Crisis Brown Fund Program; 97.032, Crisis Program; 97.034, Disaster Unemployment Counseling; 97.033, Disaster Legal Services Counseling; 97.033, Disaster Legal Services Program; 97.034, Disaster Unemployment Program; 97.034, Disaster Unemployment Assistance (DUA); 97.046, Fire Management Assistance (DUA); 97.046, Fire Management Assistance (DUA); 97.046, Fire Management Assistance; 97.048, Individuals and Assistance; 97.048, Individuals and Assistance; 97.048, Individuals and Households Housing; 97.049, Individuals and Households Housing; 97.049, Individuals and Households Housing; 97.049, Individuals and Households Disaster Housing Operations; Households Disaster Housing Operations; Households Disaster Housing Operations; 97.050 Individuals and Households Program- 97.050 Individuals and Households Program- 97.050 Individuals and Households Program- Other Needs, 97.036, Public Assistance Other Needs, 97.036, Public Assistance Other Needs, 97.036, Public Assistance Grants; 97.039, Hazard Mitigation Grant Grants; 97.039, Hazard Mitigation Grant Grants; 97.039, Hazard Mitigation Grant Program.) Program.) Program.) Michael D. Brown, Michael D. Brown, Michael D. Brown, Under Secretary, Emergency Preparedness Under Secretary, Emergency Preparedness Under Secretary, Emergency Preparedness and Response, Department of Homeland and Response, Department of Homeland and Response, Department of Homeland Security. Security. Security. [FR Doc. 05–14479 Filed 7–21–05; 8:45 am] [FR Doc. 05–14477 Filed 7–21–05; 8:45 am] [FR Doc. 05–14478 Filed 7–21–05; 8:45 am] BILLING CODE 9110–10–P BILLING CODE 9110–10–P BILLING CODE 9110–10–P
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DEPARTMENT OF HOUSING AND Environmental Impact Statement (Draft Comments on the Draft CCP/EIS URBAN DEVELOPMENT CCP/EIS) for the Sweetwater Marsh and should be addressed to: Victoria South San Diego Bay Units of the San Touchstone, Refuge Planner, San Diego [Docket No. FR–4980–N–29] Diego Bay National Wildlife Refuge is National Wildlife Refuge Complex, 6010 Federal Property Suitable as Facilities available for review and comment. This Hidden Valley Road, Carlsbad, CA To Assist the Homeless Draft CCP/EIS has been prepared 92011. Comments may also be pursuant to the National Environmental submitted via electronic mail to AGENCY: Office of the Assistant Policy Act of 1969 and is designed to [email protected] or via fax Secretary for Community Planning and address the Service’s obligation under to (760) 930–0256. Please type ‘‘San Development, HUD. the National Wildlife Refuge System Diego Bay CCP’’ in the subject line. ACTION: Notice. Administration Act of 1966, as amended FOR MORE INFORMATION CONTACT: by the National Wildlife Refuge System Victoria Touchstone, Refuge Planner, at SUMMARY: This notice identifies Improvement Act of 1997. The Draft (760) 431–9440 extension 349. unutilized, underutilized, excess, and CCP/EIS describes the Service’s SUPPLEMENTARY INFORMATION: The surplus Federal property reviewed by proposal for managing these Refuge National Wildlife Refuge System HUD for suitability for possible use to Units over the next 15 years. Also Administration Act of 1966, as amended assist the homeless. available for review and public by the National Wildlife Refuge System DATES: Effective July 22, 2005. comment in the Draft CCP/EIS are draft Improvement Act of 1997 (16 U.S.C. FOR FURTHER INFORMATION CONTACT: compatibility determinations for several 668dd–668ee et seq) requires the Kathy Ezzell, Department of Housing public uses and a draft Predator Service to develop a Comprehensive and Urban Development, Room 7262, Management Plan. Conservation Plan (CCP) for each 451 Seventh Street, SW., Washington, DATES: Written comments must be National Wildlife Refuge. The purpose DC 20410; telephone (202) 708–1234; received at the address below on or for developing a CCP is to provide TTY number for the hearing- and before Monday, September 19, 2005. refuge managers with a 15-year strategy speech-impaired (202) 708–2565, (these ADDRESSES: A copy of the Draft CCP/EIS for achieving refuge purposes and telephone numbers are not toll-free), or is available on compact disk or in hard contributing toward the mission of the call the toll-free Title V information line copy, and you may obtain a copy by National Wildlife Refuge System at 1–800–927–7588. writing to: Victoria Touchstone, Refuge (Refuge System), consistent with sound SUPPLEMENTARY INFORMATION: In Planner, San Diego National Wildlife principles of fish and wildlife science, accordance with the December 12, 1988 Refuge Complex, 6010 Hidden Valley conservation, legal mandates, and court order in National Coalition for the Road, Carlsbad, CA 92011. You may Service policies. In addition to outlining Homeless v. Veterans Administration, also access or download copies of the broad management direction for No. 88–2503–OG (D.D.C.), HUD Draft CCP/EIS at the following Web site conserving wildlife and their habitats, publishes a notice, on a weekly basis, address: http://pacific.fws.gov/planning. the CCPs identify wildlife-dependent identifying unutilized, underutilized, Hard copies of the Draft CCP/EIS are recreational opportunities available to excess and surplus Federal buildings also available for viewing at the the public, including opportunities for and real property that HUD has following locations: hunting, fishing, wildlife observation reviewed for suitability for use to assist • San Diego National Wildlife Refuge and photography, and environmental the homeless. Today’s notice is for the Complex, 6010 Hidden Valley Road, education and interpretation. The purpose of announcing that no Carlsbad, CA; National Wildlife Refuge System additional properties have been • Tijuana Estuary Visitor Center, 301 Administration Act of 1966, as amended determined suitable or unsuitable this Caspian Way, Imperial Beach, CA; by the National Wildlife Refuge System week. • Chula Vista Public Library, Civic Improvement Act of 1997, requires the Center Branch, 365 F Street, Chula Dated: July 14, 2005. Service to review and update these Vista, CA and South Chula Vista CCPs at least every 15 years. Revisions Mark R. Johnston, Branch, 389 Orange Avenue, Chula to the CCP will be prepared in Director, Office of Special Needs Assistance Vista, CA; accordance with the National Programs. • Coronado Public Library, 640 Environmental Policy Act of 1969 (42 [FR Doc. 05–14198 Filed 7–21–05; 8:45 am] Orange Avenue, Coronado, CA; U.S.C. 4321–4370d). BILLING CODE 4210–29–M • Imperial Beach Library, 810 Imperial Beach Boulevard, Imperial Background Beach, CA; The CCP for the Refuge Units in San DEPARTMENT OF THE INTERIOR • National City Library, 200 East 12th Diego Bay was initiated in June 2000. At Street, National City, CA; and that time and throughout the process, Fish and Wildlife Service • City of San Diego, Central Library, public comments were requested, considered, and incorporated in Draft Comprehensive Conservation Government Publications, 820 E Street, numerous ways. Public outreach has Plan/Environmental Impact Statement Logan Heights Branch Library, 811 included scoping meetings, public for the Sweetwater Marsh and South South 28th Street, Otay Mesa Branch workshops, planning updates, a CCP San Diego Bay Units of the San Diego Library, 3003 Coronado Avenue, and webpage, and two Federal Register Bay National Wildlife Refuge Paradise Hills Branch Library, 5922 Rancho Hills Drive, San Diego, CA. notices. When the CCP was initiated, AGENCY: Fish and Wildlife Service, A public meeting to present the these refuge lands were referred to as Department of the Interior. details of the Draft CCP/EIS is the Sweetwater Marsh National Wildlife ACTION: Notice of availability. scheduled for Wednesday, August 31, Refuge and the South San Diego Bay 2005, from 6:30 p.m. to 8 p.m. at the Unit of the San Diego National Wildlife SUMMARY: The U.S. Fish and Wildlife Chula Vista City Council Chambers Refuge. However, in June 2004, these Service (Service) announces that a Draft located at 276 Fourth Avenue, Chula lands were reorganized into the San Comprehensive Conservation Plan/ Vista, California 91910. Diego Bay National Wildlife Refuge.
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This action was taken to streamline habitat for a variety of colonial nesting continue with added opportunities for management and facilitate public seabirds. environmental interpretation provided understanding and recognition of the adjacent to Paradise Marsh and the F&G Purpose and Need for Action two refuge areas within San Diego Bay. Street Marsh. This change had no affect on the The CCP is intended to provide a Under Alternative C (the preferred approved refuge boundaries or the coherent, integrated set of management alternative), management activities current management practices. All that actions consistent with the purposes for would be expanded to include changed were the names. We now refer which the two Refuge Units were restoration of intertidal and upland to these areas as the Sweetwater Marsh established; the mandates of the Refuge habitat. The existing trail system on and South San Diego Bay Units of the System; and the vision, goals, and Gunpowder Point would be redesigned San Diego Bay National Wildlife Refuge. objectives defined in the CCP. The CCP and new interpretive elements would be The San Diego Bay National Wildlife identifies the Refuge Units’ roles in provided to better complement the Refuge is located approximately 10 support of the mission of the Refuge existing environmental education miles north of the United States-Mexico System, describes the Service’s programs supported by the Refuge. border in southwestern San Diego management actions, and provides a County, California. Collectively, the two basis for budget needs. This CCP is also Alternatives for the South San Diego Refuge Units encompass approximately intended to satisfy a condition of the Bay Unit 2,620 acres of land and water in and Public Agency Lease between the Under Alternative A—No Action, the around the south end of San Diego Bay. California State Lands Commission and South San Diego Bay Unit would The native coastal salt marsh and the Service, requiring management and continue to be managed as it has in the intertidal mudflats preserved within public access plans for the South San past. No major changes in habitat this Refuge annually provide essential Diego Bay Unit and to fulfill the management would occur. The existing foraging and resting habitat for tens of Service’s obligation described in a opportunities for fishing, wildlife thousands of migratory shorebirds and Cooperative Agreement between the observation, photography, wintering waterfowl traveling along the Service and the Unified Port of San environmental education, and boating Pacific Flyway. Diego to prepare ‘‘a holistic habitat would remain unchanged and The Sweetwater Marsh Unit was restoration plan’’ for a 1,035-acre commercial solar salt production would established as a National Wildlife portion of the existing salt ponds within continue. The Service would continue Refuge in 1988. Encompassing the South San Diego Bay Unit. to pursue land management approximately 316 acres, this Refuge opportunities within the approved was established to protect federally Alternatives acquisition boundary for the Unit. This listed endangered and threatened The Draft CCP/EIS identifies and activity would occur under any of the species. The coastal salt marsh and evaluates three alternatives for alternatives evaluated for this Unit. upland areas within the Sweetwater managing the Sweetwater Marsh Unit Marsh Unit support 6 federally listed and four alternatives for managing the Under Alternative B, current species, including 3 listed birds that South San Diego Bay Unit for the next management activities would be nest within the Unit, one State-listed 15 years. One alternative for each expanded to emphasize enhancement of endangered species, and 26 species of Refuge Unit that appears to best meet nesting opportunities in and around the birds identified by the Service as Birds the Refuge purposes is identified as the salt ponds for the California least tern, of Conservation Concern. preferred alternative. The preferred western snowy plover, and various The South San Diego Bay Unit was alternatives were identified based on the other colonial seabirds. New nesting established in 1999 as a unit of the San analysis presented in the Draft CCP/EIS, habitat would be created and levee tops Diego National Wildlife Refuge for the which may be modified following the would be capped with clean, light sand purpose of protecting, managing, and completion of the public comment to improve the quality of available restoring habitats for federally listed period based on comments received nesting substrate. The current public endangered and threatened species and from other agencies, Tribal use programs would remain unchanged. migratory birds. The Service currently governments, non-governmental Under Alternative C, portions of the manages approximately 2,300 acres of organizations, or individuals. salt ponds and all of the Otay River the 3,940 acres included within the floodplain would be restored to native Unit’s approved acquisition boundary. Alternatives for the Sweetwater Marsh coastal habitats, and the nesting The majority of this management area is Unit enhancements described in Alternative leased to the Service by the California Under Alternative A—No Action, the B would be implemented. Two State Lands Commission. Included Sweetwater Marsh Unit would continue restoration options are presented for within this Unit is the largest remaining to be managed as it has in the past. No both the salt ponds and the Otay River expanse of intertidal mudflats in San major changes in habitat management floodplain that could result in the Diego Bay. This and other habitats would occur. The existing wildlife restoration of up to 410 acres of within the Unit support 5 federally observation, photography, intertidal habitat in the salt works and listed endangered and threatened environmental education, and 140 acres of habitat, including intertidal species, 1 State-listed endangered interpretation programs would remain salt marsh, freshwater wetlands, and species, and 19 species of birds unchanged. native uplands, within the Otay River identified by the Service as Birds of Under Alternative B, current floodplain. Opportunities for fishing Conservation Concern. Open water is management activities would be and wildlife observation would be the dominant habitat, followed by expanded to emphasize enhancement of expanded, the Otay Valley Regional intertidal mudflats, disturbed uplands, existing salt marsh habitat. Tidal and Trail would be facilitated, and the salt marsh, and freshwater wetlands. freshwater circulation within the salt construction of a boardwalk along the The Unit includes an active commercial marsh would be improved to enhance south side of the salt ponds is proposed. solar salt operation that is managed habitat quality for the endangered light- The commercial solar salt operation under a Special Use Permit. The salt footed clapper rail and other trust would continue within a reduced pond levees provide important nesting species. Existing public uses would footprint.
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Under Alternative D (the preferred addressed in the Final CCP/EIS. All Additional information on this permit alternative), the habitat potential within comments received from individuals, action may be requested by contacting the salt ponds would be maximized. including names and addresses, become the Colorado Field Office, 755 Parfet Approximately 600 acres of salt ponds part of the official public record and Street, Suite 361, Lakewood, Colorado would be restored to tidal influence to may be released. Requests for such 80215, telephone (303) 275–2370, support intertidal mudflat and coastal comments will be handled in between the hours of 7 a.m. and 4:30 salt marsh habitats. Additionally, some accordance with the Freedom of p.m. weekdays. 30 acres of new nesting habitat would Information Act, the Council on Dated: July 8, 2005. be created, 230 acres of pond area Environmental Quality’s NEPA Mike Stempel, would be managed to benefit waterfowl regulations, and Service and Acting Regional Director, Denver, Colorado. and shorebird foraging and nesting, and Departmental policies and procedures. [FR Doc. 05–14503 Filed 7–21–05; 8:45 am] 44 acres of salt ponds and associated Dated: July 14, 2005. levees would be managed to sustain a BILLING CODE 4310–55–P Ken McDermond, viable population of brine invertebrates to support the foraging needs of specific Manager, California/Nevada Operations, Sacramento, California. species of migratory birds. The Otay DEPARTMENT OF THE INTERIOR [FR Doc. 05–14217 Filed 7–21–05; 8:45 am] River floodplain would be restored as Bureau of Land Management described in Alternative C and the BILLING CODE 4310–55–P nesting enhancements described under [OR–931–6320 HAG5–0121] Alternative B would be implemented. DEPARTMENT OF THE INTERIOR Opportunities for wildlife observation, Notice of Availability of a Final Integrated Pest Management Program photography, and environmental Fish and Wildlife Service interpretation would be expanded, the Environmental Impact Statement for regional trail and boardwalk described Issuance of Permit for Incidental Take the Horning Seed Orchard; Clackamas in Alternative C would be provided, and of Threatened Species for the County, OR the other public uses that are currently Monument Creek Interceptor Tie-In AGENCY: Bureau of Land Management, provided, including fishing, Project Along Jackson Creek, El Paso Interior. environmental education, and boating, County, CO would be maintained. Restoration under ACTION: Notice of availability. AGENCY: Fish and Wildlife Service, this alternative would be phased and SUMMARY: In accordance with Section Interior. would ultimately result in the closure of 102 of the National Environmental ACTION: the existing commercial solar salt Notice of issuance of permit for Policy Act (NEPA), the Bureau of Land operation. incidental take of endangered species. Management (BLM) announces the Predator Management Plan SUMMARY: On February 15, 2005, a availability of a Final Environmental A draft predator management plan has notice was published in the Federal Impact Statement (EIS) that evaluates, also been prepared to accompany the Register (Vol. 70, No. 30, FR 7754), that analyzes, and discloses to the public CCP. Implementation of this plan is an application had been filed with the direct, indirect, and cumulative proposed pursuant to the Service’s U.S. Fish and Wildlife Service (Service) environmental impacts of a proposed endangered species management by the Triview Metropolitan District and integrated pest management program at responsibilities and would occur on the Forest Lakes Metropolitan District for a the Horning Seed Orchard in Clackamas Refuge in conjunction with other permit to incidentally take, pursuant to County, Oregon, in BLM’s Salem wildlife and habitat management section 10(a)(1)(B) of the Endangered District. The integrated pest activities. Species to benefit from the Species Act of 1973 (16 U.S.C. 1539) as management program is proposed to implementation of predator amended, Preble’s meadow jumping control the insect, weed, animal, and management include the federally listed mouse (Zapus hudsonius preblei), disease problems at the orchard, and to endangered California least tern and pursuant to the terms of the ‘‘Low-Effect maintain healthy, vigorous crop trees for light-footed clapper rail and the Habitat Conservation Plan for Issuance the production of seed and other threatened western snowy plover. The of an Endangered Species Act Section vegetative materials used for predator management plan has been 10(a)(1)(B) Permit for the Incidental reforestation and a variety of land developed as a comprehensive wildlife Take of the Preble’s Meadow Jumping management actions. damage control program that addresses Mouse (Zapus hudsonius preblei) for DATES: Written comments on the Final a range of management actions from the Monument Creek Interceptor Tie-In EIS will be accepted for 30 days vegetation control and nesting habitat Along Jackson Creek, El Paso County, following the date that the enhancement to non-lethal and lethal Colorado.’’ Environmental Protection Agency (EPA) control of both mammalian and avian Notice is hereby given that on June publishes its Notice of Availability in predators. Under this plan, the most 30, 2005, as authorized by the the Federal Register. BLM asks that effective, selective, and humane provisions of the Endangered Species those submitting comments on the Final techniques available to deter or remove Act, the Service issued a permit (TE– EIS make them as specific as possible individual predators or species that 097228–0) to the above named party with reference to page numbers and threaten nesting, breeding, or foraging subject to certain conditions set forth chapters of the document. Comments California least terns, western snowy therein. The permit was granted only will not receive a formal response; plovers, or light-footed clapper rails after the Service determined that it was however, they will be considered and would be implemented. applied for in good faith, that granting included as part of the BLM decision- the permit will not be to the making process. Public Comments disadvantage of the threatened species, Freedom of Information Act After the review and comment period and that it will be consistent with the Considerations: Public comments ends for this Draft CCP/EIS, comments purposes and policy set forth in the submitted for this planning action, will be analyzed by the Service and Endangered Species Act, as amended. including names and street addresses of
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respondents, will be available for public SUPPLEMENTARY INFORMATION: The Final appendix in the Final EIS provides a review at the BLM Salem District Office, EIS analyzes four action alternatives and complete set of public comments 1717 Fabry Road, SE., Salem, Oregon, the no action alternative to manage received on the Draft EIS, with BLM’s during regular business hours (7:30 a.m. pests at Horning. The alternatives can be response to each comment. to 4 p.m.), Monday through Friday, summarized as follows: Following the 30-day availability except holidays or at the Horning Seed Alternative A—Maximum Production period that begins with publication of Orchard, 27004 S. Sheckly Road, Integrated Pest Management. Pests EPA’s Federal Register Notice of Colton, Oregon, by appointment (503– would be managed using all identified Availability, BLM will issue a Record of 630–8406). Individual respondents may biological, chemical, prescribed fire, Decision announcing selection of the request confidentiality. If you wish to cultural, and other pest control alternative to be implemented. This withhold your name or street address methods, including aerial application by forest management decision may be from public review or from disclosure helicopter. protested under 43 CFR 5003— under the Freedom of Information Act, Alternative B—Integrated Pest Administrative Remedies. In accordance you must state this prominently at the Management with Environmental with 43 CFR 5003.2, the decision for beginning of your comments. Such Protection Emphasis. Pests would be this project will not be subject to protest requests will be honored to the extent managed using all of the methods in until the publication of a notice of allowed by law. All submissions from Alternative A, with special exceptions decision in a newspaper of general organizations or businesses, and from designed to further protect workers’ circulation, a minimum of 30 days after individuals identifying themselves as health and safety and the environment. the Notice of Availability of this Final representatives of officials of The limitations were based on results of EIS. Protests of the decision must be organizations or businesses, will be the human health and ecological risk filed with this office within 15 days of made available for public inspection in assessment, scoping comments, and the publication of a notice of decision their entirety. consultation with the National Oceanic in the newspaper. If no protest is and Atmospheric Administration’s received by the close of business (4 p.m. ADDRESSES: Please address questions, Fisheries office under the Endangered comments, or requests for copies of the Pacific standard time) on the 15th day, Species Act. the decision will become final. If a Final EIS to Mr. Jeffrey Gordon, Alternative C—Ground-Based timely protest is received, the decision Supervisor or Mr. Terry Garren, Integrated Pest Management. This will be reconsidered in light of the Horticulturist, Horning Seed Orchard at alternative is identical to Alternative B protest and other pertinent information 27004 S. Sheckly Road, Colton, OR except for the exclusion of helicopter available in accordance with 43 CFR 97017, or by fax at 503–630–6888, or by application. e-mail to [email protected]. A Alternative D—Pest Management with 5003.3. copy of the Final EIS has been sent to No Pesticides. Pests would be managed Dennis Williamson, those persons who responded to BLM using only the non-pesticide biological, District Manager. indicating that they wished to receive a prescribed fire, cultural, and other [FR Doc. 05–14418 Filed 7–21–05; 8:45 am] copy of the Final EIS. Copies of the methods listed under Alternative A. Final EIS will be available at all 13 city Alternative E—No Action: BILLING CODE 4310–33–P and county public libraries located in Continuation of Current Management Clackamas County, Oregon, and on the Approach. The current management DEPARTMENT OF THE INTERIOR BLM Salem District Web site at http:// system allows for use of all non- www.or.blm.gov/salem/html/planning/ pesticide pest control practices at the Bureau of Land Management horning_ipm.htm. Public reading copies seed orchard, as well as the use of will also be available for review at the pesticides on a specific case-by-case [OR–931–6320 HAG5–0122] following locations: basis. All non-pesticide biological, Notice of Availability of a Final Horning Seed Orchard, 27004 S. prescribed fire, cultural, and other Integrated Pest Management Program Sheckly Road, Colton, OR 97017, methods would be used in accordance Environmental Impact Statement for 503–630–8406. with current procedures. When a the Provolt and Sprague Seed BLM Salem District Office, 1717 Fabry specific need is identified for a Orchards; Jackson and Josephine Road, SE., Salem, OR 97306, 503– biological or chemical pesticide, the Counties, OR 375–5646. action would be reviewed to determine USDI Bureau of Land Management, whether it is encompassed by an AGENCY: Bureau of Land Management, Oregon State Office (OR931), 333 SW. existing environmental assessment (EA) Interior. First Avenue, Portland, OR 97204, or EIS. ACTION: Notice of availability. 503–808–6001. Agency Preferred Alternative: BLM’s preferred alternative is Alternative B. SUMMARY: In accordance with Section Bureau of Land Management Office of Public participation has occurred 102 of the National Environmental Public Affairs, Main Interior Building, throughout the NEPA process. Two Policy Act (NEPA), the Bureau of Land Room 3321, 1849 C St., NW., Notices of Intent were filed in the Management (BLM) announces the Washington, DC 20240, 202–452– Federal Register (FR) on March 26, 1999 availability of a Final EIS that evaluates, 5140. (64 FR 14747) and March 29, 2001 (66 analyzes, and discloses to the public Background information and maps FR 17192). BLM held an open house, direct, indirect, and cumulative used in developing the Final EIS are conducted direct mailings and a site environmental impacts of a proposed available at the Salem District Office visit during scoping to solicit comments integrated pest management program at and the Oregon State Office in Portland. and ideas. BLM provided a 60-day the Provolt and Sprague Seed Orchards FOR FURTHER INFORMATION CONTACT: Mr. written comment period for review of in Jackson and Josephine Counties, Greg Tyler, Manager, Horning Seed the Draft EIS, during which two public Oregon, in BLM’s Medford District. The Orchard at 27004 S. Sheckly Road, meetings were conducted at the Horning integrated pest management program is Colton, OR 97017, 503–630–8406, Seed Orchard on July 17, 2003 from 1 proposed to control the insect, weed, [email protected]. to 3 p.m. and 5 to 7 p.m. A new animal, and disease problems at the
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orchards, and to maintain healthy, Provolt Seed Orchard, 14171 Williams methods would be used in accordance vigorous crop trees for the production of Highway, Grants Pass, OR 97527, with current procedures. When a seed and other vegetative materials used 541–846–7296. specific need is identified for a for reforestation and a variety of land Sprague Seed Orchard, 1980 Russell biological or chemical pesticide, the management actions. Road, Merlin, OR 97532, 541–476– action would be reviewed to determine DATES: Written comments on the Final 4432. whether it is encompassed by an EIS will be accepted for 30 days BLM Medford District Office, 3040 existing environmental assessment (EA) following the date that the Biddle Road, Medford, OR 97504, or EIS. Environmental Protection Agency (EPA) 541–618–2200. Agency Preferred Alternative: BLM’s publishes its Notice of Availability in USDI Bureau of Land Management, preferred alternative is Alternative B. the Federal Register. BLM asks that Oregon State Office (OR931), 333 SW. those submitting comments on the Final First Avenue, Portland, OR 97204, Public participation has occurred EIS make them as specific as possible 503–808–6002. throughout the NEPA process. Two with reference to page numbers and Bureau of Land Management Office of Notices of Intent were filed in the chapters of the document. Comments Public Affairs, Main Interior Building, Federal Register (FR) on March 26, 1999 will not receive a formal response; Room 3321, 1849 C St., NW., (64 FR 14747) and March 29, 2001 (66 however, they will be considered and Washington, DC 20240. FR 17192). An open house, mailouts, included as part of the BLM decision- Background information and maps and a site visit were conducted during making process. used in developing the Final EIS are scoping to solicit comments and ideas. Freedom of Information Act available at the Medford District Office A written comment period of 60 days Considerations: Public comments and the Oregon State Office in Portland. was provided for review of the Draft submitted for this planning action, FOR FURTHER INFORMATION CONTACT: Mr. EIS, during which two public meetings including names and street addresses of Gordon Lyford, Natural Resource were conducted at the Sprague Seed respondents, will be available for public Specialist, Provolt and Sprague Seed Orchard on July 14, 2003 from 1 to 3 review at the BLM Medford District Orchards at 3040 Biddle Road, Medford, p.m. and 5 to 7 p.m., and at the Provolt Office, 3040 Biddle Road, Medford, OR 97504, 541–618–2401, Seed Orchard on July 15, 2003 from 1 Oregon, during regular business hours [email protected]. to 3 p.m. and 5 to 7 p.m. A new (7:45 a.m. to 4:30 p.m.), Monday SUPPLEMENTARY INFORMATION: The Final appendix in the Final EIS provides a through Friday, except holidays; or at EIS analyzes three action alternatives complete set of public comments the respective seed orchard locations, by and the no action alternative to manage appointment (see addresses and received on the Draft EIS, along with pests at Provolt and Sprague. The BLM’s response to each comment. telephone numbers below). Individual alternatives can be summarized as respondents may request follows: Following the 30-day availability confidentiality. If you wish to withhold Alternative A—Maximum Production period that begins with publication of your name or street address from public Integrated Pest Management. Pests EPA’s Federal Register Notice of review or from disclosure under the would be managed using all identified Availability, BLM will issue a Record of Freedom of Information Act, you must biological, chemical, prescribed fire, Decision announcing selection of the state this prominently at the beginning cultural, and other pest control alternative to be implemented. This of your comments. Such requests will be methods, including aerial application by forest management decision may be honored to the extent allowed by law. helicopter. protested under 43 CFR 5003— All submissions from organizations or Alternative B—Integrated Pest Administrative Remedies. In accordance businesses, and from individuals Management with Environmental with 43 CFR 5003.2, the decision for identifying themselves as Protection Emphasis. Pests would be this project will not be subject to protest representatives or officials of managed using all of the methods in until the publication of a notice of organizations or businesses, will be Alternative A, with special exceptions decision in a newspaper of general made available for public inspection in designed to further protect workers’ circulation, a minimum of 30 days after their entirety. health and safety and the environment. the Notice of Availability of this Final ADDRESSES: Please address questions, The limitations were based on results EIS. Protests of the decision must be comments, or requests for copies of the of the human health and ecological risk filed with this office within 15 days of Final EIS to Mr. Gordon Lyford, Natural assessment, scoping comments, and the publication of a notice of decision Resource Specialist, Provolt and consultation with the National Oceanic in the newspaper. If no protest is Sprague Seed Orchards at 3040 Biddle and Atmospheric Administration’s received by the close of business (4:30 Road, Medford, OR 97504, or by fax at Fisheries office under the Endangered p.m. Pacific Standard Time) on the 15th 541–618–2400, or by e-mail to Species Act. [email protected]. A Alternative C—Pest Management with day, the decision will become final. If a copy of the Final EIS has been sent to No Pesticides. Pests would be managed timely protest is received, the decision those persons who responded to BLM using only the non-pesticide biological, will be reconsidered in light of the indicating that they wished to receive a prescribed fire, cultural, and other protest and other pertinent information copy of the Final EIS. Copies of the methods listed under Alternative A. available in accordance with 43 CFR Final EIS will be available at Medford Alternative D—No Action: 5003.3. and Grants Pass public libraries located Continuation of Current Management Timothy B. Reuwsaat, in Jackson and Josephine Counties, OR, Approach. The current management and on the BLM Medford District Web system allows for use of all non- District Manager. site at http://www.or.blm.gov/medford/ pesticide pest control practices at the [FR Doc. 05–14416 Filed 7–21–05; 8:45 am] planning/medpest_eis_main.html. seed orchard, as well as the use of BILLING CODE 4310–33–P Public reading copies will also be pesticides on a specific case-by-case available for review at the following basis. All non-pesticide biological, locations: prescribed fire, cultural, and other
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DEPARTMENT OF THE INTERIOR of your comments. Such requests will be Alternative B—Integrated Pest honored to the extent allowed by law. Management with Environmental Bureau of Land Management All submissions from organizations or Protection Emphasis. Pests would be [OR–931–6320 HAG5–0120] businesses, and from individuals managed using all of the methods in identifying themselves as Alternative A, with special exceptions Notice of Availability of a Final representatives of officials of designed to further protect workers’ Integrated Pest Management Program organizations or businesses, will be health and safety and the environment. Environmental Impact Statement for made available for public inspection in The limitations were based on results of the Tyrrell Seed Orchard; Lane County, their entirety. the human health and ecological risk OR ADDRESSES: Please address questions, assessment, scoping comments, and comments, or requests for copies of the consultation with the National Oceanic AGENCY: Bureau of Land Management, Final EIS to Mr. Glenn Miller, Manager, and Atmospheric Administration’s Interior. Tyrrell Seed Orchard at 26350 Siuslaw Fisheries office under the Endangered ACTION: Notice of availability. River Road (P.O. Box 121), Lorane, OR Species Act. Alternative C—Ground-Based SUMMARY: In accordance with Section 97451, or by fax at 541–683–6597, or by Integrated Pest Management. This 102 of the National Environmental e-mail to _ _ alternative is identical to Alternative B Policy Act (NEPA), the Bureau of Land OR Eugene [email protected]. A except for the exclusion of helicopter Management (BLM) announces the copy of the Final EIS has been sent to application. availability of a Final Environmental those persons who responded to BLM indicating that they wished to receive a Alternative D—Pest Management with Impact Statement (EIS) that evaluates, No Pesticides. Pests would be managed analyzes, and discloses to the public copy of the Final EIS. Copies of the Final EIS will be available at Eugene using only the non-pesticide biological, direct, indirect, and cumulative prescribed fire, cultural, and other environmental impacts of a proposed (Eugene city library-downtown branch), Springfield, Cottage Grove, and Veneta methods listed under Alternative A. integrated pest management program at Alternative E—No action: the Tyrrell Seed Orchard in Lane public libraries located in Lane County, OR, and on the BLM Eugene District Continuation of Current Management County, Oregon, in BLM’s Eugene Approach. The current management District. The integrated pest Web site at http://www.edo.or.blm.gov/ _ system allows for use of all non- management program is proposed to planning/seed orchard/ _ _ pesticide pest control practices at the control the insect, weed, animal, and pest mgmt eis.htm. Public reading copies will also be seed orchard, as well as the use of disease problems at the orchard, and to pesticides on a specific case-by-case maintain healthy, vigorous crop trees for available for review at the following locations: basis. All non-pesticide biological, the production of seed and other prescribed fire, cultural, and other Tyrrell Seed Orchard, 26350 Siuslaw vegetative materials used for methods would be used in accordance River Road, Lorane, OR 97451, 541– reforestation and a variety of land with current procedures. When a 683–6445. management actions. specific need is identified for a DATES: Written comments on the Final BLM Eugene District Office, 2890 Chad Drive, Eugene, OR 97440, 541–683– biological or chemical pesticide, the EIS will be accepted for 30 days action would be reviewed to determine following the date that the 6600. USDI Bureau of Land Management, whether it is encompassed by an Environmental Protection Agency (EPA) Oregon State Office (OR931), 333 SW. existing environmental assessment or publishes its Notice of Availability in First Avenue, Portland, OR 97204, EIS. the Federal Register. BLM asks that 503–808–6002. Agency Preferred Alternative: BLM’s those submitting comments on the Final Bureau of Land Management Office of preferred alternative is Alternative B. EIS make them as specific as possible Public Affairs, Main Interior Building, Public participation has occurred with reference to page numbers and Room 5600, 1849 C St., NW., throughout the NEPA process. Two chapters of the document. Comments Washington, DC 20240, Need Notices of Intent were filed in the will not receive a formal response; telephone number. Federal Register on March 26, 1999 (64 however, they will be considered and FR 14747) and March 29, 2001 (66 FR included as part of the BLM decision- Background information and maps 17192). An open house, direct mailings, making process. used in developing the Final EIS are and a site visit were conducted during Freedom of Information Act available at the Eugene District Office scoping to solicit comments and ideas. Considerations: Public comments and the Oregon State Office in Portland. A written comment period of 60 days submitted for this planning action, FOR FURTHER INFORMATION CONTACT: Mr. was provided for review of the Draft including names and street addresses of Glenn Miller, Manager, Tyrrell Seed EIS, during which two public meetings respondents, will be available for public Orchard at 26350 Siuslaw River Road, were conducted at the Tyrrell Seed review at the BLM Eugene District Lorane, OR 97451, 541–683–6445, Orchard on July 16, 2003 from 1 to 3 _ _ Office, 2890 Chad Drive, Eugene, OR Eugene [email protected]. p.m. and 5 to 7 p.m. A new appendix Oregon, during regular business hours SUPPLEMENTARY INFORMATION: The Final in the Final EIS provides a complete set (7:45 a.m. to 4:15 p.m.), Monday EIS analyzes four action alternatives and of public comments received on the through Friday, except holidays; or at the no action alternative to manage Draft EIS, along with BLM’s response to the Tyrrell Seed Orchard at 26350 pests at Tyrrell. The alternatives can be each comment. Siuslaw River Road, Lorane, Oregon, by summarized as follows: Following the 30-day availability appointment (541–683–6445). Alternative A—Maximum Production period that begins with publication of Individual respondents may request Integrated Pest Management. Pests EPA’s Federal Register Notice of confidentiality. If you wish to withhold would be managed using all identified Availability, BLM will issue a Record of your name or street address from public biological, chemical, prescribed fire, Decision announcing selection of the review or from disclosure under the cultural, and other pest control alternative to be implemented. This Freedom of Information Act, you must methods, including aerial application by forest management decision may be state this prominently at the beginning helicopter. protested under 43 CFR part 5003—
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Administrative Remedies. In accordance August 11 meeting will be the same as Principal Meridian, Montana, was accepted with 43 CFR 5003.2, the decision for for the meeting scheduled on August 4. June 17, 2005. this project will not be subject to protest FOR FURTHER INFORMATION CONTACT: Sue T. 26 N., R. 30 W. until the publication of a notice of Richardson, BLM Coos Bay District The plat, representing Amended decision in a newspaper of general Manager, at (541) 756–0100, or Glenn Protraction Diagram 39 of unsurveyed circulation, a minimum of 30 days after Harkleroad, District Restoration Township 26 North, Range 30 West, Principal Meridian, Montana, was accepted the Notice of Availability of this Final Coordinator, at (541) 751–4361, or glenn EIS. Protests of the decision must be _ June 17, 2005. [email protected]. The mailing T. 26 N., R. 31 W. filed with this office within 15 days of address for the BLM Coos Bay District The plat, representing Amended the publication of a notice of decision Office is 1300 Airport Lane, North Bend, in the newspaper. If no protest is Protraction Diagram 39 of unsurveyed Oregon 97459. Township 26 North, Range 31 West, received by the close of business (4:15 Dated: July 15, 2005. Principal Meridian, Montana, was accepted p.m. Pacific standard time) on the 15th Sue E. Richardson, June 17, 2005. day, the decision will become final. If a T. 27 N., R. 30 W. timely protest is received, the decision Coos Bay District Manager. [FR Doc. 05–14473 Filed 7–21–05; 8:45 am] The plat, representing Amended will be reconsidered in light of the Protraction Diagram 39 of unsurveyed protest and other pertinent information BILLING CODE 4310–33–M Township 27 North, Range 30 West, available in accordance with 43 CFR Principal Meridian, Montana, was accepted 5003.3. June 17, 2005. DEPARTMENT OF THE INTERIOR T. 27 N., R. 31 W. Julia Dougan, The plat, representing Amended District Manager. Bureau of Land Management Protraction Diagram 39 of unsurveyed [FR Doc. 05–14417 Filed 7–21–05; 8:45 am] [UT–954–05–1910–BM–4677] Township 27 North, Range 31 West, BILLING CODE 4310–33–P Principal Meridian, Montana, was accepted Montana: Filing of Plats of Amended June 17, 2005. Protraction Diagrams T. 27 N., R. 32 W. DEPARTMENT OF THE INTERIOR The plat, representing Amended AGENCY: Bureau of Land Management, Protraction Diagram 39 of unsurveyed Bureau of Land Management Montana State Office, Interior. Township 27 North, Range 32 West, ACTION: Notice of filing of plats of Principal Meridian, Montana, was accepted [OR 120 5882 CD99; HAG# 05–0169] amended protraction diagrams. June 17, 2005. T. 27 N., R. 33 W. Notice of Public Meeting, Coos Bay SUMMARY: The Bureau of Land The plat, representing Amended Resource Advisory Committee Meeting Management (BLM) will file the plats of Protraction Diagram 39 of unsurveyed the amended protraction diagrams of the Township 27 North, Range 33 West, AGENCY: Bureau of Land Management, lands described below in the BLM Principal Meridian, Montana, was accepted Department of the Interior. Montana State Office, Billings, Montana, June 17, 2005. ACTION: Notice of Bureau of Land (30) days from the date of publication in T. 27 N., R. 34 W. Management (BLM) Coos Bay District the Federal Register. The plat, representing Amended Resource Advisory Committee Meeting FOR FURTHER INFORMATION CONTACT: Protraction Diagram 39 of unsurveyed as identified in Section 205(f)(2) of the Steven G. Schey, Cadastral Surveyor, Township 27 North, Range 34 West, Secure Rural Schools and Community Branch of Cadastral Survey, Bureau of Principal Meridian, Montana, was accepted June 17, 2005. Self-Determination Act of 2000, Public Land Management, 5001 Southgate Law 106–393 (the Act). Drive, P.O. Box 36800, Billings, T. 27 N., R. 35 W. Montana 59107–6800, telephone (406) The plat, representing Amended SUMMARY: The BLM Coos Bay District 896–5132 or (406) 896–5009. Protraction Diagram 39 of unsurveyed Resource Advisory Committee is Township 27 North, Range 35 West, SUPPLEMENTARY INFORMATION: The scheduled to meet on August 4, 2005 Principal Meridian, Montana, was accepted amended protraction diagrams were June 17, 2005. from 9 a.m. to 4:30 p.m. at the BLM prepared at the request of the U.S. Coos Bay District Office. The BLM T. 28 N., R. 30 W. Forest Service and are necessary to Office is located at 1300 Airport Lane in The plat, representing Amended accommodate Revision of Primary Base North Bend, Oregon. The purpose of Protraction Diagram 39 of unsurveyed Quadrangle Maps for the Geometronics Township 28 North, Range 30 West, this meeting will be for the BLM Coos Service Center. Principal Meridian, Montana, was accepted Bay District Resource Advisory The lands for the prepared amended June 17, 2005. Committee to recommend for funding protraction diagrams are: T. 28 N., R. 31 W. Title II projects, as identified under the The plat, representing Amended Act. The BLM Coos Bay District Principal Meridian, Montana Protraction Diagram 39 of unsurveyed Resource Advisory Committee meeting Tps. 25, 26, 27, and 28 N., Rs. 30, 31, 32, 33, Township 28 North, Range 31 West, is open to the public and there will be 34, and 35 W. Principal Meridian, Montana, was accepted an opportunity for the public to June 17, 2005. The plat, representing the Amended comment at approximately 11 a.m. at Protraction Diagram 39 Index of unsurveyed T. 28 N., R. 32 W. this meeting. The BLM Coos Bay District Townships 25, 26, 27, and 28 North, Ranges The plat, representing Amended Resource Advisory Committee may also 30, 31, 32, 33, 34, and 35 West, Principal Protraction Diagram 39 of unsurveyed meet on August 11, 2005 for the same Meridian, Montana, was accepted June 17, Township 28 North, Range 32 West, purpose. The need for this meeting will 2005. Principal Meridian, Montana, was accepted be dependent upon the progress made T. 25 N., R. 31 W. June 17, 2005. in making recommendations at the The plat, representing Amended T. 28 N., R. 33 W. meeting on August 4. The scheduled Protraction Diagram 39 of unsurveyed The plat, representing Amended meeting time and location for the Township 25 North, Range 31 West, Protraction Diagram 39 of unsurveyed
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Township 28 North, Range 33 West, T. 35 N., R. 31 W. We will not officially file these plats Principal Meridian, Montana, was accepted The plat, representing Amended of the amended protraction diagrams June 17, 2005. Protraction Diagram 49 of unsurveyed until the day after we have accepted or T. 28 N., R. 34 W. Township 35 North, Range 31 West, dismissed all protests and they have The plat, representing Amended Principal Meridian, Montana, was accepted become final, including decisions or May 24, 2005. Protraction Diagram 39 of unsurveyed appeals. Township 28 North, Range 34 West, T. 35 N., R. 32 W. Principal Meridian, Montana, was accepted The plat, representing Amended Dated: July 14, 2005. June 17, 2005. Protraction Diagram 49 of unsurveyed Thomas M. Deiling, Tps. 33, 34, 35, 36, and 37 N., Rs. 30, 31, 32, Township 35 North, Range 32 West, Chief Cadastral Surveyor, Division of 33, and 34 W. Principal Meridian, Montana, was accepted Resources. The plat, representing the Amended May 24, 2005. [FR Doc. 05–14487 Filed 7–21–05; 8:45 am] Protraction Diagram 49 Index of unsurveyed T. 35 N., R. 33 W. BILLING CODE 4310–$$–P Townships 33, 34, 35, 36, and 37 North, The plat, representing Amended Ranges 30, 31, 32, 33, and 34 West, Principal Protraction Diagram 49 of unsurveyed Meridian, Montana, was accepted May 24, Township 35 North, Range 33 West, DEPARTMENT OF THE INTERIOR 2005. Principal Meridian, Montana, was accepted T. 33 N., R. 30 W. May 24, 2005. Minerals Management Service The plat, representing Amended T. 35 N., R. 34 W. Protraction Diagram 49 of unsurveyed The plat, representing Amended Agency Information Collection Township 33 North, Range 30 West, Protraction Diagram 49 of unsurveyed Activities: Proposed Collection, Principal Meridian, Montana, was accepted Township 35 North, Range 34 West, Comment Request May 24, 2005. Principal Meridian, Montana, was accepted T. 33 N., R. 32 W. May 24, 2005. AGENCY: Minerals Management Service (MMS), Interior. The plat, representing Amended T. 36 N., R. 32 W. Protraction Diagram 49 of unsurveyed The plat, representing Amended ACTION: Notice of a revision of a Township 33 North, Range 32 West, Protraction Diagram 49 of unsurveyed currently approved information Principal Meridian, Montana, was accepted Township 36 North, Range 32 West, collection (OMB Control Number 1010– May 24, 2005. Principal Meridian, Montana, was accepted 0136). May 24, 2005. T. 33 N., R. 33 W. T. 36 N., R. 33 W. SUMMARY: To comply with the The plat, representing Amended Protraction Diagram 49 of unsurveyed The plat, representing Amended Paperwork Reduction Act (PRA) of Township 33 North, Range 33 West, Protraction Diagram 49 of unsurveyed 1995, we are inviting comments on a Principal Meridian, Montana, was accepted Township 36 North, Range 33 West, collection of information that we will May 24, 2005. Principal Meridian, Montana, was accepted submit to the Office of Management and May 24, 2005. T. 34 N., R. 30 W. Budget (OMB) for review and approval. T. 36 N., R. 34 W. The plat, representing Amended The new title of this information Protraction Diagram 49 of unsurveyed The plat, representing Amended collection request (ICR) is titled ‘‘30 Township 34 North, Range 30 West, Protraction Diagram 49 of unsurveyed CFR PART 206—PRODUCT Principal Meridian, Montana, was accepted Township 36 North, Range 34 West, VALUATION, subpart C—Federal Oil May 24, 2005. Principal Meridian, Montana, was accepted May 24, 2005. and subpart D—Federal Gas (Form T. 34 N., R. 31 W. MMS–4393, Request to Exceed T. 37 N., R. 32 W. The plat, representing Amended Regulatory Allowance Limitation).’’ We Protraction Diagram 49 of unsurveyed The plat, representing Amended changed the title of this information Township 34 North, Range 31 West, Protraction Diagram 49 of unsurveyed Township 37 North, Range 32 West, collection request (ICR) to clarify the Principal Meridian, Montana, was accepted Principal Meridian, Montana, was accepted regulatory language we are covering May 24, 2005. May 24, 2005. under 30 CFR part 206, and to T. 34 N., R. 32 W. T. 37 N., R. 33 W. incorporate relevant portions of three The plat, representing Amended The plat, representing Amended previous ICRs. The three ICRs, now Protraction Diagram 49 of unsurveyed Protraction Diagram 49 of unsurveyed consolidated into this ICR, were Township 34 North, Range 32 West, Township 37 North, Range 33 West, previously titled: Principal Meridian, Montana, was accepted Principal Meridian, Montana, was accepted • 1010–0095: 30 CFR Part 206— May 24, 2005. May 24, 2005. Product Valuation (Request to Exceed T. 34 N., R. 33 W. T. 37 N., R. 34 W. Transportation and Processing The plat, representing Amended The plat, representing Amended Allowance Limitation), subpart B— Protraction Diagram 49 of unsurveyed Protraction Diagram 49 of unsurveyed Indian Oil, § 206.54(b)(2); subpart C— Township 34 North, Range 33 West, Township 37 North, Range 34 West, Principal Meridian, Montana, was accepted Federal Oil, § 206.109(c)(2); subpart D— Principal Meridian, Montana, was accepted Federal Gas, §§ 206.156(c)(3), May 24, 2005. May 24, 2005. T. 34 N., R. 34 W. 206.158(c)(3), and 206.158(d)(2)(i); and We will place copies of the plats of subpart E—Indian Gas, §§ 206.177(c)(2) The plat, representing Amended the amended protraction diagrams we and 206.177(c)(3); Protraction Diagram 49 of unsurveyed • Township 34 North, Range 34 West, described in the open files. They will be 1010–0136: 30 CFR 206—subpart C, available to the public as a matter of Federal Oil Valuation; and Principal Meridian, Montana, was accepted • May 24, 2005. information. 1010–0157: 30 CFR 206—subpart C, T. 35 N., R. 30 W. If BLM receives a protest against these Federal Oil. amended protraction diagrams, as Citations concerning Indian oil and The plat, representing Amended gas, referred to in the above three ICRs, Protraction Diagram 49 of unsurveyed shown on these plats, prior to the date Township 35 North, Range 30 West, of the official filings, we will stay the are currently covered in ICR 1010–0103. Principal Meridian, Montana, was accepted filings pending our consideration of the DATES: Submit written comments on or May 24, 2005. protest. before September 20, 2005.
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ADDRESSES: Submit written comments information collected includes data allowance in excess of 50 percent upon to Sharron L. Gebhardt, Lead Regulatory necessary to ensure that the royalties are proper application from the lessee. Specialist, Minerals Management paid appropriately. Similarly, the regulations establish a Service, Minerals Revenue Management, Section 101(a) of the Federal Oil and limit of 662⁄3 percent of the value of P.O. Box 25165, MS 302B2, Denver, Gas Royalty Management Act of 1982 each gas plant product as an allowable Colorado 80225. If you use an overnight (FOGRMA), as amended, requires that gas processing deduction. The MMS courier service or wish to hand carry the Secretary ‘‘establish a may also approve a processing your comments, our courier address is comprehensive inspection, collection, allowance in excess of 662⁄3 percent Building 85, Room A–614, Denver and fiscal and production accounting upon proper application from the lessee. Federal Center, Denver, Colorado 80225. and auditing system to provide the capability to accurately determine oil Request To Exceed Regulatory You may also e-mail your comments to Allowance Limitation us at [email protected]. Include and gas royalties, interest, fines, the title of the information collection penalties, fees, deposits, and other The MMS may approve an allowance and the OMB control number in the payments owed, and collect and exceeding the regulatory allowance ‘‘Attention’’ line of your comment. Also account for such amounts in a timely limit upon proper application from the include your name and return address. manner.’’ In order to accomplish these lessee. To request permission to exceed Submit electronic comments as an tasks, MMS developed valuation a regulatory allowance limit, lessees ASCII file avoiding the use of special regulations for Federal leases at 30 CFR must write a letter to MMS explaining characters and any form of encryption. part 206—Product Valuation. Market why a higher allowance limit is If you do not receive a confirmation that value is a basic principle underlying necessary and provide supporting we have received your e-mail, contact royalty valuation. Consequently, these documentation. The MMS developed Ms. Gebhardt at (303) 231–3211. regulations include methods to capture Form MMS–4393, Request to Exceed the true market value of crude oil and Regulatory Allowance Limitation, to FOR FURTHER INFORMATION CONTACT: gas produced from Federal leases, both accompany the lessee’s letter requesting Sharron L. Gebhardt, telephone (303) onshore and offshore. The valuation approval to exceed the regulatory 231–3211, FAX (303) 231–3781, or e- regulations at 30 CFR part 206 require allowance limit. This form provides mail [email protected]. companies to collect and/or submit MMS with the data necessary to make SUPPLEMENTARY INFORMATION: information used to value their Federal a decision and track deductions on Title: 30 CFR PART 206—PRODUCT oil and gas. royalty reports. Data reported on the VALUATION, subpart C—Federal Oil The MMS uses the information form is also subject to subsequent audit and subpart D—Federal Gas (Form collected to ensure that proper royalty is and adjustment. MMS–4393, Request to Exceed paid on oil and gas produced from Proprietary information submitted to Regulatory Allowance Limitation). Federal onshore and offshore leases. MMS under this collection is protected, OMB Control Number: 1010–0136. Please refer to the chart for all reporting and no items of a sensitive nature are Bureau Form Number: Form MMS– requirements and associated burden collected. A response is mandatory for 4393. hours. Regulations developed ensure the valuation requirements and required to Abstract: The Department of the information requested is the minimum obtain the benefit of allowances. Interior is responsible for matters necessary to carry out our mission and Applicable Citations relevant to mineral resource places the least possible burden on development on Federal and Indian respondents. The requested information Applicable citations of the laws lands and the Outer Continental Shelf provides a critical link to establishing pertaining to mineral leases include (OCS). The Secretary of the Interior is the proper value of oil and gas from Public Law 97–451—Jan. 12, 1983 responsible for managing the production Federal lands. If the information is not (Federal Oil and Gas Royalty of minerals from Federal and Indian collected, it may result in a loss of Management Act of 1982 [FOGRMA]); lands and the OCS, collecting royalties royalties for both Federal and state Public Law 104–185—Aug. 13, 1996 from lessees who produce minerals, and governments. (Federal Oil and Gas Royalty distributing the funds collected in Simplification and Fairness Act of 1996 accordance with applicable laws. The Transportation and Processing [RSFA]), as corrected by Public Law MMS assists the Secretary in performing Allowances 104–200—Sept. 22, 1996); the Mineral the royalty management functions. Under certain circumstances, lessees Leasing Act of 1920, Section 36, as When a company or an individual are authorized to claim a transportation amended (30 U.S.C. 192); Outer enters into a lease to explore, develop, allowance for the reasonable actual Continental Shelf Lands Act of 1953, produce, and dispose of minerals from costs of transporting the royalty portion Section 27, as amended (43 U.S.C. Federal or Indian lands, that company of produced oil and gas from the lease 1353); 30 U.S.C. 189 pertaining to or individual agrees to pay the lessor a to a processing or sales point not in the Public Lands; 30 U.S.C. 359 pertaining share (royalty) of the value received immediate lease area. to Acquired Lands; and 43 U.S.C. 1334 from production from the leased lands. When gas is processed for the pertaining to OCS Lands. Public laws The lease creates a business relationship recovery of gas plant products, lessees pertaining to mineral royalties are between the lessor and the lessee. The may claim a processing allowance. located on our Web site at http:// lessee is required to report various kinds Transportation and processing www.mrm.mms.gov/Laws_R_D/ of information to the lessor relative to allowances are a part of the product PublicLawsAMR.htm. the disposition of the leased minerals. valuation process that MMS uses to The applicable regulations include 30 Such information is similar to data determine if the lessee is reporting and CFR part 206—Product Valuation. In reported to private and public mineral paying the proper royalty amount. addition, we also are including interest owners and is generally The regulations establish a limit on applicable citations from the 2004 available within the records of the transportation allowance deductions for Federal Oil Valuation Rule (69 FR lessee or others involved in developing, oil and gas at 50 percent of the value of 24959, published May 5, 2004) and the transporting, processing, purchasing, or the oil and gas at the point of sale. The 2005 Federal Gas Valuation Rule (70 FR selling of such minerals. The MMS may approve a transportation 11869, published March 10, 2005).
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Frequency of Response: Monthly, and We are revising this ICR to include Gas Valuation rule. We have not when necessary, annually. non-standard reporting requirements included in our estimates certain Estimated Number and Description of that were overlooked in the previous requirements performed in the normal Respondents: 100 Federal lessees. renewal, and we have adjusted the course of business and considered usual burden hours accordingly. The hours and customary. The following chart Estimated Annual Reporting and also reflect our recent analysis related to shows the breakdown of the estimated Recordkeeping ‘‘Hour’’ Burden: 21,815 the implementation of the 2004 Federal burden hours by CFR section and hours. Oil Valuation rule and the 2005 Federal paragraph:
RESPONDENTS’ ESTIMATED ANNUAL BURDEN HOURS
Average num- Citation 30 CFR Reporting and recordkeeping requirement Hour burden ber of annual Annual burden 206 responses hours
Subpart C—Federal Oil
§ 206.102 How do I calculate royalty value for oil that I or my affiliate sell(s) under an arm’s-length contract?
206.102(e)(1) ...... 206.102(e) If you value oil under paragraph (a) of this section: (1) PRODUCE RECORDS—The ORA determined MMS may require you to certify that your or your affiliate’s arm’s- that the audit process is not covered by the length contract provisions include all of the consideration the buyer PRA because MMS staff asks non-standard must pay, either directly or indirectly, for the oil. questions to resolve exceptions.
§ 206.103 How do I value oil that is not sold under an arm’s-length contract?
206.103 ...... This section explains how to value oil that you may not value under 33.25 5 166.25 § 206.102 or that elect under § 206.102(d) to value under this sec- tion. First determine whether paragraph (a), (b), or (c) of this section applies to production from your lease, or whether you may apply paragraph (d) or (e) with MMS approval. 206.103(a) ...... 206.103 (a) Production from leases in California or Alaska. Value is the average of the daily mean ANS spot prices published in any MMS-approved publication during the trading month most concur- rent with the production month * * * (1) To calculate the daily mean spot price * * * ...... (2) Use only the days * * * ...... (3) You must adjust the value * * *. 206.103(a)(4) ...... 206.103(a)(4) After you select an MMS-approved publication, you may 8 2 16 not select a different publication more often than once every 2 years, * * *. 206.103(b)(1) ...... 206.103(b) Production from leases in the Rocky Mountain Region. 400 2 800 * * * (1) If you have an MMS-approved tendering program, you must value oil * * *. 206.103(b)(1)(ii) ..... 206.103(b)(1)(ii) If you do not have an MMS-approved tendering pro- 400 2 800 gram, you may elect to value your oil under either paragraph (b)(2) or (b)(3) of this section. * * *. 206.103(b)(4) ...... 206.103(b)(4) If you demonstrate to MMS’s satisfaction that para- 400 2 800 graphs (b)(1) through (b)(3) of this section result in an unreasonable value for your production as a result of circumstances regarding that production, the MMS Director may establish an alternative valuation method. 206.103(c)(1) ...... 206.103(c) Production from leases not located in California, Alaska or 50 10 500 the Rocky Mountain Region. (1) Value is the NYMEX price, plus the roll, adjusted for applicable location and quality differentials and transportation costs under § 206.112. 206.103(e)(1) ...... 206.103(e) Production delivered to your refinery and the NYMEX price 330 2 660 or ANS spot price is an unreasonable value. (1) * * * you may apply to the MMS Director to establish a value representing the market at the refinery if: * * *. 206.103(e)(2) ...... 206.103(e)(2) You must provide adequate documentation and evi- dence demonstrating the market value at the refinery * * *.
§ 206.105 What records must I keep to support my calculations of value under this subpart?
206.105 ...... 206.105 If you determine the value of your oil under this subpart, you There are no burden hours to report in this ICR. must retain all data relevant to the determination of royalty value. All burden hours associated with Form MMS– ***. 2014 are included in OMB Control Number 1010–0140 (Form MMS–2014), expires 10/31/ 2006.
§ 206.107 How do I request a value determination?
206.107(a) ...... 206.107(a) You may request a 330 82,640 value determination from 330 8 2,640 MMS * * *.
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RESPONDENTS’ ESTIMATED ANNUAL BURDEN HOURS—Continued
Average num- Citation 30 CFR Reporting and recordkeeping requirement Hour burden ber of annual Annual burden 206 responses hours
§ 206.109 When may I take a transportation allowance in determining value?
206.109(c)(2) ...... 206.109(c) Limits on transportation allowances. (2) You may ask MMS 4.25 1 4.25 to approve a transportation allowance in excess of the limitation in paragraph (c)(1) of this section. * * * Your application for exception (using Form MMS–4393, Request to Exceed Regulatory Allowance Limitation) must contain all relevant and supporting documentation necessary for MMS to make a deter- mination. * * *.
§ 206.110 How do I determine a transportation allowance under an arm’s-length transportation contract?
206.110(a) ...... 206.110(a) * * * You must be able to demonstrate that you or your af- PRODUCE RECORDS—The ORA determined filiate’s contract is at arm’s length. * * *. that the audit process is not covered by the PRA because MMS staff asks non-standard questions to resolve exceptions.
206.110(d)(3) ...... 216.110(d) If your arm’s-length transportation contract includes more than one liquid product, and the transportation costs attributable to each product cannot be determined * * * (3) You may propose to MMS a cost allocation method * * * 330 2 660 206.110(e) ...... 206.110(e) If your arm’s-length transportation contract includes both 330 1 330 gaseous and liquid products, and the transportation costs attrib- utable to each product cannot be determined from the contract, then you must propose an allocation procedure to MMS.
206.110(e)(1) ...... 206.110(e)(1) * * * If MMS rejects your cost allocation, you must There are no burden hours to report in this ICR. amend your Form MMS–2014 * * *. All burden hours associated with Form MMS– 2014 are included in OMB Control Number 1010–0140 (Form MMS–2014), expires 10/31/ 2006. 206.110(e)(2) ...... 206.110(e)(2) You must submit your initial proposal, including all avail- There are no burden hours to report in this ICR. able data, within 3 months after first claiming the allocated deduc- All burden hours associated with Form MMS– tions on Form MMS–2014. 2014 are included in OMB Control Number 1010–0140, (Form MMS–2014), expires 10/31/ 2006.
206.110(g)(2) ...... 206.110(g) If your arm’s-length sales includes a provision reducing the 330 1 330 contract price by a transportation factor, * * * (2) You must obtain MMS approval before claiming a transportation factor in excess of 50 percent of the base price of the product.
§ 206.111 How do I determine a transportation allowance if I do not have an arm’s-length transportation contract or arm’s-length tariff?
206.111(g) ...... 206.111(g) To compute depreciation, you may elect to use either * * * 330 1 330 After you make an election, you may not change methods without MMS approval. * * *. 206.111(k)(2) ...... 206.111(k)(2) You may propose to MMS a cost allocation method on 330 1 330 the basis of the values * * *. 206.111(l)(1) ...... 206.111(l)(1) Where you transport both gaseous and liquid products 330 1 330 through the same transportation system, you must propose a cost allocation procedure to MMS.
206.111(l)(2) ...... 206.111(l)(2) * * * If MMS rejects your cost allocation, you must There are no burden hours to report in this ICR. amend your Form MMS–2104 for the month/months that you used All burden hours associated with your Form the rejected method and pay any additional royalty and interest due. MMS–2104 are included in OMB Control Num- ber 1010–0140 (Form MMS–2014), expires 10/ 31/2006. 206.111(l)(3) ...... 206.111(l)(3) You must submit your initial proposal, including all avail- Burden covered under § 206.111(l)(1). able data, within 3 months after first claiming the allocated deduc- tions on Form MMS–2014.
§ 206.112 What adjustments and transportation allowances apply when I value oil production from my lease using NYMEX prices or ANS spot prices?
206.112(a)(1)(ii) ..... 206.112(a)(1)(ii) * * * under an exchange agreement that is not at 330 1 330 arm’s length, you must obtain approval from MMS for a location and quality differential. * * *..
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RESPONDENTS’ ESTIMATED ANNUAL BURDEN HOURS—Continued
Average num- Citation 30 CFR Reporting and recordkeeping requirement Hour burden ber of annual Annual burden 206 responses hours
206.112(a)(1)(ii) ..... 206.112(a)(1)(ii) * * * If MMS prescribes a different differential, you 330 2 660 must apply * * *. You must pay any additional royalties owed * * * plus the late payment interest from the original royalty due date, or you may report a credit * * *. 206.112(a)(3) ...... 206.112(a)(3) If you transport or exchange at arm’s length (or both 330 4 1,320 transport and exchange) at least 20 percent, but not all, of your oil produced from the lease to a market center, determine the adjust- ment between the lease and the market center for the oil that is not transported or exchanged (or both transported and exchanged) to or through a market center as follows: * * *. 206.112(a)(4) ...... 206.112(a)(4) If you transport or exchange (or both transport and ex- 330 4 1,320 change) less than 20 percent of your crude oil produced from the lease between the lease and a market center, you must propose to MMS an adjustment between the lease and the market center for the portion of the oil that you do not transport or exchange (or both transport and exchange) to a market center. * * *. 206.112(a)(4) ...... 206.112(a)(4) If MMS prescribes a different adjustment * * *. You must pay any additional royalties owed * * * plus the late payment interest from the original royalty due date, or you may report a credit ***. 206.112(b)(3) ...... 206.112(b)(3) * * * you may propose an alternative differential to 330 4 1,320 MMS. * * * If MMS prescribes a different differential * * *. You must pay any additional royalties owed * * * plus the late payment interest from the original royalty due date, or you may report a credit ***. 206.112(c)(2) ...... 206.112(c)(2) * * * If quality bank adjustments do not incorporate or 330 2 660 provide for adjustments for sulfur content, you may make sulfur ad- justments, based on the quality of the representative crude oil at the market center, of 5.0 cents per one-tenth percent difference in sulfur content, unless MMS approves a higher adjustment.
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RESPONDENTS’ ESTIMATED ANNUAL BURDEN HOURS—Continued
Average num- Citation 30 CFR Reporting and recordkeeping requirement Hour burden ber of annual Annual burden 206 responses hours
§ 206.114 What are my reporting requirements under an arm’s-length transportation contract?
206.114 ...... 206.114 You or your affiliate must use a entry on Form MMS 2014 to There are no burden hours to report in this ICR. notify MMS of an allowance based on transportation costs you or All burden hours associated with Form MMS– your affiliate incur. 2014 are included in OMB Control Number 1010–0140 (Form MMS–2014), expires 10/31/ 2006. 206.114 ...... 206.114 MMS may require you or your affiliate to submit arm’s-length PRODUCE RECORDS—The ORA determined transportation contracts, production agreements, operating agree- that the audit process is not covered by the ments, and related documents. PRA because MMS staff asks non-standard questions to resolve exceptions.
§ 206.115 What are my reporting requirements under a non-arm’s-length transportation arrangement?
206.115(a) ...... 206.115(a) You or your affiliate must use a separate entry on Form There are no burden hours to report in this ICR. MMS–2014 to notify MMS of an allowance based on transportation All burden hours associated with Form MMS– costs you or your affiliate incur. 2014 are included in OMB Control Number 1010–0140 (Form MMS–2014), expires 10/31/ 2006. 206.115(c) ...... 206.115(c) MMS may require you or your affiliate to submit all data PRODUCE RECORDS—The ORA determined used to calculate the allowance deduction. * * *. that the audit process is not covered by the PRA because MMS staff asks non-standard questions to resolve exceptions.
Subpart D—Federal Gas
§ 206.152 Valuation standards—unprocessed gas.
206.152(b)(1)(i) ...... 206.152(b)(1)(i) * * * The lessee shall have the burden of dem- PRODUCE RECORDS—The ORA determined onstrating that its contract is arm’s-length. * * *. that the audit process is not covered by the PRA because MMS staff asks non-standard questions to resolve exceptions. 206.152(b)(1)(iii) .... 206.152(b)(1)(iii) * * * When MMS determines that the value may be PRODUCE RECORDS—The ORA determined unreasonable, MMS will notify the lessee and give the lessee an op- that the audit process is not covered by the portunity to provide written information justifying the lessee’s value. PRA because MMS staff asks non-standard questions to resolve exceptions.
206.152(b)(2) ...... 206.152(b)(2) * * * The lessee must request a value determination in 330 1 330 accordance with paragraph (g) of this section for gas sold pursuant to a warranty contract; * * *.
206.152(b)(3) ...... 206.152(b)(3) MMS may require a lessee to certify that its arm’s- PRODUCE RECORDS—The ORA determined length contract provisions include all of the consideration to be paid that the audit process is not covered by the by the buyer, either directly or indirectly, for the gas. PRA because MMS staff asks non-standard questions to resolve exceptions. 206.152(e)(1) ...... 206.152(e)(1) Where the value is determined pursuant to paragraph There are no burden hours to report in this ICR. (c) of this section, the lessee shall retain all data relevant to the de- All burden hours associated with Form MMS– termination of royalty value. * * *. 2014 are included in OMB Control Number 1010–0140 (Form MMS–2014), expires 10/31/ 2006. 206.152(e)(2) ...... 206.152(e)(2) Any Federal lessee will make available upon request to PRODUCE RECORDS—The ORA determined the authorized MMS or State representatives, to the Office of the In- that the audit process is not covered by the spector General of the department of the Interior, or other person PRA because MMS staff asks non-standard authorized to receive such information, arm’s-length sales and vol- questions to resolve exceptions. ume data for like-quality production sold, purchased or otherwise obtained by the lessee from the field or area or from nearby fields or areas.
206.152(e)(3) ...... 206.152(e)(3) A lessee shall notify MMS if it has determined value 330 2 660 pursuant to paragraph (c)(2) or (c)(3) of this section. * * *. 206.152(g) ...... 206.152(g) The lessee may request a value determination from MMS. 330 6 1,980 * * * the lessee shall submit all available data relevant to its pro- posal. * * *.
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RESPONDENTS’ ESTIMATED ANNUAL BURDEN HOURS—Continued
Average num- Citation 30 CFR Reporting and recordkeeping requirement Hour burden ber of annual Annual burden 206 responses hours
§ 206.153 Valuation standards—processed gas.
206.153(b)(1)(i) ...... 206.153(b)(1)(i) * * * The lessee shall have the burden of dem- PRODUCE RECORDS—The ORA determined onstrating that its contract is arm’s-length. * * *. that the audit process is not covered by the PRA because MMS staff asks non-standard questions to resolve exceptions. 206.153(b)(1)(iii) .... 206.153(b)(1)(iii) * * * When MMS determines that the value may be PRODUCE RECORDS—The ORA determined unreasonable, MMS will notify the lessee and give the lessee an op- that the audit process is not covered by the portunity to provide written information justifying the lessee’s value. PRA because MMS staff asks non-standard questions to resolve exceptions.
206.153(b)(2) ...... 206.153(b)(2) * * * The lessee must request a value determination in 330 1 330 accordance with paragraph (g) of this section for gas sold pursuant to a warranty contract; * * *.
206.153(b)(3) ...... 206.153(b)(3) MMS may require a lessee to certify that its arm’s- PRODUCE RECORDS—The ORA determined length contract provisions include all of the consideration to be paid that the audit process is not covered by the by the buyer, either directly or indirectly, for the residue gas or gas PRA because MMS staff asks non-standard plant product. questions to resolve exceptions. 206.153(e)(1) ...... 206.153(e)(1) Where the value is determined pursuant to paragraph There are no burden hours to report in this ICR. (c) of this section, the lessee shall retain all data relevant to the de- All burden hours associated with Form MMS– termination of royalty value. * * *. 2014 are included in OMB Control Number 1010–0140 (Form MMS–2014), expires 10/31/ 2006. 206.153(e)(2) ...... 206.153(e)(2) Any Federal lessee will make available upon request to PRODUCE RECORDS—The ORA determined the authorized MMS or State representatives, to the Office of the In- that the audit process is not covered by the spector General of the Department of the Interior, or other persons PRA because MMS staff asks non-standard authorized to receive such information, arm’s-length sales and vol- questions to resolve exceptions. ume data for like-quality residue gas and gas plant products sold, purchased or otherwise obtained by the lessee from the same proc- essing plant or from nearby processing plants.
206.153(e)(3) ...... 206.153(e)(2) A lessee shall notify MMS if it has determined any value 330 2 660 pursuant to paragraph (c)(2) or (c)(3) of this section. * * *. 206.153(g) ...... 206.153(g) The lessee may request a value determination from MMS 330 4 1,320 * * * the lessee shall submit all available data relevant to its pro- posal. * * *.
§ 206.154 Determination of quantities and qualities for computing royalties.
206.154(c)(4) ...... 206.154(c)(4) * * * A lessee may request MMS approval of other 330 1 330 methods for determining the quantity of residue gas and gas plant products allocable to each lease. * * *.
§ 206.156 Transportation allowances—general.
206.156(c)(3) ...... 206.156(c)(3) Upon request of a lessee, MMS may approve a trans- 4.25 4 17 portation allowance deduction in excess of the limitation prescribed by paragraphs (c)(1) and (c)(2) of this section. * * * An application for exception (using Form MMS–4393, Request to Exceed Regu- latory Allowance Limitation) shall contain all relevant and supporting documentation necessary for MMS to make a determination. * * *.
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RESPONDENTS’ ESTIMATED ANNUAL BURDEN HOURS—Continued
Average num- Citation 30 CFR Reporting and recordkeeping requirement Hour burden ber of annual Annual burden 206 responses hours
§ 206.157 Determination of transportation allowances.
206.157(a)(1)(i) ...... 206.157(a) Arm’s-length transportation contracts. (1)(i) * * * The les- PRODUCE RECORDS—The ORA determined see shall have the burden of demonstrating that its contract is that the audit process is not covered by the arm’s-length. * * *. PRA because MMS staff asks non-standard questions to resolve exceptions. 206.157(a)(1)(i) ...... 206.157(a)(1)(i) * * * The lessee must claim a transportation allow- There are no burden hours to report in this ICR. ance by reporting it on a separate line entry on the Form MMS– All burden hours associated with Form MMS– 2014. 2014 are included in OMB Control Number 1010–0140 (Form MMS–2014), expires 10/31/ 2006. 206.157(a)(1)(iii) .... 206.157(a)(1)(iii) * * * When MMS determines that the value of the PRODUCE RECORDS—The ORA determines transportation may be unreasonable, MMS will notify the lessee and that the audit process is not covered by the give the lessee an opportunity to provide written information justi- PRA because MMS staff asks non-standard fying the lessee’s transportation costs. questions to resolve exceptions.
206.157(a)(2)(ii) ..... 206.157(a)(2)(ii) * * * the lessee may propose to MMS a cost alloca- 330 1 330 tion method on the basis of the values of the products transported. ***. 206.157(a)(3) ...... 206.157(a)(3) If an arm’s-length transportation contract includes both 330 1 330 gaseous and liquid products and the transportation costs attributable to each cannot be determined from the contract, the lessee shall propose an allocation procedure to MMS. *** The lessee shall sub- mit all relevant data to support its proposal. * * *. 206.157(a)(5) ...... 206.157(a)(5) * * * The transportation factor may not exceed 50 per- 100 1 100 cent of the base price of the product without MMS approval.
206.157(b)(1) ...... 206.157(b) Non-arm’s-length or no contract. (1) The lessee must claim There are no burden hours to report in this ICR. a transportation allowance by reporting it on a separate line entry on All burden hours associated with Form MMS– the Form MMS–2014. * * *. 2014 are included in OMB Control Number 1010–0140 (Form MMS–2014), expires 10/31/ 2006. 206.157(b)(2)(iv) .... 206.157(b)(2)(iv) After a lessee has elected to use either method for a 100 1 100 transportation system, the lessee may not later elect to change to the other alternative without approval. 206.157(b)(2)(iv)(A) After an election is made, the lessee may not change methods without MMS approval. * * *. 206.157(b)(3)(i) ...... 206.157(b)(3)(i) * * * Except as provided in this paragraph, the lessee 100 1 100 may not take an allowance for transporting a product which is not royalty bearing without MMS approval. 206.157(b)(3)(ii) ..... 206.157(b)(3)(ii) * * * the lessee may propose to the MMS a cost allo- 100 1 100 cation method on the basis of the values of the products transported. 206.157(b)(4) ...... 206.157(b)(4) Where both gaseous and liquid products are transported 100 1 100 through the same transportation system, the lessee shall propose a cost allocation procedure to MMS. * * * The lessee shall submit all relevant data to support its proposal. * * *.
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RESPONDENTS’ ESTIMATED ANNUAL BURDEN HOURS—Continued
Average num- Citation 30 CFR Reporting and recordkeeping requirement Hour burden ber of annual Annual burden 206 responses hours
206.157(b)(5) ...... 206.157(b)(5) You may apply for an exception from the requirement to 100 1 100 compute actual costs under paragraphs (b)(1) through (b)(4) of this section.
206.157(c)(1)(i) ...... 206.157(c) Reporting Requirements. (1) Arm’s-length contracts. (i) You There are no burden hours to report in this ICR. must use a separate entry on Form MMS–2014 to notify MMS of a All burden hours associated with Form MMS– transportation allowance. 2014 are included in OMB Control Number 1010–0140 (Form MMS–2014), expires 10/31/ 2006. 206.157(c)(1)(ii) ..... 206.157(c)(1)(ii) The MMS may require you to submit arm’s-lenth PRODUCE RECORDS—The ORA determined transportation contracts, production agreements, operating agree- that the audit process is not covered by the ments, and related documents. * * *. PRA because MMS staff asks non-standard questions to resolve exceptions. 206.157(c)(2)(i) ...... 206.157(c)(2) Non-arm’s-length or no contract. (i) You must use a sep- There are no burden hours to report in this ICR. arate entry on Form MMS–2014 to notify MMS of a transportation All burden hours associated with Form MMS– allowance. 2014 are included in OMB Control Number 1010–0140 (Form MMS–2014), expires 10/31/ 2006. 206.157(c)(2)(iii) .... 206.157(c)(2)(iii) The MMS may require you to submit all data used to PRODUCE RECORDS—The ORA determined calculate the allowance deduction. * * *. that the audit process is not covered by the PRA because MMS staff asks non-standard questions to resolve exceptions. 206.157(e)(2) ...... 206.157(e) Adjustments. (2) For lessees transporting production from There are no burden hours to report in this ICR. onshore Federal leases, the lessee must submit a corrected Form All burden hours associated with Form MMS– MMS–2014 to reflect actual costs, together with any payment, in ac- 2014 are included in OMB Control Number cordance with instructions provided by MMS. 1010–0140 (Form MMS–2014), expires 10/31/ 2006. 206.157(e)(3) ...... 206.157(e)(3) For lessees transporting gas production from leases on There are no burden hours to report in this ICR. the OCS, if the lessee’s estimated transportation allowance exceeds All burden hours associated with Form MMS– the allowance based on actual costs, the lessee must submit a cor- 2014 are included in OMB Control Number rected Form MMS–2014 to reflect actual costs, together with its pay- 1010–0140 (Form MMS–2014), expires 10/31/ ments, in accordance with instructions provided by MMS. * * *. 2006. 206.157(f)(1) ...... 206.157(f) Allowable costs in determining transportation allowances. There are no burden hours to report in this ICR. * * * (1) Firm demand charges paid to pipelines. * * * if you re- All burden hours associated with Form MMS– ceive a payment or credit from the pipeline for penalty refunds, rate 2014 are included in OMB Control Number case refunds, or other reasons, you must reduce the firm demand 1010–0140 (Form MMS–2014), expires 10/31/ charge claimed on the Form MMS–2014 by the amount of that pay- 2006. ment. You must modify Form MMS–2014 by the amount received or credited for the affected reporting period and pay any resulting roy- alty and late payment interest due; * * *.
§ 206.158 Processing allowances—general.
206.158(c)(3) ...... 206.158(c)(3) Upon request of a lessee, MMS may approve a proc- 4.25 17 72.25 essing allowance in excess of the limitation prescribed by paragraph (c)(2) of this section. * * * An application for exception (using Form MMS–4393, Request to Exceed Regulatory Allowance Limitation) shall contain all relevant and supporting documentation for MMS to make a determination. * * *.
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RESPONDENTS’ ESTIMATED ANNUAL BURDEN HOURS—Continued
Average num- Citation 30 CFR Reporting and recordkeeping requirement Hour burden ber of annual Annual burden 206 responses hours
206.158(d)(2)(i) ...... 206.158(d)(2)(i) If the lessee incurs extraordinary costs for processing 9.5 2 19 gas production from a gas production operation, it may apply to MMS for an allowance for those costs * * *.
206.158(d)(2)(ii) ..... 206.158(d)(2)(ii) * * * to retain the authority to deduct the allowance There are no burden hours to report in this ICR. the lessee must report the deduction to MMS in a form and manner All burden hours associated with Form MMS– prescribed by MMS. 2014 are included in OMB Control Number 1010–0140 (Form MMS–2014), expires 10/31/ 2006.
§ 206.159 Determination of processing allowances.
206.159(a)(1)(i) ...... 206.159(a) Arm’s-length processing contracts. (1)(i) * * * The lessee PRODUCE RECORDS—The ORA determined shall have the burden of demonstrating that its contract is arm’s- that the audit process is not covered by the length. * * *. PRA because MMS staff asks non-standard questions to resolve exceptions. 206.159(a)(1)(i) ...... 206.159(a)(1)(i) * * * The lessee must claim a transportation allow- There are no burden hours to report in this ICR. ance by reporting it on a separate line entry on the Form MMS– All burden hours associated with Form MMS– 2014. 2014 are included in OMB Control Number 1010–0140. (Form MMS–2014), expires 10/31/ 2006. 206.159(a)(1)(iii) .... 206.159(a)(1)(iii) * * * When MMS determines that the value of the PRODUCE RECORDS—The ORA determined processing may be unreasonable, MMS will notify the lessee and that the audit process is not covered by the give the lessee an opportunity to provide written information justi- PRA because MMS staff asks non-standard fying the lessee’s processing costs. questions to resolve exceptions.
206.159(a)(3) ...... 206.159(a)(3) If an arm’s-length processing contract includes more 330 1 330 than one gas plant product and the processing costs attributable to each product cannot be determined from the contract, the lessee shall propose an allocation procedure to MMS. * * * The lessee shall submit all relevant data to support its proposal. * * *.
206.159(b)(1) ...... 206.159(b) Non-arm’s-length or no contract. (1) * * * The lessee must There are no burden hours to report in this ICR. claim a processing allowance by reflecting it as a separate line entry All burden hours associated with Form MMS– on the Form MMS–2014. * * *. 2014 are included in OMB Control Number 1010–0140 (Form MMS–2014), expires 10/31/ 2006.
206.159(b)(2)(iv) .... 206.159(b)(2)(iv) * * * When a lessee has elected to use either meth- 100 1 100 od for a processing plant, the lessee may not later elect to change to the alternative without approval of the MMS. 206.159(b)(2)(iv)(A) 206.159(b)(2)(iv)(A) * * * After an election is made, the lessee may not change methods without MMS approval. * * *.
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RESPONDENTS’ ESTIMATED ANNUAL BURDEN HOURS—Continued
Average num- Citation 30 CFR Reporting and recordkeeping requirement Hour burden ber of annual Annual burden 206 responses hours
206.159(b)(4) ...... 206.159(b)(4) A lessee may apply to MMS for an exception from the 100 1 100 requirements that it compute actual costs in accordance with para- graphs (b)(1) through (b)(3) of this section. * * *. 206.159(c)(1)(i) ...... 206.159(c) Reporting requirements—(1) Arm’s-length contracts. (i) The There are no burden hours to report in this ICR. lessee must notify MMS of an allowance based on incurred costs by All burden hours associated with Form MMS– using a separate line entry on the Form MMS–2014. 2014 are included in OMB Control Number 1010–0140 (Form MMS–2014), expires 10/31/ 2006. 206.159(c)(1)(ii) ..... 206.159(c)(1)(ii) The MMS may require that a lessee submit arm’s- PRODUCE RECORDS—The ORA determined length processing contracts and related documents.* * *. that the audit process is not covered by the PRA because MMS staff asks non-standard questions to resolve exceptions. 206.159(c)(2)(i) ...... 206.159(c)(2) Non-arm’s-length or no contract. (i) The lessee must no- There are no burden hours to report in this ICR. tify MMS of an allowance based on incurred costs by using a sepa- All burden hours associated with Form MMS– rate line entry on the Form MMS–2014. 2014 are included in OMB Control Number 1010–0140 (Form MMS–2014), expires 10/31/ 2006. 206.159(c)(2)(iii) .... 206.159(c)(2)(iii) Upon request by MMS, the lessee shall submit all PRODUCE RECORDS—The ORA determined data used to prepare the allowance deduction. * * *. that the audit process is not covered by the PRA because MMS staff asks non-standard questions to resolve exceptions. 206.159(e)(2) ...... 206.159(e) Adjustments. (2) For lessees processing production from There are no burden hours to report in this ICR. onshore Federal leases, the lessee must submit a corrected Form All burden hours associated with Form MMS– MMS–2014 to reflect actual costs, together with any payment, in ac- 2014 are included in OMB Control Number cordance with instructions provided by MMS. 1010–0140 (Form MMS–2014), expires 10/31/ 2006. 206.159(e)(3) ...... 206.159(e)(3) For lessees processing gas production from leases on There are no burden hours to report in this ICR. the OCS, if the lessee’s estimated processing allowance exceeds All burden hours associated with Form MMS– the allowance based on actual costs, the lessee must submit a cor- 2014 are included in OMB Control Number rected Form MMS–2014 to reflect actual costs, together with its pay- 1010–0140 (Form MMS–2014), expires 10/31/ ment, in accordance with instructions provided by MMS. * * *. 2006.
Total ...... 109 21,815
Estimated Annual Reporting and automated collection techniques or information collection; (iii) for reasons Recordkeeping ‘‘Non-hour Cost’’ other forms of information technology. other than to provide information or Burden: We have identified no ‘‘non- The PRA also requires agencies to keep records for the Government; or (iv) hour’’ cost burdens. estimate the total annual reporting as part of customary and usual business Public Disclosure Statement: The PRA ‘‘non-hour cost’’ burden to respondents or private practices. (44 U.S.C. 3501 et seq.) provides that an or recordkeepers resulting from the We will summarize written responses agency may not conduct or sponsor, and collection of information. We have not to this notice and address them in our a person is not required to respond to, identified non-hour cost burdens for ICR submission for OMB approval, a collection of information unless it this information collection. If you have including appropriate adjustments to displays a currently valid OMB control costs to generate, maintain, and disclose the estimated burden. We will provide number. this information, you should comment a copy of the ICR to you without charge Comments: Before submitting an ICR and provide your total capital and upon request. The ICR also will be to OMB, PRA Section 3506(c)(2)(A) startup cost components or annual posted on our Web site at http:// requires each agency ‘‘* * * to provide operation, maintenance, and purchase www.mrm.mms.gov/Laws_R_D/ notice * * * and otherwise consult of service components. You should FRNotices/FRInfColl.htm. with members of the public and affected describe the methods you use to Public Comment Policy: We will post agencies concerning each proposed estimate major cost factors, including all comments in response to this notice collection of information * * *.’’ system and technology acquisition, on our Web site at http:// Agencies must specifically solicit expected useful life of capital www.mrm.mms.gov/Laws_R_D/ comments to: (a) Evaluate whether the equipment, discount rate(s), and the FRNotices/FRInfColl.htm. We also will proposed collection of information is period over which you incur costs. make copies of the comments available necessary for the agency to perform its Capital and startup costs include, for public review, including names and duties, including whether the among other items, computers and addresses of respondents, during regular information is useful; (b) evaluate the software you purchase to prepare for business hours at our offices in accuracy of the agency’s estimate of the collecting information; monitoring, Lakewood, Colorado. Upon request, we burden of the proposed collection of sampling, and testing equipment; and will withhold an individual information; (c) enhance the quality, record storage facilities. Generally, your respondent’s home address from the usefulness, and clarity of the estimates should not include equipment public record, as allowable by law. information to be collected; and (d) or services purchased: (i) Before October There also may be circumstances in minimize the burden on the 1, 1995; (ii) to comply with which we would withhold from the respondents, including the use of requirements not associated with the rulemaking record a respondent’s
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identity, as allowable by law. If you Project Act of 1939 and the rules and time limits set forth in the advance request that we withhold your name regulations published in 52 FR 11954, public notices. and/or address, state your request April 13, 1987 (43 CFR 426.22), 5. All written comments received and prominently at the beginning of your Reclamation will publish notice of testimony presented at any public comment. However, we will not proposed or amendatory contract hearings will be reviewed and consider anonymous comments. We actions for any contract for the delivery summarized by the appropriate regional will make all submissions from of project water for authorized uses in office for use by the contract approving organizations or businesses, and from newspapers of general circulation in the authority. individuals identifying themselves as affected area at least 60 days prior to 6. Copies of specific proposed representatives or officials of contract execution. Announcements contracts may be obtained from the organizations or businesses, available may be in the form of news releases, appropriate regional director or his for public inspection in their entirety. legal notices, official letters, designated public contact as they MMS Information Collection memorandums, or other forms of become available for review and Clearance Officer: Arlene Bajusz (202) written material. Meetings, workshops, comment. 208–7744. and/or hearings may also be used, as 7. In the event modifications are made Dated: July 14, 2005. appropriate, to provide local publicity. in the form of a proposed contract, the Richard Adamski, The public participation procedures do appropriate regional director shall determine whether republication of the Acting Associate Director for Minerals not apply to proposed contracts for the Revenue Management. sale of surplus or interim irrigation notice and/or extension of the comment water for a term of 1 year or less. Either period is necessary. [FR Doc. 05–14528 Filed 7–21–05; 8:45 am] Factors considered in making such a BILLING CODE 4310–MR–P of the contracting parties may invite the public to observe contract proceedings. determination shall include, but are not All public participation procedures will limited to (i) the significance of the DEPARTMENT OF THE INTERIOR be coordinated with those involved in modification, and (ii) the degree of complying with the National public interest which has been Bureau of Reclamation Environmental Policy Act. Pursuant to expressed over the course of the the ‘‘Final Revised Public Participation negotiations. At a minimum, the Quarterly Status Report of Water Procedures’’ for water resource-related regional director shall furnish revised Service, Repayment, and Other Water- contract negotiations, published in 47 contracts to all parties who requested Related Contract Negotiations FR 7763, February 22, 1982, a tabulation the contract in response to the initial public notice. AGENCY: Bureau of Reclamation, is provided of all proposed contractual actions in each of the five Reclamation The March 10, 2005, notice should be Interior. used as a reference point to identify ACTION: Notice. regions. When contract negotiations are completed, and prior to execution, each changes. The numbering system in this SUMMARY: Notice is hereby given of proposed contract form must be notice corresponds with the numbering contractual actions that have been approved by the Secretary of the system in the March 10, 2005, notice. proposed to the Bureau of Reclamation Interior, or pursuant to delegated or Definitions of Abbreviations Used in This (Reclamation) and are new, modified, redelegated authority, the Commissioner Document discontinued, or completed since the of Reclamation or one of the regional BCP—Boulder Canyon Project last publication of this notice on April directors. In some instances, Reclamation—Bureau of Reclamation 19, 2005. This notice is one of a variety congressional review and approval of a CAP—Central Arizona Project of means used to inform the public report, water rate, or other terms and CVP—Central Valley Project about proposed contractual actions for conditions of the contract may be CRSP—Colorado River Storage Project capital recovery and management of FR—Federal Register involved. IDD—Irrigation and Drainage District project resources and facilities Public participation in and receipt of ID—Irrigation District consistent with section 9(f) of the comments on contract proposals will be M&I—Municipal and Industrial Reclamation Project Act of 1939. facilitated by adherence to the following NMISC—New Mexico Interstate Stream Additional announcements of procedures: Commission individual contract actions may be 1. Only persons authorized to act on O&M—Operation and Maintenance published in the Federal Register and in behalf of the contracting entities may P–SMBP—Pick-Sloan Missouri Basin Program newspapers of general circulation in the negotiate the terms and conditions of a areas determined by Reclamation to be PPR—Present Perfected Right specific contract proposal. SOD—Safety of Dams affected by the proposed action. 2. Advance notice of meetings or SRPA—Small Reclamation Projects Act of ADDRESSES: The identity of the hearings will be furnished to those 1956 approving officer and other information parties that have made a timely written WD—Water District pertaining to a specific contract request for such notice to the Pacific Northwest Region: Bureau of proposal may be obtained by calling or appropriate regional or project office of Reclamation, 1150 North Curtis Road, writing the appropriate regional office at Reclamation. Suite 100, Boise, Idaho 83706–1234, the address and telephone number given 3. Written correspondence regarding telephone (208) 378–5344. for each region in the SUPPLEMENTARY proposed contracts may be made The Pacific Northwest Region has no INFORMATION section. available to the general public pursuant updates to report for this quarter. Please FOR FURTHER INFORMATION CONTACT: to the terms and procedures of the refer to the March 10, 2005, publication Sandra L. Simons, Manager, Contract Freedom of Information Act, as of this notice for current contract Services Office, Bureau of Reclamation, amended. actions. P.O. Box 25007, Denver, Colorado 4. Written comments on a proposed Mid-Pacific Region: Bureau of 80225–0007; telephone (303) 445–2902. contract or contract action must be Reclamation, 2800 Cottage Way, SUPPLEMENTARY INFORMATION: Consistent submitted to the appropriate regional Sacramento, California 95825–1898, with section 9(f) of the Reclamation officials at the locations and within the telephone (916) 978–5250.
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New contract actions: Affairs; Delta Division, CVP; California: Creek Reservoir and Ditch Company and 39. Mercy Springs WD, CVP, Renewal of the long-term water service the Collbran Conservancy District have California: Proposed partial assignment contract for up to 850 acre-feet. Contract requested a nonproject irrigation of 2,825 acre-feet of Mercy Springs WD’s executed February 28, 2005. Wheeling carriage contract (40-year) to have 3 cfs, CVP supply to San Luis WD for agreement for conveyance through the not to exceed 1,000 acre-feet annually, irrigation and M&I use. California State Aqueduct is pending. of their direct flow irrigation water 40. Oro Loma WD, CVP, California: 34. Plain View WD, CVP, California: rights diverted into and delivered Proposed partial assignment of 4,000 Reorganization and proposed full through the existing Southside Canal, a acre-feet of Oro Loma WD’s CVP supply contract assignment of Plain View WD’s feature of Collbran Project delivery to Westlands WD for irrigation and M&I CVP supply to Byron-Bethany ID. structures. Contract was executed on use. Contract was executed on March 14, May 26, 2005. 41. San Luis WD, CVP, California: 2005. 22. Central Utah Water Conservancy Proposed partial assignment of 2,400 Lower Colorado Region: Bureau of District, Bonneville Unit, Central Utah acre-feet of San Luis WD’s CVP supply Reclamation, P.O. Box 61470 (Nevada Project, Utah: Negotiate a repayment to Santa Nella County WD for M&I use. Highway and Park Street), Boulder City, contract for 60,000 acre-feet per year of 42. Placer County Water Agency, CVP, Nevada 89006–1470, telephone (702) M&I water from the Utah Lake System. California: Proposed exchange 293–8081. Contract was executed on March 15, agreement under Section 14 of the Completed contract action: 2005. Reclamation Project Act of 1939 of up 24. Town of Palisade, Palisade ID, to 74,000 acre-feet. 41. Golden Shores Water Mesa County ID, Reclamation, and the Conservation District, BCP, Arizona: Modified contract actions: U.S. Fish and Wildlife Service; CRSP: Amend the district’s contract to include The Colorado River is critical habitat for 9. El Dorado ID, CVP, California: the water allocation for Topock Village Execution of long-term Warren Act four endangered fish species. These Estates within the district’s boundaries. agencies are entering into an agreement contracts for conveyance of nonproject Upper Colorado Region: Bureau of water (one contract for Weber Reservoir for each to provide the following: Reclamation, 125 South State Street, Reclamation shall provide cost-share and pre-1914 ‘‘ditch’’ rights in the Room 6107, Salt Lake City, Utah 84138– amount of 3,344 acre-feet, and one funding for the recovery monitoring and 1102, telephone (801) 524–3864. research, and O&M (October 30, 2000, contract for Project 184 in the amount 114 Stat. 1602, Pub. L. 106–392); the of 11,000 acre-feet). The contracts will Modified contract actions: districts are willing to allow the U.S. allow CVP facilities to be used to deliver 6. Sanpete County Water Conservancy Fish and Wildlife Service and nonproject water to El Dorado ID for use District, Narrows Project, Utah: Reclamation to construct the fish within its service area. Application for a SRPA loan and grant 22. City of Vallejo, Solano Project, to construct a dam, reservoir, and passage; and the Town of Palisade California: Execution of long-term pipeline to annually supply proposes to provide related safety Warren Act contract for conveyance of approximately 5,000 acre-feet of water features on or near the fish passage. Contract was executed on May 3, 2005. nonproject water. This contract will through a transmountain diversion from 26. Reclamation, U.S. Fish and allow Solano Project facilities to deliver upper Gooseberry Creek in the Price Wildlife Service, and the Colorado River nonproject water to the City of Vallejo River drainage (Colorado River Basin) to the San Pitch—Sevier River (Great Water Conservation District; Recovery for use within its service area. Implementation Program for 23. Sacramento Suburban WD, CVP, Basin). Endangered Fish Species in the Upper California: Execution of long-term 31. Central Utah Project, Utah. Colorado River Basin: Reclamation will Warren Act contract for conveyance of Petition for project water among the provide cost-share funding for nonproject water. This contract will United States, the Central Utah Water enlargement of Elkhead Reservoir allow CVP facilities to be used to deliver Conservancy District, and the Duchesne (October 30, 2000, 114 Stat. 1602, Pub. nonproject water provided from the County Water Conservancy District for L. 106–392) in a separate grant use of 2,500 acre-feet of irrigation water Placer County Water Agency to the agreement. Contract was executed on from the Bonneville Unit of the Central Sacramento Suburban WD for use February 15, 2005. within its service area. Utah Project. Great Plains Region: Bureau of 26. San Joaquin Valley National Completed contract actions: Reclamation, P.O. Box 36900, Federal Cemetery, U.S. Department of Veteran 1.(a) Ron Connell, Aspinall Storage Building, 316 North 26th Street, Affairs; Delta Division, CVP; California: Unit, CRSP: Mr. Connell has requested Billings, Montana 59107–6900, Renewal of the long-term water service a 40-year water service contract for 6 telephone (406) 247–7752. contract for up to 850 acre-feet. Contract acre-feet of water out of Blue Mesa New contract actions: executed February 28, 2005. Wheeling Reservoir. Mr. Connell has submitted an agreement for conveyance through the 51. Bostwick ID; Superior-Courtland augmentation plan to Water District 4, and Franklin Units, Bostwick Division, California State Aqueduct is pending. Case No. 04CW168. Contract was 31. Delta Lands Reclamation District P–SMBP; Red Cloud, Nebraska: The executed on February 2, 2005. No. 770, CVP, California: Long-term district requested a deferment of its 1.(c) Dry West Nursery, Aspinall Warren Act contract for conveying 2005 construction obligations in Storage Unit, CRSP: Dry West Nursery nonproject flood flows. accordance with the Act of September has requested a 40-year water service 21, 1959. Discontinued contract Action: contract for 3 acre-feet of water out of 52. Kirwin ID No. 1; Kirwin Unit, 15. Plain View WD, CVP, California: Blue Mesa Reservoir. Dry West Nursery Solomon Division, P–SMBP; Gaylord, Long-term Warren Act contract for has submitted their augmentation plan Kansas: The district requested a conveyance of nonproject water in the to Water District 4, Case No. 04CW174. deferment of its 2005 construction Delta-Mendota Canal. Contract was executed on March 2, obligations in accordance with the Act Completed contract actions: 2005. of September 21, 1959. 26. San Joaquin Valley National 21. Coon Creek Reservoir and Ditch 53. Webster ID; Webster Unit, Cemetery, U.S. Department of Veteran Company, Collbran Project: The Coon Solomon Division, P–SMBP; Gaylord,
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Kansas: The district requested a new 40-year repayment contract was ADDRESSES: Written comments (no deferment of its 2005 construction executed on March 4, 2005. emails or faxes) must be addressed to: obligations in accordance with the Act Dated: June 15, 2005. Mr. Daniel Borunda, Environmental of September 21, 1959. Roseann Gonzales, Protection Specialist, Compliance 54. Ainsworth ID; Ainsworth Unit, Section, USIBWC, 4171 North Mesa Sandhills Division, P–SMBP; Director, Office of Program and Policy Services. Street, C–100, El Paso, Texas 79902. A Ainsworth, Nebraska: Contract renewal copy of the FSEIS is available at [FR Doc. 05–14488 Filed 7–21–05; 8:45 am] for a long-term water service contract. http://www.ibwc.state.gov and in local 55. Pueblo West Metropolitan District, BILLING CODE 4310–MN–P public libraries in the San Diego area. A Fryingpan-Arkansas Project, Colorado: limited number of copies will be Consideration of a request for a long- available, if you wish to obtain a copy term contract for the use of excess INTERNATIONAL BOUNDARY AND contact Mr. Daniel Borunda at the capacity in the Fryingpan-Arkansas WATER COMMISSION, UNITED address above. Project. STATES AND MEXICO FOR FURTHER INFORMATION CONTACT: Mr. 56. Mark H. Allredge, H.S. Properties Daniel Borunda, Environmental LLC (Individual); Boysen Unit, P– United States Section; Notice of Protection Specialist, USIBWC, at (915) SMBP; Wyoming: Renewal of long-term Availability (NOA) of the Final 832–4701, by fax at (915) 832–4167, or water service contract for up to 84 acre- Supplemental Environmental Impact by mail at the above address. feet of supplemental irrigation water to Statement (FSEIS) for Clean Water Act SUPPLEMENTARY INFORMATION: Pursuant serve 84 acres. (CWA) compliance at the South Bay 57. Western Heart River ID, P–SMBP, to Section 102(2)(c) of the National International Wastewater Treatment Environmental Policy Act of 1969, as North Dakota: Amend existing power Plant (SBIWTP), San Diego County, CA contract to allow for the installation of amended, the USIBWC has analyzed the impacts of alternatives for the SBIWTP an additional pump site and to provide AGENCY: United States Section, project use power to that site. to achieve compliance with the CWA International Boundary and Water and its NPDES permit. This action is Modified contract actions: Commission (USIBWC). needed because the SBIWTP currently 46. Buford-Trenton ID, Buford- ACTION: Notice of availability. operates and discharges only at the Trenton Project, North Dakota: Amend advanced primary level and cannot existing power contract to provide for SUMMARY: This announces the meet all the requirements of the CWA increase in project use pumping power availability of the FSEIS that assesses and its NPDES permit, including rate of delivery and enter new the potential environmental impacts of secondary treatment requirements. repayment and power contract for the construction and operation of a This DSEIS also evaluated new additional project use pumping power range of treatment and disposal information on the current discharges of for project purposes in irrigating bench alternatives for the SBIWTP to achieve advanced primary effluent from the lands existing within the district. compliance with the CWA and the SBIWTP through the SBOO, as well as 47. East Bench ID; East Bench Unit, requirements contained in its National potential treatment and disposal options P–SMBP; Montana: The district Pollutant Discharge Elimination System in Mexico, to achieve compliance with requested a deferment of its 2005 (NPDES) permit. Situated in the United the CWA and its NPDES permit. construction obligation. A request is States at the United States/Mexico The No Action Alternative and six being prepared to amend Contract No. border, the SBIWTP treats sewage flows action alternatives were evaluated in the 14–06–600–3593 to defer payments in originating from the City of Tijuana, DSEIS. The six action alternatives were accordance with the Act of September Mexico and the surrounding region and developed in a manner that would 21, 1959. discharges the treated effluent into the enable wastewater flows to be treated in 49. Frenchman Valley ID; Frenchman Pacific Ocean through an ocean outfall. compliance with the CWA and the Unit, Frenchman-Cambridge Division, In December 2004, the USIBWC SBIWTP NPDES permit. Formulation of P–SMBP; Culbertson, Nebraska: The published a Draft SEIS (DSEIS) for this the alternatives was the result of a district requested a deferment of its action which considered existing and process that included public 2005 construction obligation in new alternatives that would enable the consultation involving the public, accordance with the Act of September USIBWC to bring the SBIWTP into regulatory agencies and environmental 21, 1959. compliance with the CWA and the organizations. 50. Kansas-Bostwick ID No. 2; requirements contained in its NPDES This DSEIS evaluated the following Courtland Unit, Bostwick Division, P– permit and to evaluate new information seven alternatives: SMBP; Courtland, Kansas: The district on the current discharges of advanced 1. Alternative 1: No Action (Continue requested a deferment of its 2005 primary effluent from the SBIWTP operation of SBIWTP as Advanced construction obligations in accordance through the South Bay Ocean Outfall Primary Facility). with the Act of September 21, 1959. (SBOO), as well as potential interim • Option A: With No Future Completed contract actions: actions that would continue operations Improvements to Mexico’s Existing 12. Western Heart River ID; Heart of the SBIWTP until the SBIWTP Conveyance Facilities. Butte Unit, P–SMBP; North Dakota: achieves CWA compliance. The United • Option B: With Future Negotiation of water service contract to States Environmental Protection Agency Improvements to Mexico’s Existing continue delivery of project water to the (USEPA), Region 9, San Francisco, Conveyance Facilities. district. A new 40-year water service California, is a Cooperating Agency for 2. Alternative 2: Operate SBIWTP as contract was executed on May 2, 2005. this action. Advanced Primary Facility With 15. Morkrid Enterprises, Inc.; Lower DATES: Written comments are requested Treated Flows Conveyed To Mexico for Marias Unit, P–SMBP; Montana: by August 24, 2005. The public Discharge. Initiating a long-term contract for up to comment period of the FSEIS will end 3. Alternative 3: Operate SBIWTP 3,751 acre-feet of storage water from 30 days after publication of the NOA in with City of San Diego Connections Tiber Reservoir to irrigate 1,875 acres. A the Federal Register. (Interim Alternative Only).
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4. Alternative 4: Implementation of since the SBIWTP started discharging Dated: July 14, 2005. Public Law 106–457, Secondary through the SBOO in 1999. Susan E. Daniel, Treatment Facility in Mexico. After the release of the May 1994 General Counsel. • Treatment Option A: Operation of Final EIS and ROD and the 1996 [FR Doc. 05–14364 Filed 7–21–05; 8:45 am] SBIWTP as Advanced Primary Facility, decision regarding interim operation, BILLING CODE 4710–03–P Secondary Treatment in Mexico. • significant additional information Treatment Option B: Cease became available and changed Operation of SBIWTP, Secondary circumstances warranted reconsidering INTERNATIONAL TRADE Treatment in Mexico. • the best means to complete the SBIWTP COMMISSION Treatment Option C: Bajagua secondary treatment facilities. The Project, LLC Proposal—Operation of USIBWC and USEPA decided to prepare [Inv. Nos. 701–TA–355 and 731–TA–659– 660] SBIWTP as Advanced Primary Facility, a Supplemental EIS to examine new Secondary Treatment in Mexico. information as a settlement to a lawsuit • Discharge Option I: Treated Effluent Grain-Oriented Silicon Electrical Steel that challenged the 1994 Final EIS. Discharged in United States via SBOO. From Italy and Japan, Notice and • Discharge Option II: Treated In January 1998, the USIBWC and the Scheduling of Third Remand Effluent Discharged in Mexico at Punta USEPA issued the Draft Long Term Proceeding Bandera. Treatment Options Supplemental EIS to AGENCY: U.S. International Trade 5. Alternative 5: Secondary Treatment re-evaluate the SBIWTP secondary Commission. in the United States at SBIWTP. treatment options. In October 1998, the • Treatment Option A: Completely agencies issued a supplement to the ACTION: Notice. 1996 Interim Operation Supplemental Mixed Aeration (CMA) Ponds at SUMMARY: EIS that addressed impacts of the The U.S. International Trade SBIWTP. Commission (‘‘the Commission’’) hereby • Treatment Options B–1 and B–2: advanced primary treatment. This gives notice of proceedings in the Activated Sludge Secondary Treatment supplement disclosed new information remand investigation ordered by the at SBIWTP. about the presence of dioxins and acute United States Court of International 6. Alternative 6: Secondary Treatment toxicity in the advanced primary Trade in Grain-Oriented Silicon in the U. S. and in Mexico. discharge. This new information was 7. Alternative 7: SBIWTP Closure/ incorporated into the Final Long Term Electrical Steel from Italy and Japan, Shutdown. Treatment Options Supplemental EIS Invs. Nos. 701–TA–355 and 731–TA– Background: The original Draft EIS for released in March 1999. 659–660. FOR FURTHER INFORMATION CONTACT: the SBIWTP project (1991) proposed the In the 1999 ROD for the Long Term Douglas Corkran, Office of construction of a facility in San Diego to Treatment Options Supplemental EIS, Investigations, telephone 202–205–2057 achieve secondary treatment using an the USEPA and the USIBWC selected or Gracemary R. Roth-Roffy, Esq., Office activated sludge technology. Based on a the CMA pond system at the Hofer of the General Counsel, telephone (202) 1994 Final EIS and Record of Decision property as the long-term option for 205–3117, U.S. International Trade (ROD), the USIBWC and the USEPA secondary treating 25 mgd of Commission, 500 E Street, SW., approved the construction of the wastewater at the SBIWTP. However, Washington, DC 20436. Hearing- SBIWTP and the connecting SBOO. The Congress did not fund the construction impaired persons are advised that SBIWTP is on a 75-acre site in south of these secondary treatment facilities information on this matter can be San Diego County, California, just west and the plant has continued to provide obtained by contacting the of San Ysidro near the intersection of advanced primary treatment only. Dairy Mart and Monument roads. Commission’s TODD terminal on (202) The specific purpose of the current Treated effluent is discharged to the 205–1810. The public record for this analysis is to determine the Pacific Ocean through the SBOO, a 4.5- investigation may be viewed on the environmental impacts of the mile long piping system completed in Commission’s electronic docket (EDIS) alternatives that could accomplish January 1999. This outfall extends about at www.http://edis.usitc.gov. General compliance with the CWA and the 3.5 miles offshore. information concerning the Commission SBIWTP NPDES permit. Pursuant to the completion of an may also be obtained by accessing its Interim Operations Supplemental EIS in A Notice of Availability of the DSEIS Internet server (http://www.usitc.gov). 1996, the USIBWC and USEPA decided was published in the Federal Register SUPPLEMENTARY INFORMATION: to operate the SBIWTP as an advanced on December 30, 2004. A public hearing primary treatment facility before to present the findings of the DSEIS was Background completion of the necessary secondary held on February 2, 2005, in San Diego, On February 23, 2001, the facilities. This decision would expedite California. The USIBWC has taken Commission determined that revocation the treatment of up to 25 mgd of public comments on the December 2004 of the countervailing duty order on untreated sewage from Tijuana that DSEIS into consideration and made grain-oriented electrical steel (‘‘GOES’’) would otherwise have continued to clarifications and corrections as from Italy would be likely to lead to pollute the Tijuana River and Estuary, contained in the FSEIS. The USIBWC continuation or recurrence of material as well as coastal waters in the United has identified Alternative 4, Treatment injury to an industry in the United Sates States. Option C with Discharge Option I, as the within a reasonably foreseeable time. Before the SBOO was completed in preferred alternative. The Commission also determined that 1999, advanced primary treated effluent A copy of the FSEIS has been filed revocation of the antidumping duty was discharged through an emergency with the USEPA in accordance with 40 orders on GOES from Italy and Japan connection to the City of San Diego CFR parts 1500 through 1508 and would be likely to lead to the Point Loma Wastewater Treatment USIBWC procedures. Written comments continuation or recurrence of material Plant. The emergency connection was concerning the FSEIS will be accepted injury to an industry in the United used daily in the late 1980s and 1990s, at the address above until August 24, States within a reasonably foreseeable but it has not been used in this manner 2005. time. Grain-Oriented Silicon Electrical
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Steel from Italy and Japan, Invs. Nos. adverse impact determinations to the rules. The Commission rules do not 701–TA–355 and 731–TA–659–660 Commission with an order to take authorize filing submissions with the (Review) USITC Pub. 3396 (February further action consistent with its Secretary by facsimile or electronic 2001). The Commission’s instructions. The Commission is means, except to the extent permitted by determinations were appealed to the directed to issue its remand section 201.8 of the Commission’s rules, U.S. Court of International Trade determination within 90 days of the as amended, 67 FR 68036 (Nov. 8, (‘‘Court’’). On December 24, 2002, the issuance of the Court’s decision i.e., by 2002). Court remanded the Commission’s September 13, 2005. In accordance with sections 201.16(c) determinations on the grounds that the and 207.3 of the Commission’s rules, Reopening the Record Commission did not apply the correct each document filed by a party to the ‘‘likely’’ standard; that the Commission In order to assist it in making its investigations must be served on all failed to specifically discuss each of the determination on third remand, the other parties to the investigations (as four factors outline in 19 U.S.C Commission is reopening the record in identified by either the public or 1675a(a)(2)(A)–(D); and that the this investigation to seek additional updated BPI service list), and a Commission failed to discuss whether information with respect to certain of certificate of service must be timely the likely volume of imports of subject the instructions provided by the Court. filed. The Secretary will not accept a merchandise would be significant in Participation in the Remand document for filing without a certificate absolute terms or relative to U.S. Proceedings of service. production and consumption, pursuant Parties are also advised to consult the to 19 U.S.C. 1675a(a)a92). Nippon Steel Only those interested parties who Commission’s Rules of Practice and Crop., et al. v United States, Slip Op 02– were parties to the original Procedure, part 201, subparts A through 153 (December 24, 2002). investigations (i.e., persons listed on the E (19 CFR part 201), and part 207, On first remand, the Commission Commission Secretary’s service list) subpart A (19 CFR part 207) for again found that revocation of the may participate in this remand provisions of general applicability countervailing duty order on GOES from proceeding. No additional filings with concerning written submissions to the Italy, and the antidumping duty orders the Commission will be necessary for Commission. on GOES from Italy and Japan would be these parties to participate in the remand proceeding. Business Authority: This action is taken under the likely to lead to a continuation or authority of the Tariff Act of 1930, title VII. recurrence of material injury to an proprietary information (BPI) obtained industry in the United States within a during the remand proceeding will be Issued: July 18, 2005. reasonably foreseeable time. Grain- governed, as appropriate, by the By order of the Commission. Oriented Silicon Electrical Steel from administrative protective order (APO) Marilyn R. Abbott, Italy and Japan, Invs. Nos. 701–TA–355 issued in the original investigations. Secretary to the Commission. and 731–TA–659–660 (Remand) (Parties who participated in the original [FR Doc. 05–14483 Filed 7–21–05; 8:45 am] (Review), USITC Pub. 3585 (March investigation, if no longer covered by BILLING CODE 7020–02–M 2003). On December 17, 2003, the Court the APO, are directed to contact the issued an opinion remanding the Commission Secretary.) Commission’s first remand Written Submissions INTERNATIONAL TRADE determination. Nippon Steel Crop., et al, COMMISSION v. United States, 301 F. Supp 1355 (CIT Information obtained during the remand investigation will be released to [Inv. Nos. 701–TA–430B– and 731–TA– 2003). Specifically, the Court remanded 1019B] the Commission’s no discernible the parties under the administrative adverse impact, cumulation, likely protective order (‘‘APO’’) issued in the Hard Red Spring Wheat From Canada; volume, likely price and likely impact original investigations on or about July Notice of Revised Schedule for findings for reconsideration. 28, 2005. The third remand staff report Remand Proceeding On second remand, the Commission will be placed in the nonpublic record found that revocation of the on August 8, 2005, and a public version AGENCY: U.S. International Trade countervailing duty order on GOES from will be issued thereafter, pursuant to Commission. Italy, and the antidumping duty orders section 207.22 of the Commission’s ACTION: Notice. on GOES from Italy and Japan, would be rules. Parties that are participating in likely to lead to a continuation or the remand proceedings may file SUMMARY: The U.S. International Trade recurrence of material injury to an comments on or before August 15, 2005 Commission (the Commission) hereby industry in the United States within a with respect to how the record, as gives notice of a revised schedule for the reasonably foreseeable time. Grain- supplemented, bears on the issues proceedings in the remand investigation Oriented Silicon Electrical Steel from presented by the panel’s remand ordered by a binational panel Italy and Japan, Inv. Nos. 701–TA–355 instructions. established under Article 1904 of the and 731–TA–659–660 (Review) No additional factual information may North American Free trade Agreement (Remand), USITC Pub. 3650 (Mar. be included in such comments. (NAFTA) in Hard Red Spring Wheat 2004). Comments shall not exceed 20 pages of from Canada, Inv. Nos. 701–TA–430B On June 15, 2005, the Court issued an textual material, double-spaced and and 731–TA–1019B (Final). opinion affirming in part and remanding single-sided, on stationery measuring FOR FURTHER INFORMATION CONTACT: in part, the Commission’s affirmative 81⁄2 × 11 inches. Christopher J. Cassise, Office of sunset determination on second remand All written submissions must conform Investigations, telephone 202–708–5408 Specifically, the court affirmed the withe provisions of section 201.8 of the or Michael Diehl, Esq., Office of the Commission’s determination with Commission’s rules; any submissions General Counsel, telephone (202) 205– respect to discernible adverse impact, that contain business proprietary 3095, U.S. International Trade cumulation, and likely price effects. information (BPI) must also conform Commission, 500 E Street, SW., However, the court remanded the with the requirements of sections 201.6, Washington, DC 20436. Hearing- commission’s likely volume and likely 207.3, and 207.7 of the Commission’s impaired persons are advised that
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information on this matter can be factual information may be included in INTERNATIONAL TRADE obtained by contacting the such comments. Comments shall not COMMISSION Commission’s TDD terminal on (202) exceed 30 pages of textual material, 205–1810. The public record for this double-spaced and single-sided, on Summary of Commission Practice investigation may be viewed on the stationery measuring 81⁄2 × inches. Relating to Administrative Protective Commission’s electronic docket (EDIS) Orders Parties that are participating in the at http://edis.usitc.gov. General information concerning the Commission remand proceedings may also file final AGENCY: U.S. International Trade may also be obtained by accessing its comments on or before September 2, Commission Internet server (http://www.usitc.gov). 2005. Final comments are limited to ACTION: Summary of Commission SUPPLEMENTARY INFORMATION: providing commentary on party practice relating to administrative comments filed by August 23, 2005 and protective orders. Background with respect to new information, if any, In October 2003, the Commission released on or after August 23, 2005. No SUMMARY: Since February 1991, the U.S. determined, by a two-to-two vote, that additional factual information may be International Trade Commission an industry in the United States was included in such final comments. Final (‘‘Commission’’) has issued an annual materially injured by reason of subject comments shall not exceed 15 pages of report on the status of its practice with imports of hard red spring wheat from textual material, double-spaced and respect to violations of its Canada. On June 7, 2005, a binational single-sided, on stationery measuring administrative protective orders panel formed under Article 1904 of the 81⁄2 × 11 inches. (‘‘APOs’’) in investigations under Title NAFTA issued a decision in its review VII of the Tariff Act of 1930 in response All written submissions must conform of the Commission’s determination. The to a direction contained in the with the provisions of section 201.8 of panel remanded the determination to Conference Report to the Customs and the Commission’s rules; any the Commission to issue its remand Trade Act of 1990. Over time, the determination within 90 days of the submissions that contain business Commission has added to its report issuance of the Panel’s decision, i.e., by proprietary information (BPI) must also discussions of APO breaches in September 6, 2005. conform with the requirements of Commission proceedings other than On July 6, 2005, the Commission sections 201.6, 207.3, and 207.7 of the under Title VII and violations of the published in the Federal Register (70 Commission’s rules. The Commission Commission’s rules including the rule FR 38981) a notice of the remand rules do not authorize filing on bracketing business proprietary proceeding, of the Commission’s submissions with the Secretary by information (‘‘BPI’’) (the ‘‘24-hour decision to reopen the administrative facsimile or electronic means, except to rule’’), 19 CFR 207.3(c). This notice record, and of the schedule for written the extend permitted by section 201.8 of provides a summary of investigations of submissions. the Commission’s rules, as amended, 67 breaches in proceedings under Title VII, On July 7, 2005, the Panel granted a FR 68036 (Nov. 8, 2002). section 421 of the Trade Act of 1974, as consent motion to extend the time In accordance with sections 201.16(c) amended, and section 337 of the Tariff period for filing the remand and 207.3 of the Commission’s rules, Act of 1930, as amended, completed determination by 30 days to October 5, during calendar year 2004. There were 2005. each document filed by a party to the investigations must be served on all no completed investigations of 24-hour rule violations during that period, but Participation in the Remand other parties to the investigations (as there were two violations of Proceedings identified by either the public or Commission rule 210.34(d), the updated BPI service list), and a Parties are referred to the requirement that APO signatories Commission’s July 6, 2005 notice with certificate of service must be timely inform the Commission in writing respect to participation in the remand filed. The Secretary will not accept a immediately upon learning that there proceedings. document for filing without a certificate has been a court order or discovery Revised Schedule for Written of service. request for confidential business Submissions Parties are also advised to consult the information (‘‘CBI’’) that has been Given the extension of time granted Commission’s Rules of Practice and released to signatories under an APO. by the Panel, the schedule for written Procedure, part 201, subparts A through The Commission intends that this report submissions is revised as follows. E (19 CFR part 201), and part 207, educate representatives of parties to Information obtained during the remand subpart A (19 CFR part 207) for Commission proceedings as to some investigation will be released to the provisions of general applicability specific types of APO breaches parties under the administrative concerning written submissions to the encountered by the Commission and the protective order (‘‘APO’’) issued in the Commission. corresponding types of actions the Commission has taken. original investigations on or about July Authority: This action is taken under the 22, 2005. The remand staff report will authority of the Tariff Act of 1930, title VII. FOR FURTHER INFORMATION CONTACT: be placed in the nonpublic record on Carol McCue Verratti, Esq., Office of the August 16, 2005, and a public version By order of the Commission. General Counsel, U.S. International will be issued thereafter, pursuant to Issued: July 18, 2005. Trade Commission, telephone (202) Section 207.22 of the Commission’s Marilyn R. Abbott, 205–3088. Hearing impaired individuals rules. Secretary to the Commission. are advised that information on this Parties that are participating in the [FR Doc. 05–14482 Filed 7–21–05; 8:45 am] matter can be obtained by contacting the remand proceedings may file comments Commission’s TDD terminal at (202) by August 23, 2005 with respect to how BILLING CODE 7020–02–M 205–1810. General information the record, as supplemented, bears on concerning the Commission can also be the issues presented by the Panel’s obtained by accessing its Internet server remand instructions. No additional (http://www.usitc.gov).
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SUPPLEMENTARY INFORMATION: (i) Personnel of the Commission be opened only by [name of recipient]’’, Representatives of parties to concerned with the investigation, and the outer one sealed and not investigations conducted under Title VII (ii) The person or agency from whom marked as containing BPI; of the Tariff Act of 1930, sections 202 the BPI was obtained, (7) Comply with the provisions of this and 204 of the Trade Act of 1974, (iii) A person whose application for APO and section 207.7 of the section 421 of the Trade Act of 1974, disclosure of BPI under this APO has Commission’s rules; and seciton 337 of the Tariff Act of been granted by the Secretary, and (8) Make true and accurate 1930, may enter into APOs that permit (iv) Other persons such as paralegals representations in the authorized them, under strict conditions, to obtain and clerical staff, who (a) are employed applicant’s application and promptly access to BPI (Title VII) or confidential or supervised by and under the notify the Secretary of any changes that business information (‘‘CBI’’) (section direction and control of the authorized occur after the submission of the 421, sections 201–204, and section 337) applicant or another authorized application and that affect the of other parties. See 19 U.S.C. 1677f; 19 applicant in the same firm whose representations made in the application CFR 207.7; 19 U.S.C. 2252(i); 19 U.S.C. application has been granted; (b) have a (e.g., change in personnel assigned in 2451a(b)(3); 19 CFR 206.17; 19 U.S.C. need thereof in connection with the the investigation); 1337(n); 19 CFR 210.5, 210.34. The investigation; (c) are not involved in (9) Report promptly and confirm in discussion below describes APO breach competitive decision making for an writing to the Secretary any possible investigations that the Commission has interested party which is a party to the breach of the APO; and completed, including a description of investigation; and (d) have signed the (10) Acknowledged that breach of the actions taken in response to breaches. acknowledgment for clerical personnel APO may subject the authorized The discussion covers breach in the form attached hereto (the applicant and other persons to such investigations completed during authorized applicant shall also sign sanctions or other actions as the calendar year 2004. such acknowledgment and will be Commission deems appropriate, Since 1991, the Commission has deemed responsible for such persons’ including the administrative sanctions published annually a summary of its compliance with the APO); and actions set out in this APO. actions in response to violations of (2) Use such BPI solely for the The APO further provides that breach Commission APOs and the 24-hour rule. purposes of the above-captioned of an APO may subject an applicant to: See 56 FR 4846 (Feb. 6, 1991); 57 FR Commission investigation or for judicial (1) Disbarment from practice in any 12,335 (Apr. 9, 1992); 58 FR 21,991 or binational panel review of such capacity before the Commission along (Apr. 26, 1993); 59 FR 16,834 (Apr. 8, Commission investigation; with such person’s partners, associates, 1994); 60 FR 24,880 (May 10, 1995); 61 (3) Not consult with any person not employer, and employees, for up to FR 21,203 (May 9, 1996); 62 FR 13,164 described in paragraph (1) concerning seven years following publication of a (March 19, 1997); 63 FR 25064 (May 6, BPI disclosed under this APO or determination that the order has been 1998); 64 FR 23355 (April 30, 1999); 65 otherwise obtained in this investigation breached; FR 30434 (May 11, 2000); 66 FR 27685 without first having received the written (2) Referral to the United States (May 18, 2001); 67 FR 39425 (June 7, consent of the Secretary and the party Attorney; 2002); 68 FR 28256 (May 23, 2003); 69 or the representative of the party from (3) In the case of an attorney, FR 29972 (May 26, 2004). This report whom such BPI was obtained; accountant, or other professional, does not provide an exhaustive list of (4) Whenever materials (e.g., referral to the ethics panel of the conduct that will be deemed to be a documents, computer disks, etc.) appropriate professional association; breach of the Commission’s APOs. APO containing such BPI are not being used, (4) Such other administrative breach inquiries are considered on a store such material in a locked file sanctions as the Commission determines case-by-case basis. cabinet, vault, safe, or other suitable to be appropriate, including public As part of the effort to educate container (N.B.: storage of BPI on so- release of or striking from the record any practitioners about the Commission’s called hard disk computer media is to information or briefs submitted by, or current APO practice, the Commission be avoided, because mere erasure of on behalf of, such person or the party Secretary issued in March 2005 a fourth data from such media may not he represents; denial of further access to edition of An Introduction to irrecoverably destroy the BPI and may business proprietary information in the Administrative Protective Order Practice result in violation of paragraph C of the current or any future investigations in Import Injury Investigation (Pub. No. APO); before the Commission, and issuance of 3755). This document is available upon (5) Serve all materials containing BPI a public or private letter of reprimand; request from the Office of the Secretary, disclosed under this APO as directed by and U.S. International Trade Commission, the Secretary and pursuant to section (5) Such other actions; including but 500 E Street, SW., Washington, DC 207.7(f) of the Commission’s rules; not limited to, a warning letter, as the 20436, tel. (202) 205–2000 and on the (6) Transmit each document Commission determines to be Commission’s Web site at http:// containing BPI disclosed under this appropriate. www.usitc.gov. APO: APOs in investigations other than (i) With a cover sheet identifying the those under Title VII contain similar, 1. In General document as containing BPI, thnough not identical, provisions. The current APO form for (ii) With all BPI enclosed in brackets Commission employees are not antidumping and countervailing duty and each page warning that the signatories to the Commission’s APOs investigations, which was revised in document contains BPI, and do not obtain access to BPI through March 2005, requires the applicant to (iii) If the document is to be filed by APO procedures. Consequently, they are swear that he or she will: a deadline, with each page marked not subject to the requirements of the (1) Not divulge any of the BPI ‘‘Bracketing of BPI not final for one APO with respect to the handling of CBI obtained under this APO or otherwise business day after date of filing,’’ and and BPI. However, Commission obtained in this investigation and not (iv) If by mail, within two envelopes, employees are subject to strict statutory otherwise available to him or her, to any the inner one sealed and marked and regulatory constraints concerning person other than— ‘‘Business Proprietary Information—To BPI and CBI, and face potentially severe
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penalties for noncompliance. See 18 Secretary, the Office of the General the APO actually read the BPI. The U.S.C. 1905; Title 5, U.S. Code; and Counsel (OGC) prepares a letter of Commission considers whether there Commission personnel policies inquiry to be sent to the possible are prior breaches by the same person or implementing the statutes. Although the breacher over the Secretary’s signature persons in other investigations and Privacy Act (5 U.S.C. 552a) limits the to ascertain the possible breacher’s multiple breaches by the same person or Commission’s authority to disclose any views on whether a breach has persons in the same investigation. personnel action against agency occurred.1 If, after reviewing the The Commission’s rules permit an employees, this should not lead the response and other relevant economist or consultant to obtain access public to conclude that no such actions information, the Commission to BPI/CBI under the APO in a Title VII have been taken. determines that a breach has occurred, or safeguard investigation if the An important provision of the the Commission often issues a second economist or consultant is under the Commission’s Title VII and safeguard letter asking the breacher to address the direction and control of an attorney rules relating to BPI/CBI is the ‘‘24- questions of mitigating circumstances under the APO, or if the economist or hour’’ rule. This rule provides that and possible sanctions or other actions. consultant appears regularly before the parties have one business day after the The Commission then determines what Commission and represents an deadline for filing documents action to take in response to the breach. interested party who is a party to the containing BPI to file a public version In some cases, the Commission investigation. 19 CFR 207.7(a)(3)(B) and of the document. The rule also permits determines that although a breach has (C); 19 CFR 206.17(a)(3)(B) and (C). changes to the bracketing of information occurred, sanctions are not warranted, Economists and consultants who obtain in the proprietary version within this and therefore has found it unnecessary access to BPI/CBI under the APO under one-day period. No changes—other than to issue a second letter concerning what the direction and control of an attorney changes in bracketing—may be made to sanctions might be appropriate. Instead, nonetheless remain individually the proprietary version. The rule was it issues a warning letter to the responsible for complying with the intended to reduce the incidence of individual. A warning letter is not APO. In appropriate circumstances, for APO breaches caused by inadequate considered to be a sanction. example, an economist under the bracketing and improper placement of Sanctions for APO violations serve direction and control of an attorney may BPI. The Commission urges parties to two basic interests: (a) Preserving the be held responsible for a breach of the make use of the rule. If a party wishes confidence of submitters of BPI that the APO by failing to redact APO to make changes to a document other Commission is a reliable protector of information from a document that is than bracketing, such as typographical BPI; and (b) disciplining breachers and subsequently filed with the Commission changes or other corrections, the party deterring future violations. As the and served as a public document. This must ask for an extension of time to file Conference Report to the Omnibus is so even though the attorney an amended document pursuant to Trade and Competitiveness Act of 1988 exercising direction or control over the section 201.14(b)(2) of the Commission’s observed, ‘‘[T]he effective enforcement economist or consultant may also be rules. of limited disclosure under held responsible for the breach of the During 2004, the Commission found administrative protective order depends APO. two violations of another Commission in part on the extent to which private The records of Commission rule which applies to section 337 parties have confidence that there are investigations of alleged APO breaches investigations exclusively. The rule, 19 effective sanctions against violation.’’ in antidumpting and countervailing CFR 210.34(d), requires APO signatories H.R. Conf. Rep. No. 576, 100th Cong., duty cases are not publicly available to report in writing to the Commission 1st Sess. (1988). and are exempt from disclosure under immediately upon learning that The Commission has worked to the Freedom of Information Act, 5 confidential business information develop consistent jurisprudence, not U.S.C. 552, section 135(b) of the disclosed to him or her pursuant to the only in determining whether a breach Customs and Trade Act of 1990, and 19 protective order is the subject of a has occurred, but also in selecting an U.S.C. 1677f(g). subpoena, court or administrative order appropriate response. In determining The two types of breaches most (other than an order of a court reviewing the appropriate response, the frequently investigated by the a Commission decision), discovery Commission generally considers Commission involve the APO’s agent, agreement, or other written mitigating factors such as the prohibition on the dissemination of BPI request, agreement, or other written unintentional nature of the breach, the to unauthorized persons and the APO’s request seeking disclosure by him or lack of prior breaches committed by the requirement that the materials received any other person, of that confidential breaching party, the corrective measures under the APO be returned or destroyed business information to persons who are taken by the breaching party, and the and that a certificate be filed indicating not, or may not be permitted access to promptness with which the breaching which action was taken within a that information pursuant to either a party reported the violation to the specified period after the termination of Commission protective order or Commission. The Commission also the investigation or any subsequent Commission rule 210.5(b). considers aggravating circumstances, appeals of the Commission’s especially whether persons not under determination. The dissemination of BPI II. Investigations of Alleged APO usually occurs as the result of failure to Breaches 1 Procedures for inquiries to determine whether a delete BPI from public versions of Upon finding evidence of an APO prohibited act such as a breach has occurred and documents filed with the Commission breach or receiving information that for imposing sanctions for violation of the or transmission of proprietary versions provisions of a protective order issued during there is a reason to believe one has NAFTA panel or committee proceedings are set out of documents to unauthorized occurred, the Commission Secretary in 19 CFR 207.100–207.120. Those investigations recipients. Other breaches have notifies relevant offices in the agency are initially conducted by the Commission’s Office included: the failure to bracket properly that an APO breach investigation has of Unfair Import Investigations. During 2004, no BPI in proprietary documents filed with investigation regarding a possible violation of a commenced and that an APO breach protective order issued during a NAFTA panel or the Commission; the failure to report investigation file has been opened. committee proceeding was completed under those immediately known violations of an Upon receiving notification from the procedures. APO; and the failure to supervise
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adequately non-legal personnel in the agree to be bound by the APO, could not finding that the lead attorney has also handling of BPI. be found to have breached the APO. violated the APO. The Commission has Counsel participating in Title VII Action could be taken against these found that a lead attorney did not investigations have reported to the persons, however, under Commission violate the APO in cases where his Commission potential breaches rule 201.15 (19 CFR 201.15) for good delegation of authority was reasonable. involving the electronic transmission of cause shown. In all cases, the A prior breach by a subordinate attorney public versions of documents. In these Commission decided that the non- would suggest that delegation of cases, the document transmitted appears signatory was a person who appeared authority to that attorney may not be to be a public document with BPI regularly before the Commission and reasonable. omitted from brackets. However, the BPI was aware of the requirements and III. Specific Investigation in Which is actually retrievable by manipulating limitations related to APO access and Breaches Were Found codes in software. The Commission has should have verified his or her APO found that the electronic transmission of status before obtaining access to and The Commission presents the a public document containing BPI in a using the BPI. The Commission notes following case studies to educate user recoverable form was a breach of the that section 201.15 may also be about the types of APO breaches found APO. available to issue sanctions to attorneys by the Commission. The studies provide The Commission advised in the or agents in different factual the factual background, the actions preamble to the notice of proposed circumstances where they did not taken by the Commission, and the rulemaking in 1990 that it will permit technically breach the APO but where factors considered by the Commission authorized applicants a certain amount their actions or inactions did not in determining the appropriate actions. of discretion in choosing the most demonstrate diligent care of the APO The Commission has not included some appropriate method of safeguarding the materials even though they appeared of the specific facts in the descriptions confidentiality of the BPI. However, the regularly before the Commission and of investigations where disclosure of Commission cautioned authorized were aware of the importance the such facts could reveal the identity of a applicants that they would be held Commission placed on the care of APO particular breacher. Thus, in some responsible for safeguarding the materials. In 2004 there were two cases, apparent inconsistencies in the confidentiality of all BPI to which they investigations where the Commission facts set forth in this notice result from are granted access and warned considered issuing sanctions to the Commission’s inability to disclose particular facts more fully. applicants about the potential hazards attorneys under section 201.15, but Case 1. This APOB investigation of storage on hard disk. The caution in determined that there was not good involved four different law firms. The that preamble is restated here: cause. In one investigation the attorney first two represented the same [T]he Commission suggests that certain had forwarded another party’s public respondent in a Commission section 337 safeguards would seem to be particularly pre-hearing brief to his clients not investigation. A third firm represented useful. When storing business proprietary knowing that the brief contained CBI. the complainant in the section 337 information on computer disks, for example, The Commission considered whether to investigation. A fourth firm had not storage on floppy disks rather than hard disks issue sanctions against him for failure to been involved in the Commission’s is recommended, because deletion of retrieve the briefs even though he was information from a hard disk does not section 337 investigation and none of its found not to have breached the APO. attorneys were signatories to the APO, necessarily erase the information, which can The Commission considered mitigating often be retrieved using a utilities program. but it was representing the respondent Further, use of business proprietary circumstances and the fact that there in a multi-district court litigation (MDL) information on a computer with the were no provisions in the rules or the and in a related matter involving the capability to communicate with users outside APO that would clarify the issuance of subpoenas by another the authorized applicant’s office incurs the Commission’s expectations and the government agency. The Commission risk of unauthorized access to the attorney’s responsibility under those found that three attorneys from the first information through such communication. If circumstances. The Commission issued two law firms (respondent’s firms) a computer malfunctions, all business a letter warning the attorney and proprietary information should be erased breached the APO in a section 337 informing him that in the future he investigation when they released APO from the machine before it is removed from needed to be proactive regarding the the authorized applicant’s office for repair. materials to non-signatories of the APO While no safeguard program will insulate an care of BPI whether he receives it under while responding to subpoenas from authorized applicant from sanctions in the the APO or from another source during another government agency and that event of a breach of the administrative the investigation. To prevent similar they violated Commission rule protective order, such a program may be a future occurrences such as this, the 210.34(d) because they failed to notify mitigating factor. Preamble to notice of March 2005 version of the Title VII and the Commission of the subpoenas. proposed rulemaking, 55 FR 24,100, 24,103 safeguard APOs have added the The Commission found that a partner (June 14, 1990). requirement that the signatory not in the first law firm, who was also the In the past several years, the divulge any BPI or CBI disclosed under lead attorney, breached the APO Commission completed APOB the APO ‘‘or otherwise obtained in this because he failed to prevent the investigations which involved members investigation.’’ production of certain APO documents to of a law firm or consultants working Also in recent years the Commission non-signatories by an attorney under his with a firm who were granted access to has found the lead attorney to be supervision. The Commission noted that APO materials by the firm although they responsible for breaches where he or she the lead attorney was aware that the were not APO signatories. In these failed to provide adequate supervision subpoenas had been issued and that cases, the firm and the person using the over the handling of BPI. Lead attorneys they were seeking documents BPI mistakenly believed an APO should be aware that their containing CBI obtained under the APO. application had been filed for that responsibilities for overall supervision In spite of this knowledge, there was no person. The Commission determined in of an investigation, when a breach has information provided in the APOB all these cases that the person who was been caused by the actions of someone investigation suggesting that he took any a non-signatory, and therefore did not elese in the investgiation, may lead to a action to prevent the release of the CIB
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or to obtain permission from all of the actions based on their own responsibility for preparation and sources of the CBI to release the interpretation of the APO rather than review of the bracketing and the materials. Because he did not notify the seeking advice from the Commission secretary did not have a direct role in Commission in writing about these regarding the APO’s jurisdiction over the circumstances contributing to a subpoenas, he violated rule 210.34(d). cross-designated material that were breach. The second attorney in the first law obtained under the Commission’s APO. The attorney who breached the APO firm and one attorney in the second law The Commission reached the decision took immediate action to retrieve and firm violated rule 210.34(d) by failing to to sanction the attorneys who breached replace copies of the page of the notify the Commission in writing about with a private letter of reprimand rather attachment containing unbracketed CBI the subpoenas and they breached the than a warning letter after considering but he failed to redact the bracketed APO by releasing materials containing the mitigating circumstance that it was information on another page of the CBI obtained under the APO to their first breach of a Commission APO, attachment both in his original filing attorneys in the fourth law firm with the but noting the aggravating and in the replacement filing. He knowledge that those documents would circumstances that they had also acknowledged his breach with regard to be released to the other government violated Commission rule 210.34(d) by the CBI that had not been bracketed in agency. The attorneys had argued that not informing the Commission the confidential brief but argued that the they did not breach the APO by immediately of the government information left in brackets on a releasing the CBI to the fourth law firms subpoena; that they made independent previous page of the attachment was not because attorneys in that firm could interpretations of the Commission’s CBI because it was pricing data that was appropriately receive the information APO, without seeking advice from the not company specific. The Commission under the MDL protective order. The Commission about whether it applied to did not accept this argument, noting attorneys in the fourth law firm were their release of the CBI obtained under that the data was in numerical form and representing their client in the MDL and the Commission’s APO; and that there is that the Commission treats all the Commission’s record had been cross a presumption that at least one- questionnaire responses as CBI in their designated by all the parties to the signatory at the other government entirety unless the information is Commission’s investigation. The agency reviewed the CBI after it was otherwise available from a public attorneys in the first and second law given to the agency in response to the source, or is a non-numerical firms also argued that they did not subpoenas. characterization of aggregate trends. The breach the Commission’s APO because The Commission found that two attorney also argued that the data were the court-ordered protective order was attorneys in the first law firm also not CBI because release of the data controlling and that protective order violated Commission rule 210.34(d) but, would not impair the Commission’s permitted release of the documents along with the remaining APO functions or cause substantial harm to pursuant to a government issued signatories at the first two firms, did not the competitive position of the person, subpoena. The Commission rejected the breach the APO. The two attorneys were firm, corporation or other organization attorneys’ arguments that the MDL issued warning letters for violating the from which the information was protective order was controlling and rule. The Commission found that the obtained. The Commission rejected this determined that the Commission’s APO attorneys from the third firm argument also because disclosure of the continued to apply the to the documents (complainant’s law firm) did not breach pricing data would likely harm the obtained under the APO in the the APO nor did they violate Commission’s ability to collect critical Commission’s section 337 investigation. Commission rule 210.34(d). The pricing data, since firms could become Therefore, the attorneys were required Commission also determined to take no wary of providing the Commission with to obtain permission to release the action against attorneys in the fourth the pricing data in future investigations materials from all the sources of the CBI, law firm because they were not that are needed for the agency to which they did not do. In addition, the signatories to the APO and, therefore, perform its statutory functions. court-issued protective order required did not breach the APO when they The Commission issued a private that the person releasing the materials passed the APO documents on to the letter of reprimand after considering the notify the sources of the CBI, which the government agency. In addition, since mitigating circumstances: that this was attorneys also did not do. they did not practice before the his first breach and that the breach was The Commission noted that the Commission, and had no present inadvertent. In addition, his firm acted attorneys who released the materials to intention to do so, the Commission quickly to replace the last page of the the fourth law firm had breached the determined that it would not use public attachment containing the APO because of their understanding and Commission rule 19 CFR 201.15(a) to unbracketed CBI, and reeducated its intent that the information would be sanction them for their role in the personnel on APO practices and released by the fourth law firm to the release of the APO materials. instituted new requirements to other government agency in response to Case 2. The Commission found that strengthen its APO procedures. The the subpoenas. Although it would have one attorney breached an APO by failing Commission noted two aggravating been appropriate to give the materials to to bracket CBI on a page of an circumstances: (1) Non-signatories had the fourth law firm for use in the MDL, attachment in the confidential version read the CBI, and (2) the attorney twice it was a violation of the APO to give it of the prehearing brief filed with the failed to redact bracketed CBI from the to the firm for the purpose of releasing Commission and to delete that CBI and public version of the brief and did not it to the other government agency. The other CBI that was bracketed and left on take corrective action with regard to that Commission noted that it retained the another page of the attachment to the particular CBI. He was also ordered to authority to interpret its own APO and public version of the brief. The retrieve and destroy any copies of the to determine whether or not cross- Commission issued a private letter of page containing the bracketed CBI and designation released the CBI from the reprimand. The Commission certify to the Commission Secretary that Commission’s APO jurisdiction. In determined that two other attorneys he had done so within thirty days. addition, the Commission found that it from the same firm and a secretary did The Commission also found that there was an aggravating circumstance that not breach the APO. The two other was not good cause for sanctioning an the attorneys who breached had taken attorneys did not have final attorney in a different law firm for
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failing to retrieve from his clients the the public version of a brief. The from another third party pending a public version of the pre-hearing brief Commission issued a private letter of response about whether to return or containing the bracketed and reprimand to the attorney who was destroy the information. In response to unbracketed CBI which had been served responsible for the preparation of the a Commission inquiry about those on him by the attorney in the first firm. public version of the brief but who documents, the attorneys responded He sent the brief to his clients, relying failed to follow the law firm’s that the third party had not marked any on the fact that the brief had been procedures of reviewing the brief for BPI of those documents as containing CBI clearly marked as a public document. before filing it with the Commission and and there has been no further indication The Commission warned the attorney in sending it to other parties and to the from the submitter that those documents the second firm that it would hold him attorney’s client. The Commission contain CBI. The attorneys from this accountable in the future if he failed to issued a private letter of reprimand, second law firm also indicated that they take a more proactive approach to even though it was the attorney’s client. were not a part of the parallel litigation protect CBI that comes under his control The Commission issued a private letter and, therefore, were not subject to any and he becomes aware that it is CBI. of reprimand, even though it was the requests to produce CBI from the The attorney in the second firm had attorney’s first breach, because a Commission investigation. argued that he had not retrieved the recipient of the brief who was not a In determining that the attorney from brief because he had not received it signatory to the APO had read several the first law firm did breach the APO for under the APO. He stated that the pages of the brief which included BPI. failure to return or destroy the APO attorney in the first firm had not asked The Commission found that the materials, the Commission considered him to retrieve and destroy the pages secretary, who had forgotten to run a his argument that discovery requests in containing CBI and the Commission had computer program that would delete a parallel litigation barred his not instructed him to do so. The BPI from brackets in the brief, prepared compliance with his APO obligations. attorney also raised questions about the public version of the brief for filing The Commission found the argument when he actually knew that the with the Commission, yet failed to not persuasive because APO obligations unbracketed and bracketed information ensure that BPI had been completely are mandatory—not conditioned by was indeed CBI. Initially, the deleted from the brackets. In reaching other court proceedings. In addition, the Commission had determined that he its decision on the appropriate sanction, district court judge ultimately ruled on had not breached the APO because he the Commission considered the facts the discovery request and allowed did not know the brief contained CBI that (1) the BPI had been read by a non- production but with the CBI redacted. when he passed it along to his clients signatory and (2) the secretary had Therefore, continued retention of the and he had not obtained the material previously breached an APO within the CBI materials was not necessary for under the APO. period generally examined by the discovery purposes. The Commission However, the Commission considered Commission for purposes of also did not find compelling the whether to sanction him under determining sanctions. The Commission argument that destruction of the Commission rule 201.15 for his failure issued a private letter of reprimand with documents could lead the factfinder in to safeguard the materials after he an additional requirement that the the parallel litigation to take a negative learned they contained CBI. In deciding secretary, for one year, must certify with inference against the party destroying to warn the attorney instead of respect to any public version of a brief the documents. The Commission found sanctioning him, the Commission that he helped prepare, that he had that the fact finder may reject any considered the facts that it was the first inspected every page to ensure that all adverse inference if the documents were time he was subject to a possible bracketed material had been removed. destroyed for an ‘‘innocent reason,’’ and sanction under section 201.15 and that Case 4. The Commission determined that the mandatory obligation to ‘‘return he had never breached an APO. In that an attorney in one law firm had or destroy’’ in the Commission’s APO addition, he took prompt action to breached the APO by failing to destroy establishes an ‘‘innocent reason.’’ notify the Commission about the or return APO materials after the Finally, in determining whether or not information in the brief that he later Commission’s Section 337 investigation there was a breach, the Commission learned to be CBI, and the instructions was terminated. In addition, the found unpersuasive the attorney’s given to him by the attorney in the first Commission found that the same concern that APO compliance could firm were not clear regarding retrieval attorney failed to comply with lead to a violation under his state’s rules and destruction of the pages containing Commission rule 210.34(d)(1) by failing of professional conduct. CBI. Moreover, the Commission noted to notify the Commission immediately During the sanctions phase of the that its APO and rules did not explicitly upon learning that requests for investigation, the Commission address the need of the attorney in the production of CBI obtained under the determined not to sanction the attorney second firm to take more active steps to APO were made in a parallel district but to issue him a warning letter for the safeguard CBI whether or not it was court litigation. The Commission issued breach and for the violation of acquired by him through the APO a warning letter for the breach and for Commission rule 210.34(d). In reaching directly or because of a breach the rule violation. this conclusion, the Commission committed by another party. In addition The Commission also determined that considered several mitigating to the warning letter, the Commission attorneys from a second law firm, circumstances including that CBI was ordered him to retrieve the copies of the representing the same client in the not disclosed to any unauthorized brief and certify to the Commission that Commission investigation, did not persons and that the attorney had not they were retrieved and destroyed. As breach the APO even though they did previously breached a Commission noted earlier, the Commission has not return or destroy certain material APO. In addition, the Commission updated its rules to address this obtained under the APO which determined that, although it seemed scenario. contained a third party’s CBI. The unlikely that the attorney would be Case 3. The Commission determined attorneys had entered into an agreement disciplined under his state’s rules of that an attorney and a secretary with the third party which allowed the professional conduct for an unlawful breached the APO for failing to redact attorneys to retain the material under destruction of documents relevant to the business proprietary information from the APO. They also retained material court proceeding, there is no authority
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addressing the issue in a definitive acknowledgment that the unredacted and no non-signatory actually read the manner. Therefore, the Commission information was made available to the CBI. decided to acknowledge that a public; his failure to take corrective Case 8. The Commission found that legitimate doubt remained for the measures, other than filing and serving one attorney and one paralegal breached attorney and treated his concern about a revised page, to limit the the APO in a Commission title VII his state’s Bar rules as a mitigating dissemination of BPI to non-signatories investigation by failing to redact BPI factor. and to ascertain whether the BPI had The Commission also considered been read by non-signatories; his from the public version of a pre-hearing several aggravating circumstances, conscious decision to waive internal brief. The Commission issued warning including the long duration of the firm procedures and forego review of letters to the attorney and paralegal. The breach, the fact that the documents were the public version of the document by circumstances of the breach were not destroyed until the opposing a second person; and the fact that the mitigated by the fact that this was the counsel in the parallel litigation agreed, Secretary’s Office and not anyone at his only breach in which either the attorney the fact that the attorney did not firm discovered the error. or paralegal was involved in the two- consider returning the documents to the Case 6. The Commission found that year period generally examined by the source of the CBI rather than destroying one attorney and a legal assistant in one Commission for the purpose of the documents to avoid possible law firm and a legal assistant in another determining sanctions; the breach was concerns about his state Bar rules, and law firm breached the APO by failing to unintentional; prompt action was taken the attorney’s failure to seek redact CBI from the public version of to remedy the breach; and actions were Commission guidance and clarification the administrative law judge’s initial taken by the firm to improve APO of his ethical or discovery obligations determination (ID) from a Commission compliance procedures. The lead from the district court. 337 investigation which was attached to attorney was found not to have breached Case 5. The Commission found that a claim construction brief in district because he was out of the country and one lead attorney breached the APO by court patent litigation. The Commission did not participate in the preparation of failing to redact bracketed BPI from the issued warning letters to all three after the prehearing briefs and because he has public version of his firm’s final considering that none of them had comments in a Commission Title VII breached an APO in the two-year period reasonably delegated the responsibility investigation. The Commission issued usually considered by the Commission to another attorney who had no prior him a private letter of reprimand. The in determining sanctions; the breach breaches. The Commission did not Commission found that none of the was unintentional; prompt action was consider as a mitigating circumstance other attorneys or staff at the law firm taken to remedy the breach; and copies the attorney’s argument that the breached the APO as none of them was of the brief sent to three non-signatories unredacted BPI was not highly sensitive involved in the incident or neglected were retrieved and the non-signatories proprietary information. any supervisory responsibilities leading stated that they did not review the CBI. Rule Violations—In two section 337 to the breach. There was one aggravating investigations, the Commission found The attorney had argued that the circumstance. The brief was available in that attorneys had failed to notify the unredacted information was not BPI the district court public file for a Commission in writing immediately because it involved data for more than significant amount of time—one upon learning that CBI disclosed to the three foreign producers, no one of month—but based on the attorney’s attorney pursuant to an APO was the whom accounted for more than 90 inquiries with the court, it appears that subject of a ‘‘subpoena, court or percent of the inventory ratio applicable no unauthorized person actually viewed to total cumulated shipments. The the CBI. The Commission determined administrative order (other than an Commission found the data to be BPI that an attorney in the second law firm order of a court reviewing a Commission because although similar data were did not breach the APO as he was not decision), discovery request, agreement, treated as public in the preliminary staff involved in the preparation, filing, or or other written request seeking report, the data had changed in such a distribution of the brief in court. disclosure, by him or any other person, way that certain foreign producers Case 7. The Commission found that of that CBI to persons who are not, or would be able to ascertain information three attorneys breached an APO by may not be, permitted access to that about other producers using the earlier filing a ‘‘non-confidential’’ version of information pursuant to either a data that had been treated as public. their client’s brief in the U.S. Court of Commission protective order or [19 The Commission reached its decision Appeals for the Federal Circuit which CFR] 210.5(b).’’ In both cases the to issue a private letter of reprimand contained CBI covered by the APO Commission issued warnings to the after consideration of the mitigating issued in a Commission section 337 attorneys. Discussions of these rule factors that the attorney’s failure to investigation. One other attorney was violations can be found in the redact the information was found not to have breached because he summaries of Cases 1 and 4 above. unintentional; that he had not been did not help prepare the non involved in any breaches in the two confidential brief but, instead, took Issued: July 18, 2005. years preceding the breach; and that his actions to prevent disclosure of the CBI By order of the Commission. firm had implemented new procedures to non-signatories. Marilyn R. Abbott, in order to ensure that redacted The Commission issued warning Secretary to the Commission. documents would be reviewed by at letters to the three attorneys. The [FR Doc. 05–14481 Filed 7–21–05; 8:45 am] least two separate individuals, circumstances of the breach were including the senior attorney mitigated by the facts that none of the BILLING CODE 7020–02–M responsible for the submission. The attorneys had breached an APO within Commission also considered aggravating the previous period typically considered factors that made the private letter of by the Commission for the reprimand rather than a warning letter determination of sanctions, the breach the more appropriate action. The was unintentional, the attorneys took Commission noted the attorney’s prompt action to remedy the breach,
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DEPARTMENT OF LABOR comments, please see the ‘‘Public from their exposure to IA. The IA Participation’’ heading in the Standard requires employers to: monitor Occupational Safety and Health SUPPLEMENTARY INFORMATION section of employees’ exposure to inorganic Administration this document. arsenic; monitor employee health; develop and maintain employee [Docket No. ICR–1218–0104(2005)] FOR FURTHER INFORMATION CONTACT: Todd Owen, Directorate of Standards exposure-monitoring and medical Inorganic Arsenic Standard; Extension and Guidance, OSHA, Room N–3609, records; and provide employees with of the Office of Management and 200 Constitution Avenue, NW., information about their exposures and Budget’s (OMB) Approval of Washington, DC 20210, telephone: (202) the adverse health effects of exposure to Information Collection (Paperwork) 693–2222. inorganic arsenic. Requirements SUPPLEMENTARY INFORMATION: II. Special Issues for Comment AGENCY: Occupational Safety and Health I. Background OSHA has a particular interest in Administration (OSHA), Labor. comments on the following issues: The Department of Labor, as part of its • ACTION: Request for public comment. continuing effort to reduce paperwork Whether the proposed information and respondent (i.e., employer) burden, collection requirements are necessary SUMMARY: OSHA solicits public conducts a preclearance consultation for the proper performance of the comment concerning its request for an program to provide the public with an Agency’s functions, including whether extension of the information collection opportunity to comment on proposed the information is useful; • The accuracy of OSHA’s estimate of requirements contained in the Inorganic and continuing information collection the burden (time and costs) of the Arsenic Standard. requirements in accordance with the information collection requirements, DATES: Comments must be submitted by Paperwork Reduction Act of 1995 including the validity of the the following dates: (PRA–95) (44 U.S.C. 3506(c)(2)(A)). Hard copy: Your comments must be This program ensures that methodology and assumptions used; • The quality, utility, and clarity of submitted (postmarked or received) by information is in the desired format, the information collected; and September 20, 2005. reporting burden (time and costs) is • Ways to minimize the burden on Facsimile and electronic minimal, collection instruments are employers who must comply; for transmission: Your comments must be clearly understood, and OSHA’s example, by using automated or other received by September 20, 2005. estimate of the information collection technological information collection ADDRESSES: You may submit comments, burden is accurate. The Occupational and transmission techniques. identified by OSHA Docket No. ICR– Safety and Health Act of 1970 (the Act) 1218–0104(2005), by any of the (29 U.S.C. 651 et seq.) authorizes III. Proposed Actions following methods: information collection by employers as OSHA proposes to extend the Office Regular mail, express delivery, hand necessary or appropriate for of Management and Budget’s (OMB) delivery, and messenger service: Submit enforcement of the Act or for developing approval of these collections of your comments and attachments to the information regarding the causes and information (paperwork) requirements OSHA Docket Office, Room N–2625, prevention of occupational injuries, necessitated by the IA Standard. The U.S. Department of Labor, 200 illnesses, and accidents (29 U.S.C. 657). Agency will include this summary in its Constitution Avenue, NW., Washington, On January 5, 2005, OSHA published request to OMB to extend the approval DC 20210; telephone (202) 693–2350 the Standards Improvement Project— of these collections of information (OSHA’s TTY number is (877) 889– Phase II, Final rule (70 FR 1112). The requirements. 5627). OSHA Docket Office and final rule removed and revised Type of Review: Extension of Department of Labor hours are 8:15 a.m. provisions of standards that were currently approved information to 4:45 p.m., ET. outdated, duplicative, unnecessary, or collection requirements. Facsimile: If your comments are 10 inconsistent and clarified or simplified Title: Inorganic Arsenic Standard. pages or fewer in length, including regulatory language. The final rule OMB Number: 1218–0104. attachments, you may fax them to the contained several revisions to Affected Public: Business or other for- OSHA Docket Office at (202) 693–1648. collections of information contained in profits; Federal Government; State, Electronic: You may submit the Inorganic Arsenic (IA) Standard, 29 Local or Tribal Government. comments through the Internet at CFR 1910.1018. These revisions Frequency: On occasion. http://ecomments.osha.gov. Follow included: reducing the frequency of Average Time Per Response: Varies instructions on the OSHA Web page for medical examinations and updating from 5 minutes (.08 hour) to maintain submitting comments. compliance plans; allowing employers records to 1.67 hours to complete a Docket: For access to the docket to the option to post employee exposure- medical examination. read or download comments or monitoring results instead of requiring Estimated Total Burden Hours: 4,861. background materials, such as the individual notification; and eliminating Estimated Cost (Operation and complete Information Collection the need for employers to report Maintenance): $396,322. Request (ICR) (containing the emergencies to OSHA and to notify Supporting Statement, OMB–83–I Form, OSHA when establishing a regulated IV. Public Participation—Submission of and attachments), go to OSHA’s Web area. Those changes reduced paperwork Comments on This Notice and Internet page at http://www.OSHA.gov. In burden hours while maintaining worker Access to Comments and Submissions addition, the ICR, comments and protection and improving consistency You may submit comments and submissions are available for inspection among standards. This burden reduction supporting materials in response to this and copying at the OSHA Docket Office was taken on an earlier ICR. notice by (1) hard copy, (2) FAX at the address above. You may also The information collection transmission (facsimile), or (3) contact Todd Owen at the address requirements remaining in the IA electronically through the OSHA Web below to obtain a copy of the ICR. For Standard protect employees from the page. Because of security-related additional information on submitting adverse health effects that may result problems, there may be a significant
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delay in the receipt of comments by Hard copy: Your comments must be This program ensures that regular mail. Please contact the OSHA submitted (postmarked or received) by information is in the desired format, Docket Office at (202) 693–2350 (TTY September 20, 2005. reporting burden (time and costs) is (877) 889–5627) for information about Facsimile and electronic minimal, collection instruments are security procedures concerning the transmission: Your comments must be clearly understood, and OSHA’s delivery of submissions by express received by September 20, 2005. estimate of the information collection delivery, hand delivery and courier ADDRESSES: You may submit comments, burden is accurate. The Occupational service. identified by OSHA Docket No. ICR– Safety and Health Act of 1970 (the Act) All comments, submissions and 1218–0220(2005), by any of the (29 U.S.C. 651 et seq.) authorizes background documents are available for following methods: information collection by employers as inspection and copying at the OSHA Regular mail, express delivery, hand necessary or appropriate for Docket Office at the above address. delivery, and messenger service: Submit enforcement of the Act or for developing Comments and submissions posted on your comments and attachments to the information regarding the causes and OSHA’s Web page are available at OSHA Docket Office, Room N–2625, prevention of occupational injuries, http://www.OSHA.gov. Contact the U.S. Department of Labor, 200 illnesses, and accidents (29 U.S.C. 657). OSHA Docket Office for information Constitution Avenue, NW., Washington, The Standard specifies two about materials not available through DC 20210; telephone (202) 693–2350 paperwork requirements. The following the OSHA Web page and for assistance (OSHA’s TTY number is (877) 889– sections describe who uses the using the Web page to locate docket 5627). OSHA Docket Office and information collected under each submissions. Department of Labor hours are 8:15 a.m. requirement, as well as how they use it. Electronic copies of this Federal to 4:45 p.m., ET. The purpose of these requirements is to Register notice as well as other relevant Facsimile: If your comments are 10 reduce employees’ risk of death or documents are available on OSHA’s pages or fewer in length, including serious injury by ensuring that Web page. Since all submissions attachments, you may fax them to the equipment has been tested and is in safe become public, private information such operating condition. OSHA Docket Office at (202) 693–1648. • as social security numbers should not be Electronic: You may submit Test Records for Hooks (paragraph submitted. comments through the Internet at 1915.113(b)(1)). This paragraph requires that the manufacturer’s V. Authority and Signature http://ecomments.osha.gov. Follow instructions on the OSHA Web page for recommendations be followed in Jonathan L. Snare, Acting Assistant submitting comments. determining the safe working loads of Secretary for Occupational Safety and Docket: For access to the docket to the various sizes and types of hooks. If Health, directed the preparation of this read or download comments or the manufacturer’s recommendations notice. The authority for this notice is background materials, such as the are not available, the hook must be the Paperwork Reduction Act of 1995 tested to twice the intended safe complete Information Collection (44 U.S.C. 3506 et seq.), and Secretary working load before it is initially put Request (ICR) (containing the of Labor’s Order No. 5–2002 (67 FR into use. The employer must maintain Supporting Statement, OMB–83–I Form, 65008). and keep readily available a certification and attachments), go to OSHA’s Web record which includes the date the such Signed at Washington, DC, on July 19, page at http://www.OSHA.gov. In test, the signature of the person who 2005. addition, the ICR, comments and performed the test, and the identifier for Jonathan L. Snare, submissions are available for inspection Acting Assistant Secretary of Labor. the hook which was tested. and copying at the OSHA Docket Office • Examination and Test Records for [FR Doc. 05–14537 Filed 7–21–05; 8:45 am] at the address above. You may also Unfired Pressure Vessels (paragraph BILLING CODE 4510–26–M contact Theda Kenney at the address 1915.172(d)). below to obtain a copy of the ICR. For This paragraph requires that portable, additional information on submitting unfired pressure vessels not built to the DEPARTMENT OF LABOR comments, please see the ‘‘Public requirements of the American Society of Participation’’ heading in the Occupational Safety and Health Mechanical Engineers Boiler and SUPPLEMENTARY INFORMATION section of Administration Pressure Vessel Code, Section VII, Rules this document. for Construction of Unfired Pressure [Docket No. ICR–1218–0220(2005)] FOR FURTHER INFORMATION CONTACT: Vessels, 1963, be examined quarterly by Theda Kenney or Todd Owen, a competent person and subjected to a Shipyard Employment Standards; Directorate of Standards and Guidance, yearly hydrostatic pressure test. A Extension of the Office of Management OSHA, Room N–3609, 200 Constitution certification record of such and Budget’s (OMB) Approval of Avenue, NW., Washington, DC 20210, examinations and tests shall be Information Collection (Paperwork) telephone: (202) 693–2222. maintained. Requirements SUPPLEMENTARY INFORMATION: The records were used to assure that AGENCY: Occupational Safety and Health equipment has been properly tested. I. Background Administration (OSHA), Labor. The records also provided the most ACTION: Request for public comment. The Department of Labor, as part of its efficient means for the compliance continuing effort to reduce paperwork officers to determine that an employer is SUMMARY: OSHA solicits public and respondent (i.e., employer) burden, complying with the Standard. However, comment concerning its request for an conducts a preclearance consultation based on information provided to the extension of the information collection program to provide the public with an Agency, OSHA does not believe that requirements contained in its Shipyard opportunity to comment on proposed there are any unfired pressure vessels Employment Standards (29 CFR and continuing information collection not built to the requirements of the 1915.113(b)(1) and 29 CFR 1915.172(d)). requirements in accordance with the American Society of Mechanical DATES: Comments must be submitted by Paperwork Reduction Act of 1995 Engineers Boiler and Pressure Vessel the following dates: (PRA–95) (44 U.S.C. 3506(c)(2)(A)). Code, Section VIII, Rules for
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Construction of Unfired Pressure (877) 889–5627) for information about Hard copy: Your comments must be Vessels, 1963 currently in use. security procedures concerning the submitted (postmarked or received) by delivery of submissions by express September 20, 2005. II. Special Issues for Comment delivery, hand delivery and courier Fascimile and electronic OSHA has a particular interest in service. transmission: Your comments must be comments on the following issues: All comments, submissions and received by September 20, 2005. • Whether the proposed information background documents are available for ADDRESSES: You may submit comments, collection requirements are necessary inspection and copying at the OSHA identified by OSHA Docket No. for the proper performance of the Docket Office at the above address. ICr+1218–0225(2005), by any of the Agency’s functions, including whether Comments and submissions posted on followint methods: the information is useful; OSHA’s Web page are available at • Regular mail, express delivery, hand The accuracy of OSHA’s estimate of http://www.OSHA.gov. Contact the delivery, and messenger service: Submit the burden (time and costs) of the OSHA Docket Office for information your comments and attachments to the information collection requirements, about materials not available through OSHA Docket Office, Room N–265, U.S. including the validity of the the OSHA Web page and for assistance Department of Labor, 200 Constitution methodology and assumptions used; using the Web page to locate docket • Avenue, NW., Washington, DC 20210; The quality, utility, and clarity of submissions. telephone (202) 693–2350 (OSHA’s TTY the information collected; and • Electronic copies of the Federal number is (877) 889–5627). OSHA Ways to minimize the burden on Register notice as well as other relevant Docket Office and Department of Labor employers who must comply; for documents are available on OSHA’s hours are 8:15 a.m. to 4:45 p.m., ET. example, by using automated or other Web page. Since all submissions Facsimile: If your comments are 10 technological information collection become public, private information such pages or fewer in length, including and transmission techniques. as social security numbers should not be attachments, you may fax them to the III. Proposed Actions submitted. OSHA Docket Office at (202) 693–1648. Electronic: You may submit OSHA proposes to extend the Office V. Authority and Signature comments through the Internet at of Management and Budget’s (OMB) Jonathan L. Snare, Acting Assistant http://ecomments.osha.gov. Follow approval of the collection of information Secretary of Labor for Occupational instructions on the OSHA Web page for (paperwork) requirements necessitated Safety and Health, directed the submitting comments. by the Shipyard Employment Standards preparation of this notice. The authority Docket: For access to the docket to (29 CFR 1915.113(b)(1) and 29 CFR for this notice is the Paperwork read and download comments or 1915.172(d)). The Agency will include Reduction Act of 1995 (44 U.S.C. 3506 background materials, such as the this summary in its request to OMB to et seq.), and Secretary of Labor’s Order complete information Collection extend the approval of these collection No. 5–2002 (67 FR 65008). Request (ICR) (containing the of information requirements. Supporting Statement, OMB–83 I Form, Type of Review: Extension of Signed at Washington, DC, on July 19, and attachments), go to OSHA’s Web currently approved information 2005. page at http://OSHA.gov. In addition, collection requirements. Jonathan L. Snare, the ICR, comments, and submissions are Title: Shipyard Employment Acting Assistant Secretary of Labor. available for inspection and copying at Standards (29 CFR 1915.113(b)(1) and [FR Doc. 05–14538 Filed 7–21–05; 8:45 am] the OSHA Docket Office at the address 29 CFR 1915.172(d)). BILLING CODE 4510–26–M above. You also may contact Theda OMB Number: 1218–0220. Affected Public: Business or other for- Kenney at the address below to obtain profits; not for profit organizations; DEPARTMENT OF LABOR a copy of the ICR. For additional Federal Government; State, local or information on submitting comments, tribal government. Occupational Safety and Health please see the ‘‘Public Participation’’ Frequency: On occasion. Administration heading in the SUPPLEMENTARY Average Time per Response: Varies INFORMATION section of this document. from 2 minutes (0.3 hour) to maintain a [Docket No. ICR 1218–0225(2005)] FOR FURTHER INFORMATION CONTACT: certification record to 35 minutes (.58 Theda Kenney or Todd Owen, hour) to obtain certain information from Telecommunications (Training Directorate of Standards and Guidance, a manufacturer. Certification Record); Extension of the OSHA, Room N–3609, 200 Constitution Estimated Total Burden Hours: 145. Office of Management and Budget’s Avenue, NW., Washington, DC 20210, Estimated Cost (Operation and (OMB) Approval of Information telephone: (202) 693–2222. Maintenance): $0. Collection (Paperwork) Requirements SUPPLEMENTARY INFORMATION: IV. Public Participation—Submission of AGENCY: Occupational Safety and Health I. Background Comments on This Notice and Internet Administration (OSHA), Labor. The Department of Labor, as part of its Access to Comments and Submissions ACTION: Request for public comment. continuing efforts to reduce paperwork You may submit comments and and respondent (i.e., employer) burden, SUMMARY: supporting materials in response to this OSHA solicits public conducts a preclearance consultation notice by (1) hard copy, (2) fax comment concerning its request for an program to provide the public with an transmission (facsimile), or (3) extension of the information collection opportunity to comment on proposed electronically through the OSHA Web requirement contained in its Standard and continuing information collection page. Because of security-related on Telecommunications (Training requirements in accordance with the problems, there may be a significant Certification Records) (29 CFR Paperwork Reduction Act of 1995 delay in the receipt of comments by 1910.268(c)). (PRA–95) (44 U.S.C. 3506(c)(2)(A)). regular mail. Please contact the OSHA DATES: Comments must be submitted by This program ensures that Docket Office at (202) 693–2350 (TTY the following dates: information is in the desired format,
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reporting burden (time and costs) is III. Proposed Actions Webpage. Since all submissions become minimal, collection instruments are OSHA proposes to extend the Office public, private information such as clearly understood, and OSHA’s of Management and Budget’s (OMB) social security numbers should not be estimate of the information collection approval of the collection of information submitted. burden is accurate. The Occupational (paperwork) requirement contained in V. Authority and Signature Safety and Health Act of 1970 (the Act) the Standard of Telecommunications (29 U.S.C. 651 et seq.) authorizes Jonathan L. Snare, Acting Assistant (Training Certification Records) (29 CFR Secretary of Labor for Occupational information collection by employers as 1910.268(c)). The Agency will necessary or appropriate for Safety and Health, directed the summarize the comments submitted in preparation of this notice. The authority enforcement of the Act or for developing response to this notice, and will include information regarding the causes and for this notice is the Paperwork this summary in its request to OMB to Reduction Act of 1995 (44 U.S.C. 3506 prevention of occupational injuries, extend the approval of the collection of illnesses, and accidents (29 U.S.C. 657). et seq.), and Secretary of Labor’s Order information requirement contained in No. 5–2002 (67 FR 65008). The Telecommunications Standard at the Standard. 29 CFR 1910.268(c) specifies one Type of Review: Extension of Signed at Washington, DC, on July 15, 2005. information collection requirement. The currently approved information following section describes who uses collection requirement. Jonathan L. Snare, the information collected under the Title: Telecommunications (Training Acting Assistant Secretary of Labor. requirement as well as how they use it. Certification Records) (29 CFR [FR Doc. 05–14539 Filed 7–21–05; 8:45 am] The purpose of this requirement is to 1910.268(c)). BILLING CODE 4510–26–M ensure that employees have been OMB Number: 1218–0225. trained as required by the Standard to Affected Public: Business or other for- prevent risk of death or serious injury. profits; not-for-profit organizations; DEPARTMENT OF LABOR Training (paragraph (c)). Under the Federal government; State, local, or Occupational Safety and Health paperwork requirement specified by tribal government. Administration paragraph (c) of the Standard, Number of Respondents: 651. employers must certify that his or her Frequency of Response: On occasion. [Docket No. ICR 1218–0219(2005)] employees have been trained as Total Responses: 140,050. specified by the performance-language Average Time Per Response: 2 Servicing Multi-Piece and Single Piece training provision of the Standard. minutes (.03 hour) to generate or Rim Wheels Standard; Extension of the Specifically, employers must prepare a disclose training certification records. Office of Management and Budget’s certification record which includes the Estimated Total Burden Hours: 4,202. (OMB) Approval of Information identity of the person trained, the Estimated Cost (Operation and Collection (Paperwork) Requirements signature of the employer or the person Maintenance): $0. AGENCY: Occupational Safety and Health who conducted the training, and the IV. Public Participation—Submission of Administration (OSHA), Labor. date the training was completed. The Comments on this Notice and Internet ACTION: Request for public comment. certification record shall be prepared at Access to Comments and Submissions the completion of training and shall be SUMMARY: OSHA solicits public maintained on file for the duration of You may submit comments and comment concerning its request for an the employee’s employment. The supporting materials in response to this extension of the information collection information collected would be used by notice by (1) hard copy, (2) fax requirements contained in its Standard employers as well as compliance transmission (facsimile), or (3) on Servicing Multi-Piece and Single officers to determine whether electronically through the OSHA Web Piece Rim Wheels (29 CFR 1910.177). employees have been trained according page. Because of security-related DATES: Comments must be submitted by to the requirements set forth in 29 CFR problems, a significant delay may occur the following dates: 1910.268(c). in the receipt of comments by regular Hard copy: Your comments must be mail. Please contact the OSHA Docket submitted (postmarked or received) by II. Special Issues for Comment Office at (202) 693–2350 (TTY (877) September 20, 2005. OSHA has a particular interest in 889–5627) for information about Facsimile and electronic comments on the following issues: security procedures concerning the transmission: Your comments must be delivery of submissions by express • Whether the proposed information received by September 20, 2005. delivery, hand delivery, and courier collection requirements are necessary ADDRESSES: You may submit comments, service. for the proper performance of the identified by OSHA Docket No. ICR– All comments, submissions and Agency’s functions, including whether 1218–0219 (2005), by any of the background documents are available for the information is useful; following methods: • inspection and copying at the OSHA Regular mail, express delivery, hand The accuracy of OSHA’s estimate of Docket Office at the above address. delivery, and messenger service: Submit the burden (time and costs) of the Comments and submissions posted on your comments and attachments to the information collection requirements, OSHA’s Webpage are available at OSHA Docket Office, Room N–2625, including the validity of the http://www.OSHA.gov. Contact the U.S. Department of Labor, 200 methodology and assumptions used; OSHA Docket Office for information Constitution Avenue, NW., Washington, • The quality, utility, and clarity of about materials not available through DC 20210; telephone (202) 693–2350 the information collected; and the OSHA Web page and for assistance (OSHA’s TTY number is (877) 889– • Ways to minimize the burden on using the Web page to locate docket 5627). OSHA Docket Office and employers who must comply; for submissions. Department of Labor hours are 8:15 a.m. example, by using automated or other Electronic copies of this Federal to 4:45 p.m., ET. technological information collection Register notice, as well as other relevant Facsimile: If your comments are 10 and transmission techniques. documents, are available on OSHA’s pages or fewer in length, including
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attachments, you may fax them to the reduce employees’ risk of death or (paperwork) requirements contained in OSHA Docket Office at (202) 693–1648. serious injury by ensuring that the Standard on Servicing Multi-Piece Electronic: You may submit restraining devices used by them during and Single Piece Rim Wheels (29 CFR comments through the Internet at the servicing of multi-piece rim wheels 1910.177). The Agency will summarize http://ecomments.osha.gov. Follow are in safe operating condition. the comments submitted in response to instructions on the OSHA Webpage for Certification of repair (paragraph this notice, and will include this submitting comments. (d)(3)(iv)) This paragraph requires that summary in its request to OMB to Docket: For access to the docket to when restraining devices and barriers extend the approval of the collection of read or download comments or are removed from service because they information requirements contained in background materials, such as the are defective, they shall not be returned the Standard. complete Information Collection to service until they are repaired and Type of Review: Extension of Request (ICR) (containing the reinspected. If the repair is structural, currently approved information Supporting Statement, OMB–83–I Form, the manufacturer or a Registered collection requirements. and attachments), go to OSHA’s Professional Engineer must certify that Title: Servicing Multi-Piece and Webpage at http://www.OSHA.gov. In the strength requirements specified in Single Piece Rim Wheels (29 CFR addition, the ICR, comments and (d)(3)(i) of the Standard have been met. 1910.177). submissions are available for inspection This certification record is used to OMB Number: 1218–0219. and copying at the OSHA Docket Office assure that equipment has been repaired Affected Public: Business or other for- at the address above. You also may properly. The certification record also profits; not-for-profit organizations; contact Theda Kenney at the address provides the most efficient means for Federal government; State, local, or below to obtain a copy of the ICR. For OSHA compliance officers to determine tribal government. additional information on submitting that an employer is complying with the Number of Respondents: 8. comments, please see the ‘‘Public Standard. Frequency of Response: On occasion. Participation’’ heading in the Marking or tagging of wheel Number of Respondents: 8. Average Time Per Response: 3 SUPPLEMENTARY INFORMATION section of components (paragraph (e)(2)) This this document. paragraph requires that defective wheels minutes (.05 hour) to maintain a and wheels components ‘‘be marked or certificate verifying proper repair of FOR FURTHER INFORMATION CONTACT: restraining device or barrier and to Theda Kenney or Todd Owen, tagged unserviceable and removed from the service area.’’ Under the disclose to an OSHA Compliance Directorate of Standards and Guidance, Officer. OSHA, Room N–3609, 200 Constitution requirement, OSHA is providing employers with sufficient information Estimated Total Burden Hours: 1. Avenue, N.W., Washington, DC 20210, Estimated Cost (Operation and telephone: (202) 693–2222. from which they can derive the wording to use in marking the object or Maintenance): $0. SUPPLEMENTARY INFORMATION: constructing a tag. Therefore, this IV. Public Participation—Submission of I. Background provision imposed no paperwork Comments on this Notice and Internet The Department of Labor, as part of its burden because if falls within the Access to Comments and Submission] portion of 5 CFR 1320(c)(2) that states, continuing effort to reduce paperwork You may submit comments and ‘‘The public disclosure of information and respondent (i.e., employer) burden, supporting materials in response to this originally supplied by the Federal conducts a preclearance consultation notice by (1) hard copy, (2) fax government to the recipient for the program to provide the public with an transmission (facsimile), or (3) purpose of disclosure to the public is opportunity to comment on proposed electronically through the OSHA not included within this definition [of and continuing information collection Webpage, Because of security-related ‘collection of information’]’’. requirements in accordance with the problems, a significant delay may occur Paperwork Reduction Act of 1995 II. Special Issues for Comment in the receipt of comments by regular (PRA–95) (44 U.S.C. 3506(c)(2)(A)). OSHA has a particular interest in mail. Please contact the OSHA Docket This program ensures that comments on the following issues: Office at (202) 693–2350 (TTY) (877) information is in the desired format, • Whether the proposed information 889–5627) for information about reporting burden (time and costs) is collection requirements are necessary security procedures concerning the minimal, collection instructions are for the proper performance of the delivery of submissions by express clearly understand, and OSHA’s Agency’s functions, including whether delivery, hand delivery and courier estimates of the information collection the information is useful; service. burden is accurate. The Occupational • The accuracy of OSHA’s estimate of All comments, submissions and Safety and Health Act of 1970 (the Act) the burden (time and costs) of the background documents are available for (29 U.S.C. 651 et seq.) authorizes information collection requirements, inspection and copying at the OSHA information collection by employers as including the validity of the Docket Office at the above address. necessary or appropriate for methodology and assumptions used; Comments and submissions posted on enforcement of the Act or for developing • The quality, utility, and clarity of OSHA’s Web page are available at http:/ information regarding the causes and the information collected; and /www.OSHA.gov. Contact the OSHA prevention of occupational injuries, ∑ Ways to minimize the burden on Docket Office for information about illnesses, and accidents (29 U.S.C. 657). employers who must comply; for materials not available through the The Standard on Service Multi-Piece example, by using automated or other OSHA Web page and for assistance and Single Piece Rim Wheels (29 CFR technological information collection using the Web page to locate docket 1910.177) (the Standard) specifies two and transmission techniques. submissions. paperwork requirements. The following Electronic copies of this Federal sections describe who uses the III. Proposed Actions Register notice, as well as other relevant information collection under the OSHA proposes to extend the Office documents, are available on OSHA’s requirements, as well as how they use of Management and Budget’s (OMB) Webpage. Since all submissions become it. The purpose of the requirements is to approval of the collection of information public, private information such as
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social security numbers should not be MISSISSIPPI RIVER COMMISSION STATUS: Open to the public. submitted. MATTERS TO BE CONSIDERED: (1) Sunshine Act Meetings V. Authority and Signature Summary report by President of the Commission on national and regional AGENCY HOLDING THE MEETINGS: Jonathan L. Snare, Acting Assistant issues affecting the U.S. Army Corps of Mississippi River Commission. Secretary of Labor for Occupational Engineers and Commission programs TIME AND DATE: Safety and Health, directed the 9 a.m., August 22, 2005. and projects on the Mississippi River preparation of this notice. The authority PLACE: On board MISSISSIPPI V at City and its tributaries; (2) District for this notice is the Paperwork Front, Cairo, IL. Commander’s overview of current Reduction Act of 1995 (44 U.S.C. 3506 STATUS: Open to the public. project issues within the New Orleans et. seq.), and Secretary of Labor’s Order MATTERS TO BE CONSIDERED: (1) District; and (3) Presentations by local No. 5–2002 (67 FR 65008). Summary report by President of the organizations and members of the Signed at Washington, DC, on July 15, Commission on national and regional public giving views or comments on any 2005. issues affecting the U.S. Army Corps of issue affecting the programs or of the Jonathan L. Snare. Engineers and Commission programs Commission and the Corps of Engineers. Acting Assistant Secretary of Labor. and projects on the Mississippi River CONTACT PERSON FOR MORE INFORMATION: [FR Doc. 05–14544 Filed 7–21–05; 8:45 am] and its tributaries; (2) District Mr. Stephen Gambrell, telephone 601– BILLING CODE 4510–26–M Commander’s overview of current 634–5766. project issues within the Memphis District; and (3) Presentations by local Brenda S. Bowen, MILLENNIUM CHALLENGE organizations and members of the Army Federal Register Liaison Officer. CORPORATION public giving views or comments on any [FR Doc. 05–14583 Filed 7–20–05; 11:24 am] issue affecting the programs or projects BILLING CODE 3710–GX–M [MCC FR 05–13] of the Commission and the Corps of Notice of the July 28, 2005 Millennium Engineers. Challenge Corporation Board of TIME AND DATE: 9 a.m., August 23, 2005. NATIONAL AERONAUTICS AND SPACE ADMINISTRATION Directors Meeting; Sunshine Act PLACE: On board MISSISSIPPI V at Meeting Mudd Island, Memphis, TN. [Notice (05–120)] STATUS: Open to the public. AGENCY: Millennium Challenge NASA Advisory Council, Financial MATTERS TO BE CONSIDERED: (1) Corporation. Audit Committee, Meeting TIME AND DATE: 2 p.m. to 4 p.m., Summary report by President of the Thursday, July 28, 2005. Commission on national and regional AGENCY: National Aeronautics and issues affecting the U.S. Army Corps of PLACE: Department of State, 2201 C Space Administration. Street, NW., Washington, DC 20520. Engineers and Commission programs ACTION: Notice of meeting. and projects on the Mississippi River FOR FURTHER INFORMATION CONTACT: and its tributaries; (2) District SUMMARY: In accordance with the Information on the meeting may be Commander’s overview of current Federal Advisory Committee Act obtained from Joyce B. Lanham via e- project issues within the Memphis (FACA), Public Law 92–463, as mail at [email protected] or by telephone District; and (3) Presentations by local amended, the National Aeronautics and at (202) 521–3600. organizations and members of the Space Administration announce a STATUS: Meeting will be closed to the public giving views or comments on any forthcoming meeting of the NASA public. issue affecting the programs or projects Advisory Council (NAC), Financial MATTERS TO BE CONSIDERED: The Board of the Commission and the Corps of Audit Committee (NFAC). of Directors (the ‘‘Board’’) of the Engineers. DATES: Tuesday, August 9, 2005, 9 a.m. Millennium Challenge Corporation to 3 p.m. (‘‘MCC’’) will hold a meeting to initiate TIME AND DATE: 9 a.m., August 24, 2005. the FY 2006 country selection process PLACE: On board MISSISSIPPI V at City ADDRESSES: National Aeronautics and by identifying countries that will be Front, Greenville, MS. Space Administration, Glenn Research candidates for Millennium Challenge STATUS: Open to the public. Center, 21000 Brookpark Road, Bldg. 3, Account (‘‘MCA’’) assistance in FY 2006 MATTERS TO BE CONSIDERED: (1) Room 215, Cleveland OH 44135. (216) based on the per capita income and Summary report by President of the 433–2374. other requirements of Section 606(a) of Commission on national and regional FOR FURTHER INFORMATION CONTACT: Ms. the Millennium Challenge Act of 2003 issues affecting the U.S. Army Corps of Ermerdene Lee, of the Chief Financial (Pub. L. 108–199 (Division D)) (the Engineers and Commission programs Officer’s Office, National Aeronautics ‘‘Act’’) and to discuss other Compact and projects on the Mississippi River and Space Administration, Washington, development efforts with MCA-eligible and its tributaries; (2) District DC 20546. (202) 358–4529, e-mail countries, the MCC Threshold Program, Commander’s overview of current [email protected]. and certain administrative matters, all project issues within the Vicksburg SUPPLEMENTARY INFORMATION: The which are expected to involve the District and; (3) Presentations by local meeting will be open to the public up consideration of classified information organizations and members of the to the capacity of the room. The agenda and will be closed to the public. public giving views or comments on any for the meeting includes the following Dated: July 20, 2005. issue affecting the programs or projects topics: of the Commission and the Corps of Jon A. Dyck, —Overview of Glenn Research Center Engineers. Vice President and General Counsel, —Glenn Research Center Office of the Millennium Challenge Corporation. TIME AND DATE: 9 a.m., August 26, 2005. Chief Financial Officer Summary [FR Doc. 05–14597 Filed 7–20–05; 12:40 pm] PLACE: On board MISSISSIPPI V at Port —Property, Plant & Equipment— BILLING CODE 9210–01–P Commission Dock, Morgan City, LA. Contractor Held Property Attendees
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will be requested to sign a register and Statement for License Renewal of For the Nuclear Regulatory Commission. to comply with NASA security Nuclear Plants (GEIS), NUREG–1437, Pao-Tsin Kuo, requirements, including the regarding the renewal of operating Program Director, License Renewal and presentation of a valid picture ID, licenses DPR–65 and NPF–49 for an Environmental Impacts Program, Division of before receiving an access badge. U.S. additional 20 years of operation at Regulatory Improvement Programs, Office of Citizens desiring to attend the NASA Millstone Power Station, Units 2 and 3 Nuclear Reactor Regulation. Financial Audit Committee meeting at (Millstone), respectively. Millstone is [FR Doc. E5–3919 Filed 7–21–05; 8:45 am] the Glenn Research Center (GRC) located in Waterford, Connecticut, on BILLING CODE 7590–01–P must provide their full name, Millstone Point between the Niantic and citizenship, company affiliation (if Thames Rivers, approximately 40 miles applicable), place of birth, and date of to the southeast of Hartford, birth and Foreign nationals who SECURITIES AND EXCHANGE desire to attend the meeting must Connecticut. Possible alternatives to the COMMISSION provide their passport or proposed action (license renewal) naturalization papers to the GRC include no action and reasonable Sunshine Act Meeting Security Office no less than 3 working alternative energy sources. Section 9.3 days prior to the meeting. If the above of the final Supplement 22 states: Notice is hereby given, pursuant to the provisions of the Government in the information is not received by the Based on: (1) The analysis and findings in noted date, attendees should expect a Sunshine Act, Pub. L. 94–409, that the the GEIS (NRC 1996; 1999), (2) the ER Securities and Exchange Commission delay in entering the Glenn Research [environmental report] submitted by will hold the following meeting during Center. All visitors to this meeting Dominion (Dominion 2004b), (3) consultation the week of July 25, 2005: should go to the GRC Security Office, with Federal, State, and local agencies, (4) accessible from Brookpark Road, the staff’s own independent review, and (5) A Closed Meeting will be held on where they will be cleared, given an the staff’s consideration of public comments, Thursday, July 28, 2005 at 2 p.m. identification badge, and transported the recommendation of the staff is that the Commissioners, Counsel to the to the meeting location, if seating is Commission determine that the adverse Commissioners, the Secretary to the available. Please provide the environmental impacts of license renewal for Commission, and recording secretaries requested information, by the Millstone, are not so great that preserving the will attend the Closed Meeting. Certain appropriate date, via FAX to (216) option of license renewal for energy planning staff members who have an interest in 433–2946, to the attention of Kathy decision makers would be unreasonable. the matters may also be present. Roser, noting at the top: ‘‘PUBLIC The General Counsel of the ADMISSION TO THE FINANCIAL The final Supplement 22 to the GEIS Commission, or his designee, has AUDIT COMMITTEE MEETING @ is publicly available at the NRC’s certified that, in his opinion, one or GRC.’’ Faxes not addressed as Agencywide Documents Access and more of the exemptions set forth in 5 required will not be processed. Management System (ADAMS). ADAMS U.S.C. 552b(c)(3), (5), (7), (8), (9)(B), and For security questions, please contact is accessible at http://www.nrc.gov/ (10) and 17 CFR 200.402(a) (3), (5), (7), Kathy Roser at (216) 433–2374. It is reading-rm/adams.html; a link is (8), 9(ii) and (10) permit consideration imperative that the meeting be held on provided to access documents through of the scheduled matters at the Closed this date to accommodate the the Web-based component of ADAMS. Meeting. scheduling priorities of the key The accession number for the final Commissioner Campos, as duty participants. Supplement 22 to the GEIS is officer, voted to consider the items July 18, 2005. ML051960293. Persons who do not have listed for the closed meeting in a closed access to ADAMS, or who encounter P. Diane Rausch, session. problems in accessing the documents Advisory Committee Management Officer, The subject matters of the Closed National Aeronautics and Space located in ADAMS, should contact the Meeting scheduled for Thursday, July Administration. NRC’s PDR Reference staff at 1–800– 28, 2005, will be: [FR Doc. 05–14449 Filed 7–21–05; 8:45 am] 397–4209, or 301–415–4737, or by e- Regulatory matter regarding a BILLING CODE 7510–13–P mail at [email protected]. In addition, the financial institution; formal orders of Waterford Public Library, 49 Rope Ferry investigations; institution and Road, Waterford, Connecticut, and the settlement of injunctive actions; NUCLEAR REGULATORY Three Rivers Community College, institution and settlement of COMMISSION Thames River Campus Library, 574 New administrative proceedings of an London Turnpike, Norwich, enforcement nature; and adjudicatory [Docket Nos. 50–336 and 50–423] Connecticut, have agreed to make the matters. Dominion Nuclear Connecticut, Inc. final Supplement 22 to the GEIS At times, changes in Commission (Dominion), Millstone Power Station, available for public inspection. priorities require alterations in the Units 2 And 3; Notice of Availability of For Further Information, Contact: Mr. scheduling of meeting items. the Final Supplement 22 to the Generic Richard L. Emch, Jr., License Renewal For further information and to Environmental Impact Statement for and Environmental Impacts Program, ascertain what, if any, matters have been License Renewal of Nuclear Plants, Division of Regulatory Improvement added, deleted or postponed, please Regarding Millstone Power Station, Programs, U.S. Nuclear Regulatory contact: The Office of the Secretary at Units 2 And 3 Commission, Washington, DC 20555. (202) 551–5400. Notice is hereby given that the U.S. Mr. Emch may be contacted at 1–800– Dated: July 20, 2005. Nuclear Regulatory Commission 368–5642, extension 1590 or via e-mail Jonathan G. Katz, (Commission) has published a final at [email protected]. Secretary. plant-specific supplement to the Dated at Rockville, Maryland, this 18th day [FR Doc. 05–14647 Filed 7–20–05; 3:57 pm] Generic Environmental Impact of July, 2005. BILLING CODE 8010–01–P
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SECURITIES AND EXCHANGE II. Self-Regulatory Organization’s III. Date of Effectiveness of the COMMISSION Statement of the Purpose of, and Proposed Rule Change and Timing for Statutory Basis for, the Proposed Rule Commission Action [Release No. 34–52033; File No. SR–BSE– Change Within 35 days of the date of 2005–20] publication of this notice in the Federal In its filing with the Commission, the Register or within such longer period (i) BSE included statements concerning the Self-Regulatory Organizations; Boston as the Commission may designate up to Stock Exchange; Notice of Filing of purpose of, and basis for, the proposed 90 days of such date if it finds such Proposed Rule Change Relating to rule change and discussed any longer period to be appropriate and Trade Shredding comments it received on the proposed publishes its reasons for so finding or rule change. The text of these statements (ii) as to which the self-regulatory July 14, 2005. may be examined at the places specified organization consents, the Commission Pursuant to Section 19(b)(1) of the in Item IV below. The BSE has prepared will: Securities Exchange Act of 1934, as summaries, set forth in Sections A, B, (A) By order approve such proposed amended, (‘‘Act’’) 1 and Rule 19b–4 and C below, of the most significant rule change, or thereunder,2 notice is hereby given that aspects of such statements. (B) Institute proceedings to determine whether the proposed rule change on June 23, 2005, the Boston Stock A. Self-Regulatory Organization’s Exchange (‘‘BSE’’ or ‘‘Exchange’’) filed should be disapproved. Statement of the Purpose of, and the with the Securities and Exchange Statutory Basis for, the Proposed Rule IV. Solicitation of Comments Commission (‘‘Commission’’) the Change proposed rule change as described in Interested persons are invited to Items I, II, and III below, which Items 1. Purpose submit written data, views, and have been prepared by the Exchange. arguments concerning the foregoing, The Commission is publishing this The purpose of the proposed rule including whether the proposed rule notice to solicit comments on the change is to amend a section of the change is consistent with the Act. proposed rule change from interested Rules of the Board of Governors of the Comments may be submitted by any of persons. Boston Stock Exchange (‘‘BSE Rules’’) to the following methods: prohibit trade shredding. The BSE is Electronic Comments I. Self-Regulatory Organization’s proposing to add language to its existing • Use the Commission’s Internet Statement of the Terms of Substance of BSE Rules to prohibit BSE members comment form (http://www.sec.gov/ the Proposed Rule Change from splitting large orders into multiple rules/sro.shtml); or The Exchange proposes to amend its smaller orders for any purpose other • Send an e-mail to rule- rules relating to trade shredding (‘‘Units than best execution. [email protected]. Please include File of Trading’’). The text of the proposed 2. Statutory Basis Number SR–BSE–2005–20 on the rule change appears below. Additions subject line. are in italics. The proposed rule change is Paper Comments * * * * * consistent with Section 6(b) of the Act,3 in general, and furthers the objectives of • Send paper comments in triplicate Chapter II Section 6(b)(5) of the Act,4 in particular, to Jonathan G. Katz, Secretary, Dealings on the Exchange in that it is designed to promote just and Securities and Exchange Commission, equitable principles of trade, to remove Station Place, 100 F Street, NE., SEC. 4. impediments to and perfect the Washington, DC 20549–9303. Units of Trading mechanism of a free and open market All submissions should refer to File and a national market system, and is not Number SR–BSE–2005–20. This file The unit of trading in bonds shall be designed to permit unfair number should be included on the $1000 in par value thereof. discrimination between customers, subject line if e-mail is used. To help the The unit of trading in stocks shall be brokers, or dealers, or to regulate by Commission process and review your 100 shares, except that the Exchange virtue of any authority matters not comments more efficiently, please use may fix a smaller number of shares in related to the administration of the only one method. The Commission will any particular instance. Exchange. post all comments on the Commission’s Internet Web site (http://www.sec.gov/ Bids or offers for less than the unit of B.Self-Regulatory Organization’s rules/sro.shtml). Copies of the trading shall specify the par value of the Statement on Burden on Competition submission, all subsequent bonds or number of shares of stock amendments, all written statements covered by the bid or offer. The Exchange believes that the with respect to the proposed rule A customer’s order in the unit of proposed rule change will impose no change that are filed with the trading, or multiples thereof, in any burden on competition. Commission, and all written security traded on the Exchange, the C.Self-Regulatory Organization’s communications relating to the primary market for which is on another Statement on Comments on the proposed rule change between the Exchange, may not be split into odd- Proposed Rule Change Received From Commission and any person, other than lots. A member may not split any order Members, Participants or Others those that may be withheld from the into multiple smaller orders for any public in accordance with the purpose other than seeking the best The Exchange has neither solicited provisions of 5 U.S.C. 552, will be execution of the entire order. nor received comments on this available for inspection and copying in * * * * * proposal. the Commission’s Public Reference Room. Copies of such filing also will be 1 15 U.S.C. 78s(b)(1). 3 15 U.S.C. 78f(b). available for inspection and copying at 2 17 CFR 240.19b–4. 4 15 U.S.C. 78f(b)(5). the principal offices of BSE. All
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comments received will be posted CHAPTER VIII Number of Violations without change; the Commission does Market-Makers, Trading Crowds and in any Rolling Fine Amount not edit personal identifying Twelve-Month Modified Trading Systems (Rules 8.1– Period information from submissions. You 8.95) should submit only information that 1st Offense ...... $100 to $2,500 or you wish to make available publicly. All * * * * * Referral to Busi- submissions should refer to File Rule 8.1–8.84 No Change. ness Conduct Number SR–BSE–2005–20 and should Committee be submitted on or before August 12, Rule 8.85. DPM Obligations 2nd–3rd Offense ...... $100 to $5,000 or 2005. Referral to Busi- (a) Dealer Transactions. Each DPM ness Conduct For the Commission, by the Division of shall fulfill all of the obligations of a Committee Market Regulation, pursuant to delegated Market-Maker under the Rules, and Subsequent Offenses Referral to Business authority.5 shall satisfy each of the following Conduct Com- Jill M. Peterson, requirements in respect of each of the mittee] Assistant Secretary. securities allocated to the DPM. To the extent that there is any inconsistency [(11)](10) Communications to the [FR Doc. E5–3913 Filed 7–21–05; 8:45 am] between the specific obligations of a Exchange or the Clearing Corporation BILLING CODE 8010–01–P DPM set forth in subparagraphs (a)(i) (Rule 4.11) through (a)(xi) of this Rule and the No Change. general obligations of a Market Maker SECURITIES AND EXCHANGE * * * * * under the Rules, subparagraphs (a)(i) COMMISSION through (a)(xi) of this Rule shall govern. * * * Interpretations and Policies: Each DPM shall: .01–.04 No Change. [Release No. 34–52044; File No. SR–CBOE– (i)–(x) No Change. 2005–28] * * * * * [(xi) in the case of a DPM utilizing a II. Self-Regulatory Organization’s Self-Regulatory Organizations; proprietary autoquote system in a non- Statement of the Purpose and Statutory Chicago Board Options Exchange, CBOE Hybrid System class, assure that Basis for, the Proposed Rule Change Incorporated; Notice of Filing of a the Exchange’s AutoQuote system is Proposed Rule Change Relating to maintained as a back-up at all times and In its filing with the Commission, DPM Obligations for Maintaining ready for immediate use. CBOE included statements concerning Backup Autoquote Systems (xii) in the case of a DPM utilizing a the purpose of and basis for the proprietary autoquote system in a proposed rule change and discussed any July 15, 2005. Hybrid System class, the DPM must comments it received on the proposed Pursuant to Section 19(b)(1) of the have available for immediate use an rule change. The text of these statements Securities Exchange Act of 1934 alternative autoquote system that is may be examined at the places specified (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 entirely independent of the DPM’s in Item IV below. The CBOE has notice is hereby given that on April 1, primary autoquote system.] prepared summaries, set forth in 2005, the Chicago Board Options (b)–(e) No Change. sections (A), (B), and (C) below, of the Exchange, Incorporated (‘‘CBOE’’ or * * * * * most significant aspects of such ‘‘Exchange’’) filed with the Securities statements. and Exchange Commission * * * Interpretations and Policies: A. Self-Regulatory Organization’s (‘‘Commission’’) the proposed rule .01–.04 No Change. Statement of the Purpose of, and change as described in Items I, II, and * * * * * III below, which Items have been Statutory Basis for, the Proposed Rule prepared by the CBOE. The Commission Rule 17.50. Imposition of Fines for Change Minor Rule Violations is publishing this notice to solicit 1. Purpose comments on the proposed rule change (a)–(f) No Change. from interested persons. Exchange Rules 8.85(a)(xi) and (xii) (g) The following is a list of the rule both impose an obligation on DPMs to I. Self-Regulatory Organization’s violations subject to, and the applicable maintain independent backup autoquote Statement of the Terms of Substance of fines that may be imposed by the the Proposed Rule Change systems that can be employed in the Exchange pursuant to this Rule: event that a DPM’s proprietary The Exchange submits this rule (1)–(9) No Change. autoquote system should fail or be change filing, which proposes to amend [(10) Violations of DPM Obligation to otherwise unavailable. Rule 8.85(a)(xi) CBOE rules to remove the requirement Assure that a Back-Up Auto Quote governs non-CBOE Hybrid System that Designated Primary Market-Makers System is Maintained at all Times. (‘‘non-Hybrid’’) classes and requires maintain a back-up quoting system for (Rules 8.85(a)(xi) and (xii)) DPMs to maintain the Exchange’s Hybrid and non-Hybrid option classes. (a) A fine shall be imposed upon a AutoQuote system as a backup for non- The text of the proposed rule change DPM that fails to assure that Hybrid classes. Because of compatibility is provided below. Additions are in disseminated market quotations are restrictions, the Exchange’s AutoQuote italics; deletions are in [brackets]. accurate for any given trading station system cannot be used as a backup for * * * * * because of a failure of the DPM’s Hybrid classes, so the Exchange adopted proprietary autoquote system during Rule 8.85(a)(xii), which requires DPMs to maintain an independent backup 5 17 CFR 200.30–3(a)(12). market hours coupled with the DPM’s 1 15 U.S.C. 78s(b)(1). failure to maintain a back-up autoquote autoquote system that it may employ in 2 17 CFR 240.19b–4. system. the event its proprietary autoquote
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system fails.3 The Exchange believes B. Self-Regulatory Organization’s amendments, all written statements that, under the current CBOE Statement on Burden on Competition with respect to the proposed rule environment, these obligations are now This proposed rule change does not change that are filed with the both unnecessary and unduly impose any burden on competition that Commission, and all written burdensome on DPMs and, accordingly, is not necessary or appropriate in communications relating to the should be repealed. furtherance of the purposes of the Act. proposed rule change between the Commission and any person, other than With regard to the non-Hybrid backup C. Self-Regulatory Organization’s those that may be withheld from the autoquote obligation, because the Statement on Comments on the public in accordance with the Exchange has converted all of its DPM Proposed Rule Change Received From provisions of 5 U.S.C. 552, will be option classes to the CBOE Hybrid Members, Participants or Others available for inspection and copying in System, there are no more non-Hybrid No written comments were solicited the Commission’s Public Reference classes and, as such, CBOE Rule or received with respect to the proposed Room. Copies of such filing also will be 8.85(a)(xi) no longer applies and should rule change. available for inspection and copying at be deleted. Additionally, the Exchange the principal office of the CBOE. All III. Date of Effectiveness of the believes that the recent adoption and comments received will be posted Proposed Rule Change and Timing for implementation of the electronic DPM without change; the Commission does 4 Commission Action (‘‘e-DPM’’) program on the Exchange not edit personal identifying provides a more appropriate and cost Within 35 days of the date of information from submissions. You effective safeguard against a DPM’s publication of this notice in the Federal should submit only information that inability to generate quotes in option Register or within such longer period (i) you wish to make available publicly. All classes traded on the Exchange in as the Commission may designate up to submissions should refer to File Hybrid classes and, as such, the Hybrid 90 days of such date if it finds such Number SR–CBOE–2005–028 and backup autoquote obligation under Rule longer period to be appropriate and should be submitted by August 12, 8.85(a)(xii) is no longer necessary.5 The publishes its reasons for so finding or 2005. (ii) as to which the self-regulatory deletion of the backup autoquote rules For the Commission, by the Division of would not affect a DPM’s separate organization consents, the Commission will: Market Regulation, pursuant to delegated obligation to provide continuous market 6 A. By order approve such proposed authority. quotations for each of its allocated Jill M. Peterson, classes and respective series.6 rule change, or B. Institute proceedings to determine Assistant Secretary. Finally, the Exchange also proposes whether the proposed rule change [FR Doc. E5–3916 Filed 7–21–05; 8:45 am] removing violations of the non-Hybrid should be disapproved. BILLING CODE 8010–01–P backup autoquote rule (Rule 8.85(a)(xi)) and the Hybrid backup autoquote rule IV. Solicitation of Comments (Rule 8.85(a)(xii)) from the Exchange’s Interested persons are invited to SECURITIES AND EXCHANGE Minor Rule Plan.7 submit written data, views, and COMMISSION arguments concerning the foregoing, 2. Statutory Basis including whether the proposed rule [Release No. 34–52049; File No. SR–NASD– Because the proposed rule change change is consistent with the Act. Comments may be submitted by any of 2005–087] will refine and enhance the Exchange’s the following methods: rules relating to quoting obligations to Self-Regulatory Organizations; make them more efficient and effective, Electronic Comments National Association of Securities the proposed rule change is consistent • Use the Commission’s Internet Dealers, Inc.; Notice of Filing of with Section 6(b) of the Act,8 in general, comment form (http://www.sec.gov/ Proposed Rule Change To Reflect and furthers the objectives of Sections rules/sro.shtml); or Nasdaq’s Separation From NASD Upon 6(b)(5) and 6(b)(7) in particular,9 in that • Send an e-mail to rule- Nasdaq’s Anticipated Approval as a it is designed to promote just and [email protected]. Please include File National Securities Exchange equitable principles of trade, to protect Number SR–CBOE–2005–028 on the July 15, 2005. investors and the public interest, and subject line. enhances the effectiveness and fairness Pursuant to Section 19(b)(1) of the Paper Comments of the Exchange’s disciplinary Securities Exchange Act of 1934 • 1 2 procedures. Send paper comments in triplicate (‘‘Act’’) and Rule 19b–4 thereunder, to Jonathan G. Katz, Secretary, notice is hereby given that on July 11, 3 CBOE Rule 8.85(a)(xii) requires that the Hybrid Securities and Exchange Commission, 2005, the National Association of backup autoquote system be independent from the 100 F Street, NE., Washington, DC Securities Dealers, Inc. (‘‘NASD’’) filed DPM’s proprietary autoquote system. 20549–9303. with the Securities and Exchange 4 See Exchange Act Release Nos. 49577 (April 19, All submissions should refer to File Commission (‘‘Commission’’) the 2004), 69 FR 22576 (April 26, 2004) (order Number SR–CBOE–2005–028. This file approving the process for approving e-DPMs on the proposed rule change as described in Exchange); 50003 (July 12, 2004), 69 FR 25647 (July number should be included on the Items I, II, and III below, which Items 19, 2004) (order approving e-DPM trading rules). subject line if e-mail is used. To help the have been prepared by NASD. The 5 Exchange rules now allow CBOE to allocate an Commission process and review your Commission is publishing this notice to option class that is already allocated to a DPM to comments more efficiently, please use solicit comments on the proposed rule one or more e-DPMs. See supra note 4. See also CBOE Rules 8.92 and 8.93. only one method. The Commission will change from interested persons. 6 See CBOE Rule 8.85(a)(i). post all comments on the Commission’s 7 See CBOE Rule 17.50(g)(10). Internet Web site (http://www.sec.gov/ 6 17 CFR 200.30–3(a)(12). 8 15 U.S.C. 78f(b). rules/sro.shtml). Copies of the 1 15 U.S.C. 78s(b)(1). 9 15 U.S.C. 78f(b)(5) and 78f(b)(7). submission, all subsequent 2 17 CFR 240.19b–4.
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I. Self-Regulatory Organization’s exchange 5 and its resultant separation that change, NASD must modify Statement of the Terms of Substance of from NASD; (2) to make certain existing NASD rules, effective upon the Proposed Rule Change clarifying and conforming changes to Nasdaq’s registration as an exchange, to the rules governing quoting and trading reflect this separation of Nasdaq from NASD is proposing to: (1) Amend the through the ADF; and (3) to establish NASD. These changes include removing Plan of Allocation and Delegation of rules for the trade reporting of references in the Delegation Plan to Functions by NASD to Subsidiaries transactions otherwise than on an Nasdaq as a subsidiary and delegation of (‘‘Delegation Plan’’), NASD By-Laws, exchange through the Trade Reporting authority to Nasdaq; revising the NASD NASD Regulation By-Laws, NASD Facility.6 By-Laws, NASD Regulation, Inc. By- Dispute Resolution By-Laws, and NASD Laws and NASD Dispute Resolution, Proposed Changes Relating to the rules to reflect the separation of The Inc. By-Laws to remove references to Separation of Nasdaq Nasdaq Stock Market, Inc. (‘‘Nasdaq’’) Nasdaq as a subsidiary of NASD; from NASD upon Nasdaq’s anticipated In 2000, NASD began restructuring its deleting Nasdaq-specific rules, such as approval as a national securities relationship with Nasdaq, which listing and qualification requirements; exchange; 3 (2) to make certain changes operates as an independent, for-profit replacing references to ‘‘Nasdaq’’ with to the rules that govern quoting and company. As the result of a two-phase ‘‘NASD’’ or ‘‘exchange,’’ as applicable; trading through the NASD Alternative private placement of Nasdaq shares, a and renaming and renumbering certain Display Facility (‘‘ADF’’); and (3) to public offering recently completed in rules.7 Provided below are descriptions establish rules for the trade reporting of January 2005 and other dispositions of of the more significant proposed rule transactions otherwise than on an NASD shares, NASD’s common stock changes to reflect Nasdaq’s separation exchange through the new Trade ownership interest in Nasdaq has been from NASD. reduced to a minority interest. Before Reporting Facility.4 The text of the Nasdaq can fully separate from NASD, Deleted NASD Rules proposed rule is available on the NASD it must become registered as a national The following rules have been deleted Web Site (http://www.nasd.com), on the securities exchange with the by NASD in their entirety because they Commission’s Web Site at (http:// Commission. Nasdaq has submitted either relate exclusively to participation www.sec.gov), at the NASD Office of drafts of proposed additional in, and operation of, the Nasdaq Stock Secretary and at the Commission’s amendments to its Form 1 previously Market or would no longer be applicable Public Reference Room. In the proposed filed with the Commission requesting upon the separation of Nasdaq from rule text, proposed new language is exchange registration. NASD continues NASD: NASD Rules 2852, 2854 and underlined; proposed deletions are in to maintain greater than 50% of the 2870 through 2885 related to Nasdaq brackets. voting control through its ownership of Index Options; NASD Rules 5100 II. Self-Regulatory Organization’s one outstanding share of Series B through 5113 and Rule 8212 related to Statement of the Purpose of, and Preferred Stock until exchange the Nasdaq International Service; the Statutory Basis for, the Proposed Rule registration is granted. Once Nasdaq NASD Rule 5200 Series related to Change obtains exchange registration, the share Intermarket Trading System/Computer of Series B Preferred Stock would Assisted Execution System (ITS/ In its filing with the Commission, automatically lose its voting rights and CAES); 8 the NASD Rule 6300 Series NASD included statements concerning would be redeemed by Nasdaq for related to the Consolidated Quotations the purpose of and basis for the $1.00. Service (CQS); 9 the NASD Rule 6400 proposed rule change and discussed any Thus, upon Nasdaq’s registration as a Series relating to reporting transactions 10 comments it received on the proposed national securities exchange, Nasdaq in exchange-listed securities; the rule change. The text of these statements and NASD would be unaffiliated NASD Rule 6800 Series related to the may be examined at the places specified corporate entities, and therefore each Mutual Fund Quotation Service; and in Item IV below. NASD has prepared will need separate rules applicable to NASD Rule 11890 related to Clearly summaries, set forth in Sections A, B, their respective members. To effectuate Erroneous Transactions. and C below, of the most significant NASD Rule 2840 Series Related to 5 Securities Exchange Act Release No. 44396 aspects of such statements. (June 7, 2001), 66 FR 31952 (June 13, 2001) (File Trading in Index Warrants No. 10–131). A. Self-Regulatory Organization’s The proposed rule change would 6 On December 7, 2001, NASD filed with the delete language in the NASD Rule 2840 Statement of the Purpose of, and Commission SR–NASD–2001–90, a proposed rule Statutory Basis for, the Proposed Rule change to amend NASD rules to reflect Nasdaq’s Series related to index warrants listed Change separation from NASD upon its approval as a on the Nasdaq Stock Market. The national securities exchange and to establish rules existing rule series was promulgated 1. Purpose governing trading otherwise than on an exchange, because Nasdaq intended to list such including transactions effected through the ADF. On July 24, 2002, the Commission approved SR– The purpose of this proposed rule 7 NASD–2002–97, which authorized NASD to operate This proposed rule change also includes change is threefold: (1) To amend NASD the ADF on a pilot basis for nine months, pending corrections of minor grammatical or typographical rules to reflect the anticipated approval the anticipated approval of SR–NASD–2001–90. See errors and other miscellaneous non-substantive of Nasdaq as a national securities Securities Exchange Act Release No. 46249 (July 24, changes. 2002), 67 FR 49822 (July 31, 2002) (SR–NASD– 8 NASD is considering the appropriate quoting 2002–97). NASD subsequently filed for immediate and trading structure and rules that would be 3 The Commission has not reached a decision on effectiveness proposed rule changes to extend the applicable to exchange-listed securities other than Nasdaq’s exchange application. The Commission pilot until July 26, 2005. See Exchange Act Release Nasdaq securities. Its current intention is to permit understands that Nasdaq will submit an amended Nos. 47633 (April 10, 2003), 68 FR 19043 (April 17, quoting and trade reporting of these securities Form 1 application. This amendment to Nasdaq’s 2003) (SR–NASD–2003–67); 49131 (January 27, through the ADF and to permit trade reporting exchange application will be published for public 2004), 69 FR 5229 (February 3, 2004) (SR–NASD– through the Trade Reporting Facility. Accordingly, comment before final action is taken. 2004–12); and 50601 (October 28, 2004), 69 FR proposed changes relating to quoting and trading in 4 The facility has been named the ‘‘Trade 64611 (November 5, 2004) (SR–NASD–2004–160). these securities will be addressed in a future Reporting Facility’’ for purposes of this proposed NASD intends to withdraw SR–NASD–2001–90, submission with the Commission. rule change. The official name of the entity, and this proposed rule change is intended to 9 Id. however, has not yet been determined. replace and update that rule filing. 10 Id.
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index warrants. The remainder of NASD securities. In addition, because NASD NASD Rule 9700 Series Related to Rule 2840 Series remains unchanged, as would continue to operate the OTC Grievances Concerning Automated it has continued applicability to NASD Bulletin Board, the proposed rule Systems members that are not also members of change retains the NASD Rule 6500 NASD is proposing to delete in its an exchange on which they trade index Series. Throughout these rules, entirety the NASD Rule 9700 Series, warrants. references to Nasdaq and Nasdaq which sets forth procedures to address systems have been replaced with NASD, NASD Rules 2850 Through 2885 Related unspecified general grievances related NASD systems or the OTC Reporting to any automated quotation, execution to Position Limits and Options Trading 12 Facility as appropriate. or communication system operated by To reflect Nasdaq’s separation from NASD or Nasdaq. Several of the NASD, the proposed rule change deletes NASD Rule 6900 Series Related to provisions relate to the authority of the from NASD Rules 2850 through 2885 all Direct Participation Programs (DPPs) Nasdaq Listing and Review Council, language related to position limits and The NASD Rule 6900 Series governs which no longer would be part of NASD transactions in index warrants and trade reporting of secondary market upon Nasdaq exchange registration. options traded on Nasdaq. However, the transactions by members in DPP Moreover, this rule series is very general rule change retains all provisions securities other than transactions in nature, as it ostensibly is a ‘‘catch- executed on a national securities related to options trading in the listed all’’ for all potential grievances not exchange. The proposed rule change and over-the-counter (‘‘OTC’’) markets. otherwise provided for in NASD rules, amends the NASD Rule 6900 Series to NASD Rule 5300 Series Related to including the Code of Procedure (NASD reflect the fact that, upon the separation PORTAL Securities Rule 9000 Series) and the Uniform of Nasdaq and NASD, DPPs would no The current NASD Rule 5300 Series Practice Code (NASD Rule 11000 longer be reported to the Nasdaq Market Series). NASD believes that whatever provides qualification and transaction Center, but would be reported to NASD. reporting requirements relating to residual application this rule series may PORTAL securities, which are foreign NASD Rule 6950 Series Related to Order have served at some point, it has since and domestic securities that are eligible Audit Trail System (OATS) been superceded by additional rules for resale under Rule 144A under the Requirements that provide redress for specific grievances, such as denial of access to Securities Act of 1933.11 The proposed Upon Nasdaq’s registration as an services under NASD Rule 9555 and rule change deletes the PORTAL exchange, orders routed by members to denial of access complaints related to requirements relating to the Nasdaq would be subject to the OATS the ADF under NASD Rule 4400A. qualification or designation of PORTAL order transmittal requirements in NASD securities, as that function would be Rule 6954(c)(6), relating to routes to Proposed Changes Related to the performed by Nasdaq. Transactions in non-members, including national Alternative Display Facility PORTAL securities, however, would be securities exchanges. To ensure that The ADF is a quotation collection, reported to NASD; therefore, the NASD continues to receive from its trade comparison, and trade reporting proposed rule change retains those rules members the same OATS data and facility developed by NASD in and has relocated them to the NASD linkage information that it receives accordance with the Commission’s Rule 6700 Series. today, the proposed rule change amends SuperMontage Approval Order 14 and in NASD Rule 6954(c)(6) to require that NASD Rules 6500 Through 6700 Series conjunction with Nasdaq’s anticipated members record the routed order Related to OTC Equity Securities registration as a national securities identifier or other unique identifier exchange. The ADF, which currently is The proposed rule change would required by the non-member receiving operating on a pilot basis, provides ADF combine the existing NASD Rule 6600 the order, as applicable. As a result, it market participants (market makers and and 6700 Series into a single NASD is our understanding that Nasdaq’s ECNs) the ability to post quotations in Rule 6600 Series that governs exchange rules would require that Nasdaq securities and provides all transactions in ‘‘OTC equity securities,’’ orders transmitted to the Nasdaq Market members that participate in the ADF the as that term is defined in the rules. The Center continue to provide a routed ability to view quotations and report proposed combination is intended to order identifier. As such, the proposed transactions in Nasdaq securities to the eliminate redundancies in the existing rule change would require that members exclusive securities information rules, while maintaining all of the record that same routed order identifier processor (‘‘SIP’’) for Nasdaq-listed regulatory requirements for trading and in their transmittal reports, as they do issues for consolidation and reporting transactions in such securities. today. dissemination of data to vendors and The proposed rule change also The proposed rule change also ADF market participants. The facility includes separate definitions for a ‘‘non- clarifies existing requirements related to provides for trade comparison through exchange listed security’’ and ‘‘OTC routed order identifiers, specifically that the Trade Reporting and Comparison Equity Security,’’ with the latter members are permitted to use a routed Service (‘‘TRACS’’) and further provides including certain exchange-listed order identifier that is different from the for real-time data delivery to NASD for securities that do not otherwise qualify order identifier used for order for real-time reporting. NASD believes origination purposes and that a member national securities exchange or registered securities this is necessary given that the trade transmitting an order to another member association to which an order is transmitted. See reporting obligations under the NASD must provide the routed order identifier proposed NASD Rule 6954(c)(6)(I). In its Rule 6600 Series apply to certain 13 submission, NASD inadvertently neglected to to the member receiving the order. underline the proposed rule text to indicate that it exchange-listed securities that do not was new language. Telephone call between otherwise qualify for real-time trade 12 The service by which members can trade report Stephanie Dumont, Vice President, Associate reporting, while other NASD OTC equity securities has been named the ‘‘OTC General Counsel, NASD and Kelly M. Riley, requirements, such as current NASD Reporting Facility’’ for purposes of this proposed Assistant Director, Division of Market Regulation rule change. The official name of that system, (‘‘Division’’), Commission on July 15, 2005. Rule 6740, do not apply to such however, has not yet been determined. 14 Securities Exchange Act Release No. 43863 13 The Commission notes that NASD has also (January 19, 2001), 66 FR 8020 (January 26, 2001) 11 17 CFR 230.144A. proposed to require members to identify the (SR–NASD–99–53).
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regulatory purposes, including Pursuant to the LLC Agreement, (5) Approving or undertaking a enforcement of firm quote and related NASD, as the ‘‘SRO Member’’ of the merger, consolidation or reorganization rules. Trade Reporting Facility, would have of the Trade Reporting Facility with any NASD is proposing several clarifying the sole regulatory responsibility for the other entity; and conforming changes to the ADF activities of the Trade Reporting (6) Entering into any partnership, rules including: (1) Clarification that Facility. The SRO Member would joint venture or other similar joint certain ADF requirements apply not perform SRO Responsibilities including, business undertaking; only to Registered Reporting ADF but not limited to: (7) Making any fundamental change market makers, but to Registered (1) Adoption, amendment and in the market structure of the Trade Reporting ADF ECNs as well; (2) interpretation of policies arising out of Reporting Facility from that amendments to the ADF trade reporting and regarding the operation of the contemplated by the Members as of the requirements to make them more facilities of the SRO, or regarding the date of the LLC Agreement; consistent with current Nasdaq trade meaning, administration, or (8) To the fullest extent permitted by reporting rules, including requiring that enforcement of an existing rule of the law, taking any action to effect the execution time be included in all ADF SRO, including any generally applicable voluntary, or which would precipitate trade reports; (3) clarification that all exemption from such a rule; an involuntary, dissolution or winding applicable trade modifiers must be (2) Approval of rule filings of the SRO up of the Company, other than as included in ‘‘as/of’’ trades; (4) prior to filing with the Commission; contemplated by Section 20 of the LLC amendments to the trade halt rule to (3) Regulation of the Trade Reporting Agreement; include halt authority if there is Facility’s activities, including the right (9) Conversion of the Trade Reporting extraordinary market activity in a to review and approve the regulatory Facility from a Delaware limited security; and (5) deletion of the budget for the Trade Reporting Facility; liability company into any other type of provisions in the ADF rules relating to (4) Securities regulation and any other entity; passive market making, since passive matter implicating SRO (10) Expansion of or modification to market making would not be available Responsibilities; and the business which results in the Trade on the ADF. (5) Real-time market surveillance Reporting Facility engaging in material business unrelated to the business of Proposed Changes Related to the Trade (Nasdaq Marketwatch). Non-System Trading; Reporting Facility Nasdaq, as the ‘‘Business Member,’’ would be primarily responsible for the (11) Changing the number of Directors Establishment of the Trade Reporting management of the Trade Reporting on or composition of the Board; and Facility Facility’s business affairs to the extent (12) Adopting or amending policies NASD is proposing to establish the those activities are not inconsistent with regarding access and credit matters Trade Reporting Facility, which would the regulatory and oversight functions of affecting the Trade Reporting Facility. provide members another mechanism NASD. Under Section 9(d) of the LLC In addition, each Director agrees to for reporting transactions effected Agreement, each Member agrees to comply with the federal securities laws otherwise than on an exchange. In this comply with the Federal securities laws and the rules and regulations regard, Nasdaq and NASD propose to and the rules and regulations thereunder and to cooperate with the enter into a Limited Liability Company thereunder and to cooperate with the Commission and the SRO Member Agreement of The Trade Reporting Commission pursuant to its regulatory pursuant to their regulatory authority. Facility LLC between Nasdaq and NASD authority. Either Member may dissolve the (‘‘the LLC Agreement’’), a copy of which The Trade Reporting Facility would Trade Reporting Facility LLC by is available on the NASD’s Web Site be managed by or under the direction of providing to the other Member prior (http://www.nasd.com) and the a Board of Directors to be established by written notice of at least one year. Commission’s Web Site (http:// the parties. NASD would have the right Neither Member may deliver such www.sec.gov). The Trade Reporting to designate at least one Director, the notice before the second anniversary of Facility would be a facility of NASD and SRO Member Director, who may be a the effective date of the LLC Agreement. subject to NASD’s registration as a member of NASD’s Board of Governors After notice, the Members must national securities association. Trades or an officer or employee of NASD negotiate in good faith to (i) allow the by members in Nasdaq-listed and other designated by the NASD Board of Business Member to continue to operate exchange-listed securities 15 executed Governors. The SRO Member Director the LLC under NASD’s SRO registration, otherwise than on an exchange (‘‘Non- would have veto power over all major (ii) restructure the LLC to allow the System Trading’’) may be reported to actions of the LLC Board. Major actions Business Member to operate the facility the Trade Reporting Facility. NASD are defined in Section 10(e) of the LLC under Nasdaq’s SRO registration, or (iii) would continue to have regulatory Agreement to include: sell the LLC or the business of the LLC responsibility for the Non-System (1) Approving pricing decisions that to the SRO Member based on an agreed Trading reported to the Trade Reporting are subject to the Commission filing valuation. If the parties cannot agree on Facility, while Nasdaq agrees to pay the process; any of (i), (ii) or (iii), the LLC Agreement cost of regulation and would provide (2) Approving contracts between the provides in Section 20(b) a mechanism systems to enable broker-dealers to Trade Reporting Facility and the for an appraisal process. report trades to the Trade Reporting Business Member, any of its affiliates, Proposed Rules Relating to the Trade Facility. Nasdaq would be entitled to directors, officers or employees; Reporting Facility the economic interests derived from the (3) Approving Director compensation; Non-System Trading reported to the (4) Selling, licensing, leasing or NASD also is proposing rules relating Trade Reporting Facility. This proposed otherwise transferring material assets to the use and operation of the Trade structure would be in place for at least used in the operation of the Trade Reporting Facility. Members now would three years. Reporting Facility’s business outside of have the option of trade reporting the ordinary course of business with an transactions executed otherwise than on 15 See supra note 7. aggregate value in excess of $3 million; an exchange either to the Trade
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Reporting Facility or the ADF.16 For numbering’’ to maintain consistency transactions reported to either the ADF purposes of these requirements, the with the ADF trade reporting rules and or the Trade Reporting Facility. Similar proposed rule change would define the to retain continuity with respect to prior to the current application of NASD Rule term ‘‘otherwise than on an exchange’’ guidance that has been disseminated 3350 to trades reported to the ADF, the to mean a trade effected by an NASD relating to Nasdaq trade reporting rules. proposed rule change would require member in an exchange-listed security In this regard, NASD intends to members to comply with the Short Sale otherwise than on or through the interpret and apply the Trade Reporting Rule based on the national best bid for facilities of a national securities Facility rules in the same manner in Nasdaq National Market Securities.21 In exchange. The determination of what which the Nasdaq trade reporting rules all other respects, the Short Sale Rule constitutes a trade ‘‘on or through’’ a currently are interpreted and applied. would be consistent with the current national securities exchange would be In addition, NASD is proposing NASD short sale rule, including an exemption left to the respective exchanges and Rule 4633, which would give NASD the for registered market makers engaged in applicable statutes, rules and authority to halt trading otherwise than bona fide market making activity. The regulations, as approved by the on an exchange reported to the Trade proposed rule change also clarifies that Commission. Reporting Facility. The proposed the term ‘‘customer’’ as used in the The proposed rule change replaces trading halt rule would impose Short Sale Rule applies to non-member the existing Nasdaq trade reporting rules mandatory trade halts when a primary broker-dealers and makes other in the Rule 4000 and 6100 Series in market halts for certain defined conforming changes in light of the their entirety with rules applicable to regulatory reasons and grants NASD Commission’s adoption of Regulation the Trade Reporting Facility.17 discretion to halt when there is SHO. However, the proposed rules relating to extraordinary market activity in a Finally, NASD is proposing NASD the Trade Reporting Facility track, with security or the primary market halts for Rule 5200 that would prohibit members certain limited exceptions, the operational reasons. The proposal also from executing a transaction otherwise requirements and general organization provides NASD the authority to halt than on an exchange in a security of the current Nasdaq trade reporting trading in the event that the facility subject to an initial public offering until rules. cannot transmit real-time trade such security has first opened for The proposed rule change combines reporting information to the SIP. NASD trading on the national securities the trade reporting requirements in the believes it must have this authority to exchange listing the security, as current NASD Rule 4630, 4640 and 4650 ensure that necessary and reliable indicated by the dissemination of an Series (Nasdaq National Market, Nasdaq information would be disseminated opening transaction in the security by SmallCap and Nasdaq Convertible Debt from the Trade Reporting Facility to the the listing exchange. This is similar to Securities, respectively) into one rule marketplace. However, the proposal the requirement currently in NASD Rule series (proposed NASD Rule 4630 would not necessarily restrict, in the 6440(g), applicable to OTC transactions Series), which then applies the event of a halt due to operational in exchange-listed securities. proposed trade reporting requirements problems limited only to the Trade Based on discussions with uniformly to all securities listed on Reporting Facility, continued trading Commission staff, NASD also is noting Nasdaq. Because no quoting or issuer otherwise than on an exchange outside that it intends to work with the listing and qualifications activities of the Trade Reporting Facility, for appropriate parties to ensure that Trade would occur on or through the Trade example, through the ADF. This is Reporting Facility and ADF transactions Reporting Facility, all rules in the similar in application to the ADF are disseminated to the media with a current NASD Rule 4000 Series trading halt rule.19 modifier indicating the source of such pertaining to such activities have not NASD also is proposing a new NASD transactions that would distinguish been included. In addition, the current Rule 5000 Series relating to trading them from transactions executed on or rule relating to customer confirmations otherwise than on an exchange. In the through the Nasdaq Stock Market. for transactions in Nasdaq SmallCap new NASD Rule 5000 Series, NASD is This rule proposal does not include securities (NASD Rule 4643) has not proposing rules that would apply any proposed fees or assessments been included because it is duplicative uniformly to trading in the ADF and the specifically related to the Trade 20 of Rule 10b–10 under the Act.18 Finally, Trade Reporting Facility. First, Reporting Facility. Fees or assessments the proposed rule change does not proposed NASD Rule 5000 provides that with respect to the Trade Reporting include rules relating to the risk members are required to report Facility will be the subject of a future management functionality currently transactions effected otherwise than on submission with the Commission. provided through Nasdaq’s ACT, as that or through a national securities service would not be provided through exchange to NASD through either the 2. Statutory Basis the Trade Reporting Facility. Trade Reporting Facility, pursuant to NASD believes that the proposed rule As a result of these rule deletions, the NASD Rule 4000 and 6000 Series, or change is consistent with the provisions there are several gaps in the numbering the ADF, pursuant to the NASD Rule of Section 15A of the Act,22 in general, of proposed rules (e.g, NASD Rule 4200 4000A and 6000A Series. and Section 15A(b)(6) of the Act,23 in is followed by NASD Rule 4616). Second, NASD is proposing to particular, in that the proposal is However, NASD believes it is preferable renumber current NASD Rule 3350 (the designed to prevent fraudulent and at this time to have these ‘‘gaps in ‘‘Short Sale Rule’’) as NASD Rule 5100 manipulative acts and practices, to and apply its requirements to promote just and equitable principles of 16 NASD will have an integrated audit trail of trade, and, in general, to protect Trade Reporting Facility and ADF transactions and 19 As such, under the proposal, NASD Rule 3340 will have integrated surveillance capabilities. would not prohibit a member from quoting or investors and the public interest. NASD 17 The clearing and comparison requirements in trading through another market if NASD closes the NASD Rule 6100 Series apply both to the Trade trading pursuant to its authority under proposed 21 Telephone call between Phil Shaikun, Reporting Facility and the NASD system that would NASD Rule 4633(a)(3) or NASD Rule 4120A(a)(3). Associate General Counsel, NASD and Kelly M. be used for purposes of transaction reporting of 20 Rules that previously resided in the NASD Rule Riley, Division, Commission on July 15, 2005. OTC equity securities and DPPs. 5000 Series, and have not otherwise been deleted, 22 15 U.S.C. 78o–3. 18 17 CFR 240.10b–10. have been moved. 23 15 U.S.C. 78o–3(b)(6).
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believes that the proposed rule change Commission process and review your 2005.2 No comment letters were will provide an effective mechanism comments more efficiently, please use received. For the reasons discussed and regulatory framework for quoting only one method. The Commission will below, the Commission is granting and trading activities otherwise than on post all comments on the Commission’s approval of the proposed rule change. an exchange upon Nasdaq’s separation Internet Web site (http://www.sec.gov/ II. Description from NASD. rules/sro.shtml). Copies of the submission, all subsequent OCC Rule 611 permits a clearing B. Self-Regulatory Organization’s amendments, all written statements member to issue instructions to OCC to Statement on Burden on Competition with respect to the proposed rule release from segregation a long position NASD believes that the proposed rule change that are filed with the in options contracts carried in a change will not result in any burden on Commission, and all written customers’ account or firm non-lien competition that is not necessary or communications relating to the account provided that the clearing appropriate in furtherance of the proposed rule change between the member is simultaneously carrying in purposes of the Act. Commission and any person, other than such account for such customer a short those that may be withheld from the C. Self-Regulatory Organization’s position in option contracts and the public in accordance with the Statement on Comments on the margin requirement of the customer has provisions of 5 U.S.C. 552, will be been reduced as a result of carrying the Proposed Rule Change Received From available for inspection and copying in Members, Participants, or Others long option position. The proposed rule the Commission’s Public Reference change amends Rule 611(c) to permit a Written comments on this proposed Room. Copies of such filing also will be clearing member to issue such rule change were neither solicited nor available for inspection and copying at instructions where one leg of the spread received. the principal office of NASD. is a long option position and the other All comments received will be posted III. Date of Effectiveness of the is a long or short position in a security without change; the Commission does futures contract. Proposed Rule Change and Timing for not edit personal identifying Commission Action The proposed rule change was information from submissions. You submitted in light of joint margin rules Within 35 days of the date of should submit only information that that were adopted by the Commission publication of this notice in the Federal you wish to make available publicly. All and by the Commodity Futures Trading Register or within such longer period (i) submissions should refer to the File Commission (‘‘CFTC’’) on August 1, as the Commission may designate up to Number SR–NASD–2005–087 and 2002,3 pursuant to Section 7(c)(2) of the 90 days of such date if it finds such should be submitted on or before Act and related provisions of the longer period to be appropriate and August 12, 2005. Commodity Exchange Act governing the publishes its reasons for so finding or For the Commission, by the Division of setting of margin requirements for (ii) as to which NASD consents, the Market Regulation, pursuant to delegated security futures. The proposed rule is Commission will: authority.24 drafted in such a way that its operation (A) By order approve such proposed Jill M. Peterson, is dependent on the joint margin rules rule change, or Assistant Secretary. and the rules of the exchanges and (B) Institute proceedings to determine [FR Doc. E5–3912 Filed 7–21–05; 8:45 am] security futures markets adopted whether the proposed rule change BILLING CODE 8010–01–P thereunder. Only if a particular spread should be disapproved. position involving a long option IV. Solicitation of Comments qualifies for reduced margin treatment SECURITIES AND EXCHANGE under those rules could the option be Interested persons are invited to COMMISSION submit written data, views and unsegregated pursuant to Rule 611. arguments concerning the foregoing, [Release No. 34–52035; File No. SR–OCC– With approval of this proposed rule including whether the proposed rule 2002–16] change, consistency between the joint change is consistent with the Act. margin rules and Rule 611(c) will be Self-Regulatory Organizations; The assured.4 Comments may be submitted by any of Options Clearing Corporation; Order the following methods: Section 7(c)(2)(B) of the Act requires Granting Approval of a Proposed Rule that the margin requirements for Electronic Comments Change Relating to Unsegregation of security futures products be consistent • Use the Commission’s Internet Long Option Positions with the margin requirements for comparable options contracts traded on comment form (http://www.sec.gov/ July 14, 2005. rules/sro.shtml); or any exchange registered pursuant to • Send an e-mail to rule- I. Introduction section 6(a) of the Act.5 Clearing [email protected]. Please include File On July 9, 2002, The Options Clearing members are permittedunder the joint Number SR–NASD–2005–087 on the Corporation (‘‘OCC’’) filed with the margin rules 6 and exchange and subject line. Securities and Exchange Commission (‘‘Commission’’) proposed rule change 2 Securities Exchange Act Release No. 51331, Paper Comments SR–OCC–2002–16 pursuant to Section (March 8, 2005), 70 FR 12525. • Send paper comments in triplicate 3 Securities Exchange Act Release No. 46292, 67 19(b)(1) of the Securities Exchange Act FR 53146 (August 14, 2002) [File No. S7–16–01]. 1 to Jonathan G. Katz, Secretary, of 1934 (‘‘Act’’). On December 12, 4 OCC has requested a no action position from the Securities and Exchange Commission, 2002, and January 11, 2005, OCC Commission’s Division of Market Regulation that a 100 F Street, NE., Washington, DC amended the proposed rule change. clearing member that gives an instruction to 20549–9303. Notice of the proposal was published in unsegregate long option positions pursuant to this amended rule will not be deemed to be in violation All submissions should refer to File the Federal Register on March 14, of Rules 15c3–3, 8c–1, and 15c2–1 under the Act. Number SR–NASD–2005–087. This file Supra, note 12. number should be included on the 24 17 CFR 200.30–3(a)(12). 5 15 U.S.C. 78g(c)(2)(B)(iii)(I). subject line if e-mail is used. To help the 1 15 U.S.C. 78s(b)(1). 6 Supra, note 3.
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security futures market rules adopted action relief from the Commission’s As a consequence of the proposed thereunder 7 to reduce a customer’s Division of Market Regulation regarding rule change, OCC will collect less margin requirement when the customer the proposed rule change with respect margin from its clearing members than has offsetting positions in security to Rules 8c–1, 15c2–1 and 15c3–3 of the it does under current Rule 611(c). futures and options on the same Act.12 However, this result is consistent with underlying interest. Accordingly, OCC III. Discussion the joint margin rules and with the is amending its Rule 611(c) to also allow exchange and security futures market a clearing member to unsegregate long Section 17A(b)(3)(F) of the Act rules which were approved by the option positions in a customers’ account requires that the rules of a clearing Commission. Furthermore, because the or in a firm non-lien account when the agency be designed to promote the proposed rule change requires that customer holds an offsetting long or prompt and accurate clearance and anylong options position that is used to short security futures position and the settlement of securities transactions and offset a security futures position will be clearing member has reduced the to assure the safeguarding of securities customer’s margin requirement in unsegregated and therefore subject to and funds which are in the clearing recognition of the spread.8 OCC’s lien, OCC and its members will agency’s custody or control or for which be protected from financial loss in the Rule 15c3–3 under the Act requires 13 broker-dealers to maintain physical it is responsible. The purpose of event an OCC member fails to meet its possession or control of customer fully- OCC’s Rule 611(c) is to provide obligations with respect to such short paid and excess margin securities.9 consistency between the clearing level- security futures position. Accordingly, Rules 8c–1 and 15c2–1 under the Act, margin requirement under OCC’s rules because the proposed rule change is which govern hypothecation of and the customer-level margin designed so that it provides consistent customer securities, also place requirement under applicable exchange treatment between OCC’s rules, the joint limitations on broker-dealers’ rights to rules. The joint margin rules and the margin rules, and the margin rules of encumber customer securities.10 In customer margin rules adopted by the the exchanges and the security futures order to permit compliance by clearing security exchanges and the security markets without jeopardizing the futures markets permit reduced members with Rule 15c3–3 and with the adequacy of collateral available to OCC, customer margin levels for specific hypothecation rules, OCC’s Rule 611(a) the proposed rule change should offsetting positions in options and presently provides that long option promote the prompt and accurate security futures. By allowing clearing positions in a customers’ account clearance and settlement of securities established under Article VI, Section members to issue instructions to unsegregate long option positions in transactions and should help assure the 3(e) of OCC’s By-Laws are deemed to be safeguarding of securities and funds segregated and therefore not subject to order to take advantage of the offsets allowed at the customer level, the which are in OCC’s custody or control OCC’s lien except to the extent that the or for which OCC is responsible. clearing member gives contrary proposed rule change eliminates a instructions to OCC in accordance with disparity in the customer-level and IV. Conclusion the rule.11 Under Rule 611(c), a clearing clearing-level margin requirements and member is entitled to give an instruction thereby reduces the likelihood that On the basis of the foregoing, the to unsegregate such a long position if clearing members will experience a Commission finds that the proposed the long position constitutes the long leg financial ‘‘squeeze’’ resulting because rule change is consistent with the of a spread position, the short leg that the amount of clearing-level margin the requirements of the Act and in constitutes the short leg of the spread member is required to deposit with OCC particular Section 17A of the Act and position is held by the same customer, is greater than the amount of customer- the rules and regulations thereunder. and the customer’s margin requirement level margin the member collects from its customers.14 It is therefore ordered, pursuant to has been reduced to reflect the net risk Section 19(b)(2) of the Act, that the of the spread position. OCC has proposed rule change (File No. SR– requested and has been granted no 12 Letter from Bonnie Gauch, Attorney, Division of Market Regulation to William H. Navin, General OCC–2002–16) be and hereby is Counsel, OCC (July 14, 2005). Specifically, the letter approved. 7 See, e.g., Securities Exchange Act Release Nos. states that the Division will not recommend to the 47460 (March 6, 2003), 68 FR 12123 (March 13, Commission that enforcement action be taken For the Commission by the Division of 2003) [File No. SR–NYSE–2003–05], 47541 (March pursuant to Exchange Act Rules 8c–1, 15c2–1, and Market Regulation, pursuant to delegated 20, 2003), 68 FR 14725 (March 26, 2003) [File No. 15c3–3 if, in accordance with the amendments to authority.15 SR–CBOE–2002–67], and 47550 (March 20, 2003), Rule 611, a broker-dealer releases from segregation 68 FR 15015 (March 27, 2003) [File No. SR–NASD– or permits to remain unsegregated, a customer long Jill M. Peterson, 2003–45 (Orders approving amendments to NYSE option position if (1) the broker-dealer is Assistant Secretary. Rule 431, CBOE Rule 12.3, and NASD Rule 2520 simultaneously carrying in that customer’s account relating to margin requirements for security futures an offsetting security future contract, and (2) the [FR Doc. E5–3914 Filed 7–21–05; 8:45 am] contracts.) margin required to be deposited by the customer BILLING CODE 8010–01–P 8 Under OCC Rule 611(a), all positions in security with respect to the security future contract has been futures are deemed to be unsegregated because a reduced as a result of the carrying of the long option futures contract, which represents a potential position. liability as well as a potential asset, is never 13 15 U.S.C. 78q–1(b)(3)(F). deemed to be fully-paid or to represent excess 14 The Commission has previously approved margin securities. Accordingly, this rule filing similar amendments to Rule 611(c). See, e.g., addresses only the case where long put or call Securities Exchange Act Release No. 31626 options are spread against long or short futures (December 21, 1992), 57 FR 62588 (December 31, contracts. 1992) [File No. SR–OCC–92–14] (Order approving 9 17 CFR 240.15c3–3(b). a proposed rule change that eliminated the 10 17 CFR 240.8c–1 and 15c2–1. requirement that spread positions be carried for the 11 The provisions of Rule 611 also apply to long same customer and be on a contract-for-contract option positions of certain ‘‘non-customers’’ carried basis. The rule change gave clearing-level spread in a ‘‘firm non-lien account’’ under Article VI, margin treatment to pairs of positions where the Section 3(a) of OCC’s By-Laws. At present, no customer’s margin requirement had been reduced in clearing member carries such an account. accordance with applicable exchange margin rules). 15 17 CFR 200.30–3(a)(12).
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SECURITIES AND EXCHANGE specified derivative products subject to be established at each participating COMMISSION regulation by the Commission, and it derivatives clearing organization. will also provide for accounts in which Liquidation of these accounts would be [Release No. 34–52030; File No. SR–OCC– 2003–04] derivative products regulated by the subject to the cross-margining Commission may be cross-margined agreement between or among OCC and Self-Regulatory Organizations; The with related futures products regulated the participating derivatives clearing Options Clearing Corporation; Order exclusively by the Commodity Futures organization(s) just as liquidation under Granting Approval of a Proposed Rule Trading Commission (‘‘CFTC’’). Under the cross-margining programs would Change Relating to a New Customers’ the current proposal, a cross-margining occur today. Any new cross-margining Lien Account account of an eligible customer will be agreements or any amendments to treated as a securities account for existing cross-margining agreements July 14, 2005. regulatory purposes.4 A single will be separately filed with the I. Introduction ‘‘customers’ lien account’’ created under Commission for approval. It is new paragraph (i) of Article VI anticipated that clearing members may On July 21, 2003, The Options (Clearance of Exchange Transactions), establish a customers’ lien account Clearing Corporation (‘‘OCC’’) filed with Section 3 (Maintenance of Accounts) of corresponding to a cross-margining the Securities and Exchange OCC’s By-Laws will be used to clear all agreement among OCC, CME, and the Commission (‘‘Commission’’) proposed transactions of eligible customers under New York Clearing Corporation. rule change SR–OCC–2002–16 pursuant a portfolio margining program or cross- Separate customers’ lien accounts to Section 19(b)(1) of the Securities margining program so long as the would correspond to cross-margining Exchange Act of 1934 (‘‘Act’’).1 On products included in the account are all agreements between OCC and other December 20, 2004 OCC amended the cleared by OCC.5 OCC will have a lien futures clearing organizations. proposed rule change. Notice of the on all positions and assets in a As stated in the CBOE rule filing, the proposal was published in the Federal customers’ lien account as security for current program includes only the Register on March 14, 2005.2 No the OCC clearing member’s obligations following eligible products: (i) Broad- comment letters were received. For the to OCC relating to the account.6 OCC based securities index options reasons discussed below, the will continue to require full premium (including stock index warrants) listed Commission is granting approval of the payment from the clearing firm for all on a national securities exchange; (ii) proposed rule change. options purchased whether or not the related marginable exchange-traded II. Description firm extends credit to a customer for the funds; and (iii) broad-based securities purchase. index futures contracts and futures The proposed rule change provides Where cross-margining accounts options contracts to the extent they are for the introduction of a new include products cleared by OCC as cross-margined with listed index ‘‘customers’ lien account’’ that may be well as futures products cleared by CME options. carried at OCC by a clearing member. or other derivatives clearing OCC is making the following revisions The new account type will be used only organizations other than OCC, OCC’s to its By-Laws and Rules to provide for for customers that are margined on a clearing function will occur in a the introduction of customers’ lien portfolio risk basis or that are margined separate customers’ lien account to be accounts. pursuant to a cross-margining established for each cross-margining First, OCC is adding a new defined arrangement in accordance with program. A corresponding account will term, ‘‘customers’ lien account,’’ to exchange rules. Article I of its By-Laws. The definition In conjunction with the Chicago 4 CBOE has submitted a request to the CFTC for simply cross-references the description Board Options Exchange (‘‘CBOE’’), an exemption from the segregation requirements of the account in Article VI, Section 3(i) American Stock Exchange, New York and from other provisions of the Commodity of the By-Laws. Stock Exchange (‘‘NYSE’’), Chicago Exchange Act to the extent necessary to permit Second, Article VI of the By-Laws sets futures contracts to be carried in securities accounts Mercantile Exchange (‘‘CME’’), Chicago subject to regulation by the Commission. out the basic terms of option contracts Board of Trade, and various member 5 OCC is registered as a derivatives clearing and the general rules for the clearance firms, OCC has established a program organization under the Commodity Exchange Act of exchange transactions. Section 3 under which eligible customers may and is therefore able to clear CFTC-regulated contains a description of each of the elect to establish accounts, limited to derivative products as well as Commission- types of accounts that clearing members regulated derivative products. specified derivative products, that will 6 Under Commission Rules 8c–1, 15c2–1, and may establish and maintain with OCC. be margined on a portfolio margining 15c3–3, fully paid for securities held for the A new Section 3(i) is being added that basis rather than under the ‘‘strategy- account of a customer generally may not be subject contains a description of the proposed based’’ margining method currently set to liens to secure obligations of the carrying broker- ‘‘customers’ lien account’’ and 3 dealer. To facilitate compliance with these forth in the exchanges’ margin rules. customer protection rules, OCC’s rules require provisions setting forth OCC’s lien on The program will permit eligible clearing members to carry fully paid for positions all long positions, securities, margin, customers to establish risk-based margin of public securities customers in a customers’ and other funds in these accounts and accounts that will be limited to account under which all long positions are OCC’s right to close out positions in considered ‘‘segregated’’ and therefore free of OCC’s lien unless specifically designated as these accounts. As provided in the 1 15 U.S.C. 78s(b)(1). ‘‘unsegregated.’’ All long options positions in amendment to Rule 611, which is 2 Securities Exchange Act Release No. 51330 customers’ lien accounts, however, would described below, positions in (March 8, 2005), 70 FR 12527. automatically be considered unsegregated for customers’ lien accounts will be deemed 3 For a detailed description of the program see purposes of OCC’s placing a lien on these positions. Securities Exchange Act Release Nos. 51614 (April OCC has requested and received a no-action letter to be unsegregated. Section 3 is also 26, 2005), 70 FR 22935 (May 3, 2005) [File No. SR– from the Commission’s Division of Market being amended to correct the paragraph CBOE–2002–03] and 51615 (April 26, 2005), 70 FR Regulation with respect to OCC treating these numbers of the Interpretations and 22953 (May 3, 2005) [File No. SR–NYSE–2002–19]. positions as unsegregated notwithstanding these Policies to Section 3. The Commission notes that OCC’s proposed rule provisions of Rules 8c–1, 15c2–1 and 15c3–3. Letter change is applicable to any exchange with from Bonnie Gauch, Attorney, Division of Market Third, OCC is making a minor, Commission approved rules providing for such Regulation, to William H. Navin, General Counsel, conforming amendment to Section 4 of margining. OCC (July 14, 2005). Article VI of the By-Laws.
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Fourth, OCC’s Rule 611 treats all long benefit to OCC’s clearing members in ADDRESSES: Submit completed loan option positions in the regular securities the calculation of their margin. applications to: customers’ account as ‘‘segregated’’ and However, because all positions in the U.S. Small Business Administration, therefore free of OCC’s lien except to the customers’ lien account will be Disaster Area Office 3, 14925 extent that a clearing member is entitled unsegregated and therefore will be Kingsport Road, Fort Worth, TX to ‘‘unsegregate’’ long positions that are subject to OCC’s lien, the long positions 76155. part of a customer spread. Rule 611 is in the account will be available to OCC FOR FURTHER INFORMATION CONTACT: being amended to provide that all in the event a clearing member fails to A. positions in customers’ lien accounts settle its obligations relating to a short Escobar, Office of Disaster Assistance, will be deemed to be ‘‘unsegregated.’’ position. Accordingly, because the U.S. Small Business Administration, Fifth, Chapter XI of OCC’s Rules is proposed rule change is designed to 409 3rd Street, Suite 6050, Washington, being amended to provide for the ensure that transactions in securities DC 20416. liquidation of a clearing member’s which are eligible for the new portfolio SUPPLEMENTARY INFORMATION: The notice customers’ lien account in the event that margining program approved by the of the Presidential disaster declaration the clearing member is suspended. In Commission will be cleared and settled for the State of Florida, dated 7/10/2005, essence, a customers’ lien account will by OCC in a manner that will not reduce is hereby amended to include the be treated in exactly the same manner the adequacy of collateral available to following areas as adversely affected by as a combined market-maker account. OCC, the proposed rule change should the disaster: Under these provisions, proceeds of not adversely affect OCC’s ability to Primary Counties: long options or security futures in a assure the safeguarding of securities and Bay, Franklin, Gulf, Okaloosa, customers’ lien account will be applied funds which are in OCC’s custody and Wakulla, and Walton. only to satisfy obligations arising from control or for which OCC is responsible. Contiguous Counties: that account. Florida: Calhoun, Holmes, Jackson, IV. Conclusion III. Discussion Jefferson, Leon, Liberty, and On the basis of the foregoing, the Washington. Section 17A(b)(3)(F) of the Act Commission finds that the proposed Alabama: Covington and Geneva. requires, among other things, that the rule change is consistent with the All other information in the original rules of a clearing agency be designed to requirements of the Act and in declaration remains unchanged. assure the safeguarding of securities and particular Section 17A of the Act and funds which are in its custody or the rules and regulations thereunder. (Catalog of Federal Domestic Assistance Numbers 59002 and 59008) control or for which it is responsible.7 It is therefore ordered, pursuant to The proposed rule change is designed to Section 19(b)(2) of the Act, that the Herbert L. Mitchell, facilitate a new portfolio customer proposed rule change (File No. SR– Associate Administrator for Disaster margining program that was the subject OCC–2003–04) be and hereby is Assistance. of proposed rule changes filed by NYSE approved. [FR Doc. 05–14468 Filed 7–21–05; 8:45 am] and CBOE and was approved by the BILLING CODE 8025–01–P 8 For the Commission by the Division of Commission. In order to reduce the Market Regulation, pursuant to delegated disparity between the customer-level 9 authority. SMALL BUSINESS ADMINISTRATION margin requirement and the clearing- Jill M. Peterson, level margin requirement that would Assistant Secretary. [Disaster Declaration No. 10139 and No. occur if portfolio margining were 10140] allowed at the customer level but not at [FR Doc. E5–3915 Filed 7–21–05; 8:45 am] the clearing member level, the member’s BILLING CODE 8010–01–P Florida Disaster Number FL–00004 portfolio of eligible transactions will be AGENCY: U.S. Small Business cleared and settled at OCC through a Administration. new customers’ lien account and OCC SMALL BUSINESS ADMINISTRATION ACTION: Notice. will compute margin for such account [Disaster Declaration No. 10137 and No. using the same portfolio margining 10138] SUMMARY: This is a notice of an methodology (OCC’s TIMS Administrative declaration of a disaster methodology) that is used to calculate Florida Disaster Number FL–00005 for the State of Florida dated 7/13/2005. margin at the customer level. AGENCY: Incident: Severe Storms and Flooding. OCC’s Rule 611(c) currently allows a U.S. Small Business Incident Period: 6/25/2005 through clearing member to unsegregate a Administration. 7/07/2005. customer’s long option position only if ACTION: Amendment 1. the position is offset by a short position EFFECTIVE DATE: 7/13/2005. SUMMARY: This is an amendment of the being carried for the same customer and Physical Loan Application Deadline Presidential declaration of a major if the customer’s margin requirement is Date: 9/12/2005. disaster for the State of Florida (FEMA– reduced as a result of the offsetting EIDL Loan Application Deadline Date: 1595–DR), dated 7/10/2005. 4/13/2006. positions. Under the customer portfolio Incident: Hurricane Dennis. ADDRESSES: Submit completed loan margining methodology program, all Incident Period: 7/10/2005 and applications to: long positions in the customers’ lien continuing. account will be available as an offset to U.S. Small Business Administration, DATES: Effective Date: 7/13/2005. all short positions, regardless of the Disaster Area Office 3, 14925 Physical Loan Application Deadline identity of the customer. This should Kingsport Road, Fort Worth, TX provide for a greater diversification Date: 9/08/2005. EIDL Loan Application Deadline Date: 76155. 7 15 U.S.C. 78q–1(b)(3)(F). 4/10/2006. FOR FURTHER INFORMATION CONTACT: A. 8 Securities Exchange Act Release No. XXXXX Escobar, Office of Disaster Assistance, (July, 2005). 9 17 CFR 200.30–3(a)(12). U.S. Small Business Administration,
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409 3rd Street, Suite 6050, Washington, ADDRESSES: Submit completed loan ADDRESSES: Submit completed loan DC 20416. applications to: applications to: SUPPLEMENTARY INFORMATION: Notice is U.S. Small Business Administration, U.S. Small Business Administration, hereby given that as a result of the Disaster Area Office 3, 14925 Disaster Area Office 3, 14925 Administrator’s disaster declaration Kingsport Road, Fort Worth, TX Kingsport Road, Fort Worth, TX applications for disaster loans may be 76155. 76155. filed at the address listed above or other FOR FURTHER INFORMATION CONTACT: A. FOR FURTHER INFORMATION CONTACT: A. locally announced locations. Escobar, Office of Disaster Assistance, Escobar, Office of Disaster Assistance, The following areas have been U.S. Small Business Administration, U.S. Small Business Administration, determined to be adversely affected by 409 3rd Street, Suite 6050, Washington, 409 3rd Street, Suite 6050, Washington, the disaster: DC 20416. DC 20416. Primary Counties: SUPPLEMENTARY INFORMATION: Duval. Notice is SUPPLEMENTARY INFORMATION: Notice is Contiguous Counties: hereby given that as a result of the hereby given that as a result of the Florida: Baker, Clay, Nassau, and St. President’s major disaster declaration on President’s major disaster declaration on Johns. 07/06/2005, applications for Private 7/10/2005, applications for Private Non- The Interest Rates are: Non-Profit organizations that provide Profit organizations that provide essential services of a governmental essential services of a governmental Percent nature may file disaster loan nature may file disaster loan applications at the address listed above applications at the address listed above Homeowners with credit available or other locally announced locations. or other locally announced locations. elsewhere ...... 5.750 The following areas have been The following areas have been Homeowners without credit avail- determined to be adversely affected by determined to be adversely affected by able elsewhere ...... 2.875 the disaster: the disaster: Businesses with credit available elsewhere ...... 6.387 Primary Counties: Primary Counties: Businesses & small agricultural co- Nez Perce and parts of the Nez Perce Attala, Calhoun, Chickasaw, Choctaw, operatives without credit avail- Reservation within Nez Perce Clarke, Clay, Covington, Forrest, able elsewhere ...... 4.000 County. George, Greene, Hancock, Harrison, Other (including non-profit organi- The Interest Rates are: Itawamba, Jackson, Jasper, Jefferson zations) with credit available Davis, Jones, Kemper, Lamar, elsewhere ...... 4.750 Percent Lauderdale, Leake, Lee, Lowndes, Businesses and non-profit organi- zations without credit available Madison, Monroe, Neshoba, Other (including non-profit organi- Newton, Noxubee, Oktibbeha, elsewhere ...... 4.000 zations) with credit available elsewhere ...... 4.750 Perry, Pontotoc, Rankin, Scott, The number assigned to this disaster Businesses and non-profit organi- Smith, Stone, Wayne, Webster, and for physical damage is 10139 6 and for zations without credit available Winston. economic injury is 10140 0. elsewhere ...... 4.000 The Interest Rates are: The States which received an EIDL Declaration Number are Florida. The number assigned to this disaster Percent for physical damage is 10141. (Catalog of Federal Domestic Assistance Other (including non-profit organi- Numbers 59002 and 59008) (Catalog of Federal Domestic Assistance zations) with credit available Dated: July 13, 2005. Number 59008) elsewhere ...... 4.750 Hector V. Barreto, Cheri L. Cannon, Businesses and non-profit organi- Administrator. Acting Associate Administrator for Disaster zations without credit available Assistance. elsewhere ...... 4.000 [FR Doc. 05–14471 Filed 7–21–05; 8:45 am] [FR Doc. 05–14469 Filed 7–21–05; 8:45 am] BILLING CODE 8025–01–P BILLING CODE 8025–01–P The number assigned to this disaster for physical damage is 10142. SMALL BUSINESS ADMINISTRATION (Catalog of Federal Domestic Assistance SMALL BUSINESS ADMINISTRATION Number 59008) [Disaster Declaration No. 10141] [Disaster Declaration No. 10142] Cheri L. Cannon, Idaho Disaster Number ID–00002 Acting Associate Administrator for Disaster Mississippi Disaster No. MS–00002 Assistance. AGENCY: U.S. Small Business [FR Doc. 05–14470 Filed 7–21–05; 8:45 am] AGENCY: U.S. Small Business Administration. BILLING CODE 8025–01–P ACTION: Notice. Administration. ACTION: Notice. SUMMARY: This is a notice of the Presidential declaration of a major SUMMARY: This is a notice of the DEPARTMENT OF TRANSPORTATION disaster for Public Assistance Only for Presidential declaration of a major the State of Idaho (FEMA–1592–DR), disaster for Public Assistance Only for Federal Highway Administration dated 7/06/2005. the State of Mississippi (FEMA–1594– Incident: Heavy Rains and Flooding. DR), dated 7/10/2005. Environmental Impact Statement: Incident Period: 5/06/2005 through Incident: Hurricane Dennis. South Carolina Incident Period: 7/10/2005. 5/20/2005. AGENCY: Federal Highway DATES: Effective Date: 7/06/2005. DATES: Effective Date: 7/10/2005. Administration (FHWA), DOT. Physical Loan Application Deadline Physical Loan Application Deadline ACTION: Notice of Intent (revised). Date: 9/06/2005. Date: 9/08/2005.
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SUMMARY: The FHWA is issuing this late summer 2005 at one location in 354 I.C.C. 605 (1978), as modified in notice to advise the public that an northeastern South Carolina and one in Mendocino Coast Ry., Inc.—Lease and environmental impact statement (EIS) Southern North Carolina. These Operate, 360 I.C.C. 653 (1980). will be prepared with a revised meetings will be well publicized in This notice is filed under 49 CFR terminus for the proposed Interstate 73 advance, giving the location and time 1180.2(d)(7). If the notice contains false (I–73) highway project in eastern South for each meeting. The draft EIS will be or misleading information, the Carolina. available for public and agency review exemption is void ab initio. Petitions to FOR FURTHER INFORMATION CONTACT: Mr. and comment prior to the public revoke the exemption under 49 U.S.C. Patrick Tyndall, Environmental Program hearing. 10502(d) may be filed at any time. The Manager, Federal Highway To ensure that the full range of issues filing of a petition to revoke will not Administration, 1835 Assembly Street, related to this proposed action are automatically stay the transaction. Suite 1270, Columbia, South Carolina addressed and all significant issues An original and 10 copies of all 29201, telephone: (803) 765–5411, e- identified, comments and suggestions pleadings, referring to STB Finance mail: [email protected]. are invited from all interested parties. Docket No. 34726, must be filed with Comments or questions concerning this SUPPLEMENTARY INFORMATION: The the Surface Transportation Board, 1925 FHWA, in cooperation with the South proposed action and the EIS should be K Street, NW., Washington, DC 20423– Carolina Department of Transportation directed to the FHWA at the address 0001. In addition, a copy of each (SCDOT), previously published a Notice provided above. pleading must be served on Robert T. of Intent in the Federal Register (August (Catalog of Federal Domestic Assistance Opal, Union Pacific Railroad Company, 9, 2004; 69 FR 48271) to prepare a Tier Program Number 20.205, Highway Research 1400 Douglas Street, STOP 1580, 1 EIS from the South Carolina/North Planning and Construction. The regulation Omaha, NE 68179. implementing Executive Order 12372 Board decisions and notices are Carolina state line to the vicinity of I– regarding intergovernmental consultation on available on our Web site at http:// 95, a distance of approximately 35 Federal programs and activities apply to this www.stb.dot.gov. miles. This revised notice provides for program). an EIS, not tiered, from the vicinity of Issued on: July 18, 2005. Decided: July 15, 2005. Hamlet, North Carolina (southeast of Patrick L. Tyndall, By the Board, David M. Konschnik, Director, Office of Proceedings. Rockingham) to I–95 in South Carolina, Acting Division Administrator, FHWA, a distance of approximately 40 miles. Columbia, South Carolina. Vernon A. Williams, Improvements to the corridor are [FR Doc. 05–14486 Filed 7–21–05; 8:45 am] Secretary. considered necessary to improve BILLING CODE 4910–22–P [FR Doc. 05–14490 Filed 7–21–05; 8:45 am] national and regional connectivity to the BILLING CODE 4915–01–P Conway/Myrtle Beach area of South Carolina by providing a direct link from DEPARTMENT OF TRANSPORTATION North Carolina. This link will enhance DEPARTMENT OF THE TREASURY economic opportunities and tourism in Surface Transportation Board South Carolina. The proposed project [STB Finance Docket No. 34726] Departmental Offices: Proposed would fulfill congressional intent, as Collections: Comment Requests originally proposed in the Intermodal Union Pacific Railroad Company— Surface Transportation Efficiency Act Trackage Rights Exemption—BNSF ACTION: Notice and request for (ISTEA) of 1991 (Pub. L. 102–240; 105 Railway Company comments. Stat. 1914) and confirmed in the Transportation Equity Act (TEA–21) of Pursuant to a written trackage rights SUMMARY: The Department of the 1998 (Pub. L. 105–178; 112 Stat. 107). agreement dated April 26, 2005, BNSF Treasury, as part of its continuing effort Alternatives to be evaluated include the Railway Company (BNSF) has agreed to to reduce paperwork burdens, invites no action alternative, the upgrade of grant overhead trackage rights to Union the general public and other Federal existing roads, construction on new Pacific Railroad Company (UP) over a agencies to comment on revisions of an alignment, and combinations of line of railroad extending from BNSF information collection that are proposed upgrades and new alignments. milepost 345.8 (Tower 55) near Fort for approval by the Office of The FHWA and SCDOT are seeking Worth, TX, to BNSF milepost 213.2 Management and Budget. The Office of input as a part of the scoping process to (South Junction) near Wichita, KS, a International Affairs within the assist in identifying issues relative to distance of approximately 375.10 Department of the Treasury is soliciting this project. Letters describing the miles.1 comments concerning Treasury proposed action and soliciting The transaction was scheduled to be International Capital Forms CQ–1 and comments will be sent to appropriate consummated on July 13, 2005. CQ–2, Financial and Commercial Federal, State, and local agencies, and to The purpose of the trackage rights is Liabilities to, and Claims on, private organizations and citizens who to allow UP to use BNSF trackage for Unaffiliated Foreigners. have previously expressed or are known overhead movement of UP trains DATES: Written comments should be to have interest in this proposal. An between Tower 55 in Fort Worth, TX, received on or before September 20, interagency coordination process will and Wichita, KS. 2005 to be assured of consideration. begin soon, with the invitations to As a condition to this exemption, any ADDRESSES: Direct all written comments Cooperating Agencies and a formal employees affected by the trackage to Dwight Wolkow, International scoping meeting to occur in Fall 2005. rights will be protected by the Portfolio Investment Data Systems, A public involvement plan is being conditions imposed in Norfolk and Department of the Treasury, Room developed for this project and will Western Ry. Co.—Trackage Rights—BN, 4410–1440NYA, 1500 Pennsylvania include a variety of opportunities for Avenue NW., Washington DC 20220. In 1 The trackage rights involve BNSF segments with interested parties to be involved in the non-contiguous mileposts. Therefore, total mileage view of possible delays in mail delivery, project. Two public interest group/ does not correspond to the milepost designations of please also notify Mr. Wolkow by e-mail public scoping meetings will be held in the endpoints. ([email protected]), Fax
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(202–622–1207) or telephone (202–622– satisfying Treasury’s need for more DEPARTMENT OF THE TREASURY 1276). timely information on a larger number FOR FURTHER INFORMATION CONTACT: of countries. Comments from TIC Departmental Offices; Proposed Copies of the proposed forms and respondents indicate that the Collections; Comment Requests instructions are available on the combination of the longer uniform ACTION: Notice and request for Treasury’s TIC Web page for forms, country list and the virtual elimination comments. http://www.treas.gov/tic/forms.html. of rows for ‘‘other countries’’ will Requests for additional information reduce significantly the total burden SUMMARY: The Department of the should be directed to Mr. Wolkow. from all TIC reports, including the Treasury, as part of its continuing effort SUPPLEMENTARY INFORMATION: burdens of cross-checking information, to reduce paperwork burdens, invites Title: Treasury International Capital responding to inquiries from data the general public and other Federal Form CQ–1, Financial Liabilities to, and compilers, and making revisions to data agencies to comment on revisions of an Claims on, Foreigners; and Treasury reports; and (d) these changes will be information collection that are proposed International Capital Form CQ–2, effective beginning with the reports as for approval by the Office of Commercial Liabilities to, and Claims of June 30, 2006. Management and Budget. The Office of on, Unaffiliated Foreigners. International Affairs within the Type of Review: Revision of a OMB Number: 1505–0024. Department of the Treasury is soliciting currently approved collection. Abstract: Forms CQ–1 and CQ–2 are comments concerning Treasury part of the Treasury International Affected Public: Business or other for- International Capital (TIC) Form BQ–3, Capital (TIC) reporting system, which is profit organizations. Report of Maturities of Selected required by law (22 U.S.C. 286f; 22 Forms CQ–1 and CQ–2 (1505–0024). Liabilities of Depository Institutions, U.S.C. 3103; EO 10033; 31 CFR 128), Brokers and Dealers to Foreigners. and is designed to collect timely Estimated Number of Respondents: 400. DATES: Written comments should be information on international portfolio received on or before September 20, capital movements. Forms CQ–1 and Estimated Average Time per 2005 to be assured of consideration. CQ–2 are quarterly reports filed by Respondent: Four and one/quarter (4.25) ADDRESSES: Direct all written comments nonbanking and non-securities broker hours per respondent per filing. This and dealer enterprises in the U.S. to to Dwight Wolkow, International average time varies from 4.5 hours for Portfolio Investment Data Systems, report their international portfolio the approximately 190 CQ–1 transactions with unaffiliated foreigners. Department of the Treasury, Room respondents to 4.0 hours for the 4410–1440NYA, 1500 Pennsylvania This information is necessary for approximately 210 CQ–2 respondents. compiling the U.S. balance of payments Avenue NW., Washington DC 20220. In accounts and the U.S. international Estimated Total Annual Burden view of possible delays in mail delivery, investment position, and for use in Hours: 6,800 hours, based on 4 reporting please also notify Mr. Wolkow by e-mail formulating U.S. international financial periods per year. ([email protected]), FAX and monetary policies. Request for Comments: Comments (202–622–1207) or telephone (202–622– 1276). Current Actions: (a) In Form CQ–1, submitted in response to this notice will eliminate section B, which captures be summarized and/or included in the FOR FURTHER INFORMATION CONTACT: foreign affiliate positions of insurance request for Office of Management and Copies of the proposed forms and underwriting subsidiaries and financial Budget approval. All comments will instructions are available on the intermediaries; (b) For Form CQ–2, become a matter of public record. The Treasury’s TIC Forms Web page, http://www.treas.gov/tic/forms.html. shorten the submission date for filing public is invited to submit written Requests for additional information from 45 days to no later than 30 comments concerning: (a) Whether should be directed to Mr. Wolkow. calendar days following the report as-of Forms CQ–1 and CQ–2 are necessary for date. This action is necessary to make the proper performance of the functions SUPPLEMENTARY INFORMATION: that information timely enough for use of the Office, including whether the Titles: Treasury International Capital with all other quarterly TIC data; (c) The Form BQ–3, Report of Maturities of information will have practical uses; (b) list for reporting the location of foreign Selected Liabilities of Depository the accuracy of the above estimate of the counterparties on all TIC reporting Institutions, Brokers and Dealers to forms will be increased to a total of burdens; (c) ways to enhance the Foreigners. roughly 245 countries and other areas. quality, usefulness and clarity of the OMB Control Number: 1505–0189. This longer list is essentially the same information to be collected; (d) ways to Abstract: Form BQ–3 is part of the as the lists used for years in the TIC minimize the reporting and/or record Treasury International Capital (TIC) benchmark and annual reports, and thus keeping burdens on respondents, reporting system, which is required by will establish a uniform list of including the use of information law (22 U.S.C. 286f; 22 U.S.C. 3103; E.O. countries/areas consistent across all TIC technologies to automate the collection 10033; 31 CFR 128) and is designed to reporting forms. Comments from TIC of the data; and (e) estimates of capital collect timely information on respondents indicate that their modern or start-up costs of operation, international portfolio capital computerized database systems can maintenance and purchase of services to movements. Form BQ–3 is a quarterly easily produce all TIC reports for this provide information. report designed to capture, by longer list of countries/areas. This instrument and on an aggregate basis, change will apply to the monthly and Dwight Wolkow, remaining maturities of all U.S. dollar quarterly B-forms, C-forms, Form D and Administrator, International Portfolio and foreign currency liabilities Form S and will allow the semiannual Investment Data Systems. (excluding securities) of U.S. resident B-forms to be eliminated (see action b [FR Doc. 05–14462 Filed 7–21–05; 8:45 am] banks, other depository institutions, below). This action is expected to result BILLING CODE 4810–25–P brokers and dealers vis-a-vis foreign in an overall reduction in burden for residents. This information is necessary TIC respondents as a whole, as well as for meeting international data reporting
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standards and for formulating U.S. information will have practical uses; (b) Titles: Treasury International Capital international financial and monetary the accuracy of the above estimate of the Form BQ–2, Part 1: Report of Foreign policies. burdens; (c) ways to enhance the Currency Liabilities to, and Claims on, Current Actions: (a) The list for quality, usefulness and clarity of the Foreigners of Depository Institutions, reporting the location of foreign information to be collected; (d) ways to Brokers, Dealers, and Their Domestic counterparties on all TIC reporting minimize the reporting and/or record Customers; Part 2: Report of Customers’ forms will be increased to a total of keeping burdens on respondents, Foreign Currency Liabilities to roughly 245 countries and other areas. including the use of information Foreigners. This longer list is essentially the same technologies to automate the collection OMB Control Number: 1505–0020. as the lists used for years in the TIC of the data; and (e) estimates of capital Abstract: Form BQ–2 is part of the benchmark and annual reports, and thus or start-up costs of operation, Treasury International Capital (TIC) will establish a uniform list of maintenance and purchase of services to reporting system, which is required by countries/areas consistent across all TIC provide information. law (22 U.S.C. 286f; 22 U.S.C. 3103; E.O. reporting forms. Comments from TIC 10033; 31 CFR 128) and is designed to respondents indicate that their modern Dwight Wolkow, collect timely information on computerized database systems can Administrator, International Portfolio international portfolio capital easily produce all TIC reports for this Investment Data Systems. movements. Form BQ–2 is a quarterly longer list of countries/areas. This [FR Doc. 05–14463 Filed 7–21–05; 8:45 am] report that covers the liabilities to and change will apply to the monthly and BILLING CODE 4810–25–P claims on foreigners of banks, other quarterly B-forms, C-forms, Form D and depository institutions, brokers and Form S and will allow the semiannual dealers, and their customers’ claims and B-forms to be eliminated (see action b DEPARTMENT OF THE TREASURY liabilities with foreigners, where all below). This action is expected to result claims and liabilities are denominated Departmental Offices; Proposed in an overall reduction in burden for in foreign currencies. This information Collections; Comment Requests TIC respondents as a whole, as well as is necessary for compiling the U.S. balance of payments accounts and the satisfying Treasury’s need for more ACTION: Notice and request for timely information on a larger number comments. U.S. international investment position, of countries. Comments from TIC and for formulating U.S. international respondents indicate that the SUMMARY: The Department of the financial and monetary policies. combination of the longer uniform Treasury, as part of its continuing effort Current Actions: (a) The list for country list and the virtual elimination to reduce paperwork burdens, invites reporting the location of foreign of rows for ‘‘other countries’’ will the general public and other Federal counterparties on all TIC reporting reduce significantly the total burden agencies to comment on revisions of an forms will be increased to a total of from all TIC reports, including the information collection that are proposed roughly 245 countries and other areas. burdens of cross-checking information, for approval by the Office of This longer list is essentially the same responding to inquiries from data Management and Budget. The Office of as the lists used for years in the TIC compilers, and making revisions to data International Affairs within the benchmark and annual reports, and thus reports; (b) the semiannual reports Department of the Treasury is soliciting will establish a uniform list of BC(SA), BL–1(SA) and BL–2(SA) will be comments concerning Treasury countries/areas consistent across all TIC eliminated. These reports for about 130 International Capital Form BQ–2, Part 1: reporting forms. Comments from TIC countries/areas will be made Report of Foreign Currency Liabilities respondents indicate that their modern unnecessary by action (a) above; and (c) to, and Claims on, Foreigners of computerized database systems can these changes will be effective Depository Institutions, Brokers, easily produce all TIC reports for this beginning with the reports as of June 30, Dealers, and Their Domestic Customers; longer list of countries/areas. This 2006. Part 2: Report of Customers’ Foreign change will apply to the monthly and Type of Review: Revision of a Currency Liabilities to Foreigners. quarterly B-forms, C-forms, Form D and Form S and will allow the semiannual currently approved collection. DATES: Written comments should be B-forms to be eliminated (see action b Affected Public: Business or other for- received on or before September 20, below). This action is expected to result profit organizations. 2005 to be assured of consideration. Form BQ–3 (1505–0189) in an overall reduction in burden for ADDRESSES: Direct all written comments Estimated Number of Respondents: TIC respondents as a whole, as well as to Dwight Wolkow, International 55. satisfying Treasury’s need for more Estimated Average Time per Portfolio Investment Data Systems, timely information on a larger number Respondent: Four (4) hours per Department of the Treasury, Room of countries. Comments from TIC respondent per filing. 4410–1440NYA, 1500 Pennsylvania respondents indicate that the Estimated Total Annual Burden Avenue NW., Washington DC 20220. In combination of the longer uniform Hours: 880 hours, based on 4 reporting view of possible delays in mail delivery, country list and the virtual elimination periods per year. please also notify Mr. Wolkow by e-mail of rows for ‘‘other countries’’ will Request for Comments: Comments ([email protected]), FAX reduce significantly the total burden submitted in response to this notice will (202–622–1207) or telephone (202–622– from all TIC reports, including the be summarized and/or included in the 1276). burdens of cross-checking information, request for Office of Management and FOR FURTHER INFORMATION CONTACT: responding to inquiries from data Budget approval. All comments will Copies of the proposed forms and compilers, and making revisions to data become a matter of public record. The instructions are available on the reports; (b) The semiannual reports public is invited to submit written Treasury’s TIC Forms Web page, BC(SA), BL–1(SA) and BL–2(SA) will be comments concerning: (a) Whether http://www.treas.gov/tic/forms.html. eliminated. These reports for about 130 Form BQ–3 is necessary for the proper Requests for additional information countries/areas will be made performance of the functions of the should be directed to Mr. Wolkow. unnecessary by action (a) above; and (c) Office, including whether the SUPPLEMENTARY INFORMATION: these changes will be effective
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beginning with the reports as of June 30, by Depository Institutions, Brokers and in an overall reduction in burden for 2006. Dealers of Customers’ U.S. Dollar TIC respondents as a whole, as well as Type of Review: Revision of a Claims on Foreigners. satisfying Treasury’s need for more currently approved collection. DATES: Written comments should be timely information on a larger number Affected Public: Business or other for- received on or before September 20, of countries. Comments from TIC profit organizations. 2005 to be assured of consideration. respondents indicate that the Form BQ–2 (1505–0020) ADDRESSES: Direct all written comments combination of the longer uniform Estimated Number of Respondents: country list and the virtual elimination 120. to Dwight Wolkow, International Portfolio Investment Data Systems, of rows for ‘‘other countries’’ will Estimated Average Time per reduce significantly the total burden Respondent: Six and one/quarter (6.25) Department of the Treasury, Room 4410–1440NYA, 1500 Pennsylvania from all TIC reports, including the hours per respondent per filing. This burdens of cross-checking information, average time varies from 10 hours for Avenue NW., Washington DC 20220. In view of possible delays in mail delivery, responding to inquiries from data the approximately 30 major reporters to compilers, and making revisions to data 5 hours for the other reporters. please also notify Mr. Wolkow by e-mail ([email protected]), FAX reports; (b) The semiannual reports Estimated Total Annual Burden BC(SA), BL–1(SA) and BL–2(SA) will be Hours: 3,000 hours, based on four (202–622–1207) or telephone (202–622– 1276). eliminated. These reports for about 130 reporting periods per year. countries/areas will be made Request for Comments: Comments FOR FURTHER INFORMATION CONTACT: unnecessary by action (a) above; and (c) submitted in response to this notice will Copies of the proposed forms and these changes will be effective be summarized and/or included in the instructions are available on the beginning with the reports as of June 30, request for Office of Management and Treasury?s TIC Forms Web page, 2006. Budget approval. All comments will http://www.treas.gov/tic/forms.html. become a matter of public record. The Requests for additional information Type of Review: Revision of a public is invited to submit written should be directed to Mr. Wolkow. currently approved collection. comments concerning: (a) Whether SUPPLEMENTARY INFORMATION: Affected Public: Business or other for- Form BQ–2 is necessary for the proper Title: Treasury International Capital profit organizations. performance of the functions of the Form BQ–1. Report by Depository Form BQ–1 (1505–0016). Office, including whether the Institutions, Brokers and Dealers of Estimated Number of Respondents: information will have practical uses; (b) Customers’ U.S. Dollar Claims on 310. the accuracy of the above estimate of the Foreigners. Estimated Average Time per burdens; (c) ways to enhance the OMB Control Number: 1505–0016. Respondent: Two and two/tenths (2.2) quality, usefulness and clarity of the Abstract: Form BQ–1 is part of the hours per respondent per filing. This information to be collected; (d) ways to Treasury International Capital (TIC) average time varies from 4 hours for the minimize the reporting and/or record reporting system, which is required by approximately 30 major reporters to 2 keeping burdens on respondents, law (22 U.S.C. 286f; 22 U.S.C. 3103; E.O. hours for the other reporters. including the use of information 10033; 31 CFR 128) and is designed to Estimated Total Annual Burden technologies to automate the collection collect timely information on Hours: 2,720 hours, based on four of the data; and (e) estimates of capital international portfolio capital reporting periods per year. or start-up costs of operation, movements. This quarterly report filed Request for Comments: Comments maintenance and purchase of services to by depository institutions, brokers and submitted in response to this notice will provide information. dealers covers their U.S. customers? be summarized and/or included in the dollar claims vis-a`-vis foreign residents. request for Office of Management and Dwight Wolkow, This information is necessary for Budget approval. All comments will Administrator, International Portfolio compiling the U.S. balance of payments become a matter of public record. The Investment Data Systems. accounts and the U.S. international public is invited to submit written [FR Doc. 05–14464 Filed 7–21–05; 8:45 am] investment position, and for formulating comments concerning: (a) Whether BILLING CODE 4810–25–P U.S. international financial and Form BQ–1 is necessary for the proper monetary policies. performance of the functions of the Current Actions: (a) The list for Office, including whether the DEPARTMENT OF THE TREASURY reporting the location of foreign information will have practical uses; (b) counterparties on all TIC reporting the accuracy of the above estimate of the Departmental Offices; Proposed forms will be increased to a total of Collection; Comment Request burdens; (c) ways to enhance the roughly 245 countries and other areas. quality, usefulness and clarity of the ACTION: Notice and request for This longer list is essentially the same information to be collected; (d) ways to comments. as the lists used for years in the TIC minimize the reporting and/or record benchmark and annual reports, and thus keeping burdens on respondents, SUMMARY: The Department of the will establish a uniform list of including the use of information Treasury, as part of its continuing effort countries/areas consistent across all TIC technologies to automate the collection to reduce paperwork burdens, invites reporting forms. Comments from TIC of the data; and (e) estimates of capital the general public and other Federal respondents indicate that their modern or start-up costs of operation, agencies to comment on revisions of an computerized database systems can maintenance and purchase of services to information collection that are proposed easily produce all TIC reports for this provide information. for approval by the Office of longer list of countries/areas. This Management and Budget. The Office of change will apply to the monthly and Dwight Wolkow, International Affairs within the quarterly B-forms, C-forms, Form D and Administrator, International Portfolio Department of the Treasury is soliciting Form S and will allow the semiannual Investment Data Systems. comments concerning Treasury B-forms to be eliminated (see action b [FR Doc. 05–14465 Filed 7–21–05; 8:45 am] International Capital Form BQ–1, Report below). This action is expected to result BILLING CODE 4810–25–P
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DEPARTMENT OF THE TREASURY international investment position, and Form BL–2/BL–2(SA) is necessary for for formulating U.S. international the proper performance of the functions Departmental Offices; Proposed financial and monetary policies. Current of the Office, including whether the Collections; Comment Requests Actions: (a) The list for reporting the information will have practical uses; (b) location of foreign counterparties on all the accuracy of the above estimate of the ACTION: Notice and request for TIC reporting forms will be increased to burdens; (c) ways to enhance the comments. a total of roughly 245 countries and quality, usefulness and clarity of the other areas. This longer list is SUMMARY: The Department of the information to be collected; (d) ways to essentially the same as the lists used for Treasury, as part of its continuing effort minimize the reporting and/or record years in the TIC benchmark and annual to reduce paperwork burdens, invites keeping burdens on respondents, reports, and thus will establish a the general public and other Federal including the use of information uniform list of countries/areas agencies to comment on revisions of an technologies to automate the collection consistent across all TIC reporting information collection that are proposed of the data; and (e) estimates of capital forms. Comments from TIC respondents for approval by the Office of or start-up costs of operation, indicate that their modern computerized Management and Budget. The Office of maintenance and purchase of services to database systems can easily produce all International Affairs within the provide information. TIC reports for this longer list of Department of the Treasury is soliciting countries/areas. This change will apply Dwight Wolkow, comments concerning Treasury to the monthly and quarterly B-forms, C- Administrator, International Portfolio International Capital (TIC) Form BL–2/ forms, Form D and Form S and will Investment Data Systems. BL–2(SA), Report by Depository allow the semiannual B-forms to be [FR Doc. 05–14466 Filed 7–21–05; 8:45 am] Institutions, Brokers and Dealers of eliminated (see action b below). This BILLING CODE 4810–25–P Customers’ U.S. Dollar Liabilities to action is expected to result in an overall Foreigners. reduction in burden for TIC respondents DATES: Written comments should be as a whole, as well as satisfying DEPARTMENT OF THE TREASURY received on or before September 20, Treasury’s need for more timely Departmental Offices; Proposed 2005 to be assured of consideration. information on a larger number of Collections; Comment Requests ADDRESSES: Direct all written comments countries. Comments from TIC to Dwight Wolkow, International respondents indicate that the ACTION: Notice and request for Portfolio Investment Data Systems, combination of the longer uniform comments. Department of the Treasury, Room country list and the virtual elimination 4410–1440NYA, 1500 Pennsylvania of rows for ‘‘other countries’’ will SUMMARY: The Department of the Avenue NW., Washington DC 20220. In reduce significantly the total burden Treasury, as part of its continuing effort view of possible delays in mail delivery, from all TIC reports, including the to reduce paperwork burdens, invites please also notify Mr. Wolkow by e-mail burdens of cross-checking information, the general public and other Federal ([email protected]), FAX responding to inquiries from data agencies to comment on revisions of two (202–622–1207) or telephone (202–622– compilers, and making revisions to data information collections that are 1276). reports; (b) The semiannual reports proposed for approval by the Office of FOR FURTHER INFORMATION CONTACT: BC(SA), BL–1(SA) and BL–2(SA) will be Management and Budget. The Office of Copies of the proposed forms and eliminated. These reports for about 130 International Affairs within the instructions are available on the countries/areas will be made Department of the Treasury is soliciting Treasury’s TIC Forms Web page, unnecessary by action (a) above; and (c) comments concerning Treasury http://www.treas.gov/tic/forms.html. these changes will be effective International Capital (TIC) Form BC/ Requests for additional information beginning with the reports as of June 30, BC(SA), Report of U.S. Dollar Claims of should be directed to Mr. Wolkow. 2006. Depository Institutions, Brokers, and Type of Review: Revision of a Dealers on Foreigners; and Treasury SUPPLEMENTARY INFORMATION: Titles: currently approved collection. International Capital (TIC) Form BL–1/ Treasury International Capital Form BL– Affected Public: Business or other for- BL–1(SA), Report of U.S. Dollar 2/BL–2(SA), Report by Depository profit organizations. Liabilities of Depository Institutions, Institutions, Brokers and Dealers of Form BL–2/BL–2(SA) (1505–0018) Brokers, and Dealers to Foreigners. Customers’ U.S. Dollar Liabilities to Estimated Number of Respondents: 90 DATES: Written comments should be Foreigners. (semiannual 35) received on or before September 20, OMB Control Number: 1505–0018. Estimated Average Time per 2005, to be assured of consideration. Abstract: Form BL–2/BL–2(SA) is part Respondent: Seven and one/half (7.5) of the Treasury International Capital hours per respondent per filing. This ADDRESSES: Direct all written comments (TIC) reporting system, which is average time varies from 11 hours for to Dwight Wolkow, International required by law (22 U.S.C. 286f; 22 the approximately 30 major reporters to Portfolio Investment Data Systems, U.S.C. 3103; E.O. 10033; 31 CFR 128) 5.5 hours for the other reporters. Department of the Treasury, Room and is designed to collect timely Estimated Total Annual Burden 4410–1440NYA, 1500 Pennsylvania information on international portfolio Hours: 8,635 hours, based on twelve Avenue, NW., Washington DC 20220. In capital movements. Form BL–2 is a reporting periods per year. view of possible delays in mail delivery, monthly report (with a semiannual Request for Comments: Comments please also notify Mr. Wolkow by e-mail supplement) filed by banks, other submitted in response to this notice will ([email protected]), fax (202) depository institutions, brokers and be summarized and/or included in the 622–1207 or telephone (202) 622–1276. dealers that covers their U.S. customers/ request for Office of Management and FOR FURTHER INFORMATION CONTACT: dollar liabilities vis-a`-vis foreign Budget approval. All comments will Copies of the proposed forms and residents. This information is necessary become a matter of public record. The instructions are available on the for compiling the U.S. balance of public is invited to submit written Treasury’s TIC Forms Web page, payments accounts and the U.S. comments concerning: (a) Whether http://www.treas.gov/tic/forms.html.
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Requests for additional information responding to inquiries from data DEPARTMENT OF VETERANS should be directed to Mr. Wolkow. compilers, and making revisions to data AFFAIRS reports; (b) The semiannual reports SUPPLEMENTARY INFORMATION: [OMB Control No. 2900–0085] Titles: Treasury International Capital BC(SA), BL–1(SA) and BL–2(SA) will be Form BC/BC(SA), Report of U.S. Dollar eliminated. These reports for about 130 Agency Information Collection Claims of Depository Institutions, countries/areas will be made Activities Under OMB Review Brokers, and Dealers on Foreigners; and unnecessary by action (a) above; and (c) Treasury Capital Form BL–1/BL–1(SA), these changes will be effective AGENCY: Board of Veterans’ Appeal, Report of U.S. Dollar Liabilities of beginning with the reports as of June 30, Department of Veterans Affairs Depository Institutions, Brokers, and 2006. ACTION: Notice. Dealers to Foreigners. Type of Review: Revision of a OMB Control Numbers: 1505–0017 currently approved collection. SUMMARY: In compliance with the and 1505–0019. Affected Public: Business or other for- Paperwork Reduction Act (PRA) of 1995 Abstracts: Forms BC/BC(SA) and BL– profit organizations. (44 U.S.C. 3501–3521), this notice 1/BL–1(SA) are part of the Treasury Form BC/BC(SA) (1505–0017). announces that the Board of Veterans’ International Capital (TIC) reporting Estimated Number of Respondents: Appeal (BVA), Department of Veterans system, which is required by law (22 325. Affairs, has submitted the collection of Estimated Average Time per U.S.C. 286f; 22 U.S.C. 3103; E.O. 10033; information abstracted below to the Respondent: Nine and three/tenths (9.3) 31 CFR 128) and is designed to collect Office of Management and Budget hours per respondent per filing. This timely information on international (OMB) for review and comment. The average time varies from 17 hours for portfolio capital movements. Form BC is PRA submission describes the nature of the approximately 30 major reporters to a monthly report (with a semiannual the information collection and its 8.5 hours for the other reporters. supplement) that covers own U.S. dollar expected cost and burden; it includes Estimated Total Annual Burden claims of banks, other depository the actual data collection instrument. Hours: 36,210 hours, based on 12 institutions, brokers and dealers vis-a´- DATES: Comments must be submitted on reporting periods per year. vis foreign residents. Form BL–1 is a or before August 22, 2005. Form BL–1/BL–1(SA) (1505–0019). FOR FURTHER INFORMATION CONTACT: monthly report (with a semiannual Estimated Number of Respondents: supplement) that covers own U.S. dollar 405. Denise McLamb, Records Management liabilities of banks, other depository Estimated Average Time per Service (005E3), Department of Veterans institutions, brokers and dealers vis-a´vis Respondent: Six and four/tenths (6.4) Affairs, 810 Vermont Avenue, NW., foreign residents. This information is hours per respondent per filing. This Washington, DC 20420, (202) 273–8030, necessary for compiling the U.S. balance average time varies from 12 hours for Fax (202) 273–5981 or e-mail: of payments accounts and the U.S. the approximately 30 major reporters to [email protected]. Please international investment position, and 6 hours for the other reporters. refer to ‘‘OMB Control No. 2900–0085.’’ for formulating U.S. international Estimated Total Annual Burden Send comments and financial and monetary policies. Hours: 31,320 hours, based on 12 recommendations concerning any Current Actions: (a) The list for reporting periods per year. aspect of the information collection to reporting the location of foreign Request for Comments: Comments VA’s OMB Desk Officer, OMB Human counterparties on all TIC reporting submitted in response to this notice will Resources and Housing Branch, New forms will be increased to a total of be summarized and/or included in the Executive Office Building, Room 10235, roughly 245 countries and other areas. request for Office of Management and Washington, DC 20503 (202) 395–7316. This longer list is essentially the same Budget approval. All comments will Please refer to ‘‘OMB Control No. 2900– as the lists used for years in the TIC become a matter of public record. The 0085’’ in any correspondence. benchmark and annual reports, and thus public is invited to submit written SUPPLEMENTARY INFORMATION: Titles: will establish a uniform list of comments concerning: (a) Whether a. Appeal to Board of Veterans’ countries/areas consistent across all TIC Forms BC/BC(SA) and BL–1/BL– 1(SA) Appeals, VA Form 9. reporting forms. Comments from TIC are necessary for the proper b. Withdrawal of Services by a respondents indicate that their modern performance of the functions of the Representative. computerized database systems can Office, including whether the c. Filing of Representative’s Fee easily produce all TIC reports for this information will have practical uses; (b) Agreements and Motions for Review of longer list of countries/areas. This the accuracy of the above estimate of the Such Agreements. change will apply to the monthly and burdens; (c) ways to enhance the d. Motion for Review of quarterly B-forms, C-forms, Form D and quality, usefulness and clarity of the Representative’s Charges for Expenses. Form S and will allow the semiannual information to be collected; (d) ways to e. Request for Changes in Hearing B-forms to be eliminated (see action b minimize the reporting and/or record Date. below). This action is expected to result keeping burdens on respondents, f. Motion for Reconsideration. in an overall reduction in burden for including the use of information OMB Control Number: 2900–0085. TIC respondents as a whole, as well as technologies to automate the collection Type of Review: Extension of a satisfying Treasury’s need for more of the data; and (e) estimates of capital currently approved collection. timely information on a larger number or start-up costs of operation, Abstract: of countries. Comments from TIC maintenance and purchase of services to a. Appeal to Board of Veterans’ respondents indicate that the provide information. Appeals, VA Form 9, may be used by combination of the longer uniform appellants to complete their appeal to country list and the virtual elimination Dwight Wolkow, the Board of Veterans’ Appeals (BVA) of rows for ‘‘other countries’’ will Administrator, International Portfolio from a denial of VA benefits. The reduce significantly the total burden Investment Data Systems. information is used by BVA to identify from all TIC reports, including the [FR Doc. 05–14467 Filed 7–21–05; 8:45 am] the issues in dispute and prepare a burdens of cross-checking information, BILLING CODE 4810–25–P decision responsive to the appellant’s
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contentions and the legal and factual Affected Public: Individuals or DEPARTMENT OF VETERANS issues raised. households, Business or other for profit, AFFAIRS b. Withdrawal of Services by a and Not for profit institutions. Representative: When the appellant’s Estimated Total Annual Burden: Notice of Intent To Grant an Exclusive License representative withdraws from a case, a. Appeal to Board of Veterans’ both the appellant and the BVA must be Appeals, VA Form 9—49,700 hours. AGENCY: Department of Veterans Affairs, informed so that the appellant’s rights b. Withdrawal of Services by a Office of Research and Development. may be adequately protected and so that Representative—183 hours. ACTION: Notice of intent. the BVA may meet its statutory c. Filing of Representative’s Fee obligations to provide notice to the Agreements and Motions for Review of SUMMARY: Notice is hereby given that current representative. Such Agreements—207 hours. the Department of Veterans Affairs, Office of Research and Development, c. Filing of Representative’s Fee d. Motion for Review of intends to grant to CellCyte Genetics, Agreements and Motions for Review of Representative’s Charges for Expenses— Inc., PO Box 493, Kirkland, WA 98083 Such Agreements: Agreements for fees 4 hours. charged by individuals or organizations USA an exclusive license to practice the for representing claimants and e. Request for Changes in Hearing following patent applications: U.S. appellants before VA are filed with, and Date—946 hours. Provisional Patent Application Serial reviewed by, the Board of Veterans’ f. Motion for Reconsideration—859 No. 60/364,498 filed March 15, 2002, Appeals. The information is used to hours. entitled ‘‘Methods and Compositions for determine whether such fees are Estimated Average Burden Per Directing Cells to Target Organs’’; U.S. excessive or unreasonable. Respondent: Patent Application Serial No. 10/ d. Motion for Review of a. Appeal to Board of Veterans’ 388,964 filed March 14, 2003, entitled Representative’s Charges for Expenses: Appeals, VA Form 9—1 hour. ‘‘Methods and Compositions for Expense reimbursements claimed by b. Withdrawal of Services by a Directing Cells to Target Organs’’; individuals and organizations for Representative—20 minutes. International Patent Application Serial representing claimants and appellants c. Filing of Representative’s Fee No. PCT/US03/07834 filed March 13, before VA have been monitored for Agreements and Motions for Review of 2003, entitled ‘‘Methods and fairness for many years. The information Such Agreements—10 minutes (basic Compositions for Directing Cells to is used to review changes by claimants’ filing), 1 hour (contract Target Organs’’; International Patent representatives for expenses to afford modifications),—2 hours (filing motion Application Serial No. PCT/US03/07934 protection to such claimants from or response). filed March 13, 2003, entitled ‘‘Methods overreaching by unscrupulous and Compositions Using Cellular d. Motion for Review of Asialodeterminants and representatives and is useful in Representative’s Charges for Expenses— monitoring fees charged by Glycoconjugates for Targeting Cells to 4 hours (2 hours for motion and 2 hours Tissues and Organs’’; International representatives and to ensure that fee for response to motion). limitations are not avoided by Patent Application Serial No. PCT/ e. Request for Changes in Hearing mischaracterizing fees as expenses. US03/32602 filed October 10, 2003 Date—15 minutes (hearing date change), entitled ‘‘Detection/Localization and e. Request for Changes in Hearing 15 minutes (request to withdraw a Staging of Tumors Using Labeled Date: VA provides hearings to hearing),—1 hour (requests change a Activated Lymphocytes Directed to a appellants and their representatives, as motion). Tumor Specific Epitope’’ and required by basic Constitutional due- f. Motion for Reconsideration—1 International Patent Application Serial process and by Title 38 U.S.C. 7107(b). hour. No. PCT/US03/07836 filed March 14, From time to time, hearing dates and/or 2003, entitled ‘‘Methods and times are changed, hearing requests Frequency of Response: On occasion. Compositions for Directing Cells to withdrawn and new hearings requested Estimated Total Number of Target Organs’’. after failure to appear at a scheduled Respondents: hearing. The information is used to a. Appeal to Board of Veterans’ DATES: Comments must be received comply with the appellants’ or their Appeals, VA Form 9—49,700. within fifteen (15) days from the date of representatives’ requests. b. Withdrawal of Services by a this published Notice. f. Motion for Reconsideration: Representative—550. ADDRESSES: Send comments to Saleem J. Decisions by BVA are final unless the c. Filing of Representative’s Fee Sheredos, Acting Director of Technology Chairman orders reconsideration of the Agreements and Motions for Review of Transfer, Department of Veterans decision either on the Chairman’s Such Agreements—937. Affairs; Office of Research and Development, Attn: 12TT; 103 South initiative, or upon motion of a claimant. d. Motion for Review of Gay Street, Baltimore, MD 21202. The Board Chairman, or his designee, Representative’s Charges for Expenses— Telephone: (410) 962–1800 ext 267; uses the information provided in 2. deciding whether reconsideration of a Facsimile: (410) 962–2141; e-mail: e. Request for Changes in Hearing [email protected]. Board decision should be granted. Date—1,716. FOR FURTHER INFORMATION CONTACT: An agency may not conduct or f. Motion for Reconsideration—859. sponsor, and a person is not required to Copies of the published patent respond to a collection of information Dated: July 13, 2005. applications may be obtained from the unless it displays a currently valid OMB By direction of the Secretary. U.S. Patent and Trademark Office at control number. The Federal Register Denise McLamb, http://www.uspto.gov. Notice with a 60-day comment period Program Analyst, Records Management SUPPLEMENTARY INFORMATION: It is in the soliciting comments on this collection Service. public interest to so license these of information was published on March [FR Doc. 05–14543 Filed 7–21–05; 8:45 am] inventions as CellCyte, Inc., submitted a 18, 2005 at pages 13235–13236. BILLING CODE 8320–01–P complete and sufficient application for
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a license. The prospective exclusive for Diagnosing and Treating Bladder within fifteen (15) days from the date of license will be royalty-bearing and will Cancer’’; U.S. Provisional Patent this published Notice, the Department comply with the terms and conditions Application Serial No. 60/532,889 filed of Veterans Affairs Office of Research of 35 U.S.C. 209 and 37 CFR 404.7. The December 30, 2003, entitled and Development receives written prospective exclusive license may be ‘‘Macrophage Migration Inhibitory evidence and argument which granted unless, within fifteen (15) days Factor (MIF) as a Marker for Urological establishes that the grant of the license from the date of this published Notice, Inflammatory Disease’’; U.S. Patent would not be consistent with the the Department of Veterans Affairs Application Serial No. 10/644,797 filed requirements of 35 U.S.C. 209 and 37 Office of Research and Development on August 21, 2003, and International CFR 404.7. receives written evidence and argument Patent Application Serial No. PCT/ Approved: July 13, 2005. which establishes that the grant of the US04/05288 filed on February 24, 2004, Gordon H. Mansfield, license would not be consistent with the entitled ‘‘Serum Macrophage Migration Deputy Secretary of Veterans Affairs. requirements of 35 U.S.C. 209 and 37 Inhibitory Factor (MIF) as a Marker for CFR 404.7. Prostate Cancer.’’ [FR Doc. 05–14541 Filed 7–21–05; 8:45 am] BILLING CODE 8320–01–P Approved: July 13, 2005. DATES: Comments must be received Gordon H. Mansfield, within fifteen (15) days from the date of Deputy Secretary, Department of Veterans this published Notice. DEPARTMENT OF VETERANS Affairs. ADDRESSES: Send comments to Saleem J. AFFAIRS [FR Doc. 05–14542 Filed 7–21–05; 8:45 am] Sheredos, Acting Director of Technology BILLING CODE 8320–01–P Transfer, Department of Veterans VA Fleet Alternative Fuel Vehicle (AFV) Affairs; Office of Research and Program Report Development, Attn: 12TT; 103 South AGENCY: DEPARTMENT OF VETERANS Gay Street, Baltimore, MD 21202. Department of Veterans Affairs. AFFAIRS Telephone: (410) 962–1800 ext 267; ACTION: Notice. Facsimile: (410) 962–2141; e-mail: Notice of Intent To Grant an Exclusive [email protected]. SUMMARY: In accordance with the Energy License Policy Act of 1992 (EPAct) (42 U.S.C. FOR FURTHER INFORMATION CONTACT: 13211–13219) as amended by the AGENCY: Department of Veterans Affairs, Copies of the published patent Energy Conservation Reauthorization Office of Research and Development. applications may be obtained from the Act of 1998 (Pub. L. 105–388), the U.S. Patent and Trademark Office at ACTION: Notice of intent. Department of Veterans Affairs’ annual http://www.uspto.gov. alternative fuel reports are available on SUMMARY: Notice is hereby given that SUPPLEMENTARY INFORMATION: It is in the the following Department of Veterans the Department of Veterans Affairs, public interest to so license these Affairs Web site: http://www.va.gov/afv. Office of Research and Development, inventions as Global Therapy FOR FURTHER INFORMATION CONTACT: intends to grant Global Therapy Monitoring LLC submitted a complete Elaine Jackson, (202) 273–5859. Monitoring LLC, 6931 Arlington Road, and sufficient application for a license. Bethesda, MD 20814 USA an exclusive The prospective exclusive license will Approved: July 13, 2005. license to practice the following patent be royalty-bearing and will comply with Gordon H. Mansfield, applications: U.S. Provisional Patent the terms and conditions of 35 U.S.C. Deputy Secretary of Veterans Affairs. Application Serial No. 60/547,052 filed 209 and 37 CFR 404.7. The prospective [FR Doc. 05–14540 Filed 7–21–05; 8:45 am] February 25, 2004, entitled ‘‘Methods exclusive license may be granted unless, BILLING CODE 8320–01–P
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Part II
Central Intelligence Agency Privacy Act of 1974; Systems of Records and Routine Users; Notice
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CENTRAL INTELLIGENCE AGENCY to the notices, as proposed. The systems appropriate administrative action, or notices took effect on July 5, 2005. charged with enforcing or implementing Privacy Act of 1974; System of In addition, the Agency had proposed the statute, or rule, regulation or order Records and Routine Uses a modification to one of its existing issued pursuant thereto. routine uses and the addition of seven 2. A record from this system of AGENCY: Central Intelligence Agency. new routine uses to its ‘‘Statement of records may be disclosed, as a routine ACTION: Notice of final statement of General Routine Uses,’’ in order to use, to a federal, state or local agency general routine uses and Privacy Act clarify and increase the public’s maintaining civil, criminal or other systems of records notices of the Central knowledge of the circumstances in relevant enforcement information or Intelligence Agency. which the Central Intelligence Agency other pertinent information, such as SUMMARY: The Central Intelligence may disclose information from Privacy current licenses, if necessary to obtain Agency has undertaken and completed Act systems of records and to enhance information relevant to a Central an Agency-wide review of its Privacy the Agency’s ability to share Intelligence Agency decision concerning Act systems of records. As a result of information essential to the conduct of the hiring or retention of an employee, this review, in the May 24 2005 issue of its national security mission. With the the issuance of a security clearance or the Federal Register, the Agency exception of the proposed modification special access, or the performance of the solicited public comments on the to Routine Use 4 and the proposed Agency’s acquisition functions. complete set of proposed revised addition of Routine Uses 8 through 14, 3. A record from this system of Privacy Act systems of records notices, no other changes to the provisions of the records may be disclosed, as a routine the proposed modification of one of its Agency’s published ‘‘Statement of use, to a federal, state, or local agency, existing routine uses, and the proposed General Routine Uses’’ were proposed. or other appropriate entities, or addition of seven new routine uses to its The proposed modification and addition individuals, in connection with the ‘‘Statement of General Routine Uses’’ for to ‘‘Statement of General routine Uses’’ hiring or retention of an employee, the information subject to the Privacy Act. were published in the May 24, 2005 issuance of a security clearance or As required by the Privacy Act, the issue of the Federal Register. The special access, the reporting or an Agency provided an opportunity for Agency provided an opportunity for investigation of an employee, the letting interested persons to submit comments interested persons to submit comments. of a contract, or the issuance of a on these notices and routine uses. The Because the Agency did not receive license, grant or other benefit, to the Agency did not receive any comments. comments, no changes have been made extent that the information is relevant and necessary to the entity’s decision on DATES: July 5, 2005. to the routine uses, as proposed. The modified and additional routine uses the matter. FOR FURTHER INFORMATION CONTACT: 4. A record from a system of records Scott A. Koch, Information and Privacy took effect on July 5, 2005. Nothing in the revised systems maintained by the Central Intelligence Coordinator, Central Intelligence Agency may be disclosed, as a routine Agency, Washington, DC 20505 or by notices or modified or new routine uses indicates any change in the Central use, in the course of presenting telephone, 703–613–1287. information or evidence to a court, Intelligence Agency’s authorities or SUPPLEMENTARY INFORMATION: The magistrate, special master, practices regarding the collection and Central Intelligence Agency completed a administrative law judge, or maintenance of information about zero-based, Agency-wide review of its administrative board or panel, including citizens and lawful permanent residents Privacy Act systems of records. As a disclosures made pursuant to statutes or of the United States, nor do the changes result of this review, the Agency regulations governing the conduct of impact any individual’s rights to access determined that its Privacy Act notices such proceedings. or to amend their records pursuant to required extensive modifications to 5. A record from this system of the Privacy Act. more accurately describe the records records may be disclosed to the Office systems currently maintained by the Dated: July 8, 2005. of Management and Budget in Agency. Rather than making numerous, Edmund Cohen, connection with the review of private piecemeal revisions, the Agency Chief of Information Management Services. relief legislation, as set forth in OMB decided to draft and republish updated Circular No. A–19, at any stage of the Statement of General Routine Uses for notices for all of its Privacy Act systems legislative coordination and clearance the Central Intelligence Agency of records. The modified notices process as set forth in the Circular. reflected several factors: The The following routine uses apply to, 6. A record from a system of records consolidation of records systems and are incorporated by reference into, may be disclosed, as a routine use, to resulting from advances in information each system of records maintained by NARA (GSA) in records management technology; the elimination of records the CIA: inspections conducted under the systems no longer in use; the 1. In the event that a system of records authority of 44 U.S.C. 2904 and 2906. combination of previously separate maintained by the Central Intelligence 7. A record from this system of records systems that serve a common Agency to carry out its functions records may be disclosed, as a routine purpose and are under common control; indicates, or relates to, a violation or use, to a federal, state, or local agency, the addition of notices for records potential violation of law, whether civil, other appropriate entities or systems not previously identified as criminal or regulatory in nature, and individuals, or, through established being subject to the Privacy Act; and the whether arising by general statute or liaison channels, to selected foreign addition of notices for newly-created particular program pursuant thereto, the governments, provided such disclosure records systems. The proposed revised relevant records in the system of records is compatible with the purpose for notices were published in the May 24, may be disclosed, as a routine use, to which the record was collected and is 2005 issue of the Federal Register. The the appropriate agency whether federal, undertaken to enable the Central Agency provided an opportunity for state, local or foreign, charged with the Intelligence Agency to carry out its interested persons to submit comments. responsibility of investigating or responsibilities under the National Because the Agency did not receive prosecuting such violation, or charged Security Act of 1947, as amended, the comments, no changes have been made with the responsibility to take CIA Act of 1949, as amended, Executive
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Order 12333 or any successor order, use, to individual Members or staff of associated with commercial vendors national security directives applicable the Senate Select Committee on and contracts; official travel orders, to the Agency and classified Intelligence and the House Permanent records of funds advanced and implementing procedures approved by Select Committee on Intelligence in transportation furnished, copies of the Attorney General promulgated connection with the exercise of the travel claims and accountings, visas, pursuant to such Orders and directives, Committees’ intelligence oversight and and passports; records concerning, as well as statutes, Executive orders and legislative functions, when such claims submitted for financial review, directives of general applicability. This disclosures are necessary to a lawful including all financial documentation routine use is not intended to supplant activity of the United States, and the accumulated in the collection and the other routine uses published by the General Counsel of the Central settlement of amounts due the agency Central Intelligence Agency. Intelligence Agency determines that from employees and former employees; 8. A record from a system of records such disclosures are otherwise lawful. records tracking general accounting maintained by the Central Intelligence 13. A record from a system of records data, including the status of funds Agency may be disclosed, as a routine maintained by the Central Intelligence advanced to individuals for official use, to a Member of Congress or Agency may be disclosed, as a routine purposes and the procurement of Congressional staffer in response to an use, to the President’s Foreign materials and services; records on inquiry from that Member of Congress Intelligence Advisory Board, the certifying officers, contracting officers, or Congressional staffer made at the Intelligence Oversight Board, any cash custodians and credit card holders, written request of the constituent who is successor organizations, and any including authorizing letters and the subject of the record. intelligence oversight entities signature cards; and records for the 9. A record from a system of records established by the President, when the processing of personal property claims maintained by the Central Intelligence head of the Central Intelligence Agency and related activity. Agency may be disclosed, as a routine determines that disclosure will assist use, to the public or to the media for these entities in the performance of their AUTHORITY FOR MAINTENANCE OF THE SYSTEM: release to the public, to enable the oversight functions. The National Security Act of 1947, as Agency to respond to charges of illegal 14. In the event that none of the amended (50 U.S.C. 403 et seq.); the or improper activity, professional routine uses listed above is applicable, Central Intelligence Agency Act of 1949, misconduct, or incompetence when a record from a system of records as amended (50 U.S.C. 403a et seq.); such allegations have become publicly maintained by the Central Intelligence Executive Order 12333 (46 FR 59941); known, and the General Counsel Agency may be disclosed, as a routine the Central Intelligence Agency determines that such disclosures are use, to other appropriate recipients, if Retirement Act (50 U.S.C. 2001 et seq.). necessary to preserve public confidence such dissemination is necessary to a PURPOSE(S): in the Agency and the integrity of its lawful activity of the United States, and Records in this system are used by processes, or to demonstrate the the General Counsel of the Central authorized personnel to: Ensure process accountability of the Agency and its Intelligence Agency, in consultation integrity; enable the CIA and the head employees. with the Department of Justice, of the CIA to carry out their lawful and 10. A record from a system of records determines that such dissemination is authorized responsibilities; provide maintained by the Central Intelligence lawful. Agency may be disclosed, as a routine accounting data to track items such as use, to any Federal agency when PRIVACY ACT SYSTEMS OF budget and expenses to allow the CIA to documents or other information RECORDS NOTICES acquire goods and services and provide obtained from that agency are used in an accounting infrastructure; travel compiling the record, and the record is CIA–1 services; and financial management relevant to the official responsibilities of SYSTEM NAME: expertise for fiscal resource utilization that agency. Financial Records. and control; and determine whether the 11. A record from a system of records commitment and expenditure of CIA maintained by the Central Intelligence SECURITY CLASSIFICATION: funds is authorized, approved, and Agency may be disclosed, as a routine The classification of records in this certified by officials to whom such use, to representatives of the system can range from UNCLASSIFIED authority has been delegated. Department of Justice or of any other to TOP SECRET. entity responsible for representing the ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM LOCATION: SYSTEM, INCLUDING CATEGORIES OF USERS AND interests of the Central Intelligence THE PURPOSES OF SUCH USES: Agency in connection with judicial, Central Intelligence Agency, This information is set forth in the administrative or other proceedings. Washington, DC 20505. ‘‘CIA Statement of General Routine Records may also be disclosed to CATEGORIES OF INDIVIDUALS COVERED BY THE Uses,’’ which is incorporated herein by representatives of the Department of SYSTEM: reference. Justice and other U.S. Government Current and former CIA staff and entities, to the extent necessary to contract employees, and military and DISCLOSURE TO CONSUMER REPORTING obtain their advice on any matter within civilian personnel detailed to CIA; and AGENCIES: their official responsibilities. Records personal services independent None. may also be disclosed to representatives contractors, industrial contractors, of private entities designated by the POLICIES AND PRACTICES FOR STORING, commercial vendors, and consultants to RETRIEVING, ACCESSING, RETAINING, AND Central Intelligence Agency to represent the CIA. DISPOSING OF RECORDS IN THE SYSTEM: Agency interests, to the extent necessary for the Central Intelligence Agency to CATEGORIES OF RECORDS IN THE SYSTEM: STORAGE: obtain advice on any matter. This system contains financial Paper records are stored in secured 12. A record from a system of records accounts and records concerning CIA areas within the CIA. Electronic records maintained by the Central Intelligence expenditures. This includes: records are stored in secure file-servers located Agency may be disclosed, as a routine relating to financial transactions within the CIA.
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RETRIEVABILITY: RECORD SOURCE CATEGORIES: ROUTINE USES OF RECORDS MAINTAINED IN THE Individuals to whom records in this SYSTEM, INCLUDING CATEGORIES OF USERS AND By name, social security number, or THE PURPOSES OF SUCH USES: other CIA identifier. Information may be system pertain, and other CIA retrieved from this system of records by employees. This information is set forth in the automated or hand search based on ‘‘CIA Statement of General Routine EXEMPTIONS CLAIMED FOR THE SYSTEM: extant indices and automated Uses,’’ which is incorporated herein by capabilities used in the normal course of Certain records contained within this reference. business. Under applicable law and system of records may be exempted DISCLOSURE TO CONSUMER REPORTING regulations, all searchers of this system from certain provisions of the Privacy AGENCIES: of records will be performed in CIA Act (5 U.S.C. 552a) pursuant to 5 U.S.C. None. offices by CIA personnel. 552a(j)(1), (k), and (d)(5). POLICIES AND PRACTICES FOR STORING, CIA–2 SAFEGUARDS: RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: Records are stored in secured area SYSTEM NAME: STORAGE: within the CIA accessed only by Training Records. authorized persons. Software access Paper records are stored in secured controls are also in place. SECURITY CLASSIFICATION: areas within the CIA. Electronic records The classification of records in this are stored in secure file-servers located RETENTION AND DISPOSAL: system can range from UNCLASSIFIED within the CIA. All records are maintained and to TOP SECRET. RETRIEVABILITY: disposed of in accordance with Records SYSTEM LOCATION: By name and employee number. Control Schedules approved by the Information may be retrieved from this Central Intelligence Agency, National Archives and Records system of records by automated or hand Washington, DC 20505. Administration. search based on extant indices and automated capabilities utilized in the SYSTEM MANAGER(S) AND ADDRESS (THIS CATEGORIES OF INDIVIDUALS COVERED BY THE INCORPORATES BY REFERENCE ANY CIA SYSTEM: normal course of business. Under SUCCESSOR IN FUNCTION TO THE SYSTEM CIA staff and staff and contract applicable law and regulations, all MANAGER(S) SET FORTH HEREIN): employees, other federal employees, searches of this system of records will CIA personal services independent be performed in CIA offices by CIA Chief Financial Officer, Central personnel. Intelligence Agency, Washington, DC contractors and industrial contractors to 20505. CIA who have completed internal and SAFEGUARDS: CIA-sponsored external training courses Records are stored in secured areas NOTIFICATION PROCEDURE: or programs; and instructors and accessed only by authorized persons. Individuals seeking to learn if this potential instructors for the CIA off- Software access controls are also in system of records contains information campus education program. place. about them should direct their inquiries CATEGORIES OF RECORDS IN THE SYSTEM: RETENTION AND DISPOSAL: to: Information and Privacy Coordinator, Transcripts of CIA-sponsored training; Central Intelligence Agency, All records are maintained and student and instructor biographic data; Washington, DC 20505. Identification disposed of in accordance with Records course information; and names of CIA requirements are specified in the CIA Control Schedules approved by the employees responsible for approving rules published in the Federal Register National Archives and Records CIA-sponsored training. (32 CFR 1901.13). Individuals must Administration. comply with these rules. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: SYSTEM MANAGER(S) AND ADDRESS (THIS The National Security Act of 1947, as INCORPORATES BY REFERENCE ANY CIA RECORD ACCESS PROCEDURES: SUCCESSOR IN FUNCTION TO THE SYSTEM amended (50 U.S.C. 403 et seq.); the MANAGER(S) SET FORTH HEREIN): Requests from individuals should be Central Intelligence Agency Act of 1949, Chief, Training Development Office, addressed as indicated in the as amended (50 U.S.C. 403a et seq.); Central Intelligence Agency, notification section above. Regulations Executive Order 12333 (46 FR 59941). for access to individual records or for Washington, DC 20505. PURPOSE(S): appealing an initial determination by NOTIFICATION PROCEDURE: CIA concerning the access to records are Records in this system are used by Individuals seeking to learn if this published in the Federal Register (32 authorized personnel to: Ensure process system of records contains information CFR 1901.11–45). integrity; enable the CIA and the head about them should direct their inquiries of the CIA to carry out their lawful and CONTESTING RECORD PROCEDURE: to: Information and Privacy Coordinator, authorized responsibilities; manage Central Intelligence Agency, Requests from individuals to correct training activities for individuals Washington, DC 20505. Identification or amend records should be addressed assigned to the CIA; process requests for requirements are specified in the CIA as indicated in the notification section internal and external training for CIA rules published in the Federal Register above. CIA’s regulations regarding staff and contract employees, personal (32 CFR 1901.13). Individuals must requests for amendments to, or services independent contractors, comply with these rules. disputing the contents of individual industrial contractors and military and records or for appealing an initial civilian personnel detailed to CIA; RECORD ACCESS PROCEDURES: determination by CIA concerning these update and provide reference for CIA Requests from individuals should be matters are published in the Federal employee training records; and facilitate addressed as indicated in the Register (32 CFR 1901.21–23, 32 CFR the process for selecting instructors for notification section above. Regulations 1901.42). the CIA off-campus education program. for access to individual records or for
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appealing an initial determination by authorized responsibilities; provide rules published in the Federal Register CIA concerning the access to records are information concerning language (32 CFR 1901.13) Individuals must published in the Federal Register (32 proficiency of CIA and non-CIA comply with these rules. CFR 1901.11–45). personnel who have taken internal or CIA-sponsored external language RECORD ACCESS PROCEDURES: CONTESTING RECORD PROCEDURE: training or testing; monitor student Requests from individuals should be Requests from individuals to correct performance; and conduct research and addressed as indicated in the or amend records should be addressed compile statistics on a variety of matters notification section above. Regulations as indicated in the notification section related to language learning and testing. for access to individual records or for above. CIA’s regulations regarding appealing an initial determination by requests for amendments to, or ROUTINE USES OF RECORDS MAINTAINED IN THE CIA concerning the access to records are disputing the contents of individual SYSTEM, INCLUDING CATEGORIES OF USERS AND published in the Federal Register (32 records or for appealing an initial THE PURPOSES OF SUCH USERS: CFR 1901.11–45). determination by CIA concerning these This information is set forth in the CONTESTING RECORD PROCEDURE: matters are published in the Federal ‘‘CIA Statement of General Routine Register (32 CFR 1901.21–23, 32 CFR Uses,’’ which is incorporated herein by Requests from individuals to correct 1901.42). reference. or amend records should be addressed as indicated in the notification section RECORD SOURCE CATEGORIES: DISCLOSURE TO CONSUMER REPORTING above. CIA’s regulations regarding AGENCIES: Individuals covered by this system; requests for amendments to, or students and instructors in CIA internal None. disputing the contents of individual and CIA-sponsored external training; POLICIES AND PRACTICES FOR STORING, records or for appealing an initial and training facilities and other RETRIEVING, ACCESSING, RETAINING, AND determination by CIA concerning these educational institutions. DISPOSING OF RECORDS IN THE SYSTEM: matters are published in the Federal STORAGE: Register (32 CFR 1901.21–23, 32 CFR EXEMPTIONS CLAIMED FOR THE SYSTEM: 1901.42). Certain records contained within this Paper records are stored in a secured system of records may be exempted area within the CIA. Electronic records RECORD SOURCE CATEGORIES: from certain provisions of the Privacy are stored in secure file-servers located Students and instructors internal or Act (5 U.S.C. 552a) pursuant to 5 U.S.C. within the CIA. CIA-sponsored external language 552a(j)(1), (k), and (d)(5). RETRIEVABILITY: training courses. CIA–3 By name or social security number. EXEMPTIONS CLAIMED FOR THE SYSTEM: Information may be retrieved from this Certain records contained within this SYSTEM NAME: system of records by automated or hand system of records may be exempted Language Program Records. search on extant indices and automated from certain provisions of the Privacy capabilities utilized in the normal SECURITY CLASSIFICATION: Act (5 U.S.C. 552a) pursuant to 5 U.S.C. course of business. Under applicable 552a(j)(1), (k), and (d)(5). The classification of records in this law and regulations, all searches of this system can range from UNCLASSIFIED system of records will be performed in CIA–4 to TOP SECRET. CIA offices by CIA personnel. SYSTEM NAME: SYSTEM LOCATION: SAFEGUARDS: CIA Declassifications Center (CDC) Central Intelligence Agency, Records are stored in several areas External Liaison Records. Washington, DC 20505. accessed only by authorized persons. SECURITY CLASSIFICATION: Software access controls are also in CATEGORIES OF INDIVIDUALS COVERED BY THE place. The classification of records in this SYSTEM: system can range from UNCLASSIFIED CIA staff and contract employees, and RETENTION AND DISPOSAL: to CONFIDENTIAL. other individuals who have participated All records are maintained and SYSTEM LOCATION: in CIA-managed or CIA-sponsored disposed of in accordance with Records language training and testing. Control Schedules approved by the Central Intelligence Agency, Washington, DC 20505. CATEGORIES OF RECORDS IN THE SYSTEM: National Archives and Records Administration. Biographic data; test scores; training CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: reports from instructors; training SYSTEM MANAGER(S) AND ADDRESS (THIS requests from sponsoring office(s); and INCORPORATES BY REFERENCE ANY CIA Individuals at U.S. government attendance reports. SUCCESSOR IN FUNCTION TO THE SYSTEM agencies who serve as points of contact MANAGER(S) SET FORTH HEREIN): for dealings with the CDC External AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Chief, Training Development Office, Referral & Liaison Branch. The National Security Act of 1947, as Central Intelligence Agency, CATEGORIES OF RECORDS IN THE SYSTEM: amended (50 U.S.C. 403 et seq.); the Washington, DC 20505. Central Intelligence Agency Act of 1949, Biographic information including as amended (50 U.S.C. 403a et seq.); NOTIFICATION PROCEDURE: name, social security number, position, Executive Order 12333 (46 FR 59941). Individuals seeking to learn if this title/rank, and expertise; locator system of records contains information information including telephone PURPOSE(S): about them should direct their inquiries numbers, fax numbers, and address Records in this system are used by to: Information and Privacy Coordinator, (primary, e-mail and pouch); and authorized personnel to: Ensure process Central Intelligence Agency, information related to security integrity; enable the CIA and the head Washington, DC 20505. Identification clearances and access approvals, of the CIA to carry out their lawful and requirements are specified in the CIA including clearances held, current status
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of clearances, and period of NOTIFICATION PROCEDURE: CATEGORIES OF RECORDS IN THE SYSTEM: certification. Individuals seeking to learn if this Names, biographic data and the system of records contains information AUTHORITY FOR MAINTENANCE OF THE SYSTEM: content of information provided by about them should direct their inquiries individuals who have participated in The National Security Act of 1947, as to: Information and Privacy Coordinator, CSI’s ‘‘oral history’’ program, or worked amended (50 U.S.C. 403 et seq.); the Central Intelligence Agency, with CSI. Central Intelligence Agency Act of 1949; Washington, DC 20505. Identification as amended (50 U.S.C. 403a et seq.); the requirements are specified in the CIA AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Executive Order 12958 (76 FR 19825). rules published in the Federal Register The National Security Act of 1947, as PURPOSES(S): (32 CFR 1901.13). Individuals must amended (50 U.S.C. 403 et seq.); the Records in this system are used by comply with these rules. Central Intelligence Agency Act of 1949, authorized personnel to: Ensure process RECORD ACCESS PROCEDURES: as amended (50 U.S.C. 403a et seq.); integrity; enable the CIA and the head Executive Order 12333 (46 FR 59941). Requests from individuals should be of the CIA to carry out their lawful and addressed as indicated in the authorized responsibilities; and PURPOSE(S): notification section above. Regulations maintain a current list of points of Records in this system are used by for access to individual records or for contact at U.S. government agencies on authorized personnel to: Ensure process appealing an initial determination by EO 12958 declassification issues. integrity; enable the CIA and the head CIA concerning the access to records are of the CIA to carry out their lawful and ROUTINE USES OF RECORDS MAINTAINED IN THE published in the Federal Register (32 authorized responsibilities; and record SYSTEM, INCLUDING CATEGORIES OF USERS AND CFR 1901.1–45). THE PURPOSES OF SUCH USES: experiences of current and former CIA CONTESTING RECORD PROCEDURE associates for use in CSI projects. This information is set forth in the : Requests from individuals to correct ‘‘CIA Statement of General Routine ROUTINE USES OF RECORDS MAINTAINED IN THE Uses,’’ which is incorporated herein by or amend records should be addressed SYSTEM, INCLUDING CATEGORIES OF USERS AND reference. as indicated in the notification section THE PURPOSES OF SUCH USES: above. CIA’s regulations regarding DISCLOSURE OF CONSUMER REPORTING requests for amendments to, or This information is set forth in the AGENCIES: disputing the contents of individual ‘‘CIA Statement of General Routine None. records or for appealing an initial Uses,’’ which is incorporated herein by determination by CIA concerning these reference. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND matters are published in the Federal DISCLOSURE TO CONSUMER REPORTING DISPOSING OF RECORDS IN THE SYSTEM: Register (32 CFR 1901.21–23, 32 CFR AGENCIES: 1901.42). STORAGE: None. Records are stored in secure file RECORD SOURCE CATEGORIES: servers located within the CIA. Individuals covered by this system, POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND and points of contact provided by U.S. RETRIEVABILITY: DISPOSING OF RECORDS IN THE SYSTEM: government agencies. By name, social security number, and STORAGE: agency. Information may be retrieved EXEMPTIONS CLAIMED FOR THE SYSTEM: Paper and other hard-copy records are from this system of records by Certain records contained within this stored in secured areas within the CIA. automated search based on capabilities system of records may be exempted Electronic records and stored in secure utilized in the normal course of from certain provisions of the Privacy file-servers located within CIA. business. Under applicable law and Act (5 U.S.C. 552a) pursuant to 5 U.S.C. regulations, all searches of this system 552a(j)(1), (k), and (d)(5). RETRIEVABILITY: of records will be performed in CIA offices by CIA personnel. CIA–5 By name. Information may be retrieved from this system of records by SAFEGUARDS: SYSTEM NAME: automated or hand search based on Access is restricted to individuals Center for the Study of Intelligence extant indices and automated who are certified on an access control (CSI) Records. capabilities utilized in the normal list. Additional software access controls course of business. Under applicable SECURITY CLASSIFICATION: are also in place. law and regulations, all searches of this The classification of records in this system of records will be performed in RETENTION AND DISPOSAL: system can range from UNCLASSIFIED CIA offices by CIA personnel. All records are maintained and to TOP SECRET. disposed of in accordance with records SAFEGUARDS: SYSTEM LOCATION: control schedules approved by the Records are stored in secure areas National Archives and Records Central Intelligence Agency, Washington, DC 20505. accessed only by authorized persons. Administration. Software access controls are also in SYSTEM MANAGER(S) AND ADDRESS (THIS CATEGORIES OF INDIVIDUALS COVERED BY THE place. INCORPORATES BY REFERENCE ANY CIA SYSTEM: SUCCESSOR IN FUNCTION TO THE SYSTEM Current and former CIA staff and RETENTION AND DISPOSAL: MANAGER(S) SET FORTH HEREIN): contract employees, personal services All records are maintained and Chief, External Referral & Liaison independent contractors to CIA, and disposed of in accordance with Records Branch/CIA Declassification Center, current and former employees detailed Control Schedules approved by the Central Intelligence Agency, to the CIA who have participated in an National Archives and Records Washington, DC 20505. ‘‘oral history’’ program. Administration.
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SYSTEM MANAGER(S) AND ADDRESS (THIS writings or oral presentations for pre- law and regulations, all searches of this INCORPORATES BY REFERENCE ANY CIA publication review; and individuals system of records will be performed in SUCCESSOR IN FUNCTION TO THE SYSTEM otherwise involved in pre-publication CIA offices by CIA personnel. MANAGER(S) SET FORTH HEREIN): review matters with CIA. Director, Center for the Study of SAFEGUARDS: Intelligence, Central Intelligence CATEGORIES OF RECORDS IN THE SYSTEM: Records are stored in secured areas Agency, Washington, DC 20505. Manuscripts and other writings accessed only by authorized persons. submitted for pre-publication review; Software access controls are also in NOTIFICATION PROCEDURE: Publication Review Board meeting place. Individuals seeking to learn if this minutes, official memoranda, RETENTION AND DISPOSAL: system of records contains information bibliographic files and related about them should direct their inquiries documents; and Publication Review All records are maintained and to: Information and Privacy Coordinator, Board Reference Center documentation. disposed of in accordance with Records Central Intelligence Agency, Control Schedules approved by the Washington, DC 20505. Identification AUTHORITY FOR MAINTENANCE OF THE SYSTEM: National Archives and Records requirements are specified in the CIA The National Security Act of 1947, as Administration. rules published in the Federal Register amended (50 U.S.C. 403 et seq.); the SYSTEM MANAGER(S) AND ADDRESS (THIS (32 CFR 1901.13). Individuals must Central Intelligence Agency Act of 1949, INCORPORATES BY REFERENCE ANY CIA comply with these rules. as amended (50 U.S.C. 403a et seq.); SUCCESSOR IN FUNCTION TO THE SYSTEM RECORD ACCESS PROCEDURES: Executive Order 12333 (46 FR 59941); MANAGER(S) SET FORTH HEREIN): Executive Order 12958 (76 FR 19825); Requests from individuals should be Chair, Publications Review Board, Executive Order 12968 (60 FR 40245); addressed as indicated in the Central Intelligence Agency, Snepp v. United States, 444 U.S. 507 notification section above. Regulations Washington, DC 20505. (1980). for access to individual records or for NOTIFICATION PROCEDURE: appealing an initial determination by PURPOSE(S): Individuals seeking to learn if this CIA concerning the access to records are Records in this system are used by system of records contains information published in the Federal Register (32 authorized personnel: To ensure process about them should direct their inquiries CFR 1901.11–45). integrity; to enable the CIA and the head to: Information and Privacy Coordinator, CONTESTING RECORD PROCEDURE: of the CIA to carry out their lawful and Central Intelligence Agency, Requests from individuals to correct authorized responsibilities; as Washington, DC 20505. Identification or amend records should be addressed references for manuscripts, meeting requirements are specified in the CIA as indicated in the notification section minutes, official memoranda, rules published in the Federal Register above. CIA’s regulations regarding bibliographic files and related (32 CFR 1901.13). Individuals must requests for amendments to, or documents which have been submitted comply with these rules. disputing the contents of individual for review in compliance with applicable regulations; and to facilitate RECORD ACCESS PROCEDURES: records or for appealing an initial Requests from individuals should be determination by CIA concerning these review of new manuscript submissions of proposed publications or speeches addressed as indicated in the matters are published in the Federal notification section above. Regulations Register (32 CFR 1901.21–23, 32 CFR authored or given by present or former employees. for access to individual records or for 1901.42). appealing an initial determination by ROUTINE USES OF RECORDS MAINTAINED IN THE RECORD SOURCE CATEGORIES: CIA concerning the access to records are SYSTEM, INCLUDING CATEGORIES OF USERS AND published in the Federal Register (32 Individuals covered by this system; THE PURPOSES OF SUCH USES: and CIA records. CFR 1901.11–45). This information is set forth in the EXEMPTIONS CLAIMED FOR THE SYSTEM: ‘‘CIA Statement of General Routine CONTESTING RECORD PROCEDURE: Certain records contained within this Uses,’’ which is incorporated herein by Requests from individuals to correct system of records may be exempted reference. or amend records should be addressed from certain provisions of the Privacy as indicated in the notification section DISCLOSURE TO CONSUMER REPORTING above. CIA’s regulations regarding Act (5 U.S.C. 552a) pursuant to 5 U.S.C. AGENCIES: 552a(j)(1), (k), and (d)(5). requests for amendments to, or None. disputing the contents of individual CIA–6 POLICIES AND PRACTICES FOR STORING, records or for appealing an initial SYSTEM NAME: RETRIEVING, ACCESSING, RETAINING, AND determination by CIA concerning these DISPOSING OF RECORDS IN THE SYSTEM matters are published in the Federal Manuscript Review Records. : Register (32 CFR 1901.21–23, 32 CFR STORAGE: SECURITY CLASSIFICATION: 1901.42). Paper records are stored in a secured The classification of records in this area within the CIA. Electronic records RECORD SOURCE CATEGORIES: system can range from UNCLASSIFIED are stored in secure file-servers located to TOP SECRET. Current and former CIA employees within the CIA. and other obligated authors; Publication SYSTEM LOCATION: Review Boards members and staff; and RETRIEVABILITY: Central Intelligence Agency, other CIA personnel involved in the Washington, DC 20505. By name. Information may be publications review process. retrieved from this system of records by CATEGORIES OF INDIVIDUALS COVERED BY THE automated or hand search based on EXEMPTIONS CLAIMED FOR THE SYSTEM: SYSTEM: extant indices and automated Certain records contained within this Current and former CIA employees; capabilities utilized in the normal system of records may be exempted other authors obligated to submit course of business. Under applicable from certain provisions of the Privacy
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Act (5 U.S.C. 552a) pursuant to 5 U.S.C. RETRIEVABILITY: escort badge record cards; and permits 552a(j)(l), (k), and (d)(5). By name, social security number, or and identification sources. other CIA identifier. Information may be EXEMPTIONS CLAIMED FOR THE SYSTEM: CIA–7 retrieved from this system of records by Certain records contained within this SYSTEM NAME: automated or hand search based on system of records may be exempted Security Access Records. extant indices and automated capabilities utilized in the normal from certain provisions of the Privacy SECURITY CLASSIFICATION: course of business. Under applicable Act (5 U.S.C. 552a) pursuant to 5 U.S.C. 552a(j)(l), (k), and (d)(5). The classification of records in this law and regulations, all searches of this system can range from UNCLASSIFIED system of records will be performed in CIA–8 to TOP SECRET. CIA offices by CIA personnel. SYSTEM NAME: SAFEGUARDS: SYSTEM LOCATION: Security Operations Records. Central Intelligence Agency, Records are stored in secured areas Washington, DC 20505. accessed only by authorized persons. SECURITY CLASSIFICATION: Software access controls are also in The classification of records in this CATEGORIES OF INDIVIDUALS COVERED BY THE place. system can range from UNCLASSIFIED SYSTEM: to TOP SECRET. RETENTION AND DISPOSAL: CIA employees and other individuals authorized to access CIA buildings and All records are maintained and SYSTEM LOCATION: facilities. disposed of in accordance with Records Central Intelligence Agency, Control Schedules approved by the Washington, DC 20505. CATEGORIES OF RECORDS IN THE SYSTEM: National Archives and Records Personal identification information; Administration. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: building and entrance information; SYSTEM MANAGER(S) AND ADDRESS (THIS Individuals, including CIA entry or exit data and codes; and INCORPORATES BY REFERENCE ANY CIA credential information. employees, who have contacted or been SUCCESSOR IN FUNCTION TO THE SYSTEM referred to the CIA’s Security MANAGER(S) SET FORTH HEREIN): AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Operations Center; individuals, Director of Security, Central The National Security Act of 1947, as including CIA employees, who have Intelligence Agency, Washington, DC amended (50 U.S.C. 403 et seq.); the been responsible for or suspected of 20505. Central Intelligence Agency Act of 1949, security incidents, or have witnessed, as amended (50 U.S.C. 403a et seq.); NOTIFICATION PROCEDURE: reported, or investigated security Executive Order 12333 (46 FR 59941). Individuals seeking to learn if this incidents involving CIA information, system of records contains information and/or CIA-controlled property or PURPOSE(S): about them should direct their inquiries facilities; individuals who have had Records in this system are used by to: Information and Privacy Coordinator, restrictions imposed upon their authorized personnel to: Ensure process Central Intelligence Agency, entrance to CIA-controlled property or integrity; enable the CIA and the head Washington, DC 20505. Identification facilities; and individuals involved in of the CIA to carry out their lawful and requirements are specified in the CIA traffic violations on CIA-controlled authorized responsibilities; verify rules published in the Federal Register property or facilities. individuals’ authorization to access CIA (32 CFR 1901.13). Individuals must CATEGORIES OF RECORDS IN THE SYSTEM: buildings and facilities; create a record comply with these rules. of individuals’ access to CIA buildings Personal identification and event and facilities; facilitate the issuance and RECORD ACCESS PROCEDURES: information that includes: Biographic retrieval of visitor and temporary Requests from individuals should be information, including name, social badges; and provide statistical data on addressed as indicated in the security number, and CIA-controlled building and facility access patterns for notification section above. Regulations property or facilities, including date and resource planning purposes. for access to individual records or for place of incidents, subject matter or appealing an initial determination by incident description, arrests and ROUTINE USES OF RECORDS MAINTAINED IN THE CIA concerning the access to records are violation information, including court SYSTEM, INCLUDING CATEGORIES OF USERS AND published in the Federal Register (32 disposition and vehicular information THE PURPOSES OF SUCH USES: CFR 1901.11–45). where appropriate. This information is set forth in the ‘‘CIA Statement of General Routine CONTESTING RECORD PROCEDURE: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Uses,’’ which is incorporated herein by Requests from individuals to correct The National Security Act of 1947, as reference. or amend records should be addressed amended (50 U.S.C. 403 et seq.); the as indicated in the notification section Central Intelligence Agency Act of 1949, DISCLOSURE TO CONSUMER REPORTING above. CIA’s regulations regarding as amended (50 U.S.C. 403a et seq.); AGENCIES: requests for amendments to, or Executive Order 12333 (46 FR 59941). None. disputing the contents of individual PURPOSE(S): records or for appealing an initial POLICIES AND PRACTICES FOR STORING, Records in this system are used by RETRIEVING, ACCESSING, RETAINING, AND determination by CIA concerning these authorized personnel to: Ensure process DISPOSING OF RECORDS IN THE SYSTEM: matters are published in the Federal Register (32 CFR 1901.21–23, 32 CFR integrity; enable the CIA and the head STORAGE: 1901.42). of the CIA to carry out their lawful and Paper and other hard-copy records are authorized responsibilities; track events, stored in a secured area within the CIA. RECORD SOURCE CATEGORIES: individuals, and groups of individuals Electronic records are stored in secure CIA badge system; after-hours that may pose a threat to the CIA; assist file-servers located within the CIA. building and facility logs; visitor-no- CIA security officials in identifying
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present and future threats to CIA- about them should direct their inquiries AUTHORITY FOR MAINTENANCE OF THE SYSTEM: controlled property of facilities and CIA to: Information and Privacy Coordinator, The National Security Act of 1947, as personnel; track traffic violations, Central Intelligence Agency, amended (50 U.S.C. 403 et seq.); the security incidents, and access control Washington, DC 20505. Identification Central Intelligence Agency Act of 1949, issues; serve as a statistical and requirements are specified in the CIA as amended (50 U.S.C. 403a et seq.); management reporting tool; and rules published in the Federal Register Executive Order 12333 (46 FR 59941); facilitate court cases or other legal (32 CFR 1901.13). Individuals must Executive Order 10450 (5 U.S.C. 7311 proceedings. comply with these rules. note); Executive Order 12958 (78 FR 19825); and Executive Order 12968 (60 ROUTINE USES OF RECORDS MAINTAINED IN THE RECORD ACCESS PROCEDURES: FR 40245). SYSTEM, INCLUDING CATEGORIES OF USERS AND Requests from individuals should be THE PURPOSES OF SUCH USES: addressed as indicated in the PURPOSE(S): Reports regarding accidents and notification section above. Regulations Records in this system are used by traffic violations may be provided to the for access to individual records for authorized personnel to: Ensure process individuals involved and their appealing an initial determination by integrity; enable the CIA and the head insurance companies to facilitate the CIA concerning the access to records are of the CIA to carry out their lawful and resolution of claims. Information on published in the Federal Register (32 authorized responsibilities; document additional routine uses is set forth in the CFR 1901.11–45). security clearance(s) held by industrial ‘‘CIA Statement of General Routine contractors, commercial vendors, and CONTESTING RECORD PROCEDURE: Uses,’’ which is incorporated herein by persons in the private sector associated reference. Requests from individuals to correct with the CIA; and provide a reference to or amend records should be addressed answer inquiries on security clearances. DISCLOSURE TO CONSUMER REPORTING as indicated in the notification section AGENCIES: above. CIA’s regulations regarding ROUTINE USES OF RECORDS MAINTAINED IN THE None. requests for amendments to, or SYSTEM, INCLUDING CATEGORIES OF USERS AND disputing the contents of individual THE PURPOSES OF SUCH USES: POLICIES AND PRACTICES FOR STORING, Records of this system are used to RETRIEVING, ACCESSING, RETAINING, AND records or for appealing an initial certify clearances of individuals covered DISPOSING OF RECORDS IN THE SYSTEM: determination by CIA concerning these matters are published in the Federal by the system. Information on STORAGE: Register (32 CFR 1901.21–23, 32 CFR additional routine uses is set forth in the Paper records are stored in a secured 1901.42). ‘‘CIA Statement of General Routine area within the CIA. Electronic records Uses,’’ which is incorporated herein by are stored in secure file-servers located RECORD SOURCE CATEGORIES: reference. within the CIA. Individuals covered by this system of records; members of the general public; DISCLOSURE TO CONSUMER REPORTING AGENCIES: RETRIEVABILITY: CIA employees; and employees of other By name or other personal identifier. federal agencies and state and local None. Information may be retrieved from this governments. POLICIES AND PRACTICES FOR STORING, system of records by automated or hand RETRIEVING, ACCESSING, RETAINING, AND EXEMPTIONS CLAIMED FOR THE SYSTEM: search based on extant indices and DISPOSING OF RECORDS IN THE SYSTEM: automated capabilities utilized in the Certain records contained within this STORAGE: normal course of business. Under system of records may be exempted applicable law and regulations, all from certain provisions of the Privacy Paper records are stored in a secured searches of this system of records will Act (5 U.S.C. 552a) pursuant to 5 U.S.C. area within the CIA. Electronic records be performed in CIA offices by CIA 552a(j)(1), (k), and (d)(5). are stored in secure file-servers located personnel. within the CIA. CIA–9 RETRIEVABILILTY: SAFEGUARDS: SYSTEM NAME: By individual or company name, and Records are stored in secured areas Industrial Security Clearance Records. accessed only by authorized persons. social security number. Information may be retrieved from this system of records Software access controls are also in SECURITY CLASSIFICATION: by automated or hand search based on place. The classification of records in this extant indices and automated system can range from UNCLASSIFIED RETENTION AND DISPOSAL: capabilities utilized in the normal to TOP SECRET. All records are maintained and course of business. Under applicable disposed of in accordance with Records SYSTEM LOCATION: law and regulations, all searches of this Control Schedules approved by the Central Intelligence Agency, system of records will be performed in National Archives and Records Washington, DC 20505. CIA offices by CIA personnel. Administration. CATEGORIES OF INDIVIDUALS COVERED BY THE SAFEGUARDS: SYSTEM MANAGER(S) AND ADDRESS (THIS SYSTEM: Records are stored in secured areas INCORPORATES BY REFERENCE ANY CIA Industrial contractors and commercial accessed only by authorized persons. SUCCESSOR IN FUNCTION TO THE SYSTEM vendors; and persons in the private Software access controls are also in MANAGER(S) SET FORTH HEREIN): sector associated with the CIA who hold place. Director of Security, Central industrial security clearances. Intelligence Agency, Washington, DC RETENTION AND DISPOSAL: 20505. CATEGORIES OF RECORDS IN THE SYSTEM: All records are maintained and Biographic data, including name, disposed of in accordance with Records NOTIFICATION PROCEDURE: address, position, and social security Control Schedules approved by the Individuals seeking to learn if this number; and security clearance National Archives and Records system of records contains information information. Administration.
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SYSTEM MANAGER(S) AND ADDRESS (THIS CATEGORIES OF INDIVIDUALS COVERED BY THE RETENTION AND DISPOSAL: INCORPORATES BY REFERENCE ANY CIA SYSTEM: All records are maintained and SUCCESSOR IN FUNCTION TO THE SYSTEM CIA employees and any other disposed of in accordance with Records MANAGER(S) SET FORTH HEREIN): individuals requiring parking permits at Control Schedules approved by the Procurement Executive, Office of the CIA-controlled facilities. National Archives and Records Chief Financial Officer, Central Administration. Intelligence Agency, Washington, DC CATEGORIES OF RECORDS IN THE SYSTEM: 20505. Name, office location, grade, badge SYSTEM MANAGER(S) AND ADDRESS (THIS number, vehicle license number, INCORPORATES BY REFERENCE ANY CIA NOTIFICATION PROCEDURE: SUCCESSOR IN FUNCTION TO THE SYSTEM Individuals seeking to learn if this personal identifying information and MANAGER(S) SET FORTH HEREIN): relevant medical information of system of records contains information Chief of Global Support, Central individuals covered in this system. about them should direct their inquiries Intelligence Agency, Washington, DC to: Information and Privacy Coordinator, AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 20505. Central Intelligence Agency, Washington, DC 20505. Identification The National Security Act of 1947, as NOTIFICATION PROCEDURE: requirements are specified in the CIA amended (50 U.S.C. 403 et seq.); the Individuals seeking to learn if this rules published in the Federal Register Central Intelligence Agency Act of 1949, system of records contains information (32 CFR 1901.13). Individuals must as amended Central Intelligence Agency about them should direct their inquiries comply with these rules. Act of 1949, (50 U.S.C. 403a et seq.); to: Information and Privacy Coordinator, Executive Order 12333 (46 FR 59941). Central Intelligence Agency, RECORD ACCESS PROCEDURES: PURPOSE(S): Washington, DC 20505. Identification Requests from individuals should be requirements are specified in the CIA addressed as indicated in the Records in this system are used by rules published in the Federal Register notification section above. Regulations authorized personnel to: Ensure process (32 CFR 1901.13). Individuals must for access to individual records or for integrity; enable the CIA and the head comply with these rules. appealing an initial determination by of the CIA to carry out their lawful and CIA concerning the access to records are authorized responsibilities; and RECORD ACCESS PROCEDURES: published in the Federal Register (32 document the allocation and control of Requests from individuals should be CFR 1901.11–45). parking spaces at CIA-controlled addressed as indicated in the facilities. CONTESTING RECORD PROCEDURE: notification section above. Regulations for access to individual records or for Requests from individuals to correct ROUTINE USES OF RECORDS MAINTAINED IN THE appealing an initial determination by or amend records should be addressed SYSTEM, INCLUDING CATEGORIES OF USERS AND CIA concerning the access to records are as indicated in the notification section THE PURPOSES OF SUCH USES: published in the Federal Register (32 above. CIA’s regulations regarding This information is set forth in the CFR 1901.11–45). requests for amendments to, or ‘‘CIA Statement of General Routine disputing the contents of individual Uses,’’ which is incorporated herein by CONTESTING RECORD PROCEDURE: records or for appealing an initial reference. Requests from individuals to correct determination by CIA concerning these or amend records should be addressed matters are published in the Federal DISCLOSURE TO CONSUMER REPORTING AGENCIES: as indicated in the notification section Register (32 CFR 1901.21–23, 32 CFR above. CIA’s regulations regarding 1901.42). None. requests for amendments to, or RECORD SOURCE CATEGORIES: POLICIES AND PRACTICES OF STORING, disputing the contents of individual Individuals who hold or have held RETRIEVING, ACCESSING, RETAINING, AND records or for appealing an initial security clearances and the DISPOSING OF RECORDS IN THE SYSTEM: determination by CIA concerning these matters are published in the Federal organizations with which they are STORAGE: employed or otherwise associated; and Register (32 CFR 1901.21–23, 32 CFR Paper records are stored in a secured 1901.42). certification of clearance from the area within the CIA. Electronic records Center for CIA Security. are stored in secure file-servers located RECORD SOURCE CATEGORIES: EXEMPTIONS CLAIMED FOR THE SYSTEM: within the CIA. CIA employees and other individuals requiring parking permits at CIA- Certain records contained within this RETRIEVABILITY: system of records may be exempted controlled facilities. from certain provisions of the Privacy By name, and vehicle license number. Information may be retrieved from this EXEMPTIONS CLAIMED FOR THE SYSTEM: Act (5 U.S.C. 552a) pursuant to 5 U.S.C. Certain records contained within this 552a(j)(1), (k), and (d)(5). system of records by automated or hand search based on extant indices and system of records may be exempted CIA–10 automated capabilities utilized in the from certain provisions of the Privacy normal course of business. Under Act (5 U.S.C. 552a) pursuant to 5 U.S.C. SYSTEM NAME: applicable law and regulations, all 552a(j)(1), (k), and (d)(5). Parking Records. searches of this system of records will CIA–11 SECURITY CLASSIFICATION: be performed in CIA offices by CIA The classification of records in this personnel. SYSTEM NAME: Accountable Property Records. system can range from UNCLASSIFIED SAFEGUARDS: to CONFIDENTIAL. Records are stored in secured areas SECURITY CLASSIFICATION: SYSTEM LOCATION: accessed only by authorized persons. The classification of records in this Central Intelligence Agency, Software access controls are also in system can range from UNCLASSIFIED Washington, DC 20505. place. to TOP SECRET.
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SYSTEM LOCATION: Software access controls are also in SECURITY CLASSIFICATION: Central Intelligence Agency, place. The classification of records in this Washington, DC 20505. system can range from UNCLASSIFIED RETENTION AND DISPOSAL: to TOP SECRET. CATEGORIES OF INDIVIDUALS COVERED BY THE All records are maintained and SYSTEM: disposed of in accordance with Records SYSTEM LOCATION: CIA staff and contract employees; Control Schedules approved by the Central Intelligence Agency, personal services independent National Archives and Records Washington, DC 20505. contractors; industrial contractors; Administration. military and civilian personnel detailed CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: to CIA; and other individuals who SYSTEM MANAGER(S) AND ADDRESS (THIS possess CIA accountable property. INCORPORATES BY REFERENCE ANY CIA CIA staff and contract employees, SUCCESSOR IN FUNCTION TO THE SYSTEM personal services independent CATEGORIES OF RECORDS IN THE SYSTEM: MANAGER(S) SET FORTH HEREIN): contractors, or industrial contractors Name, signature and office location of Chief of Global Support, Central who have licenses to drive buses, individuals covered by this system; and trucks, and other specialty vehicles as description of accountable property Intelligence Agency, Washington, DC 20505. part of their official CIA employment charged to individuals covered by this duties. system. NOTIFICATION PROCEDURE: CATEGORIES OF RECORDS IN THE SYSTEM: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Individuals seeking to learn if this Biographic data on employees; The National Security Act of 1947, as system of records contains information medical qualification forms; drier test amended (50 U.S.C. 403 et seq.); the about them should direct their inquiries data; registers of permits issued; and Central Intelligence Agency Act of 1949, to: Information and Privacy Coordinator, accident report records. as amended (50 U.S.C. 403a et seq.); Central Intelligence Agency, Executive Order 12333 (46 FR 59914). Washington, DC 20505. Identification AUTHORITY FOR MAINTENANCE OF THE SYSTEM: requirements are specified in the CIA The National Security Act of 1947, as PURPOSE(S): rules published in the Federal Register amended (50 U.S.C. 403 et seq.); the Records in this system are used by (32 CFR 1901.13). Individuals must Central Intelligence Agency Act of 1949, authorized personnel to: Ensure process comply with these rules. as amended (50 U.S.C. 403a et seq.); integrity; enable the CIA and the head Executive Order 12333 (46 FR 59941). of the CIA to carry out their lawful and RECORD ACCESS PROCEDURES: authorized responsibilities; document Requests from individuals should be PURPOSE(S): accountability for CIA nonexpendable addressed as indicated in the Records in this system are used by property; and track, inventory, audit, notification section above. Regulations authorized personnel to: Ensure process and report on accountable property. for access to individual records or for integrity; enable the CIA and the head ROUTINE USES OF RECORDS MAINTAINED IN THE appealing an initial determination by of the CIA to carry out their lawful and SYSTEM, INCLUDING CATEGORIES OF USERS AND CIA concerning the access to records are authorized responsibilities; document THE PURPOSES OF SUCH USES: published in the Federal Register (32 CIA staff and contract employees who This information is set forth in the CFR 1901.11–45). are qualified to drive buses, trucks, and ‘‘CIA Statement of General Routine other specialty vehicles in the course of Uses,’’ which is incorporated herein by CONTESTING RECORD PROCEDURE: their CIA employment duties; and issue reference. Requests from individuals to correct official U.S. Government driver’s or amend records should be addressed licenses and renewals. DISCLOSURE TO CONSUMER REPORTING as indicated in the notification section AGENCIES: ROUTINE USES OF RECORDS MAINTAINED IN THE above. CIA’s regulations regarding None. SYSTEM, INCLUDING CATEGORIES OF USERS AND requests for amendments to, or THE PURPOSES OF SUCH USES: POLICIES AND PRACTICES FOR STORING, disputing the contents of individual This information is set forth in the RETRIEVING, ACCESSING, RETAINING, AND records or for appealing an initial ‘‘CIA Statement of General Routine DISPOSING OF RECORDS IN THE SYSTEM: determination by CIA concerning these Uses,’’ which is incorporated herein by STORAGE: matters are published in the Federal reference. Paper records are stored in a secured Register (32 1901.21–23, 32 CFR area within the CIA. Electronic records 1901.42). DISCLOSURE TO CONSUMER REPORTING AGENCIES: are stored in secure file-servers located RECORD SOURCE CATEGORIES: within the CIA. None. Individuals concerned with POLICIES AND PRACTICES FOR STORING, RETRIEVABILITY: accountable property, and accountable RETRIEVING, ACCESSING, RETAINING, AND By name. Information may be property officers. DISPOSING OF RECORDS IN THE SYSTEM: retrieved from this system of records by automated or hand search based on EXEMPTIONS CLAIMED FOR THE SYSTEM: STORAGE: extant indices and automated Certain records contained within this Paper records are stored in secured capabilities utilized in the normal system of records may be exempted area within the CIA. Electronic records course of business. Under applicable from certain provisions of the Privacy are stored in secure file servers located law and regulations, all searchers of this Act (5 U.S.C. 552a) pursuant to 5 U.S.C. within the CIA. system of records will be performed in 552a(j)(1), (k), and (d)(5). RETRIEVABILITY: CIA offices by CIA personnel. CIA–12 By name or driver’s permit number. SAFEGUARDS: Information may be retrieved from this Records are stored in secured areas SYSTEM NAME: system of records by automated or hand accessed only by authorized persons. Vehicle Operator Records. search based on extant indices and
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automated capabilities used in the EXEMPTIONS CLAIMED FOR THE SYSTEM: PURPOSE(S): normal course of business. Under Certain records contained within this Records are created, maintained and applicable law and regulations, all system of records may be exempted used by human resource management searches of this system of records will from certain provisions of the Privacy officials, supervisory personnel, and be performed in CIA offices by CIA Act (5 U.S.C. 552a) pursuant to 5 U.S.C. other authorized personnel at all levels personnel. 552a(j)(1), (k), and (d)(5). of the organization on a need-to-know basis. These records, including SAFEGUARDS: CIA–13 supervisors’ working files, EEO and Records are stored in secured areas grievance files, and suitability files, are SYSTEM NAME: accessed only by authorized persons. used to: Ensure process integrity; enable Software access controls are also in Component Human Resources the CIA and the head of the CIA to carry place. Records. out their lawful and authorized RETENTION AND DISPOSAL: responsibilities; supplement official SECURITY CLASSIFICATION: All records are maintained and personnel folders (‘‘soft files’’); facilitate disposed of in accordance with Records The classification of records in this and expedite processing or procedural Control Schedules approved by the system can range from UNCLASSIFIED requirements related to employee National Archives and Records to TOP SECRET. transactions; provide reference to Administration. monitor, record, and perform personnel SYSTEM LOCATION: management functions including SYSTEM MANAGER(S) AND ADDRESS (THIS Central Intelligence Agency, employee counseling, employee INCORPORATES BY REFERENCE ANY CIA Washington, DC 20505. evaluation, assignment, promotion, SUCCESSOR IN FUNCTION TO THE SYSTEM authorization of training, awards and MANAGER(S) SET FORTH HEREIN): CATEGORIES OF INDIVIDUALS COVERED BY THE leave; and provide management with Chief, Transportation Support, SYSTEM: statistical reporting. Central Intelligence Agency, Current and former CIA staff and ROUTINE USES OF RECORDS MAINTAINED IN THE Washington, DC 20505. contract employees; military and SYSTEM, INCLUDING CATEGORIES OF USERS AND NOTIFICATION PROCEDURE: civilian personnel detailed or assigned THE PURPOSES OF SUCH USES: to the CIA; applicants for employment Individuals seeking to learn if this This information is set forth in the with the CIA; current and former system of records contains information ‘‘CIA Statement of General Routine employees of industrial contractors; and about them should direct their inquiries Uses,’’ which is incorporated herein by current and former independent to: Information and Privacy Coordinator, reference. Central Intelligence Agency, contractors. Washington, DC 20505. Identification DISCLOSURE TO CONSUMER REPORTING CATEGORIES OF RECORDS IN THE SYSTEM: requirements are specified in the CIA AGENCIES: rules published in the Federal Register Memoranda, correspondence and None. (32 CFR 1901.13). Individuals must other documents, including personnel soft files and supervisors’ working files POLICIES AND PRACTICES FOR STORING, comply with these rules. RETRIEVING, ACCESSING, RETAINING, AND maintained by Agency offices and DISPOSING OF RECORDS IN THE SYSTEM: RECORD ACCESS PROCEDURES: components, concerning individuals Requests from individuals should be covered by this system on matters STORAGE: addressed as indicated in the involving: Performance appraisals; Paper and other hard-copy records are notification section above. Regulations travel, financial, retirement and claims stored in a secured area located in for access to individual records or for information; time and attendance, premises controlled by the head of the appealing an initial determination by including leave information; CIA. Electronic records are stored in CIA concerning the access to records are performance, conduct, and suitability; secure file-servers located in premises published in the Federal Register (32 education, certification, training, and controlled by the head of the CIA. CFR 1901.11–45). testing; special qualifications or RETRIEVABILITY: CONTESTING RECORD PROCEDURE: restrictions; dependency and residence; emergency notifications; medical By name, social security number, CIA Requests from individuals to correct employee number, or other personal or amend records should be addressed information, including disabilities and job-related injuries; biographic data; identifiers. Information may be retrieved as indicated in the notification section from this system of records by above. CIA’s regulations regarding skills assessment data; locator information; cables and dispatches of automated or hand search based on requests for amendments to, or extant indices and automated disputing the contents of individual administrative and operational significance; employee grievances, capabilities utilized in the normal records or for appealing an initial course of business. determination by CIA concerning these including equal employment matters are published in the Federal opportunity complaints; employee SAFEGUARDS: Register (32 CFR 1901.21–23, 32 CFR evaluation panel files; and employee Records are stored in secured areas 1901.42). awards. accessed only by authorized persons. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Software access controls are also in RECORD SOURCE CATEGORIES: place. CIA staff and contract employees, The National Security Act of 1947, as personal services independent amended (50 U.S.C. 403 et seq.); the RETENTION AND DISPOSAL: contractors, and industrial contractors; Central Intelligence Agency Act of 1949, All records are maintained and and federal, state and local law as amended (50 U.S.C. 403a et seq.); disposed of in accordance with Records enforcement agencies as their records Executive Order 12333 (46 FR 59941); Control Schedules approved by the relate to competency testing and the Central Intelligence Agency National Archives and Records accident reporting. Retirement Act (50 U.S.C. 2001 et seq.). Administration.
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SYSTEM MANAGER(S) AND ADDRESS (THIS INCORPORATES BY REFERENCE ANY CIA SUCCESSOR IN FUNCTION TO THE SYSTEM MANAGER(S) SET FORTH HEREIN):
Component Manager
Office of the Executive Director ...... Executive Director Directorate of Intelligence ...... DI Information Management Officer Directorate of Operations ...... Chief, DO Human Resources Staff Directorate of Science & Technology ...... Chief, DS&T Administrative Resources Office of the Chief Financial Officer ...... Chief Financial Officer Office of the Chief Information Officer ...... Chief Information Officer Office of Global Support ...... Chief of Global Support Office of Human Resources ...... Chief Human Resources Officer Office of Security ...... Director of Security National Intelligence Council ...... Chairman, National Intelligence Council Office of Congressional Affairs ...... Director of Congressional Affairs Office of the DDCI for Community Management ...... Executive Director for IC Affairs Office of General Counsel ...... General Counsel Office of Inspector General ...... Inspector General Office of Public Affairs ...... Director of Public Affairs Additional DCI Area Components ...... DCI Information Management Officer
Central Intelligence Agency, from certain provisions of the Privacy Executive order 12333 (46 FR 59941); Washington, DC 20505. Act (5 U.S.C. 552a) pursuant to 5 U.S.C. Executive Order 12958 (76 FR 19825); 552a(j)(1), (k), and (d)(5). the Freedom of Information Act (5 NOTIFICATION PROCEDURE: U.S.C. 552); the Privacy Act (5 U.S.C. CIA–14 Individuals seeking to learn if this 552a); the President John F. Kennedy system of records contains information SYSTEM NAME: Assassination Records Collection Act of about them should direct their inquiries Information Release Records. 1992 (44 U.S.C. 2107 note); the Nazi to: Information and Privacy Coordinator, War Crimes Disclosure act (5 U.S.C. 552 Central Intelligence Agency, SECURITY CLASSIFICATION: note); the Japanese Imperial Washington, DC 20505. Identification The classification of records in this Government Records Disclosure act (5 requirements are specified in the CIA system can range from UNCLASSIFIED U.S.C. 552 note). rules published in the Federal Register to TOP SECRET. (32 CFR 1901.13). Individuals must PURPOSE(S): comply with the rules. SYSTEM LOCATION: Central Intelligence Agency, Records in this system are used by RECORD ACCESS PROCEDURES: Washington, DC 20505. authorized personnel to: Ensure process Requests from individuals should be integrity; enable the CIA and the head addressed as indicated in the CATEGORIES OF INDIVIDUALS COVERED BY THE of the CIA to carry out their lawful and SYSTEM: notification section above. Regulations authorized responsibilities; support the for access to individual records or for Individuals who make information review, redaction, and release of CIA appealing an initial determination by release requests to CIA under provisions records pursuant to federal statutes and CIA concerning the access to records are of the Freedom of Information Act Executive Orders; formulate responses published in the Federal Register (32 (FOIA), Privacy Act (PA), and Executive to FOIA/PA/EO and special search CFR 1901.11–45). Order 12958 (EO); individuals who requests; provide reference in make special search requests and other processing cases under administrative CONTESTING RECORD PROCEDURE: related individuals; and individuals appeal and civil litigation; provide Requests from individuals to correct who are the subject of FOIA/PA/EO and documentation for referral to other or amend records should be addressed special search requests and other related federal agencies for their review as indicated in the notification section individuals. above. CIA’s regulations regarding pursuant to Executive Order 12958, and requests for amendments to, or CATEGORIES OF RECORDS IN THE SYSTEM: the third agency rule; and generate disputing the contents of individual FOIA/PA/EO requests and processing external reports as required by federal records or for appealing an initial files including correspondence and statutes and internal reports for use by determination by CIA concerning these supporting documents; documents CIA officials. matters are published in the Federal responsive to FOIA/PA/EO and special Register (32 CFR 1901.21–23, 32 CFR search requests; duplicate files ROUTINE USES OF RECORDS MAINTAINED IN THE 1901.42). maintained by Directorate Information SYSTEM, INCLUDING CATEGORIES OF USERS AND Review Officers (IROs) and component THE PURPOSES OF SUCH USES: RECORD SOURCE CATEGORIES: focal points; weekly reports of FOIA/ This information is set forth in the Individuals covered by the system; PA/EO case activity and status; and ‘‘CIA Statement of General Routine educational institutions and private indices related to special searches. Uses,’’ which is incorporated herein by organizations; CIA employees; and other reference. federal agencies. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: The National Security Act of 1947, as DISCLOSURE TO CONSUMER REPORTING EXEMPTIONS CLAIMED FOR THE SYSTEM: amended (50 U.S.C. 403 et seq.); the AGENCIES: Certain records contained within this Central Intelligence Agency Act of 1949, system of records may be exempted as amended (50 U.S.C. 403a et seq.); None.
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POLICIES AND PRACTICES FOR STORING, requests for amendments to, or may be used as part of the official file RETRIEVING, ACCESSING, RETAINING, AND disputing the contents of individual for personal services contracts. DISPOSING OF RECORDS IN THE SYSTEM: records or for appealing an initial ROUTINE USES OF RECORDS MAINTAINED IN THE determination by CIA concerning these SYSTEM, INCLUDING CATEGORIES OF USERS AND STORAGE: matters are published in the Federal THE PURPOSES OF SUCH USES: Register (32 CFR 1901.21–23, 32 CFR This information is set forth in the Paper records are stored in secured 1901.42). areas within the CIA. Electronic records ‘‘CIA Statement of General Routine are stored in secure file-servers located RECORD SOURCE CATEGORIES: Uses,’’ which is incorporated herein by within the CIA. Individuals who make FOIA/PA/EO reference. RETRIEVABILITY: and special search requests, and related DISCLOSURE TO CONSUMER REPORT AGENCIES: individuals; and CIA components that By name, case number, and full text None. provide information in response to search. Information may be retrieved FOIA/PA/EO and special search POLICIES AND PRACTICES FOR STORING, from this system of records by requests. RETRIEVING, ACCESSING, RETAINING, AND automated or hand search based on DISPOSING OF RECORDS IN THE SYSTEM: extant indices and automated EXEMPTIONS CLAIMED FOR THE SYSTEM: STORAGE: capabilities utilized in the normal Certain records contained within this course of business. Under applicable system of records may be exempted Paper records are stored in a secured law and regulations, all searches of this from certain provisions of the Privacy area within the CIA. Electronic records system of records will be performed in Act (5 U.S.C. 552a) pursuant to 5 U.S.C. are stored in secure file servers located CIA offices by CIA personnel. 552a(j)(1), (k), and (d)(5). within the CIA. SAFEGUARDS: CIA–15 RETRIEVABILITY: Records are stored in secured areas By name. Information may be accessed only by authorized persons. SYSTEM NAME: retrieved from this system of records by Software access controls are also in Guest Speaker Records. automated or hand search based on place. extant indices and automated SECURITY CLASSIFICATION: capabilities utilized in the normal RETENTION AND DISPOSAL: The classification of records in this course of business. Under applicable All records are maintained and system can range from UNCLASSIFIED law and regulations, all searches of this disposed of in accordance with Records to TOP SECRET. system of record will be performed in Control Schedules approved by the SYSTEM LOCATION: CIA offices by CIA personnel. National Archives and Records Administration. Central Intelligence Agency, SAFEGUARDS: Washington, DC 20505. Records are stored in secured areas SYSTEM MANAGER(S) AND ADDRESS (THIS accessed only be authorized persons. INCORPORATES BY REFERENCE ANY CIA CATEGORIES OF INDIVIDUALS COVERED BY THE Software access controls are also in SUCCESSOR IN FUNCTION TO THE SYSTEM SYSTEM: MANAGER(S) SET FORTH HEREIN): Individuals under consideration for place. Chief of Information Management guest speaker engagements, training RETENTION AND DISPOSAL: Services, Central Intelligence Agency, courses and other presentations; such All records are maintained and Washington, DC 20505. individuals may include members of the disposed of in accordance with Records academic and business world as well as NOTIFICATION PROCEDURE: Control Schedules approved by the present and former senior CIA and other National Archives and Records Individuals seeking to learn if this government officials. Administration. system of records contains information CATEGORIES OF RECORDS IN THE SYSTEM about them should direct their inquiries : SYSTEM MANAGER(S) AND ADDRESS (THIS to: Information and Privacy Coordinator, Biographic data including academic INCORPORATES BY REFERENCE ANY CIA Central Intelligence Agency, credentials; publicly available SUCCESSOR IN FUNCTION TO THE SYSTEM Washington, DC 20505. Identification information, including publications MANAGER(S) SET FORTH HEREIN): requirements are specified in the CIA authored by the potential speaker; Chief Information Officer, Central rules published in the Federal Register correspondence; and administrative Intelligence Agency, Washington, DC (32 CFR 1901.13). Individuals must records. 20505. comply with these rules. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: NOTIFICATION PROCEDURE: RECORD ACCESS PROCEDURES: The National Security Act of 1947, as Individuals seeking to learn if this Requests from individuals should be amended (50 U.S.C. 403 et seq.); the system of records contains information addressed as indicated in the Central Intelligence Agency Act of 1949, about them should direct their inquiries notification section above. Regulations as amended (50 U.S.C. 403a et seq.); to: Information and Privacy Coordinator, for access to individual records or for Executive Order 12333 (46 FR 59941). Central Intelligence Agency, appealing an initial determination by Washington, DC 20505. Identification PURPOSE(S): CIA concerning the access to records are requires are specified in the CIA rules published in the Federal Register (32 Records in this system are used by published in the Federal Register (32 FR 1901.11–45). authorized personnel: To ensure process CFR 1901.13). Individuals must comply integrity; to enable the CIA and the head with these rules. CONTESTING RECORD PROCEDURE: of the CIA to carry out their lawful and Requests from individuals to correct authorized responsibilities; and for RECORD ACCESS PROCEDURES: or amend records should be addressed curriculum development and selection Requests from individuals should be as indicated in the notification section of speakers for training courses and addressed as indicated in the above. CIA’s regulations regarding special presentations. Biographic data notification section above. Regulations
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for access to individual records or for and biographic information on records by automated or hand search appealing an initial determination by physicians covered by this system of based on extant indices and automated CIA concerning the access to records are records. capabilities utilized in the normal published in the Federal Register (32 course of business. Under applicable AUTHORITY FOR MAINTENANCE OF THE SYSTEM: CFR 1901.11–45). law and regulations, all searches of this The National Security Act of 1947, as system of records will be performed in CONTESTING RECORD PROCEDURE: amended (50 U.S.C. 403 et seq.); the CIA offices by CIA personnel. Requests from individuals to correct Central Intelligence Agency Act of 1949, or amend records should be addressed as amended (50 U.S.C. 403a et seq.); SAFEGUARDS: as indicated in the notification section Executive Order 12333 (46 FR 59941). Records are stored in secured areas above. CIA’s regulations regarding accessed only by authorized persons. PURPOSE(S): requests for amendments to, or Software access controls are also in disputing the contents of individual Records in this system are used by place. records or for appealing an initial authorized personnel: To ensure process determined by CIA concerning these integrity; to enable the CIA and the head RETENTION AND DISPOSAL: matters are published in the Federal of the CIA to carry out their lawful and All records are maintained and Register (32 CFR 1901.21–23, 32 CFR authorized responsibilities; to maintain disposed of in accordance with Records 1901.42). a complete and accurate medical record Control Schedules approved by the of all CIA employees, their dependents, National Archives and Records RECORD SOURCE CATEGORIES: military and civilian employees detailed Administration. Individuals covered by this system; to CIA, and retired or separated CIA employees; academic institutions employees; to respond to requirements SYSTEM MANAGER(S) AND ADDRESS (THIS and private organizations; libraries and relating to safety and environmental INCORPORATES BY REFERENCE ANY CIA SUCCESSOR IN FUNCTION TO THE SYSTEM commercial databases; and federal issues and to CIA safety and MANAGER(S) SET FORTH HEREIN): agencies. environmental compliance training; to evaluate suitability for assignment, Chief, Medical Services Office, EXEMPTIONS CLAIMED FOR THE SYSTEM: travel, fitness-for-duty, health Central Intelligence Agency, Certain records contained within this maintenance and in reviewing Washington, DC 20505. system of records may be exempted applications for medical disability NOTIFICATION PROCEDURE: from certain provisions of the Privacy retirement; to track the safety and health Individuals seeking to learn if this Act (5 U.S.C. 552a) pursuant to 5 U.S.C. status of CIA employees, components, 552a(j)(l), (k), and (d)(5). system of records contains information sites, and operations; and to refer about them should direct their inquiries CIA–16 individuals for specialty medical to: Information and Privacy Coordinator, assistance. Central Intelligence Agency, SYSTEM NAME: Washington, DC 20505. Identification Employee Clinical and Psychiatric ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS AND requirements are specified in the CIA Records. THE PURPOSES OF SUCH USES: rules published in the Federal Register SECURITY CLASSIFICATION: A record from this system of records (32 CFR 1901.13). Individuals must The classification of records in this may be disclosed, as a routine use, to comply with these rules. the Office of Personnel Management in system can range from UNCLASSIFIED RECORD ACCESS PROCEDURES: to TOP SECRET. the case of an employee who applies for medical disability, and to the Requests from individuals should be SYSTEM LOCATION: Department of Labor in the case of an addressed as indicated in the Central Intelligence Agency, employee applies for medical disability, notification section above. Regulations Washington, DC 20505. and to the Department of Labor in the for access to individual records or for case of an employee who applies for appealing an initial determination by CATEGORIES OF INDIVIDUALS COVERED BY THE CIA concerning the access to records are SYSTEM: Worker’s Compensation benefits. Information on additional routine uses published in the Federal Register (32 CIA staff and contract employees and is set forth in the ‘‘CIA Statement of CFR 1901.11–45). their dependents; military and civilian General Routine Uses,’’ which is employees detailed to CIA and their CONTESTING RECORD PROCEDURE: incorporated herein by reference. dependents; retired or separated CIA Requests from individuals to correct employees and their dependents; and DISCLOSURE TO CONSUMER REPORTING or amend records should be addressed physicians who provide services to any AGENCIES: as indicated in the notification section of the categories of individuals listed None. above. CIA’s regulations regarding above. requests for amendments to, or POLICIES AND PRACTICES FOR STORING, disputing the contents of individual CATEGORIES OF RECORDS IN THE SYSTEM: RETRIEVING, ACCESSING, RETAINING, AND records or for appealing an initial DISPOSING OF RECORDS IN THE SYSTEM: Physical examination; laboratory data; determination by CIA concerning these X-rays; private physician reports; STORAGE: matters are published in the Federal reports of on-the-job injuries and Paper records are stored in a secured Register (32 CFR 1901.21–23, 32 CFR illnesses; results of psychiatric area within the CIA. Electronic records 1901.42). screening and testing; reports of are stored in secure file-servers located RECORD SOURCE CATEGORIES: psychiatric interviews; records of within the CIA. immunizations; records on individuals Individuals supply their medical covered by this system receiving Agency RETRIEVABILITY: history; physicians supply their counseling; other medical material By name, chart number, or other biographic information; and additional relating to environmental health, safety identifying information. Information sources may include routine medical training, and preventative medicine; may be retrieved from this system of processing and reports from private
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physicians or medical facilities when POLICIES AND PRACTICES FOR STORING, disputing the contents of individual written permission is granted by the RETRIEVING, ACCESSING, RETAINING, AND records or for appealing an initial individual. DISPOSING OF RECORDS IN THE SYSTEM: determination by CIA concerning these STORAGE: matters are published in the Federal EXEMPTIONS CLAIMED FOR THE SYSTEM: Paper records are stored in a secured Register (32 CFR 1901.21–23, 32 CFR Certain records contained within this area within the CIA. Electronic records 1901.42). system of records may be exempted are stored in secure file-servers located RECORD SOURCE CATEGORIES: from certain provisions of the Privacy within the CIA. Act (5 U.S.C. 552a) pursuant to 5 U.S.C. Applicants who supply their medical 552a(j)(1), (k), and (d)(5). RETRIEVABILITY: history; additional sources may include By name, chart number, or other routine medical processing and reports CIA–17 identifying information. Information from private physicians or medical facilities when written permission is SYSTEM NAME: may be retrieved from this system of granted by the applicant. Applicant Clinical and Psychiatric records by automated or hand search Records. based on extant indices and automated EXEMPTIONS CLAIMED FOR THE SYSTEM: capabilities utilized in the normal Certain records contained within this SECURITY CLASSIFICATION: course of business. Under applicable system of records may be exempted The classification of records in this law and regulations, all searches of this from certain provisions of the Privacy system can range from UNCLASSIFIED system of records will be performed in Act (5 U.S.C. 552a) pursuant to 5 U.S.C. to TOP SECRET. CIA offices by CIA personnel. 552a(j)(1), (k), and (d)(5). SAFEGUARDS: SYSTEM LOCATION: CIA–18 Records are stored in secured areas Central Intelligence Agency, accessed only by authorized persons. SYSTEM NAME: Washington, DC 20505. Software access controls are also in Psychological Testing Data Records. CATEGORIES OF INDIVIDUALS COVERED BY THE place. SECURITY CLASSIFICATION: SYSTEM: RETENTION AND DISPOSAL: The classification of records in this Applicants for employment with CIA. All records are maintained and system can range from UNCLASSIFIED to TOP SECRET. CATEGORIES OF RECORDS IN THE SYSTEM: disposed of in accordance with Records Physical examinations and related Control Schedules approved by the SYSTEM LOCATION: medical material; laboratory data; National Archives and Records Central Intelligence Agency, results of psychiatric screening and Administration. Washington, DC 20505. testing; and reports of psychiatric SYSTEM MANAGER(S) AND ADDRESS (THIS CATEGORIES OF INDIVIDUALS COVERED BY THE interviews. INCORPORATES BY REFERENCE ANY CIA SYSTEM: SUCCESSOR IN FUNCTION TO THE SYSTEM Applicants for employment with the AUTHORITY FOR MAINTENANCE OF THE SYSTEM: MANAGER(S) SET FORTH HEREIN): CIA; CIA staff or contract employees The National Security Act of 1947, as Chief, Medical Services Office, and their dependents; military and amended (50 U.S.C. 403 et seq.); the Central Intelligence Agency, civilian personnel detailed to the CIA; Central Intelligence Agency Act of 1949, Washington, DC 20505. and retired or separated CIA staff or as amended (50 U.S.C. 403a et seq.); contract employees and their Executive Order 12333 (46 FR 59941). NOTIFICATION PROCEDURE: Individuals seeking to learn if this dependents. PURPOSE(S): system of records contains information CATEGORIES OF RECORDS IN THE SYSTEM: Records in this system are used by about them should direct their inquiries Psychological testing records and authorized personnel: To ensure process to: Information and Privacy Coordinator, assessment reports. integrity; to enable the CIA and the head Centeral Intelligence Agency, of the CIA to carry out their lawful and Washington, DC 20505. Identification AUTHORITY FOR MAINTENANCE OF THE SYSTEM: authorized responsibilities; to maintain requirements are specified in the CIA The National Security Act of 1947, as a complete and accurate medical file on rules published in the Federal Register amended (50 U.S.C. 403 et seq.); the all individuals applying for CIA (32 CFR 1901.13). Individuals must Central Intelligence Agency Act of 1949, employment; to evaluate the medical comply with these rules. as amended (50 U.S.C. 403a et seq.); suitability of applicants; to serve as a Executive Order 12333 (46 FR 59941). RECORD ACCESS PROCEDURES: basis for the Employee Clinical and PURPOSE(S): Psychiatric Record once an applicant is Requests from individuals should be Records in this system are used by hired by the CIA; and to generate addressed as indicated in the authorized personnel: To ensure process statistical reports on applicants. notification section above. Regulations for access to individual records or for integrity; to enable the CIA and the head ROUTINE USES OF RECORDS MAINTAINED IN THE appealing an intial determination by of the CIA to carry out their lawful and SYSTEM, INCLUDING CATEGORIES OF USERS AND CIA concerning the access to records are authorized responsibilities; to track THE PURPOSES OF SUCH USES: published in the Federal Register (32 individual test results which aid CIA This information is set forth in the CFR 1901.11–45). management and advisory personnel, ‘‘CIA Statement of General Routine who have a need-to-know, in decision Uses,’’ which is incorporated herein by CONTESTING RECORD PROCEDURE: making; to produce research reports of reference. Requests from individuals to correct aggregate data for appropriate officials or amend records should be addressed and components of the CIA; and to DISCLOSURE TO CONSUMER REPORTING as indicated in the notification section examine the relationship between test AGENCIES: above. CIA’s regulations regarding scores and other variables of interest None. requests for amendments to, or such as job performance.
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ROUTINE USES OF RECORDS MAINTAINED IN THE appealing an initial determination by on those separating from CIA SYSTEM, INCLUDING CATEGORIES OF USERS AND CIA concerning the access to records are employment; personnel information THE PURPOSES OF SUCH USES: published in the Federal Register (32 including records on employment This information is set forth in the CFR 1901.11–45). history, leave, time and attendance, ‘‘CIA Statement of General Routine fitness and performance appraisal Uses,’’ which is incorporated herein by CONTESTING RECORD PROCEDURE: reports, awards, travel, training, job reference. Requests from individuals to correct injury, worker’s compensation records or amend records should be addressed and security clearance information; CIA DISCLOSURE TO CONSUMER REPORTING as indicated in the notification section AGENCIES: personnel information including records above. CIA’s regulations regarding on position and job title information, None. requests for amendments to, or qualifications and skills assessments, POLICIES AND PRACTICES FOR STORING, disputing the contents of individual authorized personnel staffing data, RETRIEVING, ACCESSING, RETAINING, AND records or for appealing an initial levels, and patterns; financial DISPOSING OF RECORDS IN THE SYSTEM: determination by CIA concerning theses information relating to payroll and matters are published in the Federal STORAGE: authorized retirement and retirement Register (32 CFR 1901.21–23, 32 CFR savings accounts, including authorized Paper records are stored in a secured 1901.42). area within the CIA. Electronic records or required payroll deductions or are stored in secure file-servers located RECORD SOURCE CATEGORIES: contributions for federal, state and local taxes, other tax documentation, and within the CIA. Individuals who have completed a retirement, insurance and leave variety of psychological tests and RETRIEVABILITY: entitlements; banking instructions for interview sessions with CIA medical dissemination of salary paychecks; By name, or other identifying officers; and individuals involved in the contracts relating to contract employees information. Information may be assessment of test data. retrieved from this system of records by and independent contractors; and automated or hand search based on EXEMPTIONS CLAIMED FOR THE SYSTEM: financial disclosure forms submitted extant indices and automated Certain records contained within this pursuant to the Ethics in Government capabilities utilized in the normal system of records may be exempted Act. course of business. Under applicable from certain provisions of the Privacy AUTHORITY FOR MAINTENANCE OF THE SYSTEMS: law and regulations, all searches of this Act (5 U.S.C. 552a) pursuant to 5 U.S.C. The National Security Act of 1947, as system of records will be performed in 552a(j)(1), (k), and (d)(5). CIA offices by CIA personnel. amended (50 U.S.C. 403 et seq.); the CIA–19 Central Intelligence Agency Act of 1949, SAFEGUARDS: as amended (50 U.S.C. 403a et seq.); SYSTEM NAME: Records are stored in secured areas Executive Order 12333 (46 FR 59941); accessed only by authorized persons. Agency Human Resources Records. the Central Intelligence Agency Retirement Act (50 U.S.C. 2001 et seq.). Software access controls are also in SECURITY CLASSIFICATION: place. The classification of records in this PURPOSE(S): RETENTION AND DISPOSAL: system can range from UNCLASSIFIED To serve as the central human All records are maintained and to TOP SECRET. resources management system for the CIA. Records in this system are used by disposed of in accordance with Records SYSTEM LOCATION: Control Schedules approved by the authorized personnel to: Ensure process Central Intelligence Agency, National Archives and Records integrity; enable the CIA and the head Washington, DC 20505. Administration. of the CIA to carry out their lawful and CATEGORIES OF INDIVIDUALS COVERED BY THE authorized responsibilities; perform SYSTEM MANAGER(S) AND ADDRESS (THIS SYSTEM: centralized personnel functions such as INCORPORATES BY REFERENCE ANY CIA employment, separation of employment, SUCCESSOR IN FUNCTION TO THE SYSTEM Current and former CIA staff and payroll, position and personnel staffing, MANAGER(S) SET FORTH HEREIN): contract employees; military and and general employee transactions; Chief, Medical Services Office, civilian personnel detailed to the CIA; personal services independent support the general administration of Central Intelligence Agency, systems dependent on personnel data Washington, DC 20505. contractors; applicants in process for CIA employment; candidates for CIA such as insurance, medical and health NOTIFICATION PROCEDURE: awards; participants, and beneficiaries care, and retirement and retirement Individuals seeking to learn if this designated by deceased CIA employees savings; compute salary, attendance, system of records contains information who were participants, in the CIA’s leave, benefits and entitlements for about them should direct their inquiries authorized retirement systems and payroll and its dependent systems to: Information and Privacy Coordinator, retirement savings programs; and including insurance, medical and health Central Intelligence Agency, certain OSS veterans. care, and authorized retirement and Washington, DC 20505. Identification retirement savings systems; track CATEGORIES OF RECORDS IN THE SYSTEM: requirements are specified in the CIA applicant and employee biographic and rules published in the Federal Register Biographic data including records on demographic data for use in employee (32 CFR 1901.13). Individuals must education, military service data, location tracking, and statistical reports; comply with these rules. insurance, medical and retirement compile statistical reports for CIA status and locator information on management on strength, distribution RECORD ACCESS PROCEDURES: individuals covered by this system; and utilization of staffing, average Requests from individuals should be employment information including grades and salaries, minorities, addressed as indicated in the records on applicant tracking, job projected retirements, profiles of CIA notification section above. Regulations matching, seasonal and cooperative skills and qualifications, comparative for access to individual records or for employment programs, and information rates on promotions, separations, new
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employees, reasons for separations; RETENTION AND DISPOSAL: SYSTEM LOCATION: provide information and statistics for All records are maintained and Central Intelligence Agency, heads of Career Services to assist them disposed of in accordance with Records Washington, DC 20505. in administering their career Control Schedules approved by the development and evaluation programs, National Archives and Records CATEGORIES OF INDIVIDUALS COVERED BY THE including promotion rates and Administration. SYSTEM: headroom, performance appraisal report Current and former CIA staff and ratings, qualifications, changes in their SYSTEM MANAGER(S) AND ADDRESS (THIS contract employees; and military and INCORPORATES BY REFERENCE ANY CIA Career Services; assess staffing patterns, civilian personnel detailed to the CIA. SUCCESSOR IN FUNCTION TO THE SYSTEM grade and salary data for office heads MANAGER(S) SET FORTH HEREIN): CATEGORIES OF RECORDS IN THE SYSTEM: required for staffing and budget Chief Human Resources Officer, projections; provide information and Personal and employment history Central Intelligence Agency, statistics for components responsible for statements; employment contracts; Washington, DC 20505. administering recruitment, personnel actions; performance hospitalization, insurance, and NOTIFICATION PROCEDURE: appraisal reports; awards and authorized retirement and retirement Individuals seeking to learn if this commendations; biographic profiles and savings programs; and provide records system of records contains information data; retirement status and exit of employee transactions to responsible about them should direct their inquiries processing information, training and CIA officials and to the employees to: Information and Privacy Coordinator, travel records; correspondence; and themselves. Central Intelligence Agency, photographs. Washington, DC 20505. Identification ROUTINE USES OF RECORDS MAINTAINED IN THE AUTHORITY FOR MAINTENANCE OF THE SYSTEM: requirements are specified in the CIA SYSTEM, INCLUDING CATEGORIES OF USERS AND The National Security Act of 1947, as rules published in the Federal Register THE PURPOSES OF SUCH USES: amended (50 U.S.C. 403 et seq.); the (32 CFR 1901.13). Individuals must Central Intelligence Agency Act of 1949, Information from this system comply with these rules. concerning CIA retirees is routinely as amended (50 U.S.C. 403a et seq.); disseminated to the Office of Personnel RECORD ACCESS PROCEDURES: Executive Order 12333 (46 FR 59941); Management. Information concerning Requests from individuals should be the Central Intelligence Agency work-related injuries of CIA employees addressed as indicated in the Retirement Act (50 U.S.C. 2001 et seq.) is routinely provided to the Department notification section above. Regulations PURPOSE(S): of Labor in connection with Worker’s for access to individual records or for Compensation claims. Information on appealing an initial determination by Records in this system are used by additional routine uses is set forth in the CIA concerning the access to records are human resource management personnel ‘‘CIA Statement of General Routine published in the Federal Register (32 and other authorized personnel to: Uses,’’ which is incorporated herein by CFR 1901.45) Ensure process integrity; enable the CIA reference. and the head of the CIA to carry out CONTESTING RECORD PROCEDURE: their lawful and authorized DISCLOSURE TO CONSUMER REPORTING Requests from individuals to correct responsibilities; administer routine AGENCIES: or amend records should be addressed personnel transactions including: None. as indicated in the notification section personnel assignments; performance above. CIA’s regulations regarding evaluations; promotions; adverse POLICIES AND PRACTICES FOR STORING, requests for amendment to, or disputing actions; counseling; retirement RETRIEVING, ACCESSING, RETAINING, AND the contents of individual records or for determinations of qualifications; DISPOSING OF RECORDS IN THE SYSTEM: appealing an initial determination by separations; medical or insurance STORAGE: CIA concerning these matters are claims; and statistical reports; decides published in the Federal Register (32 on the rights, benefits, entitlements and Paper records are stored in secured CFR 1901.21–23, 32 CFR 1901.42). utilization of CIA employees; provide a areas within the CIA. Electronic records data source for production of summary are stored in secure file-servers located RECORD SOURCE CATEGORIES: descriptive statistics and analytical within the CIA. Individuals covered by this system; studies related to human resource education institutions; physician and RETRIEVABILITY: management issues; support resource medical practitioners; CIA employees; metrics; locate specific individuals for By name, social security number, CIA and other federal agents. personnel research or other personnel employee number, or other personal management functions; and verify EXEMPTIONS CLAIMED FOR THE SYSTEM: identifiers. Information may be retrieved employment. from this system of records by Certain records contained within this automated or hand search based on year of records may be exempted from ROUTINE USES OF RECORDS MAINTAINED IN THE extant indices and automated certain provisions of the Privacy Act (5 SYSTEM, INCLUDING CATEGORIES OF USERS AND capabilities utilized in the normal U.S.C. 552a) pursuant to 5 U.S.C. THE PURPOSES OF SUCH USES: course of business. Under applicable 552a(j)(1), (k) and (d)(5). Information from this system of law and regulation, all searches of this records may be transmitted to another CIA–20 system of records will be performed in U.S. Government agency relative to CIA offices by CIA personnel. SYSTEM NAME: employment considerations by that Official Personnel Files. agency, and to the Office of Personnel SAFEGUARDS: Management (OPM) relative to OPM’s Records are stored in secured areas SECURITY CLASSIFICATION: administration of retirement benefits for accessed only by authorized persons. The classification of records in this individuals covered by this system. Software access controls are also in system can range from UNCLASSIFIED Information on additional routine uses place. to TOP SECRET. is set forth in the ‘‘CIA Statement of
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General Routine Uses’’ which is CONTESTING RECORD PROCEDURE: to review an applicant’s qualifications; incorporated herein by reference. Requests from individuals to correct for security background investigations; or amend records should be addressed for suitability determinations; for DISCLOSURE TO CONSUMER REPORTING as indicated in the notification section medical screening; and to determine AGENCIES: above. CIA’s regulations regarding whether employment with the CIA will None. requests for amendments to, or be offered. disputing the contents of individual POLICIES AND PRACTICES FOR STORING, ROUTINE USES OF RECORDS MAINTAINED IN THE RETRIEVING, ACCESSING, RETAINING, AND records or for appealing an initial SYSTEM, INCLUDING CATEGORIES OF USERS AND DISPOSING OF RECORDS IN THE SYSTEM: determination by CIA concerning these THE PURPOSES OF SUCH USES: matters are published in the Federal STORAGE: This information is set forth in the Register (32 CFR 1901.21–23, 32 CFR ‘‘CIA Statement of General Routine Paper records are stored in secured 1901.42). area(s) within the CIA. Electronic Uses,’’ which is incorporated herein by records are stored in secure file-servers RECORD SOURCE CATEGORIES: reference. located with the CIA. Individuals covered by this system; DISCLOSURE TO CONSUMER REPORTING educational institutions and private AGENCIES: RETRIEVABILITY: organizations; physicians and medical None. By name, social security number, or practitioners; CIA employees; and other other personal identifier. Information federal agencies. POLICIES AND PRACTICES FOR STORING, may be retrieved from this system of RETRIEVING, ACCESSING, RETAINING, AND records by automated or hand search EXEMPTIONS CLAIMED FOR THE SYSTEM: DISPOSING OF RECORDS IN THE SYSTEM: based on extant indices and automated Certain records contained within this STORAGE: capabilities utilized in the normal system of records may be exempted Paper records are stored in secured course of business. Under applicable from certain provisions of the Privacy areas within the CIA. Electronic records law and regulations, all searches of this Act (5 U.S.C. 552a) pursuant to 5 U.S.C. are stored in secure file-servers located system of records will be performed in 552a(j)(l), (k), and (d)(5). within the CIA. CIA offices by CIA personnel. CIA–21 RETRIEVABILITY: SAFEGUARDS: By name, social security number, or SYSTEM NAME: Records are stored in secured areas other personal identifiers. Information accessed only by authorized person. Applicant Records. may be retrieved from this system of Software access controls are also in SECURITY CLASSIFICATION: records by automated or hand search based on extant indices and automated place. The classification of records in this capabilities utilized in the normal system can range from UNCLASSIFIED RETENTION AND DISPOSAL: course of business. Under applicable to TOP SECRET. All records are maintained and law and regulations, all searches of this disposed of in accordance with Records SYSTEM LOCATION: system of records will be performed in Control Schedules approved by the Central Intelligence Agency, CIA offices by CIA personnel. National Archives and Records Washington, DC 20505. SAFEGUARDS: Administration. CATEGORIES OF INDIVIDUALS COVERED BY THE Records are stored in secured areas SYSTEM MANAGER(S) AND ADDRESS (THIS SYSTEM: accessed only by authorized persons. INCORPORATES BY REFERENCE ANY CIA Applicants for employment with the Software access controls are also in SUCCESSOR IN FUNCTION TO THE SYSTEM CIA. place. MANAGER(S) SET FORTH HEREIN): RETENTION AND DISPOSAL: Chief Human Resources Officer, CATEGORIES OF RECORDS IN THE SYSTEM: Central Intelligence Agency, Records concerning the applicant, All records are maintained and Washington, DC 20505. including: Biographic data; medical and disposed of in accordance with Records employment history statements; Control Schedules approved by the NOTIFICATION PROCEDURE: educational transcripts; and personal National Archives and Records Individuals seeking to learn if this references, and records relating to Administration. system of records contains information employment processing, including: SYSTEM MANAGER(S) AND ADDRESS (THIS about them should direct their inquiries interview reports; test results; INCORPORATES BY REFERENCE ANY CIA to: Information and Privacy Coordinator, correspondence; review comments; and SUCCESSOR IN FUNCTION TO THE SYSTEM Central Intelligence Agency, general processing records. MANAGER(S) SET FORTH HEREIN): Washington, DC 20505. Identification Chief, Recruitment Center, Central requirements are specified in the CIA AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Intelligence Agency, Washington, DC rules published in the Federal Register The National Security Act of 1947, as 20505. (32 CFR 1901.13). Individuals must amended (50 U.S.C. 403 et seq.); the comply with these rules. Central Intelligence Agency Act of 1949, NOTIFICATION PROCEDURE: as amended (50 U.S.C. 403a et seq.); Individual seeking to learn if this RECORD ACCESS PROCEDURES: Executive Order 12333 (46 FR 59941). system of records contains information Requests from individuals should be about them should direct inquiries to: addressed as indicated in the PURPOSE(S): Information and Privacy Coordinator, notification section above. Regulations Records are used by CIA human Central Intelligence Agency, for access to individual records or for resources management officials and Washington, DC 20505. Identification appealing an initial determination by other authorized personnel: To ensure requirements are specified in the CIA CIA concerning the access to records are process integrity; to enable the CIA and rules published in the Federal Register published in the Federal Register (32 the head of the CIA to carry out their (32 CFR 1901.13). Individuals must CFR 1901.11–45). lawful and authorized responsibilities; comply with these rules.
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RECORD ACCESS PROCEDURES: number, and completed security security clearances or access approvals; Requests from individuals should be questionnaires); authorizations for the and record information relevant to addressed as indicated in the release of financial, travel, employment, investigations into possible violations of notification section above. Regulations housing, educational, and other CIA rules and regulations, including the for access to individual records or for information; summaries or reports of possible loss or compromise of appealing an initial determination by information obtained from other CIA classified or protected CIA information. CIA concerning the access to records are records such as personnel, medical, or published in the Federal Register (32 counterintelligence records; financial ROUTINE USES OF RECORDS MAINTAINED IN THE CFR 1901.11–45). disclosure forms submitted by CIA SYSTEM, INCLUDING CATEGORIES OF USERS AND personnel; travel data on individuals THE PURPOSES OF SUCH USES: CONTESTING RECORD PROCEDURE: covered by this system; correspondence Records in this system are used to Requests from individuals to correct pertaining to an individual’s suitability provide information, including or amend records should be addressed for CIA assignment or affiliation, and biographic information and records of as indicated in the notification section the individual’s security eligibility for security breaches, to other federal above. CIA’s regulations regarding access to classified information, agencies involved in national security requests for amendments to, or projects, or facilities; investigative matters in the following circumstances: disputing the contents of individual reports, investigative information, and To respond to national agency checks; records or for appealing an initial data pertaining to actual or purported to certify security clearances and access determination by CIA concerning these compromise of classified or otherwise approvals; and to provide information matters are published in the Federal protected information; appraisals that relevant to espionage investigations. Register (32 CFR 1901.21–23, 32 CFR summarize investigative results and Information on additional routine uses 1901.42). provide the decision or rationale for is set forth in the ‘‘CIA Statement of General Routine Uses,’’ which is RECORD SOURCE CATEGORIES: determining whether an individual should receive access to classified incorporated herein by reference. CIA applicants; applicant references; information, projects, or facilities, or is educational institutions and private suitable for CIA affiliation or DISCLOSURE TO CONSUMER REPORTING organizations; physicians and medical AGENCIES: assignment; documentation of, or practitioners; CIA employees; and other relating to, interim or final actions None. federal agencies. relating to issues of security, discipline, POLICIES AND PRACTICES FOR STORING, EXEMPTIONS CLAIMED FOR THE SYSTEM: or the grant, denial, suspension, or RETRIEVING, ACCESSING, RETAINING, AND Certain records contained within this revocation of a CIA security clearance, DISPOSING OF RECORDS IN THE SYSTEM: system of records may be exempted access approval, or security approval; from certain provisions of the Privacy and secrecy agreements executed by STORAGE: Act (5 U.S.C. 552a) pursuant to 5 U.S.C. individuals covered by this system. Paper and other hard-copy records are 552a(j)(1), (k), and (d)(5). AUTHORITY FOR MAINTENANCE OF THE SYSTEM: stored in a secured area within the CIA. Electronic records are stored in secure CIA–22 The National Security Act of 1947, as amended (50 U.S.C. 403 et seq.); the file-servers located within the CIA. SYSTEM NAME: Central Intelligence Agency Act of 1949, RETRIEVABILITY: Personnel Security Records. as amended (50 U.S.C. 403a et seq.); Executive Order 12333 (46 FR 59941); By name, social security number, or SECURITY CLASSIFICATION: Executive Order 10450 (5 U.S.C. 7311 other CIA identifier. Information may be The classification of records in this note); Executive Order 12958 (76 FR retrieved from this system of records by system can range from UNCLASSIFIED 19825); and Executive Order 12968 (60 automated or hand search based on to TOP SECRET. FR 40245). extant indices and automated capabilities utilized in the normal SYSTEM LOCATION: PURPOSE(S): course of business. Under applicable Central Intelligence Agency, Records in this system are used by law and regulations, all searches of this Washington, DC 20505. authorized personnel to: Ensure process system of records will be performed in CATEGORIES OF INDIVIDUALS COVERED BY THE integrity; enable the CIA and the head CIA offices by CIA personnel. SYSTEM: of the CIA to carry out their lawful and SAFEGUARDS: Current and former applicants for CIA authorized responsibilities; to document employment; CIA staff and contract personnel security and suitability Records are safeguarded by employees; personal services decisions; assist with security eligibility combination lock security containers, or independent contractors and industrial determinations and employment or are stored within a vaulted area. Access contractors; military and civilian assignment suitability decisions in is restricted to individuals who are personnel detailed to the CIA; accordance with applicable statutes, certified on an ‘‘Access List.’’ The individuals of security interest to CIA; Executive Orders, Director of Central Access List is validated at least annually persons of, or contemplated for, Intelligence Directives, CIA regulations, and circulated to responsible Agency substantive affiliation with, or service and other applicable law; record officials so that they can ensure that to, the CIA; persons on whom the CIA information regarding security records are accessed only for official has conducted or is conducting an eligibility determinations and purposes. investigation; and federal, civilian, and employment or assignment suitability RETENTION AND DISPOSAL: military personnel with whom the CIA decisions concerning individuals who conducts liaison. are under consideration for affiliation or All records are maintained and continued affiliation with the CIA, or disposed of in accordance with Records CATEGORIES OF RECORDS IN THE SYSTEM: access or continued access to classified Control Schedules approved by the Biographic data (including name, sex, or otherwise protected CIA information, National Archives and Records date and place of birth, social security projects, or facilities; verify individual Administration.
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SYSTEM MANAGER(S) AND ADDRESS (THIS CIA–23 Uses,’’ which is incorporated herein by INCORPORATES BY REFERENCE ANY CIA reference. SYSTEM NAME SUCCESSOR IN FUNCTION TO THE SYSTEM : MANAGER(S) SET FORTH HEREIN): Intelligence Community Security DISCLOSURE TO CONSUMER REPORTING Clearance and Access Approval AGENCIES: Director of Security, Central Repository. None. Intelligence Agency, Washington, DC 20505. SECURITY CLASSIFICATION: POLICIES AND PRACTICES FOR STORING, The classification of records in this RETRIEVING, ACCESSING, RETAINING, AND NOTIFICATION PROCEDURE: system can range from UNCLASSIFIED DISPOSING OF RECORDS IN THE SYSTEM: Individuals seeking to learn if this to TOP SECRET. STORAGE: system of records contains information SYSTEM LOCATION: Paper and other hard-copy records are about them should direct their inquiries Central Intelligence Agency, stored in secured areas controlled by the to: Information and Privacy Coordinator, Washington, DC 20505. head of the CIA. Electronic records are Central Intelligence Agency, stored in secure file-servers located in Washington, DC 20505. Identification CATEGORIES OF INDIVIDUALS COVERED BY THE premises controlled by the head of the requirements are specified in the CIA SYSTEM: CIA. rules published in the Federal Register U.S. government employees, military RETRIEVABILITY: (32 CFR 1901.13). Individuals must personnel, personal services comply with these rules. independent contractors and industrial By name or social security number. contractors to U.S. government Information may be retrieved from this RECORD ACCESS PROCEDURES: programs who possess security system of records by automated or hand search based on extant indices and Requests from individuals should be clearances and security access approvals. automated capabilities utilized in the addressed as indicated in the normal course of business. notification section above. Regulations CATEGORIES OF RECORDS IN THE SYSTEM: for access to individual records or for Biographic data (including name, date SAFEGUARDS: appealing an initial determination by and place of birth, social security Records and servers are stored within CIA concerning the access to records are number, and employer); and a vaulted area. Access is restricted to published in the Federal Register (32 information relating to security individuals with appropriate clearances CFR 1901.11–45). clearances and security access and a ‘‘need to know,’’ as certified by an approvals, including clearances and Access Control List. CONTESTING RECORD PROCEDURE: access approvals held, current status of RETENTION AND DISPOSAL: Requests from individuals to correct clearances and access approvals, and or amend records should be addressed date of background investigation. All records are maintained and as indicated in the notification section disposed of in accordance with Records AUTHORITY FOR MAINTENANCE OF THE SYSTEM: above. CIA’s regulations regarding Control Schedules approved by the requests for amendments to, or The National Security Act of 1947, as National Archives and Records disputing the contents of individual amended (50 U.S.C. 403 et seq.); the Administration. records or for appealing an initial Central Intelligence Agency Act of 1949, as amended (50 U.S.C. 403a et seq.); SYSTEM MANAGER(S) AND ADDRESS (THIS determination by CIA concerning these INCORPORATES BY REFERENCE ANY CIA Executive Order 12333 (46 FR 59941); matters are published in the Federal SUCCESSOR IN FUNCTION TO THE SYSTEM Register (32 CFR 1901.21–23, 32 CFR Executive Order 10450 (5 U.S.C. 7311 MANAGER(S) SET FORTH HEREIN): 1901.42). note); Executive Order 12958 (76 FR 19825); and Executive Order 12968 (60 Director of Security, Central FR 40245). Intelligence Agency, Washington, DC RECORD SOURCE CATEGORIES: 20505. Individuals covered by this system of PURPOSE(S): NOTIFICATION PROCEDURE: records; personal and business Records in this system are used by references provided by the individual or authorized personnel to: Ensure process Individuals seeking to learn if this developed during the course of an integrity; enable the CIA and the head system of records contains information investigation; educational institutions of the CIA to carry out their lawful and about them should direct their inquiries and private organizations; federal, state, authorized responsibilities; and to verify to: Information and Privacy Coordinator, and local government entities; public individual security clearances or Central Intelligence Agency, sources such as newspapers and security access approvals throughout Washington, DC 20505. Identification periodicals, consumer reporting the Intelligence Community in order to requirements are specified in the CIA agencies, financial, travel, educational, control access to classified and rules published in the Federal Register employment-related, and other compartmented materials. (32 CFR 1901.13). Individuals must commercial sources; and classified and comply with these rules. ROUTINE USES OF RECORDS MAINTAINED IN THE unclassified reporting on investigations SYSTEM, INCLUDING CATEGORIES OF USERS AND RECORD ACCESS PROCEDURES: and investigative materials. THE PURPOSES OF SUCH USES: Requests from individuals should be Records in this system are provided to addressed as indicated in the EXEMPTIONS CLAIMED FOR THE SYSTEM: Intelligence Community agencies and notification section above. Regulations Certain records contained within this relevant government contractors to for access to individual records or for system of records may be exempted certify individuals’ security clearances appealing an initial determination by from certain provisions of the Privacy and access approvals. Information on CIA concerning the access to records are Act (5 U.S.C. 552a) pursuant to 5 U.S.C. additional routine uses is set forth in the published in the Federal Register (32 552a(j)(1), (k), and (d)(5). ‘‘CIA Statement of General Routine FR 1901.11–45).
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CONTESTING RECORD PROCEDURE: 19825); Executive Order 12968 (60 FR SYSTEM MANAGER(S) AND ADDRESS (THIS Requests from individuals to correct 40245); INCORPORATES BY REFERENCE ANY CIA or amend records should be addressed SUCCESSOR IN FUNCTION TO THE SYSTEM MANAGER(S) SET FORTH HEREIN): as indicated in the notification section PURPOSE(S): above. CIA’s regulations regarding Records in this system are used by Director of Security, Central requests for amendments to, or authorized personnel to: Ensure process Intelligence Agency, Washington, DC disputing the contents of individual integrity; enable the CIA and the head 20505. records or for appealing an initial of the CIA to carry out their lawful and determination by CIA concerning these authorized responsibilities; document NOTIFICATION PROCEDURE: matters are published in the Federal polygraph results; assist with security Individuals seeking to learn if this Register (32 CFR 1901.21–23, 32 CFR eligibility determinations and system of records contains information 1901.42). employment or assignment suitability about them should direct their inquiries decisions in accordance with applicable to: Information and Privacy Coordinator, RECORD SOURCE CATEGORIES: statutes, Executive Orders, Director of Central Intelligence Agency, Individuals covered by this system of Central Intelligence Directives, CIA Washington, DC 20505. Identification records; U.S. government agencies; and regulations, and other applicable law; requirements are specified in the CIA current and former employers of and to assist with investigations into rules published in the Federal Register individuals covered by this system of possible violations of CIA rules and (32 CFR 1901.13). Individuals must records, including both government and regulations, including the possible loss comply with these rules. private sector organization. or compromise of classified or protected RECORD ACCESS PROCEDURES: EXEMPTIONS CLAIMED FOR THE SYSTEM: CIA information. Requests from individuals should be Certain records contained within this ROUTINE USES OF RECORDS MAINTAINED IN THE addressed as indicated in the system of records may be exempted SYSTEM, INCLUDING CATEGORIES OF USERS AND from certain provisions of the Privacy THE PURPOSES OF SUCH USES: notification section above. Regulations for access to individual records or for Act (5 U.S.C. 552a) pursuant to 5 U.S.C. This information is set forth in the 552a(j)(1), (k), and (d)(5). appealing an initial determination by ‘‘CIA Statement of General Routine CIA concerning the access to records are CIA–24 Uses,’’ which is incorporated herein by published in the Federal Register (32 reference. CFR 1901.11–45). SYSTEM NAME: DISCLOSURE TO CONSUMER REPORTING Polygraph Records. CONTESTING RECORD PROCEDURE: AGENCIES: SECURITY CLASSIFICATION: None. Requests from individuals to correct The classification of records in this or amend records should be addressed system can range from UNCLASSIFIED POLICIES AND PRACTICES FOR STORING, as indicated in the notification section to TOP SECRET. RETRIEVING, ACCESSING, RETAINING, AND above. CIA’s regulations regarding DISPOSING OF RECORDS IN THE SYSTEM: requests for amendments to, or SYSTEM LOCATION: disputing the contents of individual Central Intelligence Agency, records or for appealing an initial Washington, DC 20505. STORAGE: determination by CIA concerning these matters are published in the Federal CATEGORIES OF INDIVIDUALS COVERED BY THE Paper and other hard-copy records are SYSTEM: stored in a secured area within the CIA. Register (32 CFR 1901.21–23, 32 CFR 1901.42). Current and former applicants for CIA Electronic records are stored in secure file-servers located within the CIA. employment; CIA staff and contract RECORD SOURCE CATEGORIES: employees; personal services RETRIEVABILITY: Individuals covered by this system of independent contractors and industrial By name, social security number, or records. contractors; military and civilian other CIA identifier. Information may be personnel detailed to the CIA; retrieved from this system of records by EXEMPTIONS CLAIMED FOR THE SYSTEM: individuals of security interest to CIA; automated or hand search based on persons of, or contemplated for, Certain records contained within this extant indices and automated substantive affiliation with, or service system of records may be exempted capabilities utilized in the normal to, the CIA; and persons on whom the from certain provisions of the Privacy course of business. Under applicable CIA has conducted or is conducting an Act (5 U.S.C. 552a) pursuant to 5 U.S.C. law and regulations, all searches of this investigation. 552a(j)(1), (k), and (d)(5). system of records will be performed in CIA–25 CATEGORIES OF RECORDS IN THE SYSTEM: CIA offices by CIA personnel. Polygraph reports; polygraph charts; SAFEGUARDS: SYSTEM NAME: polygraph tapes; and notes from polygraph interviews or activities Records are stored in secured areas Office of the Director Action Center related to polygraph interviews. accessed only by authorized persons. Records. Software access controls are also in SECURITY CLASSIFICATION: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: place. The National Security Act of 1947, as The classification of records in this amended (50 U.S.C. 403 et seq.); the RETENTION AND DISPOSAL: system can range from UNCLASSIFIED Central Intelligence Agency Act of 1949, All records are maintained and to TOP SECRET. as amended (50 U.S.C. 403a et seq.); disposed of in accordance with Records Executive Order 12333 (46 FR 59941); Control Schedules approved by the SYSTEM LOCATION: Executive Order 10450 (5 U.S.C. 7311 National Archives and Records Central Intelligence Agency, note); Executive Order 12958 (76 FR Administration. Washington, DC 20505.
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CATEGORIES OF INDIVIDUALS COVERED BY THE course of business. Under applicable EXEMPTIONS CLAIMED FOR THE SYSTEM: SYSTEM: law and regulations, all searches of this Certain records contained within this Individuals who send correspondence system of records will be performed in system of records may be exempted to, or receive correspondence from, the CIA offices by CIA personnel. from certain provisions of the Privacy Office of the Director; and individuals Act (5 U.S.C. 552a) pursuant to 5 U.S.C. SAFEGUARDS: who are the subject of correspondence 552a(j)(1), (k), and (d)(5). to or from the Office of the Director. Records are stored in secured areas accessed only by authorized persons. CIA–26 CATEGORIES OF RECORDS IN THE SYSTEM: Software access controls are also in SYSTEM NAME: Correspondence and documents place. addressed to, received by, or originated Office of General Counsel Records. RETENTION AND DISPOSAL: in the Office of the Director concerning: SECURITY CLASSIFICATION: All records are maintained and matters of policy, operations, and The classification of records in this disposed of in accordance with Records security within the purview of the head system can range from unclassified to Control Schedule approved by the of the CIA; Congressional inquiries; and top secret. inquiries from the members of the National Archives and Records general public. Administration. SYSTEM LOCATION: Central Intelligence Agency, AUTHORITY FOR MAINTENANCE OF THE SYSTEM: SYSTEM MANAGER(S) AND ADDRESS (THIS INCORPORATES BY REFERENCE ANY CIA Washington, DC 20505. The National Security Act of 1947, as SUCCESSOR IN FUNCTION TO THE SYSTEM CATEGORIES OF INDIVIDUALS COVERED BY THE amended (50 U.S.C. 403 et seq.); the MANAGER(S) SET FORTH HEREIN): Central Intelligence Agency Act of 1949, SYSTEM: Chief, DAC, Central Intelligence as amended (50 U.S.C. 403a et seq.); Current and former CIA staff and Agency, Washington, DC 20505. Executive Order (46 FR 59941). contract employees, personal services NOTIFICATION PROCEDURE: independent contractors, employees of PURPOSES(S): industrial contractors, military and Records in this system are used by Individuals seeking to learn if this system of records contains information civilian personnel detailed or assigned authorized personnel to: Ensure process to the CIA; applicants for employment integrity; enable the CIA and the head about them should direct their inquiries to: Information and Privacy Coordinator, with the CIA; current and former of the CIA to carry out their lawful and employees and contractors of U.S. authorized responsibilities; documents Central Intelligence Agency, Washington, DC 20505. Identification Government agencies; individuals in the activities and policy decisions of the contact with the CIA, including head of the CIA; and serve as reference requirements are specified in the CIA rules published in the Federal Register individuals whose inquiries concerning material for business areas within the the CIA or the Intelligence Community purview of the Office of the Director. (32 CFR 1901.13). Individuals must comply with these rules. (IC) are forwarded to the Office of ROUTINE USES OF RECORDS MAINTAINED IN THE General Counsel for response; attorneys SYSTEM, INCLUDING CATEGORIES OF USERS AND RECORD ACCESS PROCEDURES: in private practice who hold CIA THE PURPOSES OF SUCH USES: Requests from individuals should be security clearances or access approvals; Correspondence contained in this addressed as indicated in the individuals in government, academia, system of records may be provided to notification section above. Regulations the business community, or other the U.S. Government agencies, other for access to individuals records for for elements of the private sector with than the CIA, when it is determined that appealing an initial determination by expertise on matters of interest to the such other agencies can more CIA concerning the access to records are Office of General Counsel; and appropriately handle the matters published in the Federal Register (32 individuals who may be involved in addressed in the correspondence. CFR 1901.11–45). matters which implicate the CIA’s and/ or the IC’s legal authorities, Information on additional routine uses CONTESTING RECORD PROCEDURE: is set forth in the ‘‘CIA Statement of responsibilities, and obligations, General Routine Uses,’’ which is Requests from individuals to correct including but not limited to incorporated herein by reference. or amend records should be addressed administrative claimants, grievants, as indicated in the notification section parties in litigation, witnesses, targets or DISCLOSURE TO CONSUMER REPORTING above. CIA’s regulations regarding potential targets of investigations or AGENCIES: requests for amendments to, or intelligence collection, and individuals None. disputing the contents of individual who are interviewed by, or provide records or for appealing an initial information to the CIA or the IC. POLICIES AND PRACTICES FOR STORING, determination by CIA concerning these RETRIEVING, ACCESSING, RETAINING, AND matters are published in the Federal CATEGORIES OF RECORDS IN THE SYSTEM: DISPOSING OF RECORDS IN THE SYSTEM: Register (32 CFR 1901.21–23, 32 CFR Legal documents, including but not STORAGE: 1901.42). limited to pleadings, subpoenas, Paper records are stored in secured motions, affidavits, declarations, briefs, areas within the CIA. Electronic records RECORD SOURCE CATEGORIES: litigation reports, and legal opinions; are stored in secure file-servers located U.S. Government records; publicly biographic information for private within the CIA. available information from the media, attorneys, including Social Security libraries, and commercial databases; and Number, date and place of birth, RETRIEVABILITY: Executive branch and Congressional education, law firm (if any), office By name. Information may be officials and staff members of the addresses, fax and telephone numbers, retrieved from this system of records by general public who send bar memberships, legal specialties and/ automated or hand search based on correspondence to, or receive or areas of practice, names of CIA- extant indices and automated correspondence from, the Office of the affiliated clients, and date and type of capabilities utilized in the normal Director of Central Intelligence. security clearance and/or access
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approval pending or granted; crimes POLICIES AND PRACTICES FOR STORING, records or for appealing an initial reports filed with the U.S. Department RETRIEVING, ACCESSING, RETAINING, AND determination by CIA concerning these of Justice or other appropriate law DISPOSING OF RECORDS IN THE SYSTEM: matters are published in the Federal enforcement agencies concerning STORAGE: Register (32 CFR 1901.21–23, 32 CFR individuals covered by this system of Paper and other hard-copy records are 1901.42). records;public and confidential stored in secured areas within the CIA. RECORD SOURCE CATEGORIES: Financial Disclosure Reports required electronic records are stored in secure Individuals covered by this system; by the Office of Government Ethics; file-servers located within the CIA. internal CIA documents and cables publicly available information; CIA concerning individuals covered by this RETRIEVABILITY: records; and federal, state and local system of records; and correspondence By name or other personal identifier. government agencies and courts. with members of the public, members of Information may be retrieved from this EXEMPTIONS CLAIMED FOR THE SYSTEM: the U.S. Congress, Congressional staff, system of records by automated or hand Certain records contained within this and federal, state, local international search based on extant indices and system of records may be exempted and foreign agencies, courts and automated capabilities utilized in the from certain provisions of the Privacy administrative tribunals. normal course of business. Under Act (5 U.S.C. 552a) pursuant to 5 U.S.C. applicable law and regulations, all 552a(j)(1), (k), and (d)(5). AUTHORITY FOR MAINTENANCE OF THE SYSTEM: searches of this system of records will be performed in CIA offices by CIA CIA–27 The National Security Act of 1947, as personnel. amended (50 U.S.C. 403 et seq.); the SYSTEM NAME: Central Intelligence Agency Act of 1949, SAFEGUARDS: Office of Equal Employment as amended (50 U.S.C. 403a et seq.); Records are stored in secured areas Opportunity (OEEO) Records. Executive Order 12333 (46 FR 59941). accessed only by authorized persons. SECURITY CLASSIFICATION: Software access controls are also in PURPOSE(S): place. The classification of records in this system can range from UNCLASSIFIED Records in this system are used by RETENTION AND DISPOSAL: to TOP SECRET. authorized personnel to: Ensure process All records are maintained and SYSTEM LOCATION: integrity; enable the CIA and the head disposed of in accordance with Records of the CIA to carry out their lawful and Control Schedules approved by the Central Intelligence Agency, authorized responsibilities; provide National Archives and Records Washington, DC 20505. legal advice and representation to the Administration. Central Intelligence Agency and the CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Director of Central Intelligence; provide SYSTEM MANAGER(S) AND ADDRESS (THIS factual information necessary for the INCORPORATES BY REFERENCE ANY CIA Current and former CIA staff and preparation of legal documents, SUCCESSOR IN FUNCTION TO THE SYSTEM contract employees, personal services including pleadings, subpoenas, MANAGER(S) SET FORTH HEREIN): independent contractors, industrial motions, affidavits, declarations, briefs, General Counsel, Central Intelligence contractors, and military and civilian legal opinions, litigation reports Agency, Washington, DC 20505. personnel detailed to the CIA; and applicants for employment with the prepared for the Department of Justice, NOTIFICATION PROCEDURE: and reports to law enforcement CIA. Individuals seeking to learn if this agencies; provide a historical record of system of records contains information CATEGORIES OF RECORDS IN THE SYSTEM: all private attorneys who have received about them should direct their inquiries Documents relating to EEO security clearances and/or access to: Information and Privacy Coordinator, complaints, including: Data collected by approvals to receive and discuss U.S. Central Intelligence Agency, an EEO Investigator which bears on Government information necessary to Washington, DC 20505. Identification charges of discrimination brought by a their representation of CPA-affiliated requirements are specified in the CIA complainant; ;sworn affidavits from the clients, and record the nature, scope and rules published in the Federal Register complainant, the alleged discriminating duration of private attorneys’ legal (32 CFR 1901.13). Individuals must officer(s), and other individuals as representations of CIA-affiliated clients; comply with these rules. appropriate; other documents or and maintain a record of federal, state, statistical evidence considered pertinent local, international or foreign litigation, RECORD ACCESS PROCEDURES: to the case which assists the CIA in administrative claims, and other legal Requests from individuals should be making a decision; requests made by matters in which CIA is a party or has addressed as indicated in the individuals or offices for reasonable an interest. notification seciton above. Regulations accommodations, and the products or for access to individual records or for services provided in response to such ROUTINE USES OF RECORDS MAINTAINED IN THE appealing an initial determination by requests; and information regarding SYSTEM, INCLUDING CATEGORIES OF USERS AND CIA concerning the access to records are individuals who apply for retirement on THE PURPOSES OF SUCH USES: published in the Federal Register (32 the basis of medical disabilities, and This information is set forth in the CFR 1901.11–45). other individuals with medical disabilities. ‘‘CIA Statement of General Routine CONTESTING RECORD PROCEDURE: Uses,’’ which is incorporated herein by Requests from individuals to correct AUTHORITY FOR MAINTENANCE OF THE SYSTEM: reference. or amend records should be addressed The National Security Act of 1947, as as indicated in the notification seciton amended (50 U.S.C. 403 et seq.); the DISCLOSURE TO CONSUMER REPORTING above. CIA’s regulations regarding Central Intelligence Agency Act of 1949, AGENCIES: requests for amendments to, or as amended (50 U.S.C. 403a et seq.); None. disputing the contents of individual Executive Order 12333 (46 FR 59941);
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Executive Order 11478, as amended by Control Schedules approved by the SYSTEM LOCATION: Executive Order 13097 (63 FR 30097) National Archives and Records Central Intelligence Agency, and Executive Order 13152 (65 FR Administration. Washington, DC 20505. 26115); Equal Employment Opportunity SYSTEM MANAGER(S) AND ADDRESS (THIS Act of 1972 (42 U.S.C. 2000e et seq.); CATEGORIES OF INDIVIDUALS COVERED BY THE INCORPORATES BY REFERENCE ANY CIA SYSTEM: Age Discrimination in Employment Act SUCCESSOR IN FUNCTION TO THE SYSTEM (29 U.S.C. 633a); the Rehabilitation Act MANAGER(S) SET FORTH HEREIN): Current and former members of the U.S. Congress and Congressional staff; of 1973, as amended (29 U.S.C. 701 et Director, Office of Equal Employment individuals whose inquiries relating to seq.). Opportunity, Central Intelligence CIA matters are forwarded by members Agency, Washington, DC 20505. PURPOSE(S): of the U.S. Congress or Congressional Records in this system are used by NOTIFICATION PROCEDURE: staff to CIA for response, and CIA authorized personnel to: Ensure process Individuals seeking to learn if this employees wishing to contact members integrity; enable the CIA and the head system of records contains information of Congress of Congressional staff on of the CIA to carry out their lawful and about them should direct their inquiries official matters. authorized responsibilities; process EEO to: Information and Privacy Coordinator, CATEGORIES OF RECORDS IN THE SYSTEM: complaints; provide information for Central Intelligence Agency, review by the Equal Employment Washington, DC 20505. Identification Correspondence and other documents Opportunity Commission; provide requirements are specified in the CIA between CIA’s Office of Congressional information for federal court review; rules published in the Federal Register Affairs, members of Congress, track requests and provide reasonable (32 CFR 1901.13). Individuals must Congressional staff, constituents, and accommodations through the provision comply with these rules. other CIA offices and/or U.S. of products and services to individuals Government entities regarding inquiries who make requests for such RECORD ACCESS PROCEDURES: made by constituents and sent to the accommodations; and track applications Requests from individuals should be CIA for response; and memoranda, for retirement on the basis of medical addressed as indicated in the correspondence, position papers and disabilities. notification section above. Regulations other documents used to support CIA’s for access to individual records or for liaison with members of Congress, staff, ROUTINE USES OF RECORDS MAINTAINED IN THE and their offices and committees, SYSTEM, INCLUDING CATEGORIES OF USERS AND appealing an initial determination by THE PURPOSES OF SUCH USES: CIA concerning the access to records are including memoranda documenting substantive briefings and debriefings, as This information is set forth in the published in the Federal Register (32 well as reports provided to the CIA by ‘‘CIA Statement of General Routine CFR 1901.11–45). Congressional personnel. Uses,’’ which is incorporated herein by CONTESTING RECORD PROCEDURE: reference. Requests from individuals to correct AUTHORITY FOR MAINTENANCE OF THE SYSTEM: DISCLOSURE TO CONSUMER REPORTING or amend records should be addressed The National Security Act of 1947, as AGENCIES: as indicated in the notification section amended (50 U.S.C. 403 et seq.); the None. above. CIA’s regulations regarding Central Intelligence Agency Act of 1949, requests for amendments to, or as amended (50 U.S.C. 403a et seq.); POLICIES AND PRACTICES FOR STORING, disputing the contents of individual Executive Order 12333 (46 FR 59941). RETRIEVING, ACCESSING, RETAINING, AND records or for appealing an initial DISPOSING OF RECORDS IN THE SYSTEM: determination by CIA concerning these PURPOSE(S): STORAGE: matters are published in the Federal Records in this system are used by Paper and other hard-copy records are Register (32 1901.21–23, 32 CFR authorized personnel to: Ensure process stored in secured areas within the CIA. 1901.42). integrity; enable the CIA and the head of the CIA to carry out their lawful and Electronic records are stored in secure RECORD SOURCE CATEGORIES: file-servers located within the CIA. authorized responsibilities; document Individuals covered by this system; constituent or other inquiries forwarded RETRIEVABILITY: applicants for employment with the by members of Congress and staff to CIA By name, social security number, or CIA; individuals who provide and CIA’s responses to those inquiries; other CIA identifier. Information may be information during the investigation of coordinate and prepare memoranda and retrieved from this system of records by EEO complaints; and medical and position papers reflecting CIA’s views automated or hand search based on psychiatric personnel. on proposed legislation; facilitate Congressional briefings by maintaining extant indices and automated EXEMPTIONS CLAIMED FOR THE SYSTEM: a record of CIA’s positions on issues of capabilities utilized in the normal Certain records contained within this course of business. Under applicable interest to particular members of system of records may be exempted Congress and staff; and provide law and regulations, all searches of this from certain provisions of the Privacy system of records will be performed in guidance to employees on Congressional Act (5 U.S.C. 552a) pursuant to 5 U.S.C. matters. CIA offices by CIA personnel. 552a(j)(1), (k), and (d)(5). SAFEGUARDS: ROUTINE USES OF RECORDS MAINTAINED IN THE CIA–28 Records are stored in secured ares SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: accessed only by authorized persons. SYSTEM NAME: Software access controls are also in Congressional Liaison Records. Records from this system may be place. disclosed to Congress. Information on SECURITY CLASSIFICATION: additional routine uses is set forth in the RETENTION AND DISPOSAL: The classification of records in this ‘‘CIA Statement of General Routine All records are maintained and system can range from UNCLASSIFIED Uses,’’ which is incorporated herein by disposed of in accordance with Records to TOP SECRET. reference.
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DISCLOSURE TO CONSUMER REPORTING as indicated in the notification section integrity; enable the CIA and the head AGENCIES: above. CIA’s regulations regarding of the CIA to carry out their lawful and None. requests for amendments to, or authorized responsibilities; provide a disputing the contents of individual record of significant media coverage of POLICIES AND PRACTICES FOR STORING, records or for appealing an initial the CIA; provide a record of contact RETRIEVING, ACCESSING, RETAINING, AND determination by CIA concerning these DISPOSING OF RECORDS IN THE SYSTEM: with media representatives by the Office matters are published in the Federal of Public Affairs; maintain a record of STORAGE: Register (32 CFR 1901.21–23, 32 CFR correspondence between members of Paper and other hard-copy records are 1901.42). the general public who raise questions stored in secured areas within the CIA. about CIA activities; and maintain a RECORD SOURCE CATEGORIES: Electronic records are stored in secure record of CIA personnel media contacts. file-servers located within the CIA. Current and former members of the U.S. Congress and their staffs; CIA ROUTINE USES OF RECORDS MAINTAINED IN THE RETRIEVABILITY: employees; individuals whose inquiries SYSTEM, INCLUDING CATEGORIES OF USERS AND By name. Information may be relating to CIA matters are forwarded by THE PURPOSES OF SUCH USES: retrieved from this system of records by members or staff of the U.S. Congress to This information is set forth in the automated or hand search based on the CIA for response. ‘‘CIA Statement of General Routine Uses,’’ which is incorporated herein by extant indices and automated EXEMPTIONS CLAIMED FOR THE SYSTEM: reference. capabilities utilized in the normal Certain records contained within this course of business. Under applicable system of records may be exempted DISCLOSURE TO CONSUMER REPORTING law and regulations, all searches of this from certain provisions of the Privacy AGENCIES: system of records will be performed in Act (5 U.S.C. 552a) pursuant to 5 U.S.C. None. CIA offices by CIA personnel. 552a(j)(1), (k), and (d)(5). POLICIES AND PRACTICES FOR STORING, SAFEGUARDS: CIA–29 RETRIEVING, ACCESSING, RETAINING, AND Records are stored in secured areas DISPOSING OF RECORDS IN THE SYSTEM: SYSTEM NAME: accessed only by authorized persons. STORAGE: Public Affairs Records. Software access controls are also in Paper and other hard-copy records are place. SECURITY CLASSIFICATION: stored in secured areas within the CIA. RETENTION AND DISPOSAL: The classification of records in this Electronic records are stored in secure All records are maintained and system can range from UNCLASSIFIED file servers located within the CIA. to TOP SECRET. disposed of in accordance with Records RETRIEVABILITY: Control Schedules approved by the SYSTEM LOCATION: By name. Information may be National Archives and Records Central Intelligence Agency, retrieved from this system of records by Administration. Washington, DC 20505. automated or hand search based on extant indices and automated SYSTEM MANAGER(S) AND ADDRESS (THIS CATEGORIES OF INDIVIDUALS COVERED BY THE INCORPORATES BY REFERENCE ANY CIA SYSTEM: capabilities utilized in the normal SUCCESSOR IN FUNCTION TO THE SYSTEM course of business. Under applicable Members of the general public who MANAGER(S) SET FORTH HEREIN): have written to the CIA to inquire about law and regulations, all searches of this Director of Congressional Affairs, CIA activities; CIA personnel who have system of records will be performed in Central Intelligence Agency, reported media contacts; and media CIA offices by CIA personnel. Washington, DC 20505. representatives. SAFEGUARDS: Categories of records in the system: NOTIFICATION PROCEDURE: Records are stored in secured areas Media coverage, including newspaper accessed only by authorized persons. Individuals seeking to learn if this and magazine articles, which mentions system of records contains information the CIA correspondence between media RETENTION AND DISPOSAL: about them should direct their inquiries representatives and the Office of Public All records are maintained and to: Information and Privacy Coordinator, Affairs; memoranda of conversations disposed of in accordance with Records Central Intelligence Agency, between the Office of Public Affairs and Control Schedules approved by the Washington, DC 20505. Identification media representatives; correspondence National Archives and Records requirements are specified in the CIA from the general public regarding CIA, Administration. rules published in the Federal Register and CIA responses; internal CIA (32 CFR 1901.13). Individuals must memoranda concerning the subject SYSTEM MANAGER(S) AND ADDRESS (THIS comply with these rules. matter of this records system; and INCORPORATES BY REFERENCE ANY CIA SUCCESSOR IN FUNCTION TO THE SYSTEM RECORD ACCESS PROCEDURES: names of CIA personnel who have MANAGER(S) SET FORTH HEREIN): reported contacts with media Requests from individuals should be representatives. Director of Public Affairs, Central addressed as indicated in the Intelligence Agency, Washington, DC notification section above. Regulations AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 20505. for access to individual records or for The National Security Act of 1947, as NOTIFICATION PROCEDURE: appealing an initial determination by amended (50 U.S.C. 403 et seq.); the CIA concerning the access to records are Central Intelligence Agency Act of 1949, Individuals seeking to learn if this published in the Federal Register (32 as amended (50 U.S.C. 403a et seq.); system of records contains information CFR 1901.11–45). Executive Order 12333 (46 FR 59941). about them should direct their inquiries to: Information and Privacy Coordinator, CONTESTING RECORD PROCEDURE: PURPOSE(S): Central Intelligence Agency, Requests from individuals to correct Records in this system are used by Washington, DC 20505. Identification or amend records should be addressed authorized personnel to: Ensure process requirements are specified in the CIA
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rules published in the Federal Register Congressional committee reviews of CIA NOTIFICATION PROCEDURE: (32 CFR 1901.13). Individuals must activities. Individuals seeking to learn if this comply with these rules. system of records contains information AUTHORITY FOR MAINTENANCE OF THE SYSTEM: about them should direct their inquiries RECORD ACCESS PROCEDURES: The National Security Act of 1947, as to: Information and Privacy Coordinator, Requests from individuals should be amended (50 U.S.C. 403 et seq.); the Central Intelligence Agency, addressed as indicated in the Central Intelligence Agency Act of 1949, Washington, DC 20505. Identification notification section above. Regulations as amended (50 U.S.C. 403a et seq.); requirements are specified in the CIA for access to individual records or for Executive Order 12333 (46 FR 59941). rules published in the Federal Register appealing an initial determination by PURPOSE(S): (32 CFR 1901.13). Individuals must CIA concerning the access to records are Records in this system are used by comply with these rules. published in the Federal Register (32 authorized personnel to: Ensure process CFR 1901.11–45). RECORD ACCESS PROCEDURES: integrity; enable the CIA and the head Requests from individuals should be CONTESTING RECORD PROCEDURE: of the CIA to carry out their lawful and addressed as indicated in the noticiation authorized responsibilities; and for Requests from individuals to correct section above. Regulations for access to reference use in connection with or amend records should be addressed individual records or for appealing an Executive branch and Congressional as indicated in the notification section initial determination by CIA concerning committee reviews of CIA activities. above. CIA’s regulations regarding the access to records are published in requests for amendments to, or ROUTINE USES OF RECORDS MAINTAINED IN THE the Federal Register (32 CFR 1901.11– disputing the contents of individual SYSTEM, INCLUDING CATEGORIES OF USERS AND 45). records or for appealing an initial THE PURPOSES OF SUCH USES: determination by CIA concerning these This information is set forth in the CONTESTING RECORD PROCEDURE: matters are published in the Federal ‘‘CIA Statement of General Routine Requests from individuals to correct Register (32 CFR 1901.21–23, 32 CFR Uses,’’ which is incorporated herein by or amend records should be addressed 1901.42). reference. as indicated in the notification section above. CIA’s regulations regarding RECORD SOURCE CATEGORIES: DISCLOSURE TO CONSUMER REPORTING requests for amendments to, or Publicly available informtion from the AGENCIES: disputing the contents of individual media, libraries and commercial None. records or for appealing an initial databases; CIA records concerning CIA POLICIES AND PRACTICES FOR STORING, determination by CIA concerning these activities and the subject matter of RETRIEVING, ACCESSING, RETAINING, AND matters are published in the Federal media contacts; and individuals covered DISPOSING OF RECORDS IN THE SYSTEM: Register (32 CFR 1901–.21–23, 32 CFR by this system of records. STORAGE: 1901.42). EXEMPTIONS CLAIMED FOR THE SYSTEM: Paper and other hard-copy records are RECORD SOURCE CATEGORIES: Certain records contained within the stored in secured areas within the CIA. CIA employees; CIA records; and system of records may be exempted Electronic records are stored in secure records of Executive branch from certain provisions of the Privacy file-servers located within the CIA. commissions and Congressional Act (5 U.S.C. 552a) pursuant to 5 U.S.C. RETRIEVABILITY: committees. 552a(j)(1), (k), and (d)(5). By name, social security number, or EXEMPTIONS CLAIMED FOR THE SYSTEM: CIA–30 other CIA identifier. Information may be Certain records contained within the retrieved from this system of records by SYSTEM NAME: system of records may be exempted automated or hand search based on from certain provisions of the Privacy (5 Inspector General Research Records. extant indices and automated U.S.C. 552a) pursuant to 5 U.S.C. SECURITY CLASSIFICATION: capabilities utilized in the normal 552a(j)(1), (k), and (d)(5). course of business. Under applicable The classification of records in this CIA–31 system can range from UNCLASSIFIED law and regulations, all searches of this system of records will be performed in to TOP SECRET. SYSTEM NAME: CIA offices by CIA personnel. Inspector General Investigation and SYSTEM LOCATION: SAFEGUARDS: Interview Records. Central Intelligence Agency, Records are stored in secured areas Washington, DC 20505. SECURITY CLASSIFICATION: accessed only by authorized persons. The classification of records in this CATEGORIES OF INDIVIDUALS COVERED BY THE Software access controls are also in system can range from UNCLASSIFIED SYSTEM: place. to TOP SECRET. CIA personnel; and other individuals RETENTION AND DISPOSAL: whose names appear in documents SYSTEM LOCATION: All records are maintained and assembled primarily from other CIA disposed of in accordance with Records Central Intelligence Agency, records systems by the Inspector Control Schedules approved by the Washington, DC 20505. General in relation to Executive branch National Archives and Records commission and Congressional CATEGORIES OF INDIVIDUALS COVERED BY THE Administration. committee reviews conducted between SYSTEM: 1972 and 1976 concerning Agency SYSTEM MANAGER(S) AND ADDRESS (THIS CIA staff and contract employees, activities. INCORPORATES BY REFERENCE ANY CIA personal services independent SUCCESSOR IN FUNCTION TO THE SYSTEM contractors, industrial contractors, CATEGORIES OF RECORDS IN THE SYSTEM: MANAGER(S) SET FORTH HEREIN): persons with other contractual CIA documents that are pertinent to Inspector General, Central Intelligence relationships, or other relationships Executive branch commission and Agency, Washington, DC 20505. with the CIA, persons who are
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interviewed by or provide information agency, whether federal, state, local, agency that is responsible for to the Office of the Inspector General, foreign, or international, charged with representing Agency interests in persons involved with or knowledgeable the responsibility for investigating or connection with judicial, administrative about matters being investigated by the prosecuting such violation, enforcing or or other proceedings. Records may also Office of Inspector General, and persons implementing such statute, rule, be disclosed to the Department of who have filed grievances with the regulation, or order, or with enforcing Justice to the extent necessary to obtain Officer of Inspector General or CIA such contract. its advice on any matter relevant to an components. c. Records in the system may be Office of Inspector General disclosed to a federal, state, local, investigation. CATEGORIES OR RECORDS IN THE SYSTEM: foreign, or international agency, or to an j. Records in the system may be Reports of interviews, signed individual or organization, when disclosed to the Senate Select statements, correspondence, reports of necessary to elicit information relevant Committee on Intelligence and the investigations, forms, cables, internal to an Office of Inspector General House Permanent Select Committee on CIA memoranda, prior criminal records investigation, inquiry, decision, or Intelligence, or other congressional of individuals covered by the system, recommendation. committees, or the staffs thereof, in and other materials relating to employee d. Records in the system may be connection with the oversight and grievances and other matters of interest disclosed to a federal, state, local, legislative functions. to or inspected by the Office of foreign, or international agency when k. Records in the system may be Inspector General. requested in connection with the disclosed to the President’s Foreign assignment, hiring, or retention of an AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Intelligence Advisory Board, and the individual, the issuance or revocation of Intelligence Oversight Board, and any The National Security Act of 1947, as a security clearance, letting of a successor organizations, when requested amended (50 U.S.C. 403 et seq.); the contract, or any authorized inquiry or by those entities, or when the Inspector Central Intelligence Agency Act of 1949, investigation to the extent that the as amended (50 U.S.C. 503a et seq.); information is relevant to the requesting General determines that disclosure will Executive Order 12333 (46 FR 59941). agency’s decision on the matter. assist in the performance of their oversight functions. Information on PURPOSE(S): e. Records in the system may be disclosed to any federal agency when additional routine uses is set forth in the Records in this system are used by ‘‘CIA Statement of General Routine authorized personnel to: Ensure process documents, witness statements, or other information obtained from that agency Uses,’’ which is incorporated herein by integrity; enable the CIA and the head reference. of the CIA to carry out their lawful and are used in compiling the system record, authorized responsibilities; and or when the record is relevant to the DISCLOSURE TO CONSUMER REPORTING maintain a detailed record of the official responsibilities of that agency. AGENCIES: f. Unclassified records in the system, investigative activities of the CIA Office None. of Inspector General, including or unclassified portions thereof, investigations of grievances, allegations including information identifying POLICIES AND PRACTICES FOR STORING, of misconduct by CIA personnel; and to individuals covered by the system, may RETRIEVING, ACCESSING, RETAINING, AND provide information to CIA management be disclosed to the public when the DISPOSING OF RECORDS IN THE SYSTEM: matter under investigation has become regarding personnel matters and to STORAGE: assist in the evaluation of current and public knowledge or the Inspector General determines that such disclosure Paper records are stored in secured proposed programs, policies and areas within CIA facilities. Electronic activities. is necessary to preserve confidence in the integrity of the Inspector General records are stored in secure file-servers ROUTINE USES OF RECORDS MAINTAINED IN THE process, or is necessary to demonstrate located within the CIA. SYSTEM, INCLUDING CATEGORIES OF USERS AND the accountability of CIA employees, RETRIEVABILITY: THE PURPOSE OF SUCH USES: officers, or individuals covered by the a. Records in this system are used and system, unless it is determined that By name, social security number, or disclosed as necessary by members of release of the specific information in the other CIA identifier. Information may be the Office of Inspector General in the context of a particular case would retrieved from this system of records by investigation of matters of interest or constitute an unwarranted invasion of automated or hand search based on concern to be head of the CIA, Inspector personal privacy. extant indices, and by automated means General, and senior Agency officials, g. Records in the system pertaining to utilized in the normal course of including grievances and allegations of an employee grievance may be disclosed business. Under applicable law and misconduct by Agency employees, and to any party to that grievance except for regulations, all searches of this system to provide information to Agency records that disclose the identity of a of records will be performed in CIA management regarding personnel non-party who requested confidentiality offices by CIA personnel. matters, and for evaluating current and and provided a statement during the proposed programs, policies and grievance process. SAFEGUARDS: activities, selected assignments, and h. Records in the system may be Records are stored in secured areas requests for awards or promotions. disclosed in the course of presenting accessed only by authorized persons. b. Records in this system that indicate evidence to a court, magistrate, or Software access controls are also in a violation or potential violation of law, administrative tribunal, including place. whether civil, criminal or regulatory in disclosures in the course of settlement nature, and whether arising by general negotiations, or pursuant to statutes or RETENTION AND DISPOSAL: statute or particular program, or by rule, regulations governing the conduct of All records are maintained and regulation or order pursuant thereto, or such proceedings. disposed of in accordance with Records that indicate a violation or potential i. Records in the system may be Control Schedules approved by the violation of a contractual obligation, disclosed to representatives of the National Archives and Records may be disclosed to the appropriate Department of Justice or of any other Administration.
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SYSTEM MANAGER(S) AND ADDRESS (THIS SYSTEM LOCATION: assist the Director of Central Intelligence INCORPORATES BY REFERENCE ANY CIA Central Intelligence Agency, with his Intelligence Community SUCCESSOR IN FUNCTION TO THE SYSTEM Washington, DC 20505. responsibilities, including resources MANAGER(S) SET FORTH HEREIN): management, program assessment and Inspector General, Central Intelligence CATEGORIES OF INDIVIDUALS COVERED BY THE evaluation, policy formulation, and Agency, Washington, DC 20505. SYSTEM: collection requirements management, Individuals who visit, contact, have and the protection of intelligence NOTIFICATION PROCEDURE: employment, contractual, or other sources and methods. Individuals seeking to learn if this relationships with, or otherwise system of records contains information participate in the activities of, the Office ROUTINE USES OF RECORDS MAINTAINED IN THE about them should direct their inquiries of the DDCI for Community SYSTEM, INCLUDING CATEGORIES OF USERS AND to: Information and Privacy Coordinator, Management or the Intelligence THE PURPOSES OF SUCH USES: Central Intelligence Agency, Community; individuals who are of Records from this system of records Washington, DC 20505. Identification foreign intelligence, counterintelligence, may be disclosed to U.S. Government requirements are specified in the CIA or security interest to the Intelligence organizations, personnel and rules published in the Federal Register Community, including individuals contractors: in order to facilitate (32 CFR 1901.13). Individuals must identified as being involved in activities security, employment, or contractual comply with these rules. related to intelligence matters; and decisions; and as necessary for the individuals in government academia, protection of intelligence sources and RECORD ACCESS PROCEDURES: the business community, or other methods, intelligence oversight and Requests from individuals should be elements of the private sector with management, and in support of addressed as indicated in the expertise on matters of intelligence intelligence operations, analysis and notification section above. Regulations interest to the Office of the DDCI for reporting. Additionally, records from for access to individual records or for Community Management, or other this system are used to prepare periodic appealing an initial determination by elements of the Intelligence Community. statistical reports for U.S. Government CIA concerning the access to records are officials related to the control and published in the Federal Register (32 CATEGORIES OF RECORDS IN THE SYSTEM: dissemination of classified information. CFR 1901.11–45). Records in this system include: Information on additional routine uses Information relating to the management is set forth in the ‘‘CIA Statement of CONTESTING RECORD PROCEDURE: and oversight of intelligence General Routine Uses,’’ which is Requests from individuals to correct requirements, analysis, reporting and incorporated herein by reference. or amend records should be addressed operations, including acquisitions; as indicated in the notification section biographic and other information about DISCLOSURE TO CONSUMER REPORTING above. CIA’s regulations regarding individuals of intelligence interests; AGENCIES: requests for amendments to, or information on individuals and events None. disputing the contents of individual of interest to the Intelligence POLICIES AND PRACTICES FOR STORING, records or for appealing an initial Community; information identifying determination by CIA concerning these RETRIEVING, ACCESSING, RETAINING, AND source documents and their recipients; DISPOSING OF RECORDS IN THE SYSTEM: matters are published in the Federal and biographic and other information, Register (32 CFR 1901.21–23, 32 CFR including security clearances, access STORAGE: 1901.42). approvals, and employment and Paper and other hard-copy records are RECORD SOURCE CATEGORIES: training records, about individuals who stored in a secured area located in visit, contact, have employment, premises controlled by the Director of CIA records; CIA staff and contract contractual or other relationships with, Central Intelligence (DCI). Electronic employees, personal services or otherwise participate in, the activities records are stored in secure file-serves independent contractors, industrial of the Office of the DDCI for Community located in premises controlled by the contractors, and military and civilian Management. DCI. detailees to CIA; federal, state, and local officials; foreign governments; private AUTHORITY FOR MAINTENANCE OF THE SYSTEM: RETRIEVABILITY: citizens, including U.S. citizens and The National Security Act of 1947, as By name, social security number, or foreign nationals. amended (50 U.S.C. 403 et seq.); the other identifier. Information may be EXEMPTIONS CLAIMED FOR THE SYSTEM: Central Intelligence Agency Act of 1949, retrieved from this system of records by as amended (50 U.S.C. 403a et seq.); automated or hand search based on Certain records contained within this Executive Order 12333 (46 FR 59941); extant indices and automated system of records may be exempted Executive Order 12958 (76 FR 19825). capabilities utilized in the normal from certain provisions of the Privacy course of business. Act (5 U.S.C. 552a) pursuant to 5 U.S.C. PURPOSE(S): 552a(j)(1), (k), and (d)(5). Records in this system are used by SAFEGUARDS: CIA–32 authorized personnel to: Ensure process Records are stored in secured areas integrity; enable the CIA and the accessed only by authorized persons. SYSTEM NAME: Director of Central Intelligence to carry Software access controls are also in Office of the Deputy Director of out their lawful and authorized place. Central Intelligence (DDCI) for responsibilities; provide classified and Community Management Records. unclassified information to the Director RETENTION AND DISPOSAL: of Central Intelligence, CIA and other All records are maintained and SECURITY CLASSIFICATION: appropriate Intelligence Community disposed of in accordance with Records The classification of records in this and U.S. Government officers, Control Schedules approved by the system can range from UNCLASSIFIED employees, detailees, or contractors for National Archives and Records to TOP SECRET the conduct of authorized activities; and Administration.
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SYSTEM MANAGER(S) AND ADDRESS: SYSTEM LOCATION: facilitate any security, employment, or Executive Director for Intelligence Central Intelligence Agency, contractual decisions. Records also may Community Affairs, Office of the DDCI Washington, DC 20505. be disclosed to other U.S. Government for Community Management, c/o organizations as necessary for the CATEGORIES OF INDIVIDUALS COVERED BY THE protection of intelligence sources and Central Intelligence Agency, SYSTEM: Washington, DC 20505. methods and in support of intelligence Individuals who have employment, operations, analysis and reporting. NOTIFICATION PROCEDURES: detailee, liaison, or contractual Information on additional routine uses Individuals seeking to learn if this relationships with the National is set forth in the ‘‘CIA Statement of system of records contains information Intelligence Council (NIC) or General Routine Uses,’’ which is about them should direct their inquiries Intelligence Community agencies, incorporated herein by reference. to: Information and Privacy Coordinator, including personal services Central Intelligence Agency, independent contractors and industrial DISCLOSURE TO CONSUMER REPORTING Washington, DC 20505. Identification contractors; individuals in academia AGENCIES: requirements are specified in the CIA and the private sector with expertise on None. rules published in the Federal Register matters of intelligence interest to the NIC; and individuals who are of foreign POLICIES AND PRACTICES FOR STORING, (32 CFR 1910.13). Individuals must RETRIEVING, ACCESSING, RETAINING, AND intelligence, counterintelligence, or comply with these rules. DISPOSING OF RECORDS IN THE SYSTEM: security interest to the NIC, including RECORD ACCESS PROCEDURES: individuals identified as being involved STORAGE: Requests from individuals should be in activities related to intelligence Paper and other hard-copy records are addressed as indicated in the matters. stored in a secured area located in notification section above. Regulations premises controlled by the Director of CATEGORIES OF RECORDS IN THE SYSTEM: for access to individual records or for Central Intelligence (DCI). Electronic appealing an initial determination by Records in this system include records are stored in secure file-servers CIA concerning the access the records administrative and contact information; located in premises controlled by the are published in the Federal Register document relating to intelligence DCI. (32 CFR 1901.11–45). requirements, analysis, reporting and operations; National Intelligence RETRIEVABILITY: CONTESTING RECORD PROCEDURE: Council operational records; biographic By Name, social security number, or Requests from individuals to correct information about individuals of other identifier. Information may be or amend record should be addressed as intelligence interest; publicly-available retrieved from this system of records by indicated in the notification section information on individuals and events automated or hand search based on above. CIA’s regulations regarding of interest to the NIC; other policy and extant indices and automated requests for amendments to, or operational data based on foreign capabilities utilized in the normal disputing the contents of individual intelligence, counterintelligence and course of business. records or for appealing an initial security reporting. SAFEGUARDS: determination by CIA concerning these AUTHORITY FOR MAINTENANCE OF THE SYSTEM: matters are published in the Federal Records are stored in secured areas Register (32 CFR 1901.21–23, 32 CFR The National Security Act of 1947, as accessed only by authorized persons. 1901.42). amended (50 U.S.C. 403 et seq.); the Software access controls are also in Central Intelligence Agency Act of 1949, place. RECORD SOURCE CATEGORIES: as amended (50 U.S.C. 403a et seq.); RETENTION AND DISPOSAL: Individuals covered by this system; Executive Order 12333 (46 FR 59941); U.S. Government officers, employees, Executive Order 12958 (76 FR 19825). All records are maintained and disposed of in accordance with Records agencies, organizations and contractors; PURPOSE(S): publicly available information from the Control Schedules approved by the Records in this system are used by media, libraries and commercial National Archives and Records authorized personnel to: Ensure process databases; unclassified reporting; Administration. integrity; enable the CIA and the classified intelligence reporting and Director of Central Intelligence to carry SYSTEM MANAGER(S) AND ADDRESS: source documents; investigative reports; out their lawful and authorized Chairman, National Intelligence and correspondence. responsibilities; provide classified and Council, c/o Central Intelligence EXEMPTIONS CLAIMED FOR THE SYSTEM: unclassified information within the CIA Agency, Washington, DC 20505. and to appropriate Intelligence Certain records contained within this NOTIFICATION PROCEDURE: Community and U.S. Government system of records may be exempted Individuals seeking to learn if this from certain provisions of the Privacy officials for the conduct of authorized activities; and assist the Director of system of records contains information Act (5 U.S.C. 552a) pursuant to 5 U.S.C. about them should direct their inquiries 552a(j)(1), (k), and (d)(5). Central Intelligence and the Intelligence Community by evaluating the adequacy to: Information and Privacy Coordinator, CIA–33 of intelligence support to U.S. Central Intelligence Agency, policymakers and other senior Washington, DC 20505. Identification SYSTEM NAME: intelligence consumers. requirements are specified in the CIA National Intelligence Council (NIC) rules published in the Federal Register Records. ROUTINE USES OF RECORDS MAINTAINED IN THE (32 CFR 1901.13). Individuals must SYSTEM, INCLUDING CATEGORIES OF USERS AND comply with these rules. SECURITY CLASSIFICATION: THE PURPOSES OF SUCH USES: The classification of records in this Records from this system of records RECORD ACCESS PROCEDURES: system can range from UNCLASSIFIED may be disclosed to other U.S. Requests from individuals should be to TOP SECRET. Government organization in order to addressed as indicated in the
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notification section above. Regulations identifying classified source documents Software access controls are also in for access to individual records or for and their recipients. place. appealing an initial determination by CIA concerning the access to records are AUTHORITY FOR MAINTENANCE OF THE SYSTEM: RETENTION AND DISPOSAL: published in the Federal Register (32 The National Security Act of 1947, as All records are maintained and CFR 1901.11–45). amended (50 U.S.C. 403 et seq.); the disposed of in accordance with Records Central Intelligence Agency Act of 1949, Control Schedules approved by the CONTESTING RECORD PROCEDURE: as amended (50 U.S.C. 403a et seq.); National Archives and Records Requests from individuals to correct Executive Order 12333 (46 FR 59941); Administration. or amend records should be addressed Executive Order 12958 (76 FR 19825). as indicated in the notification section SYSTEM MANAGER(S) AND ADDRESS (THIS above. CIA’s regulations regarding PURPOSE(S): INCORPORATES BY REFERENCE ANY CIA requests for amendments to, or Records in this system are used by SUCCESSOR IN FUNCTION TO THE SYSTEM disputing the contents of individual authorized personnel to: Ensure process MANAGER(S) SET FORTH HEREIN): records or for appealing an initial integrity, enable the CIA and the head Director, WINPAC, Central determination by CIA concerning these of the CIA to carry out their lawful and Intelligence Agency, Washington, DC matters are published in the Federal authorized responsibilities; and provide 20505. Register (32 CFR 1901.21–23, 32 CFR classified and unclassified information NOTIFICATION PROCEDURE: 1901.42). to appropriate CIA and Intelligence Community officials for the conduct of Individuals seeking to learn if this RECORD SOURCE CATEGORIES: authorized activities, including support system of records contains information Individuals covered by this system; to the negotiation and assessment of about them should direct their inquiries U.S. Government employees, agencies arms control agreements. to: Information and Privacy Coordinator, and organizations; publicly-available Central Intelligence Agency, information from the media, libraries ROUTINE USES OF RECORDS MAINTAINED IN THE Washington, DC 20505. Identification and commercial databases; classified SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: requirements are specified in the CIA reporting and intelligence source rules published in the Federal Register documents; and correspondence. Records from this system of records (32 CFR 1901.13). Individuals must may be disclosed to other U.S. comply with these rules. EXEMPTIONS CLAIMED FOR THE SYSTEM: Government organizations in order to Certain records contained within this facilitate any security, employment, or RECORD ACCESS PROCEDURES: system of records may be exempted contractual decisions by those Requests from individuals should be from certain provisions of the Privacy organizations. Records also may be addressed as indicated in the Act (5 U.S.C. 552a) pursuant to 5 U.S.C. disclosed to other U.S. Government notification section above. Regulations 552a(j)(1), (k), and (d)(5). organizations as necessary for the for access to individual records or for protection of intelligence sources and CIA–34 appealing in initial determination by methods and in support of intelligence CIA concerning the access to records are SYSTEM NAME: operations, analysis and reporting. published in the Federal Register (32 Arms Control Records. Information on additional routine uses CFR 1901.11–45). is set forth in the ‘‘CIA Statement of SECURITY CLASSIFICATION: General Routine Uses,’’ which is CONTESTING RECORD PROCEDURE: The classification of records in this incorporated herein by reference. Requests from individuals to correct system can range from UNCLASSIFIED DISCLOSURE TO CONSUMER REPORTING or amend records should be addressed to TOP SECRET. AGENCIES: an indicated in the notification section SYSTEM LOCATION: None. above. CIA’s regulations regarding requests for amendments to, or Central Intelligence Agency, POLICIES AND PRACTICES FOR STORING, disputing the contents of individual Washington, DC 20505. RETRIEVING, ACCESSING, RETAINING, AND records or for appealing an initial CATEGORIES OF INDIVIDUALS COVERED BY THE DISPOSING OF RECORDS IN THE SYSTEM: determination by CIA concerning these SYSTEM: STORAGE: matters are published in the Federal Individuals who have employment, Paper and other hard-copy records are Register (32 CFR 1901.21–23, 32 CFR detailee, liaison, or contractual stored in secured areas within premises 1901.42). relationships with the Center for controlled by the head of the CIA. RECORD SOURCE CATEGORIES: Weapons Intelligence, Nonproliferation Electronic records are stored in secure and Arms Control (WINPAC), including file-servers within premises controlled Individuals who are the subject of personal services independent by the head of the CIA. records in this system; U.S. Government contractors and industrial contractors; employees, agencies and organizations; individuals who visit, contact, or RETRIEVABILITY: publicly available information obtained otherwise participate in the activities of By name, social security number, or from the media, libraries and WINPAC. other identifier. Information may be commercial databases; unclassified and retrieved from this system of records by classified reporting and intelligence CATEGORIES OF RECORDS IN THE SYSTEM: automated or hand search based on source documents; and correspondence. Records in this system include extant indices and automated EXEMPTIONS CLAIMED FOR THE SYSTEM: administrative, biographic and contact capabilities utilized in the normal information; publicly available course of business. Certain records contained within this information on events of interest to the system of records may be exempted arms control community; classified SAFEGUARDS: from certain provisions of the Privacy reporting on events of interest to the Records are stored in a secured areas Act (5 U.S.C. 552a) pursuant to 5 U.S.C. arms control community; documents accessed only by authorized persons. 552a(j)(1), (k), and (d)(5).
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CIA–35 RETRIEVABILITY: available information obtained from the By name or other CIA identifier. media, libraries and commercial SYSTEM NAME: Information may be retrieved from this databases. Directorate of Science & Technology system of records by automated or hand EXEMPTIONS CLAIMED FOR THE SYSTEM: (DS&T) Private Sector Contact search based on extant indices and Information. automated capabilities utilized in the Certain records contained within this system of records may be exempted SECURITY CLASSIFICATION: normal course of business. Under from certain provisions of the Privacy The classification of records in this applicable law and regulations, all searches of this system of records will Act (5 U.S.C. 552a) pursuant to 5 U.S.C. system can range from UNCLASSIFIED 552a(j)(1), (k), and (d)(5). to TOP SECRET. be performed in CIA offices by CIA personnel. CIA–36 SYSTEM LOCATION: SAFEGUARDS: Central Intelligence Agency, SYSTEM NAME: Records are stored in secured areas Washington, DC 20505. Alumni Communications Records. accessed only by authorized persons. CATEGORIES OF INDIVIDUALS COVERED BY THE Software access controls are also in SECURITY CLASSIFICATION: SYSTEM: place. The classification of records in this Individuals in the private sector who system can range from UNCLASSIFIED RETENTION AND DISPOSAL: work or have worked on CIA personal to TOP SECRET. All records are maintained and services or industrial contracts; disposed of in accordance with Records SYSTEM LOCATION: individuals about which there is Control Schedules approved by the publicly-available information Central Intelligence Agency, National Archives and Records identifying a scientific, technical or Washington, DC 20505. Administration. related expertise of interest to CIA; and CATEGORIES OF INDIVIDUALS COVERED BY THE CIA staff and contract employees, and SYSTEM MANAGER(S) AND ADDRESS (THIS SYSTEM: other individuals affiliated with CIA INCORPORATES BY REFERENCE ANY CIA Former CIA employees who who work on CIA projects with private SUCCESSOR IN FUNCTION TO THE SYSTEM voluntarily contact the Alumni MANAGER(S) SET FORTH HEREIN): sector experts. Communications Port to offer Director, DS&T Administrative comments, insights or suggestions. CATEGORIES OF RECORDS IN THE SYSTEM: Resources Center, Central Intelligence Biographic information, including Agency, Washington, DC 20505. CATEGORIES OF RECORDS IN THE SYSTEM: areas of expertise. Biographic data (including name, NOTIFICATION PROCEDURE: AUTHORITY FOR MAINTENANCE OF THE SYSTEM: contact information such as address or Individuals seeking to learn if this phone number, and Social Security The National Security Act of 1947, as system of records contains information Number or CIA identifier); and amended (50 U.S.C. 403 et seq.); the about them should direct their inquiries correspondence and memoranda Central Intelligence Agency Act of 1949, to: Information and Privacy Coordinator, regarding the content of conversations as amended (50 U.S.C. 403a et seq.); Central Intelligence Agency, with former employees and any Executive Order 123333 (46 FR 59941). Washington, DC 20505. Identification resulting actions. requirements are specified in the CIA PURPOSE(S): rules published in the Federal Register AUTHORITY FOR MAINTENANCE OF THE SYSTEM. Records in this system are used by (32 CFR 1901.13). Individuals must The National Security Act of 1947, as authorized personnel to: Ensure process comply with these rules. amended (50 U.S.C. 403 et seq.); the integrity; enable the CIA and the head RECORD ACCESS PROCEDURES: Central Intelligence Agency Act of 1949, of the CIA to carry out their lawful and as amended (50 U.S.C. 403a et seq.); Requests from individuals should be authorized responsibilities; provide Executive Order 12333 (46 FR 59941). reference information; and facilitate addressed as indicated in the communication by CIA with private notification section above. Regulations PURPOSE(S): sector experts. for access to individual records or for Records in this system are used by appealing an initial determination by authorized personnel to: Ensure process ROUTINE USES OF RECORDS MAINTAINED IN THE CIA concerning the access to records are integrity; enable the CIA and the head SYSTEM, INCLUDING CATEGORIES OF USERS AND published in the Federal Register (32 THE PURPOSES OF SUCH USES: of the CIA to carry out their lawful and CFR 1901.11–45). authorized responsibilities; verify the This information is set forth in the identities of individuals contacting the ‘‘CIA Statement of General Routine CONTESTING RECORD PROCEDURE: Port; continue communications with Uses,’’ which is incorporated herein by Requests from individuals to correct individuals who contact the Port; and reference. or amend records should be addressed record a summary of the conversations as indicated in the notification section DISCLOSURE TO CONSUMER REPORTING and any resulting actions. above. CIA’s regulations regarding AGENCIES: requests for amendments to, or ROUTINE USES OF RECORDS MAINTAINED IN THE None. disputing the contents of individual SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: POLICIES AND PRACTICES FOR STORING, records or for appealing an initial RETRIEVING, ACCESSING, RETAINING, AND determination by CIA concerning these This information is set forth in the DISPOSING OF RECORDS IN THE SYSTEM: matters are published in the Federal ‘‘CIA Statement of General Routine Register (32 CFR 1901.21–23, 32 CFR Uses,’’ which is incorporated herein by STORAGE: 1901.42). reference. Paper and other hard-copy records are stored in secured areas within the CIA. RECORD SOURCE CATEGORIES: DISCLOSURE TO CONSUMER REPORTING Electronic records are stored in secure Individuals who are the subject of AGENCIES: file-servers located within the CIA. records in the system; and publicly None.
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POLICIES AND PRACTICES FOR STORING, disputing the contents of individuals ROUTINE USES OF RECORDS MAINTAINED IN THE RETRIEVING, ACCESSING, RETAINING, AND records or for appealing an initial SYSTEM, INCLUDING CATEGORIES OF USERS AND DISPOSING OF RECORDS IN THE SYSTEM: determination by CIA concerning these THE PURPOSES OF SUCH USES: STORAGE: matters are published in the Federal Records from this system of records Paper and other hard-copy records are Register (32 CFR 1901.21–23, 32 CFR may be provied to selected federal stored in a secured area within the CIA. 1901.42). agencies, including the Federal Bureau Electronic records are stored in secure of Investigation, military departments RECORD SOURCE CATEGORIES: file-servers located within the CIA. and, through established liaison Individuals who voluntarily contact channels, to selected foreign RETRIEVABILITY: the Alumni Communications Port; and government agencies, as necessary for By name, social security number, or CIA employees. the conduct of foreign intelligence and other CIA identifier. Information may be counterintelligence operations by the retrieved from this system of records by EXEMPTIONS CLAIMED FOR THE SYSTEM: CIA and other U.S. Government entities automated or hand search based on Certain records contained within this authorized to conduct such operations. extant indices and automated system of records may be exempted Information on additional routine uses capabilities utilized in the normal from certain provisions of the Privacy is set forth in the ‘‘CIA Statement of course of business. Under applicable Act (5 U.S.C. 552a) pursuant to 5 U.S.C. General Routine Uses,’’ which is law and regulations, all searches of this 552a(j)(1), (k), and (d)(5). incorporated herein by reference. system of records will be performed in CIA–37 DISCLOSURE TO CONSUMER REPORTING CIA offices by CIA personnel. AGENCIES: SAFEGUARDS: SYSTEM NAME: None. Records are stored in secured areas Directorate of Operations Records. POLICIES AND PRACTICES FOR STORING, accessed only by authorized persons. RETRIEVING, ACCESSING, RETAINING, AND SECURITY CLASSIFICATION: Software access controls are also in DISPOSING OF RECORDS IN THE SYSTEM: place. The classification of records in this STORAGE: RETENTION AND DISPOSAL: system can range from UNCLASSIFIED to TOP SECRET. Paper and other hard-copy records are All records are maintained and stored in secured areas within the CIA. disposed of in accordance with Records SYSTEM LOCATION: Electronic records are stored in secure Control Schedules approved by the file-servers located within the CIA. Central Intelligence Agency, National Archives and Records Washington, DC 20505. Administration. RETRIEVABILITY: By name, social security number, or SYSTEM MANAGER(S) AND ADDRESS (THIS CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: other identifier. Information may be INCORPORATES BY REFERENCE ANY CIA retrieved from this system of records by SUCCESSOR IN FUNCTION TO THE SYSTEM Individuals who are of foreign automated or hand search based on MANAGER(S) SET FORTH HEREIN): intelligence or foreign extant indices and automated Director, DS&T Investment Program counterintelligence interest to the CIA, capabilities utilized in the normal Office, Central Intelligence Agency, either because of their actual, apparent, course of business. Under applicable Washington, DC 20505. or potential association with foreign law and regulations, all searches of this intelligence or foreign NOTIFICATION PROCEDURES: system of records will be performed in counterintelligence activities, or CIA offices by CIA personnel. Individuals seeking to learn if this because they are of actual or potential system of records contains information use to the CIA. SAFEGUARDS: about them should direct their inquiries Records are stored in secured areas to: Information and Privacy Coordinator, CATEGORIES OF RECORDS IN THE SYSTEM: accessed only by authorized persons. Central Intelligence Agency, Documents recording the operational Software access controls are also in Washington, DC 20505. Indentification activities of the Directorate of place. requirements are specified in the CIA Operations (DO) of the Central rules published in the Federal Register Intelligence Agency. RETENTION AND DISPOSAL: (32 CFR 1901.13). Individuals must All records are maintained and comply with these rules. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: disposed of in accordance with Records RECORD ACCESS PROCEDURES: The National Security Act of 1947, as Control Schedules approved by the National Archives and Records Requests from individuals should be amended (50 U.S.C. 403 et seq.); the Administration. addressed as indicated in the Central Intelligence Agency Act of 1949, notification section above. Regulations as amended (50 U.S.C. 403a et seq.); SYSTEM MANAGER(S) AND ADDRESS (THIS for access to individual records or for Executive Order 12333 (46 FR 59941). INCORPORATES BY REFERENCE ANY CIA appealing an initial determination by SUCCESSOR IN FUNCTION TO THE SYSTEM PURPOSES(S): CIA concerning the access to records are MANAGER(S) SET FORTH HEREIN): published in the Federal Register (32 Records in this system are used by Chief, DO Information Management CFR 1901.11–45). authorized personnel to: Ensure process Staff, Central Intelligence Agency, integrity, enable the CIA and the head Washington, DC 20505. CONTESTING RECORD PROCEDURE: of the CIA to carry out their lawful and Requests from individuals to correct authorized responsibilities, and NOTIFICATION PROCEDURE: or amend records should be addressed maintain a record of the operational Individuals seeking to learn if this as indicated in the notification section activities of the Directorate of system of records contains information above. CIA’s regulations regarding Operations of the Central Intelligence about them should direct their inquiries requests for amendments to, or Agency. to: Information and Privacy Coordinator,
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Central Intelligence Agency, potential advisers, consultants, or Software access controls are also in Washington, DC 20505. Identification personal services independent place. requirements are specified in the CIA contractors to the CIA on matters of RETENTION AND DISPOSAL: rules published in the Federal Register intelligence interest. (32 CFR 1901.13). Individuals must All records are maintained and comply with these rules. CATEGORIES OF RECORDS IN THE SYSTEM: disposed of in accordance with Records Biographic information including Control Schedules approved by the RECORD ACCESS PROCEDURES: names, contact information, National Archives and Records Requests from individuals should be professional credentials and areas of Administration. addressed as indicated in the interest of expertise of individuals SYSTEM MANAGER(S) AND ADDRESS (THIS notification section above. Regulations covered under this system of records; INCORPORATES BY REFERENCE ANY CIA for access to individual records or for history of CIA association, if any, of SUCCESSOR IN FUNCTION TO THE SYSTEM appealing an initial determination by individuals covered under this system. MANAGER(S) SET FORTH HEREIN): CIA concerning the access to records are Directorate of Intelligence Information AUTHORITY FOR MAINTENANCE OF THE SYSTEM: published in the Federal Register (32 Management Officer, Central CFR 190.11–45). The National Security Act of 1947, as Intelligence Agency, Washington, DC amended (50 U.S.C. 403 et seq.); the 20505. CONTESTING RECORD PROCEDURE: Central Intelligence Agency Act of 1949, Requests from individuals to correct as amended (50 U.S.C. 403 et seq.); NOTIFICATION PROCEDURE: or amend records should be addressed Executive Order 12333 (46 FR 59941). Individuals seeking to learn if this as indicated in the notification section system of records contains information above. CIA’s regulations regarding PURPOSE(S): about them should direct their inquiries requests for amendments to, or Records in this system are used by to: Information and Privacy Coordinator, disputing the contents of individual authorized personnel to: Ensure process Central Intelligence Agency, records or for appealing an initial integrity, enable the CIA and the head Washington, DC 20505. Identification determination by CIA concerning these of the CIA to carry out their lawful and requirements are specified in the CIA matters are published in the Federal authorized responsibilities, and rules published in the Federal Register Register (32 CFR 1901.21–23, 32 CFR maintain a record of persons inside and (32 CFR 1901.13). Individuals must 1901.42). outside the U.S. Government of current comply with these rules. or potential utility as advisors or RECORD SOURCE CATEGORIES: consultants to the CIA in performing its RECORD ACCESS PROCEDURES: Foreign intelligence and mission to produce intelligence analyses Requests from individuals should be counterintelligence sources; U.S. on matters of national security concern. addressed as indicated in the Government agencies; CIA predecessor notification procedures section above. organizations; publicly available ROUTINE USES OF RECORDS MAINTAINED IN THE Regulations for access to individual information; and state and local SYSTEM, INCLUDING CATEGORIES OF USERS AND records or for appealing an initial agencies. THE PURPOSES OF SUCH USES: determination by CIA concerning the This information is set forth in the access to records are published in the EXEMPTIONS CLAIMED FOR THE SYSTEM: ‘‘CIA Statement of General Routine Federal Register (32 CFR 1901.11–45). Certain records contained within this Uses,’’ which is incorporated herein by system of records may be exempted reference. CONTESTING RECORD PROCEDURE: from certain provisions of the Privacy Requests from individuals to correct Act (5 U.S.C. 552a) pursuant to 5 U.S.C. DISCLOSURE TO CONSUMER REPORTING or amend records should be addressed 552a(j)(1), (k), and (d)(5). AGENCIES: as indicated in the notification section None. above. CIA’s regulations regarding CIA–38 requests for amendments to, or POLICIES AND PRACTICES FOR STORING, SYSTEM NAME: RETRIEVING, ACCESSING, RETAINING, AND disputing the contents of individual Academic and Business Contact DISPOSING OF RECORDS IN THE SYSTEM: records or for appealing an initial Records. determination by CIA concerning these STORAGE: matters are published in the Federal SECURITY CLASSIFICATION: Paper and other hard-copy records are Register (32 CFR 1901.21–23, 32 CFR The classification of records in this stored secured areas within the CIA. 1901.42). Electronic records are stored in secure system can range from UNCLASSIFIED RECORD SOURCE CATEGORIES: to TOP SECRET. file-servers located within the CIA. Individuals who are the subject of SYSTEM LOCATION: RETRIEVABILITY: records in this system; U.S. Government Central Intelligence Agency, By name, social security number, or employees, publicly available Washington, DC 20505. other CIA identifier. Information may be information obtained from the media, retrieved from this system of records by libraries and commercial databases. CATEGORIES OF INDIVIDUALS COVERED BY THE automated or hand searches based on EXEMPTIONS CLAIMED FOR THE SYSTEM: SYSTEM: extant indices and automated Members of the academic community, capabilities utilized in the normal Certain records contained within this members of scientific and other course of business. Under applicable system of records may be exempted professional organizations, U.S. law and regulations, all searches of this from certain provisions of the Privacy Government officials, employees of system of records will be performed in Act (5 U.S.C. 552a) pursuant to 5 U.S.C. private sector organizations, and other CIA offices by CIA personnel. 552a(j)(1), (k), and (d)(5). individuals who have expertise in, or CIA–39 access to information on, subjects of SAFEGUARDS: intelligence interest; and individuals Records are stored in secured areas SYSTEM NAME: who have serves as, or are considered accessed only by authorized persons. Customer Relations Records.
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SECURITY CLASSIFICATION: RETRIEVABILITY: RECORD SOURCE CATEGORIES: The classification of records in this By name, social security number, or Individuals who are the subjects of system can range from UNCLASSIFIED other CIA identifier. Information may be records in this system; CIA personnel; to TOP SECRET. retrieved from this system of records by other U.S. Government personnel. automated or hand searches based on SYSTEM LOCATION: EXEMPTIONS CLAIMED FOR THE SYSTEM: extant indices and automated Central Intelligence Agency, capabilities utilized in the normal Certain records contained within this Washington, DC 20505. course of business. Under applicable system of records may be exempted CATEGORIES OF INDIVIDUALS COVERED BY THE law and regulations, all searches of this from certain provisions of the Privacy SYSTEM: system of records will be performed in Act (5 U.S.C. 552a) pursuant to 5 U.S.C. Current and former intelligence CIA offices by CIA personnel. 552a(j)(1), (k), and (d)(5). customers including U.S. policymakers, CIA–40 U.S. Government personnel, and other SAFEGUARDS: authorized recipients of CIA intelligence Records are stored in secured areas SYSTEM NAME: products. accessed only by authorized persons. Research System Records. Software access controls are also in CATEGORIES OF RECORDS IN THE SYSTEM: place. SECURITY CLASSIFICATION: Biographic information including The classification of records in this names, addresses, contact information, RETENTION AND DISPOSAL: system can range from UNCLASSIFIED security clearances and access All records are maintained and to TOP SECRET. approvals, and subjects of intelligence disposed of in accordance with Records SYSTEM LOCATION: interest to individuals covered by this Control Schedules approved by the system of records; documents National Archives and Records Central Intelligence Agency, containing comments and feedback from Administration. Washington, DC 20505. individuals covered by this system of CATEGORIES OF INDIVIDUALS COVERED BY THE records. SYSTEM MANAGER(S) AND ADDRESS (THIS SYSTEM: INCORPORATES BY REFERENCE ANY CIA AUTHORITY FOR MAINTENANCE OF THE SYSTEM: SUCCESSOR IN FUNCTION TO THE SYSTEM Individuals of foreign intelligence or The National Security Act of 1947, as MANAGER(S) SET FORTH HEREIN): counterintelligence interest to the CIA, amended (50 U.S.C. 403 et seq.); the Directorate of Intelligence Information including individuals associated with Central Intelligence Agency Act of 1949, Management Officer, Central international terrorism, international as amended (50 U.S.C. 403a et seq.); Intelligence Agency, Washington, DC organized crime, or international Executive Order 12333 (46 FR 59941). 20505. narcotics trafficking activities; and individuals who have written on the PURPOSE(S): NOTIFICATION PROCEDURES: general topic of intelligence. Records in this system are used by authorized personnel to: Ensure process Individuals seeking to learn if this CATEGORIES OF RECORDS IN THE SYSTEM: integrity; enable the CIA and the head system of records contains information Classified intelligence reporting, of the CIA to carry out their lawful and about them should direct their inquiries including reports from other U.S. authorized responsibilities, maintain to: Information and Privacy Coordinator, Government agencies and foreign dissemination lists for CIA finished Central Intelligence Agency, government information; and publicly intelligence products, in order to ensure Washington, DC 20505. Indentification available information from the media, proper dissemination of classified and requirements are specified in the CIA libraries and commerical databases. unclassified products; maintain a record rules published in the Federal Register of disseminations; maintain a list of (32 CFR 1901.13). Individuals must AUTHORITY FOR MAINTENANCE OF THE SYSTEM: topics of interest to particular comply with these rules. The National Security Act of 1947, as intelligence customers; and document amended (50 U.S.C. 403 et seq.); the RECORD ACCESS PROCEDURES: customer feedback on particular Central Intelligence Agency Act of 1949, products. Requests from individuals should be as amended (50 U.S.C. 403a et seq.); addressed as indicated in the Executive Order 12333 (46 FR 59941). ROUTINE USES OF RECORDS MAINTAINED IN THE notification section above. Regulations SYSTEM, INCLUDING CATEGORIES OF USERS AND for access to individual records or for PURPOSE(S): THE PURPOSES OF SUCH USES: appealing an initial determination by Records in this system are used by This information is set forth in the CIA concerning the access to records are authorized personnel to: Ensure process ‘‘CIA Statement of General Routine published in the Federal Register (32 integrity; enable the CIA and the head Uses,’’ which is incorporated herein by CFR 1901.11–45). of the CIA to carry out their lawful and reference. authorized responsibilities; provide a CONTESTING RECORD PROCEDURES: DISCLOSURE TO CONSUMER REPORTING repository of classified and unclassified AGENCIES: Requests from individuals to correct information on topics of foreign None. or amend records should be addressed intelligence and counterintelligence as indicated in the notification section interest to the CIA; assist the CIA’s POLICIES AND PRACTICES FOR STORING, above. CIA’s regulations regarding Directorate of Intelligence to fulfill its RETRIEVING, ACCESSING, RETAINING, AND requests for amendments to, or mission of providing timely, accurate, DISPOSING OF RECORDS IN THE SYSTEM: disputing the contents of individual and objective intelligence analysis on STORAGE: records or for appealing an initial the full range of national security threats Paper and other hard-copy records are determination by CIA concerning these and foreign policy issues facing the stored in secured areas within the CIA. matters are published in the Federal United States; and provide a reference Electronic records are stored in secure Register (32 CFR 1901.21–23, 32 CFR file for publicly available publications file-servers located within the CIA. 1901.42). pertaining to intelligence.
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ROUTINE USES OF RECORDS MAINTAINED IN THE for access to individual records or for PURPOSE(S): SYSTEM, INCLUDING CATEGORIES OF USERS AND appealing an initial determination by Records in this system are used by THE PURPOSES OF SUCH USES: CIA concerning the access to records are authorized personnel to: Ensure process This information is set forth in the published in the Federal Register (32 integrity, enable the CIA and the head ‘‘CIA Statement of General Routine CFR 1901.11–45). of the CIA to carry our their lawful and Uses,’’ which is incorporated herein by authorized responsibilities; and assist CONTESTING RECORD PROCEDURE: reference. the CIA’s Directorate of Intelligence to Requests from individuals to correct fulfill its mission of providing timely, DISCLOSURE TO CONSUMER REPORTING or amend records should be addressed AGENCIES: accurate, and objective intelligence as indicated in the notification section None. analysis on the full range of national above. CIA’s regulations regarding security threats and foreign policy POLICIES AND PRACTICES FOR STORING, requests for amendments to, or issues facing the United States, RETRIEVING, ACCESSING, RETAINING, AND disputing the contents of individual including key foreign countries, regional DISPOSING OF RECORDS IN THE SYSTEM: records or for appealing an initial conflicts, and issues that transcend determination by CIA concerning these STORAGE: national boundaries such as terrorism, matters are published in the Federal Paper and other hard-copy records are weapons proliferation, and narcotics Register (32 CFR 1901.21–23, 32 CFR trafficking. stored in secured areas within the CIA. 1901.42). Electronic records are stored in secure ROUTINE USES OF RECORDS MAINTAINED IN THE file-servers located within the CIA. RECORD SOURCE CATEGORIES: SYSTEM, INCLUDING CATEGORIES OF USERS AND THE PURPOSES OF SUCH USES: RETRIEVABILITY: CIA staff and contract employees, personal services independent By name, social security number, or This information is set forth in the contractors, and industrial contractors; other CIA identifier. Information may be ‘‘CIA Statement of General Routine U.S. Government agencies; publicly retrieved from this system of records by Uses,’’ which is incorporated herein by available information from the media, automated or hand searches based on reference. libraries and commercial databases; and extant indices and automated foreign intelligence and DISCLOSURE TO CONSUMER REPORTING capabilities utilized in the normal counterintelligence sources. AGENCIES: course of business. Under applicable None. law and regulations, all searches of this EXEMPTIONS CLAIMED FOR THE SYSTEM: system of records will be performed in Certain records contained within this POLICIES AND PRACTICES FOR STORING, CIA offices by CIA personnel. system of records may be exempted RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: SAFEGUARDS: from certain provisions of the Privacy Act (5 U.S.C. 552a) pursuant to 5 U.S.C. STORAGE: Records are stored in secured areas 552a(j)(1), (k), and (d)(5). accessed only by authorized persons. Paper and other hard-copy records are stored in secured areas within the CIA. Software access controls are also in CIA–41 place. Electronic records are stored in secure SYSTEM NAME: file-servers located within the CIA. RETENTION AND DISPOSAL: Intelligence Analysis Records. RETRIEVABILITY: All records are maintained and disposed of in accordance with Records SECURITY CLASSIFICATION: By name, social security number, or Control Schedules approved by the The classification of records in this other identifier. Information may be National Archives and Records system can range from UNCLASSIFIED retrieved from this system of records by Administration. to TOP SECRET. automated or hand searches based on extant indices and automated SYSTEM MANAGER(S) AND ADDRESS (THIS SYSTEM LOCATION: capabilities utilized in the normal INCORPORATES BY REFERENCE ANY CIA Central Intelligence Agency, course of business. Under applicable SUCCESSOR IN FUNCTION TO THE SYSTEM Washington, DC 20505. law and regulations, all searches of this MANAGER(S) SET FORTH HEREIN): system of records will be performed in CATEGORIES OF INDIVIDUALS COVERED BY THE Directorate of Intelligence Information CIA offices by CIA personnel. Management Officer, Central SYSTEM: Intelligence Agency, Washington, DC Individuals of foreign intelligence or SAFEGUARDS: 20505. counterintelligence interest to the CIA, Records are stored in secured areas including individuals associated with accessed only by authorized persons. NOTIFICATION PROCEDURE: international terrorism, international Software access controls are also in Individuals seeking to learn if this organized crime, or international place. system of records contains information narcotics trafficking activities. about them should direct their inquires RETENTION AND DISPOSAL: CATEGORIES OF RECORDS IN THE SYSTEM: to: Information and Privacy Coordinator, All records are maintained and Central Intelligence Agency, Intelligence reports and other disposed of in accordance with Records Washington, DC 20505. Identification information that supports the analytic Control Schedules approved by the requirements are specified in the CIA mission of the CIA’s Directorate of National Archives and Records rules published in the Federal Register Intelligence. Administration. (32 CFR 1901.13). Individuals must AUTHORITY FOR MAINTENANCE OF THE SYSTEM: comply with these rules. SYSTEM MANAGER(S) AND ADDRESS (THIS The National Security Act of 1947, as INCORPORATES BY REFERENCE ANY CIA RECORD ACCESS PROCEDURES: amended (50 U.S.C. 403 et seq.); the SUCCESSOR IN FUNCTION TO THE SYSTEM Requests from individuals should be Central Intelligence Agency Act of 1949, MANAGER(S) SET FORTH HEREIN): addressed as indicated in the as amended (50 U.S.C. 403a et seq.); Directorate of Intelligence Information notification section above. Regulations Executive Order 12333 (46 FR 59941). Management Officer, Central
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Intelligence Agency, Washington, DC for access to individual records or for RECORD SOURCE CATEGORIES: 20505. appealing an initial determination by CIA staff and contract employees, CIA concerning the access to records are personal services independent NOTIFICATION PROCEDURE: published in the Federal Register (32 contractors, and industrial contractors; Individuals seeking to learn if this CFR 1901.11–45). U.S. Government agencies; publicly system of records contains information available information from the media, about them should direct their inquiries CONTESTING RECORD PROCEDURE: libraries and commercial databases; and to: Information and Privacy Coordinator, Requests from individuals to correct foreign intelligence and Central Intelligence Agency, counterintelligence sources. Washington, DC 20505. Identification or amend records should be addressed requirements are specified in the CIA as indicated in the notification section EXEMPTIONS CLAIMED FOR THE SYSTEM: above. CIA’s regulations regarding rules published in the Federal Register Certain records contained within this requests for amendments to, or (32 CFR 1901.13). Individuals must system of records may be exempted disputing the contents of individual comply with these rules. from certain provisions of the Privacy records or for appealing an initial Act (5 U.S.C. 552a) pursuant to 5 U.S.C. RECORD ACCESS PROCEDURES: determination by CIA concerning these 552a(j)(1), (k), and (d)(5). Requests from individuals should be matters are published in the Federal addressed as indicated in the Register (32 CFR 1901.21–23, 32 CFR [FR Doc. 05–13889 Filed 7–21–05; 8:45 am] notification section above. Regulations 1901.42). BILLING CODE 6310–02–M
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Part III
Securities and Exchange Commission 17 CFR Parts 232, 240, and 249 Removal From Listing and Registration of Securities Pursuant to Section 12(d) of the Securities Exchange Act of 1934; Final Rule
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SECURITIES AND EXCHANGE II. Background the amendments will not be operative COMMISSION A. Statutory Provisions and Exchange Act until April 24, 2006. Rule 12d2–2 17 CFR Parts 232, 240, and 249 B. Summary of Proposed Rules II. Background C. Overview of the Comments Received A. Statutory Provisions and Exchange [Release No. 34–52029; File No. S7–25–04] III. Discussion of the Final Rule Amendments A. Final Amendments to Rule 12d2–2 Act Rule 12d2–2 RIN 3235–AJ04 1. Exchange-Initiated Delisting and/or Section 12(a) of the Exchange Act 2 Withdrawal From Section 12(b) makes it unlawful for any member, Removal From Listing and Registration Registration broker, or dealer to effect any of Securities Pursuant to Section 12(d) 2. Issuer-Initiated Withdrawal From Listing transaction in any security (other than of the Securities Exchange Act of 1934 and Section 12(b) Registration an exempted security) on a national 3. Effectiveness of Delisting and AGENCY: Securities and Exchange Withdrawal of Registration Under securities exchange unless the security Commission. Section 12(b) of the Exchange Act is registered on that exchange in ACTION: Final rule. 4. Delisting and/or Withdrawal From accordance with the provisions of the Section 12(b) Registration Pursuant to Exchange Act and the rules thereunder. SUMMARY: The Securities and Exchange Certain Corporate Actions Section 12(d) of the Exchange Act 3 Commission (‘‘Commission’’) is 5. Deletions of Certain Provisions in provides that a security registered with adopting amendments to its rules and Current Rule 12d2–2 a national securities exchange may be Form 25 to streamline the procedures B. Changes to Form 25 withdrawn or stricken from listing and C. Filing of Form 25 to Serve as Notice for removing from listing, and registration on an exchange in Pursuant to Section 19(d) accordance with the rules of the withdrawing from registration, D. Exemption of Options and Security securities under Section 12(b) of the Futures From Section 12(d) exchange, and upon such terms as the Securities Exchange Act of 1934 E. Compliance Date Commission may deem necessary, upon (‘‘Exchange Act’’). The final rules F. Implementation application by the issuer or the require all issuers and national IV. Paperwork Reduction Act exchange to the Commission.4 Rule securities exchanges seeking to delist A. Summary of Collection of Information 12d2–2 5 and Form 25 6 under the and/or deregister a security in B. Use of Information Exchange Act set forth the conditions accordance with the rules of an C. Respondents and procedures under which a security D. Total Annual Reporting and may be delisted from a national exchange and the Commission to file the Recordkeeping Burdens amended Form 25 in an electronic securities exchange and withdrawn E. No Responses to Request for Comment from registration under Section 12(b) of format with the Commission on the V. Costs and Benefits of Final Rule EDGAR database. The final rules also Amendments the Exchange Act. provide that the Form 25 serves as an A. Introduction Rule 12d2–2 governs the delisting and exchange’s notice to the Commission B. Benefits deregistration process for both under Section 19(d) of the Exchange C. Costs exchange-initiated and issuer-initiated Act. Finally, the final rules exempt, on VI. Regulatory Flexibility Act Certification applications. Under the current Rule, a permanent basis, standardized options VII. Consideration of Impact on the Economy, the exchange files a Form 25 with the Burden on Competition, and Promotion Commission to remove from listing and and security futures products traded on of Efficiency, Competition, and Capital a national securities exchange from registration securities where the entire Formation class is matured, redeemed, retired, or Section 12(d) of the Exchange Act. The VIII. Statutory Authority and Text of Final 7 amendments serve to reduce regulatory extinguished by operation of law. The Rule Form is effective at a date specified by burdens on the exchanges and issuers, the exchange that is at least ten days and to make the delisting and I. Introduction from the date the Form 25 is filed with deregistration process more transparent On June 15, 2004, the Commission the Commission. An exchange may also and efficient in the interest of investors issued a release proposing to amend file a written application with the and the public. Rule 12d2–2, Rule 19d–1, and Form 25 Commission to remove a security from under the Exchange Act and Rule 101 of DATES: Effective date: August 22, 2005. listing and registration when the Regulation S–T, to streamline the Compliance date: April 24, 2006. securities have fallen below the procedures for delisting a security FOR FURTHER INFORMATION CONTACT: exchange’s listing standards.8 The Sharon Lawson, Senior Special Counsel, traded on a national securities exchange and/or deregistering the security under 2 15 U.S.C. 78l(a). at (202) 551–5605, Susie Cho, Special 1 Counsel, at (202) 551–5639, Steve Kuan, Section 12(b) of the Exchange Act. 3 15 U.S.C. 78l(d). Special Counsel, at (202) 551–5624, Under the proposal, issuers and national 4 The Commission views a security’s withdrawal Division of Market Regulation; and securities exchanges would to be the same as a security’s termination of electronically file a Form 25 with the registration. Robert Plesnarski, Deputy Chief 5 Commission to delist and/or deregister 17 CFR 240.12d2–2. See Securities Exchange Counsel, at (202) 551–3832, Division of Act Release No. 98 (February 12, 1935) (adopting Corporation Finance; at the Securities securities. The Commission received Rule JD2, the predecessor to Rule 12d2–2). Rule and Exchange Commission, 100 F Street three comments in response to the 12d2–2 was most recently amended in 1963. See Securities Exchange Act Release No. 7011 (February NE., Washington, DC 20549. proposal. After careful consideration of the comments as discussed below, the 5, 1963). 6 17 CFR 249.25. See Securities Exchange Act SUPPLEMENTARY INFORMATION: The Commission today is adopting the Commission is adopting amendments to Release No. 4706 (April 16, 1952). amendments substantially as proposed. 7 Rule 101 of Regulation S–T, 17 CFR 17 CFR 240.12d2–2(a). To give time for national securities 8 17 CFR 240.12d2–2(c). Under Rule 12d2–2(b), 232.101; and Rule 12d2–2, 17 CFR exchanges to adopt rules to comply with an exchange may also strike a security from listing 240.12d2–2, Form 25, 17 CFR 249.25, the new requirements in Rule 12d2–2, and registration under Rule 12d2–2, if: (1) Trading and Rule 19d–1, 17 CFR 240.19d–1 in such security has been terminated pursuant to a under the Exchange Act. rule of such exchange requiring such termination 1 See Securities Exchange Act Release No. 49858, whenever the security is admitted to trading on I. Introduction 69 FR 34860 (June 22, 2004) (‘‘Proposed Release’’). another exchange; and (2) listing and registration of
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Commission will issue an order granting which substantially alters or adds to the C. Overview of the Comments Received the application, unless the Commission, obligations, or detracts from the rights, by written notice to the exchange, of an issuer of securities registered The Commission received three postpones the effective date for a period pursuant to application under Section comment letters on the proposed of not more than 60 days.9 The 12(b) or (c) of the Exchange Act that amendments.19 While all the Commission may also order a hearing such registration shall expire.14 commenters were very supportive of the on the application to determine whether Commission’s proposal, the commenters B. Summary of Proposed Rules the exchange’s application is in also requested that the Commission accordance with the exchange’s rules or On June 15, 2004, the Commission provide further clarification on certain what terms the Commission should issued a proposing release to streamline aspects of the proposed changes to Rule impose for the protection of investors.10 the procedures for removing from listing 12d2–2. Rule 12d2–2 also provides that an and/or withdrawing from registration, Specifically, two commenters issuer may initiate the delisting of its securities registered under Section 12(b) 15 requested that the Commission clarify securities by filing a written application of the Exchange Act. Specifically, to the scope and purpose of the proposed lessen paperwork burdens on exchanges with the Commission to withdraw its requirement that exchanges provide and issuers, proposed amendments to security from listing and registration on public notice, at least 10 days before a Rule 12d2–2 would require that all an exchange in accordance with the delisting becomes effective, of the 11 exchange-initiated and issuer-initiated rules of such exchange. After exchange’s determination to delist a delisting applications be filed with the publication of the notice of the issuer’s security.20 In addition, the Amex Letter Commission electronically on the Form application and expiration of a requested that the Commission clarify 25. The Commission would no longer comment period, the Commission what information is to be included in a generally issues an order based on the issue orders to effectuate the delisting and deregistration of securities. Rather, final delisting determination that is application and any comments attached to the Form 25 as notice of a 12 the delisting would occur 10 days after received. The Commission may, final action by an exchange, pursuant to however, order a hearing on the matter the Form 25 is filed with the 21 Commission while the deregistration Section 19(d) of the Exchange Act. and can impose such terms as necessary The NYSE Letter recommended that the 13 under Section 12(b) would occur 90 for the protection of investors. Commission permit withdrawals of the Finally, Rule 12d2–2 provides that an days after the filing of the Form 25, Form 25 at any time prior to the issuer may request within 30 days after unless the Commission postpones the effective date, and allow the exchange to the publication of any rule or regulation deregistration pursuant to Rule 12d2– 2(d)(3), as discussed below.16 determine the effective date of the Form 25, so long as the date chosen is at least such security has become effective on such other To centralize information on the exchange. 17 CFR 240.12d2–2(b). registration and deregistration of a ten days after the filing of the Form 25. 9 17 CFR 240.12d2–2(c). security in one database, proposed The NYSE also suggested that, for 10 Id. amendments to Form 25 and Rule 101 issuer-initiated delistings, the issuer 11 17 CFR 240.12d2–2(d). The Commission of Regulation S–T would require that should be the first to inform investors of publishes the issuer’s application in the Federal Register for comment, and any interested person the Form 25 be filed electronically via its intent to delist and/or deregister from may submit to the Commission in writing all facts the Commission’s Electronic Data an exchange prior to public notification bearing upon whether the application to withdraw Gathering, Analysis, and Retrieval by the exchange of such delisting. The the security from listing and registration has been (‘‘EDGAR’’) system.17 To avoid NYSE also believes, in response to a made in accordance with the rules of the exchange and what terms should be imposed by the additional paperwork burdens, Rule question raised in the Commission’s Commission for the protection of investors. 19d–1 and Form 25 would also be release, that the issuer notification 12 Id. The Commission seldom receives comments amended to require that the Form 25 requirement should come from on delisting applications. Moreover, when the serve as notice to the Commission of a Commission rules rather than exchange Commission has received comments, it has not, in recent years, imposed any conditions on the denial of access to services of the rules because the Commission is in the delisting or withdrawal from registration. For Exchange as a result of an exchange- best position to enforce this example, thus far in 2005, the Commission has initiated delisting as required by Section requirement.22 received 16 delisting applications from issuers and 19(d)(1) and Rule 19d–(1) under the comments on 2 of them. See Securities Exchange In addition, the Amex Letter Act Release No. 51496 (April 6, 2005) (order Exchange Act. recommended that there be a clearly granting the application of Carmel Container Finally, the proposed rule defined mechanism by which the issuer Systems Ltd. to withdraw its ordinary shares from amendments would exempt listing and registration on the Amex); Securities and exchange are notified of a standardized options and security Commission action to delay Exchange Act Release No. 51212 (February 15, futures from the delisting and 2005) (order granting the application of Premier effectiveness of a delisting, and that the Farnell plc to withdraw its ordinary shares, deregistration procedures set forth in preference shares, and American Depositary Shares Section 12(d) of the Exchange Act, and exempt standardized options and security futures from listing and registration on the NYSE). In 2004, Rule 12d2–2.18 from Rule 12d2–2 under the Exchange Act. the Commission received comments on the Securities Exchange Act Release No. 49859 (June delisting applications of GB Holdings, Inc. and The 14 15, 2004), 69 FR 34409 (June 21, 2004). Ohio Art Company (‘‘Ohio Art’’). See Securities 17 CFR 240.12d2–2(f). 15 19 See letters to Jonathan G. Katz, Secretary, Exchange Act Release No. 49553 (April 12, 2004) See supra note 1. Commission, from Claudia Crowley, Vice President (order granting the application of GB Holdings, Inc. 16 See infra notes 60–64. to withdraw its notes from listing and registration 17 Under the amendments adopted by the & Deputy Chief Regulatory Officer, American Stock on the Amex); Securities Exchange Act Release No. Commission today, Form 25 will be filed by both Exchange LLC, (‘‘Amex’’) dated July 22, 2004 49336 (February 27, 2004) (notice of application of exchanges and issuers. To assist exchanges and (‘‘Amex Letter’’); Sullivan & Cromwell LLP, dated The Ohio Art Company to withdraw its common issuers in filing and permit the EDGAR system to July 22, 2004 (‘‘Sullivan Letter’’); and Darla C. stock from listing and registration on the Amex). In differentiate between Forms 25 filed by exchanges Stuckey, Corporate Secretary, New York Stock 2003, the Commission received one comment on a and Forms 25 filed by issuers, Forms 25 filed by Exchange, Inc. (‘‘NYSE’’), dated August 27, 2004 delisting application. See Securities Exchange Act exchanges would have the EDGAR submission type (‘‘NYSE Letter’’). Release No. 47248 (January 24, 2003) (order of 25–NSE and Forms 25 filed by issuers would 20 See Amex Letter and NYSE Letter, supra note granting the application of HSBC Bank, PLC to have the EDGAR submission type of 25. 19. withdraw its notes from listing on the NYSE). 18 In conjunction with proposed Rule 12d2–2(e), 21 See Amex Letter, supra note 19. 13 Id. the Commission issued an order to temporarily 22 See NYSE Letter, supra note 19.
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Form 25 be amended to reflect such III. Discussion of the Final Rule posting on the exchange’s Web site.32 delay.23 Amendments This public notice must remain posted on an exchange’s Web site until the Both exchange commenters, Amex A. Final Amendments to Rule 12d2–2 and NYSE, asked the Commission to delisting is effective. As noted in the 1. Exchange-Initiated Delisting and/or proposing release, to the extent that an verify that the final delisting rules will Withdrawal From Section 12(b) exchange’s rules do not currently not impact their current rules on Registration comply with these requirements, the suspending the trading of listed 33 The Commission is adopting the exchange must amend its rules. securities pursuant to Rule 12d2–1. Finally, as in current Rule 12d2–2, the Both of these commenters note the amendments to Rule 12d2–2 regarding exchange-initiated delistings exchange must promptly deliver a copy importance of an exchange’s ability to 34 substantially as proposed.26 of the application to the issuer. suspend trading under its rules prior to Specifically, the Commission is The Commission received one a delisting going effective.24 The Amex amending paragraph (b) of Rule 12d2– comment in response to its question Letter and NYSE Letter also both state 2 to provide that a national securities regarding whether the Commission that exchange rules should not provide exchange may strike a class of securities should require exchanges, pursuant to a comment period for delistings. In this from listing and/or withdraw the exchange rules, to provide an additional regard, the Amex letter notes that, for registration of such securities under opportunity for the public to comment exchange delistings, it already provides Section 12(b) by filing an application on on an anticipated delisting and/or issuers with an appeal process. Form 25.27 The delisting of the security deregistration before the Form 25 becomes effective. The Amex strongly Finally, the Sullivan Letter will be effective 10 days after Form 25 is filed with the Commission.28 The opposed adopting exchange rules to questioned the impact of the proposed provide additional opportunities for 90-day effective date of deregistration withdrawal from Section 12(b) registration will take effect 90 days after comment on exchange-initiated on an issuer that has been acquired in delistings, stating that such opportunity a merger or similar business the filing of the Form, or such shorter period as the Commission may would open exchange-initiated combination and no longer has any 29 delistings to a plethora of comments public shareholders. The Sullivan Letter determine. However, an issuer’s duty to file any reports under Section 13(a) from investors seeking to stop the recommended that the proposed rules delisting and/or deregistration of an of the Exchange Act and the rules and 35 be modified to provide that, if at the regulations thereunder, solely because issuer’s security. The Amex stated time a Form 25 is filed, an issuer has of such security’s registration under that, pursuant to its rules, issuers are only one holder of record of equity Section 12(b), generally would be entitled to two levels of appeal for securities registered under Section suspended upon the effective date of the delisting decisions, and thus believed 12(b), then the proposed 90-day delay in delisting.30 that permitting an additional public the deregistration going effective should In addition, the rules of the exchange appeal or challenge process could be automatically accelerated to make the must, at a minimum,31 provide the potentially create confusion and deregistration effective the 10th day following: (1) Notice to the issuer of the uncertainty regarding delistings, thus after the Form is filed.25 exchange’s decision to delist its undermining the goals of the securities; (2) an opportunity for appeal Commission’s proposal. In addition, the After carefully considering the Amex and NYSE suggested that the comments received, the Commission to the national securities exchange’s board of directors, or to a committee Commission clarify the purpose of the has decided to adopt the proposed rule required 10-day notice period.36 Amex, amendments substantially as proposed. designated by the board; and (3) public notice, no fewer than 10 days before the in particular, asked whether the notice The Commission believes that the final delisting becomes effective, of the period is intended to provide investors rule amendments fulfill the statutory exchange’s final determination to delist and other interested parties a way to requirements and promote efficiency the security via a press release and and transparency in the delisting and 32 Rule 12d2–2(b)(i). The Commission also notes deregistration procedures for exchanges that Rule 17a–1(b) under the Exchange Act requires 26 The Commission is making minor the exchange to keep a copy of all documents made and issuers. In response to the views modifications to paragraph (d) of Rule 12d2–2 from or received by it in the course of its business and and concerns expressed by commenters, that proposed. See infra notes 60–64 and in the conduct of its self-regulatory activity for a the Commission has, however, made accompanying text. period of not less than five years. This includes 27 Rule 12d2–2(b). retention of material in the course of a delisting. 17 certain minor modifications and 28 See Rule 12d2–2(d)(1). But see also Rule 12d2– CFR 240.17a–1. provided clarification to certain aspects 2(d)(3) (regarding the Commission’s authority to 33 Exchanges must submit, by October 24, 2005, of the final rules, as discussed below. delay the effectiveness of the Form 25). See also any proposed rule changes, pursuant to Section Rule 12d2–2(d)(5)–(7). 19(b) of the Exchange Act, 15 U.S.C. 78s(b), 29 See Rule 12d2–2(d)(2). But see also Rule 12d2– necessary to conform their delisting procedures to 2(d)(3) (regarding the Commission’s authority to Rule 12d2–2, as amended. The Commission 23 See Amex Letter, supra note 19. See infra notes delay the effectiveness of the Form 25). See also believes that three months would afford sufficient 60–64 and accompanying text. Rule 12d2–2(d)(5)–(7). time for exchanges to review their rules and file any 24 See Amex Letter and NYSE Letter, supra note 30 See Rule 12d2–2(d)(5). There are certain proposed rule changes necessary to comply with 19. situations where the duty to file reports under amended Rule 12d2–2. The compliance date of the 25 See Sullivan Letter, supra note 19. The Section 13(a) may continue. See 12d2–d)(5)–(7). amended Rule 12d2–2 has been delayed until April 24, 2006 to give time for such proposed rule Sullivan Letter further requests that the 31 Rule 12d2–2(d)(2). Section 6(b)(7) of the changes to be filed and considered by the Commission adopt a similar requirement with Exchange Act, 15 U.S.C. 78f(b)(7), requires that the rules of an exchange provide, among other things, Commission under Section 19(b) of the Exchange respect to Exchange Act Rule 12g–4 and Form 15 Act. for securities being withdrawn from registration a fair procedure for the prohibition or limitation by the exchange of any person with respect to access 34 Rule 12d2–2(b)(2). The Commission notes under Section 12(g) of the Exchange Act. The to services offered by the exchange. See also Section generally that it would expect the exchange to Commission notes that because the Rule adopted 6(d)(2) of the Exchange Act, 15 U.S.C. 78f(d)(2), notify the issuer at the same time as filing the Form today only applies to Section 12(b) registration, it which requires exchanges to notify the issuer of, 25. is not addressing the comments on Section 12(g) and give the issuer an opportunity to be heard 35 See Amex Letter, supra note 19. registration requirements, including deregistration upon, the specific grounds for delisting and 36 See Amex Letter and NYSE Letter, supra note for foreign private issuers. withdrawal from registration and keep a record. 19.
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delay or prevent a delisting and/or than 10 days before the delisting on Commission.45 The delisting of the deregistration.37 Form 25 becomes effective and, under security will be effective 10 days after The Commission agrees with the Rule 12d2–2(d)(1) a delisting will Form 25 is filed with the Commission.46 Amex that it is not necessary that become effective 10 days after a Form 25 The withdrawal from registration under exchange rules provide for an is filed with the Commission. Section 12(b) will take effect 90 days opportunity for the public to comment Accordingly, the Commission confirms after the filing of the Form, or such on a delisting and/or deregistration. The that an exchange may issue public shorter period as the Commission may Commission strongly believes that listed notice of its final determination to delist determine.47 companies that no longer satisfy and/or deregister a security on the same In addition, Rule 12d2–2(c) requires exchange listing standards should be day that the Form 25 is filed on Edgar an issuer filing Form 25 to satisfy the delisted quickly in accordance with with the Commission. The Commission following requirements: (1) Comply exchange rules and the Exchange Act. notes, however, that, the 10-day with the applicable exchange’s rules for Such expedient action by exchanges notification requirement is a minimum delisting and applicable state laws; (2) serves to protect the public from being period and that an exchange may give Submit a written notification to the mislead into believing that these public notice of its delisting exchange no fewer than 10 days before companies retain the imprimatur of an determination prior to the filing of the the issuer files a Form 25 of its intent exchange listing. The requirement that Form 25 with the Commission. to withdraw its security from listing an exchange provide public notice that Finally, the Commission is retaining and/or registration on such exchange 48; a security will be delisted at least 10 the requirement in current Rule 12d2– and (3) Contemporaneous with days prior to the effectiveness of such 2(e)(ii) that an exchange must promptly providing written notice to the delisting is consistent with the current deliver a copy of the delisting exchange, issue public notice of its procedures under Rule 12d2–2 for application to the issuer.42 In the intent to delist, and/or withdraw its exchange-initiated delistings, and the Proposing Release the Commission security from Section 12(b) registration, Commission believes that such notice asked for comment on whether it should via a press release and, if it has a will better inform investors and the eliminate the recently added publicly accessible Web site, post such 49 public of an exchange delisting, and requirement that an issuer disclose the notice on that Web site. give investors and the public sufficient delisting of a class of its securities from The Commission has changed the time to take any action permitted under an exchange 43 by filing a Form 8–K if time period in which an issuer is state and federal law. The Commission the Commission were to adopt the Form required to publish notice of its intent further notes that a person aggrieved by 25 amendments. The Commission is not to delist its securities from an exchange an exchange’s final delisting now eliminating the Form 8–K from that proposed. Specifically, the determination is able to petition the disclosure requirement regarding final rule amendments require this notice to be published contemporaneous Commission for review of such exchange-initiated delistings. Thus, an 38 with providing written notice to the decision, and then appeal the issuer continues to be required to file a Commission’s decision to the U.S. Court exchange of the issuer’s intent to Form 8–K if it receives notice from the 50 39 delist, whereas, under the proposal, an of Appeals. exchange that maintains the principal issuer would have been required to The Commission believes that the 10- listing for any class of its common publish notice of its intent to delist no day public notice requirement, as with equity, as defined in Exchange Act Rule fewer than 10 days before the issuer’s the current delay in issuing an exchange 12b–2, that the exchange has submitted delisting became effective. Because the delisting order, is sufficient time for an application to delist a class of the Commission proposed that a delisting interested parties to submit to the issuer’s securities. To provide certainty Commission any comments they have would become effective 10 days after to issuers as to when their Form 8–K the filing of a Form 25, an issuer could on the anticipated delisting and/or filing requirements are triggered, the deregistration, to sell their securities, or have waited to issue public notice until Commission has determined to retain it filed the Form 25. The Commission to take any other action as permitted the requirement that an exchange under state and federal law. The received a comment from the NYSE deliver a copy of the delisting expressing concern that, because the Commission believes that the 10-day application to the issuer. public notice requirement is consistent proposal would require the exchange to with current procedure as well as with 2. Issuer-Initiated Withdrawal From publish notice on its Web site of an the Act, and will provide an Listing and Section 12(b) Registration issuer’s intent to delist upon notification of such intent by the issuer, opportunity for the Commission to The Commission is adopting the the exchange would be required to impose such terms for the protection of amendments to Rule 12d2–2 regarding investors in accordance with Section issuer-initiated delistings substantially 45 Rule 12d2–2(c). 12(d) of the Exchange Act or delay the 44 as proposed. Specifically, the final 46 Rule 12d2–2(d)(1). delisting and/or deregistration in amendments to Rule 12d2–2 permit an 47 Rule 12d2–2(d)(2). See also 12d2–2(d)(5)–(7) 40 accordance with the Rule. issuer of a class of securities to and supra note 30 and accompanying text. The NYSE requested clarification on withdraw such securities from listing on 48 The written notice to the exchange must whether the proposed requirement that a national securities exchange by filing include a description of the security involved an exchange provide 10-day advance together with a statement of all material facts an application on Form 25 with the relating to the reasons for filing such application for notice to the public of a delisting can withdrawal or striking from listing and registration. coincide with the filing of the Form 42 Rule 12d2–2(b)(2). As noted in the Proposing Release, supra note 1, the 25.41 Rule 12d2–2(b)(3) requires an 43 See Exchange Act Form 8–K, Item 3.01; Commission believes that notification to an exchange to issue public notice no fewer Securities Act Release No. 8400 (Mar. 16, 2004), 69 exchange by an issuer at least 20 days prior to its FR 15594 (Mar. 25, 2004). delisting becoming effective will allow sufficient 44 The modifications to paragraph (c) of Rule time for exchanges to make any system changes in 37 See Amex Letter, supra note 19. 12d2–2 are discussed infra at notes 50–55 and preparation for removing the security from being 38 See 15 U.S.C. 78s(d). accompanying text. In addition, the Commission is quoted. 39 See 15 U.S.C. 78y. making minor modifications to paragraph (d) of 49 The issuer would also be required to represent 40 15 U.S.C. 78l(d). See also Rule 12d2–2(d)(3). Rule 12d2–2 from that proposed. See infra notes on Form 25 that these requirements have been met. 41 See NYSE Letter, supra note 19. 60–64 and accompanying text. 50 Rule 12d2–2(c)(2)(iii).
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notify the public at least 10 days before The Commission agrees with these exchange to choose the effective date of the issuer would be required to provide commenters and believes that the public an exchange-initiated delisting, so long such notice. The NYSE believes that it notice requirements under the revised as the date is at least 10 days after the is inappropriate for the exchange to be Rule provide adequate notification to filing of an application, noting that there required, under Commission rules, to investors and the public of an may be occasional circumstances in notify investors prior to the time the anticipated issuer delisting. As with which an exchange may wish to delay public receives such an announcement exchange-initiated delistings, the a delisting beyond the 10 days. In this from the issuer. Commission believes that the regard, current Form 25 allows an In response to this comment, the final requirement that issuers provide public exchange to designate a date at least 10 rule amendments require an issuer to notice at least 10 days prior to filing a days from the time the form is notify the public at the same time it Form 25 provides sufficient time for any submitted to the Commission on which notifies the exchange of its intent to interested parties to submit to the the involuntary delisting of an issuer’s delist and/or withdraw its registration, Commission any comments it has on the securities is to be effective. Form 25, which must be at least 10 days prior to delisting and/or deregistration, to sell however, may only be used by an filing a Form 25. The Commission is their securities, or to take any other exchange to remove from listing and also adopting, as proposed, final rule action as permitted under state and registration securities where the entire amendments requiring the exchange, Federal law. The Commission also has class is matured, redeemed, retired, or upon notification by an issuer, to post the authority, pursuant to Section 12(d) extinguished by operation of law. Under on its Web site the issuer’s intent to of the Exchange Act, to impose any the current Rule, the majority of Form withdraw its securities from listing and terms as the Commission may deem 25s request a date that is 10 days from registration by the next business day.51 necessary for the protection of the date the Form is submitted. For Consequently, the issuer is required to 55 investors. exchange involuntary delistings, which notify the public at the same time it under the former rules could not utilize notifies the exchange, which will be at 3. Effectiveness of Delisting and the Form 25, it had been the least 20 days prior to the delisting Withdrawal of Registration Under becoming effective.52 Moreover, the Section 12(b) of the Exchange Act Commission’s policy to generally issue exchange is required to notify the public The Commission is adopting an approval order on the 10th day after by the next business day after the issuer amendments to Rule 12d2–2(d) that an exchange’s application to delist a notifies the exchange of its intent to provide that the effective date for security is filed with the Commission. delist.53 The notices by an issuer and delisting of a class of securities is Although an exchange occasionally does exchange on their Web sites must different from the effective date for the request a later effective date in its remain posted until the delisting withdrawal from registration of such a application, the majority of applications becomes effective.54 class of securities under Section 12(b) of are approved by Commission order 10 The Commission received two the Exchange Act. In particular, Rule days after they are submitted. comments on whether exchange rules 12d2–2(d)(1) provides that a class of Accordingly, we do not believe that by should allow interested parties an securities will no longer be considered mandating that the Form becomes additional opportunity to comment on listed on a national securities exchange effective 10 days from the date the delisting before it becomes effective 10 days after the filing of Form 25 with submitted will change, in practice, the 10 days after filing the Form 25, and the the Commission. With respect to effectiveness of the majority of exchange elimination of a formal comment deregistration, however, Rule 12d2– delistings. process. The NYSE noted that it has 2(d)(2) provides that the withdrawal of The amended Rule will remove the changed its rules in recent years to a security’s registration under Section flexibility that exchanges currently have allow issuers to delist without 12(b) is effective 90 days, or such to request that a Form 25 or an preconditions, other than approval by shorter period as the Commission may application for delisting be made the issuer’s board of directors. As a determine, after filing the Form 25 with effective more than 10 days after filing. result, while the NYSE has no objection the Commission. As noted in the The Commission reminds exchanges concerning a Commission imposed Proposing Release, the 90-day delay for that they have control as to when to file comment period under Commission deregistering a class of securities is the Form 25 and, therefore, retain the rules, it believes that there is no benefit substantially similar to the process for ability to determine when a delisting in requiring that exchange rules provide withdrawing a security from Section becomes effective. The commenter did an additional comment period. The 12(g) registration.56 not describe any circumstance that Amex states that, while it may be The Commission received three necessitates an effective date for a appropriate to provide the public an comments regarding the effectiveness of delisting of more than 10 days. opportunity to comment, the comment delisting and withdrawal from Moreover, the Commission believes it is process should not be mandated or 57 registration of a class of securities. The important for the effective date of a administered by the exchange. The NYSE recommended that the delisting to be unequivocal. Investors Amex notes that an exchange cannot Commission continue to permit an require an issuer to remain listed and and market participants should be able to discern with certainty the effective whether or not an issuer is eligible to 55 In addition, Rule 12d2–2(d)(3) states that the deregister its securities under the Commission can postpone the effectiveness of a date of delisting based upon the date of Exchange Act is outside the authority of deregistration to determine whether the application filing of Form 25. For these reasons, the the exchange. on Form 25 has been made in accordance with the Commission is adopting the rule that rules of the exchange, or whether terms should be Forms 25 will become effective 10 days imposed for the protection of investors. after filing. 51 Rule 12d2–2(c)(3). The public notice 56 See 15 U.S.C. 78l(g)(4) (‘‘Registration of any requirements for the issuer and exchange replace class of security pursuant to this subsection shall A second commenter requested that the current requirement that the Commission be terminated in ninety days, or such shorter period the effective date for withdrawal from publish notice of an issuer’s proposed delisting. as the Commission may determine * * *.’’). 52 See Rule 12d2–2(c)(2)(iii). 57 See Amex Letter, supra note 19, at 2; NYSE registration under Section 12(b) of the 53 See Rule 12d2–2(c)(2)(iii) and (c)(3). Letter, supra note 19, at 3; and Sullivan Letter, Exchange Act coincide with the 54 Id. supra note 19, at 3–5. effective date of the delisting for an
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‘‘acquired company’’ 58 that no longer of the exchange, and whether any terms determines to suspend the effective date has any public shareholders. The or conditions should be imposed by the of, or revoke, the registration of a class commenter stated that, under the Commission for the protection of of securities.66 This provision preserves proposed amendments, an acquired investors.61 the Commission’s ability to commence a company would be obligated to The Commission believes that the proceeding pursuant to Section 12 of the continue certain reporting requirements mechanism for notification by the Exchange Act, and is designed to ensure following a business combination Commission of a delay in effectiveness that issuers will not be able to during a 90-day period before a of a delisting and/or deregistration circumvent pending Commission action deregistration under Section 12(b) of the would be by written notice. After simply by filing a Form 25 to deregister. Exchange Act takes effect. The considering Amex’s comments, the To preclude an issuer from using the commenter believes that such Commission is modifying the Rule to 90-day delay period to circumvent its disclosures do not provide any benefit clarify that any such written notice reporting obligations under Section if the company, with equity securities would be given to both the exchange 13(a) of the Exchange Act 67 and the registered under Section 12(b), has been and the issuer.62 The Commission is rules and regulations thereunder, Rule acquired in a merger or similar business also changing the Rule to clarify that the 12d2–2(d)(5) requires that, if, following combination and has no public Commission will send written notice to the effective date for delisting a security, shareholders remaining. The commenter both the exchange and issuer if it the Commission, an exchange, or an notes that the former stockholders of the postpones effectiveness of a delisting or issuer delays the Form 25’s effective acquired company do not benefit from deregistration.63 Regarding the date for the security’s withdrawal from any additional disclosure and to the commenter’s suggestion of amending registration under Section 12(b), the extent they received solely cash in the the Form 25, the Commission does not issuer, within 60 days of such delay, transaction they no longer need the believe that postponement of a delisting will be required to file with the protection under the Exchange Act with and/or deregistration warrants Commission any reports that would respect to the acquired company. The amendment of the Form 25.64 Rather, have been required under Section 13(a) commenter recommended that the the Commission would expect that the had the Form 25 not been filed.68 The Commission instead provide that, if at Commission would provide notice of issuer will also be required to timely file the time the Form 25 is filed an issuer the delay to the public through the any subsequent reports required under has one holder of record of equity Commission’s Web site or by a press Section 13(a) for the duration of the securities registered pursuant to Section release. delay. As discussed in the Proposing 12(b), then the 90-day period for the Under new Rule 12d2–2(d)(5), upon Release, the Commission believes that effectiveness of deregistration will be the filing of Form 25, an issuer’s duty the 60-day reporting requirement will automatically accelerated to the tenth to file reports under Section 13(a) of the help prevent issuers from using the day after the Form is filed.59 Exchange Act, which arises from the filing of the Form 25 to inappropriately The Commission has determined not registration of a class of securities under suspend their reporting obligations for a to change the Rule as suggested by the Section 12(b), will be suspended upon temporary period of time. The commenter. If a business combination or the effective date of a delisting, even Commission believes that the 60-day merger former shareholders of the though the Section 12(b) withdrawal reporting requirement also would be acquired company no longer need the from registration is effective at a later beneficial to investors and the public in protection of additional disclosure that time. The Commission notes that an that, during the time that a security’s may be triggered by its continued issuer will, however, have to comply withdrawal from registration is delayed, registration under Section 12(b), the with all other Exchange Act investors and the public would be able Commission has the ability to accelerate requirements that arise from Section to continue to track an issuer’s financial the deregistration. The Commission 12(b) registration until its withdrawal status without missing a fiscal quarter of believes that the appropriateness of from registration is effective.65 reporting information.69 accelerating the deregistration is better Rule 12d2–2(d)(4) requires that, if an Under Rule 12d2–2(d)(6), an issuer assessed on a case-by-case basis. action under Section 12 of the Exchange will therefore be required to file any The third commenter, the Amex, Act to suspend the effective date of, or reports that an issuer with such a class states that it is important that there be revoke, the registration of a class of of securities registered under Section 12 a clearly defined mechanism by which securities, commences against an issuer of the Exchange Act would be required the issuer and exchange are notified of at any time while the securities are to file under Section 13(a) if such class the Commission action to delay registered under Section 12(b), the of securities: (1) Is registered under effectiveness of a delisting, and that the securities would remain registered Section 12(g) of the Exchange Act; or (2) Form 25 is amended to reflect such under Section 12 until the final would be registered, or would be delay.60 Under Rule 12d2–2(d)(3) as determination of such proceeding, or required to be registered, under Section proposed, the Commission provided until the Commission otherwise that it may, by written notice to the 66 For example, under Section 12(j) of the Exchange Act, the Commission is authorized, by 61 exchange or issuer, postpone The Commission also has authority under order, as it deems necessary or appropriate for the effectiveness of a deregistration to Section 12(d) of the Exchange Act to impose terms protection of investors to deny, to suspend the determine whether the Form 25 to on the withdrawal from listing and registration of effective date of, to suspend for a period not deregister the class of securities has a security as it deems necessary for the protection exceeding twelve months, or to revoke the of investors. registration of a security, if the Commission finds, been made in accordance with the rules 62 See Rule 12d2–2(d)(3). on the record after notice and opportunity for 63 See id. hearing, that the issuer of such security has failed 58 The commenter defines an ‘‘acquired 64 Exchanges and issuers will be permitted to to comply with any provision of this title, or the company’’ to mean a company with equity amend the Form 25 in certain instances, such as rules and regulations thereunder. 15 U.S.C. 78l(j). securities registered under Section 12(b) of the correcting a technical error to the Form. See Section 67 15 U.S.C. 78m(a). Exchange Act that has been acquired in a merger III.B. regarding the general instructions to Form 25. 68 See Rule 12d2–2(d)(6). or similar business combination. See Sullivan 65 These continuing requirements include, for 69 The 60-day time period is similar to the time Letter, supra note 19, at 2. example, Sections 13(e), 14(a) and 14(d) of the period provided in Rule 12g–4(b) regarding the 59 See Sullivan Letter, supra note 19, at 5. Exchange Act (proxy and tender offer rules). 15 deregistration of a class of equity securities under 60 See Amex Letter, supra note 19, at 2. U.S.C. 78m(e), 78n(a), and 78n(d). Section 12(g) of the Exchange Act.
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12(g) but for the exemption from to paragraph (d)(8) of Rule 12d2–2 and that has rarely been utilized.75 registration under Section 12(g) of the is adopting it as proposed. Rule 12d2– Furthermore, the elimination of this Exchange Act by Section 12(g)(2)(A) 70 2(d)(8) clarifies that if a security is provision would ensure that issuers of the Exchange Act. delisted pursuant to paragraph (a)(3) of have to follow exchange rules to delist Similarly, under Rule 12d2–2(d)(7), amended Rule 12d2–2 and a national and/or deregister their securities.76 The an issuer whose reporting securities exchange intends to admit a Commission received no comments on responsibilities under Section 13(a) of successor security to trading, in its proposal to eliminate this provision, the Exchange Act are suspended will, accordance with Rule 12a–5 under the and is adopting the amendment as nevertheless, be required to file any Exchange Act, the effective date of proposed. reports that would be required under delisting, as set forth in amended Rule B. Changes to Form 25 Section 15(d) of the Exchange Act but 12d2–2(d)(1), shall not be earlier than for the fact that the reporting obligations the date the successor security is Currently, Form 25 is only filed by an are: (1) Suspended for a class of removed from its exempt status.72 The exchange as notification to the securities under Rule 12d2–2(d)(5); and Commission notes that this is consistent Commission of the removal of a security (2) suspended, terminated, or otherwise with the current treatment of successor from listing and registration where the absent under Section 12(g) of the securities, in which the Form 25 for entire class of the security has been Exchange Act. The reporting delisting and deregistering the original matured, redeemed, retired, or its rights 77 responsibilities of an issuer under security can only be made effective after extinguished by operation of law. Section 15(d) of the Exchange Act shall the successor security has been removed Exchanges may file Form 25 on EDGAR continue until the issuer is required to from its exempt status.73 or may submit paper copies of the Form file reports under Section 13(a) or the to the Commission.78 In addition, issuer’s reporting responsibilities under 5. Deletions of Certain Provisions in exchange and issuer delisting Section 15(d) are otherwise suspended. Current Rule 12d2–2 applications filed with the Commission, The Commission believes that these Paragraph (b) of Rule 12d2–2 pursuant to Rule 12d2–2(c) and (d), are provisions will help ensure that an currently provides that an exchange currently submitted in paper only and issuer with reporting obligations under may strike a security from listing and cannot be filed on EDGAR. Form 25 Section 13(a) of the Exchange Act that registration if: (1) Trading in such currently becomes effective at the are suspended under the Rule because security has been terminated pursuant opening of business on such date as they have filed the Form 25 would to a rule of such exchange requiring specified by the exchange, which must continue to file any reports under such termination whenever the security be no fewer than 10 days following the Section 13(a) or 15(d) that would be is admitted to trading on another date on which Form 25 is filed with the required if the class of delisted exchange; and (2) listing and Commission. To simplify the delisting and securities was no longer registered registration of such security has become deregistration process, the Commission under Section 12(b) of the Exchange effective on such other exchange. The is amending Form 25 to be used for all Act. The Commission has not received Commission believes that the provision delistings initiated by either the issuer any comments on these provisions and may raise competitive concerns, as it or an exchange. The Commission is adopting Rule 12d2–2(d)(4) through could be construed as a limitation on an received no comments on its proposal to (d)(7) as proposed. issuer’s right to list its securities on amend Form 25. Accordingly, Form 25 multiple exchanges. The Commission 4. Delisting and/or Withdrawal From replaces the paper application currently did not receive any comments on its Section 12(b) Registration Pursuant to filed by exchanges and issuers to delist proposal to eliminate this provision Certain Corporate Actions and deregister securities under current The Commission proposed to retain from Rule 12d2–2 and is adopting the amendment as proposed. the current requirement in Rule 12d2– 75 The Options Clearing Corporation used the 2(a)(1)–(4) that an exchange file Form 25 In addition, paragraph (f) of Rule provision to deregister securities in response to the to strike a security from listing and 12d2–2 currently provides that, within Commission adopting new exemptions for 30 days of the publication of any rule standardized options under the Securities Act of registration following certain corporate 1933 and the Exchange Act. See Securities actions, such as circumstances where or regulation which substantially alters Exchange Act Release No. 47082 (December 23, the entire security class is matured, or adds to the obligations, or detracts 2002), 68 FR 188 (January 2, 2003). Form 25 was redeemed, retired, or extinguished by from the rights, of an issuer of a security unavailable because it discusses delisting and registered under Section 12(b) or (c) of deregistration. The OCC, however, only wished to operation of law. The Commission has deregister the options. The Commission is received no comments on this part of the Exchange Act, or of its officers, amending Form 25 to cover delisting and the proposal and is adopting it as directors, or security holders, or of deregistration to avoid this problem in the future. proposed.71 persons soliciting or giving any proxy or 76 Issuers should note that Section 12(a) of the consent or authorization with respect to Exchange Act requires the effective registration of The Commission also received no a class of securities (other than an exempted comments on its proposed amendments such security, an issuer may file with security) on an exchange as a prerequisite to trading the Commission a request that its on such exchange. 70 See Section 12(g)(2)(A) of the Exchange Act, registration expire. Such registration 77 See supra note 7 and accompanying text. which states that the provisions of Exchange Act shall expire immediately upon receipt 78 The proposal to permit the voluntary filing of Section 12(g)(1) shall not apply to ‘‘any security of such request or immediately before Form 25 through EDGAR was adopted by the listed and registered on a national securities Commission as part of amendments to rules under exchange.’’ 15 U.S.C. 78l(g)(2)(A). During the such rule or regulation becomes the Exchange Act and the Securities Act of 1933 to Section 13(a) reporting suspension contemplated by effective, whichever date is later.74 The require foreign private issuers and foreign proposed Rule 12d2–2(d)(5), an issuer’s class of Commission proposed to eliminate this governments to file most of their securities securities would not be listed on a national paragraph, as it is an obscure provision documents through EDGAR; to clarify when a filer securities exchange for purposes of Section 12 of may submit an English summary instead of an the Exchange Act. The class of securities would, English translation of a foreign language document; however, continue to be registered under Section 72 See Rule 12d2–2(d)(8). and to eliminate the requirement that any first-time 12(b) of the Exchange Act for the duration of the 73 Currently, exchanges generally do not file the EDGAR filer, domestic or foreign, submit a paper Section 13(a) reporting suspension or until the Form 25 until the successor security has actually copy of its electronic filing to the Commission. See Commission otherwise determines. been removed from its exempt status. Securities Exchange Act Release No. 45922 (May 71 See Rule 12d2–2(a). 74 17 CFR 240.12d2–2(f). 14, 2002), 67 FR 36678 (May 24, 2002).
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Rule 12d2–2(c) and (d) of the Exchange paragraph (a)(1)(ix) to Rule 101 make K disclosure requirements have only Act. the filing of Form 25 on EDGAR recently been adopted and become Rule 12d2–2, as amended, requires mandatory.82 effective. In addition, Form 8–K requires exchanges and issuers to follow the Currently, Form 25 does not include disclosure that would not be presented rules of the exchange regarding the general instructions as to its use and in the Form 25, including the actions delisting and deregistration of effectiveness. Therefore, the that the company intends to take as a securities, after which the exchange or Commission is adopting new general result of the delisting.85 If necessary in issuer will file the amended Form 25 to instructions to Form 25 to provide the future, the Commission will notify the Commission of the delisting further guidance to the exchanges and consider amending Form 8–K to and/or deregistration of a security under issuers on the use and effectiveness of eliminate the Form 8–K disclosure Section 12(d). The Commission is the Form. The general instructions requirement regarding exchange- amending Form 25 to require the reiterate many of the regulatory initiated delistings. exchange or issuer to provide the requirements adopted in this proposal, Commission with the name of the issuer including mandatory electronic filing on C. Filing of Form 25 to Serve as Notice of the security, the name of the EDGAR, delayed effectiveness of a Pursuant to Section 19(d) exchange where such security is listed security’s withdrawal of registration Rule 19d–1 under the Exchange Act 86 and registered, the address of the issuer, under Section 12(b), and suspension of provides that an exchange shall file with and a description of the security. In duty to file reports under Section 13(a) the Commission a notice of, among addition, on Form 25, the exchange or immediately upon the filing of the Form other things, any final disciplinary issuer is required to check a box to 25. The instructions to Form 25 also actions, denials, bars, or limitations designate the provision under Rule direct issuers to determine whether they respecting membership, association, 12d2–2 relied upon to strike the security have additional reporting requirements participation, or access to services.87 from listing and/or registration under under Section 12(g) and reporting Currently, exchanges do not file Section Section 12(d) of the Exchange Act. obligations pursuant to Section 15(d) of 19(d) notices when they delist a The instructions to Form 25 provide the Exchange Act upon filing of the security, because the actual delisting of that the Form must be filed on Form. the security does not occur until EDGAR.79 The Commission believes The general instructions also state ordered by the Commission. Therefore, that requiring exchange and issuers to that with respect to the filing of any the Commission, not the exchange, takes file one form, the revised Form 25, on amendment to Form 25, the removal of the final action of delisting the security. EDGAR will substantially reduce the class of securities from listing on the Under Rule 12d2–2 as amended paperwork burdens for exchanges and exchange shall be effective 10 days after today, the Commission will no longer issuers. Further, mandatory filing on filing the amended Form 25. The issue orders approving exchanges’ EDGAR is designed to ensure that all withdrawal of registration of a class of delisting applications. Therefore, the current information on the registration securities registered under Section 12(b) exchanges are required to file notices status of an issuer is available on shall take effect in 90 days, or such under Rule 19d–1 of any final delisting EDGAR. Because exchanges and issuers shorter period as the Commission may decisions of the exchange as denials of have access to EDGAR, the Commission determine, after the exchange or issuer access to exchange services. To avoid believes it will not be burdensome for files the amended Form 25. imposing additional paperwork burdens On March 16, 2004, the Commission them to file electronically. Moreover, on the exchanges, however, the adopted amendments to Form 8–K, this change will be beneficial to the Commission proposed to amend Rule including, among other items, a new public by providing a complete 19d–1 to provide that the filing of a Form 8–K item that would require an representation of the issuer’s Form 25 would serve as notice to the issuer to disclose the delisting of a class registration status, which, as noted Commission under Section 19(d) of the of its securities from an exchange.83 above, is not currently available on the In Exchange Act. The Commission EDGAR system. the Proposing Release, the Commission received no comments on this proposal To effectuate mandatory electronic solicited comment on whether it should and is adopting the amendments to Rule filing of the revised Form 25, the eliminate the Form 8–K disclosure 19d–1 as proposed.88 Commission is amending Regulation S– requirement regarding exchange- The Commission also proposed to T.80 Currently, Rule 101(b)(9) of initiated delistings if it adopted those amend Rule 19d–1 to require the Regulation S–T 81 permits, but does not proposals.84 The Commission noted that exchange to attach a copy of its delisting require, electronic filing of Form 25 on if it adopts the Form 25 amendments, determination to Form 25 and file Form EDGAR. The Commission is eliminating the delisting of a company’s securities 25 with the attachment on EDGAR. The this provision, because it is proposing from an exchange would trigger both a mandatory electronic filing of Form 25. Form 25 filing requirement and Form 8– In addition, the Commission is K filing requirement. The Commission 85 See Item 3.01 of Form 8–K, 17 CFR 249.308. 86 amending Regulation S–T to add new did not receive any comments on this 17 CFR 240.19d–1. 87 These delisting decisions are reviewable by the issue. The Commission believes that it Commission under Section 19(d)(2) of the Exchange 79 The Commission notes that an issuer that would not be prudent at this time to Act because they have been considered by the wishes to delist and/or deregister its class of adopt additional amendments to Form Commission to be a denial if access to services security from more than one exchange must file a 8–K, particularly since the new Form 8– offered by the self-regulatory organization (‘‘SRO’’). separate Form 25 for each exchange. An exchange 15 U.S.C. 78s(d)(2). See e.g., Healthtech Int’l Inc., or issuer is permitted to delist and/or deregister 70 S.E.C. 2337 (1999). If, in any proceeding to more than one class of security on the same Form 82 17 CFR 232.101(a). The Commission notes that review an exchange’s delisting decision, the 25. These procedures are consistent with current issuers and exchanges that need to obtain a Commission finds that the specific grounds on practice. temporary hardship exemption from EDGAR filing which such denial of access exist in fact, that the 80 17 CFR 232.10 through 232.601. Regulation S– requirements may seek to do so pursuant to Rule denial of access is in accordance with the rules of T is the general regulation governing EDGAR filing. 201 of Regulation S–T. the exchange, and that such rules are, and were In addition to Regulation S–T, filers must submit 83 See Item 3.01 of Securities Act Release No. applied in a manner consistent with the Exchange electronic documents in accordance with the 8400, (March 16, 2004), 69 FR 15594 (March 25, Act, the Commission shall dismiss the proceeding. EDGAR filing manual. 2004) (adopting amendments to Form 8–K). 15 U.S.C. 78s(f). 81 17 CFR 232.101(b)(9). 84 See Proposing Release, supra note 1. 88 See Rule 19d–1(j) and (k).
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Commission is adopting this temporarily exempted them from Rule with the Commission under Section amendment as proposed. 12d2–2 under the Exchange Act.94 19(b) of the Exchange Act.99 Such One commenter asked that the In addition, the Commission believes proposed rule changes that meet the Commission clarify what constitutes the there is little practical benefit to requirements of Rule 12d2–2, as well as 100 exchange delisting determination that requiring the delisting of standardized Section 19(b) and Rule 19b–4 under must be attached to Form 25, and what options and security futures to comply the Exchange Act, must be filed with the information must be included in such with Rule 12d2–2. Standardized options Commission no later than October 24, determination.89 The Commission has and security futures products are 2005 and must be operative no later not specified a particular form or derivatives, and thus holders of such than nine months after publication of products have no ownership interest in template for the delisting determination Rule 12d2–2. the underlying security or index, unless of the exchange that serves as the notice the option or security future is IV. Paperwork Reduction Act required by Rule 19d–1. The physically settled and the holder Commission notes, however, that the A. Summary of Collection of chooses to exercise the standardized delisting determination of the exchange Information option or hold the security future until must follow the requirements of Section As discussed in the Proposing expiration. For this reason, when a 6(d) of the Exchange Act.90 Thus, at a Release, certain provisions of Rule standardized option or security futures minimum, the delisting determination 12d2–2 and Form 25 contain ‘‘collection product fails to meet an exchange’s of the exchange shall be supported by a of information requirements’’ within the maintenance standards, the exchange meaning of the Paperwork Reduction statement setting forth the specific may not add new options series or grounds on which the delisting is based. Act of 1995.101 The Commission expiration months in security futures submitted the collection of information D. Exemption of Options and Security products, but market participants are requests contained in the proposed Futures From Section 12(d) still allowed to do closing transactions amendments to the Office of in open series of options until Management and Budget (‘‘OMB’’) for The Commission is amending Rule expiration or until the settlement date of 12dd2–2 to exempt standardized review in accordance with 44 U.S.C. the security future. 3507 and 5 CFR 1320.11, and OMB options and securities futures products The Commission received no approved the request for approval of the from Section 12(d) of the Exchange Act comments on its proposal to exempt revision of collection of information. An and Rule 12d2–2 thereunder. When standardized options and security agency may not conduct or sponsor, and Congress enacted the Commodity futures products from Section 12(d) of a person is not required to respond to, Futures Modernization Act of 2000 the Exchange Act and the requirements a collection of information unless it (‘‘CFMA’’,91 it excluded security futures of Rule 12d2–2, and is adopting the displays a currently valid control products traded on a national securities amendments as proposed. Paragraph (e) number. The OMB approved the exchange from the requirement to of amended Rule 12d2–2 exempts from collection of information titled register under Section 12(a) of the Section 12(d) of the Exchange Act, and ‘‘Removal from Listing and Registration Exchange Act.92 In addition, the Rule 12d2–2 thereunder, standardized of Matured, Redeemed, or Retired Commission exempted by rule security options, as defined in Rule 9b–1(a)(4) Securities—Rule 12d2–2 and Form 25,’’ futures products from Section 12(g), if under the Exchange Act,95 that are (OMB Control No. 3235–0080). traded on a national securities exchange issued by a clearing agency registered The Commission is adopting and cleared by a clearing agency that is under Section 17A of the Exchange 96 amendments to its rules and Form 25 to registered as a clearing agency under Act and traded on a national streamline the procedures for removing Section 17A of the Exchange Act or securities exchange registered pursuant 97 from listing, and withdrawing from exempt from registration as a clearing to Section 6(a) of the Exchange Act. registration, securities under Section agency under Section 17A(b)(7).93 Paragraph (e) to Rule 12d–2 also 98 12(b) of the Exchange Act. The final Although the CFMA did not explicitly exempts from Section 12(d) and Rule amendments to Rule 12d2–2 require all exempt security futures products from 12d2–2 any security futures products issuers and national securities the requirements of Section 12(d) or that are traded on a national securities exchanges seeking to delist and/or exchange. Rule 12d2–2 under the Exchange Act, deregister a security in accordance with the Commission has not applied the E. Compliance Date the rules of an exchange and the requirements under those provisions to Commission to file Form 25 in an securities futures exchanges and The amendments and new rules will become effective on August 22, 2005. To electronic format with the Commission provide exchanges sufficient time to 89 See Amex Letter, supra note 19, at 3. 99 conform their SRO rules to the new See Preliminary Note to Rule 12d2–2. As SROs, 90 15 U.S.C. 78f(d). Section 6(d)(2) of the exchanges currently are required by the Exchange Exchange Act, 15 U.S.C. 78f(d)(2), requires, among requirements, however, the compliance Act to file with the Commission any proposed new other things, that in any proceeding by a national date of the amendments and new rules rules or rule amendments, accompanied by a securities exchange to determine whether a person is April 24, 2006. concise general statement of the basis for, and shall be prohibited or limited with respect to access purpose of, the proposed rule change. Upon the to services offered by the exchange, the exchange F. Implementation filing of a proposed rule change, the Commission shall notify such person of, and give him an shall publish notice of it and provide an opportunity to be heard upon, the specific grounds To the extent that exchanges have to opportunity for public comment. See Section for prohibition or limitation under consideration revise their rules to comply with the 19(b)(1) of the Exchange Act, 15 U.S.C. 78s(b)(1), and keep a record. A determination by the exchange amendments and new rules, SRO rule and Rule 19B–4 under the Exchange Act, 17 CFR to prohibit or limit a person with respect to access changes would be required to be filed 240.19b–4. The proposed rule change may not take to services offered by the exchange shall be effect unless the Commission approves it pursuant supported by a statement setting forth the specific to Section 19(b)(2) of the Exchange Act, or it is grounds on which the denial, bar, or prohibition or 94 See Securities Exchange Act Release No. 49859 otherwise permitted to become effective under limitation is based. (June 15, 2004), 69 FR 34409 (June 21, 2004). Section 19(b)(3)(A) or Section 19(b)(7) of the 91 Pub. L. 106–554, 114 Stat. 2763. 95 17 CFR 240.9b–1(a)(4). Exchange Act. 15 U.S.C. 78s(b)(2), (b)(3)(A) and 92 15 U.S.C. 78l(a). 96 15 U.S.C. 78q–1. (b)(7). 93 See Securities Act Release No. 8171 (December 97 15 U.S.C. 78f(a). 100 17 CFR 240.19b–4. 23, 2002), 68 FR 188 (January 2, 2003). 98 15 U.S.C. 78l(d). 101 44 U.S.C. 3501.
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on the EDGAR database. In addition, as In 2003, 57 issuers sought to delist a In 2003, 57 issuers voluntarily in current Rule 12d2–2, an exchange class of securities from a national delisted their securities by filling out seeking to delist and/or deregister a securities exchange and/or to withdraw and submitting delisting applications, class of securities must promptly deliver from registration a class of securities which, for issuers, take on average, two a copy of the application to the issuer. under Section 12(b) of the Exchange burden hours per application. Rule The final amendment to Rule 19d–1 Act. Given these figures, the 12d2–2 will require issuers that provides that Form 25 serve as an Commission staff estimates that voluntarily delist their securities to file exchange’s notice to the Commission approximately 66 respondents will be a Form 25, which takes one burden under Section 19(d) of the Exchange required to comply with these Rule hour, rather than a voluntary delisting Act. Finally, Rule 12d2–2 exempts amendments. application, which, for issuers, takes standardized options and security two burden hours. Assuming that 57 D. Total Annual Reporting and futures products traded on a national issuers voluntarily delist their Recordkeeping Burdens securities exchange from Section 12(d) securities, this change will reduce the of the Exchange Act. The Commission estimates that the total burden hours incurred by issuers Because the final rules are current combined burden under Rule from 114 hours to 57 hours. substantially similar to those proposed, 12d2–2 is 848 burden hours per year. As a result of this reduction, the the Commission continues to believe This estimate is based on activities of combined estimated annual burden that the estimates published in the national securities exchanges and under Rule 12d2–2 for exchanges and Proposing Release regarding the issuers in 2003. In 2003, the national issuers will be 705 hours.105 proposed collection of information securities exchanges filed 544 Forms 25 burdens are appropriate.102 Compliance at one burden hour per form (including E. No Responses to Request for with the collection of information filling out the Form 25 and providing Comment imposed by the final rules is mandatory. notice to the issuer). In addition, the In the Proposing Release, the Any information with the Commission national securities exchanges filed 190 Commission solicited comments on: (1) filed by the exchanges and/or issuers as delisting applications at one burden The accuracy of our burden hour required by the final rules will not be hour per application (including filling estimates; (2) whether the proposed confidential and will be made available out the application and providing notice changes to collection of information are to the public. to the issuer). necessary for the proper performance of In the Proposing Release, the the Commission’s functions; (3) whether B. Use of Information Commission proposed to eliminate there are ways to enhance the quality, The collections of information are current Rule 12d2–2(e)(2), which utility, and clarity of the proposed necessary for persons to obtain certain requires exchanges to deliver a copy of information to be collected; (4) whether benefits or to comply with certain the application to the issuer. there are ways to minimize burden hour requests. As discussed, Form 25 will be Nevertheless, the Proposing Release’s estimates; and (5) whether the proposed used by both issuers and national estimate of one burden hour per Form amendments would have any effects on securities exchanges to delist a class of 25 for national securities exchanges any other collection of information not securities from a national securities mistakenly included this requirement; a previously identified. The Commission exchange, and to withdraw from more accurate estimation of the burden did not receive any comments on the registration a class of securities under hours without this requirement would Paperwork Reduction analysis Section 12(b) of the Exchange Act. Form have been lower than that set forth in contained in the Proposing Release. 25 will enable the Commission to the Proposing Release. However, after V. Costs and Benefits of Final Rule receive organized information relating further evaluation, the Commission Amendments to an issuer and/or the listed exchange today is adopting amendments to Rule that intends to delist and/or deregister 12d2–2 that will continue to require A. Introduction a class of securities from the listed exchanges seeking to delisting and/or The new amendments to Rule 12d2– exchange pursuant to Section 12(b) of deregister a class of securities to deliver 2 and Form 25 adopted by the the Exchange Act. Moreover, Form 25, 103 a copy of the Form 25 to the issuer. Commission today simplify the in addition to the exchange’s delisting Therefore, the hour burden estimate for deregistration and delisting determination, will serve as notice of an filing a Form 25 would remain one requirements under Section 12 of the exchange’s final action as required burden hour per form-the estimate Exchange Act. Rule 12d2–2 and Form under Section 19(d) of the Exchange includes filling out the Form 25 and 25 will require both national securities Act. providing notice to the issuer. exchanges and issuers seeking to delist C. Respondents Of those written applications filed by and deregister a class of securities to file national securities exchanges, 104 were the Form 25 with the Commission on The final rules apply to national filed to delist equity securities and 86 securities exchanges and issuers seeking EDGAR. The application to delist a class were filed to delist options. Rule 12d2– of securities on Form 25 will be to delist a class of securities from a 2 will exempt standardized options and national securities exchange and/or to effective 10 days after filing with the security futures products. The Commission. However, withdrawal from withdraw from registration a class of Commission estimates that the securities under Section 12(b) of the exemption for standardized options and Exchange Act. At the end of 2003, there filed on EDGAR will not change the amount of time security futures products will lower the required to complete Form 25. were nine national securities exchanges. total burden hours incurred by national 105 The Commission notes that exchanges may securities exchanges from 734 hours to need to amend their rules to comply with the 102 With regard to estimates under Rule 12d2–2, 104 requirements of Rule 12d2–2. Pursuant to Exchange the Commission Staff has changed the estimate of 648 hours. Act Rule 19b–4, any such amendments would need the total paperwork burden slightly due to a to be filed with the Commission as proposed rule miscalculation. The Commission stated in the 103 See Rule 12d2–2(b)(2). changes. However, this collection of information Proposing Release that the number of burden hours 104 None of the national securities exchanges would be collected pursuant to Exchange Rule 19b– per year is 851 hours. The actual number of burden currently use EDGAR to file Form 25. However, the 4 and therefore would not be an additional hours per year is 848 hours. Commission believes that requiring Form 25 to be collection of information for Rule 12d2–2.
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Section 12(b) registration obligations corresponding increase in the time administrative time burden associated will not be effective until 90 days after required for issuers to complete Form with delisting will likely be lower than the Form 25 is filed, or such shorter 25. The electronic format of the that of the current practice associated period of time that the Commission may information facilitates research and data with delistings. With respect to EDGAR require. In addition, the Commission analysis, and the use of EDGAR facilities, it is the Commission’s will no longer issue orders approving a facilitates more efficient storage, understanding that the national delisting. Instead, the revised Form 25 retrieval, and analysis of delisting securities exchanges already have with an attached national securities information. Quicker access to this EDGAR capabilities. In addition, the exchange delisting decision will information will not only facilitate costs associated with maintaining the constitute notice of an exchange’s final review of the information, but also technological facilities necessary to file action under Section 19(d) of the enhance the Commission’s ability to Form 25s on EDGAR should be Exchange Act. study and address issues that relate to insignificant. Rule 12d2–2 specifies the delisting this information. The requirement that an issuer that requirements with which national Rule 12d2–2 is intended to provide wishes to voluntarily delist represent on securities exchanges and issuers must clarity to both issuers and national Form 25 that it has taken the steps comply. First, each national securities securities exchanges. The requirement necessary to comply with applicable exchange must have adequate delisting that all national securities exchanges national securities exchange rules and rules relating to notification to the have specified rules relating to the has provided adequate notice to the issuer of a delisting, review and appeal delisting process should clarify the public, will impose costs on delisting of a national securities exchange’s issues that both issuers and national issuers in the form of the time delisting decision, and dissemination of securities exchanges must address associated with completing the Form 25. notice of a delisting. This provision before filing a Form 25. Requiring The Commission believes, however, that includes a requirement that the national issuers to certify that they have in fact issuers already bear this cost, as they are securities exchange give public notice of followed the necessary steps in the currently required to file a delisting its decision to delist a class of securities, delisting process should serve as a application with the Commission. In via a press release and posting on the reminder to delisting issuers of the fact, Rule 12d2–2 reduces cost to issuers national securities exchange’s Web site, necessary procedures, and provide the by eliminating the current delisting no fewer than 10 days before the public with adequate notice that a application format and replacing it with delisting on Form 25 becomes effective. delisting has been properly effected. the Form 25. Currently, delisting In addition, the exchange must In addition, Rule 12d2–2, by applications are not granted until the promptly deliver a copy of the exempting standardized options and Commission issues an order, which may application to the issuer. security futures products, eliminates the impose additional requirements on A delisting issuer must certify that it time national securities exchanges issuers; however, a delisting on the has complied with applicable delisting currently spend filing applications to Form 25 will be effective 10 days after rules of the national securities exchange delist these products. Rule 12d2–2 also it is filed with the Commission. In and applicable state laws, submitted promotes the comparable regulatory addition, currently, an issuer must file written notification to the applicable treatment of options and security reports under Section 13(a) until the national securities exchange of the futures. The exemption for standardized Commission issues its order to delist the issuer’s decision to delist at least 10 options and security futures also security. However, under the final Rule days before it files Form 25 and, provides clarity to market participants. amendments adopted today while the contemporaneously with such notice, C. Costs actual deregistration under Section has widely disseminated notice of the 12(b) would not occur generally until 90 delisting of its class of securities. Rule The Commission believes that the days later, an issuer’s duty to file reports 12d2–2 will exclude options and changes described above will streamline under Section 13(a) as a result of the securities futures from the delisting the delisting process and may result in Section 12(b) registration will be requirements. The Commission solicited a net reduction in the current costs suspended upon the effective date of the comments on the cost and benefit borne by issuers and national securities delisting. The Commission Staff analysis contained in the Proposing exchanges. The Commission does not estimates that the annual paperwork Release. In response, the Amex Letter expect any detrimental effects to cost to issuers will be $4,674 (57 hours stated that the Amex supports the investors as a result of the new × $82 per hour for an attorney).107 Commission’s efforts to provide amendments to Rule 12d2–2 and Form In addition, Rule 12d2–2 may impose increased transparency and efficiency to 25. costs on national securities exchanges. the delisting and deregistration The filing of Form 25 imposes costs The national securities exchanges may process.106 on national securities exchanges and incur a duty to codify or change their issuers. Rule 12d2–2 requires national rules. While most national securities B. Benefits securities exchanges and issuers to exchanges already have some of the Amendments to Rule 12d2–2, as spend time filling out Form 25s in delisting requirements as part of their adopted, will benefit issuers, national connection with a delisting. In addition, rules, some of the rules will need to be securities exchanges, and investors. The national securities exchanges who seek changed. For example, not all of the use of Form 25 for all delistings to delist and/or deregister a class of national securities exchanges currently provides a uniform method of delisting securities must promptly deliver a copy have in their rules specific procedures a class of securities. In addition, the use of the Form 25 to the issuer. National regarding notice to the issuer of the of EDGAR as a method of filing the securities exchanges may also incur national securities exchange’s decision Form 25 makes information contained costs associated with the maintenance to delist a class of securities. Therefore, in Commission filings easily available to of EDGAR capabilities. However, the issuers, national securities exchanges, Commission expects the Form 25 107 Security Industry Association’s Report on requirements to be less time consuming Management and Professional Earnings in the and the investing public, without any Securities Industry 2003 (the ‘‘2003 Report’’). than the method currently used to According to the 2003 Report, the hourly cost of an 106 See Amex Letter, supra note 19. initiate a delisting; therefore, the attorney is approximately $82.
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Rule 12d2–2 will likely impose, on Commission solicited and did not VIII. Statutory Authority and Text of some national securities exchanges, a receive any comments about the impact Final Rule cost associated with codifying the on small entities or the Regulatory Pursuant to the Exchange Act and 108 notification requirement. Flexibility Act certification. particularly Sections 3(b), 12(d), 23(a), Finally, Rule 12d2–2 could impose and 36 thereof, 15 U.S.C. 78c, 78l, and costs on national securities exchanges VII. Consideration of Impact on the 78w(a), the Commission is adopting relating to the review of delistings upon Economy, Burden on Competition, and amendments to § 232.101, § 240.12d2–2, appeal to the Commission. Currently, Promotion of Efficiency, Competition, § 240.19d–1, and Form 25 (referenced in any person aggrieved by a Commission and Capital Formation 17 CFR 249.25) of Chapter II of Title 17 action made by delegated authority may 112 Section 3(f) of the Exchange Act of the Code of Federal Regulations in seek Commission review of the action. requires the Commission, whenever it the manner set forth below. The Accordingly, when the Commission engages in rulemaking that requires it to Commission is also adopting the issues an order striking a class of consider or determine if an action is amendments to § 232.101 pursuant to securities from listing and registration necessary or appropriate in the public the Securities Act of 1933, and by delegated authority,109 an aggrieved interest, to consider if the action will particularly Sections 6, 7, 8, 10, and party may petition the Commission for promote efficiency, competition, and review of the delisting order. Thereafter, 19(a) thereof, 15 U.S.C. 77f, 77g, 77h, capital formation. Section 23(a)(2) of the 77j, and 77s(a). an aggrieved party may seek review in Exchange Act 113 requires the the U.S. Court of Appeals.110 Commission, in making rules under the List of Subjects Rule 12d2–2 will result in a review Exchange Act, to consider the impact 17 CFR Part 232 process similar to the delisting of that any such rule would have on Nasdaq securities, where an aggrieved competition. Section 23(a)(2) of the Administrative practice and party can appeal the National Exchange Act prohibits the Commission procedure, Confidential business Association of Securities Dealers’ from adopting any rule that would information, Reporting and (‘‘NASD’’) delisting decision to the impose a burden on competition not recordkeeping requirements, Securities. Commission as a denial of access, and necessary or appropriate in furtherance 17 CFR Part 240 the Commission must review the of the purposes of the Exchange Act. Issuers, Reporting and recordkeeping decision on a de novo basis. Under this In the Proposing Release, the requirements, Securities. process, the Commission requires the Commission solicited comments on the NASD to file a response to an appeal by effects of the amendments on burden on 17 CFR Part 249 the aggrieved party. The Commission’s competition and promotion of decision can be appealed to the U.S. Reporting and recordkeeping efficiency, competition, and capital requirements, Securities. Court of Appeals. formation. The Commission did not Rule 12d2–2 will require parties receive any comments that addressed Text of Final Rule aggrieved by a national securities these issues. exchange’s delisting decision to appeal I For the reasons set out in the preamble, The Commission believes that Rule the decision to the Commission before the Commission amends Title 17, 12d2–2 promotes efficiency by going to the U.S. Court of Appeals. A Chapter II of the Code of Federal streamlining the delisting and national securities exchange whose Regulations as follows. deregistration process. Rule 12d2–2 delisting decision was appealed would establishes one form that must be filled have to respond to an appeal, which PART 232—REGULATION S–T— out for all delistings, whether voluntary will require the national securities GENERAL RULES AND REGULATIONS or involuntary. The Form 25 informs the exchange to incur costs. Because the FOR ELECTRONIC FILINGS Commission and the public that a Commission is required to review I security previously traded on a national 1. The authority citation for part 232 petitions filed under Section 19(d) of securities exchange is no longer traded, continues to read in part as follows: the Exchange Act, aggrieved parties and enables the Commission to verify Authority: 15 U.S.C. 77f, 77g, 77h, 77j, could determine to avail themselves of that a delisting has occurred in 77s(a), 77sss(a), 78c(b), 78l, 78m, 78n, 78o(d), the Commission appeal process more accordance with the rules of the 78w(a), 78ll(d), 79t(a), 80a–8, 80a–29, 80a– frequently. Thus, national securities national securities exchange. 30, 80a–37, and 7201 et seq.; and 18 U.S.C. exchanges may have to respond more 1350. often to such appeals. Furthermore, the Commission expects that Rule 12d2–2, by exempting * * * * * VI. Regulatory Flexibility Act standardized options and security I 2. Section 232.101 is amended by: Certification futures products from Rule 12d–2, will I a. Removing the word ‘‘and’’ at the end The Commission has certified, promote the comparable regulatory of paragraph (a)(1)(ix); I b. Removing the period at the end of pursuant to 5 U.S.C. 605(b), that the treatment of options and security paragraph (a)(1)(x) and in its place amendments to Rule 12d2–2 and Form futures. The exemption for standardized options and security futures products adding ‘‘; and’’; 25 will not have a significant economic I would also provide clarity to market c. Adding paragraph (a)(1)(xi); impact on a substantial number of small I participants. d. Adding the word ‘‘and’’ at the end entities. This certification was set forth of paragraph (b)(7); 111 The Commission does not believe that in the Proposing Release. The I e. Removing ‘‘; and’’ at the end of Rule 12d2–2 will have any anti- paragraph (b)(8) and in its place adding 108 See supra note 105. competitive effects. The Commission is 109 a period; and 17 CFR 200.30–3(a)(1). also not aware of any impact on capital I 110 f. Removing paragraph (b)(9). 15 U.S.C. 78y. An aggrieved party must formation that will result from Rule The addition reads as follows: petition the Commission for review of action made 12d2–2. by delegated authority before seeking judicial review. 17 CFR 201.430(c). § 232.101 Mandated electronic 111 See Securities Exchange Act Release No. 112 15 U.S.C. 78c(f). submissions and exceptions. 49858 (June 15, 2004), 69 FR 34860 (June 22, 2004). 113 15 U.S.C. 78w(a)(2). (a) * * *
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(1) * * * governmental authority, the order shall for withdrawal from listing and/or (xi) Form 25 (§ 249.25 of this chapter). be final, all applicable appeal periods registration. * * * * * shall have expired, and no appeals shall (iii) Contemporaneous with providing be pending. written notice to the exchange of its PART 240—GENERAL RULES AND (b)(1) In cases not provided for in intent to withdraw a class of securities REGULATIONS, SECURITIES paragraph (a) of this section, a national from listing and/or registration, the EXCHANGE ACT OF 1934 securities exchange may file an issuer must publish notice of such application on Form 25 to strike a class intention, along with its reasons for I 3. The authority citation for part 240 of securities from listing and/or such withdrawal, via a press release continues to read in part as follows: withdraw the registration of such and, if it has a publicly accessible Web Authority: 15 U.S.C. 77c, 77d, 77g, 77j, securities, in accordance with its rules, site, posting such notice on that Web 77s, 77z–2, 77z–3, 77eee, 77ggg, 77nnn, if the rules of such exchange, at a site. Any notice provided on an issuer’s 77sss, 77ttt, 78c, 78d, 78e, 78f, 78g, 78i, 78j, minimum, provide for: Web site under this paragraph shall 78j–1, 78k, 78k–1, 78l, 78m, 78n, 78o, 78p, (i) Notice to the issuer of the remain available until the delisting on 78q, 78s, 78u–5, 78w, 78x, 78ll, 78mm, 79q, exchange’s decision to delist its Form 25 has become effective pursuant 79t, 80a–20, 80a–23, 80a–29, 80a–37, 80b–3, securities; to paragraph (d)(1) of this section. If the 80b–4, 80b–11, and 7201 et seq.; and 18 (ii) An opportunity for appeal to the U.S.C. 1350, unless otherwise noted. issuer has not arranged for listing and/ national securities exchange’s board of or registration on another national * * * * * directors, or to a committee designated securities exchange or for quotation of I 4. Section 240.12d2–2 is amended by: by the board; and its security in a quotation medium (as I a. Removing the authority citation (iii) Public notice of the national defined in § 240.15c2–11), then the following § 240.12d2–2; securities exchange’s final press release and posting on the Web I b. Adding a ‘‘Preliminary Note’’ before determination to remove the security site must contain this information. paragraph (a); from listing and/or registration, by (3) A national securities exchange, I c. Revising the introductory text of issuing a press release and posting that receives, pursuant to paragraph paragraph (a), paragraphs (a)(4), (b), (c), notice on its Web site. Public notice (c)(2)(ii) of this section, written notice (d), and (e); and under this paragraph shall be from an issuer that such issuer has I d. Removing paragraph (f). disseminated no fewer than 10 days determined to withdraw a class of The addition and revisions read as before the delisting becomes effective securities from listing and/or follows: pursuant to paragraph (d)(1) of this registration on such exchange, must § 240.12d2–2 Removal from listing and section, and must remain posted on its provide notice on its Web site of the registration. Web site until the delisting is effective. issuer’s intent to delist and/or withdraw Preliminary Notes: 1. The filing of the (2) A national securities exchange from registration its securities by the Form 25 (§ 249.25 of this chapter) by an must promptly deliver a copy of the next business day. Such notice must issuer relates solely to the withdrawal of a application on Form 25 to the issuer. remain posted on the exchange’s Web class of securities from listing on a national (c)(1) The issuer of a class of site until the delisting on Form 25 is securities exchange and/or from registration securities listed on a national securities effective pursuant to paragraph (d)(1) of under section 12(b) of the Act (15 U.S.C. exchange and/or registered under this section. 78l(b)), and shall not affect its obligation to section 12(b) of the Act may file an (d)(1) An application on Form 25 to be registered under section 12(g) of the Act application on Form 25 to notify the strike a class of securities from listing and/or reporting obligations under section 15(d) of the Act (15 U.S.C. 78o(d)). Commission of its withdrawal of such on a national securities exchange will be 2. Implementation. The rules of each securities from listing on such national effective 10 days after Form 25 is filed national securities exchange must be securities exchange and its intention to with the Commission. designed to meet the requirements of this withdraw the securities from (2) An application on Form 25 to section and must be operative no later than registration under section 12(b) of the withdraw the registration of a class of April 24, 2006. Each national securities Act. securities under section 12(b) of the Act exchange must submit to the Commission a (2) An issuer filing Form 25 under will be effective 90 days, or such shorter proposed rule change that complies with this paragraph must satisfy the period as the Commission may section 19(b) of the Act (15 U.S.C. 78s) and requirements in paragraph (c)(2) of this determine, after filing with the Rule 19b–4 (17 CFR 240.19b–4) thereunder, section and represent on the Form 25 Commission. and this section no later than October 24, (3) Notwithstanding paragraphs (d)(1) 2005. that such requirements have been met: (i) The issuer must comply with all and (d)(2) of this section, the (a) A national securities exchange applicable laws in effect in the state in Commission may, by written notice to must file with the Commission an which it is incorporated and with the the exchange and issuer, postpone the application on Form 25 (17 CFR 249.25) national securities exchange’s rules effectiveness of an application to delist to strike a class of securities from listing governing an issuer’s voluntary and/or to deregister to determine on a national securities exchange and/ withdrawal of a class of securities from whether the application on Form 25 to or registration under section 12(b) of the listing and/or registration. strike the security from registration Act within a reasonable time after the (ii) No fewer than 10 days before the under section 12(b) of the Act has been national securities exchange is reliably issuer files an application on Form 25 made in accordance with the rules of informed that any of the following with the Commission, the issuer must the exchange, or what terms should be conditions exist with respect to such a provide written notice to the national imposed by the Commission for the security: securities exchange of its determination protection of investors. * * * * * to withdraw the class of securities from (4) Notwithstanding paragraph (d)(2) (4) All rights pertaining to the entire listing and/or registration on such of this section, whenever the class of the security have been exchange. Such written notice must set Commission commences a proceeding extinguished; provided, however, that forth a description of the security against an issuer under section 12 of the where such an event occurs as a result involved, together with a statement of Act prior to the withdrawal of the of an order of a court or other all material facts relating to the reasons registration of a class of securities, such
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security will remain registered under (B) Suspended, terminated, or § 240.19d–1 Notices by self-regulatory section 12(b) of the Act until the final otherwise absent under section 12(g) of organizations of final disciplinary actions, decision of such proceeding or until the the Act. denials, bars, or limitations respecting Commission otherwise determines to membership, association, participation, or (ii) The reporting responsibilities of access to services, and summary suspend the effective date of, or revoke, an issuer under section 15(d) of the Act suspensions. the registration of a class of securities. shall continue until the issuer is (5) An issuer’s duty to file any reports * * * * * required to file reports under section (j) Notice of limitation or prohibition under section 13(a) of the Act (15 U.S.C. 13(a) of the Act or the issuer’s reporting 78m(a)) and the rules and regulations of access to services by delisting of responsibilities under section 15(d) of security. Any national securities thereunder solely because of such the Act are otherwise suspended. security’s registration under section exchange for which the Commission is 12(b) of the Act will be suspended upon (8) In the event removal is being the appropriate regulatory agency that the effective date for the delisting effected under paragraph (a)(3) of this delists a security pursuant to section pursuant to paragraph (d)(1) of this section and the national securities 12(d) of the Act (15 U.S.C. 78l(d)), and section. If, following the effective date exchange has admitted or intends to § 240.12d2–2 must file a notice with the of delisting on Form 25, the admit a successor security to trading Commission in accordance with Commission, an exchange, or an issuer under the temporary exemption paragraph (k) of this section. delays the withdrawal of a security’s provided for by § 240.12a–5, the (k) Contents of notice required by registration under section 12(b) of the effective date of the Form 25, as set forth paragraph (j) of this section. The Act, an issuer shall, within 60 days of in paragraph (d)(1) of this section, shall national securities exchange shall file such delay, file any reports that would not be earlier than the date the notice pursuant to paragraph (j) of this have been required under section 13(a) successor security is removed from its section on Form 25 (§ 249.25 of this of the Act and the rules and regulations exempt status. chapter). Form 25 shall serve as thereunder, had the Form 25 not been (e) The following are exempt from notification to the Commission of such filed. The issuer also shall timely file section 12(d) of the Act and the limitation or prohibition of access to any subsequent reports required under provisions of this section: services. The national securities section 13(a) of the Act for the duration exchange must attach a copy of its (1) Any standardized option, as of the delay. delisting determination to Form 25 and defined in § 240.9b–1, that is: (6) An issuer whose reporting file Form 25 with the attachment on responsibilities under section 13(a) of (i) Issued by a clearing agency EDGAR. the Act are suspended for a class of registered under section 17A of the Act securities under paragraph (d)(5) of this (15 U.S.C. 78q–1); and PART 249—FORMS, SECURITIES section is, nevertheless, required to file (ii) Traded on a national securities EXCHANGE ACT OF 1934 any reports that an issuer with such a exchange registered pursuant to section I class of securities registered under 6(a) of the Act (15 U.S.C. 78f(a)); and 6. The authority citation for part 249 section 12 of the Act would be required continues to read in part as follows: (2) Any security futures product that to file under section 13(a) of the Act if is: Authority: 15 U.S.C. 78a et seq. and 7201 such class of securities: et seq.; and 18 U.S.C. 1350, unless otherwise (i) Is registered under section 12(g) of (i) Traded on a national securities noted. the Act; or exchange registered under section 6(a) * * * * * (ii) Would be registered, or would be of the Act or on a national securities I 7. Section 249.25 and Form 25 are required to be registered, under section association registered pursuant to revised to read as follows: 12(g) of the Act but for the exemption section 15A(a) of the Act (15 U.S.C. from registration under section 12(g) of 78o–3(a)); and § 249.25 Form 25, for notification of the Act provided by section 12(g)(2)(A) (ii) Cleared by a clearing agency removal from listing and/or registration. of the Act. registered as a clearing agency pursuant This form shall be used by registered (7)(i) An issuer whose reporting to section 17A of the Act or is exempt national securities exchanges and responsibilities under section 13(a) of from registration under section issuers for notification of removal of a the Act are suspended under paragraph 17A(b)(7) of the Act. class of securities from listing on a (d)(5) of this section is, nevertheless, I 5. Section 240.19d–1 is amended by: national securities exchange and/or required to file any reports that would withdrawal of registration under section be required under section 15(d) of the I a. Removing the authority citation at 12(b) of the Act (15 U.S.C. 78l(b)). Act but for the fact that the reporting the end of § 240.19d–1; Note: The text of Form 25 does not, and obligations are: I b. Adding paragraph (j); and (A) Suspended for a class of securities this amendment will not, appear in the Code under paragraph (d)(5) of this section; I c. Adding paragraph (k). of Federal Regulations. and The additions read as follows: BILLING CODE 8010–01–P
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BILLING CODE 8010–01–C
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General Instructions 7. The issuer’s duty to file any reports terminated, or otherwise absent under 1. This form is required by Rule under Section 13(a) of the Exchange Act Section 12(g) of the Exchange Act. The 12d2–2 (17 CFR 240.12d2–2) of the and the rules and regulations reporting responsibilities of an issuer General Rules and Regulations under thereunder as a result of the security’s under Section 15(d) of the Exchange Act the Securities Exchange Act of 1934 registration under Section 12(b) of the shall continue until the issuer is (‘‘Exchange Act’’). Exchange Act shall be suspended upon required to file reports under Section 2. Exchanges: Attach the delisting the effective date of the delisting. If, 13(a) of the Exchange Act or the issuer’s determination to this Form 25 to serve following the effective date of delisting, reporting responsibilities under Section as the required Notice pursuant to the withdrawal of registration under 15(d) are otherwise suspended. Exchange Act Rule 19d–1 (17 CFR Section 12(b) is delayed by the 10. Issuers should determine if they 240.19d–1). Form 25 and the attached Commission, an exchange, or an issuer, have additional registration and Notice will be considered compliance the issuer shall, within 60 days of such reporting requirements under Section with the provisions of Rule 19d–1 as delay, file any reports that would have 12(g) of the Exchange Act and reporting applicable. been required under Section 13(a) and obligations pursuant to Section 15(d) of 3. The Form 25 and any attachments the rules and regulations thereunder, the Exchange Act upon the filing of must be filed electronically on the had the Form 25 not been filed. The Form 25. EDGAR database. issuer will also file any subsequent 11. In any case where the Commission 4. The removal of the class of reports required under Section 13(a) for has commenced a proceeding under securities from listing on the exchange the duration of the delay. Section 12 of the Exchange Act prior to shall be effective 10 days after filing the 8. An issuer whose reporting the withdrawal of the registration of a Form 25. With respect to the filing of responsibilities under Section 13(a) of class of securities becoming effective, any amendment to Form 25, the removal the Exchange Act are suspended for a such security will remain registered of the class of securities from listing on class of securities under Rule 12d2– under Section 12(b) of the Exchange Act the exchange shall be effective 10 days 2(d)(5) is, nevertheless, required to file until the final decision of such after filing the amended Form 25. any reports that an issuer with such a proceeding, or until the Commission 5. The withdrawal of registration of a class of securities registered under otherwise determines to suspend the class of securities registered under Section 12 of the Exchange Act would effective date of, or revoke, the Section 12(b) of the Exchange Act shall be required to file under Section 13(a) registration of a class of securities. take effect in 90 days, or such shorter if such class of securities: (a) is 12. In the event removal is being period as the Commission may registered under Section 12(g) of the effected under Rule 12d2–2(a)(3) and determine, after the exchange or issuer Exchange Act; or (b) would be the national securities exchange has files a Form 25 with the Commission. registered, or would be required to be admitted or intends to admit a successor With respect to the filing of any registered, under Section 12(g) of the security to trading under the temporary amendment to Form 25, the withdrawal Exchange Act but for the exemption exemption provided for by Exchange of registration of a class of securities from registration under Section 12(g) Act Rule 12a–5 (17 CFR 240.12a–5) the registered under Section 12(b) shall take provided by Section 12(g)(2)(A) of the Form 25 shall be filed with the effect in 90 days, or such shorter period Exchange Act. Commission in a manner that ensures as the Commission may determine, after 9. An issuer whose reporting that the delisting does not become the exchange or issuer files the amended responsibilities under Section 13(a) of effective until the successor security is Form 25. the Exchange Act are suspended under removed from its exempt status. 6. For purposes of Section 12 of the Rule 12d2–2(d)(5) is, nevertheless, Dated: July 14, 2005. Exchange Act, a class of securities shall required to file any reports that would no longer be considered listed on a be required under Section 15(d) of the By the Commission. national securities exchange upon the Exchange Act but for the fact that the J. Lynn Taylor, effective date of delisting even though reporting obligations are: (a) Suspended Assistant Secretary. the withdrawal of registration is for a class of securities under Rule [FR Doc. 05–14229 Filed 7–21–05; 8:45 am] effective at a later time. 12d2–2(d)(5); and (b) suspended, BILLING CODE 8010–01–P
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Part IV
Department of Labor Employment and Training Administration
20 CFR Part 604 Unemployment Compensation—Eligibility; Proposed Rule
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DEPARTMENT OF LABOR Avenue, NW., Room S–4231, Department deemed the individual to Washington, DC 20210. Copies of the meet the A&A requirement—such as Employment and Training proposed rule are available in alternate temporary lay-offs—were viewed by Administration formats of large print and electronic file others as ‘‘exceptions’’ to the A&A on computer disk, which may be requirement. As another example, some 20 CFR Part 604 obtained at the above-stated address. viewed an active work search as a RIN 1205–AB41 The proposed rule is also available at necessary component of the A&A the Web address http:// requirement, whereas the Department Unemployment Compensation— www.workforcesecurity.doleta.gov. does not share this view. Eligibility FOR FURTHER INFORMATION CONTACT: As a result of this confusion, the Department has determined that there is AGENCY: Gerard Hildebrand, Office of Workforce Employment and Training a need to adopt a regulation that clearly Administration, Labor. Security, ETA, U.S. Department of Labor, 200 Constitution Avenue, NW., sets forth its interpretation of the A&A ACTION: Notice of proposed rulemaking Room C–4518, Washington, DC 20210. requirement. This proposed rule also (NPRM); request for comments. Telephone: (202) 693–3038 (voice) (this sets forth the requirement that aliens must meet A&A requirements to receive SUMMARY: The Department of Labor is not a toll-free number); 1–800–326– UC. This rule does not regulate other (Department) is proposing this rule to 2577 (TDD); facsimile: (202) 693–2874; areas of the UC program, such as implement the requirements of the e-mail: [email protected]. monetary entitlement or Social Security Act (SSA) and the SUPPLEMENTARY INFORMATION: disqualifications for such actions as Federal Unemployment Tax Act (FUTA) Background voluntarily quitting employment. This that limit a state’s payment of rule also does not address federal labor unemployment compensation (UC) only The Department and its predecessors laws (such as minimum wage or to individuals who are able and (the Social Security Board and the overtime laws) or disability available (A&A) for work. This rule Federal Security Agency) have nondiscrimination laws (such as the would apply to all state UC laws and consistently interpreted provisions of Section 504 of the Rehabilitation Act of programs. federal UC law, contained in the SSA and the FUTA, to require that 1973). COMMENT DATE: Written comments must individuals must be A&A for work to be Basis for the A&A Requirement be submitted on or before September 20, eligible for UC. Although this 2005. interpretation is longstanding, it has As noted above, the Department and ADDRESSES: You may submit written never been comprehensively addressed its predecessors have interpreted and comments on the proposed rule (please in a rule in the Code of Federal enforced federal A&A requirements identify this proposed rule by Regulations (CFR). since the inception of the federal-state Regulatory Information Number (RIN) The A&A requirement is implicit in UC program. Although no A&A 1205–AB41) by any of the following the structure and purpose of the SSA requirements are explicitly stated in methods: and the FUTA, and Congress has federal law, the Department and its • Federal e-Rulemaking Portal: http:/ repeatedly adopted, acquiesced in, and predecessors interpreted five provisions /www.regulations.gov. Follow the relied on the Department’s of federal UC law, contained in the SSA instructions for submitting comments. interpretation that federal UC law and FUTA, as requiring that states • Comments may be mailed or includes an A&A requirement. condition the payment of UC upon a delivered to Cheryl Atkinson, Nevertheless, because the A&A claimant being able to and available for Administrator, Office of Workforce requirement is not explicitly stated in work. Two of these provisions, at Security, Employment and Training federal law or the CFR, there appears to Section 3304(a)(4), FUTA, (26 U.S.C. Administration, U.S. Department of be some confusion regarding the 3304(a)(4)) and Section 303(a)(5), SSA, Labor, 200 Constitution Avenue, NW., validity of the A&A requirement as well (42 U.S.C. 503(a)(5)) with specific Room S–4231, Washington, DC 20210. as its scope and application. exceptions, limit withdrawals from a • Comments may be submitted This confusion became especially state’s unemployment fund to the electronically to the Office of Workforce clear in rulemakings that created and payment of ‘‘compensation.’’ Section Security at the e-mail address: then removed the Birth and Adoption 3306(h), FUTA, (26 U.S.C. 3306(h)) [email protected]. Receipt of UC (BAA–UC) regulation. (See 65 FR defines ‘‘compensation’’ as ‘‘cash submissions, whether by U.S. mail, 37210 (June 13, 2000) for the final BAA– benefits payable to individuals with other delivery, or e-mail, will not be UC rule and 68 FR 58540 (October 9, respect to their unemployment.’’ The acknowledged. 2003) for the final rule removing the A&A requirements provide a federal test Instructions: all submissions received BAA–UC rule.) After promulgating the of an individual’s continuing must include the agency name and the BAA–UC rule as an interpretation of the ‘‘unemployment.’’ (The meaning of RIN for this rulemaking: RIN 1205– A&A requirement, the Department ‘‘unemployment’’ in this statutory AB41. If commenters transmit subsequently determined that the BAA– framework is discussed below.) Two comments by Fax or through the UC rule was contrary to the A&A other provisions, found in Section Internet and also submit a hard copy by requirement. In both rulemakings, 3304(a)(1), FUTA, (26 U.S.C. 3304(a)(1)) mail, please indicate that it is a commenters argued that there are no and Section 303(a)(2), SSA, (42 U.S.C. duplicate copy of the Fax or Internet specific A&A requirements set out in 503(a)(2)) require that compensation ‘‘be transmission. federal law and that Congress expressly paid through public employment All comments will be available for rejected A&A requirements. In the offices.’’ The requirement that UC be public inspection and copying during course of these rulemakings, it also paid through the public employment normal business hours at the Office of became clear that misconceptions system (the purpose of which is to find Workforce Security, Employment and existed about the application and scope people jobs) ties the payment of UC to Training Administration, U.S. of the federal A&A requirement. For both an individual’s ability to work and Department of Labor, 200 Constitution example, some situations where the availability for work. These A&A
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requirements serve, in effect, to limit UC a woman merely because she was assistance through public employment, are eligibility. pregnant, but the woman nevertheless obviously without reasonable basis if applied The experience rating requirements at would need to be A&A as a condition to payments to disabled individuals [whose impairments render them totally unable to Section 3303(a), FUTA, 26 U.S.C. of eligibility. 1 3303(a)), are also tied to the test of work]. Many of the standards contained [in When Congress first enacted a the experience rating provisions] are involuntary unemployment due to lack provision requiring the reduction of UC similarly without reasonable basis if applied of work. Experience rating was due to receipt of retirement pay (Section to a State law for the payment of disability originally established to ensure an 3304(a)(15), FUTA), it explained that it compensation [under these circumstances]. equitable distribution among employers was establishing a ‘‘uniform rule’’ to For these reasons, the Board is of the of the cost of the system, and to address the fact that some recipients of opinion that the [UC titles of the SSA] are encourage employers to stabilize their retirement payments ‘‘have actually applicable solely to State laws for the work forces. (‘‘Credits’’ will be provided withdrawn from the labor force,’’ that is, payment of compensation to individuals who ‘‘in the form of lower contribution rates are not A&A. (S. Rep No. 1265, 94th are able to work and are unemployed by reason of lack of work. [Emphasis added.] * * * to employers who have stabilized Cong. 2d Sess. 22 (1976).) In seeking to their employment.’’ (S. Rep. 628, 74th remedy this problem, Congress The ‘‘legislative history’’ cited in this Cong. 1st Sess. 1935 Page 14.)) Under an demonstrated its continuing resolve that letter included Congressional experience rating system approved individuals be A&A as a condition of Committee Reports asserting that: under Section 3303(a), FUTA, an UC eligibility. The essential idea in unemployment employer who lays off fewer workers In 1993, Congress required that states compensation * * * is the accumulation of will generally pay lower contributions refer individuals likely to exhaust UC to reserves in time of employment from which (used to fund benefits) than an employer reemployment services and deny UC to partial compensation may be paid to workers who lays off more workers. If not for the individuals who failed to participate in who become unemployed and are unable to A&A requirement, the intent of these services. (Sections 303(a)(10) and find work. * * * In normal times it will enable most workers who lose their jobs to experience rating would be negated (j), SSA.) This requirement reflected since benefits could be based on an tide themselves over, until they get back to Congress’ interest in helping UC their old work or find other employment individual’s own actions without regard claimants get back to work, especially without having to resort to relief. [H. Rep. to an employer’s attempt to stabilize those expected to have the hardest time 615, 74th Cong. 1st Sess. 1935 Page 7.] employment by offering suitable work to returning to work quickly, and its The essential idea in unemployment its current and former employees. willingness to deny UC to those compensation is the creation of reserves In enactments following the original individuals unwilling to take positive during periods of employment from which SSA, Congress has acted several times to steps toward reemployment. Providing compensation is paid to workmen who lose reaffirm that UC is payable only to reemployment services to individuals their positions when employment slackens individuals who are able and available and who cannot find other work. who are not able or willing to accept Unemployment compensation differs from for work. In 1946, Congress amended employment (that is, who are not A&A) the SSA and FUTA to permit states to relief in that payments are made as a matter would waste resources while denying of right, not on a needs basis, but only while withdraw certain employee reemployment services to others who the worker is involuntarily unemployed. contributions from their unemployment could benefit. * * * Payment of compensation is funds for the payment of ‘‘cash benefits The Social Security Board, the conditioned upon continued involuntary with respect to * * * disability.’’ original administrator of the Federal- unemployment. Beneficiaries must accept (Current Sections 303(a)(5), SSA, and State UC program, adopted the federal suitable employment offered them or they 3304(a)(4)(A), FUTA.) Because A&A requirements contemporaneously lose their right to compensation. [S. Rep. 628, individuals whose disabilities render with the passage of the original Social 74th Cong. 1st Sess. 1935 Page 11.] them completely unable to work do not For the great bulk of industrial workers Security Act of 1935. The basis for the unemployment compensation will mean meet the ‘‘able’’ requirements, Congress federal A&A requirements was determined that explicit statutory security during the period following summarized in a March 11, 1939, letter unemployment while they are seeking authority was necessary to permit from the Chair of the Social Security another job, or are waiting to return to their payment of cash benefits from state Board to the Governor of California, old position. [Id. Page 12.] unemployment funds to such concerning whether the state could use individuals and, even then Congress As illustrated by this history, the UC its unemployment fund to pay benefits program is designed to provide limited this authority to withdrawals of for temporary disability: employee contributions. These temporary wage insurance for individuals would not otherwise be The entire legislative history [of the UC individuals who are unemployed due to entitled to such cash benefits because titles of the original SSA] including the lack of suitable work. An individual they are not unemployed due to a lack Report to the President of the Committee on must be able to accept an offer of Economic Security, the report of the House suitable work, must be available to of suitable work; rather they are Committee on Ways and Means, the report of unemployed because the severity of accept that work offer and must not the Senate Committee on Finance, and the refuse suitable work if offered to be their disabilities prevents them from Congressional debates all indicate, either working. expressly or by implication, the eligible for UC. The federal A&A When Congress passed a federal compensation contemplated under [these requirements implement this design by prohibition on denying UC solely due to titles] is compensation to individuals who testing whether the fact that an pregnancy (Section 3304(a)(12), FUTA), are able to work but are unemployed by it noted that an individual must be reason of lack of work. Several provisions of 1 The term ‘‘disabled’’ as it was used in this letter those titles are meaningful only if applied to presumed a total disability that rendered the ‘‘able to work * * * and be available for individual completely unable to perform any work. employment’’ (H. Rep. No. 752, 91st State laws for the payment of such compensation. For example, the requirement In current nondiscrimination law, the presumption Cong. 2d Sess. Page 19 (1970)) and that that compensation be paid through public is that an individual with a disability is able to pregnant workers must continue to meet work and, indeed, should be encouraged to work. employment offices, or the requirement that The effect, if any, of an individual’s disability on the ‘‘availability for work and ability to States make [certain information] available to his or her ability to work and availability for work work’’ requirements. (Id. at 21.) Simply agencies of the United States charged with for UC purposes must be determined on a case-by- put, a state could no longer deny UC to the administration of public works or case basis.
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individual did not work for any week ESM.) Although the A&A requirements insignificant amount of work. Ordinarily, for was involuntary due to the described in the ESM were never example, a concert pianist in a rural area who unavailability of suitable work. formally promulgated as regulations limits his availability to concert work in that The legislative history quoted above governing the basic federal-state area is not available for enough suitable work indicates that eligibility for UC is not program, they have been codified as to meet the requirement. [Emphasis added. U.S. Department of Labor, Bureau of based on the individual’s personal need, appendices to the regulations governing Employment Security, Unemployment except to the extent that his/her ‘‘need’’ federal UC programs. (See 20 CFR 614, Insurance Legislative Policy— is created by lack of suitable work. The Appendix A (the UC program for former Recommendations for State Legislation 1962 legislative history also establishes a link military personnel (UCX)); 20 CFR 625, (October 1962).] between the public works programs in Appendix A (Disaster Unemployment Section-by-Section Description of existence in 1935 and the UC program Assistance (DUA)); and 20 CFR 617, Proposed Rule that bears on the A&A requirements. As Appendix A (Trade Adjustment noted in the Social Security Board’s Assistance (TAA)). They are also made Section 604.1, Purpose and Scope applicable to the Unemployment contemporaneous interpretation, an This proposed section sets forth the SSA provision (Section 303(a)(7)) Compensation for former Federal Civilian Employees (UCFE) program by purpose and scope of the proposed rule, requires that states make the name, which is to implement the requirements address, ordinary occupation, and 20 CFR 609.5(c). The UCFE and UCX programs provide that ‘‘compensation of federal UC law that limit a state’s employment status of UC recipients payment of UC only to individuals who available to agencies of the United will be paid by the State to a Federal employee * * * subject to the same are able to work and who are available States charged with the administration for work. The regulation applies to all of public works or assistance through conditions as the compensation which would be payable * * * under the state UC laws and programs. It does not, public employment. This requirement is by its terms, apply to the federal predicated upon the understanding that unemployment compensation law of the State * * *.’’ 5 U.S.C. 8502(b). Further, unemployment compensation programs UC recipients must be out of work due mentioned above. However, those to lack of available work. It would make the TAA program provides that the ‘‘availability and disqualification federal programs, as noted above, follow no sense to refer an individual, for state requirements with respect to A&A, whom work was available, to a public provisions’’ of the state UC law apply to trade readjustment allowances (cash and those state requirements would works program, which should be the need to meet the minimum employer of last resort. Senator Wagner, benefits in the nature of UC), except where inconsistent with the Trade Act requirements established by this who introduced the SSA in the Senate, rulemaking. described the relationship between the or the Secretary’s regulations. 19 U.S.C. proposed UC program and the 2294. Section 604.2, Definitions government’s public works programs (as The Department made the A&A requirements of the ESM applicable to This proposed section provides well as public employment offices) as definitions which apply to the proposed follows in the floor debate on the SSA: the federal UCFE, UCX, and TAA programs because those programs are rule. In general, these are the same [Unemployment insurance] is not designed required to apply state law regarding definitions as used in other federal to supplant, but rather to supplement the regulations pertaining to UC. public-works projects which must absorb the eligibility for UC, and the Department bulk of persons who may be disinherited for has in turn always taken the position Section 604.3, Able and Available long periods of time by private industry. that federal law requires state UC Requirement—General Principles programs to have A&A requirements. * * * A provision in the present bill requires This proposed section sets forth the that the Federal tax rebate shall be used to Further, although the statute (42 U.S.C. Department’s general interpretation encourage a close connection between State 5177) creating the DUA program did not concerning the A&A requirements. It job-insurance laws and unemployment- include any requirement to follow state provides that a state may pay UC only exchange offices. This provision emphasizes law, the Department imposed the ESM’s to an individual who is unemployed the fact that the [monetary] relief of existent A&A requirements on that program in unemployment is but a subordinate phase of due to a lack of suitable work for the the belief that the A&A requirements are the main task of providing work for all who week for which UC is claimed. To test such a fundamental part of any are strong and willing. [79 Cong. Rec. 9284 whether the individual is unemployed unemployment compensation program (June 14, 1934).] due to a lack of suitable work for such that it could not truly be an Senator Wagner’s remarks week, the state must ensure the unemployment compensation program demonstrate that Congress intended the individual is A&A. without an A&A requirement. Thus, like UC system to be subordinate to the main The proposed section goes on to Congress, the Department, by task of getting people back to work. The provide that whether an individual is incorporating the ESM’s A&A A&A requirement is integral to this able to work and available for work will requirements into federal UC programs, purpose. be tested by determining whether that has long recognized the A&A As noted above, the Department and individual is offering services for which requirement to be an essential part of its predecessors have long interpreted a labor market exists. This does not the UC program. federal law to require that individuals The Department has also stated that mean that job vacancies must exist, only be A&A. That longstanding whether a claimant is available for work that, at a minimum, the type of services interpretation is reflected in the should be determined by whether there the individual is able and available to Employment Security Manual (ESM), is a labor market for his or her services: perform is generally performed in the which was first issued to the states labor market. This ‘‘labor market test’’ is about 1950 and interprets federal law to The availability requirement means that designed to ensure that an individual’s require that ‘‘a state law provide for the claimant must be available for suitable unemployment is due to a lack of work which is ordinarily performed in his * * * the payment of benefits only to chosen locality in sufficient amount to suitable work. That is, if the services individuals who are unemployed and constitute a substantial labor market for his offered by an individual are so restricted who are able to work and available for services. A claimant does not satisfy the that there is no labor market for those work.’’ (See part V, section 5000 B, requirement by being available for an services, then that individual is not able
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and available, and is not unemployed employment are outside the scope of withdrawn from the work force, and due to a lack of suitable work. Rather, this rule. What the rule does test is must be held ineligible if he or she the individual is unemployed because whether an individual is able to work refuses suitable work offered during the of those restrictions. Those restrictions and available for work for the week for illness. on services could be for any number of which UC is claimed. Section 604.5, Application—Availability reasons, such as hours of availability, An example may help explain how for Work limitations on the distance the the separation provisions of state law, individual is willing to commute, or such as voluntary leaving provisions, This proposed section provides for what types of jobs the claimant is are distinct from the A&A requirements. application of the available for work willing to accept. Assume an individual left work to care requirement. Proposed paragraph (a)(1) For example, if an individual limits for an ill child. Whether to disqualify provides that an individual may be his or her availability only to evening this individual for voluntarily leaving considered available under the state UC hours, the test of availability is whether employment is entirely left to state law. law if the individual is available for any there is a labor market for the However, if the state does not disqualify work for all or a portion of the week individual’s services given these the individual for voluntarily leaving claimed, provided that any limitation restrictions. Similarly, if, for reasons employment, the individual must still placed by the individual on his or her such as the need to care for parents or be A&A to be eligible for UC. If caring availability does not constitute a a child, an individual limits his or her for the ill child prevents the individual withdrawal from the labor market. An availability only to part-time work in from being available for a new job, the individual may, under this proposed certain occupations, the test of individual will be held ineligible for not paragraph, limit his or her availability to availability is whether there is a labor meeting the state’s A&A requirements part-time work, provided this limitation market for part-time work in those because the individual is not does not constitute a withdrawal from occupations. If there is a market, the involuntarily unemployed due to lack of the labor market. In this case, the State may regard the individual as suitable work. However, after the child individual is available for some meeting the availability test. If there is no longer needs care and the individual employment, which is the minimum not, the individual must be denied. In becomes available for work, the federal requirement. States may craft sum, while individuals are not expected individual may immediately commence additional stipulations on any part-time to be available for all work to be eligible collecting UC. availability requirement they may create for UC, they may not impose restrictions In this regard, the Department stresses as long as such stipulations are that effectively remove them from the that the proposed regulation places consistent with other applicable Federal labor market. minimum requirements on states. It laws. For example, a state may require The same principle applies with does not prohibit states from imposing the worker to have had previous part- respect to the ‘‘able to work’’ more stringent A&A tests, assuming that time work in the base period, or limit requirement: a state may find that an these tests are consistent with other its part-time provision to individuals individual with one or more disabilities applicable Federal laws. who can work only part-time due to is ‘‘able’’ to work if there are jobs in the disability. Section 604.4, Application—Ability To individual’s labor market that the Proposed paragraph (a)(2) takes into Work individual can perform with reasonable account that, since the A&A accommodation. Proposed paragraph (a) provides that requirement tests whether an individual Under the proposal, states retain the an individual may be considered able to is unemployed due to a lack of suitable authority to determine what constitutes work under the state UC law if the work, a state may find an individual to the labor market for an individual under individual is able to work for all or a be available when the individual limits their UC laws. States already have well portion of the week claimed, provided his or her availability to suitable work established laws concerning the labor that any limitation on his or her ability as defined under state UC law. market, and the regulation is not to work does not constitute a Limitations on what constitutes suitable intended to disturb this. Generally, withdrawal from the labor market. An work for an individual are treated the states look at local labor markets, but in individual may, under this proposed same as any other restriction that might some cases, due to telecommuting, it is paragraph, be able to work only part- be imposed on the services an possible for individuals to be time, provided this limitation does not individual offers in the labor market. As legitimately attached to the labor force constitute a withdrawal from the labor a result, the concept of suitable work is even though they will not relocate and market. In this case, the individual is flexible—generally, the longer an their employment opportunities are able to perform some work, which is the individual is unemployed, the more outside the local area. As a result, the minimum federal requirement. types of work will be considered rule would permit states to consider Proposed paragraph (b) provides for suitable for the individual. such individuals to be available for the treatment of individuals who The proposed paragraph provides that work. initially meet the A&A requirements, an individual may be considered to be The proposed section also clarifies but who later refuse suitable work available for work if the individual how the A&A requirement relates to the because of illness. These individuals limits his/her availability to ‘‘suitable individual’s initial separation from the may, at a state’s option, be found work’’ as defined under a state’s UC labor market. It does not look to why the eligible for the period before they refuse law, provided such limitation does not individual was separated from suitable work. The reasoning behind constitute a withdrawal from the labor employment, except to the extent that this is that, until work is refused, the market. Generally, suitable work the individual may not have been A&A unemployment is due to lack of work, involves a determination of whether the for the week of the separation. Thus, which is what the A&A requirements work for which the individual is there is no Federal requirement that the are designed to test. The A&A available is consistent with the initial separation be involuntary for an requirements are preserved because the individual’s education and training, individual to be eligible for UC. As a individual must initially demonstrate whether the job is in the local labor result, state eligibility requirements ability and availability before the market (usually measured by the concerning voluntarily leaving illness, cannot have voluntarily distance or time of commute from the
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individual’s home to the worksite) and demonstrate availability before being any week because he is in training with the individual’s previous work history called for jury duty and because while the approval of the State agency (or (which may include factors such as serving on the jury the individual is no because of the application, to any such occupation, pay and fringe benefits), less available for work than he or she week in training, of State law provisions and how long the individual has been would have been if required to serve relating to availability for work, active unemployed. while employed. Attendance at jury search for work, or refusal to accept As noted, the proposed paragraph duty may be taken as evidence that the work).’’ The proposed paragraph provides that the limitation to suitable individual continues to be available for provides that an individual may not be work may in some circumstances work. This exception does not apply to denied UC for failure to be available for constitute a withdrawal from the labor individuals who are employed but a week if, during such week, the market. Such a withdrawal could unable to go to work because of jury individual is in training with the happen if, for example, the individual’s duty. Nor does this exception apply to approval of the state agency. Since availability is limited to his or her an individual who is laid-off from failure to attend or participate in traditional occupation and to the local employment to attend jury. These approved training may mean the labor market. If that occupation no individuals have not previously individual is no longer interested in longer exists in the local labor market, established availability and the maintaining an attachment to the labor then, in this case, the individual cannot unemployment is not due to a lack of market, the paragraph goes on to be said to be available for work. The suitable work, but instead, absence from provide that if the individual fails to expectation is that, prior to denying any work due to the call for jury duty. We attend or participate in training during individual, the state would first advise note that other state laws may provide a week, then the state must evaluate the the individual that because such work is employment protections for individuals individual’s eligibility under its A&A no longer available in the local labor called to jury duty. This regulation is provisions. market, such a limited availability is not meant to supersede or alter those The proposed rule does not otherwise unacceptable and the individual should laws or their interpretation. implement the requirements of Section expand his or her availability to jobs for This proposed paragraph is also 3304(a)(8), FUTA, because those which a labor market exists. consistent with Congress’s treatment of requirements are beyond the scope of Proposed paragraph (a)(3) provides jury duty in the Federal-State Extended this rule. What types of training will be that an individual on temporary lay-off Unemployment Compensation Act approved continues to be left to the from an employer may limit his or her (EUCA) of 1970, which provides that individual states, although the availability to that employer. What extended benefits shall not be denied to Department encourages states to constitutes a ‘‘temporary’’ lay-off will be an individual during a week in which consider approving training under the determined under state law. (Typically, s/he fails to actively engage in seeking Workforce Investment Act, Public Law the employer must advise the state UC work if the individual has been 105–220 (29 U.S.C. 2801 et seq.) While agency of when the employee is summoned to appear for jury duty states may not deny individuals who are expected to return to work, and the state before any court of the United States or actually ‘‘in’’ (that is, attending) state agency uses this response in any state for that week if such approved training under their determining, under its law, whether the exemption applies to recipients of availability provisions, states remain lay-off is temporary.) An individual on regular benefits. (Section 202(a)(3)(A) of free to otherwise determine what temporary lay-off must be available to Pub. L. 91–373, as amended.) constitutes being ‘‘in training.’’ For work for the employer who laid-off the An individual summoned to jury duty example, states may consider an individual as soon as the employer is available in the same sense that an individual to be ‘‘in’’ training during again offers work to the individual. employee is available for work; that is, breaks in training. If, however, an While this limits an individual’s the individual would be available but individual fails to attend or otherwise availability for work to only one for the fact that the court summoned participate in such training, the employer, it is nonetheless a test of him or her to jury duty. This application proposed rule requires states to whether the unemployment is due to of the availability requirement determine whether the reason for non- lack of suitable work. Indeed, payment recognizes that it is unreasonable to attendance or non-participation of UC to individuals on temporary lay- deny UC to an individual who has indicates the individual is not able to off allows employers to preserve their initially met the availability work or is not available for work. skilled workforces, which has been requirement because of a governmental Section 236(d) of the Trade Act of cited as one of the purposes of the UC compulsion to serve on a jury. 1974, as amended, prohibits a state from program. It also reflects a practical Finally, if the individual does not denying UC to a worker ‘‘in’’ TAA- reality: Most other employers are appear as required by the jury approved training ‘‘because of the unlikely to hire an individual on summons, the proposed paragraph application’’ of ‘‘provisions of State law temporary lay-off because that would provide that the state must or Federal unemployment insurance law individual will leave any new determine if the reason for non- relating to availability for work, active employment to return to the prior appearance indicates that the individual search for work, or refusal to accept employment. is not able to work or is not available for work.’’ This rule does not address this Proposed paragraph (b) provides that work. provision because it is already an unemployed individual, who is Proposed paragraph (c) addresses a implemented by TAA rules at 20 CFR appearing for jury duty before any court specific case in which UC may not be 617.18(b)(i). under a lawfully issued summons, may, denied due to the application of the Proposed paragraph (d) addresses the if the state UC law so provides, be availability requirement. It implements treatment of availability for purposes of considered to be available, provided Section 3304(a)(8), FUTA, with respect the Self-Employment Assistance (SEA) that, prior to any required appearance at to its ban on applying availability program under Section 3306(t)(2), such court, the individual demonstrated provisions to individuals who are in FUTA. That section provides that ‘‘State that s/he was available for work. The state-approved training. Specifically, requirements relating to availability for availability requirement still applies this section of FUTA provides that UC work, active search for work, and because the individual must initially ‘‘shall not be denied to an individual for refusals to accept work are not
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applicable to such individuals * * * and Work Opportunity Reconciliation conforms to the federal requirements. long as such individual meet the Act of 1996, which limits the eligibility ‘‘Conformity,’’ unlike ‘‘compliance,’’ is requirements’’ for the SEA program. of aliens for public benefits, including not preceded by the adjective Thus, the rule provides that individuals UC, based upon their alien status. Since ‘‘substantial,’’ meaning that a state law who meet SEA program requirements it does not govern the ability or must conform with the federal may not be denied UC because they are availability of aliens for work, it is requirements without qualification. not available for work. The proposed beyond the scope of this rulemaking. This proposed section provides that rule does not otherwise implement the However, states will need to take the requirements of the rule are SEA provisions of federal UC law. account of the provisions of Title IV in requirements for purposes of conformity Proposed paragraph (e) addresses the determining the eligibility of aliens for and substantial compliance. It also sets treatment of availability for purposes of UC. forth how the Department of Labor short-time compensation (STC) Proposed paragraph (g) clarifies the would determine and enforce programs described by Section 401 of relationship between the availability conformity and substantial compliance Public Law 102–318. In STC (or requirement and the requirement, found with the A&A requirements of Title III ‘‘worksharing’’) programs, the in almost every state law, that the of the SSA and the FUTA. The employees of a company may work a individual conduct an active search for procedures in 20 CFR 601.5 would reduced workweek in lieu of some of work. It provides that an active work apply, meaning that if any issue the employees being totally laid-off so search is not required by the rule, involving conformity and substantial long as certain conditions are met. The although a state may require an compliance arose, the Department proposed paragraph recognizes that, individual to be actively seeking work would generally first hold informal under the STC legislation, individuals to be considered available for work, or discussions with state officials. Should working a reduced work week are not impose a separate requirement that the informal discussions fail to resolve the required to meet a state UC law’s individual must actively seek work. issue, the Department would offer the availability requirement, but instead An active search for work is not a state UC agency an opportunity for a may be required to be available only for necessary component of availability and hearing. If the Secretary of Labor were his/her regular work week. The is not, therefore, a federal requirement to find, after reasonable notice and proposed rule does not otherwise for regular UC. Although an active work opportunity for a hearing, a failure to address STC programs. search is one way for the individual to conform or substantially comply with Proposed paragraph (f) addresses the indicate availability, it is not the only the rule’s A&A requirements, the treatment of aliens. It provides that way and, in some cases, such as Secretary would notify the Governor of aliens must meet the A&A requirements temporary lay-offs, requiring an active the state that grants to fund state of the regulation. In addition, it search for work may be viewed as administration of the UC program provides that, to be considered available unreasonable. Other ways of would be withheld and the Secretary for work in the United States for a week, determining availability may be an would make no certification under the alien must be legally authorized to individual’s active registration with the FUTA to the Secretary of the Treasury work in the United States during such state’s employment service or, when that employers in the state are eligible week by the appropriate agency of the appropriate, the individual’s use of to receive credit against the federal United States government. That agency union hiring halls or private recruiting unemployment tax. is currently the United States firms. Because this rule is intended to Citizenship and Immigration Services implement long-standing Departmental Section 604.6, Conformity and (USCIS), a bureau of the Department of interpretations, it does not, in and of Substantial Compliance Homeland Security. An alien not legally itself, require amendments to state law authorized to work is not available for For a state to receive federal grants to (including regulations). work; thus, the regulations would fund UC administration, and for Executive Order 12866 require a state to deny an alien benefits employers in the state to receive credit for any week the alien was not legally against the federal unemployment tax, This proposed rule is a ‘‘significant authorized to work. state law must conform to federal UC regulatory action’’ within the meaning The proposed rule does not address law. A state law would conform to of Executive Order 12866 because it specific classes of aliens, nor does it federal UC law as interpreted by this meets the criteria of Section 3(f)(4) of specifically address what evidence is rulemaking when the state law includes that Order in that it raises novel or legal needed to prove the alien is authorized provisions which meet or exceed the policy issues arising out of legal to work, as these may change over time. minimum A&A requirements mandates, the President’s priorities, or In determining whether the alien is established by this rulemaking. A state the principles set forth in the Executive legally authorized to work, including must also administer its UC laws so as Order. Accordingly, the proposed rule the acceptability of any documentation to substantially comply with the has been submitted to, and reviewed by, provided, the proposed rule requires the requirements of federal UC law. the Office of Management and Budget state to follow the requirements of Substantial compliance with federal UC (OMB). Section 1137(d), SSA, (42 U.S.C. 1320b– law, as interpreted by this rulemaking, However, the proposed rule is not 7(d)). These requirements, commonly means the state’s administration of its ‘‘economically significant’’ because it called ‘‘Systematic Alien Verification law is substantially consistent with the would not have an annual effect on the for Entitlements,’’ or SAVE, are made minimum A&A requirements economy of $100 million or more. The applicable to the UC program by Section established by this rulemaking. proposed rule merely codifies in 1137(b)(3), SSA, (42 U.S.C. 1320b– Additionally, where a state consistently regulation interpretations which have 7(b)(3)). A state must meet these administers its law differently from its existed since the beginning of the requirements to receive UC express provisions, the Department program and which are already applied administrative grants under Section assumes that a state’s administration of by the states. Thus, it imposes no new 303(f), SSA, (42 U.S.C. 503(f)). its law reflects the requirements of its conditions on states, employers, or The proposed rule does not address law. Thus, a state’s administration of its workers. We have also determined that Title IV of the Personal Responsibility law may raise issues of whether its law the proposed rule would have no
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adverse material impact upon the Unfunded Mandates Reform Act of Signed at Washington, DC on July 14, 2005. economy and that it would not 1995 and Executive Order 12875 Emily Stover DeRocco, materially alter the budgeting impact of This proposed rule was reviewed in Assistant Secretary of Labor, Employment entitlements, grants, user fees or loan accordance with the Unfunded and Training Administration. programs, or the rights and obligations Mandates Reform Act of 1995 (UMRA) Words of Issuance of recipients thereof. (2 U.S.C. 1501 et seq.) and Executive Further, we have evaluated the Order 12875. We have determined that For the reasons set forth in the proposed rule and found it consistent this proposed rule does not include any preamble, the Department of Labor proposes that Chapter V of Title 20, with the regulatory philosophy and Federal mandate that may result in Code of Federal Regulations, be principles set forth in Executive Order increased expenditures by state, local, or tribal governments, in the aggregate, amended by adding new part 604 to 12866, which governs agency read as follows: rulemaking. Although the proposed rule or by the private sector, of $100 million would impact states and state UC or more in any one year. Accordingly, PART 604—REGULATIONS FOR agencies, it would not adversely affect we have not prepared a budgetary ELIGIBILITY FOR UNEMPLOYMENT them in a material way. The proposed impact statement. COMPENSATION rule would ensure that the UC program Paperwork Reduction Act operates as wage insurance by setting Sec. This regulatory action contains no 604.1 Purpose and scope. forth a test to assure that only information collection requirements. 604.2 Definitions. individuals involuntarily unemployed 604.3 Able and available requirement— due to lack of suitable work receive Regulatory Flexibility Act general principles. benefits. This proposed rule would not have a 604.4 Application—ability to work. ‘‘significant economic impact on a 604.5 Application—availability for work. Executive Order 13132 604.6 Conformity and substantial substantial number of small entities.’’ compliance. We have reviewed this regulatory The proposed rule affects states and action in accordance with Executive state agencies, which are not within the Authority: 42 U.S.C. 1302(a); 42 U.S.C. definition of ‘‘small entity’’ under 5 503(a)(2) and (5); 26 U.S.C. 3304(a)(1) and Order 13132 regarding federalism. This (4); 26 U.S.C. 3306(h); 42 U.S.C. 1320b–7(d); Executive Order requires agencies, U.S.C. 601(6). Under 5 U.S.C. 605(b), the Secretary’s Order No. 4–75 (40 FR 18515); when formulating and implementing Secretary has certified to the Chief and Secretary’s Order No. 14–75 (November policies that have federalism Counsel for Advocacy of the Small 12, 1975). implications, to the extent possible, to Business Administration to this effect. § 604.1 Purpose and Scope. refrain from limiting state policy Accordingly, no regulatory flexibility options, to consult with states before analysis is required. The purpose of this part is to taking any action which would restrict Congressional Review Act implement the requirements of federal states’ policy options, and to take such UC law that limit a state’s payment of This proposed rule is not a ‘‘major action only where there is clear UC to individuals who are able to work rule’’ as defined by Section 804 of the statutory and constitutional authority and available for work. This part applies Small Business Regulatory Enforcement and the presence of a problem of to all state UC laws and programs. Fairness Act of 1996. This proposed rule national scope. The UC program is a would not result in an annual effect on § 604.2 Definitions. matter of national scope, as evidenced the economy of $100 million or more; a by existing federal legislation, which Department means the United States major increase in costs or prices; or Department of Labor. limits state flexibility in certain areas. significant adverse effects on FUTA means the Federal Policies with federalism implications competition, employment, investment, Unemployment Tax Act, 26 U.S.C 3301 are those with substantial direct effects productivity, innovation, or the ability et seq. on the states, on the relationship of United States-based companies to between the national government and compete with foreign-based companies Social Security Act means the Social the states, or on the distribution of in domestic and export markets. Security Act, 42 U.S.C. State means a state of the United power and responsibilities among the Effect on Family Life various levels of government. We have States of America, the District of determined that this proposed rule may We certify that this proposed rule was Columbia, the Commonwealth of Puerto have federalism implications. We intend assessed in accordance with Public Law Rico, and the United States Virgin to consult with organizations 105–277, 112 Stat. 2681, and that the Islands. representing state elected officials about proposed rule would not adversely State UC agency means the agency of this rule in the upcoming weeks. affect the well-being of the nation’s the state charged with the families. administration of the state’s UC law. Executive Order 12988 List of Subjects in 20 CFR Part 604 State UC law means the law of a state approved under Section 3304(a), FUTA We drafted and reviewed this Employment and Training (26 U.S.C. 3304(a)). proposed regulation in accordance with Administration, Labor, Unemployment Executive Order 12988, Civil Justice compensation. Unemployment Compensation (UC) Reform, and it would not unduly means cash benefits payable to burden the federal court system. The Catalogue of Federal Domestic individuals with respect to their proposed rule was written to minimize Assistance Number unemployment. litigation and provide a clear legal This program is listed in the Week of unemployment means a week standard for affected conduct, and was Catalogue of Federal Domestic of total, part-total or partial reviewed carefully to eliminate drafting Assistance at No. 17.225, unemployment as defined in the state’s errors and ambiguities. Unemployment Insurance. UC law.
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§ 604.3 Able and available requirement— availability does not constitute a required to be available for his or her general principles. withdrawal from the labor market. normal workweek. (a) A state may pay UC only to an (2) The individual limits his or her (f) Alien status. To be eligible for UC individual who is able to work and availability to work which is suitable for for a week, an alien must meet the able available for work for the week for such individual as determined under to work and available for work which UC is claimed. the state UC law, provided such requirements of this part. To be (b) Whether an individual is able to limitation does not constitute a considered available for work in the work and available for work under withdrawal from the labor market. In United States for a week, the alien must paragraph (a) of this section shall be determining whether the work is be legally authorized to work that week tested by determining whether the suitable, states may, among other in the United States by the appropriate individual is offering services for which factors, take into consideration the agency of the United States government. a labor market exists. This does not education and training of the In determining whether an alien is mean that job vacancies must exist, only individual, the commuting distance legally authorized to work in the United that, at a minimum, the type of services from the individual’s home to the job, States, the state shall follow the the individual is able and available to the previous work history of the requirements of Section 1137(d), SSA, perform are generally performed in the individual (including salary and fringe which relate to verification of and labor market. The state shall determine benefits), and how long the individual determination of an alien’s status. the geographical scope of the labor has been unemployed. (g) The requirement that an individual market for an individual under its UC (3) The individual is on temporary be available for work does not require law. lay-off and is available to work only for an active work search on the part of the (c) The requirement that an individual the employer that has temporarily laid- individual. States may, however, require be able to work and available for work off the individual. an individual to be actively seeking applies only to the week of (b) Jury service. If an individual has work to be considered available for unemployment for which UC is previously demonstrated his or her work, or states may impose a separate claimed. It does not apply to the reasons availability for work following the most requirement that the individual must for the individual’s separation from recent separation from employment and actively seek work. employment, although the separation is appearing for duty before any court § 604.6 Conformity and substantial may indicate the individual was not under a lawfully issued summons able to work or available for work compliance. during the week of unemployment (a) In general. A state’s UC law must during the week the separation claimed, a state may consider the occurred. This part does not address the conform with, and the administration of individual to be available for work. For its law must substantially comply with, authority of states to impose such an individual, attendance at jury disqualifications with respect to the requirements of this part for duty may be taken as evidence of purposes of certification under: separations. This part does not limit the continued availability for work. states’ ability to impose additional able (1) Section 3304(c), FUTA, with However, if the individual does not respect to whether employers are and available requirements that are appear as required by the summons, the consistent with applicable Federal laws. eligible to receive credit against the state must determine if the reason for federal unemployment tax established § 604.4 Application—ability to work. non-attendance indicates that the by Section 3301, FUTA, and individual is not able to work or is not (a) A state may consider an individual (2) Section 302, SSA, with respect to available for work. to be able to work during the week of whether a state is eligible to receive unemployment claimed if the (c) Approved training. An individual federal grants for the administration of individual is able to work for all or a may not be denied UC for failure to be its UC program. portion of the week claimed, provided available for work during a week if, (b) Resolving issues of conformity and that any limitation on his or her ability during such week, the individual is in substantial compliance. For the to work does not constitute a training with the approval of the state purposes of resolving issues of withdrawal from the labor market. agency. However, if the individual fails conformity and substantial compliance (b) If an individual has previously to attend or otherwise participate in with the requirements of this part, the demonstrated his or her ability to work such training, the state must determine following provisions of 20 CFR 601.5 and availability for work following the if the reason for non-attendance or non- apply: most recent separation from participation indicates that the (1) Paragraph (b), pertaining to employment, the state may consider the individual is not able to work or is not informal discussions with the individual able to work during the week available for work. Department of Labor to resolve of unemployment claimed despite the (d) Self-employment assistance. An conformity and substantial compliance individual’s illness or injury, unless the individual may not be denied UC for issues, and individual has refused an offer of failure to be available for work during (2) Paragraph (d), pertaining to the suitable work due to such illness or a week if, during such week, the Secretary of Labor’s hearing and injury. individual is participating in a self- decision on conformity and substantial employment assistance program and compliance. § 604.5 Application—availability for work. meets all the eligibility requirements of (c) Result of Failure to Conform or (a) General application. A state may such self-employment assistance Substantially Comply. consider an individual to be available program. (1) FUTA Requirements. Whenever for work during the week of (e) Short-time compensation. An the Secretary of Labor, after reasonable unemployment claimed under any of individual participating in a short-time notice and opportunity for a hearing to the following circumstances: compensation (also known as the state UC agency, finds that the state (1) The individual is available for any worksharing) program shall not be UC law fails to conform, or that the state work for all or a portion of the week denied UC under the state UC law for or state UC agency fails to comply claimed, provided that any limitation failure to be available for work during substantially, with the requirements of placed by the claimant on his or her a week, but such individual shall be the FUTA, as implemented in this part,
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then the Secretary of Labor shall make (2) SSA Requirements. Whenever the and such state UC agency that further no certification under such act to the Secretary of Labor, after reasonable payments for the administration of the Secretary of the Treasury for such state notice and opportunity for a hearing to state UC law will not be made to the as of October 31 of the 12-month period the state UC agency, finds that the state state until the Secretary of Labor is for which such finding is made. Further, UC law fails to conform, or that the state satisfied that there is no longer any such the Secretary of Labor shall notify the or state UC agency fails to comply failure. Until the Secretary of Labor is so Governor of the state and such state UC substantially, with the requirements of satisfied, the Department of Labor shall agency that further payments for the Title III, SSA, as implemented in this make no further payments to such state. administration of the state UC law will regulation, then the Secretary of Labor [FR Doc. 05–14384 Filed 7–21–05; 8:45 am] not be made to the state. shall notify the Governor of the state BILLING CODE 4510–30–P
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Part V
Department of Agriculture Farm Service Agency
Public Meetings of Advisory Committee on Beginning Farmers and Ranchers; Notice
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DEPARTMENT OF AGRICULTURE the purpose of advising the Secretary on (3) Research conducted and the following: demographic information on farm Farm Service Agency (1) The development of a program of succession (transferring the family farm coordinated financial assistance to to the next generation); Public Meetings of Advisory qualified beginning farmers and (4) Opportunities for beginning Committee on Beginning Farmers and ranchers required by section 309(i) of farmers and ranchers to purchase some Ranchers the Consolidated Farm and Rural of the land currently in the Development Act (7 U.S.C. 1929). Under AGENCY: Farm Service Agency, USDA. Department’s Conservation Reserve the program, Federal and State Program (CRP) that will become ACTION: Notice of public meetings. beginning farmer programs provide available in the next few years due to financial assistance to beginning farmers contracts expiring; SUMMARY: In accordance with the and ranchers; Federal Advisory Committee Act, 5 (5) Farm Credit Services of America’s (2) Methods of maximizing the U.S.C. App. II, the Farm Service Agency (Decorah, Iowa) Young and Beginning number of new farming and ranching (FSA) is issuing this notice to advise the Farmer program; opportunities created through the public that meetings of the Advisory (6) FSA’s beginning farmer programs; program; Committee on Beginning Farmers and and (3) Methods of encouraging States to (7) Risk Management Education Ranchers (Committee) will be held to participate in the program; discuss various beginning farmer issues. Programs concerning beginning farmers (4) The administration of the program; and ranchers. DATES: The public meetings will be held and Attendance is open to all interested August 8–9, 2005. The first meeting, on (5) Other methods of creating new persons but limited to space available. August 8, 2005, will start at 8:30 a.m. farming or ranching opportunities. Anyone wishing to make an oral and end at 5:30 p.m. The second The Committee meets at least once a statement should submit a request in meeting, on August 9, 2005, will begin year and all meetings are open to the writing (letter, fax, or e-mail) to Mark at 8 a.m. and end by 4 p.m. All times public. The duration of the Committee Falcone at the above address. noted are central standard time (c.s.t.). is indefinite. Earlier meetings of the Statements should be received no later ADDRESSES: All meetings will be held at Committee, beginning in 1999, provided than August 2, 2005. Requests should the Omaha Hilton, 1001 Cass Street, an opportunity for members to exchange include the name and affiliation of the Omaha, Nebraska, telephone (402) 998– ideas on ways to increase opportunities individual who will make the 3400. Written requests to make oral for beginning farmers and ranchers. presentation and an outline of the issues presentations must be sent to: Mark Members discussed various issues and to be addressed. The floor will be open Falcone, Designated Federal Official for drafted numerous recommendations, to oral presentations beginning at 1:15 the Advisory Committee on Beginning which were provided to the Secretary. p.m. CST on August 8, 2005. Farmers and Ranchers, Farm Service Agenda items for the August 2005 Comments will be limited to 5 Agency, U.S. Department of Agriculture, meetings include: minutes, and presenters will be 1400 Independence Avenue, SW., STOP (1) The Secretary of Agriculture’s approved on a first-come, first-served 0522, Washington, DC 20250–0522; remarks to the National Association of basis. telephone (202) 720–1632; FAX (202) Farm Broadcasters on May 2, 2005, and Persons with disabilities who require 690–1117; e-mail: his question as to whether enough is special accommodations to attend or [email protected]. being done to encourage and support participate in the meetings should the next generation of farmers and contact Mark Falcone by August 2, FOR FURTHER INFORMATION CONTACT: people who are interested in starting out 2005. Mark Falcone at (202) 720–1632. in production agriculture; Signed in Washington, DC, on July 5, 2005. SUPPLEMENTARY INFORMATION: Section 5 (2) A discussion between the of the Agricultural Credit Improvement President of the National State James R. Little, Act of 1992 (Pub. L. 102–554) required Departments of Agriculture and Administrator, Farm Service Agency. the Secretary of Agriculture (the committee members concerning state [FR Doc. 05–14511 Filed 7–21–05; 8:45 am] Secretary) to establish the Committee for beginning farmer programs; BILLING CODE 3410–05–P
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Reader Aids Federal Register Vol. 70, No. 140 Friday, July 22, 2005
CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING JULY
Federal Register/Code of Federal Regulations At the end of each month, the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. 319...... 39194 Presidential Documents 3 CFR 868...... 39199 Executive orders and proclamations 741–6000 Proclamations: 2902...... 38612 The United States Government Manual 741–6000 7913...... 41931 Executive Orders: 9 CFR Other Services 12139 (Amended by 77...... 42259 Electronic and on-line services (voice) 741–6020 EO 13383)...... 41933 93...... 41608 741–6064 Privacy Act Compilation 12735 (See EO 94...... 41608 Public Laws Update Service (numbers, dates, etc.) 741–6043 13382) ...... 38567 95...... 41608 TTY for the deaf-and-hard-of-hearing 741–6086 12938 (Amended by Proposed Rules: EO 13382)...... 38567 391...... 41635 12949 (Amended by ELECTRONIC RESEARCH 590...... 41635 EO 13383)...... 41933 592...... 41635 World Wide Web 13094 (See EO Full text of the daily Federal Register, CFR and other publications 13382) ...... 38567 10 CFR 13348 (See Notice of is located at: http://www.gpoaccess.gov/nara/index.html 72...... 40879 July 19, 2005) ...... 41935 110...... 37985, 41937 Federal Register information and research tools, including Public 13382...... 38567 625...... 39364 Inspection List, indexes, and links to GPO Access are located at: 13383...... 41933 http://www.archives.gov/federallregister/ Proposed Rules: Administrative Orders: 72...... 40924 E-mail Memorandums: FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is Memorandum of June 11 CFR 29, 2005 ...... 39173 an open e-mail service that provides subscribers with a digital 114...... 41939 form of the Federal Register Table of Contents. The digital form Memorandum of April 21, 2005 (Amended Proposed Rules: of the Federal Register Table of Contents includes HTML and 100...... 42282 PDF links to the full text of each document. by Memorandum of July 1, 2005) ...... 41341 106...... 42282 To join or leave, go to http://listserv.access.gpo.gov and select Memorandum of July 300...... 42282 Online mailing list archives, FEDREGTOC-L, Join or leave the list 1, 2005 ...... 41341 12 CFR (or change settings); then follow the instructions. Notices: PENS (Public Law Electronic Notification Service) is an e-mail Notice of July 19, 201...... 39411 service that notifies subscribers of recently enacted laws. 2005 ...... 41935 620...... 40635 621...... 40635 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html Presidential Determinations: 650...... 40635 and select Join or leave the list (or change settings); then follow 651...... 40635 the instructions. No. 2005-26 of July 4, 2005 ...... 40181 652...... 40635 FEDREGTOC-L and PENS are mailing lists only. We cannot No. 2005-27 of July 4, 653...... 40635 respond to specific inquiries. 2005 ...... 40183 654...... 40635 Reference questions. Send questions and comments about the No. 2005-28 of July 655...... 40635 Federal Register system to: [email protected] 12, 2005 ...... 41929 Proposed Rules: Ch. VII ...... 39202, 40924 The Federal Register staff cannot interpret specific documents or No. 2005-29 of July 14, 2005 ...... 42251 regulations. 13 CFR 5 CFR Proposed Rules: FEDERAL REGISTER PAGES AND DATE, JULY 831...... 42253 106...... 39667 842...... 42253 37985–38570...... 1 Ch. XIV ...... 41605 14 CFR 38571–38750...... 5 11...... 40156 38751–39172...... 6 7 CFR 21...... 40166 39173–39410...... 7 56...... 42254 23...... 37994 39411–39638...... 8 70...... 42254 25...... 39908, 39910 39639–39904...... 11 305...... 41092 36...... 38742, 41610 39905–40184...... 12 318...... 40879 39 ...... 38573, 38575, 38578, 40185–40634...... 13 319...... 40879, 41092 38580, 38751, 38753, 38755, 40635–40878...... 14 400...... 41822 39412, 39559, 39639, 39642, 40879–41128...... 15 946...... 41129 39644, 39647, 39651, 39912, 955...... 41605 41129–41340...... 18 40187, 40651, 40656, 41944, 983 ...... 39905, 40185, 42256 41946, 41948, 42148, 42262, 41341–41604...... 19 1469...... 41608 42267, 42269 41605–41934...... 20 4274...... 38571 43...... 40872 41935–42250...... 21 4280...... 41264 71 ...... 37997, 38740, 39175, 42251–42484...... 22 Proposed Rules: 39914, 39915, 39916, 39917, 97...... 40921 41610, 41611, 41613, 41948,
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41949, 41950 341...... 40941 Proposed Rules: 92...... 40420 73...... 38740 342...... 40943 1404...... 39209, 42011 94...... 40420 91 ...... 38742, 40168, 41610 344...... 40941 1610...... 38060 180 ...... 38780, 38785, 38786, 93...... 39610 346...... 40941 40196, 40199, 40202, 40899, 97...... 39652 347...... 40941 30 CFR 41618, 41619 121 ...... 40156, 40168, 41134 348...... 40941 250...... 41556 271...... 42273 125...... 40168 375...... 40941 Proposed Rules: 300 ...... 38789, 39180, 41625 129...... 40168 385...... 40941 934...... 38639 372...... 39931 382...... 41482 799...... 39624, 39630 Proposed Rules: 19 CFR 31 CFR 1039...... 40420 39 ...... 38625, 38627, 38630, Proposed Rules: Ch. V...... 38256 1048...... 40420 38632, 38636, 38817, 38819, 101...... 38637 1051...... 40420 38821, 38823, 39204, 39433, 122...... 38637 32 CFR 1065...... 40420 39435, 41350, 41352, 41354, 321...... 38009 1068...... 40420 20 CFR 42003, 42005, 42008, 42282 Proposed Rules: 1506...... 41148 71 ...... 38053, 38055, 38056, 1...... 41340 285...... 40249 Proposed Rules: 38826, 39973 30...... 41340 504...... 42012 52 ...... 38064, 38068, 38071, 15 CFR 404...... 38582, 41954 631...... 41641 38073, 38837, 38839, 38840, 416...... 41135 39974, 40946, 41166, 41652, 740...... 41094 646...... 40870 33 CFR 42019, 42021 742...... 41094 Proposed Rules: 55...... 38840 743...... 41094 100 ...... 38010, 39654, 39656, 416...... 39689 40882 60...... 39870 772...... 41094 604...... 42474 62...... 39974 774...... 41094, 41952 110...... 40885 117 ...... 38593, 38594, 40887 63 ...... 38554, 39441, 39457 Proposed Rules: 21 CFR 155...... 41614 80...... 40949 303...... 38828 Ch. I ...... 40880 156...... 41614 81...... 38073, 39215 710...... 42010 20...... 41956 165 ...... 38013, 38015, 39176, 85...... 39870 711...... 42010 73...... 42271 39923, 40885, 40888, 41343, 89...... 39870 712...... 42010 101...... 41958 41345 94...... 39870 713...... 42010 520...... 40880, 41139 155...... 40251, 42292 714...... 42010 Proposed Rules: 522...... 39918 100...... 39697 194...... 38642 715...... 42010 529...... 41139 228...... 41167 716...... 42010 117...... 41648, 42017 556...... 39918 165...... 40944 261...... 41358 717...... 42010 558...... 41958 300 ...... 38845, 39217, 41653 718...... 42010 167...... 38061 Proposed Rules: 1039...... 39870 719...... 42010 Ch. 1 ...... 41356 34 CFR 1065...... 39870 720...... 42010 310...... 40232 1068...... 39870 721...... 42010 230...... 38017 341...... 40232, 40237 41 CFR 722...... 42010 36 CFR 723...... 42010 22 CFR Proposed Rules: 724...... 42010 7...... 38759 126...... 39919 51-2...... 38080 725...... 42010 37 CFR 51-3...... 38080 726...... 42010 23 CFR 51-4...... 38080 727...... 42010 2...... 38768 728...... 42010 Proposed Rules: 7...... 38768 42 CFR 630...... 39692 729...... 42010 201...... 38022 414...... 39022 251...... 38022 16 CFR 25 CFR Proposed Rules: 252...... 38022 52...... 40946 124...... 40660, 41963 Proposed Rules: 257...... 38022 80...... 40949 258...... 39178 23...... 38834 26 CFR 484...... 40788 259...... 38022 1001...... 38081 17 CFR 1 ...... 39653, 39920, 40189, Proposed Rules: 230...... 42150 40661, 40663, 41343 201...... 41650 43 CFR 26...... 41140 232...... 42456 202...... 42286 Proposed Rules: 239...... 42150 301...... 40669, 41144 2563...... 41650 3000...... 41532 240 ...... 40614, 42150, 42456 602 ...... 39920, 40189, 40663 3100...... 41532 38 CFR 249...... 42150, 42456 Proposed Rules: 3120...... 41532 270...... 39390 1 ...... 38057, 39695, 40675 Proposed Rules: 3130...... 41532 Proposed Rules: 31...... 38057 3...... 39213 3150...... 41532 36...... 39672 35...... 40675 3160...... 41532 37...... 39672 54...... 40675 40 CFR 3200...... 41532 38...... 39672 301...... 40675, 41165 51...... 39104, 39413 3470...... 41532 39...... 39672 52 ...... 38023, 38025, 38028, 27 CFR 3500...... 41532 40...... 39672 38029, 38774, 38776, 39658, 3600...... 41532 9 ...... 37998, 38002, 38004 39926, 40193, 40195, 41146, 3800...... 41532 18 CFR Proposed Rules: 41963 3830...... 41532 35...... 38757 4...... 38058 62...... 39927 3833...... 41532 Proposed Rules: 63 ...... 38554, 38780, 39426, 3835...... 41532 35...... 40941 28 CFR 39662, 40672 3836...... 41532 131...... 40941 Proposed Rules: 80...... 40889 3860...... 41532 154...... 40941 16...... 39696 81...... 38029 3870...... 41532 157...... 40941 45...... 39206 85...... 40420 250...... 40941 86...... 40420 44 CFR 281...... 40941 29 CFR 89...... 40420 64...... 38038, 41347 284...... 40941 4022...... 40881 90...... 40420 65...... 40909, 40913 300...... 40941 4044...... 40881 91...... 40420 67...... 40915
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Proposed Rules: 73 ...... 39217, 40277, 40278 49 CFR 577...... 38805 67 ...... 39457, 40951, 40953, 76...... 38848 209...... 38804 1520...... 41586 40955, 40956 213...... 38804 1540...... 41586 1562...... 41586 45 CFR 48 CFR 214...... 38804 215...... 38804 Proposed Rules: 146...... 42276 2101...... 41149 216...... 38804 23...... 40973 2510...... 39562 2102...... 41149 217...... 38804 192...... 41174 2520...... 39562 2103...... 41149 218...... 38804 193...... 41174 2521...... 39562 2104...... 41149 219...... 38804 195...... 41174 2522...... 39562 2105...... 41149 220...... 38804 571...... 40280, 40974 2540...... 39562 2106...... 41149 221...... 38804 572...... 40281 2550...... 39562 2109...... 41149 222...... 38804 2110...... 41149 46 CFR 223...... 38804 50 CFR 2114...... 41149 225...... 38804 300...... 41159 Proposed Rules: 2115...... 41149 Ch. I...... 39699, 41261 228...... 38804 600...... 40225 2116...... 41149 229...... 38804 622 ...... 39187, 41161, 42279 47 CFR 2131...... 41149 230...... 38804, 41995 648 ...... 39190, 39192, 39970, 1 ...... 38794, 38795, 41967 2132...... 41149 231...... 38804 41348 15...... 38800 2137...... 41149 232...... 38804 660...... 38596, 41163 20...... 38794 2144...... 41149 233...... 38804 679 ...... 38052, 38815, 39664, 43...... 38794 2146...... 41149 234...... 38804 40231, 41163, 41164, 42279, 63...... 38795 2149...... 41149 235...... 38804 42280, 42281 64...... 38795 2152...... 41149 236...... 38804 Proposed Rules: 73 ...... 39182, 40212, 40213, Proposed Rules: 238...... 38804 17 ...... 38849, 39227, 39981, 40214, 40215, 41629, 41630 Ch. II ...... 39975 239...... 38804 41183 76...... 40216 52...... 40279 240...... 38804 32...... 40108 90...... 41631 204...... 39976 241...... 38804 216...... 41187 Proposed Rules: 222...... 39978 244...... 38804 223...... 38861, 39231 Ch. 1 ...... 41654 225...... 39980 375...... 39949 224...... 39231 15...... 38845 235...... 39976 571 ...... 38040, 39959, 40917, 229...... 40301 22...... 40276 249...... 39980 41631 600...... 39700 52...... 41655 252...... 39976 573...... 38805 648...... 41189 54...... 41658 9904...... 42293 575...... 39970 660...... 40302, 40305
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REMINDERS PERSONNEL MANAGEMENT Tuberculosis in cattle and Accessibility guidelines— The items in this list were OFFICE bison; movement without Large and small editorially compiled as an aid Retirement: individual tuberculin test; passenger vessels; to Federal Register users. Law enforcement officers comments due by 7-25- comments due by 7-28- Inclusion or exclusion from and firefighters; special 05; published 5-24-05 [FR 05; published 3-22-05 this list has no legal retirement provisions; 05-10308] [FR 05-05636] published 7-22-05 significance. Plant-related quarantine, COMMERCE DEPARTMENT TRANSPORTATION domestic: National Oceanic and DEPARTMENT Pine shoot beetle; Atmospheric Administration RULES GOING INTO Federal Aviation comments due by 7-25- EFFECT JULY 22, 2005 Administration Endangered and threatened 05; published 5-26-05 [FR species: Airworthiness directives: 05-10551] AGRICULTURE Boeing; published 6-17-05 Oregon Coast evolutionary AGRICULTURE DEPARTMENT significant unit of coho TREASURY DEPARTMENT DEPARTMENT Animal and Plant Health Fiscal Service salmon; listing Commodity Credit Inspection Service Marketable book-entry determination; comments Corporation Exportation and importation of Treasury bills, notes, and due by 7-28-05; published animals and animal bonds: Loan and purchase programs: 6-28-05 [FR 05-12350] products: Bidder definitions; published Conservation Security Status review— Tuberculosis in cattle and 5-23-05 Program; comments due North American green bison; State and zone by 7-25-05; published 3- sturgeon; southern designations; New Mexico; RULES GOING INTO 25-05 [FR 05-05894] distinct population; published 7-22-05 EFFECT JULY 23, 2005 Cottonseed Payment comments due by 7-27- COMMERCE DEPARTMENT Program; comments due 05; published 7-6-05 National Oceanic and AGRICULTURE by 7-25-05; published 6- [FR 05-13264] Atmospheric Administration DEPARTMENT 24-05 [FR 05-12485] West Coast Oncorhynchus Fishery conservation and Agricultural Marketing AGRICULTURE mykiss; listing management: Service DEPARTMENT determinations; comments due by 7-28-05; published West Coast States and Pistachios grown in— Food and Nutrition Service California; published 7-22-05 6-28-05 [FR 05-12348] Western Pacific Child nutrition programs: fisheries— HOMELAND SECURITY COURT SERVICES AND DEPARTMENT Senior Farmers’ Market OFFENDER SUPERVISION Pacific sardine; published Nutrition Program; Coast Guard AGENCY FOR THE 6-22-05 comments due by 7-25- Ports and waterways safety; DISTRICT OF COLUMBIA DEFENSE DEPARTMENT 05; published 5-26-05 [FR regulated navigation areas, Army Department 05-10388] Semi-annual agenda; Open for safety zones, security Law enforcement and criminal comments until further zones, etc.: AGRICULTURE investigations: notice; published 12-22-03 Sisters Creek, Jacksonville, DEPARTMENT [FR 03-25121] Military police investigations; FL; published 7-25-05 Food Safety and Inspection published 6-22-05 DEFENSE DEPARTMENT Service ENVIRONMENTAL Acquisition regulations: COMMENTS DUE NEXT Meat and poultry inspection: PROTECTION AGENCY WEEK Capital assets manufactured Hazardous waste program Hazard analysis and critical in United States; purchase authorizations: control point (HACCP) incentive program; AGRICULTURE system— Idaho; published 7-22-05 comments due by 7-25- DEPARTMENT Mechanically tenderized FEDERAL 05; published 5-24-05 [FR Agricultural Marketing beef products; COMMUNICATIONS 05-10233] Service compliance; comments COMMISSION Cotton classing, testing and Pilot Mentor-Protege due by 7-25-05; Program; comments due Television broadcasting: standards: published 5-26-05 [FR Cable television systems— Classification services to by 7-25-05; published 5- 05-10471] 24-05 [FR 05-10226] Navigation devices; growers; 2004 user fees; commercial availability; Open for comments until AGRICULTURE Quality assurance; published 6-22-05 further notice; published DEPARTMENT comments due by 7-25- 05; published 5-24-05 [FR HARRY S. TRUMAN 5-28-04 [FR 04-12138] Natural Resources 05-10234] SCHOLARSHIP Grapes grown in California Conservation Service FOUNDATION and imported grapes; Loan and purchase programs: Service contracts and task Scholar accountability policy; comments due by 7-25-05; Conservation Security and delivery orders published 6-22-05 published 5-25-05 [FR 05- Program; comments due approval; comments due 10440] by 7-25-05; published 5- LABOR DEPARTMENT by 7-25-05; published 3- Prunes (dried) produced in— 25-05 [FR 05-05894] 24-05 [FR 05-10225] Federal Contract Compliance California; comments due by Reports and guidance DEFENSE DEPARTMENT Programs Office 7-26-05; published 5-27- documents; availability, etc.: Engineers Corps Affirmative action and 05 [FR 05-10469] nondiscrimination obligations Tomatoes grown in— National Handbook of Danger zones and restricted of contractors and Florida; comments due by Conservation Practices; areas: subcontractors: 7-26-05; published 5-27- Open for comments until Parris Island, SC; Marine Compliance evaluations; 05 [FR 05-10468] further notice; published Corps Recruit Depot; 5-9-05 [FR 05-09150] published 6-22-05 AGRICULTURE comments due by 7-25- NATIONAL CRIME DEPARTMENT ARCHITECTURAL AND 05; published 6-23-05 [FR PREVENTION AND PRIVACY Animal and Plant Health TRANSPORTATION 05-12461] COMPACT COUNCIL Inspection Service BARRIERS COMPLIANCE Navigation regulations: State criminal history record Exportation and importation of BOARD Lake Washington Ship screening standards; animals and animal Americans with Disabilities Canal, Hiram M. published 6-22-05 products: Act; implementation: Chittenden Locks, WA;
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scheduled operational Ohio; comments due by 7- Interstate telemarketing comments until further hours; modification 27-05; published 6-27-05 calls; declaratory ruling notice; published 8-23- procedures; comments [FR 05-12659] petitions; comments due 04 [FR 04-19179] due by 7-25-05; published Pennsylvania; comments by 7-29-05; published HEALTH AND HUMAN 5-25-05 [FR 05-10432] due by 7-25-05; published 6-29-05 [FR 05-12466] SERVICES DEPARTMENT EDUCATION DEPARTMENT 6-24-05 [FR 05-12581] Interstate telemarketing Health care programs; fraud Grants and cooperative Environmental statements; calls; declaratory ruling and abuse: agreements; availability, etc.: availability, etc.: petitions; comments due Health Insurance Portability Vocational and adult Coastal nonpoint pollution by 7-29-05; published and Accountability Act— education— control program— 6-29-05 [FR 05-12467] Data collection program; Smaller Learning Minnesota and Texas; Radio frequency devices: final adverse actions Communities Program; Open for comments Digital television receiver reporting; correction; Open for comments until further notice; tuner requirements; comments due by 7-25- until further notice; published 10-16-03 [FR comments due by 7-27- 05; published 6-24-05 published 2-25-05 [FR 03-26087] 05; published 7-6-05 [FR [FR 05-12481] E5-00767] Hazardous waste program 05-13029] HEALTH AND HUMAN authorizations: ENERGY DEPARTMENT HEALTH AND HUMAN SERVICES DEPARTMENT Maine; comments due by 7- Meetings: SERVICES DEPARTMENT Inspector General Office, 25-05; published 6-23-05 Centers for Medicare & Health and Human Services Environmental Management [FR 05-12453] Medicaid Services Department Site-Specific Advisory Vermont; comments due by Health care programs; fraud Board— 7-25-05; published 6-23- Medicaid and Medicare: and abuse: Oak Ridge Reservation, 05 [FR 05-12454] Hospice care; participation Health Insurance Portability TN; Open for comments Water pollution control: conditions; comments due and Accountability Act— until further notice; National Pollutant Discharge by 7-26-05; published 5- Data collection program; published 11-19-04 [FR Elimination System— 27-05 [FR 05-09935] 04-25693] final adverse actions Concentrated animal Medicare: reporting; correction; ENERGY DEPARTMENT feeding operations in Cost reports; electronic comments due by 7-25- Energy Efficiency and New Mexico and submission; comments 05; published 6-24-05 Renewable Energy Office Oklahoma; general due by 7-26-05; published [FR 05-12481] Commercial and industrial permit for discharges; 5-27-05 [FR 05-10570] HOMELAND SECURITY equipment; energy efficiency Open for comments HEALTH AND HUMAN DEPARTMENT program: until further notice; SERVICES DEPARTMENT Coast Guard Test procedures and published 12-7-04 [FR Food and Drug Anchorage regulations: efficiency standards— 04-26817] Administration Water pollution; effluent Maryland; Open for Commercial packaged Food for human consumption: guidelines for point source comments until further boilers; Open for Food labeling— comments until further categories: notice; published 1-14-04 notice; published 10-21- Meat and poultry products Dietary noncariogenic [FR 04-00749] 04 [FR 04-17730] processing facilities; Open carbohydrate Drawbridge operations: sweeteners and dental ENERGY DEPARTMENT for comments until further Virginia; comments due by notice; published 9-8-04 caries; health claims; Federal Energy Regulatory 7-25-05; published 6-8-05 [FR 04-12017] comments due by 7-27- [FR 05-11397] Commission 05; published 5-13-05 FEDERAL Regattas and marine parades: Electric rate and corporate [FR 05-09608] COMMUNICATIONS Pasquotank River, Elizabeth regulation filings: Salmonella; shell egg COMMISSION City, NC; marine events; Virginia Electric & Power producers to implement Committees; establishment, comments due by 7-28- Co. et al.; Open for prevention measures; renewal, termination, etc.: 05; published 6-28-05 [FR comments until further comments due by 7-25- Technological Advisory 05-12730] notice; published 10-1-03 Council; Open for 05; published 6-8-05 [FR [FR 03-24818] 05-11407] Thunder over the comments until further Boardwalk; comments due Natural Gas Policy Act; notice; published 3-18-05 Human cells, tissues, and by 7-26-05; published 7- natural gas companies [FR 05-05403] cellular and tissue-based 11-05 [FR 05-13576] (Natural Gas Act): products; donor screening Common carrier services: INTERIOR DEPARTMENT Natural gas reporting Interconnection— and testing, and related regulations; modification; labeling; comments due by Fish and Wildlife Service Incumbent local exchange comments due by 7-25- 7-25-05; published 5-25-05 Endangered and threatened carriers unbounding 05; published 6-10-05 [FR [FR 05-10583] species permit applications obligations; local 05-11543] Recovery plans— competition provisions; Reports and guidance ENVIRONMENTAL wireline services documents; availability, etc.: Paiute cutthroat trout; PROTECTION AGENCY offering advanced Evaluating safety of Open for comments Air quality implementation telecommunications antimicrobial new animal until further notice; plans; approval and capability; Open for drugs with regard to their published 9-10-04 [FR promulgation; various comments until further microbiological effects on 04-20517] States; air quality planning notice; published 12-29- bacteria of human health INTERIOR DEPARTMENT purposes; designation of 04 [FR 04-28531] concern; Open for Surface Mining Reclamation areas: Price cap local exchange comments until further and Enforcement Office Washington; comments due carriers; special access notice; published 10-27-03 Permanent program and by 7-29-05; published 6- rates; comments due by [FR 03-27113] abandoned mine land 29-05 [FR 05-12713] 7-29-05; published 7-20- Medical devices— reclamation plan Air quality implementation 05 [FR 05-14420] Dental noble metal alloys submissions: plans; approval and Telephone Consumer and base metal alloys; Alaska; comments due by promulgation; various Protection Act of 1991; Class II special 7-25-05; published 6-23- States: implementation— controls; Open for 05 [FR 05-12439]
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NATIONAL CREDIT UNION for comments until further comments due by 7-25-05; in ‘‘slip law’’ (individual ADMINISTRATION notice; published 7-6-04 published 5-25-05 [FR 05- pamphlet) form from the Credit unions: [FR 04-15361] 10366] Superintendent of Documents, Federal credit unions; fidelity TRANSPORTATION TREASURY DEPARTMENT U.S. Government Printing bond and insurance DEPARTMENT Internal Revenue Service Office, Washington, DC 20402 coverage; comments due Federal Aviation Income taxes: (phone, 202–512–1808). The Administration text will also be made by 7-25-05; published 5- Limitations on benefits and Airworthiness directives: 25-05 [FR 05-10380] contributions under available on the Internet from Airbus; comments due by 7- NUCLEAR REGULATORY qualified plans; comments GPO Access at http:// 29-05; published 6-29-05 COMMISSION due by 7-25-05; published www.gpoaccess.gov/plaws/ [FR 05-12839] Environmental statements; 5-31-05 [FR 05-10268] index.html. Some laws may Boeing; comments due by availability, etc.: not yet be available. 7-29-05; published 6-14- TREASURY DEPARTMENT Fort Wayne State 05 [FR 05-11708] Currency and foreign Developmental Center; Bombardier; comments due transactions; financial H.R. 3332/P.L. 109–35 Open for comments until by 7-26-05; published 5- reporting and recordkeeping further notice; published 27-05 [FR 05-10536] requirements: Surface Transportation Extension Act of 2005, Part III 5-10-04 [FR 04-10516] Burkhart Grob; comments USA PATRIOT Act; PERSONNEL MANAGEMENT due by 7-25-05; published implementation— (July 20, 2005; 119 Stat. 379) OFFICE 6-21-05 [FR 05-12178] Anti-money laundering Last List July 15, 2005 Training: Fokker; comments due by programs for dealers in Reporting requirements; 7-29-05; published 6-29- precious metal, stones, comments due by 7-26- 05 [FR 05-12838] or jewels; comments 05; published 5-27-05 [FR Rolls-Royce plc; comments due by 7-25-05; 05-10641] due by 7-26-05; published published 6-9-05 [FR Public Laws Electronic SMALL BUSINESS 5-27-05 [FR 05-10635] 05-11431] Notification Service ADMINISTRATION Turbomeca S.A.; comments due by 7-26-05; published (PENS) Disaster loan areas: 5-27-05 [FR 05-10295] LIST OF PUBLIC LAWS Maine; Open for comments Airworthiness standards: until further notice; Special conditions— This is a continuing list of published 2-17-04 [FR 04- PENS is a free electronic mail Diamond Aircraft public bills from the current 03374] Industries; comments session of Congress which notification service of newly OFFICE OF UNITED STATES due by 7-28-05; have become Federal laws. It enacted public laws. To TRADE REPRESENTATIVE published 6-28-05 [FR may be used in conjunction subscribe, go to http:// Trade Representative, Office 05-12720] with ‘‘PLUS’’ (Public Laws listserv.gsa.gov/archives/ of United States Class E airspace; comments Update Service) on 202–741– publaws-l.html Generalized System of due by 7-25-05; published 6043. This list is also Preferences: 6-8-05 [FR 05-11326] available online at http:// Note: This service is strictly www.archives.gov/ TRANSPORTATION for E-mail notification of new 2003 Annual Product federal register/public laws/ DEPARTMENT — — laws. The text of laws is not Review, 2002 Annual public laws.html. Country Practices Review, National Highway Traffic — available through this service. and previously deferred Safety Administration The text of laws is not PENS cannot respond to product decisions; Civil monetary penalties; published in the Federal specific inquiries sent to this petitions disposition; Open inflation adjustment; Register but may be ordered address.
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